Tweed Council DA Prcess

8/6/2019 Tweed Council DA Prcess

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Best Practicein Development Assessmentfor Local Government

Second EditionMay 2005

9STEPS


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ISBN 0-646-44762-9 Best practice in development assessment 2

Content

Introduction 3

Nine steps in development assessment -Best practice Notes 6

Step 1 Pre-Development Application Consultation 8

Step 2 Lodgement of Development Application 11

Step 3 Initial Assessment; Public Notification/Consultation 13

Step 4 Consultation and Concurrence;Internal/External Referral 15

Step 5 Detailed Consideration/Assessment 17

Step 6 Decision (Including utilisation of delegations) 20

Step 7 Issue of Determination (reasons or conditions);Notification 22

Step 8 Post Determination (review of determination;extension; modification; appeal) 24

Step 9 Development Commencement Follow-upand Finalisation (including Construction Certificate,appointment of PCA, Occupation Certificate,inspections) 26

Appendix 1 28Statutory changes to the local development assessment processIn NSW since January 2003)

Appendix 2 29Participating Local Councils Survey 1st Edition

Appendix 3 30Links to other useful web sites


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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 elementsof current Local Government leading practice in developmentassessment, and highlighting examples of such practice.

About this guideline

The second edition ofBest Practice in Development Assessment for Local Governmentis 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 indevelopment 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 assistingdevelopment 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 1st

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 developmentassessment process, based on the provisions of Part 4 of the Environmental Planning and

Assessment Act1979. The nine steps in the development assessment process for local

development are indicated in Figure 1.

Figure 1: Nine-step development assessment processfor 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 localCouncil 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 orinformation 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 [email protected] or

telephone on 9385 5294), or to the NSW Division of the Planning Institute of Australia

(website: http://www.planning.org.au/ or email: [email protected])


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Nine steps in development assessment Best Practice Notes

Described in the following notes are various elements andcontemporary examples volunteered by local Councils in NSW, of bestpractice 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 developmentassessment 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 timelycommunication.

Early identification of any deficiencies or potential problems and any referral andnotification 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 staffavailable 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 thatinclude 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 foruse by each Council.

Minimisation of the amount of disruption to the important development assessmenttasks 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 aCouncil.

Provision for consultation between a Council and applicant during the entire developmentassessment 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 likelyconditions 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, toovercome 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 1Pre-Development Application Consultation

Councils identified a number of pre-lodgement procedures as constitutinggood practice in development assessment. Significant weight was given to

the practice of formal pre-DA engagement/consultation through aDevelopment Assessment Panel or the like, as a consultative mechanism forproviding 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-DAconsultation 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 provideguidance 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 requiredto prepare required material and undertake necessary investigations

Consultation with Panel by prior appointment; appointment confirmed followingreceipt 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 thesite where possible and researching planning history and applicable statutory

provisions

Linking pre-DA consultation with Councils property information system, to add torecord 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 developerand 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 thepanel 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 assistanceOther 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 servicecharters/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 consultationPenrith 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 andprovides information on five steps for applicants to follow in the preparation and

lodgement of a development application.


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Step 2Lodgement of Development Application (s 78A)

This step considers some of the elements and examples of current bestpractice 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 variousforms depending on each individual Council:

Processes range from counter administrative staff simply receiving and completing achecklist 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 thequality 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 initialchecking 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&AAct, 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 consentworkload of Development Assessment Officers, leaving more time for the assessment

and determination of DAs.

Efficiency gains of assessing and approving development applications anddevelopment consents simultaneously.

Customer service charter/guarantee 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 bymeans of appropriate written documentation.


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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.


Applicant checklistsGrafton 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 self-

assessment 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 oflodgement 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 guaranteesDeniliquin 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 3Initial 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 torequire additional information on a proposed development from an applicant.Elements and examples of best practice offered by Councils at this stage arelisted below.

Initial assessmentSeveral 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 singlesenior 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 andsend 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 orStep 2 of the development assessment process.

Use of dedicated staff for public notification/consultation procedures, separated fromassessment function; standard letters advise interested parties of how they can make asubmission

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 expeditethe 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 localnewspaper and advice to Councillors


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Initial assessmentWarringah 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 Warringahto 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 Pre-lodgement meeting and advice service.o Provision of staff training opportunities for technical and non-technical staff in

Councils Development Assessment and Customers Services branches.

o Availability of a duty officer to undertake this role.o Initial assessment of each DA by an appropriate panel (eg Development Assessment

Panel).

Public notificationLeichhardt Council has adopted a threefold notification system broader communityinvolved 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 alldevelopment 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 assessmentLismore 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 4Consultation 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 practicefactor in this step relates to communication both with referral bodies and theapplicant. Significant in this context is an effective procedure for checking ormonitoring 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 theassessment 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 andconcurrences, 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 casein 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 ofdevelopment 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 orbe appropriate for every Council:

Some Councils have disbanded their fast track teams and replaced these with severaldevelopment 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 theytend to minimise the problems individual officers may face in prioritising major or

problem DAs.


On-line DA tracking systemsPenrith 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.

CommunicationWarringah 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 havingto 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 5Detailed Consideration/Assessment Planning Report (s 79C)

This step includes procedures utilised for assessment of DAs, whereby theinput of various participants Council assessment officers, other Councils

assessment bodies, applicants, submitters, and external referral andconcurrence bodies is collated and synthesised in a DA assessment reportcontaining 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 betweenthe 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 ensureconsistency 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 majordevelopments, 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 discretionof 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 theoperation 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


Dealing with objectionsGosford City Council conducts facilitation meetings with internal facilitators when more

than three objections are received. This often results in resolution of issues, which allowsthe 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 ManualCessnock City Council has produced an

Assessment Procedures Manual, which providesin-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, includingprioritisation 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 orretirement 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 theassessment process.

Manifestation of accountability and transparency in the development assessmentprocess, and that clear, objective procedures are in place in Council.


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Step 6Decision (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 andreasons 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

Informing applicants of decision-making processes

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 interestedparties prior to determination open government.

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 specificcase 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


Information and access to decision-makingLeichhardt 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 determiningofficer, 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 7Issue of Determination (reasons or conditions); Notification (ss 80A, 81)

This step relates to the imposition of conditions in determining an applicationby 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 asrequired for the application

Conditions to be grouped by timeframe for implementation and into logical categoriesof 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 (non-integrated 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 requirementsrelevant 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) andwhy, together with the specific date of commencement of consent

Notice of determination identifies requirement for s 96 modification of consent ifapplicant wishes to amend plans

Ensure that the applicant is advised at the time of issue of determination, of the requisitepost-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 consentLeichhardt 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 8Post 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 toeach Council. Elements, which may be characterised as leading practice in thepost determination stage of the development assessment process, are outlinedbelow.

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 newinformation is required/provided original submitters are advised of what meeting thematter 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 todevelopment consent requires a s 96 application

Procedures involved eg whether notification is required, and if so, notificationprocedures

Relevant determining body i.e. under delegation to Council officer, committee orfull 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 refusalappeal) 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 issuefor 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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Amended consents and determination reviewsCessnock 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 thatpromotes 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 9Development Commencement Follow-up and Finalisation (includingConstruction Certificate, appointment of PCA, Occupation Certificateetc.)

Involved in this step is action that must be taken by Councils and accreditedcertifiers to commence and thence complete development, including accordingto terms of consent granted by Council and compliance with mandatory criticalstage 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 theEnvironmental 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 postdevelopment 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 ofaccredited 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

Monitoring/inspections Timeline monitoring and completion system

Monitoring for development completion/sign-off with policy/process to detect andaddress 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 ofOccupation Certificate or Subdivision Certificate)


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Dispute resolution systems, including recourse to powers available under Parts 4A and 6of 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 CouncilBest practice example

Post-determination meetingsGosford City Council conducts post-determination meetings with consultants preparing

documentation for construction certificates.

Post-building auditSutherland 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 developmentassessment 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 SustainabilityIndex: BASIX) Regulation 2004

State Environmental Planning Policy (Building Sustainability Index: BASIX)2004

State Environmental Planning Policy (Repeal of Concurrence and ReferralProvisions) 2004


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Best practice in development assessment 29

Appendix 2

Participating Local Councils (Survey 1st

edition)

Armidale Dumaresq Council

Barraba Shire Council

Bega Valley Shire Council

Blacktown City Council

Bland Shire CouncilByron Shire Council

Campbelltown City CouncilCanterbury City Council

Carrathool Shire CouncilCessnock City Council

Cobar Council

Coffs Harbour City Council

Coolah Shire Council

Deniliquin Council

Fairfield City CouncilGosford City Council

Grafton City CouncilGunnedah 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 CouncilLockhart Shire Council

Maclean Shire CouncilMurray Shire Council

Narromine Shire CouncilParramatta City Council

Penrith City Council

Randwick City Council

Rylstone Shire Council

Shoalhaven City Council

Sutherland Shire CouncilTamworth City Council

Tumut Shire CouncilUrana 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

Documents

Tweed Council DA Prcess