7. Planning constraints (including heritage)

Summary/introduction

Housing providers will be well versed in local planning policy when it comes to new build, but may be less familiar with planning related to retrofit. The good news is that many retrofit measures do not require planning permission; however, some local authorities have unique rules and there may be constraints related to older buildings, conservation areas or specific local building types which you will have to follow.

Why it matters

If you didn’t seek planning permission for a new development, you or your organisation would face legal action, fines and even the need to take down your newly built property. Installing retrofit measures to buildings without the necessary permission can also lead to legal action. This in turn can lead to the works having to be reversed or a fine. Examples of where this has happened are included in the RISE enforcement and prosecutions case studies (forthcoming in November). 

Avoiding this is straightforward but needs to be considered at the beginning of your retrofit project. Once you have identified any planning constraints, you can adjust your delivery plan to make sure there is time to obtain any permissions needed. You may also need to amend your retrofit proposals so that they comply with any requirements.

Key steps to take

Check your local authority’s local development plan: Every local authority should have one that provides the framework for making planning decisions. If your retrofit project crosses local authority boundaries, you will need to check multiple local plans, as they will vary.

Check if the works are permitted development: Many types of retrofit work do not require planning permission because they fall under the permitted development rights established by the General Permitted Development Order 2015 (see the heritage planning toolkit linked below for more information). However, these rights may not automatically apply, so you must always check.

Check if the buildings are considered ‘heritage assets’ and protected for their heritage value:  The main heritage protections are listed buildings and conservation areas, but there are others that could mean normal permitted development rights are reduced (see the RISE heritage planning toolkit). If the homes are listed, then you will need to obtain listed building consent for most work that is carried out. If the properties are in a conservation area or protected for another reason, you may need planning permission for some works.

Talk to the planning authority/authorities: An early conversation with the local planning team(s) can help you understand more about what is required and the process for securing permissions. It helps avoid any surprises later and having to re-submit an application, which costs time and money. Some local authorities have established special pre-application services that can help applicants make their buildings more energy efficient within the planning constraints in place (see the RISE specialist pre-application case study, forthcoming in October).

Make sure your business plan allows time and resources for the planning process: Planning permission and listed building consent can both take 8-16 weeks to work through the approval process; if your project is grant-funded within a very tight timeframe, then this may preclude some works from happening. Planning applications will carry costs and these will need to be included in your business plan.

Make sure the right team is in place: You may need to appoint consultants to assist you with your planning application as most local authorities have strict requirements on the information that needs to be submitted. The consultants required will depend upon your project but they may include an architect, planning consultant, heritage consultant and ecology consultant.

Make sure all permissions are in place before starting on site: All necessary planning approvals must be in place before the retrofit works start on site. If you go ahead without permissions, you could be asked to “undo” work, which will cost time and money. If the works affect a scheduled monument, listed building or unlisted building in a conservation area, it could be a criminal offence. More information about this is available in the RISE prosecution case study (forthcoming in November).

Success factors

Start early - it is a good idea to identify any potential planning issues as soon as possible. You can take steps to find any problems before getting too deep into the project and avoid later delays and difficulties. Always seek the advice of the relevant local authority’s planning team to confirm your conclusions.

Do not make assumptions – a lot of retrofit measures are counted as permitted development and, in most cases, do not need planning permission. The important word is “most”. Some local authorities have set specific rules around what is allowed without permission. Always check the local plan for every local authority area where your target properties are located.

Align with the local plan – if you are applying for planning permission, it’s important to show that your project contributes to the aims and objectives of that plan. In some cases, this is fairly clear: if the local authority has a commitment to carbon reductions (eg, a net zero target), you can demonstrate how the retrofit will help cut emissions. Other considerations in the local plan could include design guidance to reflect local architectural heritage or wider local or community benefits.

Plan for planning – the planning process can take time and feel frustrating. It is crucial to think about planning from the outset to make sure that you can manage the expectations of senior management and residents and that you can set a realistic timetable for procurement and delivery of your retrofit works.

Liaise with the local planning authority – if planning applications don’t contain the right information they may not be ‘validated’, which means the 8-16 week approval process can’t start. Communicate with your local planning office to check your application has been validated.

Manage residents expectations – letting residents know that a planning application needs to be submitted for works to their home is key. They might need to give access for assessments to their homes as part of preparing the application. Letting them know about the process will also avoid them getting surprised by seeing a planning notice up or being asked questions by neighbors who have received a letter about the proposed works.

Deep dive

National planning policy

Planning is a devolved issue, which means that each national government in the UK sets its own planning rules. You can find links to the national planning frameworks for each country in the table below:

Legislation

The are several pieces of primary legislation that establish permitted development rights, as well as conditions for their removal. Many of these apply to the protection of heritage buildings and so are explained in the RISE heritage planning toolkit.

National Planning Policy Framework

The NPPF sets out the Government’s ambitions for growth. It requires local authorities to make plans and decisions that favour sustainable development, which is defined as aligning growth and infrastructure with other factors such as environmental improvements and climate change mitigation. Because local authorities need to balance these aims in a way that suits their area, the NPPF requires them to create a local development plan that provides the context for local decision-making.

The NPPF asks local authorities to attach great weight to the conservation and enhancement of heritage. By comparison, it only asks for significant weight to be given to supporting energy efficiency and low carbon improvements to existing buildings. We therefore need to be very careful to conserve and enhance heritage buildings while making them more energy efficient. For more guidance on this, see the RISE heritage toolkits.

Local planning

A local authority’s local plan can be seen as an overarching document that sets out how the ambitions in the NPPF will be achieved locally. Because it should contain specific policies on how the existing built environment will be conserved, it should tell you if the local authority has any conservation areas or a local list. It should also tell you whether there are certain areas within the local authority that are a priority for development.

The local authority may also have adopted planning policy that is ancillary to the local plan. These policies are often called supplementary planning documents (SPDs) and provide specific guidance on certain issues. Appraisals and management plans for conservation areas are often considered as SPDs, so you should check to see if there is one about the conservation area you’re working in. This should tell you whether it is affected by an article 4 direction or not.  Any local list of buildings could also be an SPD.

A local plan may also tell you whether any local species, such as bats or newts, that are protected by law. This is because any mitigation measures to protect their habitat need to be considered as part of the planning application. The local authority may have biodiversity checklists that indicate whether protected species could be affected.

Permitted development

As set out in the legislation section above, permitted development rights apply to most improvements and alterations to houses. This includes new windows and doors, PV roof panels, air source heat pumps, and loft insulation. However, local authorities can withdraw permitted development rights, so do not assume that they will apply.

You can apply for a Lawful Development Certificate if you want to be certain that your proposed development, alteration or improvement does not require planning permission or listed building consent.

Pre-application advice

Most local authorities will encourage submitting a pre-application enquiry to receive formal advice on your proposed scheme confidentially. There is usually a fee involved and it can take around 4 weeks to receive advice. One local authority has started offering specialist pre-application advice to help people make buildings more energy efficient where permitted development rights don’t apply. More information about this is available in the RISE pre-application advice case study.

Future directions in planning policy

Where planning considers energy and carbon, it has tended to do so in terms of operational energy use (e.g., how much is used by the occupants of a property). It has had less to say about the emissions associated with the construction of the building (known as embodied energy), or the end of life of a building.

Local authorities are starting to consider how these factors could be included in their local plans, particularly for major new developments or regeneration projects. For example, in 2020, the Mayor of London published guidance (for consultation) into whole life carbon assessments as part of the London Plan.

Further RISE resources

RISE Toolkits:

Heritage planning (coming soon)

Heritage values and significance (coming soon)

Writing a heritage statement (available in October)

RISE quick guides:

Listed buildings (available in October)

Conservation areas (available in October)

RISE case studies:

Listed building enforcement (available in November)

Listed building prosecution (available in November)

EWI planning permission (available in October)

Specialist pre-application advice (available in October)

Further external resources

How does the planning process work?

Planning permission – planningportal.co.uk – this guidance will walk you step-by-step through the principles of planning permission, permitted development, what happens if you don’t have the appropriate permissions and important factors to consider. The guidance is focused on England and Wales.

Visit Website (What is Planning Permission)

What are my permitted development rights?

More information on permitted development rights can be found here.

Visit Website (Permitted Development Rights)

What are the planning requirements for historic buildings?

Practical Guidance on Energy Efficiency – Historic England – this guidance sets out considerations for most of the changes you might want to make to a building and offers advice on the principles, risks, materials and methods of making changes to the building fabric. Following the guidance should help to avoid objections from the local planning authority.

Visit Website (https://historicengland.org.uk)

Do I need planning permission for solid wall insulation?

Insulation – planningportal.co.uk – this step-by-step guide explores different types of insulation and the planning and building regulations requirements associated with them. In all cases, be sure to check with the local planning authority for any specific local requirements or conditions.

Visit Website (Planning Permission)

Where can I get more guidance on planning issues in relation to heat pumps?

The Greater London Authority has published research looking at heat pump retrofits. Chapter 10 of the report provides more detail on planning permission for heat pumps.

Visit Website (https://www.london.gov.uk)

Get in touch

If you would like to discuss planning issues on your retrofit project, pleasecontact the RISE support team - rise@turntown.co.uk

We would love to hear about your experiences. What has worked for your organisation? What lessons have you learned? What documents, reports or tools have you found most helpful? Please contact rise@turntown.co.uk if you would like to share your experiences.