Publication and submission of a development plan document: sustainability appraisal

The sustainability appraisal report on the draft development plan document is a key part of the appraisal process. It provides the public with information on the effects of the plan (and the alternatives). This means the public is fully informed when they are consulted and are able to comment both on the plan, the alternatives and their appraisal.

• The sustainability appraisal report
• Consulting on the draft plan and the sustainability appraisal report
• Making significant changes
• The sustainability appraisal report at submission stage (Regulation 30)

The sustainability appraisal report

At publication, the local authority must produce and publish the sustainability appraisal report alongside the draft development plan document. This should set out how the appraisal was carried out and how options were assessed and carried forward. You can publish the sustainability appraisal report and the draft plan together in one document, or separately. Either way, the relationship between the two documents should be explained.

Signposting and options not taken forward

The sustainability appraisal report should 'signpost' where it provides information required by the SEA Directive. You may also find it useful to clearly set out, in a table or other format, how the sustainability appraisal has influenced the content of the plan.

The sustainability appraisal report should indicate clearly which options were not taken forward. It should also draw on the evidence base and appraisals to show why they were not pursued. You must indicate the more favourable appraisals in support of the options that have been taken forward to form the draft development plan document. You must also issue a non-technical summary of the sustainability appraisal report. 

Consulting on the draft plan and the sustainability appraisal report

At this stage, consultees are invited to consider both the draft development plan document and accompanying sustainability appraisal report. They can make representations on the soundness of the development plan document (refer to 4.36 to 4.38 and 4.44 to 4.47 of PPS12). Representations may take into account whether the development plan document is:

• founded on a robust and credible evidence base
• justified - the most appropriate strategy when considered against the reasonable alternatives  
• effective - deliverable, flexible and able to be monitored 
• consistent with national policy.

Making significant changes

The more robust the consultation and engagement processes when the plan was being drawn up, the less likely it is that changes will later be needed to the development plan document. Regulation 28 requires a local authority to prepare a summary of the main issues raised by the representations.

Where matters of soundness have been raised and the local authority wants to amend the plan, any changes should be appraised and the sustainability appraisal report updated, or a supplementary report produced. Changes that are not significant will not require further sustainability appraisal work.

Where significant changes are made at this stage, these should be published to provide an opportunity for representations to be made on the changes. The inspector will then take them into account at the examination. It would be helpful for anyone proposing changes to provide information on the effects of their proposed changes. Additionally, it is also helpful to provide this material to the local authority in any revisions undertaken at this stage to the sustainability appraisal.

A change, such as a new site, may be identified at a late stage in the development plan progress. In this case the promoter of the new site will need to collate the relevant sustainability appraisal information. You should allow sufficient time to consult with the public on the proposal and appraisal well in advance of submission. 

Changes with significant sustainability effects

Where proposed changes to a development plan document  have significant sustainability effects, you will need to make relevant sustainability appraisal information available. This information must be consistent with the scope and level of detail of the sustainability appraisal conducted by the local authority. It should also refer to the same baseline information in identifying the likely significant effects of the revised policy or new site.

The sustainability appraisal report at submission stage (Regulation 30)

Regulation 30 requires submission of the sustainability appraisal report and any revisions or supplements to it to the Secretary of State alongside the draft development plan document. A statement must also be provided setting out:

• who has been consulted throughout plan preparation
• how they have been involved 
• a summary of the main issues raised 
• how the main issues have been taken into account as a result of consultation undertaken under Regulation 25.