Guidance for Local Planning Authorities incorporating BREEAM and

the Code for Sustainable Homes within planning policy

Justin Halewood - BREEAM Technical Consultant

Written in consultation with Celia Beeson (Bristol City Council), Andrew Biltcliffe (Havant Borough
Council), and Francesca Iliffe and Paula Goncalves (Brighton and Hove City Council).

Introduction
This paper has been produced for Local Planning Authorities (LPAs) who wish to employ, or have
already incorporated, BREEAM and the Code for Sustainable Homes (CSH) within Local
Development Frameworks. It draws upon some of the key lessons learnt from early
implementation at the LPAs mentioned above. Whilst the document should be read as a whole,
guidance is split between two sections: the first is aimed towards planning policy officers, the
second towards development control officers.

For the past 20 years BREEAM has provided a consistent and reliable benchmark for sustainable
design, leading to the procurement of over 215,000 buildings with lower environmental impacts as
well as improved outcomes for their owners and occupiers. BREEAM buildings use less energy,
consume less water and are built with greater resilience than those designed to building
regulations alone. As a result, BREEAM buildings yield fast operational returns to their owners, in
some cases generating annual savings of up to £300,000 in running costs 1 . Supply-side
organisations are also beneficiaries: constructing more sustainable buildings has been shown to
create reputational value; drive efficiency savings; and improve site health and safety 2 . But it is
local communities that stand to gain most; evidence suggests that when taken as whole, better
places not only help to reduce carbon emissions, but lower the rate of crime, improve health and
alleviate problems related to social exclusion 3 .

This is of particular value to local planning authorities (LPAs) facing a statutory requirement to
contribute to the sustainable development 4 of their area. Planning Policy Statement 1 and its
supplement propose the adoption of sustainable building standards as a simple and effective step
towards realising this target. Framed in a language that both developers and planners understand,
BREEAM and the Code for Sustainable Homes provide a transparent measurement of building-
scale sustainability, helping to foster a more collaborative and less adversarial approach to the
planning approval process; enabling permission to be granted faster and at less cost to both
parties. Ultimately, BREEAM Buildings and CSH Homes are a form of ‘smart growth’, enabling
LPAs to meet delivery targets within the environmental limits of their area.

This approach has been successfully pioneered by a number of LPAs including Brighton and Hove

1
http://www.bre.co.uk/page.jsp?id=1808 http://www.bre.co.uk/page.jsp?id=1809
2
Yates, A. Sustainable Buildings: Benefits for Designers, Occupiers, Investors and Developers, and
Constructors, BRE information paper, 2003. 
3
The Princes Trust Foundation for the Built Environment, Valuing Sustainable Urbanism Report, 2007.
Available from http://www.princes-foundation.org.uk/files/0707vsureport.pdf
4
Planning and Compulsory Purchase Act, 2004
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 Guidance for Local Planning Authorities incorporating BREEAM and
the Code for Sustainable Homes within planning policy
City Council, Ashford Borough Council and Chelmsford Borough Council who all now have
planning policy stipulating CSH and BREEAM Levels for new development in their area. We
estimate that out of the 368 local planning authorities in England, 219 have adopted, or are
intending to adopt, similar policies 5 .

Where to find more information

1. For general information on using BREEAM/CSH within local planning policy please login to the
public folder of the BREEAM Extranet http://www.breeam.org/page.jsp?id=155 (username: public,
password: public).
2. Call 01923 664462 or email breeamtechnicalcs@bre.co.uk with ‘BREEAM and Planning’ in the
subject line.
3. BRE’s Sustainable Communities Team is able to directly assist Local Planning Authorities in
setting requirements for BREEAM and the CSH. Interested parties should contact Karen Young on
01923 664656 or youngk@bre.co.uk.

5
BRE. Sustainability through Planning, 2007 
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 Using BREEAM and the Code for Sustainable Homes within local planning policy

SECTION 1: PLANNING POLICY OFFICERS

1.1 Which assessment scheme to use

LPAs should specify any requirement for sustainable buildings in terms of a nationally described
sustainable buildings standard such as the CSH.

Although not a statutory code, BREEAM is born out of industry consultation and as a result, is
widely used and understood by developers of non-domestic building projects. Local standards
based upon it are appropriate 6 .

Table 1 below shows how the family of BREEAM schemes can be used to measure all building
types at every stage in their lifecycle. It should not be used by LPAs to determine the particular
assessment scheme to be used for each application. Instead, policy should reflect the basic
principles given below, with development control encouraging developers to consult with
BREEAM/CSH assessors when selecting the most appropriate BREEAM scheme for their project.

Domestic buildings:

• The CSH must be used for new-build self-contained dwellings in England, Wales and
Northern Ireland. EcoHomes should be used in Scotland.

• Requirements for refurbishment projects (definition given below 7 ) must now be set using the
new BREEAM for Domestic Refurbishments scheme.

• BREEAM Multi-residential must be used for domestic accommodation with shared essential
facilities such as kitchens and those with communal areas which make up more than 10%
of the total Net Internal Floor Area.

Non-domestic buildings:

• BREEAM can be used to assess any non-domestic building type, at any point in its lifecycle,
anywhere in the world.

Mixed-use:

• A combination of BREEAM and the CSH is typically employed.

Communities:

• Importantly for planners, BREEAM Communities assessment results in certification at pre-

planning stages (therefore allowing a final BREEAM certificate to be submitted alongside
the planning application) and can be used for domestic or mixed-use developments of 50
units or more. For more information on BREEAM Communities please visit the BREEAM

6
The Planning Advisory Service (PAS): http://www.pas.gov.uk/pas/core/page.do?pageId=119232
7 The determination of whether a domestic project is deemed as new-build, can be taken from the
application of Building Regulations by Building Control. If the project is required to meet Part L1A it can be
defined as new-build; where L1B is applied it is defined as a refurbishment and BREEAM for Domestic
Refurbishments should be employed instead. 
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 Using BREEAM and the Code for Sustainable Homes within local planning policy

Communities website 8 or call BRE Global Customer Service on 01923 664462.

Withstanding the above, to satisfy the tests in circular 11/95 The Use of Conditions in Planning
Permissions, conditions must not prevent applicants from exercising choice of the certification
body involved (note: this is different to the assessment scheme itself). To this end we suggest
omitting any requirement stipulating “proof of registration with the BRE” or similar.

8
http://www.breeam.org/page.jsp?id=117
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Table 1: Family of BREEAM Schemes

Sector Building type Project type

New-build Major Fit out Extensions In use

refurbishment* / measurement
change of use

Domestic Dwelling houses and flats in England, Code for BREEAM for N/A BREEAM for EcoHomes XB
Wales and Northern Ireland Sustainable Domestic Domestic
Homes** Refurbishment Refurbishments

Dwelling houses and flats in Scotland EcoHomes BREEAM for N/A BREEAM for EcoHomes XB
Domestic Domestic
Refurbishment Refurbishments

Multi- Other multi-residential buildings which BREEAM Multi-residential N/A BREEAM Multi- TBC - Contact
occupation contain a mix of residential residential BRE Global
domestic accommodation with communal areas
which make up more than 10% of the total
Net Internal Floor Area (including student
halls of residence, key worker
accommodation, care homes with no
extensive medical facilities and sheltered
housing)

Non- Offices BREEAM BREEAM BREEAM BREEAM BREEAM in

domestic Offices Offices Offices Offices Use

Retail premises BREEAM Retail BREEAM Retail BREEAM Retail BREEAM Retail BREEAM in
Use

Light industrial and warehouse buildings BREEAM BREEAM BREEAM BREEAM BREEAM in
Industrial Industrial Industrial Industrial Use

Education buildings (including pre-school, BREEAM BREEAM BREEAM BREEAM BREEAM in

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 Using BREEAM and the Code for Sustainable Homes within local planning policy

primary and secondary schools, colleges Education Education Education Education Use
and universities)

Healthcare buildings (including BREEAM BREEAM BREEAM BREEAM BREEAM

teaching/specialist hospitals, general acute Healthcare Healthcare Healthcare Healthcare Healthcare XB
hospitals, community and mental health
hospitals, GP surgeries, health centres
and clinics

Courts BREEAM BREEAM BREEAM Other BREEAM TBC - Contact

Courts Courts Buildings Courts BRE Global

Prisons (including high security prisons, BREEAM BREEAM BREEAM Other BREEAM TBC - Contact
standard secured prisons, young Prisons Prisons Buildings Prisons BRE Global
offenders’ institutes, local prisons and
women’s prisons (closed only))

Data centres (facilities used to house BREEAM Data BREEAM Data BREEAM Other BREEAM Data TBC - Contact
computer systems and associated Centres Centres Buildings Centres BRE Global
components such as telecommunications
and storage systems)

Any buildings not covered above (for BREEAM Other BREEAM Other BREEAM Other BREEAM Other TBC - Contact
instance, leisure centres, community Buildings Buildings Buildings Buildings BRE Global
centres, agricultural buildings, zoos)

Communities All developments over 50 units BREEAM TBC - Contact N/A N/A TBC - Contact
Communities BRE Global BRE Global

* BREEAM and its requirements are predominantly designed to assess the environmental impacts of buildings resulting from new and major
refurbishment construction works. The requirements are therefore tailored according to the opportunities available to influence a building’s
environmental performance when such major construction work is undertaken. As such, unless otherwise stated, i.e. building fit out, BREEAM is not
tailored for the assessment of existing buildings undergoing minor remodelling or redecoration works. Domestic refurbishments of any size or scale can
be assessed using BREEAM Domestic Refurbishments.
**The determination of whether a domestic project is deemed as new-build, can be taken from the application of Building Regulations by Building
Control. If the project is required to meet Part L1A it can de defined as new-build; where L1B is applied it is defined as a refurbishment and BREEAM for
Domestic Refurbishments should be employed instead.

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 Using BREEAM and the Code for Sustainable Homes within local planning policy

1.2 Writing standards into the Local Development Framework

Whilst it is common practice is to support Core Strategy policies with Supplementary Planning
Documents (SPD), any policy relating to sustainable buildings must be set out in a Development
Plan Document, not just an SPD, so as to ensure examination by an independent Inspector 9 .
Where a condition to build to BREEAM/CSH is not supported by an adopted local plan or put
forward as a viable option by the applicant, it may be successfully challenged 10 . Similar
requirements imposed with reference to adopted policies have been upheld by the planning
inspectorate 11 .

1.3 Ensuring policies are evidence-based

LPAs proposing to anticipate the legislated timetable for ‘zero carbon’ must demonstrate that local
circumstances warrant and allow for this within the evidence base submitted alongside the core
strategy at the independent examination stage. Surveys carried out to provide an evidence base
for adopting ‘Merton-style’ renewable energy policies can also be extended to fulfil this function.

The CLG study Take up and application of the policies in the planning policy statement on
planning and climate change - Final Report 12 published in 2010 demonstrates the most common
areas of research undertaken by LPAs when demonstrating such local conditions, summarised
below:

Table 2: Local evidence collection in relation to sustainable buildings

Core % Local authorities that had collected local evidence

strategy
preparation Water Flood risk Air quality Heat Bio- Other
stage resources Island diversity
Effects

Issues and 38 73 39 14 36 21
Options

Preferred 54 71 37 11 49 11
Options

Submitted 33 50 33 - 17 -

Adopted 17 83 33 - 25 8

All local 40 72 37 11 37 15
authorities

9
CLG, Supplement to PPS1, 2007
10
http://www.cheltenham.gov.uk/downloads/83_Queens_Road.pdf
11
http://www.pcs.planningportal.gov.uk/pcsportal/fscdav/READONLY?OBJ=COO.2036.300.12.978893&NA
ME=/Decision.pdf
12
http://www.communities.gov.uk/publications/planningandbuilding/takeupresearch 
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This is not an exhaustive list and it is to be expected that LPAs will identify different local priorities
that necessitate enhanced standards of building sustainability in their area.

1.4 Which BREEAM/CSH Level to require

National planning policy allows LPAs to set requirements for building-level sustainability exceeding
the statutory minima of the Building Regulations 13 . As the Building Regulations are periodically
‘tightened’, to remain reasonably beyond the statutory baseline, stipulated CSH Levels should also
increase over time. North Northamptonshire’s adopted policy 14 demonstrates how this may be
achieved:

“Residential units to be delivered 2008-2012 will meet the Code for Sustainable Homes (CSH)
Level 3 as a minimum; those delivered 2013-2015 will meet the CSH Code [sic] Level 4 as a
minimum; and those delivered from 2016 onwards will meet the CSH Code [sic] Level 6 as a
minimum.”

A similar elevation of stipulated BREEAM Levels can be adopted for non-domestic buildings, with
due regard being paid towards the zero-carbon timetable in this sector. That said, in the absence
of it being volunteered by the developer, BRE would recommend LPAs do not require an
Outstanding Level at any point in the future, as this will remain an immensely challenging level of
sustainability (as is intended). BRE can help planners set increasing Levels against realistic
timescales - see the end of this document for contact details.

To ensure developers encounter consistency amongst districts and other delivery agencies, LPAs
should work collaboratively to stipulate BREEAM/CSH Levels that complement guidance set out
within Regional Spatial Strategies, neighbouring LPAs and funding bodies. For instance through
the National Affordable Housing Programme, the Homes and Communities Agency require CSH
Level 3 up until April 2011 from which point it will rise to Level 4.

Required BREEAM/CSH Levels should also be selected with regard to the opportunity costs of
different development areas, these being defined as where the LPA is planning to bring forward
new growth, for example at urban extensions, greenfield sites or town centre sites. Ashford
Borough Council’s policy standards “are set to reflect the types of development that will be
expected to come forward…rather than an inflexible blanket policy for all developments. The level
at which they are set are a balance between their economic viability, social acceptability and
environmental impact” 15 . Area-specific requirements may be set out in Area Action Plans, as is the
case for North West Cambridge 16 .

In addition, site-specific requirements based upon unit numbers, housing type and floor or
development area are used to take account of diminishing economies of scale and inherent
restrictions of smaller developments (for instance a lack of ‘energy density’ placing reliance upon
more expensive small-scale renewables rather than shared energy services such as CHP). In
Wales for example, only developments of five units or above will need to be constructed to Level 3
until September 2010 (from which point the requirement will apply to all sites, regardless of unit
numbers). Consideration of this effect must be demonstrated as part of the evidence base.

Whilst BREEAM/CSH rated buildings can yield fast operational returns on any extra-over in

13
CLG, Supplement to PPS1, 2007
14
http://www.nnjpu.org.uk/docs/Adopted%20CSS%20Final%20Proof.pdf
15
http://www.ashford.gov.uk/pdf/Planning_Adopted_Core_Strategy_July08.pdf
16
http://www.scambs.gov.uk/documents/retrieve.htm?pk_document=908354
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development costs 17 , any policies not adequately taking into account matters of economic viability
may be found to place an ’undue burden’ on developers and hence be susceptible to appeal. BRE
can offer LPAs support in compiling a robust evidence base to demonstrate that when well
planned for; practical BREEAM/CSH requirements can often be met at no additional capital cost to
developers and with no adverse effect upon rates of delivery. Please see the end of this document
for how to obtain more information on this subject.

1.5 Requiring specific BREEAM/CSH Credits

By stipulating the achievement of credits within otherwise optional CSH/BREEAM assessment
issues, LPAs can ensure buildings react to local priorities. For instance:

• requiring a greater number of credits to be scored in Energy issues where local energy
infrastructure deems greater decentralisation to be desirable (i.e. Technical Advice Note 22 18
in Wales);
• requiring the maximum number of water credits to be scored due to little capacity in
wastewater infrastructure (see Portsmouth City Council 19 )
• stipulating Materials credits for areas experiencing resource constraints (see Ashford
Borough
Council);
• or security credits in areas with a high risk of crime (see the HCA Design and Quality
standards 20 ).

Again, LPAs must demonstrate the need to ‘cherry pick’ higher standards with a sound evidence
base.

Any policy for decentralised energy similar to the ‘Merton Rule’ (i.e. an area-wide requirement for
buildings to offset a percentage of their carbon emissions using renewable energy sources) must
be consistent with any requirement set for BREEAM/CSH. We would urge LPAs to consider
utilising the particular assessment Issues of BREEAM/CSH to set decentralised energy targets -
i.e. placing a requirement for all non-domestic buildings to score two credits within the BREEAM
Ene 5 Issue. This will help to ensure greater consistency in the method used to calculate emission
reductions amongst different LPAs, as well as mitigating the risk changes to the building
regulations leaving Merton-style policies outdated or incompatible. Although we are not aware of
any current precedent for this, BRE are happy to help any LPA wishing to spearhead this
approach. Please see the end of this document for contact details.

17
http://www.bre.co.uk/page.jsp?id=1808 http://www.bre.co.uk/page.jsp?id=1809
18
http://wales.gov.uk/consultations/planning/drafttan22/?lang=en
19
http://www.portsmouth.gov.uk/media/Core_Strategy_August_2008_Part_3.pdf
20
http://www.housingcorp.gov.uk/upload/pdf/Design_quality_standards.pdf 
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 Using BREEAM and the Code for Sustainable Homes within local planning policy

SECTION 2: DEVELOPMENT CONTROL OFFICERS

2.1 Writing conditions

The Planning Inspectorate has posted model standard conditions for the CSH on its website and
LPAs would be well advised to observe these (given below).

“The dwelling(s) shall achieve Level X of the Code for Sustainable Homes (or any such national
measure of sustainability for house design that replaces that scheme). No dwelling shall be
occupied until a final Code Certificate has been issued for it certifying that Code Level X has been
achieved 21 ”.

In addition to this, BRE Global would suggest LPAs also place a condition for the submission of
the following two items before commencement of work on site:

a. Evidence that a development is registered with a BREEAM/CSH certification body.

b. A pre-assessment report (or design stage certificate with interim rating if available),
indicating that the development can achieve the stipulated Final BREEAM/CSH Level

To future-proof the policy against any unforeseen changes in government policy, it would also be
appropriate to include an allowance for CSH certificates to be substituted by “any such national
measure of sustainability for house design that replaces that scheme” 22 .

This approach has already been successfully implemented by LPAs such as Brighton and Hove
City Council.

In the case of non-domestic buildings, such a condition could be written as:

The building(s) shall achieve a Final BREEAM Level [state level] in accordance with the
requirements of the relevant BREEAM scheme. No building shall be occupied until a
Final BREEAM Certificate has been issued stating the BREEAM Level achieved.

In addition, robust evidence of the building(s) potential to achieve the stipulated Final BREEAM
Level must be submitted to the local planning authority before commencement of work on site (for
instance by using a pre-assessment estimator provided by the BREEAM assessor organisation),
as well as evidence that the development is registered with a BREEAM certification body.

2.2 The type of certificate that must be submitted and when

LPAs should pay due regard to the timing of the BREEAM/CSH certification process when writing
conditions. Design stage interim certificates (based upon design stage evidence), are often
unavailable until during the construction stages with final certification typically occurring between
completion and occupation (see Table 3 below). Conditions that require design stage or final
certificates to be submitted to the LPA before commencement may be altered or removed by the

21
http://www.planning-inspectorate.gov.uk/pins/appeals/model_conditions.html
22
http://www.cheltenham.gov.uk/downloads/83_Queens_Road.pdf
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planning inspectorate if challenged 23 . To ensure appropriate timetabling, LPAs should either:

• contact BRE Global – see the end of this document for contact details
• attend BRE Global training - see http://www.breeam.org/events.jsp for courses 24
• obtain advice from a properly experienced consultancy employing BREEAM Accredited
Professionals (BREEAM AP) as well as licensed BREEAM and CSH Assessors.

Table 3: Stages of BREEAM/CSH assessment in relation to the RIBA Plan of Work and
Planning Process
RIBA Outline Plan of Work Planning stage BREEAM / CSH BREEAM
building Communities
assessment/certifi assessment/
cation stage certification stage
Pre-
PRE Pre-agreement
agreement
Outline Stage
Preparation A Appraisal Pre- Application Assessment
B Design Brief Discussions Pre-Assessment
Stage
Design Outline Stage
C Concept
Interim Certification
Design Planning Detailed
D
Development Application & Assessment and
E Technical Design Approval Certification

Pre- Production
F
construction Information Design Stage
Tender Assessment
G
Documentation
H Tender Action
Construction J Mobilisation
Construction to
Design Stage
K Practical
Interim Certification
Completion
Use After Practical
L1 Post Construction
Completion
Stage Assessment
Initial Occupation and Certification
L2
Period
Post Occupation
L3
Evaluation

23
http://www.pcs.planningportal.gov.uk/pcsportal/fscdav/READONLY?OBJ=COO.2036.300.12.1718065&NA
ME=/2111237%20Decision.pdf
24
http://www.breeam.org/events.jsp
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BRE Global would also recommend that a 'pre-assessment estimator' (or design stage certificate
with interim rating) is provided by the developer to the LPA at the point at which an application for
detailed planning permission is made. Although short of formal certification, this will provide the
LPA with a satisfactory demonstration of the building’s designed potential to reach the stipulated
BREEAM/CSH level, allowing permission to be granted (alongside a condition for Final
Certification to be provided before occupation) with greater confidence.

2.3 Negotiations
BREEAM/CSH pre-assessment estimators may be used by Development Control Officers as a
basis for pre-application negotiation. By taking a flexible approach towards enforcing adopted
policies for stipulated BREEAM/CSH Levels, LPAs can use non-compliance to leverage
improvements elsewhere - for instance by requiring the developer to fund energy efficiency
improvements at a neighbouring school.

Information provided within a BREEAM/CSH assessment report provides data on predicted carbon
emissions from the building. Where LPAs are endeavouring to quantify the impacts of incoming
development or where implementing carbon compensation measures (as in Milton Keynes or
Ashford), BREEAM/CSH assessment reports can provide this essential data and should be
obtained by the LPA alongside Final Certificates before occupation of the building. Such evidence
can also support performance against Local Area Agreements including NI186 (per capita
reduction in CO2 emissions in the LA area), NI187 (tackling fuel poverty) and NI188 (planning to
adapt to climate change).

For projects with more acute impacts on the local area, it may be appropriate to require the
payment of a bond to act a financial guarantee of conformity with stipulated Final BREEAM/CSH
Levels at the post-construction stage. This bond could be retained and used to fund improvements
to existing stock if the stipulated Final BREEAM/CSH Level is not achieved at completion. An
outline of the suggested approval process is given below.

Where to find more information

1. For general information on using BREEAM/CSH within local planning policy please login to the
public folder of the BREEAM Extranet http://www.breeam.org/page.jsp?id=155 (username: public,
password: public).
2. Call 01923 664462 or email breeamtechnicalcs@bre.co.uk with ‘BREEAM and Planning’ in the
subject line.
3. BRE’s Sustainable Communities Team is able to directly assist Local Planning Authorities in
setting requirements for BREEAM and the CSH. Interested parties should contact Karen Young on
01923 664656 or youngk@bre.co.uk.

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