Nationally Significant Infrastructure Projects Q Mark Presentations/WSP... · • Transport...

Nationally Significant Infrastructure ProjectsThe Development Consent Process

August 2018

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Agenda

• Welcome and Introductions

• Introduction to the NSIP & DCO Process

• The Importance of Land Referencing

• BREAK

• Consultation and Engagement

• Preparing the Business Case

• Client Experience and Lessons Learned

• Outstanding Questions and Answers.

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Amy Hallam

Introduction to NSIP & The Development Consent Order Process

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We are leading providers of services for NSIPs

Our experts have secured a significant number of consents, including DCOs, for transport and energy projects.

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Why Planning Act 2008?

Heathrow Terminal 5:

• Sat for 524 days

• Heard 700 witnesses

• Generated 100,000 pages of transcript

• Inquiry cost £80 million

• Eight years to reach decision.

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Principles of Planning Act 2008

• Quicker and fairer

• Focus on national policy

• Front loaded

• Clear statutory timetable

• Predominantly written process

• Inquisitorial Examination

• DCO includes many consents required

• Decision taken out of the hands of the local planning authority.

65 consents granted and 5 refused

(5 challenged but all unsuccessful).

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Identifying NSIPs

Different categories and thresholds are set out in the Planning

Act 2008 and Amendments.

Energy Transport Water Waste Water

Waste

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Highways NSIPs:

Highway and Rail (NSIP) Order 2013 includes thresholds for highways and rail schemes in England

Highways

DCO can be required for road schemes depending on the following criteria:

• Highway Authority• Definition - construction or alteration or improvement

• Speed limit

• Site area• Likelihood of significant environmental effects.

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Business or Commercial Projectsand Housing

Business or Commercial Projects

Development Consent can now be sought for

various Business or Commercial Projects

Based on economic impacts, complexity, size,

strategic importance and links to other NSIPs.

The Housing and Planning Act 2016

S160 of the Act allows an element of housing to

be included as part of the NSIP

It can include up to 500 dwellings

The development must be “on the same site, or

is next to or close to” the NSIP.

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S35 Direction

Promoters can apply for a Direction under

S35 of the Planning Act 2008 to make a project an NSIP

The following projects have done this:

• Lake Lothing Third Crossing• Great Yarmouth Third River Crossing

• Norwich Northern Distributor Road

• The Upper Orwell Crossings• Triton Knoll Grid Connection

• International Advanced Manufacturing Park

• Silvertown Tunnel.

Case is based on:• Area benefits

• Nationally significant growth• Size and complexity

• More than one Local Planning Authority• Delivery of other NSIPs.

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Planning Policy

Planning Policy set out in National Policy Statements (NPS):

• Not open to challenge at Examination• Where there is no NPS policy, refer to National

Planning Policy Framework

• Local Policy• Schemes that don’t align will not be granted consent

• Policy must be considered from optioneering onwards.

Energy Transport Water Waste Water

Waste

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Pre-application Period

Environmental Impact

Assessment

Scoping

Preliminary Environmental

Information Report

Environmental Statement

Mitigation Register

Design

Areas of permanent and temporary land take or rights

Contractor input may be required

Design should be sufficient to identify

all land required

Consultation

Statement of Community Consultation

Consultation Report

Continuous engagement,

including with PINS

Statements of Common Ground

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Application for Development Consent

• Planning Statement

• Statement of Need

• Funding Statement

• Environmental Statement (ES)

• ES Non-Technical Summary

• Mitigation Schedule

• Habitat Regulations Assessment

• Statutory Nuisance Statement

• Transport Assessment

• Flood Risk Assessment

• List of other consents required

• Draft Development Consent Order and Explanatory Memorandum

• Consultation Report and Statement of Community Consultation

• Book of Reference

• Statement of Reasons for Compulsory Purchase

• Application Plans.

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Consultation:

Consultation should be undertaken in accordance with S.42, 47 and 48 of the Planning Act 2008.

Consultees must include:

• Statutory Bodies (Environment Agency, Natural England, Highways England, Historic England);

• Landowners and tenants to be affected;

• Neighbouring Authorities (parish, district and county);

• Local interest groups (e.g. wildlife trusts);

• Statutory undertakers; and

• The wider community.

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Consultation:Statement of Community Consultation

• The application submission must include a

Statement of Community Consultation (SoCC) and a

Consultation Report

• An SoCC sets out how the consultation will be carried out and must be agreed with the LPA in

advance.

Preliminary Environmental Information Report

• This is issued as part of the consultation

documentation to inform responses

• Can take different forms from similar to EIA

Scoping through to a draft Environmental Statement.

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28 Days

Review of

Application

by Planning

Inspectorate

Acceptance

2 – 3 Months

• Registration of

Interested Parties

• S51 Requests for

further

information

• Pre-Examination

Meeting

Pre-Examination

To be determined by the Promoter

• Project Design

• Statutory Consultation

• Continuous

Engagement

Pre-Application

6 Months

• Inspectors questions

• Hearings

• Relevant

Representations

Examination

6 Months

• 3 months for Examining

Authority Report

• 3 months for Secretary of

Statement Decision

Decision

6 Weeks

Legal challenge

period

Post-Decision

Development Consent Order Process

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Getting your scheme accepted

• Why is your scheme an NSIP?

• Demonstrating compliance with consultation

requirements including consultees, notices

and regard given to responses

• LPA adequacy of consultation response

• Complying with application formalities (s55

checklist)

• Describing your NSIP in the DCO and any

flexibility sought

• Demonstrating the scheme has been

assessed.

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Pre-Examination Period:

Pre-Examination Period starts once application is accepted

• Pre-examination period is the time between

acceptance and Pre-Examination Meeting

• Applicant may be asked for additional information in that period (request known as S.51 advice)

• It can be subject to consultation under EIA

regulations if it is regarded as ‘new’ information

• ‘Rule 6’ letter issued by the Examining Authority (ExA) in advance of meeting setting out an

agenda and draft Examination timetable

• Examination in Public usually starts within six months of acceptance and takes a maximum of

six months. It can therefore be very intensive.

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Examination Process:

• Examination in Public is a written process involving answering questions from the ExA

• Starts the day after the Pre-Examination Meeting

• Starts with ExA issuing a list of questions (the

‘Rule 8’ letter) which the applicant, LPA, Consultees and third parties must answer

• Written Representations can also be submitted by

any party

• Reponses are exchanged and all parties have a chance to comment on those answers

• More rounds of questions issued following the

same process

• Statements of Common Ground drawn up between important interested parties e.g.

Highways England, Environment Agency or the

LPA.

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Hearings:

If ExA is not satisfied with the written submissions they will hold a hearing

There are three types of hearing:

• Development Consent Order hearings to go through wording of DCO line by line

• Issue-specific hearings to discuss topics which

are the most contentious

• Open floor hearings which are open to anyone to

air their views (often in the evening so everyone

can attend).

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The Decision-Making Process:

Development Consent Order made by relevant Secretary of State

• Once the Examination in Public is closed by the Inspector, they will write their report in 3

months and make a recommendation

• The Report then goes to the relevant Secretary of State who decides whether to

grant the Development Consent Order in 3

months

• Like all planning decisions, it is open to legal challenge.

Chris Grayling, Secretary of State for Transport

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Role of LPA as host

• Consultation body

• Pre-application engagement

• Local Impact Report

• Role at Examination

• Delegated responsibilities

(Discharge of Requirements)

• Take opportunities to influence.

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Questions?

wsp.com

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Orla Mackin

The Importance of Land Referencing

My name is Orla Mackin and I have been working in the Land services team here for just

under 4 years now. Particularly focussing on the DCO process and advising my clients on

how to navigate through the compulsory acquisition process. What I find most

interesting about this workstream, is that we play a relatively small, if crucial part of all

sectors, and as such we gain an insight into a vast array of different projects and DCO

processes. But I find myself providing similar advice to all my clients, some of which I

summarise here for the next half hour or so.

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Why is Land Referencing Important?

Identifies the

relevant affected

partiesProduction of key

deliverables

Identifies the

land required

for acquisition

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Consultees and potential

compensation claims

Limits of Deviation

Limits of Land to be permanently acquired

Limits of Land

to be Acquired or Used

(e.g. temporary compounds, working

space for construction)

Limits of Land to be

Permanently Acquired

(subsoil only)

Land requiredGeographical extent to works and impacts

Protection zone for tunnel –

restrictive covenants

Permanent rights for

maintenance

• So, how do I identify the land needed for acquisition?

• Once a project has been identified as needed, options identified and selected, we need to go through a

process of refining the geographical extent of land that will be required in order to construct, operate and

maintain the project.

• Where will the tracks and the operational activity be situated? These are normally identified

through limits of deviation – the extent of land within which the project is situated, allowing for

an element of flexibility within that area.

• Beyond that, what land is required to be owned permanently? Perhaps structures, works or

essential mitigation is required to compensate effects of the scheme, and the best way to secure

this is through permanent ownership and maintenance of that area.

• We need to consider different levels – perhaps varying ownership is required at subsoil or above

ground level

• And if we only take a strata of ownership at subsoil level, for example, for the tunnel, is the

integrity of the ground such that we need to protect the tunnel from any loading or excavation

above or adjacent to it – do we need additional permanent rights at the surface to restrict such

activity?

• How about other permanent rights, such as access for maintenance vehicles, or drainage. What is

the design life of our project and what maintenance activities will be required to ensure it remains

operational throughout that period?

• Next, outside of any permanent requirements, what additional land will be required to build the

project, including temporary compounds, working space during construction. What about parking

and welfare facilities for our construction staff, temporary construction access routes. Temporary

air rights to enable cranes to swing overhead to lift in structures?

• And finally, even beyond that, who else might be considered to have a potential relevant claim for

compensation, either as a result of injurious affection and an impact on their rights as a result of

the compulsory acquisition, or otherwise due to physical factors resulting from the scheme –

impacts of noise, smell, fumes, smoke, artificial lighting and discharge of substances onto the land

need to be taken into account. This can be particularly difficult at the beginning of the scheme

when survey information may not have been completed.

• Having considered all of these requirements and impacts, we need to identify all those relevant affected

parties, and are required to consult and notify everyone having completed a process of diligent inquiry in

order to identify them. We therefore set out referencing limits at the start of the project in order to start

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this process, and we advocate starting with the widest realistic limits at the outset to reduce

the risk of rework later, or worse missing interests requiring further phases on consultation.

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Relevant parties affected The Land Referencing Approach

Project Project Project Project startstartstartstart----upupupup

• Land referencing methodology

• Setting the referencing limits

• Integrated GIS and database

Automated Automated Automated Automated data importdata importdata importdata import

• Ensure consistency

• Land Registry direct upload

Desktop Desktop Desktop Desktop referencingreferencingreferencingreferencing

• Land Registry review

• Initial site walkover

• Online and desktop investigation

• Special category land inquiries

Contact Contact Contact Contact referencingreferencingreferencingreferencing

• Land Interest Questionnaires

• Major land owners

• Site visits

• Chase-ups and follow-up enquiries

• Requests of information / notices

ConfirmatioConfirmatioConfirmatioConfirmationnnn

• Land Registry updates

• Confirmation requests

• Further follow-up activities

DeliverablesDeliverablesDeliverablesDeliverables

Diligent inquiry

So how do I identify all the relevant affected parties?

While diligent inquiry is not defined, it is required as part of the planning act to identify all interests

in land, and the process undertaken to show diligent inquiry is tested during the examination

process.

We have a tried and tested process that has been accepted on numerous DCOs based on a long

history and wide experience of undertaking land referencing work. While simplified this diagram

sets out the key stages. We set up a prescribed methodology and set the referencing limits at the

outset. An integrated land referencing database is key for this process as it records the data as well

as the full audit trail to prove the required inquiries have been made. Land reg used as a basis for

the information, setting up a GIS to map out land information spatially as a jigsaw of boundaries.

We add to this dataset with various sources of desktop information, populating the database with

as much available information as possible before making contact with identified land interests

directly through the use of questionnaires, site visits and follow up inquiries. Just before the data is

required, we undertake a confirmation process, updating any changes in Land Reg records and, if

appropriate, recontacting land interests to check we still have their information correct. This all

feeds into a range of deliverables, required at different stages of the project

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Land Referencing as facilitator for delivery

Whole planning and delivery lifecycle

Early

stakeholder

engagement

Informal consultation

& survey access

Formal

consultation

Scheme design input & property acquisition

negotiations

Application

submission

Book of Reference,

Notices, Schedules &

Plans

Consideration

Support at examination and ongoing negotiations

Post-approval

Early works access, land acquisition

notifications

Scheme

completion

Registration of title and disposal of

land

Tried and tested

GIS database

Specialist land

information

management

expertise

Track record in

approval process

regime

Collaborative

partnership

approach

Complementary

capabilities:

consultation, land

agency, planning

Information

securityInnovation

Underpinned by key attributes

So what do we need to produce?

This information feeds into a range of deliverables, from the identification of land interests for

stakeholder engagement and survey access negotiation at the very start of the project, through the

requirements to consult fully with all interested parties and into the key DCO deliverable for the land

referencing team, the land plans and Book of Reference, submitted as part of the application process.

But the requirements for this information don’t stop at application submission, as notices need to be

issued and representations managed throughout the consideration and examination period until the

DCO is made and the project is awarded in compulsory acquisition notices. At this stage we will need

to refresh all of that land information again (as things change) in order to serve compulsory acquisition

notices on affected parties in order to gain access to the land and begin construction. Finally once the

final design has been completed, and perhaps even continuing until after the project has been built,

the process will only be complete on the registration of the relevant land in the name of your

organisation.

In summary, the land acquisition and compulsory purchase process of identifying the land you require

and the parties that hold an interest in that land is one of the first activities to start once you have a

line on a plan of your preferred route. Running from stakeholder engagement and gaining initial access

to land for surveys right through to ensuring diligent inquiry is achieved in order to consult with all

affected parties and submit application documents. But the process continues through the

consideration with PINS right through to the acquisition of land through compulsory purchase notices

and the final registration of the acquired land with the Land Regsitry.

These are underpinned by key attributes to avoid the pitfalls, such as ensuring a database is in place to

manage land information as well as the audit trail behind it to ensure we remain robust to challenge, a

robust methodology to ensure that a process of diligent inquiry has been followed including starting

with a wide geographical scope that is reduced down as the project requirements and effects are

refined and understood, And finally a collaborative approach tpo bring theensuring the land

referencing team is part of the wider project team to input into the design and share knowledge from

other infrastructure projects

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Land referencing – avoiding pitfalls and risks

RisksRisksRisksRisks MitigationMitigationMitigationMitigation

Interests are missed

Accuracy and currency of land

interests

Limited response / engagement

Stakeholder concerns


Interests are missedInterests are missedInterests are missedInterests are missed - Robust, tried and tested methodology

- Tested database to record full audit trail


interests



So how do we avoid the pitfalls?

In my view, there are 5 key risks relating to the land referencing process

Recording the audit trail

GIS / Database

Consultation team

Legal team

Client team

Property team

Land referencing teamStakeholders

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Interests are missed - Robust, tried and tested methodology

- Tested GIS to record full audit trail

AccuracyAccuracyAccuracyAccuracy and currency of land and currency of land and currency of land and currency of land

interestsinterestsinterestsinterests

- Regular confirmation exercises ahead of milestones

- Land Registry contract to purchase updates

- Continuous automated and manual validation/review








interests




Limited response /Limited response /Limited response /Limited response / engagementengagementengagementengagement - Choice of response methods

- Chase-up visits / enquiries to all properties / landowners

- Aligned with consultation strategy







interests




Limited response / engagement - Choice of response methods

- Chase-up visits / enquiries to all properties / landowners

- Aligned with consultation strategy

Stakeholder concerns Stakeholder concerns Stakeholder concerns Stakeholder concerns - Trained team in sensitivity in conducting land referencing

exercises

- Consistent and agreed approaches and messages

Questions?

wsp.com

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Break

Refreshments Available

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Steve Charman

Consultation and Engagement for Development Consent Orders

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DCO consultation and engagement

Pre-application

Post Decision

Acceptance

Pre-examination

Examination

Decision

Pre-application consultation(Sections 42 to 50 of the Planning Act 2008)

• Consultation with relevant consultees and local

communities

• Appropriate publicity

• Statement of Community Consultation

• Consultation report

Statements of Common Ground(Planning Inspectorate best practice)

Continued stakeholder issues management• Issues resolution

• Evidence-base of engagement and dialogue

• Support for hearings and production of materials for

examination deadlines

Consultation under the Planning Act 2008 follows much of the same best practice of

other planning regimes, however it is important to understand the appropriate

requirements, terminology, timelines and potential risks for all stages of the

Development Consent Order process, in order to be able to plan ahead.

The further you go into DCO stages, the less control you have over timelines (e.g.

examination is a fixed 6 month process) which highlights the importance of “front-

loading” stakeholder engagement and working towards resolving issues and concerns at

an early stage.

SoCGs are not prescribed under the Act but generally requested by PINS at some point

in the application. These can be started as early as wanted (e.g. could be submitted as

part of the application), and can form part of examination deadline requirements.

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Recent WSP DCO’s

Thames Tideway Tunnel

Hinkley Point C Nuclear Power Station (advisor to Somerset County Council)

North Killingholme Power Project

Progress Power Station

Knottingley Power Project

A19 / A1058 Coast Road Junction

A30 Temple to Higher Carblake

Improvement Scheme

Drax Power Station

A303 Amesbury to Berwick Down

Hereford Transport Package

A27 Arundel

A1 Northumberland

A1 Birtley to Colehouse

Upper Orwell Crossings

Granted

In progress

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Planning Act 2008 sets out who needs to be consulted:

Section 42(1)(a) Prescribed consultees

Section 42(1)(b) Host and neighbouring local authorities

Section 42(1)(c) Greater London Authority

Section 42(1)(d) Land interests

Applicant should exercise due diligence in identifying all relevant consultees and following Section 42 consultation requirements.

Section 42 “Duty to consult”

Lincolnshire CC

Responsibility• Production of consultation

strategy• Stakeholder mapping

WSP Responsibility• Data management (PinPoint)• Land referencing

• Distribution of consultation letters (direct from PinPoint)

Pre-application

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40

We can use PinPoint to record and manage all stakeholder data

− Up-to-date contacts

− Correspondence log

− One source of stakeholder information for consistency

− Automated production of consultation letters

Fully auditable record of stakeholder engagement

Integrated system for all project team

WSP Stakeholder data management

Throughout

programme

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− Preparing a Statement of Community Consultation (including local authority input)

− How the applicant proposes to consult about the proposals with people living in the vicinity of the land

− Publishing the SoCC

− Carrying out the consultation as set out in the SoCC

Section 47 “Duty to consult local community”

Lincolnshire CC

Responsibility• Production of SoCC

• SoCC Publicity• Press releases and briefings

WSP Responsibility• Production of consultation

materials

• DCO advisory role

Pre-application

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42

− Publishing a notice (known as a Section 48 Notice) to publicise:

− Intention to submit an application

− A summary of the proposals

− Details of how to respond to the publicity

− To be published in national newspapers

− Reaching the ‘general public’

Section 48 “Duty to publicise”

Lincolnshire CC

Responsibility• Section 48 Notice production

and publicity

WSP Responsibility• DCO advisory role

Pre-application

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− Production of the DCO consultation report ready for application submission

− Demonstrating regard to all relevant responses under Sections 42, 47 and 48

− Requested format and structure can lead to extensive and detailed consultation reports

Section 49 “Duty to take account of responses to consultation and publicity”

Lincolnshire CC

Responsibility• Section 48 Notice production

and publicity

WSP Responsibility• Coding framework• Analysis of consultation

responses (PinPoint)• Production of DCO

Consultation Report

Pre-application

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PinPoint consultation analysis

Response break down by theme and

issue

Flexibility in logging multiple themes for

one response

Analysis reports and outputs once data is

inputted

Pre-application

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Once an application has been accepted for examination by the Planning Inspectorate, the applicant must give notice of this acceptance

− Inform consultees of how they can register as interested parties

− Provide details of the application

Section 56 “Notifying persons of accepted application”

Lincolnshire CC

Responsibility• Production of Section 56

Notice

WSP Responsibility• Production and distribution of

Section 56 Notice (based on

PinPoint updated data)

Acceptance

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− Document to outline areas of agreement (or disagreement) between the applicant and a stakeholder

− Prepared jointly with a stakeholder(s)

− Not a statutory requirement, but can support the Examining Authority’s understanding of stakeholder issues (and how these are being resolved)

Statements of Common GroundVarious stages

(pre-application

through to

examination

dependent on

programme)

Lincolnshire CC

Responsibility• Stakeholder relationship

owners

WSP Responsibility• PinPoint objection

management

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Questions?

wsp.com

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Kate Emerson

Preparing the Business Case

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Business Cases

Why we do Business Cases

What to include in a Business Case

How Business Cases fit with DCO process

Kate Emerson – Associate Director WSP

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Need for propriety in use of public money –Parliament/HMT/Judiciary set boundaries

Overarching Guidance Includes

Business Cases – Why we do them?

‘Judge over

your shoulder’

Managing Public Money – Oct 2007 http://www.hm-treasury.gov.uk/d/mpm_whole.pdfThe Green Book - 2003 http://www.hm-treasury.gov.uk/d/green_book_complete.pdfJudge Over Your Shoulder – Jan 2006 http://www.tsol.gov.uk/Publications/judge.pdf

Managing Public Money provides guidance on how public funds will managed and

ensures that they are used for the purposes intended. Public servants have a duty to use

public money responsibly – this guidance ensures this is the case. Much of what

managing public money requires is just good common sense, or sound financial

management. There are also some specific rules and conventions about how certain

things are handled, which ensure that policies, programmes and projects work smoothly

and serve their intended purposes.

The Green Book is guidance issued by HM Treasury on how to appraise policies,

programmes and projects (that is making an ex-ante assessment of the costs and

benefits of an intervention). It also provides guidance on the design and use of

monitoring and evaluation before, during and after implementation. For transport,

WebTAG – the Department for Transport’s guidance on scheme assessment provides a

specific interpretation of the Green Book in the context of transport schemes.

Judge Over Your Shoulder provides guidance to help understand the key litigation

procedures, offer practical advice, and help to public servants and those involved in

assessing the impact of public expenditure to be better placed to anticipate questions or

deal with evidence. Provides details of the legal context etc.

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Why do we do business cases?

• To ensure that the outcome of projects is in line with relevant strategies and policies

• To ensure that users of public services receive an efficient and effective service

• Demonstrate ‘Value for Money’ of the proposal

• To ensure that projects are viable, affordable and deliverable

• To re-assure stakeholders of proper process

To make sure we clearly articulate how the project will deliver the required objectives

identified and solve the problem at hand – and in doing so we can demonstrate how it

fits with existing polices and strategies.

Makes sure that public services are delivered in an effective and efficient manner.

Shows that the benefits of an intervention outweigh its costs – demonstrating the value

for money of the proposal.

Makes sure we have evidence to show that projects are viable and deliverable and

budget is available.

Shows all stakeholders – including the public – that an appropriate process is being

followed.

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A Business Case is:-

• A management tool to help solve problems

• A description of analysis

• A record of how decisions have been made

• A reassurance of proper process

It is not (or should not be):-

• An unnecessary imposition to stop expenditure

• Solely a means to get approval

• A solution looking for a problem to solve

What the Business Case is:

Tool to help solve problems – whereby you can clearly identify problems/objectives and

show how the project addresses these.

Provides a clear description of the analysis and any uncertainties in that and any risks

involved.

As previously mentioned – gives reassurance about the processes followed – both for

project team and a range of stakeholders – clearly recoding the whole process.

What the Business Case isn’t:

Often there is a perception that it is a an unnecessary imposition to stop expenditure – it

is not – it is about due process and recoding that process.

It is not just an approval process – although will often be the route to approval of

funding – however it fulfils a number of other requirements as already highlighted.

Should not be a retro-fitted process – so in solving the problem the steps in the Business

Case should lead to the solution.

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Business Case – What is in it?

Business Cases are made up of five individual case elements:

• Strategic Case – case for change and fit with wider public policy

• Economic Case – demonstrating value for money

• Commercial Case – is the proposal commercially viable

• Financial Case – is the proposal affordable

• Management Case – is the proposal achievable and how will it be delivered

Strategic Case Economic Case Commercial Case Financial Case Management Case

Business Case is made up of 5 elements:

Strategic Case – which is the case for change

Economic Case – weighs up benefits and costs of a proposal

Commercial Case – shows that the proposal is commercially viable

Financial Case – shows that the proposal is affordable

Management Case – provides information about the management structures and

delivery process for the scheme.

Guidance on the developing The Transport Business Case is available on DfT’s website.

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Business Case – What is in it?Business Cases usually have three stages:

• Strategic Outline – leads up to first investment decision point

• Outline – includes full economic and financial information

• Full – All Cases complete including detailed contract management

There are usually 3 stages to business cases:

SOBC – leads to first investment decision point – here Strategic Case will be substantially

complete – including problem identification, the range of solutions tested and the fit

with policy shown. The other cases will be less well developed at this stage.

OBC – significant further work will have been completed on VfM in the Economic Case

and Commercial/Financial and Management cases will have been fleshed out further.

FBC – all cases completed – including details of contractual issues, finalised costs – with

the scheme ready for procurement.

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• Problem Identification – what is it like now and how will the situation change in the future

• Drivers for change – policy; new technology; public views; legislation, etc.

• Objectives – SMART to solve the problem; fit with wider policy objectives

• Constraints – technology; environment; delivery

• Stakeholders – who are they; contribution to project; conflicts

• Options – what have been identified; risks associated with each; how does preferred option best deliver against objectives etc.

The Case for Change

SMART – Specific Measurable Achievable Relevant and Time bound

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• Assumptions – how has Value for Money been assessed (WebTAG)

• Sensitivity and Risk – how sensitive are outputs to input assumptions; quantification through sensitivity testing

• Appraisal Summary Table (AST) – provides details of impacts across the economy, environment, social and public accounts

• Distributional Impacts – how do the impacts play out for different area/societal groups

• Value for Money – comparison of costs and benefits (including monetised, indicatively monetised and non monetised – using the benefit cost ratio – BCR – as a starting point) to establish a Value for Money Category

Value for Money

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• Output Specification – what is being bought

• Procurement Strategy – how is it being bought, and how does this deliver what is required from Strategic/Economic Cases

• Sourcing Options – what are the options for provision of services

Commercial Viability

Affordability

• Costs – detail breakdown; profile; risk

• Budget – detail of budget and funding cover

• Accounting implications – impact on balance sheet

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• Previous success – evidence of delivering similar projects

• Programme – set out deliverables/timing and dependencies

• Governance – organisational structure; describe roles/lines of accountability

• Assurance and approval – Details of key approval / assurance milestones (e.g. gateway reviews)

• Stakeholder plan – strategy for stakeholder management and wider communications

• Risk Management – details of risk management process and effectiveness in application to date

• Benefits Realisation – set out approach to managing benefits and ensuring delivery of benefits

• Monitoring and Evaluation – summarise arrangements

• Contingency – detail any fall-back plans

Deliverability

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Business Case – Fit with DCO process

Business Case DCO

Strategic Case:

Problems

Objectives

Strategic Fit

How scheme meets objectives

Stakeholder support

Case for the Scheme / Planning Statement

Transport Assessment

Statement of CommonGround

The various elements of the business case have a clear read across to the DCO process.

From the Strategic Case – the full range of items included will also be relevant for the

Statement of Case and/or Planning Statement.

The analysis included in the Strategic Case that shows how the scheme meets its

objectives will be relevant to the Transport Assessment in the DCO process.

Stakeholder analysis has a direct read across to the Statement of Common Ground

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Business Case DCO

Economic Case:

BCR and VfM

WebTAG Social Impacts

WebTAG Environmental Assessment

Distributional Impacts

Economics Report

Transport Assessment

Preliminary Environmental Information Report / Environmental Statement

Equalities Impact Assessment

The analysis underpinning the Economic Case including BCR and Value for Money will

feed into an Economics Report and the Transport Assessment – as will the Social Impacts

analysis element of the Economic Case.

The Environmental Assessment in the Economic Case has a direct read across to the

PEIR and ES – although the work for DCO will likely be more detailed.

Distributional Impacts analysis will directly read across to the Equalities Impact

Assessment.

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Business Case DCO

Financial Case:

Affordability Funding Statement

• Business Case can be part of DCO submission.

• Commercial Case – Procurement strategy - needed to procure

contractors

• Management Case – Set up of project board etc.; consultation

processes and stakeholder management.

The evidence included in the Financial Case directly reads across to Funding Statement

for DCO.

It should also be noted that although the Business Case isn’t ‘required’ for DCO

submission – it can be included.

Both the Commercial Case and Management Cases include evidence on deliverability in

terms of procurement strategy and management structure / consultation processes and

these will be important considerations in delivery of the project.

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− DfT have told us on more than one occasion that the scheme promoter should be leading in developing the business case and then go looking for funding/financing

− Evidence base has to be robust

− Need for close engagement with funding bodies to agree proportional approaches to appraisal

− Deliverability

− Development Partnering? Is this an option for Lincolnshire?

− It’s not all about the economics. Wider Impacts HIF etc

− Environment, Planning, Deliverability, Design

− WE NEED TO BE SHOVEL READY

Funding Infrastructure

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• Better Bus Areas

• Accelerating Innovation in rail

• Maintenance

• Highways England pinch point programme

• Rail Industry R&D Funding

• Major Schemes Programme

• Smart Ticketing

• Local Sustainable Transport Fund

• Integrated block transport

• Growing Places Fund

• Rural Economy Grant Scheme

• Local Pinch Point Fund

• Green Deal

• Growth In Transport Fund

• Major schemes programmes

• National Productivity Fund

• Access Fund

• Large Local Majors

• RIS2

• Major Roads Funding/National Road Fund

• Tax Incremental Financing

• Community Infrastructure Levy

• S106

• Prudential Borrowing

• Private Finance Initiative

• Local Asset Backed Vehicles

• Infra Funds

• Enterprise Zones

• Bonds

• Regional Growth Fund

• Prudential Borrowing

• Better Bus Areas

• Accelerating Innovation in rail

• Maintenance

• Highways Agency pinch point programme

• Rail Industry R&D Funding

Blended Funding Packages?

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Questions?

wsp.com

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Amy Hallam

Client Experience and Lessons Learned

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Lessons learned: Programme

Identify Design Freeze at following milestones:

• Environmental Impact Assessment Scoping

• Statutory Consultation (Preliminary Environmental Information Report)

• Application Submission.

Know what level of design you intend to have

for submission.

Ensure that all ‘dependencies’ are identified

as there are lots of interrelationships between

documents.

Build in time for review and printing.

Be mindful of the timing of elections.

Cannot undertake pre-application stage in

haste – it should take as long as it takes to get it right!

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28 Days

Review of

Application by

Planning

Inspectorate

Acceptance

2 – 3 Months

• Registration of

Interested Parties

• S51 Requests for

further information

• Pre-Examination

Meeting

Pre-Examination

To be determined by the Promoter

• Project Design

• Statutory Consultation

• Continuous Engagement

Pre-Application

6 Months

• Inspectors questions

• Hearings

• Relevant Representations

Examination

6 Months

• 3 months for Examining

Authority Report

• 3 months for Secretary of

Statement Decision

Decision

6 Weeks

Legal challenge

period

Post-Decision

Development Consent Order Process

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Lessons learned: Project Management

• What are the reporting procedures?

• Who is the project sponsor?

• What delegated decisions are required and what are Member decisions?

• Who is the project manager?

• Who are the specialist leads?

• Financial reporting and procedure.

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Lessons learned: Application

• Do not be afraid of preparing bespoke application

documents to support case

e.g. Design and Access Statement

• Understand responsibility for

delivering the scheme e.g. who will be discharging the

Requirements

• Include as many documents as

you can up front e.g. CEMP, CTMP, WSI to avoid

unnecessary Requirements.

This Photo by Unknown Author

is licensed under CC BY-NC-SA.

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Lessons learned: Flexibility

National Infrastructure Planning Association published report in 2017 on design vs flexibility: https://www.nipa-uk.org/uploads/news/(UCL)_Morphet_and_Clifford_-_NIPA_Main_Report_-_June_2017.pdf

Some flexibility (limits of deviation) essential:

• Need sufficient land to deliver scheme (and rights to access or acquire it)

• Need to justify compulsory acquisition• Can have parameters in DCO (maximum and

minimum)• DCO application can include ‘alternative options’

e.g. M20 J10A.

Can use Non-Material Amendment process but no time limit on decisions.

Hinkley Point C about to make a material amendment application where timescale more fixed.

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Lesson learned: Consultation and Engagement

• Communication with PINS pre-application invaluable

• Contact plans with consultees helpful (PINS template)

• Front-load consultation with statutory bodies (both national and local representatives)

• Engagement with landowners and businesses affected will reduce third party objections

• Not just about numbers – one person may have a valid issue whereas 100 people may not

• Make clear to public what they can influence

• Consultation team and Land Referencing team need to work together (use of Pinpoint)

• Use Statements of Common Ground

• Plan for two rounds of statutory consultation even if not needed

• Consultation Report needs the right lead author who understands the project and the process.

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Lessons learned: Risks

• Changes to Order Limits and robust consultation is essential for acceptance of the application

• Top Judicial Review risk - poor interpretation of planning policy. Not just a tick box exercise

• Need to clearly justify choices in alternatives assessment.

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Lessons learned: Examination

• Examination in Public is resource intensive and team need to be resilient

• Site visit should be well resourced – ExA

needs to go away understanding the

scheme

• Need to be organised as answering questions needs fast review and

turnaround.

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Lessons learned: Construction

Look ahead to construction:

• Early contractor advice on what is deliverable on

the ground to minimise post-decision changes

• Don’t ‘over-commit’ to mitigation

• Allow enough space within Order Limits for temporary works

• Use mitigation register effectively and link back

to DCO

• Handover between preliminary and detailed design

• Start discharging requirements ASAP.

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Lessons learned: Requirements

• Requirements should be drafted by planners and consultees and reviewed by

lawyers

• Try to avoid “work shall not commence until…”

• Segment works packages in all

Requirements

• Be precise

• Accept any changes ExA proposes.

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Questions

?

Your Lincolnshire Highways Alliance contact:Richard Hardesty ([email protected])

Talk to WSP’s DCO team:

Amy Hallam ([email protected]) Exeter

Vicky Moran ([email protected]) Manchester

Marcus Wood ([email protected]) Exeter

Clare Hennessey ([email protected]) Bristol

Akshat Vipin ([email protected]) Basingstoke

Planning Inspectorate:http://infrastructure.planningportal.gov.uk/

A30 Temple to Higher Carblake application for development consent:http://infrastructure.planningportal.gov.uk/projects/South%20West/A30-Temple-to-Higher-Carblake-Improvement/

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Questions?

wsp.com

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Thank you!

wsp.com

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