Pre-application

Abstract

Before making an application for resource consent careful consideration should 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 helpful best practice techniques to assist informing the public of the resource consent process and plan requirements, why resource consents are required, communicating, and preparing a resource consent application.

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Guidance note

Ways of communicating the requirements of district and regional plans and the resource consent process.

• Pamphlets and other guidance material
• Forums for regular applicants
• Feature articles in the local newspaper
• Council newsletters
• Council displays at shows
• Council websites
• Application forms
• Pre-application advice to an applicant
• Provision of cost and time estimates
• Advice on linkages to other council processes

Pamphlets and other guidance material

Pamphlets and summary sheets provide good assistance to the public to advise about the provisions and requirements of plans. Pamphlets or summary sheets can be excellent ways of assisting applicants, interested parties and anyone else wishing to assess whether a proposal will require resource consent under the provisions of a plan.

Pamphlets and summary sheets may be based on specific topics such as:

• Plan topics
  • Zones such as rural, residential, inner city;
  • Resource types or environments;
  • Activities such as subdivision, discharge to water.
• Resource Consent topics
  • Resource Consents - What are they? Why do I need one?
  • Making a Resource Consent Application;
  • How to Prepare an Assessment of Environmental Effects;
  • Consultation;
  • The Difference between Notified, Limited Notified and Non-notified Resource Consents;
  • So You're an Affected Person;
  • 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 a pamphlet/ brochure and making them available:

• The person reading the pamphlet/ brochure may have absolutely no experience or understanding of the RMA whatsoever.
• Keep the material simple and try and avoid 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 them available on the Council website.
• A number of councils have already produced really good pamphlets on RMA matters and processes. It is a good idea to have a look around at what others have done prior to preparing any new pamphlets.
• Keep pamphlets up to date.
• Make them easily accessible to the public, e.g. locate them near the public counter and in libraries.
• Always have a good supply.

The Ministry for the Environment has recently updated everyday guides for the RMA. These include:

• An Overview of the RMA
• Applying for a Resource Consent
• The Designation Process
• Your Rights as an 'Affected Person'
• Making a Submission About a Resource Consent or Designation
• Appearing at a Resource Consent or Designation Hearing
• Making a Submission on a Proposed Plan, Plan Change or Variation
• Appearing at a Council Plan Change Hearing
• Resolving Resource Management Act Concerns

The Ministry for the Environment also provides helpful booklets such as Your Guide to the RMA, The Resource Management Act and You: Getting in on the Act and Auditing Assessments of Environmental Effects: A Good Practice Guide.

Include pamphlets with outgoing correspondence from the council where the subject matter covered in the pamphlet is relevant, for example, if a council officer is advising an applicant of a hearing, then they should send the applicant a pamphlet about the hearing process.

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Forums for regular applicants

Holding forums with regular applicants, for example resource management consultants, surveyors, architects, iwi, engineers, government and development agencies to discuss the application process, share ideas and foster relationships, can make a real difference to the council's ability to process resource consents efficiently, understand the nature of works proposed and identify the main issues. It can also contribute to improving the quality of applications and increase the efficiency of the processing.

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Feature articles in the local newspaper

An inexpensive way to reach a wide audience and potentially educate a large proportion of the public on the resource consent process, is by placing feature articles in local papers. As a general rule, the better informed the community becomes about the entire process, the easier the job of the council. Some Councils have a regular bulletin in their local newspaper that presents weekly events occurring at the Council. These could easily be used for educating people on the resource consent process.

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Council newsletters

Information on the resource consent process can be included in council newsletters. This is likely to reach a vast majority of the people involved in the process, either as applicants, submitters, or affected persons. It might be useful to include information on those topics covered by council pamphlets / brochures, or other sources of the relevant information.

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Council displays at shows

Councils can also produce displays for agricultural and pastoral shows, trade shows or home shows. These are useful and informative forums which not only display information but also allow the public to interact with Council Officers and ask questions.

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Council websites

Nearly all Councils have their own website. This is a good place to provide details on how to make a resource consent application and the information that needs to be provided in an AEE.

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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 the Fourth Schedule of the Act prescribe what information needs to accompany an application for resource consent.

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

• The name of the consent authority to which the application is being made
• The applicant's name and contact details
• A description of the activity
• The location of the activity, including legal description (Certificate of Title)
• The site owner’s name and contact details (if this is different from the applicant details)
• Any information required to be included by any plan or regulations
• 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 assessment of any actual and potential effects that the activity may have on the environment and ways in which adverse effects may be mitigated
• For a discharge permit, a description of the sensitivity of the receiving environment and reasons for a particular choice of receiving environment
• The nature of any discharges
• Identification of the persons affected by the proposal and any consultation undertaken. The applicant is not obliged to consult with any person
• A list of the names and addresses of those who have given their written approval (completed written approval forms should be attached to the application)
• Monitoring programmes intended to be carried out
• Plans of the proposal - site plan, elevations, cross-sections; or for subdivision location of new boundaries, allotments, reserves and esplanade strips/reserves, access strips, land below mean high water springs or any part of a river or lake bed.

A checklist that an applicant can 'tick off' is a useful way of communicating the information requirements associated with their application. It can also help to minimise the need for further information requests.

See examples of different forms and checklists for different sorts of applications below:

• Resource consent application form (DOC 116 KB)
  

• Change and/or cancellation of consent condition application form (DOC 85 KB)
  Published June 2004

• Certificate of Compliance application form (DOC 66 KB)
  Published June 2004

• Existing Use certificate Application Form (s.10) (DOC 77 KB)
  Published February 2006

• Transfer of water permit application application form (DOC 84 KB)
  Published June 2004

• Checklist for applicants (DOC 40 KB)
  Published June 2004

Develop specific forms for specific types of activities. For example, separate application forms for a discharge permit, for discharges to air, a land use consent, or a discharge permit for discharges to water etc. Alternatively create forms that allow applicants to indicate the variety of consents required on the same form.

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Pre-application advice to an applicant

Pre-application meetings in general

Prospective applicants should be encouraged to meet with council staff before applying for a resource consent. A pre-application meeting will assist with:

• Confirming the need for a resource consent
• Identifying the type of resource consent required
• Explaining the resource consent process to the applicant and what they'll have to do
• Identifying the information the applicant will need to provide with their application in terms of plan requirements
• Identifying any people likely to be considered affected with whom the applicant may wish to consult
• Outlining the likely time and fees involved in processing an application.

Processing an application is generally simpler, quicker and less costly if the applicant has already sought the council's advice before making an application for resource consent.

At the conclusion of any pre-application meeting the applicant should be in a position of knowing:

• The appropriate consent(s) to apply for, and whether other consents are likely to be required from other local authorities
• The relevant issues and the scope and detail of the information required to support the application(s). Where issues are identified, possible alternative solutions to the issues should be discussed
• The parties likely to be affected and the degree of consultation recommended (the applicant is not obliged to consult), including whether the application is likely to be notified
• What procedures the application will be subject to; i.e. in determining whether the application will be notified or not and the criteria for non-notification
• The application fee required, council’s charging policy, and an estimate of likely costs (if this is different from the application fee)
• What relevant information the council holds which may assist the applicant, where to obtain the correct application forms etc.
• Tangata whenua that may be affected by a proposal and their contact details. Te Kahui Mangai is a new iwi register held by Te Puni Kokiri which has a national list of iwi and Maori organisations and their contact details.

Pre-application meetings for major or complex applications

For major or complex proposals, a pre-application meeting gathers together the various parties likely to be involved. They can be a useful way of considering and resolving issues before the application is finalised. If there are likely to be applications to other local authorities, any meeting should also involve the appropriate staff from the other authorities.

The meeting should ensure that, when the application is lodged, it contains all the relevant detail. The meeting should aim to:

• Provide the council and others with the opportunity to contribute to the process
• Ensure everyone involved understands how the plan is interpreted
• Clarify any additional information requirements (e.g. 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
• Address the level of any consultant involvement.

This should ensure the applicant scrutinises their proposal as closely as possible and produces a correspondingly targeted and appropriate AEE.

Refer to pages 22-24 of the Ministry’s guide Auditing Assessment of Environmental Effects: A good practice guide for more information on pre-application meetings for complex applications.

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 that everyone has a record of what was discussed.

The following example provides a template for recording pre-application meetings:

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Provision of cost and time estimates

The receipt of application letter can include information on charging and that estimates of costs are available. The basis for charging fees, and an estimate of the total cost and time of assessing and processing an application should be provided to an applicant, if requested. The information on costs and processing times supplied to applicants should make it clear that any figures supplied are in fact 'estimates', and that variances may occur. Notwithstanding this, there is a responsibility to provide estimates that are as accurate as possible. Should the costs of processing an application exceed the estimated costs, applicants should be advised prior to the extra costs being incurred. Cost estimates should state whether they are either GST inclusive or exclusive.

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

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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, trade waste licences, dangerous goods licenses, utilities provisions etc, and be able to assist or at least direct applicants in the right direction if other such processes apply.

If the council develops specific checklists for particular activities, think about including the parallel council processes that might affect that activity.

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Forms and checklists

Resource consent application form (DOC 116 KB)

Certificate of Compliance application form (DOC 66 KB)
Published June 2004

Existing Use certificate Application Form (s.10) (DOC 77 KB)
Published February 2006

Change and/or cancellation of consent condition application form (DOC 85 KB)
Published June 2004

Checklist for applicants (DOC 40 KB)
Published June 2004

Transfer of water permit application application form (DOC 84 KB)
Published June 2004

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Case law

Upper Hutt City Council v Morrison CA 48/97 3 NZED 242 - this case deals with Council Officers providing incorrect interpretative advice to applicants prior to an application being lodged and matters of negligence.

Court v Dunedin City Council CP 51/97 [1999] NZRMA 312 - this case also deals with the provision of advice from a Council Officer to applicants and importance of providing correct information.

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Relevant publications

Getting in On the Act
Published by Ministry for the Environment - June 2006
A short, simple guide on how the Resource Management Act works and how it might affect users.

Applying for a Resource Consent
Published by Ministry for the Environment - June 2006
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 - June 2006
A guide for people whose land may be affected by a designation and want to know how they can be involved in the process.

Your Rights as an 'Affected Person'
Published by Ministry for the Environment - June 2006
A guide for people who have been asked to give their written approval to someone else's resource consent application.

Making a Submission on a Resource Consent
Published by Ministry for the Environment - June 2006
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 - June 2006
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 - June 2006
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 - June 2006
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 assessments of environmental effects. The Resource Management Act requires each resource consent application to be accompanied by an assessment of environmental effects. 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.

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Relevant websites

The following are a selection of websites that may be of assistance and are relevant to this guidance note:

The Wellington City Council website contains webpages 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 website contains information on all parts of the resource consent process, including on 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 website has an electronic 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 website has webpages providing information for the applicant such as 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 website provides comprehensive information for the applicant on all parts of the process. It has webpages on how to apply for a consent including separate application forms for a land use, subdivision and tree resource consent, and where to lodge the application. Go to Auckland City Council's Resource Consents.

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

The Sustain website, which is an Auckland Community Environmental Law Service website developed in association with the Ministry for the Environment has information pertaining to resource management issues, including frequently asked questions and advice on the resource management process. Go to

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Current challenges in practice

Consistent and correct advice

It is important that both consistent and correct advice is given to people who make enquiries about making consent applications to Council staff. This is especially the case when dealing with large or more complex projects. This approach can be difficult to maintain when there is a high workload and when there are less experienced planners dealing with enquiries. Ideally it would be more appropriate to have experienced planners answering enquiries, however this is often hard to achieve given that those with more experience generally have other responsibilities and are already dealing with the more complex applications. Where less experienced planners are consulted in relation to larger or complex proposals there should be open communication with senior planners to assist with any uncertainties. This will also help to get a feel for what the issues might be and the process likely to be followed prior to a meeting with the prospective applicant being held. It may also be advisable to inform anyone wishing to meet about a proposal to provide an outline of that proposal to the Council so that staff can adequately address matters prior to the meeting. This is also helpful to the applicant who will want some certainty provided in relation to their questions at the meeting. All Council Officers giving advice should be made aware of negligence issues and put in place systems that avoid incorrect advice being given.

Recording advice given and keeping track of it

Because most environmental planning sections of councils have relatively high workloads it is sometimes difficult to always record the advice given at pre-application meetings and file it appropriately. Not having a record can lead to misunderstandings between the Council and the applicant, which may then be difficult to resolve or to reinstate the confidence of the applicant when considering any further advice received. Consequently 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 that dealt with the enquiry as to the nature of the project and the advice given.

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. Such changes will affect the way a proposed activity may be considered or a consent processed. This can lead to incorrect advice being given to applicants which then result in further problems later on.

To avoid these situations it is important that the consent processing and policy planning departments (if they are separated) have strong and constant communication lines. This is so that both divisions are 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 etc. Regular meetings with all these groups or the respective team leaders are recommended, say either once a month or as required when changes occur. It is advisable though to direct queries to the appropriate officer in another department to ensure the correct information is provided.

Availability of pre-application information to the public

If draft plans or applications are discussed at pre-application meetings and then left with the Council then they become public information. Make sure that if an applicant wishes for the proposal information to remain with the Council that they know it will be available to the public if asked for. Also acknowledge that any record of the meeting will be public information.