Effective community engagement in local development planning guidance: consultation

Stage By Stage Engagement

1. Preparing the Development Plan Scheme and Participation Statement^[34]

Stage: Evidence Gathering

Timing: Annual (minimum) - or as directed by Scottish Ministers.

Engagement Level: Inform / Involve

1.1. The purpose at this stage is to involve people by seeking and having regard to views of the public on the Participation Statement.

1.2. The first Development Plan Scheme (DPS) and Participation Statement before the beginning of the local development plan preparation cycle will be the focus for engagement activity. Advance stakeholder analysis by the planning authority can help identify relevant interests. Stakeholders can tell the planning authority how they think they can support the plan preparation and what effective forms of engagement with them are.

1.3. Subsequent DPS may require fewer forms of engagement. They may be more about informing stakeholders but still offer an opportunity to improve effectiveness of engagement through involvement, enabling the exchange of views on the effectiveness of engagement methods so far and for including stakeholders not previously identified.

1.4. A 'you said we did' type approach to reporting on the engagement ahead of publishing the DPS, could help provide transparency and confidence in the process.

1.5. The DPS Participation Statement will be the means of reporting (publishing) that the planning authority has met its statutory engagement requirements for children and young people.^[35]

1.6. Stakeholders approached should be relevant to the local circumstances but could include:^[36]

• disabled people and representative organisations - such as local access panels;
• Gypsies and Travellers and representative organisations;
• children and young people and representative organisations - including: schools, youth councils, youth parliament representatives, further and higher education establishments, parents and carers, families with young children;
• women and girls - plus representative organisations;
• men and boys - plus representative organisations;
• older people and representative organisations;
• Black, Asian, and Minority Ethnic (BAME) people and representative organisations;
• other protected characteristics - individuals and representative organisations;
• communities impacted by socio-economic disadvantage;
• Showpeople;
• community bodies - including those who have registered a local place plan^[37] or - where known - expressed an interest in registering a local place plan;
• community councils;
• development trusts;
• tenants and residents associations; and
• amenity organisations - including for: built environment, sports, heritage, cultural, and natural environment.

1.7. For engaging with children and young people^[38] planning authorities should:

• be informed by reference to 'Decision Making: Children and Young People's Participation Guidance'^[39];
• consult local authority guidance relating to children and young people;
• tailor engagement to the needs of the groups; and
• adhere to latest guidance for protecting vulnerable groups.

1.8. For engaging with schools^[37] planning authorities should:

• liaise with the local authority's education services department;
• utilise existing frameworks for engagement between schools and the council; and
• consider opportunities for engagement at different development plan preparation stages. These could be linked to Open Space Strategy and Play Sufficiency Assessment consultation requirements to reduce consultation load.

1.9. For engaging with youth councils^[37] planning authorities should:

• liaise with the relevant local authority department; and
• where possible utilise existing forums / frameworks for engagement with youth councils (which may operate under a different name e.g. (local) youth parliament).

1.10. For engaging with Scottish Youth Parliament representatives^[37] planning authorities should:

• identify the Scottish Youth Parliament constituencies covered by the local development plan;
• identify the organisations operating in the local development plan area that have a Scottish Youth Parliament representative. These can be found from the Scottish Youth Parliament website and currently include:^[40] The Boys' Brigade, Carers Trust, Church of Scotland; Federation of Student Islamic Societies, Girlguiding Scotland, LGBT Youth Scotland, RNIB Haggeye, Scripture Union, Scouts Scotland, Who Cares Scotland, and YMCA Scotland; and
• liaise with the Scottish Youth Parliament via hello@syp.org.uk, including the name / constituency / voluntary organisation of the Member of the Scottish Youth Parliament (MSYP).

Publication requirements

1.11. The planning authority will:^[41]

• send two copies to the Scottish Ministers;
• publish the DPS (this includes publication by electronic means / on the internet); and
• place a copy in any public library in the area to which it applies.

1.12. Planning authorities are required to publish and keep the information relating to engagement with children and young people up to date.^[42] Publication and annual update of the DPS fulfils this requirement where the engagement activities with children and young people have been set out and recorded there.

2. Inviting Communities to Prepare a Local Place Plan^[43]

Stage: Evidence Gathering

Timing: The statutory minimum is to undertake this before the local development plan is prepared. It is suggested that the timing should ideally allow for validation and registration of a local place plan in time to inform the evidence report stage of the local development plan. The evidence report is required to set out how planning authorities have invited the preparation of local place plans and the assistance offered for their preparation.^[44] Seeking local place plans beyond the evidence report stage would mean such plans could not be reflected in the evidence report, although they will still be a valid consideration.

Engagement Level: Inform / Involve / Empower

2.1. The purpose of issuing the invitation is to inform community bodies that they are invited to prepare a local place plan. This is a means to involve communities in the preparation of the local development plan. Local place plans offer a route to empower communities as it is community bodies who will decide on the content of the local place plan they prepare. Planning authorities are required to take registered local place plans into account in preparing the local development plan.

2.2. The invitation is also to inform community bodies about the assistance available to them to prepare local place plans. Planning authorities may wish to refer community bodies to resources such as 'Circular 1/2022: Local Place Plans',^[45] and the Our Place website.

2.3. It is not anticipated that planning authorities would need to engage with stakeholders specifically on the content of the invitation but may want to reach out to known groups to discuss the timing.

Publication requirements

2.4. Publication of a stand-alone invitation on the planning authority website is recommended in addition to inclusion of the timing within the Development Plan Scheme. This will inform community bodies of when the period to submit local place plans will be. The Development Plan Scheme / Participation Statement alone is unlikely to be sufficient to meet the invitation requirements. Other outlets (where data protection requirements are met) could include, for example:

• local authority social media;
• council newsletters;
• posters in public buildings;
• direct contact with groups and organisations - including those identified in preparing the Development Plan Scheme;
• community planning partnerships;
• local authority Third Sector Interface;
• community councils;
• community bodies with registered local place plans;
• organisations previously expressing an interest in preparing a local place plan; and
• as part of a 'call for ideas' by the planning authority - if undertaken at an appropriate point.

3. Preparing the Evidence Report^[46]

Stage: Evidence Gathering

Timing: The evidence report precedes plan preparation.

Engagement Level: Inform / Involve

3.1. Planning authorities should involve communities in the creation of the evidence report.

3.2. At this stage planning authorities are to seek the views of:

• children and young people – including school pupils, youth councillors and youth parliament representatives;
• the public;
• disabled people;
• Gypsies and Travellers;
• community councils;
• key agencies; and
• other persons prescribed.

3.3. The evidence report is to include commentary on how communities have been invited to prepare local place plans and the assistance provided to them. It will also include a statement on how stakeholder views were sought and taken into account. This helps to inform communities.

3.4. The 'evidence report structure' set out in the Local Development Planning Guidance^[47] helps provide transparency in setting out the evidence received, how it has been handled, and its implications. This is a structured form of a 'you said we did' approach.

Supporting information – associated consultation requirements

3.5. The following information supports the evidence report:

• Open Space Strategies^[48] - Draft regulations set out further detail on minimum requirements for engagement including with children and young people, older people, disabled people, key agencies, community councils, the public, and any other persons or community bodies considered appropriate by the planning authority. If the planning authority is within the Central Scotland Green Network, then the Green Action Trust should be consulted on the Open Space Strategy. Engagement may be undertaken in parallel with that for Play Sufficiency Assessments (see below) and is to involve communities;
• Play Sufficiency Assessments^[49] - Regulations set out requirements for engagement including with children, parents and carers, community councils, the public, and any other persons or community bodies considered appropriate by the planning authority. Engagement may be undertaken in parallel with that for the Open Space Strategy and is to collaborate with communities; and
• Forestry and Woodland Strategies^[50] - Requirements to consult organisations as appropriate are set out in the Town and Country Planning (Scotland) 1997 Act (as amended).

Publication requirements

3.6. There is no requirement to undertake a formal consultation on the content of the evidence report. The completed evidence report is subsequently published alongside the proposed local development plan.

4. Gate Check^[51]

Stage: Evidence Gathering

Timing: The gate check follows submission of the evidence report to Ministers.

Engagement Level: Consult (where necessary)

4.1. A gate check about whether the evidence report contains sufficient information is undertaken by an appointed person.

4.2. Where it is considered that the evidence report does not contain sufficient information, an 'assessment report' is prepared. Community views are important in the preparation of the evidence report so that views on its sufficiency can be considered. Where stakeholders are agreed on an issue, it is unlikely that this will be considered further. Where disputes remain, different views expressed may be considered in reaching a view on the sufficiency of the information in the evidence report. The appointed person leading the gate check may consult with certain stakeholders either in writing or through a hearing.

Publication requirements

4.3. An assessment report is prepared only where necessary. Where such a report is not required, notification of that decision is necessary. The report or notification is provided to the planning authority and to Scottish Ministers.

5. Preparing the Proposed Local Development Plan

Stage: Plan Preparation

Timing: There is no legislative requirement on the timing of the preparation of the proposed local development plan (the proposed plan) following the evidence report.

Engagement Level: Involve / Collaborate

5.1. Planning authorities are responsible for preparing the proposed plan for consultation.

5.2. In doing so, they are encouraged to involve - and if possible - collaborate with communities. This may help to develop an understanding of any conflicting or competing views expressed at the evidence report and gate check stages.

5.3. Having regard to registered local place plans in the preparation of the proposed plan may provide an opportunity to develop engagement in this way.

5.4. Collaboration on options and alternatives early in this stage may be beneficial, also informing the statutory assessments, in particular the Strategic Environmental Assessment.

5.5. Planning authorities may wish to further involve people through an open 'Call for Ideas' to inform the proposed plan.

5.6. Certain themes, for example local living and 20 minute neighbourhoods are more likely to be of greater interest to communities for collaboration than others. Relevant issues and areas to focus on will vary depending on the local context.

5.7. Engagement at this stage could help planning authorities and communities collaborate to build a shared dialogue and understanding of matters raised and the decisions to be made ahead of the consultation on the proposed plan.

Publication requirements

5.8. There are no defined publication requirements at this stage.

6. Consulting on the Proposed Local Development Plan

Stage: Plan Preparation

Timing: Minimum 12 week consultation period, as set out in the Development Plan Scheme.

Engagement Level: Inform / Consult

6.1. The planning authority should consult with communities on the published proposed local development plan (the proposed plan). This provides an opportunity for communities to respond formally to the content of the plan.

6.2. The consultation approach should meet the needs of those being consulted, which was considered as part of the preparation of the Development Plan Scheme and Participation Statement.

6.3. The planning authority should inform those groups who are required as a minimum to be involved in the local development plan^[52] that the consultation is open, and consult in accordance with the Development Plan Scheme and Participation Statement.

6.4. The community-related groups include:

• children and young people and representative organisations - including schools / school pupils, youth councils / councillors, and youth parliament representatives. Although not required by legislation, also usefully included are further and higher education establishments, parents and carers, and families with young children;
• disabled persons;
• Gypsies and Travellers;
• community councils; and
• community bodies.

6.5. The 1997 Act also refers to other community-related groups that are affected by the planning system beyond those listed above, including:

• older people and their families;
• carers;
• social work; and
• health and social care.

Publication requirements

6.6. Minimum - Notice of the publication of the proposed plan for consultation to be sent to:

• key agencies;
• Scottish Ministers;
• adjoining planning authorities to the plan area;
• community councils any part of whose area is within the local development plan area; and
• published in a local newspaper and on the internet.

6.7. A copy of the proposed local development plan must be made available at:

• an office of the planning authority;
• in every public library in the local development plan area; and
• published on the internet.

6.8. Neighbours that may be significantly affected by development proposals will be notified of the proposed local development plan.

6.9. It is suggested that notice of the publication of the proposed plan for consultation is also sent to all those involved in the preparation of the proposed plan as well as to relevant public bodies.

6.10. The evidence report (stage 3) and proposed delivery programme (stage 9) are also published alongside the proposed plan.

Impact assessments

6.11. This is also an important stage to inform communities about the effects of the plan and, where required, for consulting on impact assessments. Further guidance on this is available:

• Strategic Environmental Assessment;
• Habitats Regulations Appraisal;
• Public Sector Equality Duty;
• Fairer Scotland Duty;
• Island Communities Impact Assessment; and
• Children's Rights and Wellbeing Impact Assessment.

7. Modifying the Proposed Local Development Plan and Examination^[53]

Stage: Plan Preparation

Timing: Modifications will be considered following the close of the consultation period set out in the Development Plan Scheme. A planning authority does not have to modify the plan. Where there are representations that cannot be resolved through modifications, a planning authority may seek an independent examination of the plan. Scottish Ministers may also instruct that an examination is to be undertaken where the planning authority has not modified the plan. Where an examination is held, the plan cannot be finalised until the examination is concluded.

Engagement Level: Inform / Consult / Involve

7.1. The modifications stage is an opportunity for the planning authority to involve communities by working with them to understand the matters raised and what an appropriate solution may be, including consideration of differing views.

7.2. Not all matters raised will need to further involve communities, as the matters raised and a way forward may be clear and uncontentious.

7.3. Where an examination of the plan is held, the person appointed to oversee the examination may require further information to fully understand the representations made on the proposed plan that form part of the matters to be considered. This is a form of consultation with relevant stakeholders, where the information is usually invited in writing but in some cases a hearing may be required to enable discussion on specific matters. (There are engagement aspects related to examination in the Town and Country Planning (Scotland) Act Sections 18, 19, 19ZA and 19A).

7.4. Where an examination has been held, the Reporter (person appointed to oversee the examination) will publish an examination report, including recommendations for modifications to the proposed local development plan. This will inform those involved of how their comments have been addressed at examination and about the recommended further modifications to the plan.

7.5. Planning authorities will inform communities of the modifications made in response to the representations made to the plan, or in response to the recommendations of an examination or Direction from Scottish Ministers, by publishing a 'modification report' and notifying those who made representations to the plan about it at the adoption stage (stage 8). Where a planning authority is not accepting the recommendations of an examination, then it must publish a 'recommended modifications statement' at the adoption stage (stage 8).

Publication requirements

7.6. Minimum - Send to the Scottish Ministers:

• the proposed local development plan (as modified);
• a report on the consultation and involvement of the public to meet or go beyond the Participation Statement;
• the proposed delivery programme; and
• a report of modifications made and reasons for making them.

The documents listed above should also be published.

7.7. Where an examination is to happen, the planning authority will:

• advertise the examination in a local newspaper;
• advertise the examination in local public libraries; and
• notify everyone who made representations to the proposed plan about the examination.

7.8. The person appointed to undertake the examination will:

• publish the examination report;
• submit it to the planning authority; and
• make relevant notifications to inform people about the examination report.

8. Adopting the Local Development Plan

Stage: Delivery

Timing: As set out in the Development Plan Scheme. The planning authority cannot adopt the local development plan until 28 days have passed since they submitted the plan to the Scottish Ministers, or until an examination report has been received following an examination of the plan.

Engagement Level: Inform

8.1. The planning authority is at this stage required to inform people that the local development plan has been adopted.

Publication Requirements

8.2. The planning authority will:

• send two copies to the Scottish Ministers;
• publish the plan;
• place a copy in each public library in the plan area;
• notify those that have made a representation to the proposed local development plan or the examination, stating that the plan can be seen in a public library and electronically including on the internet;
• place an advertisement in a local newspaper which states that the plan can be seen in a public library and electronically including on the internet;
• publish the 'modification report' (where needed); and
• publish the 'recommended modifications statement' (where needed).

9. Delivery Programme

Stage: Delivery

Timing: The proposed delivery programme should accompany the proposed plan. The adopted delivery programme is to be published within 3 months of the local development plan adoption and every two years after that.

Engagement Level: Inform / Collaborate

9.1. In preparing the delivery programme, planning authorities should collaborate with anyone named in it and those responsible for delivering it. A proposed delivery programme must accompany the proposed plan.

9.2. Publishing notification of the delivery programme and making copies available will inform people about the delivery of the plan.

Publication requirements

9.3. Proposed delivery programme:

• notice in a local newspaper and on the internet;
• copy available in an office of the planning authority;
• copy available in each public library in the local development plan area; and
• copy published on the internet.

9.4. Adopted delivery programme:

• two copies sent to Scottish Ministers; and
• copy available in each public library in the local development plan area.

Question 3 - Do you agree that the appropriate levels of engagement have been identified for the stages of local development plan preparation?

• Yes
• No
• No view
• Please comment on your answer (particularly if you do not agree).

10. Impact Assessments

10.1. This guidance does not replicate statutory requirements or associated guidance relating to statutory and non-statutory impact assessments. The broad requirements are summarised in Table 3 below.

Table 3: Local development plan preparation stages and associated statutory impact assessments summary

Assessment	Public Sector Equality Duty Assessment	Fairer Scotland Duty Assessment	Island Communities Impact Assessment	Strategic Environmental Assessment
Stage: Evidence Gathering
Early Preparation	Screening, Scoping	Planning Evidence	Develop a clear understanding, gather data and identify stakeholders	-
Evidence Report	-	Evidence	Consult	Prepare and submit SEA Scoping Report to consultation authorities
Gate Check	-	-	-	-
Stage: Plan Preparation
Plan Preparation	Analysing impact	Assessment and Improvement	Assessment	Prepare Environmental Report
Proposed Plan	Decision-making	Decision	Prepare assessment, make adjustments	Environmental Report consultation
Examination	-	-	-	-
Stage: Delivery
Adoption of the local development plan	Publication	Publication	Publication	Prepare and publish post adoption statement
Publication of the delivery programme	-	-	-	-

10.2. Consultation and engagement in relevant impact assessments, from an early stage of the plan preparation process, can help to ensure relevant information is available to inform decision making. Planning authorities should undertake screening at an early stage to identify which assessments need to be undertaken, as not all are always required. Screening can also be used to help understand associated engagement requirements.

10.3. Planning authorities may wish to note the engagement needs and timing for key assessments required to support local development plans set out in Table 4.

Table 4: Key assessment engagement needs and timing

Assessment	Level	Engagement needs and timing
Strategic Environmental Assessment	Inform, Consult	Legal requirement for 'early and effective' public engagement. Engagement is focused on the Environmental Report consultation, but earlier engagement is recommended. A Post Adoption Statement is prepared, published and advertised to inform people about how the assessment findings and comments received on the proposed plan and Environmental Report have been taken into account.
Habitats Regulations Appraisal	Inform	No requirement for public engagement. Report to be published at the proposed plan stage to inform people of the appraisal.
Public Sector Equality Duty Assessment	Inform, Involve	The timing of the publication of the assessment could usefully be set out in the Development Plan Scheme. Proportionate involvement is needed throughout the process, from the early preparation stage to its delivery. The planning authority should publish the assessment findings on their website to inform stakeholders about it. Legally the results should be published within a reasonable period, and guidance suggests this should be as soon as possible after the decision to implement (adopt) the policy is taken.
Fairer Scotland Duty Assessment	Inform, Involve	It is important to involve relevant communities through the stages of assessment. The assessment should be published to inform people about how socio-economic disadvantage is being considered.
Island Communities Impact Assessment	Inform, Consult, Involve	Early involvement and consultation of people will assist the assessment process. The planning authority is legally required to publish the assessment to inform people of the outcome of the assessment.
Child Rights and Wellbeing Impact Assessment	Inform, Consult, Involve	Opportunities to involve people may arise at both the evidence gathering and proposed plan stages. The assessment requires an explanation of consultation with stakeholders - including children and young people. Publication informs people of the outcome of the assessment.

Question 4 - Do you agree that the appropriate levels of engagement have been identified for the impact assessments?

• Yes
• No
• No view
• Please comment on your answer (particularly if you do not agree).

Further Consultation Questions

Question 5 – Overall, is the approach set out in the guidance helpful?

• Yes
• No
• No view
• Please comment on your answer (Particularly if you do not think the approach is helpful).

Question 6 – Do you have any views about the initial conclusions of the impact assessments that accompany and inform this guidance?

• Yes
• No
• No view
• Please comment on your answer (particularly if you do have views to share).

Question 7 - Thinking about the potential impacts of the guidance – will these help to advance equality of opportunity, eliminate unlawful discrimination, and foster good community relations, in particular for people with protected characteristics?

• Yes
• No
• No view
• Please comment on your answer.

Question 8 – Do you have evidence that can further inform the impact assessments that accompany this guidance, in particular in relation to the impact of the guidance on people with protected characteristics, businesses and costs to businesses?

• Yes
• No
• No view
• Please comment on your answer.

Question 9 - Please provide any further comments on the guidance set out in this consultation.