Soundness self-assessment toolkit

Please note: The revocation of regional spatial strategies (RSS) was announced by parliamentary statement on 6 July 2010. Abolition of RSS will be taken forward through the "Localism Bill" later this year.

For now, please ignore questions 11 and 12 in the 'soundness' part of the toolkit. We are planning a comprehensive review of the soundness toolkit that will incorporate any changes introduced by the new government. We will also be using this as an opportunity to simplify and improve the usability of the self-assessment toolkit.  If you would like to contribute to this review please email john.chantler@local.gov.uk.  

FAQ on the abolition of RSS - on the Communities and Local Government website

Plan making is about more than just achieving soundness. It is important to prepare a good spatial plan that successfully addresses the key issues for your area.

Use the soundness self assessment toolkit to help ensure:

• evidence requirements are met
• compliance with statutory requirements 

The toolkit reflects the revised PPS12, the Plan Making Manual and Local Development Framework Regulations (and the Amendments).

Try to keep the evidence gathered concise: signpost it with hyperlinks rather than copying documents out in full. However, where no document exists that can adequately answer a key question, you can write a brief statement as an answer.

• Soundness tool
• Legal compliance tool
• PINS and the soundness self-assessment toolkit
• Disclaimer
• Change log

Soundness toolkit

Download the Soundness tool (10 pages, Word document, 236KB)

Key considerations:

• designed for your core strategy, the key plan within the LDF
• structure based directly on the tests of soundness and key questions in the Planning Inspectorate's guidance on the framework for assessing soundness.
• assumes two phases of plan preparation: 'frontloading' and 'formulation'

PINs guidance on the framework for assessing soundness - on the PINs website

Providing evidence

Where possible, you should provide references to the following forms of evidence:

• the development plan document (DPD)
• documents prepared as part of DPD preparation (for example, the
• sustainability appraisal report and the consultation statement)
• reports to cabinet or committee (if applicable)
• technical studies or other supporting documents
• documents used in community involvement – includes consultation letters, publicity material and consultation documents used during the preparation of the DPD.

For larger evidence documents – such as the sustainability report, preferred strategy report, surveys and studies – you can refer to the specific section of the document which provides the information.

DPD Structure

We suggest structuring your development plan document to address the relevant key questions in the PINS guidance. Any documents that contribute to its preparation – the preferred strategy report, the sustainability report and the consultation statement – should also follow this format. For example, this may mean including appropriate text to show that national policy has been followed. Councils should also present conclusions in ways that can be easily referred to in the self-assessment statement as proof of evidence. 

Legal compliance toolkit

Download the Legal compliance tool (29 pages, Word document, 353KB)

Key considerations:

• assumes two phases of plan preparation: 'frontloading' and 'formulation'
• concentrates on the requirements for DPD preparation and sustainability appraisal
• is aligned with the seven questions set out in the Planning Inspectorate's guidance on the framework for assessing soundness.
• does not refer any specific requirements under other legislation, such as the appropriate assessment process.

Structure

This tool takes a chronological approach to DPD preparation. There are five checklists with headings that reflect the broad stages:

1. Inception – planning the production of the DPD
2. Preparation – frontloading phase
3. Preparation – formulation phase
4. Publication – to enable representations to be made
5. Submission – to the Secretary of State

The regulations and PPS12 provide for flexibility. This means that these are not strictly defined stages, and that you should apply common sense when using the tool. While legal compliance is a requirement, the preparation of the DPD should be proportional to the issues.

Providing evidence

Where possible, you should provide references in the soundness tool to the following forms of evidence:

• references to the DPD
• documents prepared as part of DPD preparation (for example, the sustainability appraisal report and the consultation statement)
• statutory notices and other similar documents 
• representations – normally from participation on the preferred strategy (in the case of a core strategy), but also responses from community/stakeholders including consultation letters, publicity
• material and consultation documents used during the preparation of the development plan document.

We suggest that the council should collect all proof of legal requirements being met in a separate file (hard copy or electronic). The documents can be filed at the same time as the corresponding entry is made in the ‘Evidence provided’ column.

Entries in the checklists in bold refer to matters which are non-statutory but expected of councils, such as the supply of documents to government offices.

PINS and the soundness self-assessment toolkit

The Planning Inspectorate (PINS) strongly urges councils to conduct a self-assessment using this toolkit. However, the toolkit is advisory and not a regulatory requirement. Councils should choose the most effective approach to prepare a robust spatial plan.

You are not required to provide this self-assessment to the inspector. If you wish to do so, we suggest you send it by email or in CD/DVD format.

The Planning Inspectorate has also published further guidance on soundness. To find out more, visit www.planning-inspectorate.gov.uk.

Disclaimer

We have tried to ensure that this toolkit accurately reflects legal requirements and robust approaches to the various aspects of development plan document preparation. However, interpretation of legislation is ultimately a matter for the courts: you should not rely solely on the use of this toolkit or the checklists within it. 

Your council should satisfy itself that it is using the correct procedure and is in compliance with the relevant legislation. The council may also be subject to requirements from legislation other than the Act, which are not covered by the toolkit.

We recommend that the council’s own legal department is involved at all stages in the process of developing the development plan document.

Change log

This log does not record any minor changes to spelling, grammar or images. The date a page was last updated is recorded at the bottom of each page.

08 December 2008

Legal compliance toolkit: in the introduction to stage four: publication, the bullet point beginning 'comply with the requirements of the statement of community interest care' now reads 'community involvement'.

08 December 2008

Legal compliance toolkit: last entry under 'Activity' of stage four: publication in the checklist, "have you requested the opinion...with the regional spatial strategy (or sustainable development strategy)?" now reads "have you requested the opinion...with the regional spatial strategy (or spatial development strategy)?"