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www.gov.uk/defra
Neighbourhood Planning
The rural frontrunners: research and case studies
April 2013
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Crown copyright 2013
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Contents
Introduction .......................................................................................................................... 1
What is this report? .......................................................................................................... 1
Who should read this report? ........................................................................................... 2
What is neighbourhood planning? .................................................................................... 2
Why is this important? ...................................................................................................... 3
How can neighbourhood planning help address the rural agenda? ................................. 5
Study Method ..................................................................................................................... 10
Overview ........................................................................................................................ 10
Work stages ................................................................................................................... 11
The Case Studies .............................................................................................................. 14
Introduction .................................................................................................................... 14
Issue 1: Local development need ................................................................................... 17
Issue 2: Governance ...................................................................................................... 33
Issue 3: Engagement ..................................................................................................... 37
From the frontline: Tips from the frontrunners .................................................................... 44
Introduction .................................................................................................................... 44
Is a neighbourhood plan right for you? ........................................................................... 44
What are you trying to achieve? ..................................................................................... 45
Plan the Plan .................................................................................................................. 46
Is it enough to be in general conformity with the Local Plan? ....................................... 47
Think about the basic conditions from day one ............................................................. 48
Work in partnership with the Local Authority .................................................................. 49
Use existing evidence .................................................................................................... 50
Share and exchange knowledge with your neighbouring areas ..................................... 51
Appendix A: Useful sources ............................................................................................... 52
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Appendix B: Interview questions ........................................................................................ 56
Appendix C: Case study selection ..................................................................................... 61
Appendix D: Acknowledgements ....................................................................................... 65
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Introduction
What is this report?
This report presents a series of case studies that communities considering neighbourhood
planning can consult as they develop their own neighbourhood plans and development
orders.
It has a particular focus on rural planning issues and is based upon research into the
progress made by, and lessons being learnt from, the rural neighbourhood planning
frontrunners.
The case study material does not seek to duplicate the many how-to guides that have
been published and which are widely available1. Rather, it seeks to identify the challenges
or regularly occurring issues that communities in rural areas are trying to address, and
provides information, links and prompts to those neighbourhood plans that are tackling
these.
The report does not provide all the answers and, indeed, does not intend to: there is no
one-size-fits-all approach and the response in one place will not necessarily be applicable
in another. However, it does seek to show what can be achieved, and what approaches
could work or be considered elsewhere.
There is much more to learn. This report was researched less than a year after the
introduction of the Localism Act, the National Planning Policy Framework, and the
Neighbourhood Planning Regulations. Few neighbourhood plans have been submitted for
examination. At the time of writing, only two have reached the referendum stage. As
more neighbourhood plans progress, more learning and practical examples will come to
light. This report and the case studies contained within it will, likewise, need to evolve over
time.
The report has been prepared by Parsons Brinckerhoff on behalf of the Department of
Environment, Food and Rural Affairs (Defra) with input from the Department forCommunities and Local Government (DCLG). It has been subject to comment from a
wider reference group comprising representatives from Action with Communities in Rural
England (ACRE), the Campaign to Protect Rural England (CPRE), the Commission for
Architecture and Built Environment (Cabe) at the Design Council, Locality, Planning Aid
England and The Princes Foundation for the Built Environment.
1Links to a selection of these are embedded within the report and also listed in Appendix A: Useful sources
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Who should read this report?
This report will be of interest to anyone thinking about or currently working on a
neighbourhood plan. The focus of the report and the case studies is on how
neighbourhood planning can help address particular rural issues, but some of the findingson aspects related to process and outputs may be of interest to those involved in
neighbourhood planning in urban areas too.
The case studies are primarily aimed at helping community groups, but may also be of
relevance to local authority officers and members, as well as the wider planning and
development industry.
What is neighbourhood planning?
Neighbourhood planning was introduced through the Localism Act as a way for
communities to have a greater say in how the places where they live and work should
change and develop over time. The Act devolves greater powers to councils and
neighbourhoods, and gives local communities more control over housing and planning
decisions. It is a key reform of the planning system, designed to create the conditions for
communities to welcome growth by giving local people a real voice in deciding the look
and feel of development in their area - from determining the location of shops, offices and
schools, for example, to setting standards of design for new housing.
Neighbourhood planning, as a new policy and plan-making initiative, is still in its infancy.
Although there is a wealth of previous experience across the country in relation to
community-led planning, in the form of Parish Plans and Village Design Statements for
example, neighbourhood planning differs from this as, for the first time, if a plan is brought
into force, then very real weight is attached to the communitys plans and aspirations. This
represents an excellent opportunity for the community to influence and shape change, to
address particular concerns, with a strategy grounded in and reflecting local knowledge
and objectives.
Understandably, many communities across the country have been excited by theopportunities that neighbourhood planning offers. It has been enthusiastically taken up, in
both rural and urban areas, with more than 200 neighbourhood plans being progressed
with funding made available by DCLG through its frontrunner programme. Work on these
began in advance of the Neighbourhood Planning Regulations being in place. Indeed,
their purpose was to test the process before the Regulations were adopted, and to enable
lessons from them to be learnt and shared. Many more communities across the country
are now starting to develop neighbourhood plans.
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Why is this important?
The planning system helps decide what gets built, where and when. It has an important
role in supporting economic growth, improving peoples quality of life, and protecting the
natural environment.
In theory, planning was always intended to give local communities a say in decisions that
affect them. But in practice, communities have often found it hard to have a meaningful
say. The government wants to put power back in the hands of local residents, employees
and business, councils and civic leaders - those who know best the needs of their local
areas.
Key facts and figures
Nearly one-fifth of Englands population live and work in rural areas in a patchwork of
farms, hamlets, villages and towns. These rural areas are living, dynamic communitieswhich contribute significantly to the national economy and to our national heritage, culture
and character.
! Rural areas are defined as settlements with fewer than 10,000 people.
! 86 per cent of Englands landmass is rural.
! 18.9 per cent of the population of England live in rural areas (9.8 million people in
2010).
! 1.2 per cent of the population lives in sparse rural areas (620,000 people in 2010).
These are areas where the surrounding area is defined as being remotely
populated2.
Rural Statement 2012
The Rural Statement3affirms the Governments overarching commitment to rural
communities, setting out a vision of successful rural businesses and thriving rural
communities in a living, working countryside.
The Rural Statement recognises that local government, the voluntary sector and the
private sector each have a crucial role in delivering the services that rural people depend
upon, and it highlights the policies and good practice that are helping people to take local
action to meet their own needs.
2Source for figures: www.defra.gov.uk/rural/economy/
3Defra (2012) Rural Statement 2012, September
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The Rural Statement makes reference to the introduction of the National Planning Policy
Framework (NPPF) and neighbourhood planning, which it notes has sought to simplify the
complex planning process and introduce a new, more flexible and positive approach to
planning, making it easier for local rural communities to be involved in advancing
developments that best suit their needs.
The Rural Agenda
Over the last decade there has been much interest in, and a body of research undertaken
into, the particular planning, socio-economic and environmental issues affecting rural
areas and communities. At a very high level, these issues can be summarised as a lack of
affordable housing and limited or restricted business growth. But this gives rise to a range
of inter-related issues, including:
! An ageing population.
! Delivering, supporting and maintaining local services.
! Designing better, more integrated development.
! Diversifying the economic base.
! Enhancing accessibility and reducing dependence on the car.
! Meeting the housing needs and, in particular, the affordable housing needs of rural
communities.
! Retaining the very character and qualities that define our rural communities.
These issues come together in what has been called the sustainability trap, where
slavish adherence to what exists4and the application of tick box5sustainability exercises
has sought to maintain the status quo. This has denied rural communities and villages the
opportunity to respond to the need for growth, and denied them the ability to provide
homes and jobs which can help sustain local facilities and services that might otherwise
close.
In essence, the argument is that planning policies and the interpretation of them has often
resulted in villages and rural areas being identified as inherently unsustainable locations.
This has denied them of the potential growth they need, such as locally affordable
housing, to enable people to remain living and working in those areas. Without this growth
it is difficult to sustain shops, schools and other services. If these close or contract, the
area becomes even less sustainable. The result is that rural communities have slowly but
4The Rural Coalition (2009) Prospectus: The Future is Rural Too, The Rural Coalition (ACRE, CPRE, CLA, LGA, RTPI, TCPA), CRC
and CABE, September
5Taylor, M. (2008) Living Working Countryside: The Taylor Review of Rural Economy and Affordable Housing, DCLG, July
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relentlessly become less and less sustainable and less and less self-sufficient6. This can
give rise to social exclusion: if lower income households are excluded from rural
communities, because of a lack of affordable housing and access to jobs and services, the
social and economic vitality of these areas is weakened7.
Neighbourhood planning presents a real opportunity to address these matters, with local
communities, under the leadership of the Parish Council, now being able to develop
visions, strategies and planning policies that respond to and are grounded in an
understanding of the local area.
How can neighbourhood planning help address therural agenda?
Irrespective of the final form and focus of the neighbourhood plan, it is clear that a series
of rural issues need considering. These will vary from place to place and, in some areas,they may already be addressed through local plans and core strategies. However,
neighbourhood planning provides the opportunity to respond to these challenges from the
bottom-up. As the introduction to the Taylor Review states:
Change is inevitable whether development takes place or not, and the choices we
make today will shape tomorrows character of the market towns, villages and
hamlets that make up our countryside.8
Neighbourhood planning can help communities to develop a locally specific set of policies
that shape the future of an area, and help them have greater control over what change
happens where and when. The process of neighbourhood planning can:
! Generate a bottom-up debate about local needs and what needs developing,
protecting or providing to help shape a positive and successful future for the
community.
! Assess the type and amount of housing required, the type and split of affordable
housing, and where and how this can be delivered.
! Assess how planning and policy can respond to and encourage a range of different
employment types in rural areas.
! Consider the impact of future change on the presence of facilities and services, and
how these might be supported.
6The Rural Coalition (2010) The Rural Challenge: Achieving Sustainable Rural Communities for the 21st Century, TCPA, August
7Cambridge Centre for Housing and Planning Research with Land Use Consultants for Defra (2006) The Extent and Impacts of Rural
Housing Need, Defra, December
8Taylor, M. (2008) Living Working Countryside: The Taylor Review of Rural Economy and Affordable Housing, DCLG, July
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! Give thought to how accessibility by all modes of transport can be enhanced.
! Help think about the area holistically and how change and development can benefit
the place as a whole, rather than being seen in isolation. Policies can help create
more attractive and integrated development that is socially and environmentally
friendly.
! Ensure that any decisions are based upon a broadly representative range of
responses and opinions, with different engagement techniques used to encourage
the involvement of all in the process.
The neighbourhood plans we have looked at during our research have been seeking to
address a wide range of issues as well as following different routes for producing the plan.
Some examples are outlined below.
Housing
Nearly all the rural neighbourhood plans we looked at are grappling with the need for
housing and, in particular, local affordable housing. A variety of approaches are being
explored.
In Much Wenlock and Thame, land is being allocated for development, giving the
community greater control over where housing growth required by the local plan should be
located. This is also happening in the Cringleford neighbourhood plan.
In Allendale and Upper Eden, consideration is being given to the reuse and conversion ofredundant farm buildings. In Strumpshaw, the neighbourhood plan is looking at the
opportunities created by small scale housing to help deliver improved community facilities.
The issue of affordable housing for local people is being tackled in many rural
neighbourhood plans. Approaches include the use of rural exception sites and working
with Registered Social landlords (RSLs) to introduce a cascade, where housing is first
offered to local people, followed by others on the waiting list. There are questions here as
to how local is defined. Such a definition is provided in the Allendale neighbourhood plan.
In Lynton and Lynmouth there are concerns about the use of housing as holiday or secondhomes which are only often only occupied for short periods of the year. Policies have
been prepared that require new housing to be the purchasers primary place of residence.
Employment and economic growth
Many neighbourhood plans are looking to protect local services and shops, are
considering job creation and the local economy. They are establishing objectives and
policies to help promote, strengthen and diversify the economy.
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In addition to housing issues, low pay and lack of employment opportunities have been
cited as reasons why some people are moving away from rural areas9. More and better
employment opportunities are required to reduce out-migration, particularly of young
people, and to retain skills. Reducing out-migration and retaining this spending power can
support the vitality of local shops and services.
In the Slaugham and Upper Eden plans, broadband and provision of fibre-to-the-premises
is being promoted as a means of encouraging home working. In Lynton and Lynmouth
ideas are being explored to reopen the Lynton and Barnstaple Railway as a way of further
capturing spending from tourism.
In the Fosse Villages the neighbourhood plan is looking at how the local economy might
be re-balanced, supporting the provision of suitable new premises and sites for smaller
businesses and enterprises to start up and expand in the area.
As part of the Cerne Valley neighbourhood plan a separate business strategy group hasbeen established and is developing ideas that will feed into the neighbourhood plan.
Both Allendale and Cringleford include policies to promote economic development in their
draft neighbourhood plans, published for pre-submission consultation online. Allendale's
policies make it easier to build new business space and facilities for home working, as well
as promoting appropriate development for tourism, an important source of income in the
area. Cringleford's policies focus on providing space for small businesses and protecting
the local retail offer.
Uppingham's plan is strongly led by the town's business group with the town council, andconsiders the economic benefits that development could bring to the town. A key aim is to
attract investment and create local jobs. One of the ways the town intends to do this is by
improving both transport and digital communications infrastructure.
Within the current economic climate, the challenge for people involved in neighbourhood
planning will be making this happen. A further review of these and other emerging plans in
time will help show how successful these policies have been.
Consultation and engagement
The research has found a variety of consultation approaches and techniques being used,
though most plans have used traditional methods such as exhibitions, leafleting, meetings,
questionnaires, road shows, social media and websites.
In Lynton and Lymouth volunteers have acted as community champions: representatives
from the local community and local organisations who can then take messages back to
their contacts to further spread the word and encourage involvement.
9Colin Buchanan, Gallent, N and Robinson, S, for Defra (2010) Research into Rural Housing Affordability: Final Report, Defra
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Along the same lines of the community champions approach, topic groups were created in
Thame, based around key themes to be developed in the neighbourhood plan.
Consultation in both Thame and Much Wenlock has been extensive, with several rounds
of meetings and presentations taking place in both. These have generated a substantial
number of responses. In Thame, consultants were employed to help interpret consultation
comments and feedback and develop ideas and options.
In the larger, multi-parished areas roadshows have been used to engage with people.
Both the Fosse Villages and Upper Eden plans used this approach. This has required
some tailoring of the material presented to reflect slightly different parish concerns.
Types of plan
A variety of types of neighbourhood plan are being produced across the country. DCLG
has identified that, broadly, six different types of neighbourhood plan are being progressed
by the frontrunners10,as presented in Table 1 below. There is no right or wrong approach.The type of plan prepared will reflect the issues being faced in a particular area and the
ambitions of the community.
The case studies in this report reflect this variety. The Upper Eden plan includes seven
policies, all primarily focused on the provision of housing in sparsely populated rural areas.
At the other end of the spectrum, the Thame plan is comprehensively addressing a full
range of issues. It includes site allocations and policies for a range of land uses and
activities. It is taking the form of a mini local plan. In the Allendale neighbourhood plan
there are no site allocations but again it covers a wide range of policy issues. It is taking
the form of a policy plan.
10See DCLG presentation at Planning Aid for London Neighbourhood Planning Event, 9 May 2012, http://tinyurl.com/ckty6jx
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Table 1: The different types of neighbourhood plan being undertaken
Type of neighbourhood
plan
Scope / content
Mini local plans Comprehensive coverage of policy issues
Allocate development sites for a wide range of uses
Policy and allocation
plans
Neighbourhood plans covering a narrower range of issues
Often theme specific
Allocate development sites for a narrow range of uses
Single policy document Neighbourhood plan covering a single policy issue (for example,
protection of green space)
Policy plans Neighbourhood plans covering a broad range of policy issues
No site allocationsSimilar to parish plans
Augment local plan policy
Neighbourhood
development order (minor
development)
Residential minor development (for example, house extensions,
windows)
Town centre change of use / minor changes to signage
Business park / industrial estate - minor development
Neighbourhood
development order (sitespecific)
Development of a particular site (for example, small housing scheme
under Community Right to Build)
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Study Method
Overview
Introduction
In this section we present the approach to the research and production of the case studies.
As per the project outline issued by Defra, the study is about qualitative rather than
quantitative material and experiences. The primary aim of the work has been to draw out
examples of how neighbourhood planning is progressing in rural areas. The work thus
revolved around interviews and discussions with neighbourhood groups and authorities as
opposed to the gathering and analysis of raw data.
Study period
Work on the study commenced in November 2012, with research and interviews
undertaken between then and February 2013. It is based upon discussions with the most
advanced rural neighbourhood plan frontrunners as of November 2012. The work is thus
a snapshot in time: at the time of writing only one neighbourhood plan (Upper Eden) has
been successfully voted in favour of at referendum; and only two others have progressed
through the examination stage (Thame and Exeter St Davids).
As more neighbourhood plans progress there will inevitable be new lessons emerging from
their experiences. What this study has sought to do is to identify those most commonlyoccurring issues which will be of interest to others and help them progress their
neighbourhood plans.
Neighbourhood plans reviewed
A list of the ten most advanced rural based neighbourhood plan frontrunners was provided
by DCLG. Telephone interviews were arranged and carried out with the parish council (or
representative leading the neighbourhood plan on behalf of the community) and an officer
at the local authority within which the plan area falls. Where available, draft plans and
emerging material were also reviewed.
The ten neighbourhood plan frontrunners (and the local authority area) identified by DCLG
were:
! Allendale (Northumberland County Council)
! Cerne Valley (West Dorset District Council)
! Faversham Creek (Swale Borough Council)
! Fosse Villages (Blaby District Council / Leicestershire County Council)
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! Lynton and Lynmouth (Exmoor National Park)
! Much Wenlock (Shropshire Council)
! St Blaise (Cornwall County Council)
! Strumpshaw (Broadland District Council)
! Thame (South Oxfordshire District Council)
! Upper Eden (Eden District Council)
Work stages
Literature reviewA review of literature and material prepared by various sources was carried out in relation
to (a) rural planning issues and (b) of neighbourhood planning work undertaken thus far.
It drew upon a range of material, including previous research and reports, such as the
Taylor Report11
and the Rural Coalition12
. Material available from the DCLG through the
frontrunner programme was reviewed13
, as well as that prepared by the four organizations
who received funding from DCLG to support communities in Planning14
. Furthermore,
research, commentary and papers prepared on neighbourhood planning to date and the
lessons learnt were reviewed
15
.
Alongside the literature review, a question was posted on the Neighbourhood Planning
group on LinkedIn. This sought to ask members about their experiences, areas of
learning, key rural issues being address, and how key rural issues are being addressed.
At the time of posting the question, the LinkedIn group had close to 2,000 members drawn
from a variety of locations and backgrounds. The question drew 47 responses.
11Taylor, M. (2008) Living Working Countryside: The Taylor Review of Rural Economy and Affordable Housing, DCLG
12See, for example, The Rural Coalition (2010) The Rural Challenge: Achieving sustainable rural communities for the 21
stcentury,
TCPA
13See, for example, the series of Notes on Neighbourhood Planning published by DCLG
14See, for example, Locality (2012) Neighbourhood Plans Roadmap Guide, and the Cabe @ The Design Council online neighbourhood
planning toolkits and guidance (http://www.designcouncil.org.uk/our-work/CABE/Localism-and-planning/Neighbourhood-planning-
toolkits-and-guidance/)
15See, for example, Derounian, J. (2012) Localism: what can we learn f rom the pioneer authorities? and SKM Colin Buchanan (2011)
Neighbourhood Planning: Lessons learnt from the frontrunners
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Salient points from the review were drawn out. These included concerns with regard to
the provision of affordable housing, social and community infrastructure, transport
provision and the need to diversify and grow the economic base but, at the same time,
retaining the very characteristics of our rural communities.
The messages from the review were used to inform the format of the interviews with the
community representatives and local authority officers working on the list of ten identified
neighbourhood plans.
Interviews
Telephone interviews were sought with the community representatives and local authority
officers for the ten neighbourhood plans. Twenty interviews were sought and eighteen
undertaken. Contact details were supplied by DCLG. Initial contact, explaining the
purpose of the study and inviting people to participate, was made by Defra.
A list of questions was prepared and agreed with Defra, with some slight variations
between those for the community representatives and local authority officers, reflecting
their different roles. The questions asked are presented in the appendix to this report.
In addition, questions were also posed of the six organisations providing support to
communities, comprising the four groups awarded funding from DCLG for this purpose
(CPRE, Locality, Planning Aid England, The Princes Foundation for the Built
Environment), plus ACRE and Cabe at the Design Council who also provide similar
services to communities. These questions are also presented in the appendix. Four of
these groups provided responses to the questions, but all provided input through their role
on the study reference group.
Alongside the questions, and where available, the emerging neighbourhood plans, policies
and objectives were reviewed.
Case studies
The emerging findings from the literature review, interviews and review of emerging plans
were presented in a preliminary report. In this, eighteen potential case studies were
identified. The suggested case studies focused on topics rather than being place specific:
it was agreed at the early stages of the study that greater benefit would be derived from
looking at particular issues, such as identifying land for development, rather than reporting
on progress of a single plan. It was felt this would be of more interest and value to other
community groups looking to prepare or who are currently working on neighbourhood
plans.
Of the list of eighteen potential case studies, some were very much rural-specific, others of
interest to a wider audience. Some were focused on policy and outputs, others on process
matters. Many also straddled an overarching issue the delivery of housing, for example.
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Following review by the project and reference group, seven case study topics were
shortlisted for further investigation. The case studies are those which reflect issues being
faced by a wide range of communities. The case studies draw upon different
neighbourhood plans and show how different communities are responding to particular
issues.
Those potentially interesting case study topics identified in the list of eighteen, but where
the neighbourhood plan it would draw upon was still at a relatively early stage of the plan
making process, were not been taken forward at this stage they would only provide
limited information, though of course might be worth revisiting at a later date.
Some other suggested case study areas have not been progressed because they
duplicate current or emerging national policy positions (for example, the roll out of
broadband), or because they are not strictly land use planning policy matters (for example,
the provision of local community transport).
The long list of potential case studies and the final selection is shown in the Appendix.
Following the shortlisting of the case studies, further background research and discussions
with the parish / town councils and the local planning authority officers was undertaken.
The resulting case studies are presented in the next section of this report.
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The Case Studies
Introduction
Through the research a series of common issues have emerged, relating both to emerging
policies and the approaches followed in the production of the plan. These include (1)
housing and local development need, (2) governance of the plan, and (3) consultation and
engagement.
Seven case studies have been prepared, grouped according to one of three main issues,
as shown in Table 2 below. The case studies are ones which:
! Have good information available.
! Have made good progress since being awarded frontrunner status.
! Reflect issues that could be faced by a wide range of communities.
Some neighbourhood plans feature in more than one case study. This partly reflects the
status of the neighbourhood plans reviewed: some being more advanced than others and
thus having more useful information for the case studies. They do though provide a good
geographic spread (see Figure 1). In time, as more neighbourhood plans advance, and
more knowledge and experience emerges, this list could widen.
Each case study provides links and signposting to useful plans and documents where the
reader can find out more.
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Table 2: Overview of selected case studies
Overarching
issue
Case study topic Case study neighbourhood plan(s)
drawn upon
Local Development
Need
A dispersed housing strategy:
allowing modest development in
small villages
Upper Eden
Where should new housing go?
Identifying land for development
Much Wenlock and Thame
Limiting second homes: restricting
the use of new housing as holiday
homes
Lynton & Lynmouth
Providing affordable homes for the
local community
Allendale and Thame
Governance Plan areas that cross boundaries:
how parishes can work together
Fosse Villages
Engagement Increasing interest and involvement
in the plan: using community
champions
Lynton & Lynmouth
Community consultation: how to
involve young people
Fosse Villages and the Leicestershire
Neighbourhood Planning Network
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