Pre-application

Abstract

Before making an application for resource consent under the Resource Management Act 1991 (RMA), careful consideration needs to be given to what an application should contain. Many people look to councils to provide them with advice about the resource consent process and how to make an application.

This guidance note provides some best practice advice to assist in informing the public why resource consents are required, what the resource consent process and plan requirements are, and how to prepare a complete resource consent application. For information on receiving applications and checking for completeness refer to the Receipt of an Application guidance note.

Guidance note

A range of means can be used to communicate the resource consent process and RMA requirements to the public. They include:

pamphlets and other guidance material
forums for regular applicants
feature articles in the local newspaper
council newsletters
council displays at public shows
council websites
application forms
pre-application advice to applicants
provision of cost and time estimates
advice on linkages to other council processes

Pamphlets and other guidance material

Pamphlets and summary sheets can be used to provide clear and succinct advice to the public about plan provisions and the requirements of the RMA. Such documentation may be based on specific topics such as:

plan topics
- zones: rural, residential, inner city etc

resource environments/areas
activities: subdivision, discharge to water etc.

resource consent topics

resource consent - what is it and why do I need one?
making a resource consent application
how to prepare an Assessment of Environmental Effects (AEE)
consultation
difference between notified, limited notified and non-notified resource consents
affected persons and written approvals
making a submission on a resource consent application
hearings and pre-hearing meetings
after the decision - now that you have your resource consent
appeals and objections to decisions
compliance and enforcement.

The following are some tips and things to remember when writing material for pamphlets/brochures and making them available:

The person reading the pamphlet/brochure may have no experience or understanding of the RMA whatsoever.
Keep the material simple and try to avoid the use of technical language or planning jargon.
Keep information short and to the point. Avoid lengthy descriptions.
Include council contact details for people wanting more guidance.
Make the pamphlets/brochures available on the council website.
Have a look at what other councils have done before preparing any new pamphlets: some very good council pamphlets on RMA matters and processes already exist.
Keep the pamphlets/brochures up to date.
Make them easily accessible to the public (eg, near the public counter and in libraries).
Always have a good supply at hand.

The Ministry for the Environment has produced An Everyday Guide to the RMA series of booklets, which a council may want to give to the public or adapt to suit their own requirements. These booklets are available online and in hard copy. They cover:

Other helpful Ministry for the Environment publications are:

Your guide to the RMA
A guide to preparing a basic assessment of environmental effects
Auditing assessments of environmental effects: a good practice guide
A beginner's guide to resource and building consent processes under the RMA and the Building Act 2004 (produced jointly with the Department of Building and Housing).

The Ministry for the Environment also operates a free information phone line for the public - 0800 RMAINFO (0800 762 4636). A council can direct general questions about the RMA to this phone service.

It is good practice to attach relevant pamphlets to outgoing correspondence from the council, and consider including the free 0800 RMAINFO phone number.

Forums for regular applicants

Hold forums with regular applicants such as: resource management consultants, surveyors, architects, iwi, engineers, and government and development agencies. Discussing the application process, sharing ideas and fostering relationships can make a real difference to the quality of resource consent applications and the council's ability to process resource consents efficiently.

Feature articles in the local newspaper

Placing feature articles in local papers can be a good way to reach a wide audience, and potentially educate a large proportion of the public on the resource consent process. As a general rule, the better informed the community becomes about the entire process, the easier the Council's job. Some councils have a regular bulletin in their local newspaper, presenting weekly events occurring at the council. This medium could easily be used for educating people on the resource consent process.

Council newsletters

Council newsletters are likely to reach a vast majority of the people involved in the resource consent process: as applicants, as submitters, or as affected persons. These newsletters could include topics covered by council pamphlets/brochures, or other sources of relevant information.

Council displays at public shows

Councils can produce displays for agricultural shows, home shows, trade shows and so on. These are useful and informative forums which not only display information but also allow the public to interact with council officers present, and ask them questions.

Council websites

All councils now have their own website. This is a good place to provide details on how to make a resource consent application and what information needs to be provided in an AEE.

Application forms

Preparing a good resource consent application form

Form 9 (MS Word 39KB) of the Resource Management (Forms, Fees and Procedure) Regulations 2003 specifies the form for an application for a resource consent. Section 88(2)(b) and Schedule 4 of the RMA prescribe what information needs to accompany an application for resource consent and the level of detail provided should correspond to the scale and significance of the environmental effects.

Many councils have developed their own application forms based on the above requirements. Effective application forms should include:

the name of the council to which the application is being made
the applicant's name and contact details
the site owner 's name and contact details (if different from the applicant details)
a description of the activity
the location of the activity, including legal description and a recent copy of the title (councils generally have their own policy on how recent the copy of the title needs to be (eg, less than 3 months old)
a statement specifying all other resource consents required in respect of the activity, and whether or not an application has been lodged for such related consents
an AEE which includes an assessment of any actual and potential effects the activity may have on the environment and ways in which adverse effects may be avoided, remedied or mitigated
site plan, elevations and cross-sections
any information required to be included by any plan or regulations
identification of any persons affected by the proposal and any consultation undertaken and the response of any person consulted, while noting that there is no obligation to consult (refer to the Consultation for Resource Consents guidance note for more information)
a list of names and addresses of those who have given their written approval (completed written approval forms including signed plans of the proposed development attached to the application)
for a discharge permit - the nature of any discharges, a description of the sensitivity of the receiving environment, and reasons for a particular choice of receiving environment
any monitoring programmes proposed
an indication whether any hazardous substances will be involved in the activity and the risks to the environment from those substances
for subdivision proposals, plans showing: the position of new boundaries; the existing and proposed services on site such as water and stormwater; the area of new allotments and any reserves including esplanade strips/reserves and access strips; the areas of land below mean high water springs or any part of a river or lake bed; the locations and areas of land to be set aside as new roads
for reclamation proposals, plans showing: the area and location of land proposed to be reclaimed; the position of all new boundaries; the portion of area (if any) to be set aside as an esplanade reserve or strip
whether they intend to make a request for direct referral, while noting that this request can subsequently be made up to five days after submissions close (refer to the RMAA 2009 Fact Sheet 4 for more information).

A checklist that an applicant can 'tick off ' is an important way of communicating the information requirements associated with their application. It can also help to minimise the need for further information requests. Checklists are particularly important as councils can now only stop the clock for one further information request on non-notified applications and two further information requests on notified applications (one before and one after the closing date of submissions).

The following are examples of different forms and checklists for different sorts of applications:

It can be useful to develop different forms for different types of activities so that information requirements for particular types of applications are made clear. For example, separate application forms for an air permit, water discharge permit and land-use consent etc. Alternatively, create forms that allow applicants to indicate the variety of consents required on the same form.

Pre-application advice to an applicant

Pre-application meetings in general

Prospective applicants should be encouraged to meet with council staff before applying for resource consent, particularly for more complex or large-scale applications. Processing an application is generally simpler, quicker and less costly if the applicant has already sought the Council's advice before making an application.

The applicant should be encouraged to bring with them to a pre-application meeting: site identification (ie, legal description or location map), site photos and a site plan and/or proposed plan. The applicant should also be encouraged to provide a brief description of the proposal in advance and any plans, even if they are indicative. This will give council officers the opportunity to identify the relevant issues and to ensure all relevant council officers can be present at the meeting.

A pre-application meeting will assist with:

confirming the need for resource consent and whether other consents are likely to be required from other councils
identifying the type of resource consent(s) required
explaining the resource consent process to the applicant, including the likely time involved in processing the application
providing detail on the application fee(s) that are required, the Council's charging policy and discount policy (from July 2010) for administrative charges
providing an estimate of likely costs (refer to administering resource consent charges for more information)
identifying the relevant issues and the scope and detail of the information required to support the application(s) so it corresponds to the scale and significance of the environmental effects
discussing possible alternative solutions where issues have been identified
identifying what relevant information the council holds which may assist the applicant, including how and where to obtain the correct application forms etc
what procedures the application is likely to be subject to (ie, in determining whether the application will be notified, limited notified or non-notified and the criteria to make this decision)
identifying any parties likely to be affected, and the degree of consultation recommended (refer to Consultation guidance note for more information)
identifying tāngata whenua who may be affected by a proposal and their contact details - Te Kāhui Māngai is an iwi register held by Te Puni Kōkiri that has a national list of iwi and Māori organisations and their contact details (refer to Facilitating consultation with tāngata whenua for more information)
outlining the process for direct referral of applications and the procedures for applicants to make a request
where notification may be likely, outlining the process to request independent commissioner(s) to hear and decide the application and the likely cost associated with that request
outlining the option of lodging matters of national significance with the Environmental Protection Authority.

Pre-application meetings for major or complex applications

For major or complex proposals, a pre-application meeting is more important to bring together the various parties likely to be involved to discuss and ideally resolve issues before the application is finalised. If it is likely there will be applications to other councils, any pre-application meeting should also involve the appropriate staff from the other councils.

The meeting should ensure when the application is lodged that it contains all the relevant detail and the detail corresponds to the scale and significance of the environmental effects from the proposal. The meeting should aim to:

provide the council and others with the opportunity to contribute to the process
ensure everyone involved understands how the relevant plan(s) are interpreted
clarify any additional information requirements (eg, hazardous and contaminated sites)
receive early feedback and advice that is agreed and recorded on file
address the types of modelling or risk analysis to be undertaken, including any assumptions
determine the acceptability of the baseline data to be provided
clarify who will be involved in the application including the level of input from consultants
discuss the options of direct referral to the Environment Court or lodging matters of national significance directly with the Environmental Protection Authority.

This should ensure applicants scrutinise their proposal as closely as possible and produce a targeted and appropriate AEE which corresponds to the scale and significance of the effects.

Pages 22-24 of the Ministry's guide Auditing Assessment of Environmental Effects: A Good Practice Guide provides more information on pre-application meetings for complex applications.

Try to ensure the council officers meeting with the potential applicant and their representatives will be the people that actually deal with the application when it is lodged. This helps to retain a consistent approach to the proposal from both the applicant's and the Council's point of view.

Arrange further meetings before the application is lodged if it will assist in agreeing to matters with the various parties, experts and council officers or if the proposal changed as a result of the first meeting. Setting an agenda and circulating the information recorded from the initial meeting to the various parties may also assist when meeting again.

Documentation of pre-application meetings/advice

It is very important that any pre-application advice given at a meeting is accurately documented and filed so that it can be linked to the application once it is lodged. Pre-application meeting records should be circulated to all who attended, so everyone has a record of what was discussed. Documentation of pre-application meeting and advice should:

make the record as accurate as possible, including the date and time of meeting
list all the participating parties and keep a record of their contact details so they can be contacted if needed before the application is lodged
file the record in a specific location so that whoever receives the application can put a copy of the record with the application before circulating it to the reporting officer(s).

Pre-application documentation is not a matter of public record like actual applications. All staff need to be aware that pre-application documentation is not public knowledge and should only be made available to those parties directly involved.

Provision of cost and time estimates

When the application is received, the receipt of application letter can include information on charges and timing, and let the applicant know that an estimate of costs can be made available. If an applicant requests an estimate, the basis for charging fees and an estimate of the total cost and time of assessing and processing an application should be provided.

The information on costs and processing times supplied should make it clear that any figures are in fact 'estimates' and that variances may occur. Notwithstanding this, there is a responsibility to provide estimates that are as accurate as possible. If during processing an application, incurred costs are likely to exceed the estimated costs, then applicants should be advised before the extra costs are incurred. Cost estimates should state whether they are inclusive or exclusive of GST.

Applicants should also be informed about the discount policy (from July 2010) for administration charges where the consent is not processed within statutory time frames and the council is deemed to be responsible.

Refer to the Administering resource consent charges and Setting charges for processing and monitoring consents guidance notes for more information on charging for resource consent processing.

Advice on linkages to other council processes

Council staff providing advice on resource management matters should also be aware of parallel council processes, such as building consents, permits under bylaws, liquor licences, food licences, trade waste licences, dangerous goods licenses etc. They should be able to assist or at least direct applicants in the right direction for assistance, if other council regulations or processes apply.

If the council develops specific checklists for particular activities, think about including the parallel council processes that might affect that activity. For example, many temporary events (such as festivals, fairs etc) require a range of council approvals in addition to any resource consent. Some councils have prepared a temporary event checklist and/or application form which alerts applicants to the varying information requirements across the council. Tauranga City Council's website has a good example of a combined checklist and application form for such events which highlights all of the Council's information requirements.

There is also often a close link between council RMA processes and requirements under the Building Act 2004. For example, resource consent applications for new dwellings will also require a building consent under the Building Act 2004. Refer to A beginner's guide to resource and building consent processes under the Resource Management Act 1991 and the Building Act 2004 for more information.

Forms and checklists

Resource consent application form (DOC 116 KB)

Certificate of Compliance application form (DOC 66 KB)

Existing use certificate application form (s.10) (DOC 77 KB)

Change and/or cancellation of consent condition application form (DOC 84 KB)

Checklist for applicants (DOC 40 KB)

Transfer of water permit application application form (DOC 84 KB)

Case law

Upper Hutt City Council v Morrison CA48/97 - this case deals with council officers providing incorrect interpretative advice to applicants before an application being lodged and matters of negligence.

Court v Dunedin City Council CP51/97 [1999] NZRMA 312 - this case also deals with the provision of advice from a council officer to applicants and the importance of providing correct information.

Relevant publications

Resource Consent Processing: Showcasing Best Practice Case Studies
Published by Ministry for the Environment - June 2010
This series of case studies showcases best practice in council Resource Management Act consent processing performance, including the pre-application phase.

Applying for a Resource Consent
Published by Ministry for the Environment - November 2009
A guide for people who want to carry out an activity or make a change to an existing activity that may affect the environment, and may need a resource consent.

The Designation Process
Published by Ministry for the Environment - November 2009
A guide for people whose land may be affected by a designation and want to know how they can be involved in the process.

Making a Submission about a Resource Consent
Published by Ministry for the Environment - November 2009
A guide about how to make good written submissions to your local council about a resource consent.

Appearing at a Resource Consent Hearing
Published by Ministry for the Environment - November 2009
A guide for people who've made a submission and want to speak at a hearing.

Making a Submission on a Proposed Plan, Plan Change or Variation
Published by Ministry for the Environment - November 2009
A guide about how to make good written submissions to your local council about a proposed plan, plan change or variation.

Appearing at a Council Plan or Plan Change Hearing
Published by Ministry for the Environment - November 2009
A guide for people who've made a submission and want to speak at a hearing.

Auditing Assessments of Environmental Effects: A Good Practice Guide
Published by Ministry for the Environment - March 1999
This guide outlines good practice for regional and district councils in auditing AEEs. The RMA requires each resource consent application to be accompanied by an AEE. Councils need this information to make informed decisions on granting resource consent and setting conditions to control potential effects.

Your Guide to the Resource Management Act: An essential reference for people affected by or interested in the RMA
Published by Ministry for the Environment - August 2006
This guide for the public presents a simple explanation of the RMA legislation, the processes it has established, and how people can use it to pursue their interests.

A beginner's guide to resource and building consent processes under the Resource Management Act 1991 and the Building Act 2004
Published by Published by Ministry for the Environment and Department of Building and Housing - June 2008
This booklet is for members of the public who are considering a building activity which may require both a building consent and resource consent. It outlines the requirements of, and relationship between, the RMA and the Building Act.

Relevant websites

The following selection of websites may be of assistance:

The Wellington City Council site contains web pages that provide information for the applicant on all parts of the resource consent process, as well as all the relevant application forms for the applicant. Go to Wellington City Council's Resource Consents.

The Christchurch City Council site contains information on all parts of the resource consent process, including specific topics such as "So you want to build a family flat?" and "So you want to relocate a building?". Go to: Christchurch City Council's Resource Consent Pamphlets. It also contains a comprehensive resource consent information pack for applicants. Go to Christchurch City Council's Resource Consent Information Pack.

The Hamilton City Council site has a guide on the resource consent process for the applicant. Go to Hamilton City Council's A Guide to Resource Consents (PDF 140KB).

The Auckland Regional Council site has web pages advising the applicant on information requirements, lodging the application, a checklist for the application, what to include in an assessment of effects and what happens when an application is received. Go to Auckland Regional Council's Applying for a Resource Consent.

The Auckland City Council site provides comprehensive information for the applicant on all parts of the process. It has web pages on how to apply for a consent including separate application forms for a land-use and subdivision consent, and where to lodge the application. Go to Auckland City Council's Resource Consents.

The Ministry for the Environment 's RMA pages for the public and businesses include plain-English information about the RMA, resource consents, plan preparation, designations, council hearings, and links to publications including An Everyday Guide to the RMA

The Environmental Defence Society site has information on resource consents, including types of activities and consents, the contents of applications and applying for consent.

Current challenges in practice

Consistent and correct advice

It is important that both consistent and correct advice is given to people who make consent application enquiries. This is especially so for large or more complex proposals.

A consistent approach can be difficult to maintain when there is a high workload, inadequate staff resources, and when less experienced planners are dealing with enquiries. Ideally, experienced planners should deal with more complex enquiries, and be assisted by less experienced planners where possible. However, this is not always possible because those with more experience generally have other responsibilities and are already dealing with more complex applications. Less experienced planners consulted in relation to larger or complex proposals should at least have open communication with senior planners to assist with any uncertainties.

It is also advisable that anyone wishing to meet about a proposal is invited to provide an outline of the proposal in advance. Staff can then understand what the issues might be, allocate a planner with the appropriate level of experience (including providing a potential learning opportunity for less experienced staff), and adequately address matters before the meeting. This will also help give the applicant some certainty in relation to the questions raised.

All council officers giving advice should be aware of the potential for negligence issues if incorrect advice is given. Therefore research before and after a pre-application meeting is vital to ensure that the advice given is both correct and consistent.

Recording advice given and keeping track of it

Most planning sections of councils have relatively high workloads, so it can be difficult to record all the advice given at pre-application meetings and to file it appropriately. However, the lack of clear records can lead to misunderstandings between the council and the applicant. It may then be difficult to resolve this, or to reinstate the confidence of the applicant when considering any further advice received.

Therefore it is important that best endeavours are made to encourage recording meetings and maintaining an accurate and accessible filing system for these records. This will not only assist the applicant but will also serve as a reminder to the planner who dealt with the enquiry as to the nature of the project and the advice given.

This is especially relevant in case of significant time delays between a pre-application meeting and the application being lodged.

Keeping staff fully informed

It can be challenging to keep planning staff and other council staff, such as engineers and environmental health officers, fully informed of changes to rules in a plan or changes in council procedural matters. Yet such changes will affect the way a proposed activity may be considered, or the way a consent is processed. This may lead to incorrect advice being given to applicants and, potentially, further problems later in the process.

It is therefore important that the consent processing and policy planning departments (if they are separated) have strong and constant communication lines: these allow both divisions to be fully aware of the projects happening within both areas. It is also important that other council officers remain informed of any changes to rules or processing procedures. Regular meetings with all these groups or the respective team leaders are recommended either monthly or as required when changes occur.

Availability of pre-application information to the public

Draft plans or applications discussed at pre-application meetings become public information once an application is lodged.

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