Best Practice

in Development Assessment for Local Government

Second Edition May 2005

9
STEPS

ontent

Introduction Nine steps in development assessment Best practice Notes

Step 1 Step 2 Step 3 Step 4 Step 5 Step 6 Step 7 Step 8 Step 9 Pre-Development Application Consultation Lodgement of Development Application Initial Assessment; Public Notification/Consultation Consultation and Concurrence; Internal/External Referral Detailed Consideration/Assessment Decision (Including utilisation of delegations) Issue of Determination (reasons or conditions); Notification Post Determination (review of determination; extension; modification; appeal) Development Commencement Follow-up and Finalisation (including Construction Certificate, appointment of PCA, Occupation Certificate, inspections)

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8 11 13 15 17 20 22 24

26

Appendix 1
Statutory changes to the local development assessment process In NSW since January 2003)

28 29 30

Appendix 2 Appendix 3
Links to other useful web sites

Participating Local Councils Survey 1 Edition

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Introduction
This practical guideline is designed to help Councils and others involved in the development process in NSW by identifying the elements of current Local Government leading practice in development assessment, and highlighting examples of such practice. About this guideline
The second edition of Best Practice in Development Assessment for Local Government is an update of the publication produced in May 2003, following a study undertaken by the Faculty of the Built Environment at the University of New South Wales (UNSW). Commissioned by Landcom and supported the Planning Institute of Australia, the project represents an ongoing commitment that aims to identify and highlight current examples of good practice in development assessment from within Local Government and assist in the dissemination of these examples amongst Councils and others involved in the development process. Besides the continuing support by Landcom for this guideline, the Planning Institute of Australia (NSW Division) has agreed to host the electronic version of the document on its website. Thus, it is envisaged that this publication be a living document, designed to capture best practice examples offered by Councils on an on-going basis, by being a regularly updated Internet based publication.

Aims, methodology and product

The project has sought to identify current examples of best practice in development assessment within Local Government by asking Councils to nominate elements or procedures within their assessment process that they believed to be beneficial and worthy of wider dissemination. Initially, a short survey form was sent to the General Managers of all Local Councils in NSW for the purposes of identification and brief description of best practice in each Council. A number of Councils also participated in a focus group to work on and refine the ideas submitted. This input formed the basis of the first edition of this guideline. Subsequently, this second edition has been updated with new examples of leading practice and procedure offered by Local Councils since the date of publication of the first edition. This is consistent with the intended approach of the study from its outset, which was one of local government informing local government on existing ideas and practices for assisting development assessment in NSW. Additionally, relevant statutory changes affecting development assessment in NSW in the period between finalisation of the two editions have been incorporated in this document (see Appendix 1 for a list of legislative changes to the local development assessment process since January 2003). A number of benefits are envisaged from this on-going project. Articulation of current Local Government best practice and identification of additional measures to improve practice and procedures in development assessment are seen as key outcomes of this undertaking. It is anticipated that the broader distribution of existing examples of best practice in development assessment within local government will provide useful advice to other local Councils, which, if adopted, may accrue as cost, staff and time savings and assist in achieving better planning outcomes.

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Survey of local government best practice

As part of the collection of information for the 1 st edition of this guideline, a short survey questionnaire was sent to all local Councils in NSW, with a total of 45 Councils responding (see Appendix 2 for a list of participating Councils). A central component of this questionnaire was the identification and listing of nine (9) notional steps in the development assessment process, based on the provisions of Part 4 of the Environmental Planning and Assessment Act 1979. The nine steps in the development assessment process for local development are indicated in Figure 1.

Figure 1: Nine-step development assessment process for local development applications

Step 1 - Pre-Development Application Consultation

Step 2 - Lodgement of Development Application (s 78A)

Step 3 - Initial Assessment; Public Notification/Consultation (s 79/79A) (Including Stop the clock: cl 54 of the EP&A Regulation)

Step 4 - Consultation and Concurrence; Internal/External Referral (s 79B)

Step 5 - Detailed Consideration/Assessment Planning Report (s 79C)

Step 6 Decision (s 80) (Including utilisation of delegations)

Step 7 - Issue of Determination (reasons or conditions); Notification (ss 80A, 81)

Step 8 - Post Determination (s 82A Review of determination; s 95A extension; s 96 modification; s 96A revocation); Appeal (s 97/98)

Step 9 - Development Commencement Follow-up and Finalisation (including Construction Certificate, appointment of PCA, Occupation Certificate etc.)

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There was concurrence by the vast majority of respondent Councils that the nine-step DA process identified in the questionnaire coincided with their own process. Although it was recognised that each Councils own perception of what is involved in these steps may differ, it was evident that the nine steps would form the basis of the best practice document produced from this project.

This document
Following the response received on the 1st edition of this guide, the present edition retains the style of producing a simple and concise document consisting of a brief introduction, explanation and overview of leading practice in development assessment, followed by nine short practice notes, of 23 pages length, for each of the identified nine steps in the development assessment process. The practice notes describe the elements or components of leading or model practice for each of the nine steps; effectively each note is a compendium of best practice distilled from the examples provided by the participating Councils. Elaboration of some current local Council examples of best practice within the nine steps is incorporated at the end of each note. As such, documented in the report is a toolbox of current best practice and management procedures used by local Councils in NSW, some of which may be considered for adoption by other Councils. Links to web sites of some of these Councils are included in the text of this document, whilst other useful web sites are appended (Appendix 3).

Feedback
As this document is designed to be a working tool for planning practitioners and others involved in development assessment, it shall be updated on a regular basis. To facilitate the on-going maintenance of this document as an up-to-date planning tool, any feedback or information on Local Council practice for incorporation in the document, is most welcome. Feedback, suggested best practice inclusions and queries may be directed either to Peter Williams, Faculty of the Built Environment, UNSW (email at p.williams@unsw.edu.au or telephone on 9385 5294), or to the NSW Division of the Planning Institute of Australia (website: http://www.planning.org.au/ or email: nsw@planning.or.au)

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Nine steps in development assessment

Best Practice Notes
Described in the following notes are various elements and contemporary examples volunteered by local Councils in NSW, of best practice in the nominated nine steps of development assessment. Overview Fundamentals of best practice
Essential elements for the achievement of best practice in development assessment by Local Government include: Communication arguably the most important aspect of a workable development assessment system is communication between the Council, applicants, interested residents and referral bodies. Significantly with respect to internal and external referrals, an effective checking/monitoring system is an important tool to assist timely communication. Early identification of any deficiencies or potential problems and any referral and notification requirements pertaining to an application, and the scope to continue with the processing of such applications, where possible, whilst these matters are being finalised. Resources the level of best practice and service provided by Councils is largely predicated on resourcing/staff time constraints; as a corollary of this, implementing best practice requires adequate resources. Staff training and experience a significant aspect of resourcing is the calibre of staff available to assist applicants at the pre-lodgement and lodgement stages; while it may not be possible in the case of all Councils for senior staff to work on the front counter, the availability of senior staff to assist when required, and the quality (i.e. training and experience) of counter staff, are important customer service considerations. Provision and availability of general development application kits or brochures that include information sheets on the development assessment process for each Council and applicable Council policies and controls. The formulation of an in-house Assessment Procedures Manual on the DA process for use by each Council. Minimisation of the amount of disruption to the important development assessment tasks of assessment officers, through the adoption of appropriate in-house practices and procedures. Appropriate in-house monitoring, benchmarking and quality assurance mechanisms. Consistency of advice provided to applicants throughout the development assessment process, but ideally with a separation of assessment and determination functions within a Council. Provision for consultation between a Council and applicant during the entire development assessment process, particularly at those stages where greater reliance on qualitative/merit assessment is required. Conditions of consent are a frequent point of contention: earlier consultation as to likely conditions of consent, categorisation of conditions (eg into those required by Council and those by other agencies) etc may lead to satisfactory negotiation over disputed conditions, and thus reduce the potential for appeals. Delegation of decision-making roles to officers or committees at the lowest level possible. Where appropriate, scope for additional briefings by officers to Council committees. Briefings would be provided when required, to augment public committee meetings. Stronger linkages between Council strategic and statutory planning functions, to overcome potential problems in development assessment caused by the separation of

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strategic and assessment planners. The nature of these linkages may vary by Council, with a number of organisational options available for consideration. These may include staff rotation, a common linkage through a dedicated position at senior officer level, or structuring the two branches of planning to be answerable to the same management position.

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Step 1
Pre-Development Application Consultation
Councils identified a number of pre-lodgement procedures as constituting good practice in development assessment. Significant weight was given to the practice of formal pre-DA engagement/consultation through a Development Assessment Panel or the like, as a consultative mechanism for providing advice and a degree of certainty for applicants.

Development Assessment Panel

A Development Assessment Panel (DAP) or Pre-Development Unit or officer should, where possible, be available for pre-DA consultation and advice. Issues to be considered that may determine the form and delivery of this service include: Generally should be optional for applicant, though Council may make pre-DA consultation compulsory for specific scale/type of development Resources available to Council staff numbers, expertise and time/cost to run Level of service multi-disciplinary team or individual officer to provide advice Comprehensiveness and level of formality of advice given; use of disclaimers on advice provided Whether fees are charged to the applicant for using this service Pre-lodgement functions of a Development Assessment Panel are to: Consult with applicants prior to lodgement of development applications to provide guidance in the formulation of their proposal Identify issues which must be considered and addressed by the applicant Identify high value/significant proposals for specific attention on receipt of DA

DAP Process
Production of a DAP Practice Note or Guide indicating: Composition of Panel, which includes Assessment Officers(s) who might be required to prepare required material and undertake necessary investigations Consultation with Panel by prior appointment; appointment confirmed following receipt of any information specified by the Panel for preliminary consideration Material required for DAP consideration eg concept plans and drawings; compliance table to be prepared by applicant for consideration at pre-DA meeting The Assessment Officer to carry out preliminary assessment including inspecting the site where possible and researching planning history and applicable statutory provisions Linking pre-DA consultation with Councils property information system, to add to record of any earlier DAs, draft proposals or pre-DA discussions concerning the site Meetings Panel meeting is chaired by a senior assessment officer, or Team Leader of section processing the DA (to ensure consistency of advice) Notes/minutes are taken of the meeting, including any advice given to the developer and any agreements made at the meeting Confirmation/record of advice various options may be utilised, including: Issuing record/minutes at the end of the meeting and the applicant confirming that this record is correct i.e. participants sign off, thereby agreeing to what was discussed and what action might need to be taken Correspondence (including minutes) mailed to the applicant within three days of the panel meeting stating matters requiring attention prior to submitting the application. Copy of the minutes and correspondence placed on Council file for that property.

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Other pre-lodgement practices and assistance

Other elements of leading practice at pre-lodgement stage identified by Councils include: One-stop counter advice and plain English documentation of codes, policies and procedures are available to the general public, along with any customer service charters/guarantees and complaints mechanisms. Development application kits, including: Guidelines/requirements for specific DA types Concise summary information and checklists Information sheet on the specific nature of the development assessment process at that Council Advice on Councils adopted Notification DCP/Policy; such document to contain procedures for the receipt and consideration of objections, including any use of facilitation/mediation or independent review (eg Independent Hearing and Assessment Panels)

Best practice example Pre-DA consultation

Penrith City Council provides a pre-DA advisory service which future applicants are encouraged to utilise. This is done in a number of ways eg meetings (with the Development Panel) and submission of concept plans for Council comment prior to DA lodgement. Council has prepared a pre-DA information brochure titled Before you lodge an application with Council (available on Penrith City Councils website at www.idetermine.nsw.gov.au/facts/prelodgement.htm). It is recommended that applicants read this guide and where appropriate, seek written advice from Council before lodging a development application. The brochure mainly provides advice on the lodgement of a concept plan with the Council and the provision of pre-DA advice by Councils Development Advisory Unit. This advice may take the form of convening a formal meeting with the Units Development Panel. Concept plans: Council allows for the pre-DA lodgement (over the counter or by post) of a concept plan for certain types of development proposals and provides advice within seven days of receipt of the concept plan. The information brochure lists what level of information, as a minimum, should be included in the concept plan. The Development Panel: Councils Development Advisory Unit seeks to resolve issues up front and in ensuring that applications, when lodged, contain all necessary information so as to enable a prompt decision on the proposal. As such, the Unit will convene, when appropriate, meetings of the Development Panel where preliminary proposals can be discussed with senior planning and other technical staff. Plans and details of a proposal are required at least three days before the date of the Panel meeting. The level of plans should be similar to a concept plan. Attendance at the Panel meeting is by appointment only. Written advice of the outcomes of the Panel meeting are forwarded by Council within seven days of the meeting.

Development application kits

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Tumut Shire Council, under its Guiding Development suite of documents, provides a series of information sheets for potential applicants on development applications and the assessment process, development control plans and additional information on relevant Council and State Government controls. Woollahra Municipal Council has prepared a DA Guide, which sets out and provides information on five steps for applicants to follow in the preparation and lodgement of a development application.

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Step 2
Lodgement of Development Application (s 78A)
This step considers some of the elements and examples of current best practice adopted by Councils at the point of lodgement of a DA by an applicant.

Use of checklists
Checklist for applicant to verify completeness of development application, including where possible, the identification of: Integrated development Concurrence required Other approvals required Receiving officer checklist assessment at time of lodgement, which may take various forms depending on each individual Council: Processes range from counter administrative staff simply receiving and completing a checklist return on completeness of the application, to discussion with the applicant on the level of completeness along with advice supported or conducted by a duty planner either at the counter or on-call. A simple checklist approach might be followed by an initial assessment of the quality of the development application the day after lodgement.

Mode of lodgement
DA lodgement is face-to-face over the counter involving administrative staff receiving DA and fees and completing a checklist return on completeness of application, supported by a duty assessment officer for any queries, advice and direction to applicant. Although a number of Councils have instituted mail and internet options for lodgement of DAs, over the counter lodgement had the advantage of providing the opportunity for initial checking of the application.

Joint lodgement of DA and CC

Joint lodgement of development applications and construction certificates is an option offered by some local Councils which has several advantages: The need for amendments to development consents under section 96 of the EP&A Act, due to inconsistencies between a consent and plans accompanying a construction certificate application, is minimised. A reduction in the number of section 96 applications reduces the post consent workload of Development Assessment Officers, leaving more time for the assessment and determination of DAs. Efficiency gains of assessing and approving development applications and development consents simultaneously. Several Councils have adopted the practice of issuing a customer service charter or guarantee. While varying from Council to Council, the essential elements of this program includes a list or flow chart of Councils assessment steps and the times involved in this process. An applicant should be made aware of this program upon lodgement of application by means of appropriate written documentation.

Customer service charter/guarantee

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Acknowledgement of receipt of DA
Written acknowledgement of receipt of DA and any service charter/guarantee is given, together with an estimate of current processing time.

Best practice example Applicant checklists

Grafton City Council uses both an applicant checklist (Stages 1 and 2) and a staff checklist (Stage 3). The applicants checklist is provided at pre-DA consultation (Stage 1) or when a development application/construction certificate (CC) form is provided. The checklist includes basic details of information required for most DAs/CCs. Council requires applicants to complete the checklist before lodgement (i.e. it acts as selfassessment of DA adequacy), and staff check this upon lodgement, not accepting an application if it is inadequate in information or fees. More detailed checking then takes place at Stage 3 (Initial DA Assessment) using an additional staff checklist. Utilisation of the applicant checklist helps minimise delays by reducing the likelihood of lodgement of inadequate DAs. Canada Bay City Council requires an applicant to complete a checklist at the time of lodgement of their development application. The checklist is a part of the development application form, and consists of comprehensive and summary checklists and notes for completing a DA. Only those requirements in the comprehensive checklist that are relevant to each individual DA stage need be provided, with applicants directed to refer to the summary checklist to ascertain the relevant requirements (eg BASIX certificate, site analysis plan, survey plan etc) for each type of development (eg demolition, new single dwelling, dual occupancy, medium density housing etc).

Customer service guarantees

Deniliquin Council offers a customer service guarantee as part of its Customer First Program. Council provides a guarantee to meet certain standards with respect to the processing of development applications, modifications of consent, requests for extension of approvals, and carrying out of inspections. If an applicant believes that Council has failed to meet any of its guarantees, procedures for seeking redress are provided. Hastings Council has produced a Customer Service Charter for applicants. This document contains, inter alia, performance criteria and encourages applicants to contact Council on the level of service provided to assist in the evaluation of Council performance.

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Step 3
Initial Assessment; Public Notification/Consultation (s 79/79A) (Including Stop the clock: cl 54, 109 & 112 of the EP&A Regulation)
This step involves initial assessment of DAs lodged with Councils, instigation of referral procedures and potential use of stop the clock provisions to require additional information on a proposed development from an applicant. Elements and examples of best practice offered by Councils at this stage are listed below.

Initial assessment
Several alternatives are suggested for initial assessment of DAs: Development Assessment Panel (DAP), meeting frequently for: Initial assessment of adequacy of development applications received, to determine whether additional information is necessary and provide advice to applicant accordingly; use of stop the clock provisions if required Check estimated value of DA for fee purposes, with advice to applicant as necessary Identification of integrated, designated and advertised development Instigation of public notification and consultation process, and internal referrals Allocation to assessment officer/team; advise applicant of contact details Determine Fast Track or Major Application; determine any specific procedures for major applications. Alternatively, many of the tasks listed may be able to be done on a daily basis by a single senior officer (eg a Quality Applications Officer) Some Councils conduct frequent (possibly daily, depending on resources and time) Application Review/Allocation Meetings to review the adequacy of all information and send out standardised acknowledgement and requests for further information (stop the clock), if required.

Notification/Consultation
Councils should have a Notification DCP/Policy, which details the procedures for all Council notification (development applications, s 96 modifications etc). An applicant should be advised of a Councils Notification DCP/Policy at either Step 1 or Step 2 of the development assessment process. Use of dedicated staff for public notification/consultation procedures, separated from assessment function; standard letters advise interested parties of how they can make a submission Responsive public access methods, times and venues for inspection and Q&A sessions. In this context web-based notification might be an additional medium considered by Councils Automated property information systems (if maintained) have also been found to expedite the notification process. Notification letter templates linked to a GIS/computerised property system are utilised by some Councils. Production of weekly list of development applications received, for notice in local newspaper and advice to Councillors

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Best practice example Initial assessment

Warringah Council has established the position of Quality Applications Officer, as part of its recent review of development assessment functions. While many Councils may not receive the number of development applications nor have the staff resources of Warringah to warrant such a position, the key consideration here is that a quality applications role or responsibility be part of development assessment practice at Councils. This may be achieved through a number of other options, such as: o o o o Pre-lodgement meeting and advice service. Provision of staff training opportunities for technical and non-technical staff in Councils Development Assessment and Customers Services branches. Availability of a duty officer to undertake this role. Initial assessment of each DA by an appropriate panel (eg Development Assessment Panel).

Public notification
Leichhardt Council has adopted a threefold notification system broader community involved in the process by newspaper notice, local community through sign on site and immediate neighbours by letter. Photographs are taken of notification signs at time of installation and a copy put on the DA file. Shoalhaven City Council issues notification letters within 2-3 days of receipt and registration of a DA. The community consultation process is managed strictly in accordance with Councils adopted Community Consultation Policy. Resident briefing meetings are held as part of the consultation process if significant issues arise through this process. Canterbury City Council Draft DCP No 32 Notification Policy applies to all development in the City of Canterbury. It also applies to s 96 modification of consents, reconsideration of applications and reviews of limited consents. Draft DCP 32 is available on-line and can be accessed via Councils website, www.canterbury.nsw.gov.au.

Appropriate assessment
Lismore City Council is an example of one of the many Councils that seeks to categorise developments for the purpose of streaming for appropriate assessment. Council has produced Guidelines for Fast Track Development/Construction Certificate Applications, and uses a major projects panel for more comprehensive assessment of larger developments.

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Step 4
Consultation and Concurrence; Internal/External Referral (s 79B)
Considered in this step is statutory-required consultation with external bodies generally for concurrence or integrated development and internal referrals for specialised advice from within Council. The most important best practice factor in this step relates to communication both with referral bodies and the applicant. Significant in this context is an effective procedure for checking or monitoring referrals.

Identification of referrals
Identification of necessary referrals as early as possible (eg via Step 2 Checklists and/or Step 3 DAP reviews): S 91A referrals integrated development DAs identified in legislation or environmental planning instruments (EPIs) as requiring concurrence, consultation or further approvals (not covered by s 91A of the Act) Internal referral for specialist input and advice where required

State Government requirements

A potential problem for local Councils in this step of the development assessment process is accommodation of referrals consultation, concurrences, integrated development and requirements from special purpose EPIs which have proliferated as a result of expanded State Government requirements. Possible local Council responses include: Identification of referral issues pertaining to DAs as early as possible in the assessment process (eg through statutory checks and adequacy checks of DAs as part of the initial checking process in Step 3) so that these may be dealt with in a timely manner Development of in-house procedures for tracking integrated development and concurrences, through a regular (e.g. 14-day) monitoring of all external and internal referrals

Tracking and reporting of referrals

Implementation of effective DA tracking/progress systems has been a crucial element of development assessment best practice by several Councils. Such a system may also include tracking of internal and external referrals which can, for example, provide a trigger for the relevant Council assessment officer to follow up outstanding referrals after the elapse of a certain time period (e.g. 14 days). Ideally, DA tracking/progress systems should be Internet accessible (which is the case in Penrith and Lane Cove Councils, for example), as this is transparent to applicants and third parties Mechanisms adopted by Councils such as specific target processing times and performance monitoring (egs: status reports, random audits, annual report) may be enhanced by the following options: Consideration of sorting/streaming DAs into categories such as simple change of use, minor works, fast track and major/problem developments, to facilitate an expeditious decision Ensure that the DA monitoring system can cater for different categories of development and desired processing time. This should include provision for one-off special or major DAs, rather than merely the fast track/regular track monitoring approach.

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Internal referrals
Mechanisms for minimisation of internal referral (and hence potential for delay) include: Multi-disciplinary assessment teams, with allocated DA responsibility Cross-disciplinary staff training, so that officers are less reliant on advice from another profession e.g. staff undertake Building Code of Australia (BCA) training Dedicated fast track / major development teams It is recognised that dedicated fast track and major development teams may not work or be appropriate for every Council: Some Councils have disbanded their fast track teams and replaced these with several development units, where work is allocated by the development unit managers. This approach has the benefit of promoting multi-skilling of assessment officers in a variety of DA types. One of the benefits of dedicated fast track and major development teams is that they tend to minimise the problems individual officers may face in prioritising major or problem DAs.

Best practice example On-line DA tracking systems

Penrith City Council has an on-line DA system. Councils DA system can be viewed through the idetermine website, www.idetermine.nsw.gov.au. Shortly, applicants will be able to view their development application progress over the internet and be able to lodge requests for inspections. They will also be able to view inspection results. Lane Cove Council, in its brochure Development Assessment Information (October 2001), advises applicants and other interested parties that they can track the progress of development applications on Councils website, www.lanecove.nsw.gov.au. Woollahra Municipal Council is able to track the progress of all applications electronically, including both internal and external referrals as well as construction certificates, notice of commencement and appointment of the principal certifying authority (PCA), and all notices and orders. Council has a seamless transition in its information system from pre-DA, DA, construction certificate to commencement of works. Applicants and residents can track applications through Councils website.

Communication
Warringah Council has created two new positions of Development Assessment Liaison Officers to act as a communications link between Development Assessment Officers and stakeholders (applicants, interested residents, outside referral bodies etc). The potential advantages of this role include the minimisation of disruption to work caused by having to attend phone calls and counter inquiries, whilst improving communication with stakeholders by having an officer assigned to this responsibility. Smaller Councils that may not have the level of resourcing or volume of DAs to support a dedicated DALO, might still consider the appropriation of that role by an existing technical officer involved in the development assessment process.

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Step 5
Detailed Consideration/Assessment Planning Report (s 79C)
This step includes procedures utilised for assessment of DAs, whereby the input of various participants Council assessment officers, other Councils assessment bodies, applicants, submitters, and external referral and concurrence bodies is collated and synthesised in a DA assessment report containing recommendations to the consent authority.

Liaison with applicant

Scope for on-going liaison between the Council and applicant during the assessment phase is, generally, seen as best practice, but is influenced by: Extent of pre-DA lodgement opportunities Resourcing and staff time availability Degree of change that may occur to the submitted DA and whether re-notification will be required. In this context issues of substantially the same application v formal modification v withdrawal and fresh application, are relevant. Level of accessibility and consultation v finality of a DA and its assessment and determination It is important that documentation (eg file notes, e-mails) recording each contact between the assessment officer and applicant be kept

Separation of assessment and determination

Consideration should be given as to who in Council takes responsibility for a planning report. Issues of significance here include: Distinction between assessment responsibility and decision responsibility i.e. separation between assessment and exercise of a decision (through delegation), being separate functions Most Councils believe that a separation is necessary the standard approach is that the writer of the assessment report is responsible for the adequacy of that report and its responsiveness to relevant considerations, with another officer (usually the delegated decision-maker) reviewing, signing-off and making a determination. It is noted that for smaller/minor DAs these tasks may have to be undertaken by the same officer in smaller Councils. This model of separation of responsibilities still permits delegation of decision-making: reports may be prepared by an assessment officer, and then signed off and the DA determined by a more senior officer. Councils that do not split responsibility for assessment and determination seek to ensure consistency and impartiality through mechanisms such as an audit process (eg peer review) and the assessment officer having to fill out a checklist at the end of the report declaring that all relevant s 79C(1) matters have been considered

Assessment report quality assurance

Independent review of assessment recommendation. This may take the form of: Peer review of development application assessment reports Other forms of quality assurance, such as a checklist to be completed by the assessment officer and verified by a senior officer at various stages of the assessment process and/or upon finalisation of the planning report and recommendation

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Consistency of assessment practices and documentation can be further enhanced by the production of a Procedures Manual on how to assess development applications, which includes: Standardised DA reporting templates and checklist (including s 79C(1) matters) Practice Notes, for example on measuring planning controls such as FSR, landscaped area etc (but with the officer also having merit assessment powers if these controls are exceeded)

Release of draft report

Draft assessment report, including suggested conditions (if practicable), are available to applicants and any interested parties, prior to determination This best practice option is generally favoured however only for contentious or major developments, due to the time frame involved.

Dealing with objections dispute resolution

Utilisation of confidential alternative dispute resolution tools (eg facilitation and mediation) to resolve issues raised by objectors prior to Council determination. Range of approaches include: Applicant or objector(s) may request an internal/external facilitation by contacting the officer assessing the application The applicant and objector(s) may be invited to a facilitation, but it is at the discretion of Council that a facilitation is held If the facilitation does not result in a settlement the parties may be invited to participate in a formal mediation conference chaired by an independent mediator appointed by Council from a register of external mediators. Where Council utilises an Independent Hearing and Assessment Panel (IHAP), submissions can also be made to this body The Councils Notification DCP/Policy or DA Assessment Policy should detail the operation of alternative dispute resolution (ADR) by the Council

Expert advice/recommendations
Independent Hearing and Assessment Panels may provide a useful role in dealing with unresolved objections. Applicants and objectors may address the IHAP, which in turn makes a recommendation along with recommendation of Council staff to Council for determination of application

Best practice example Dealing with objections

Gosford City Council conducts facilitation meetings with internal facilitators when more than three objections are received. This often results in resolution of issues, which allows the application to be determined by delegation rather than having to be considered by Council. Councils procedures for facilitation are outlined in its document A Guide to Facilitation (October 1999)

Independent Hearing and Assessment Panels (IHAPs)

Liverpool City Council Council established its IHAP in 1997 to provide a forum for objectors and applicants to independently make recommendations to Council on development applications. The Panel consists of four members who represent the areas of law, environment, urban design and the community. Unresolved development applications are referred to the Panel, being applications that had received written objections, which could not to be successfully mediated.

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Fairfield City Council applications which result in objections that cannot be satisfactorily resolved at officer level are referred to the IHAP, where objectors and applicants present their case. The Panel then makes a recommendation to the Council.

Development Assessment Procedures Manual

Cessnock City Council has produced an Assessment Procedures Manual, which provides in-house advice on the assessment of DAs as well as relevant information to officers on matters of administration, DA lodgement, reporting and decision-making, modification and reviews, and other procedures. The benefits of a Development Procedures Manual include: Provision of guidance to officers in the execution of their responsibilities, including prioritisation of work tasks (eg. task that may have a statutory time period attached). Assistance to officers acting in other positions in situations of leave, resignation or retirement of work colleagues, or where Council has a job rotation or multi-skilling system in place. Creation of a framework for greater consistency in the handling DAs in the assessment process. Manifestation of accountability and transparency in the development assessment process, and that clear, objective procedures are in place in Council.

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Step 6
Decision (s 80) (Including utilisation of delegations)
Significant issues in this step include use of delegations, advising or informing applicants when decision is to be made, access to decision-making and reasons for decision.

Delegations
Council adopts policy detailing categories and levels of delegation, recognising that in principle a DA should be assessed and decided at a level which is commensurate with its complexity, scale, impact and public interest. Delegations are clear and (publicly) documented Greater certainty for applicants in terms of relevant level of decision-making Greater protection for Councils in terms of criticism over inappropriate use of delegation Ensure appropriate level of assessment (a central concept to the Integrated Development Assessment reforms introduced into Part 4 of the Environmental Planning and Assessment Act) Options for exercise of delegations: Individual delegation is not exercised by the assessment officer, but rather is exercised by someone else i.e. delegate is not writer of assessment report No officer signs off any of their own DA assessment reports all are peer reviewed Two officers sign off DA reports, one being the person exercising the delegation Specified responsibilities & timelines for Council/staff decision-making, including: Utilisation of performance indicators and benchmarking of decisional processes Keeping applicants informed Council best practice of advising applicants when and how (i.e. in which forum) Council is considering their DA. Similar advice should also be available to interested third parties DA assessment reports are available (eg on the website) to applicants and interested parties prior to determination open government.

Informing applicants of decision-making processes

Access to decision-making
The extent of consultation and third party access/participation in decision-making fora is related to the categorisation of DA based on factors such as complexity, impact etc. It should be subject to review at Step 3 of the development assessment process (Initial Assessment; Public Notification/Consultation) and subsequently as a matter of professional judgment. Options include: Objectors can only address issues not already considered Council Committee site inspections regularly held as a forum for information/discussion by Council, applicants and concerned residents/objectors Informal roundtables within regular Council meetings In Councils with an Independent Hearing and Assessment Panel applicants and objectors address DAs in this forum, rather than addressing Council Many Councils still retain ability to formally address Council/Committee, via specific case resolution

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Reasons for decision

Importance of giving reasons for decision, both when granting or refusing development consent: Natural justice informing applicant and objectors of administrative decisions To assist applicants to address the issues when seeking a review of determination Necessary for the applicant and Council at any Court appeal

Best practice example Information and access to decision-making

Leichhardt Council contacts all persons who made submissions. They are advised of the meeting at which an application will be considered, and that a report with recommendations is available 7 days beforehand, as well as how they can access the report and make further recommendations. Development Assessment reports are available for view on Councils website. No officer signs any of their own reports all are peer reviewed. Individual delegation is thus not exercised by the assessment officer, but is exercised by someone else the determining officer, assessment unit, committee or Council. Woollahra Municipal Council places all development assessment reports on its website prior to determination, enabling access for applicants and other interested parties. The determination including reasons and/or conditions is subsequently also placed on the website.

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Step 7
Issue of Determination (reasons or conditions); Notification (ss 80A, 81)
This step relates to the imposition of conditions in determining an application by granting consent, and post-determination notification of applicants and others required by the Act and Regulation.

Conditions of consent
Determination categorises conditions: Standard conditions of consent should be prepared, with variations/additions as required for the application Conditions to be grouped by timeframe for implementation and into logical categories of type Standard conditions of consent readily available to applicants before lodgement (Step 1), to minimise potential for later dispute Conditions of consent should include: General terms of approval from integrated approval bodies (eg authorisation under section 100B of the Rural Fires Act 1997 from the Commissioner of the NSW Rural Fire Service) Terms of approval from concurrence bodies, including requirement for other (nonintegrated development) approvals (eg Waterways Authority under s 13TA of the Maritime Services Act 1935)

Notice of determination
Notice of determination should give advice regarding Councils requirements if further applications are necessary Include advisory notes to inform applicants of other authorities and their requirements relevant to development applications; these may also be incorporated into the conditions of consent where appropriate Give clear statement of duration of the development consent (i.e. 2, 3, 4 or 5 years) and why, together with the specific date of commencement of consent Notice of determination identifies requirement for s 96 modification of consent if applicant wishes to amend plans Ensure that the applicant is advised at the time of issue of determination, of the requisite post-consent process, such as: Need for construction certificate prior to commencement of work (i.e. development consent does not give approval to build) Need for other certificates Identify rights of review of determination by Council Appeal rights to the Land and Environment Court Notice of Commencement of Building or Subdivision Work and Appointment of PCA

Advice to the public

Persons who made a submission on a development application are advised of the decision, including: Conditions of any consent

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Reasons for any refusal Rights and limitations for any appeal and judicial review Public notice of determination of application given in local newspaper Minutes of Council panel/committee/meeting that made decision publicly available (eg on Councils website).

Best practice examples Conditions of consent

Leichhardt Council categorises conditions of consent in its determination. For example, it lists those conditions that must be: satisfied before a construction certificate is issued; completed before work commences; complied with during construction; complied with before the building is occupied; satisfied before a subdivision certificate is issued; conditions that are ongoing requirements of development consent; and prescribed conditions (i.e. required by the BCA or legislation). This practice may, for example, enable an applicant to proceed to construction while some conditions are still in dispute. This practice is essential for clear identification of responsibilities, particularly between Council and an accredited certifier acting as the PCA,

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Step 8
Post Determination (s 82A Review of determination; s 95A extension; s 96 modification; s 96A revocation); Appeal (s 97/98)
Participant Councils indicated that post determination procedures in particular are a mixture of generic best practice and management issues specific to each Council. Elements, which may be characterised as leading practice in the post determination stage of the development assessment process, are outlined below.

Review of Council determination

S 82A review procedures outlined in appropriate Council document, such as DCP on notification procedure or practice note (eg Cessnock City Council process outlined below), including new information required Process of public notification in s 82A procedure. For example, where no new information is required/provided original submitters are advised of what meeting the matter will be considered. At the time of preparing this guideline document, it is noted that best practice is potentially affected by legislative review of s 82A, following a review of the Land and Environment Court of NSW.

S 96 modification procedures
S 96 modification procedures: Need clear procedures for applicants and residents as to when a change to development consent requires a s 96 application Procedures involved eg whether notification is required, and if so, notification procedures Relevant determining body i.e. under delegation to Council officer, committee or full Council

Appeals
Consider use of alternative dispute resolution methods pre and post any decisional reviews, including when an appeal is lodged Independent legal advice provided to Council on controversial matters (on deemed refusal appeal) about strength of case before Council makes a decision to defend the appeal Management of the appeals process; some options include: Separate management of appeal process from assessment process eg in-house legal manager takes the day-to-day management of appeals outside of the assessment function Alternatively, some Councils see the management of the appeal process as an issue for the individual Council in terms of resource levels, skills and training, and volume of applications and appeals: i.e. an individual management issue rather than best practice

General
The usefulness of applicant/customer satisfaction surveys for process/procedure feedback to Council. The content, logistics, timing and subsequent utilisation of surveys is at Councils discretion

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Best practice example Amended consents and determination reviews

Cessnock City Council has produced a Development Practice Note on Amended Consents and Determination Reviews (November 2001). The goal of this practice note is to ensure that all applications for amendment and review are dealt with in a manner that promotes equity, rationality and fosters the process of peer review. The practice note describes the process of review of a determination, whether it is a refusal or conditional approval. It also relates that the Council has a Planning Review Committee, which acts in those circumstances where there remains disagreement between the Council and the applicant. The process for applications lodged under s82 (and s96 as well) of the Act is as follows: 1. Applicant lodges application (within twenty eight (28) days of determination for s 82A Reviews) including payment of the prescribed fee. A standard application form is attached. The application is registered by the Administration Unit (records). 2. The application is reviewed by an officer who did not deal with the original application. This is to be determined by the Local Development Co-ordinator (LDC)/Development Services Manager (DSM). This officer is not to be subordinate to the original officer (see Note 1). 3. If an amendment or review has to be referred to another department or section of the Council, it is to be done through the applications processing section, which will notate the computer system for tracking purposes. 4. The review modification is to be reported to the Development Assessment Unit (DAU) except where it was originally determined by Council. 5. If the DAU does not support the review sought by the applicant, the matter is referred to the Development Services Manager for endorsement. The applicant will then be given an Intention to Refuse notice giving fourteen (14) days to appeal to the Planning Review Committee. If no appeal is lodged, the determination will be issued. 6. If the applicant appeals, the matter proceeds to the PRC (refer to the Planning Review Committee Policy which is attached for procedures). The practice note also allows that if the amendment to the approval is sought under s 96 of the Act as a minor amendment, or another amendment not related to conditions of approval, the original processing officer can deal with the matter.

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Step 9
Development Commencement Follow-up and Finalisation (including Construction Certificate, appointment of PCA, Occupation Certificate etc.)
Involved in this step is action that must be taken by Councils and accredited certifiers to commence and thence complete development, including according to terms of consent granted by Council and compliance with mandatory critical stage inspection requirements

Information provided
Information brochure on Construction Certificate requirements available to applicant at any stage in the development assessment process. Contents of information brochure may include: When, to whom, and how to apply, for a Construction Certificate Information required with a Construction Certificate (eg detailed plans and building specifications, as set out in s 81A(2) of the Act Supporting information such as copies of compliance certificates relied on, the provision of fire safety and fire resistant construction, and alternative solutions if proposal does not meet the deemed to satisfy provisions of the BCA Information brochure for appointing a PCA, including matters required by the Environmental Planning and Assessment Amendment (Quality of Construction) Act 2003 [QOC Act], such as mandatory critical stage inspections Opportunity is provided for information/Q&A meeting with applicant re post development consent documentation/certification

Use of checklists
Checklists for Construction Certificate, Occupation Certificate and Subdivision Certificate where relevant, for both private and Council certification Checklist for accredited certifier submissions, including checking accreditation of accredited certifier and the completeness of documentation provided in accordance with the Regulation and conditions Systems to ensure timely payment of further fees, bonds, deposits and s 94 contributions; normally follow up of all monies payable is done at Notice of Commencement stage Timeline monitoring and completion system Monitoring for development completion/sign-off with policy/process to detect and address breaches, deficiencies etc at the relevant stage and in a commensurate way Dedicated monitoring/inspection function (computer-aided where possible or relevant) Carry out site inspections (eg upon receipt of Notice of Commencement), to ensure compliance with conditions of consent and construction certificate(s), including developments where an external Principal Certifying Authority is used Mandatory QOC Act requirements now impose greater onus (and hence resourcing) on post-consent/construction phase of the development process (eg role of PCA, change of PCA, mandatory inspections, compliance with any preconditions required by a development consent or Complying Development Certificate prior to issue of Occupation Certificate or Subdivision Certificate)

Monitoring/inspections

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Dispute resolution systems, including recourse to powers available under Parts 4A and 6 of the Environmental Planning and Assessment Act powers if problems persist with applicants or builders

Post Building/Completion Audit

A Post Building/Completion Audit is used by some Councils: Involves an assessment of the resultant development against the objectives and requirements of Councils strategic/statutory documents is conducted as part of quality review/systems review Provides a link between development assessment and strategic planning by Council

Best practice example Post-determination meetings

Gosford City Council conducts post-determination meetings with consultants preparing documentation for construction certificates.

Post-building audit
Sutherland Council conducts what is effectively a further step in the development assessment process, in the form of a post-building audit. A major aim of this step is to provide a link between development assessment and Councils strategic planning, by enabling a comparison of development outcomes with Councils adopted planning controls.

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Appendix 1
Major statutory changes to the local development assessment process in NSW since January 2003
Building Legislation (Quality of Construction) Act 2002 Environmental Planning and Assessment Amendment (Quality of Construction) Act 2003 Environmental Planning and Assessment Amendment (Quality of Construction) Regulation 2004 Environmental Planning and Assessment Amendment (Building Sustainability Index: BASIX) Regulation 2004 State Environmental Planning Policy (Building Sustainability Index: BASIX) 2004 State Environmental Planning Policy (Repeal of Concurrence and Referral Provisions) 2004

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Appendix 2
Participating Local Councils (Survey 1st edition)
Armidale Dumaresq Council Barraba Shire Council Bega Valley Shire Council Blacktown City Council Bland Shire Council Byron Shire Council Campbelltown City Council Canterbury City Council Carrathool Shire Council Cessnock City Council Cobar Council Coffs Harbour City Council Coolah Shire Council Deniliquin Council Fairfield City Council Gosford City Council Grafton City Council Gunnedah Shire Council Guyra Shire Council Hastings Council Inverell Shire Council Kempsey Shire Council Kyogle Council Lane Cove Council Leeton Shire Council Leichhardt Council Lismore City Council Liverpool City Council Lockhart Shire Council Maclean Shire Council Murray Shire Council Narromine Shire Council Parramatta City Council Penrith City Council Randwick City Council Rylstone Shire Council Shoalhaven City Council Sutherland Shire Council Tamworth City Council Tumut Shire Council Urana Shire Council Warringah Council Wentworth Shire Council Woollahra Council Young Shire Council

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Appendix 3
Links to other useful web sites
Department of Infrastructure, Planning and Natural Resources (DIPNR): www.dipnr.nsw.gov.au/ Land and Environment Court: www.agd.nsw.gov.au/lec Department of Local Government: www.dlg.nsw.gov.au/dlg/dlghome/dlg_home.asp National Development Assessment Forum: www.daf.gov.au/ LgovNSW: www.lgov.org.au/site/ Planning Institute of Australia (NSW Div.): www.nswplanning.org.au/pia/general_pages/home.asp Landcom: www.landcom.com.au/index.html

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