Model Planning Conditions for the Code for Sustainable Homes and Breeam 14

1 Contents

ONE Introduction 1 BACKGROUND 1 WHAT IS SUSTAINABLE DESIGN AND CONSTRUCTION? 2 CLIMATE CHANGE SPD 2 PURPOSE OF GUIDANCE NOTE 1: SUSTAINABLE BUILDING STANDARDS 2 CONTENTS 2

TWO Policy Context 3 NATIONAL CONTEXT 3 LONDON CONTEXT 3 BOROUGH CONTEXT 4

THREE Code for Sustainable Homes 5 BACKGROUND 5 PLANNING POLICY REQUIREMENTS 5 PLANNING GUIDELINES 5

Guideline SB1: Pre- Assessment Report (Code for Sustainable Homes) 6

Guideline SB2: Design Stage Assessment (Code for Sustainable Homes) 7

Guideline SB3: Post Construction Stage Assessment (Code for Sustainable Homes) 8

FOUR ‘BREEAM’ Sustainability Ratings (Non-Residential Developments) 9 BACKGROUND 9 PLANNING POLICY REQUIREMENTS 9 PLANNING GUIDELINES 10

Guideline SB4: Pre- Assessment Report (BREEAM) 10

Guideline SB5: Design Stage Assessment (BREEAM) 10

Guideline SB6: Post Construction Stage Assessment (BREEAM) 11

FIVE Sustainable Design and Construction Statements 12 BACKGROUND 12 PLANNING POLICY REQUIREMENTS 12 PLANNING GUIDELINE 12

Guideline SB7: Sustainable Design and Construction Statements 12

SIX Model Planning Conditions 13 BACKGROUND 13 PLANNING GUIDELINE 13

Guideline SB8: Use of Planning Conditions (CSH/ BREEAM) 13

MODEL PLANNING CONDITIONS FOR THE CODE FOR SUSTAINABLE HOMES AND BREEAM 14

SEVEN Development Management Flowchart: Code for Sustainable Homes 15 and BREEAM

2 ONE Introduction

Background 1.1 In 2009, Sutton became the first Council in the UK to commit to being a ‘One Planet Living' (OPL) Borough. This seeks to reduce our environmental footprint to acceptable levels based on the recognition that if everyone in the world lived as we do in Sutton, we would need almost three planets’ worth of resources to maintain our current levels of consumption. Sutton’s shared OPL vision will be delivered by a partnership between the Council and a range of stakeholders, including developers, local residents and the business community. 1.2 Sutton’s One Planet Action Plan 2011-12 (LBS, 2011)1 sets out the key principles which underpin the Council’s ambition to become London’s most sustainable suburb and includes some of the most challenging environmental targets set anywhere in the UK. These include becoming a ‘zero carbon enabled’ Borough by 2025, achieving zero carbon standards for all new development in Hackbridge and further Borough-wide targets set for reducing carbon emissions from buildings, sustainable waste management, local and sustainable construction materials, natural habitats and wildlife, water efficiency, sustainable transport, health and climate change adaptation. Hackbridge, which contains the world-renowned BedZED2 development, has been identified as Sutton’s flagship OPL community and presents a unique opportunity to create an example of what a sustainable suburb could look like. The Council is working with developers and the local community through the Neighbourhood Planning process to secure zero carbon standards in all new developments. What is Sustainable Design and Construction? 1.3 In short, sustainable design seeks to minimise energy, carbon emissions and resources used in constructing, occupying and operating buildings, while maximising the positive benefits of development for quality of life and the local environment. Other key considerations are to ensure that the design and layout of new developments minimise vulnerability of people and property to climate change impacts, to protect and enhance biodiversity and habitats, maintain green space networks and provide healthy buildings and spaces that comfortable for users. 1.4 Promoting the highest standards of sustainable design and construction in all new development is central to the Council’s OPL Vision. According to DECC3, almost half (49.1%) of total carbon emissions within the Borough, or 418.3 k tonnes per annum (ktpa), come from the built environment. Sutton’s Core Planning Strategy4 (December 2009) seeks to “build on Sutton’s reputation as greener, cleaner Borough and work towards the Council’s long-term goal of OPL by addressing the causes and potential impacts of climate change, promoting built energy efficiency and renewables, cutting pollution, reducing waste, managing flood risk and protecting habitats and species diversity” by: • achieving the highest standards of sustainable design and construction in all new development by addressing climate change, minimising flood risks, promoting water and resource efficiency, minimising pollution, protecting and enhancing local habitats and biodiversity, creating inclusive environments and reducing reliance on private vehicles (Strategic Objective SO6); • making the fullest contribution to the mitigation of and adaptation to climate change within the Borough and minimise carbon dioxide emissions from new development by promoting built energy efficiency, the efficient supply of energy, and renewable sources of energy (Strategic Objective SO5); and • ensuring that new development is not exposed to unacceptable risks of flooding and avoids, manages and reduces the potential risks of flooding elsewhere, taking into account climate change (Strategic Objective SO7). 1.5 The Council’s adopted planning policies relating to key aspects of sustainable design are now established as part of Sutton’s Local Development Framework (LDF) as follows: • Core Planning Strategy (December 2009): Core Policies BP6 on ‘One Planet Living’ and BP7 on ‘Flood Risk and Climate Change Adaptation’; • Site Development Policies DPD (March 2012): Policies DM5 ‘Sustainable Design and Construction’, DM6 ‘Climate Change Mitigation’, DM7 ‘Flood Risk’, DM8 ‘Climate Change Adaptation’, DM9 ‘Water Supply, Water Quality and Sewerage Infrastructure’, DM10 ‘Air Quality’, DM11 ‘Contaminated Land’, DM12 ‘Noise and Vibration, DM13 ‘Light Pollution’ and DM17 ‘Biodiversity, Habitats and Species’; and • Interim Planning Guidance (IPG) on Sustainable Design and Construction (May 2008) 5: Superseded by the Climate Change SPD.

1 Sutton’s One Planet Action Plan 2011-12 is available at http://www.sutton.gov.uk/CHttpHandler.ashx?id=10954&p=0 (currently under review) 2 further information on BedZED (Beddington Zero Energy Development) is available at http://www.bioregional.co.uk/flagship-projects/one-planet-communities/bedzed-uk/ 3 Department for Energy and Climate Change 4 the Core Planning Strategy DPD (Development Plan Document) is available at http://www.sutton.gov.uk/CHttpHandler.ashx?id=14189&p=0 5 the ‘Sustainable Design and Construction’ IPG is available at https://www.sutton.gov.uk/index.aspx?articleid=4178 1 Climate Change SPD 1.6 The Climate Change SPD has been prepared as a set of 6 Guidance Notes setting out planning guidelines for developers on the following sustainability issues: • Guidance Note 1 - Sustainable Building Standards: Meeting the Council’s minimum standards set out in relation to the Code for Sustainable Homes and BREEAM6;

• Guidance Note 2 - Carbon and Energy: Minimising CO2 emissions in line with phased targets and timescales set out in Policy DM6 through (i) energy efficiency measures (ii) efficient energy supply; and (iii) renewable energy. • Guidance Note 3 - Flood Risk and Water Resources: Minimising all sources of flood risk to and from the development in line with Policy DM7 and achieving higher standards of water efficiency in line with Policy DM10. (Proposed SUDS7 standards are put forward as part of the Council's new statutory responsibilities as a ‘SUDS Approval Body’); • Guidance Note 4 - Climate Change Adaptation: Ensuring that proposed developments are fully adapted to climate change impacts through promoting green space; • Guidance Note 5 - Construction Materials and Waste: Promoting the use of local and sustainable construction materials, minimising construction waste and promoting recycling; • Guidance Note 6 - Environmental Protection: Minimising the adverse impacts of water, air, soil, noise and light pollution during both construction and operation. 1.7 This document constitutes Guidance Note 1 on Sustainable Building Standards and supersedes the relevant developer guidelines set out in the Sustainable Design and Construction IPG adopted in May 2008. Purpose of Guidance Note 1: Sustainable Building Standards 1.8 This document provides step-by-step guidelines for developers on meeting the Council’s minimum requirements in relation to the Code for Sustainable Homes, BREEAM and the submission of sustainable design and construction statements in line with Policy DM5 of the Site Development Policies DPD on ‘Sustainable Design and Construction’. This is designed to show how the development management process should operate, from the earliest pre-application discussions with the Council through to the determination of planning applications and negotiation of planning agreements. A flow-chart is included to show what information should be submitted by developers at each stage, including pre-assessment reports, design stage assessments and construction phase assessments submitted under the Code for Sustainable Homes or BREEAM. Model planning conditions are also set out to ensure compliance with the Policy. 1.9 The Council recognises the critical importance of ‘front-loading’ the planning process by working with developers from the earliest stages of project planning (or building procurement) to ensure that sustainability considerations are integral to the design and layout of new developments. This approach will provide the greatest opportunities for a well-designed development and ensure that the Council’s minimum sustainability standards are met or exceeded in the most cost effective, timely and attractive way possible, consistent with maintaining commercial viability. There is evidence that highly sustainable buildings can be produced at little or no additional cost, provided sustainability is designed in from the outset8. Early liaison between the Council and sustainable design specialists in the design team - including Code for Sustainable Homes/ BREEAM advisors, - is therefore strongly encouraged. 1.10 However, this Guidance Note does not introduce new policies or impose higher environmental standards: it provides technical and procedural guidelines explaining how the Council’s existing planning policies should be applied to a range of development types. The overarching aim of the SPD is therefore to help prospective developers make successful planning applications in line with Sutton’s LDF and the National Planning Policy Framework (NPPF). This Guidance Note is also intended to be used by planning case officers, other Council departments, or local residents or community groups potentially affected by proposed developments.

1.11 The guidelines set out in this Guidance Note forms part of Sutton’s LDF and are a material consideration in the determination of planning applications within the Borough. These should be considered alongside the NPPF, the relevant policies of the Replacement London Plan, Policy BP7 of Sutton’s Core Planning Strategy and Policy DM5 of the Site Development Policies DPD on ‘Sustainable Design and Construction’.

6 Building Research Establishment Environmental Assessment Method 7 sustainable urban drainage systems 8 see http://www.bre.co.uk/page.jsp?id=1809 2 TWO Policy Context

National Context National Planning Policy Framework 2.1 A presumption in favour of sustainable development lies at the heart of the National Planning Policy Framework (NPPF) (CLG9, March 2012) and should be seen as a ‘golden thread’ running through both plan-making and decision- taking10. Planning decisions should secure radical reductions in greenhouse gas emissions, minimise vulnerability and provide resilience to climate impacts, and support the delivery of renewable and low carbon energy by: • planning for new development in locations and ways which reduce greenhouse gas emissions, taking account of landform, layout, building orientation, massing and landscaping to minimise energy consumption • meeting any local requirements for sustainable buildings in ways that are consistent with the Government’s zero carbon buildings policy and adopt nationally described standards (e.g. the Code for Sustainable Homes); 2.2 Good design is core component of sustainable development and indivisible from good planning. Securing the highest standards of sustainable design in new development, with high levels of amenity, is therefore key to achieving the UK’s transition to a low carbon future in a changing climate while contributing positively to making places better for people. The Code for Sustainable Homes and BREEAM 2.3 The Code for Sustainable Homes (CLG, November 2010) is a national standard for assessing and certifying the sustainability performance of new dwellings at both the design stage (leading to an interim certificate) and at the post- construction stage (leading to a final certificate). The Code assigns assessment criteria, targets and associated credits for energy and carbon dioxide (CO2) emissions, water, materials, surface water run-off, waste, pollution, health and well-being, management and ecology. 2.4 As outlined in Section 3 of this Guidance Note, the Code uses 6-star rating system, with the highest rating (Code Level 6) reflecting exemplar ‘zero carbon’ development. The Code is designed to form the basis for future improvements in the Building Regulations towards meeting the Government’s target of achieving zero carbon standards in all new dwellings by 2016. Mandatory minimum performance standards are set at all six levels of the Code in relation to the dwelling emission rate (ENE1)11 and indoor water use (WAT1). Minimum standards are also set at Code entry level for materials, surface water runoff and waste, which must be achieved to gain at least a Level 1 rating. The remaining two issues with mandatory requirements are Fabric Energy Efficiency (ENE2) and Lifetime Homes (HEA4) which apply at Code levels 5 and 6 and at Code level 6 respectively. 2.5 The Building Research Establishment (BRE) has established a range of BREEAM12 schemes for rating the environmental performance of different non-residential building types, which are reviewed and updated on a regular basis. As outlined in Section 4 of this Guidance Note, the principal scheme applying to development proposals within the Borough is currently ‘BREEAM New Construction’ introduced in 2011. The Planning and Climate Change Coalition 2.6 The Planning and Climate Change Coalition (PCCC), led by the Town and Country Planning Association (TCPA), is made up of a wide cross-sector group of organisations and professionals unified by a common drive to ensure that the planning system responds effectively to the climate challenge. In preparing this SPD, the Council has had regard to ‘Planning for climate change – guidance for local authorities’ (PCCC, April 2012)13 which seeks to support national planning policies set out in the NPPF by identifying key principles to secure a low-carbon future and reduce greenhouse gas emissions. While the guide is not a statutory document, it nevertheless has considerable support and can be expected to be accorded appropriate weight in both plan-making and development management. 2.7 The Council has also had regard to the ‘Good Practice Guidance on Sustainable Design and Construction’ (PCCC, August 2012)14, which has been developed jointly by the TCPA and BRE in consultation with a range of key stakeholders The guidance is designed to underpin the NPPF within the context of the localism agenda and is aimed primarily at local authorities, developers, a range of public and private organisations and local communities who want both to tackle climate change and to reap the positive economic benefits that solutions such as renewable energy, sustainable transport and flood resilience can bring.

9 Department for Communities and Local Government, March 2012 10 the NPPF is available at https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/6077/2116950.pdf 11 % reduction in emissions (kgCO2/m2/yr) compared to the target emission rate (TER) set by Building Regulations 2010 based on SAP 2009 (Standard Assessment Procedure) 12 Building Research Establishment Environmental Assessment Method - see www.breeam.org 13 see http://www.tcpa.org.uk/pages/planning-for-climate-change-guidance-for-local-authorities-2012.html 14 see http://www.tcpa.org.uk/data/files/Sustainable_Design_and_Construction.pdf 3 London Context London Plan 2.8 Policy 5.3 of the Replacement London Plan (GLA, July 2011)15 on ‘Sustainable Design and Construction’ seeks to achieve the highest standards of sustainable design and construction across London in order to improve the environmental performance of new development. Development proposals should demonstrate that sustainable design standards are integral to the proposal, including its construction and operation, and ensure that they are considered at the beginning of the design process. 2.9 Major developments should meet the minimum standards outlined in the Mayor’s supplementary planning document (SPG) on Sustainable Design and Construction, including measures to minimise CO2 emissions, avoiding overheating and contribution to the urban heat island effect, making efficient use of natural resources, avoiding pollution, minimising waste, avoiding impacts from natural hazards (e.g. flooding), ensuring developments are comfortable and secure for users, securing sustainable procurement of materials, using local supplies where feasible and protecting biodiversity and green infrastructure. The Mayor’s SPG currently under review. Local Context Site Development Policies DPD 2.10 The Council’s policy requirements in relation to the Code for Sustainable Homes and BREEAM are set out in Policy DM5 of the Site Development Policies DPD on ‘Sustainable Design and Construction’ as follows: Policy DM5 – Sustainable Design and Construction (bullet points 1- 3) The Council will promote the highest standards of sustainable design and construction throughout the Borough by… • requiring all new residential developments to achieve Code for Sustainable Homes Level 4 from 2011 • requiring all residential conversions and changes of use, where appropriate, to achieve BREEAM Eco-Homes (or equivalent16) ‘very good’ from 2011 and ‘excellent’ from 2014 • Requiring all major non-residential developments to achieve a sustainability rating under the appropriate BREEAM scheme (or equivalent) of ‘excellent’ from 2011 and ‘outstanding’ from 2017…..

2.11 The requirement for the submission of a sustainable design and construction statement in support of planning applications for new dwellings or major non-residential developments is set as follows in Paragraph 3.41 of the supporting text to Policy DM5: Para. 3.41: “All planning applications for new dwellings or major non-residential developments should be accompanied by a Sustainable Design and Construction Statement, either as part of the Design and Access Statement or prepared as a separate document, showing how the proposed development complies with each of the standards set out in Policies DM5-DM14, the policies of the Revised London Plan, the Mayor’s SPG on ‘Sustainable Design and Construction’ (GLA, 2006) as amended and any relevant SPD prepared subsequently by the Council. Proposals should also demonstrate that sustainable design standards are integral to the proposal, including its construction and operation, and ensure that they are considered at the beginning of the design process” LBS One Planet Action Plan 2.12 The above targets relating to the Code for Sustainable Homes and BREEAM are reflected in Council’s One Planet Sutton Plan 2011-12 (currently under review) under the ‘zero carbon’ principle.

15 see http://www.london.gov.uk/sites/default/files/London%20Plan%2022%20July%202011.rtf 16 BREEAM Eco-Homes has now been superseded by the ‘BREEAM Domestic Refurbishment’ scheme 4 THREE Code for Sustainable Homes

Introduction 3.1 The Code for Sustainable Homes (CLG, November 2010) is a national standard for assessing and certifying the sustainability performance of new dwellings at both the design stage (leading to an interim certificate) and at the post- construction stage (leading to a final certificate). Although introduced as a voluntary standard, the Code is designed to form the basis for successive improvements in the Building Regulations towards meeting the Government’s target of achieving zero carbon standards in all new dwellings by 2016 and complements the system of Energy Performance Certificates for new homes introduced in 2008 under the EU Energy Performance of Buildings Directive. The Code is currently required by all newly built dwellings funded by the Homes and Communities Agency (HCA) in England. 3.2 The Code assigns assessment criteria, targets and associated credits for a range of issues falling under the following categories: energy and carbon dioxide (CO2) emissions, water, materials, surface water run-off, waste, pollution, health and well-being, management and ecology as shown below in Table 3.1 below. Table 3.1: Summary of Environmental Categories and Issues in the Code for Sustainable Homes 2010 Category Issue Category Issue Energy and CO2 Dwelling emission rate (M)17 Waste Construction site waste management Emissions Fabric energy efficiency (M) Composting Energy display devices Storage of non-recyclable waste and recyclable Drying space household waste (M) Energy labelled white goods External lighting Pollution Global warming potential (GWP) of insulants Low and zero carbon technologies NOX emissions Cycle storage Home office

Water Indoor water use (M) Health and Well- Daylighting External water use being Sound insulation Private space Lifetime Homes (M)

Materials Environmental impact of materials (M) Management Home user guide Responsible sourcing of materials – basic Considerate Constructors Scheme building elements Construction site impacts Responsible sourcing of materials – Security finishing elements

Surface Water Management of surface water run-off from Ecology Ecological value of site Run-off developments (M) Ecological enhancement Flood risk Protection of ecological features Change in ecological value of site Building footprint

3.3 The Code uses a 6-star rating system, with the highest rating (Code Level 6) reflecting exemplar ‘zero carbon’18 development. Mandatory minimum performance standards are set at all six levels of the Code in relation to the dwelling emission rate (ENE1)19 and indoor water use (WAT1)20. Minimum standards are also set at Code entry level for environmental impact of materials (MAT1), management of surface water runoff (SUR1) and storage of non-recyclable waste and recyclable household waste (WAS1), which must be achieved to gain at least a Level 1 rating. The remaining two issues with mandatory requirements are Fabric Energy Efficiency (ENE2)21 and Lifetime Homes (HEA4) which apply at Code Levels 5 and 6 and at Code Level 6 respectively. Full details of the scoring system, including available credits in each category, weighting factors and minimum thresholds for achieving Code Levels 1 to 6, are set out in Tables 1.2 to 1.6 of the Technical Guide to the Code for Sustainable Homes (CLG, November 2010)22 . 3.4 The Building Regulations provide mandatory technical standards for different aspects of a building’s construction to ensure that certain health and safety levels are achieved, including minimum standards for sustainability issues such as energy efficiency (Part L) and water consumption (Part G). However, the Code is intended to signpost the long-term

17 M = Code criterion with mandatory elements 18 the Government’s definition of ‘zero carbon’ (May 2011) covers only those emissions within the scope of the Building Regulations (heating, hot water, ventilation and power) 19 the percentage reduction in carbon dioxide emissions (kgCO2/m²/year) compared to the target emission rate (TER) set by Building Regulations 2010 (Part L) based on the Government’s standard Assessment Procedure (SAP 2009) 20 litres per person per day (l/p/day) 21 kWh/m2/year 22 the Technical Guide is available at https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/5976/code_for_sustainable_homes_techguide.pdf 5 direction of travel on sustainable design and construction and encourages a voluntary progression beyond minimum standards to drive innovation and change in the construction industry. 3.5 An important advantage of using the Code is that it involves independent assessment and accreditation, overseen by the UK Accreditation Service. For local planning authorities such as Sutton this means that they do not need to employ expert staff to assess a development’s credentials, but are able to rely on a trained and licensed independent assessor. At the same time, developers and local communities can have confidence that a development is fairly assessed against objective criteria. 3.6 BRE Global manages the implementation of the Code and is the main Code service provider. Under the terms of its agreement with CLG, BRE Global issues licenses to both assessors and other Code service providers. Code service providers are licensed organisations offering all or part of the range of Code services, including assessor training, registration and monitoring, quality assurance of assessments, certification, investigation and resolution of complaints, and maintenance of records. In February 2008, Sustainable Homes Ltd were licensed to train assessors. As of March 2013, Stroma Certification Ltd and Robust Details Limited are the only other organisations licensed to provide all Code services. 3.7 In the case of proposed refurbishments involving residential conversions or changes of use, the ‘BREEAM23 Domestic Refurbishment’ scheme introduced in 2012 provides an updated design and assessment method for development proposals where a new dwelling is formed by change of use from a building which was not previously used for domestic purposes. This may also include change of use through the conversion of a single dwelling into multiple dwellings, or where several dwelling are converted into a single dwelling. Examples of such projects might include an office, school or hospital building being converted into flats, a large dwelling being converted into flats, or maisonettes being converted into a single dwelling. The scheme can be used for 2 categories of refurbishment: • Category 1: Alterations to existing dwellings and extensions: and • Category 2: Domestic conversions and change of use projects.

Planning Policy Requirements 3.8 The Council’s policy requirements in relation to the Code for Sustainable Homes are set out in the first bullet point of Policy DM5 of the Site Development Policies DPD on ‘Sustainable Design and Construction’ as follows: Policy DM5 – Sustainable Design and Construction (bullet points 1 and 2) The Council will promote the highest standards of sustainable design and construction throughout the Borough by… • requiring all new residential developments to achieve Code for Sustainable Homes Level 4 from 2011 • requiring all residential conversions and changes of use, where appropriate, to achieve BREEAM Eco-Homes (or equivalent24) ‘very good’ from 2011 and ‘excellent’ from 2014

Planning Guidelines Guideline SB1: Pre-Assessment Report (Code for Sustainable Homes/ BREEAM Refurbishment) All planning applications for new dwellings, including new build, conversions and changes of use, should also be accompanied by a Code for Sustainable Homes25 Pre-Assessment Report undertaken by a BRE accredited Code Assessor setting out: • the predicted overall score for the proposed dwelling(s) and Code Level(s) to be achieved; • a description of the sustainable design and construction measures proposed in order to meet the required level of performance against the Code in line with Policy DM5; • the predicted credits to be achieved for Dwelling Emission Rate (ENE1) by reference to the results of the Energy Assessment (see Guidance Note 2 on Carbon and Energy); and • evidence to show that the performance requirements set for each of the creditable mandatory and non-mandatory Code assessment criteria will be met for the desired rating of each dwelling.

Alternatively, in cases where a BRE accredited Code Assessor has yet to be appointed by the developer, a Pre-Assessment Statement may be submitted either as part of the Design and Access Statement or as part of the sustainable design and construction statement (Guideline SB7), subject to the prior agreement of the Council.

Planning applications should include commitments to prepare: • a Design Stage Assessment leading to an Interim Certificate prior to construction starting on site (see Guideline SB2); and • a Post Construction Stage Assessment (as built) leading to final certification under the Code for Sustainable Homes prior to occupation of the development (see Guideline SB3).

23 Building Research Establishment Environmental Assessment Method 24 BREEAM Eco-Homes has now been superseded by the ‘BREEAM Domestic Refurbishment’ scheme 25 or BREEAM Domestic Refurbishment scheme as appropriate 6 3.9 For all proposed residential developments requiring certification under the Code, developers or their agents should register the site on the CLG website26 at from the earliest stages of project planning and design. The service provider will then offer a register of licensed and trained Code Assessors from which the developer can choose and appoint an assessor, who will then register the development formally with the service provider at the earliest opportunity. 3.10 The appointed Assessor should then work closely with the design team to: • ensure that the performance requirements set for each of the following non-creditable mandatory issues are met for each dwelling: environmental impact of materials [MAT1], management of surface water runoff [SUR1] and storage of non-recyclable waste and recyclable household waste [WAS1]; • ensure that the performance requirements set for each of the following creditable mandatory issues are met for the desired rating for each dwelling: dwelling emission rate [ENE1], fabric energy efficiency [ENE2], indoor water use [WAT1] and Lifetime Homes [HEA4]; • choose the remaining tradable issues which are required to achieve the desired overall rating • evaluate the performance of each dwelling against the requirements set for each of the chosen issues to confirm that the required standards are met for the desired overall rating; and • assemble and check the evidence required for the developer, design team and other consultants to show the intended performance will be met. 3.11 Where the developer has registered the site and appointed a Code Assessor from the outset, which is strongly encouraged, the Pre-Assessment Report submitted with the planning application must provide information on each of the above areas and the credits expected to be achieved using the Pre-Assessment Estimator27 available on the BRE website. 3.12 For minor residential proposals where a BRE accredited Code Assessor has yet to be appointed, Pre-Assessment Statements included as part of the Design and Access Statement or the Sustainable Design and Construction Statement (subject to prior Council approval) should set out the following as a minimum: • a clear and reasoned statement that the proposed building/development has been designed to meet or exceed the minimum sustainable buildings standard expected; • the predicted overall score and Code Rating; • the predicted credits for Dwelling Emission Rate (ENE1) by reference to the results of the Energy Assessment; and • a general description of the design solutions proposed in order to meet the standard expected. 3.13 In the case of outline planning applications, it will often be difficult for developers to provide full information on each of the above issues part of the Pre-Assessment Statement and the level of detail to be included will be determined by the nature and circumstances of the development as well as the scope of ‘reserved matters’. However every attempt should be made to show how the proposed design and layout will seek to address the performance requirements associated with each element of the Code. In each case, applicants should provide general information describing how environmental sustainability has been considered as part of the overall strategy for the site in order to confirm that the developer has taken a realistic, considered and achievable approach to meeting the minimum Code Level for the dwelling(s). Guideline SB2: Design Stage Assessment (Code for Sustainable Homes/ BREEAM Refurbishment) Prior to construction work starting on site, a Code for Sustainable Homes Design Stage Assessment must be carried out by a BRE accredited assessor and an Interim (Design Stage) Certificate28 submitted to the Council and approved in writing to show that the required level of performance against the Code will be achieved. Where necessary, the Council may set planning conditions to ensure that these requirements are met. 3.14 The purpose of the Design Stage Assessment is to assess the design specifications (i.e. before construction begins) for each individual dwelling to determine the design stage or interim rating based on how many credits are to be awarded for each issue, and to award an Interim (Design Stage) Certificate subject to quality assurance. It should be noted that final details of landscaping, ecological enhancement and other measures will need to be known at this stage to enable the Code Assessor to calculate total credits for purposes of the Design Stage Assessment. 3.15 Finally, the Code Assessor submits the Design Stage Assessment report to the service provider for quality assurance and to receive the Interim (Design Stage) Certificate. The report must contain references to documentary evidence describing how performance requirements are met, creating a clear audit trail linking the rating awarded to the evidence used to justify it. 3.16 In the case of proposed refurbishments involving residential conversions or changes of use, it should be noted that new registrations under ‘BREEAM Eco-Homes for Refurbishment’ ended on 1 July 2012. For the purposes of Policy DM5,

26 the Code for Sustainable Homes registration portal can be accessed on the CLG website at) www.communities.gov.uk/thecode 27 Code for Sustainable Homes and BREEAM Pre-Assessment Estimators are available on the BRE website at www.breeam.org 28 issued by the BRE or equivalent authorising body 7 this now been superseded by the ‘BREEAM Domestic Refurbishment’ scheme which provides an updated design and assessment method for sustainable domestic refurbishment projects. 3.17 Design stage (pre-refurbishment) assessments must be delivered by BRE licensed Domestic Refurbishment Assessors who can carry out assessments for both small scale and large scale refurbishments as defined in the BREEAM Refurbishment Technical Manual29. As with the Code, Design stage (Interim) Certification is obtained through the BRE. 3.18 Further guidance on Design Stage Assessments is available in the Code for Sustainable Homes Technical Guide. Guideline SB3: Post Construction Stage Assessment and Certification (Code for Sustainable Homes/ BREEAM Refurbishment) Prior to the occupation of the building/ development, a Post Construction Stage (PCS) Assessment must be carried out by a BRE accredited assessor and a Final (Post-Construction) Certificate30, must be submitted to the Council and approved in writing to show that the required level of performance against the Code for Sustainable Homes has been achieved. Developers must provide detailed documentary evidence31 as required by the assessor explaining how each of the criteria or design stage commitments have been satisfied and confirming which dwellings are built to the same specification as those types inspected by the assessor on site. Where necessary, the Council may set planning conditions to ensure that these requirements are met and to ensure that all of the proposed measures will be retained for as long as the development is in existence.

3.19 The purpose of the Post Construction Stage (PCS) Assessment is to assess each individual dwelling as built to determine the final score and Code level for the dwelling prior to occupation. The Council will therefore expect the outcome of the PCS assessment and final Certification under the Code to confirm that all dwellings have been built to Design Stage Specifications and thus achieve Code Level 4 in accordance with Policy DM5. If there are variations from DS specifications, these must be documented and reassessed, with a new score and Code level calculated for each affected dwelling. 3.20 PCS assessment procedures should: • be robust and auditable: • be based on an appropriate number of site visits for each development site to ensure that the assessment properly reflects the dwelling as built; • review every different specification for each issue, with evidence recorded to confirm compliance with the requirements for PCS assessment. 3.21 The number of PCS assessment reports is likely to be based on the phased completion of dwellings within a development. In each case, the number of PCS assessment reports to be submitted for a particular development will be agreed between the Council and the developer and set by condition as part of the planning permission. 3.22 For a large or phased development, there may be some assessment criteria, such as certain credits ecology or community-based facilities, which will not be complete when a PCS assessment for the first dwelling(s) is submitted to the service provider. However, it is possible to certify the first dwellings without certain issues being complete. Details of acceptable PCS exceptions are contained within Table 2.1 of the Code for Sustainable Homes Technical Guide 2010. 3.23 In the case of proposed refurbishments involving residential conversions or changes of use, PCS assessment must be delivered by Competent Persons Licensed under the BREEAM Domestic Refurbishment Scheme with Certification obtained through BRE Global Ltd. Prior to occupation of the development, the Council will therefore expect the outcome of the PCS assessment to confirm that all completed dwellings have been refurbished in accordance with Design Stage Specifications and thus achieve a ‘very good’ rating in accordance with Policy DM5 (or ‘excellent’ from 2014).

29 the BREEAM Refurbishment: Domestic Buildings Technical Manual can be accessed at http://www.breeam.org/domrefurbmanual/ 30 issued by the BRE or equivalent authorising body 31 ‘detailed documentary evidence’ may include any written documentation confirming compliance include a mix of letters, the site inspection report, and specification text or drawings as appropriate. 8 FOUR ‘BREEAM’ Sustainability Ratings (Major Non-Residential Developments)

Introduction 4.1 BREEAM New Construction 2011 is a performance based assessment method and certification scheme which can be applied to most non-residential building types, including offices, industrial uses, retail, schools, hospitals (and other health facilities), community and leisure facilities and hotels. Certification is undertaken by BRE accredited assessors. The scheme consists of a range of assessment issues spanning nine environmental categories, plus a tenth category called ‘innovation’, as shown in Table 4.1. As with the Code for Sustainable Homes, credits are awarded in each area accordingly and added together to produce a single overall score. The performance of the building is then rated on a scale of ‘unclassified’, ‘pass’, ‘good’, ‘very good’, ‘excellent’ or ‘outstanding’. Table 4.1: Summary of Environmental Categories and Issues in BREEAM New Construction 2011 Category Issue Category Issue Management Man 01 Sustainable procurement Water Wat 01 Water consumption Man 02 Responsible construction practices Wat 02 Water monitoring Man 03 Construction site impacts Wat 03 Leak detection Man 04 Stakeholder participation Wat 04 Water efficient equipment Man 05 Life cycle cost & service life Health and Hea 01 Visual comfort Materials Mat 01 Life cycle impacts Wellbeing Hea 02 Indoor air quality Mat 02 Hard landscaping and boundary Hea 03 Thermal comfort protection Hea 04 Water quality Mat 03 Responsible sourcing of materials Hea 05 Acoustic performance Mat 04 Insulation Hea 06 Safety and security Mat 05 Designing for robustness Energy Ene 01 Reduction of CO2 emissions Waste Wst 01 Construction waste management Ene 02 Energy monitoring Wst 02 Recycled aggregates Ene 03 External lighting Wst 03 Operational waste Ene 04 Low and zero carbon technologies Wst 04 Speculative floor and ceiling finishes Ene 05 Energy efficient cold storage Land Use and Ecology LE 01 Site selection Ene 07 Energy efficient laboratory systems LE 02 Protection of ecological features Ene 08 Energy efficient equipment LE 03 Mitigating ecological impact Ene 09 Drying space LE 04 Enhancing site ecology LE 05 Long term impact on biodiversity Transport Tra 01 Public Transport Accessibility Pollution Pol 01 Impact of refrigerants Tra 02 Proximity to amenities Pol 02 NOx emissions Tra 03 Cyclist facilities Pol 03 Surface water run off Tra 04 Maximum car parking capacity Pol 04 Reduction of night time light pollution Tra 05 Travel plan Pol 05 Noise attenuation Innovation Inn 01 Innovation 4.2 To achieve a particular level of performance the majority of credits can be traded. This means that non-compliance in one area can be off-set through compliance in another to achieve the target BREEAM rating. However, the scheme sets mandatory performance standards for each BREEAM rating in certain key areas, including ‘Reduction of CO2 emissions’ (Ene 01). Further technical guidelines are available on the BRE website32. 4.3 In the case of ‘new build’ extensions to existing buildings, BREEAM New Construction 2011 can be used as follows: • apply BREEAM New Construction to the whole development i.e. the new extension plus major refurbished elements; or • apply the BREEAM New Construction and its assessment criteria to the new-build element only. 4.4 Where the project is predominantly a refurbishment, the BREEAM Refurbishment scheme should be used. Planning Policy Requirements 4.5 The Council’s policy requirements in relation to BREEAM are set out in the 3rd bullet point of Policy DM5 as follows: Policy DM5 – Sustainable Design and Construction (bullet point 1 and 2) The Council will promote the highest standards of sustainable design and construction throughout the Borough by… • Requiring all major non-residential developments to achieve a sustainability rating under the appropriate BREEAM scheme (or equivalent) of ‘excellent’ from 2011 and ‘outstanding’ from 2017.

32 Technical Guidelines BREEAM New Construction are available on the BRE website at http://www.breeam.org/podpage.jsp?id=362 9 Planning Guidelines Guideline SB4: Pre-Assessment Report (BREEAM) All planning applications for major non-residential developments should also be accompanied by a BREEAM Pre-Assessment Report undertaken by a BRE accredited Assessor. Alternatively, in cases where an Assessor has yet to be appointed by the developer, a Pre-Assessment Statement may be submitted either as part of the Design and Access Statement or as part of the sustainable design and construction statement, subject to the prior agreement of the Council (Guideline SB7).

All planning applications major non-residential developments should include commitments to prepare: • a Design Stage Assessment leading to an Interim (Design Stage) Certificate under the appropriate BREEAM scheme prior to construction starting on site (Guideline SB5); and • a Post Construction Stage Assessment (as built) leading to final certification under the appropriate BREEAM scheme prior to occupation of the development (Guideline SB6). 4.6 For all proposed residential developments requiring certification under BREEAM, developers or their agents should appoint a BRE accredited assessor, who will then register the development formally at the earliest opportunity. The appointed Assessor should then work closely with the design team to: • ensure that the performance requirements set for each of the following non-creditable mandatory issues are met: Visual comfort [HEA 01], Water quality [HEA 04], Water monitoring [WAT 02] and Responsible Sourcing [MAT 03]; • ensure that the performance requirements for each of the following creditable mandatory issues are met: Sustainable procurement [MAN 01], Responsible construction practices [MAN 02], Stakeholder participation [MAN 04], Reduction of CO2 emissions [ENE 01], Energy monitoring [ENE 02], Low or zero carbon technologies [ENE 04], Water consumption [WAT 01], Operational waste [WST 03] and Mitigating ecological impact [LE 03]; • choose the remaining tradable issues which are required to achieve the desired overall rating and evaluate the performance of each element of the development against the requirements set for each of the chosen; and • assemble and check the evidence required for the developer, design team and other consultants to show the intended performance will be met. 4.7 Where the developer has registered the site and appointed a Code Assessor from the outset, which is strongly encouraged, the Pre-Assessment Report submitted with the planning application must provide information on each of the above areas and the credits expected to be achieved using the BREEAM Pre-Assessment Estimator33 available on the BRE website. 4.8 Where a BRE accredited Assessor has yet to be appointed, Pre-Assessment Statements included as part of the Design and Access Statement or the Sustainable Design and Construction Statement (subject to prior Council approval) should set out the following as a minimum: • a clear and reasoned statement that the proposed building/development has been designed to meet or exceed the minimum sustainable buildings standard expected; • the predicted overall score and BREEAM Rating; • the predicted credits for Reduction of CO2 emissions [ENE 01] by reference to the Energy Assessment; and • a general description of the design solutions proposed in order to meet the standard expected. 4.9 In the case of outline planning applications, the level of detail to be included in the Pre-Assessment Report will be determined by the nature and circumstances of the development as well as the scope of ‘reserved matters’. However, as with the Code for Sustainable Homes, every attempt should be made to show how the proposed design and layout will seek to address the performance requirements associated with each assessment criterion. In each case, applicants should provide general information describing how environmental sustainability has been considered as part of the overall strategy for the site in order to confirm that the developer has taken a realistic, considered and achievable approach to meeting the required performance standard for each element of the development. Guideline SB5: Design Stage Assessment (BREEAM) Prior to construction work starting on site, a BREEAM Design Stage Assessment must be carried out by a BRE accredited assessor and an Interim (Design Stage) Certificate34 submitted to the Council and approved in writing to show that the required level of performance against the appropriate BREEAM scheme will be achieved. Where necessary, the Council may set planning conditions to ensure that these requirements are met. 4.10 As with the Code, the purpose of the Design Stage Assessment is to assess the design specifications (i.e. before

33 Code for Sustainable Homes and BREEAM Pre-Assessment Estimators are available on the BRE website at www.breeam.org 34 issued by the BRE or equivalent authorising body 10 construction begins) for each building to determine the design stage rating based on how many credits are to be awarded for each assessment issue, and to award an Interim (Design Stage) Certificate subject to quality assurance. To complete an assessment at this stage the design must therefore be advanced to a point where the relevant design information is available to enable the BREEAM Assessor to evaluate and verify the building’s performance against each of the relevant criteria. 4.11 Finally, the Code Assessor submits the Design Stage Assessment report to the service provider for quality assurance and to receive the Interim (Design Stage) Certificate. The report must contain references to documentary evidence describing how performance requirements are met, creating a clear audit trail linking the rating awarded to the evidence used to justify it. 4.12 Further guidance on Design Stage Assessments is available in the relevant BREEAM Technical Guide. Guideline SB6: Post Construction Stage Assessment (BREEAM) Prior to the occupation of the building/ development, a Post Construction Stage (PCS) Assessment must be carried out by a BRE accredited assessor and a Final (Post-Construction) Certificate, must be submitted to the Council and approved in writing to show that the required level of performance against the relevant BREEAM scheme has been achieved. Developers must provide detailed documentary evidence35 as required by the assessor explaining how each of the criteria or design stage commitments have been satisfied and confirming which dwellings are built to the same specification as those types inspected by the assessor on site. Where necessary, the Council may set planning conditions to ensure that these requirements are met and to ensure that all of the proposed measures will be retained for as long as the development is in existence. 4.13 The purpose of the Post Construction Stage (PCS) Assessment is to assess each element of the completed development to determine the final score and BREEAM rating prior to occupation. The Council will therefore expect the outcome of the PCS assessment and final Certification under the relevant BREEAM scheme to confirm that each have been built to Design Stage Specifications and thus achieve BREEAM Excellent in accordance with Policy DM5. If there are variations from DS specifications, these must be documented and reassessed, with a new score and BREEAM rating calculated for each affected building. 4.14 Although the Council does not require minor non-residential schemes to achieve a specific BREEAM rating, it is considered that such schemes should seek to achieve the highest possible levels of environmental performance, where appropriate by reference to the assessment criteria set out in the relevant BREEAM Scheme.

35 ‘detailed documentary evidence’ may include any written documentation confirming compliance include a mix of letters, the site inspection report, and specification text or drawings as appropriate. 11 FIVE Sustainable Design and Construction Statements

Introduction 5.1 Policy 5.3 of the London Plan requires development proposals to demonstrate that sustainable design standards are integral to the proposal, including its construction and operation, and ensure that they are considered at the beginning of the design process. Major development proposals should meet the minimum ‘essential’ standards outlined in the Mayor’s SPG on Sustainable Design and Construction36 (GLA, 2006), and this should be clearly demonstrated within a sustainable design and construction statement, submitted either as part of the design and access statement or produced separately. 5.2 Since the adoption of Sutton’s Interim Planning Guidance (IPG) on ‘Sustainable Design and Construction’ as part of the LDF in May 2008, the Council has required sustainable design and construction statements to be submitted in support of all planning applications involving the creation of at least one new dwelling (i.e. minor residential applications of 1-9 units) in addition to major residential and non-residential proposals. Although requirement was not extended to householder extensions or minor non-residential schemes, developers were referred to the IPG to ensure that sufficient information was provided in support of their planning applications to demonstrate that the relevant standards were met. The Council’s previous sustainability performance standards established through Guidelines SDC1-SDC22 of the IPG have now been superseded by Policies DM5- DM13 and DM17 of the Site Development Policies DPD. Planning Policy Requirements 5.3 The Council’s policy requirements in relation to the submission of sustainable design and construction statements are set out in Paragraph 3.41 of the supporting text to Policy DM5 of the Site Development Policies DPD. Planning Guideline Guideline SB7: Sustainable Design and Construction Statements All planning applications for new dwellings or major non-residential developments should be accompanied by a sustainable design and construction statement, either as part of the Design and Access Statement or prepared as a separate document, showing how the proposed development complies with each of the standards set out in Policies DM5-DM13 and DM17 of the Site Development Policies DPD, the relevant London Plan policies, the Mayor’s SPG on ‘Sustainable Design and Construction’ as amended and the Guidelines set out in each of the 6 Guidance Notes making up the Climate Change SPD. 5.4 To ensure that that sustainable design standards are considered from the earliest stages of project planning and design and are integral to the proposal, including its construction and operation, the Council welcomes and encourages all applicants to make use of Sutton’s pre-application advice service37 introduced in April 2011. The provision of sustainability advice to developers and their agents before the planning application stage will result in higher quality applications, quicker decisions and more sustainable developments. This should help to prevent unacceptable schemes from entering the formal planning process. 5.5 A range of pre-application services can be provided for a fee, depending on the type and scale of the proposed development (householder/ small works, minor, smaller major and larger major), including site meetings, office meetings, ‘in principle’ and detailed development control advice. For more complex cases, an extended pre-application service is available to applicants where the timetable for delivering the advice is secured by Planning Performance Agreement (PPA). 5.6 For major development proposals, applicants are therefore advised to prepare an outline sustainable design and construction statement as the basis for any scheduled pre-application discussions with the Council. Where necessary, the Council will seek to incorporate this requirement as part of any PPA. Other key supporting documents which may be required at the pre-application stage include: • pre-assessment estimates for the Code for Sustainable Homes/ BREEAM undertaken by a BRE accredited assessor; • draft Energy Strategy/Assessment (see Guidance Note 2); • draft sustainable drainage (SUDS) strategy see Guidance Note 3); • EIA Scoping Statement or draft Environmental Statement for those proposals with significant environmental impacts falling within Schedule 1 or 2 of the Environmental Impact Assessment (EIA) Regulations 201138.

36 the Mayor’s Sustainable Design and Construction SPG (2006) http://www.london.gov.uk/thelondonplan/guides/spg/spg_04.jsp will be updated shortly with a draft revised SPG due to be published for public consultation in late 2013 37 further information on the scope of the Council’s pre-application advice service and associated fees can be found at https://www.sutton.gov.uk/index.aspx?articleid=1316 38 see Circular 02/99 for further details 12 SIX Model Planning Conditions

Introduction 6.1 In order to ensure that all new residential developments, including new build, residential conversions and changes of use, achieve Code for Sustainable Homes Level 4 or the appropriate rating under BREEAM in accordance with Policy DM5, the Council will set conditions wherever possible to ensure that final Certification is achieved prior to occupation. In doing so, the Council will have regard to Paragraph 206 of the National Planning Policy Framework (NPPF) and Government guidance in Circular 11/95 that conditions should be (i) necessary (ii) relevant to planning (iii) relevant to the development to be permitted (iv) enforceable (v) precise; and (vi) reasonable in all other respects. Planning Guideline Guideline SB8: Use of Planning Conditions (Code for Sustainable Homes/ BREEAM) For all residential and major non-residential developments, the Council will set planning conditions as appropriate in order to ensure that final Certification under the Code for Sustainable Homes or the appropriate BREEAM scheme is achieved prior to occupation having regard to the Planning Inspectorate’s list of model standard conditions39 set out below. In cases where achieving final Certification prior to occupation is likely to cause genuine difficulties for the developer the Council will consider varying its approach based on the specific context of the development being considered, its occupancy arrangements and contractual relationships. 6.2 In most cases, the Council will use the Planning Inspectorate’s model standard condition for the Code for Sustainable Homes as the basis for drafting such conditions. However it may often be necessary to introduce a degree of flexibility through the addition of phrases such as “unless otherwise agreed in writing by the local planning authority”. 6.3 In the case of larger multi-phased developments where achieving final Certification prior to occupation of all residential units is not feasible, for example in shell and core buildings or in multi-tenanted buildings where some areas are occupied ahead of completion in other areas, the Council will consider varying its approach based on the specific context of the development being considered, its occupancy arrangements and contractual relationships. 6.4 Further guidance on the use of planning conditions in the context of sustainable design standards is contained within the Council’s Revised Planning Obligations SPD. Model Planning Conditions for the Code for Sustainable Homes and BREEAM (a) CODE FOR SUSTAINABLE HOMES: Residential Developments If no Pre-Assessment Report has been submitted at the planning application stage “Prior to building work commencing on site a Code for Sustainable Homes Pre-Assessment Estimator must be submitted to the Local Planning Authority and approved in writing to show how a minimum Level 4 rating will be achieved.” In all cases “(Prior to/within 3 months of) work starting on site, a Code for Sustainable Homes Interim (Design Stage) Certificate, issued by the Building Research Establishment (BRE) or equivalent authorizing body, must be submitted to the Local Planning Authority and approved in writing to show that a minimum Level 4 rating will be achieved.” In all cases “Prior to first occupation of the building, a Code for Sustainable Homes Final (Post-Construction) Certificate, issued by the BRE or equivalent authorizing body, must be submitted to the Local Planning Authority and approved in writing to demonstrate that Level 4 has been achieved. All the measures integrated shall be retained for as long as the development is in existence.” Reason “To comply with Policy DM5 of Sutton’s Site Development Policies DPD”

39 see http://www.planningportal.gov.uk/planning/planninginspectorate/inspector/modelconditions#code 13 (b) BREEAM NEW DEVELOPMENT 2011 Residential Conversions and Domestic Refurbishments In all cases: “(Prior to/within 3 months of) work starting on site, a BREEAM for Domestic Refurbishments (Design Stage) Certificate, issued by the BRE, or equivalent authorizing body must be submitted to the Local Planning Authority to show that a minimum Very Good rating will be achieved, unless otherwise agreed by the Local Planning Authority.” In all cases: “Prior to first occupation of the building, a BREEAM for Domestic Refurbishments (Post-Construction) Certificate, issued by the BRE or equivalent authorizing body, must be submitted to the Local Planning Authority and approved in writing to demonstrate that Very Good has been achieved. All the measures integrated shall be retained for as long as the development is in existence. Reason “To comply with Policy DM5 of Sutton’s Site Development Policies DPD”

Major Non-Residential Developments If no Pre-Assessment Report has been submitted at the planning application stage: “Prior to building work commencing on site a BREEAM pre-assessment estimator must be submitted to the Local Planning Authority and approved in writing to show how a minimum Excellent rating will be achieved.” In all cases: “(Prior to/within 3 months of) work starting on site, a BREEAM Interim (Design Stage) Certificate, issued by the Building Research Establishment (BRE) or equivalent authorizing body, must be submitted to the Local Planning Authority and approved in writing to show that a minimum Excellent rating will be achieved.” In all cases “Prior to first occupation of the building, a BREEAM Final (Post-Construction) Certificate, issued by the BRE, must be submitted to the Local Planning Authority and approved in writing to demonstrate that an Excellent rating has been achieved. All the measures integrated shall be retained for as long as the development is in existence.” Reason “To comply with Policy DM5 of Sutton’s Site Development Policies DPD”

(c) SUSTAINABLE DESIGN AND CONSTRUCTION STATEMENTS If no (or an insufficient) Sustainable Design and Construction Statement has been submitted at the planning application stage “Prior to work starting on site, a sustainable design and construction statement, explaining how explaining how the development will meet the requirements of Policies DM5-DM14 of Sutton’s Site Development Policies DPD and the relevant Guidelines contained within the Climate Change SPD , should be submitted to and agreed in writing with the Local Planning Authority. The preferred sustainable design and construction strategy should incorporate [list items as appropriate…]. If any of these measures are not proposed, the sustainable design and construction statement should clearly identify the reason for this. The development shall then be carried out in accordance with the approved details and shall be retained thereafter.” Reason “To comply with Policy DM5 of Sutton’s Site Development Policies DPD”

14 SEVEN Development Management Flowchart

(a) Code for Sustainable Homes (b) BREEAM

Pre-Application Stage Pre-Application Stage • registration of site at www.communities.gov.uk/thecode • registration of site at www.breeam.org • appointment of accredited Code Assessor by developer; • appointment of accredited BREEAM Assessor by developer; • Code Assessor works with design team to ensure that • Code Assessor works with design team to ensure performance performance requirements for each issue are met requirements for each issue are met • pre-application meetings held as necessary with the Council • pre-application meetings held as necessary with the Council and sustainability advisor and sustainability advisor

Outline Planning Application Stage (where applicable) Outline Planning Application Stage (where applicable) • preparation of outline Pre-Assessment Report by Accredited • preparation of outline Pre-Assessment Report by Accredited Code Assessor using the Code Pre-Assessment Estimator at BREEAM Assessor using the BREEAM Pre-Assessment www.breeam.org Estimator at www.breeam.org • provision of general information describing how environmental • provision of general information describing how environmental sustainability has been considered as part of the strategy for sustainability has been considered as part of the strategy for the the site to meet the required Code Levels site to meet the required BREEAM rating

Full Planning Application Full Planning Application • submission of Pre-Assessment Report showing that the • submission of Pre-Assessment Report showing that the required level of performance will be achieved using the Code required level of performance will be achieved using the Pre-Assessment Estimator BREEAM Pre-Assessment Estimator OR …subject to the prior agreement of the Council, submission of Pre- OR …subject to the prior agreement of the Council, submission of Pre- Assessment Statement as part of either the Design and Access Assessment Statement as part of either the Design and Access Statement or the Sustainable Design and Construction Statement Statement or the Sustainable Design and Construction Statement • developer commitments to prepare (i) a Design Stage • developer commitments to prepare (i) a Design Stage Assessment leading to an Interim Certificate prior to Assessment leading to an Interim Certificate prior to construction; and (ii) a Post Construction Stage construction; and (ii) a Post Construction Stage Assessment leading to final certification prior to occupation Assessment leading to final certification prior to occupation 8

Planning Approval Planning Approval • Planning Application determined by Council • Planning Application determined by Council - Major Applications 12 weeks; other Applications 7 weeks - Major Applications 12 weeks • planning conditions set as appropriate to ensure that all • planning conditions set as appropriate to ensure that all dwellings meet the required level of performance against the dwellings meet the required level of performance against the Code by requiring submission of an Interim (Design Stage) Code by requiring submission of an Interim (Design Stage) Certificate prior to construction40 and Final (Post Certificate prior to construction and final (Post Construction) Construction) Certificate prior to occupation Certificate prior to occupation

Prior to Construction Prior to Construction • preparation of Design Stage Assessment; • preparation of Design Stage Assessment; • submission of Interim (Design Stage) Certificate to the • submission of Interim (Design Stage) Certificate to the Council showing that all dwellings will meet the required Council showing that all buildings will meet the required Code level; BREEAM rating • discharge of the relevant planning conditions by the Council • discharge of the relevant planning conditions by the Council

Prior to Occupation Prior to Occupation • preparation of Post Construction Stage Assessment; • preparation of Post Construction Stage Assessment; • submission of Final (Post Construction) Certificate to • submission of Final (Post Construction) Certificate to Council prior to first occupation of the development; Council prior to first occupation of the development; • discharge of the relevant planning conditions by the Council • discharge of the relevant planning conditions by the Council

40 where appropriate, the Council may relax this requirement by allowing for Interim (Design Stage) Certificates to be submitted to the Council within 3 months of construction work starting on site 15