Local Authority Implementation of Site Waste Management Plans

Local Authority Implementation of Site Waste Management

Plans Regulations 2008

Local Authority Implementation of SWMP

SWMP Report


SWMP Report

In April 2008, new legislation came into force that requires all construction projects valued in excess of £300,000 to provide a Site Waste Management Plan (SWMP) – the Site Waste Management Plans Regulations 2008. This report presents the results of a study carried out by the Construction Resources and Waste Platform (CRWP) to review how well the new regulations have been implemented by local authorities.

CRWP have canvassed a cross section of the planning authorities throughout England to gain insight into their individual experiences and identify the best approach for ensuring that the regulations can be complied with consistently.

The study began with a pilot study of a small sample of local authorities followed by a review of the survey questions. After the survey had been adjusted to take account of the results of the pilot study, an extended study was undertaken to cover a sample of 30% of all Local Authorities in England. A copy of the final questionnaire can be found in Appendix 1.

The survey results have been divided into six sections to provide a clearer picture of each primary area of enquiry. The six areas of enquiry were; awareness, existing procedures, implementation, problems and difficulties, suggestions for best practice and further observations.

It became clear very quickly that awareness of the regulations amongst local authorities was very low and, of those with some awareness, enquiring about existing procedures and implementation highlighted that there was a great deal of confusion over how and who should implement them. It was also highlighted that implementation would be an issue. Most local authorities do not know the value of projects and are therefore unaware of which projects would fall into the category of requiring a SWMP. Other problems and difficulties highlighted by the study included, resource issues and the consistency of approach across the local authorities.

Suggestions for best practice have been in line with the problems highlighted in other areas of enquiry. Local authorities are asking for more guidance and in particular the development of a template for consistency in completing a SWMP. Other suggestions were regarding resource issues. Training for local authority staff and agreement from Defra on a fee for administering the legislation were both suggested.

Further observations made by responders to the questionnaire were also in line with comments and responses already made. These were:

Responsibilities need to be clearly defined. >

Additional resources will be required e.g. financial >and staff.

A consistent approach needs to be developed across >the local authorities.

A lack of expertise amongst staff needs to be >addressed.

New processes need to have cohesion with existing >practices.

Recommendations have been made based on the findings of the study to help address the issues raised by local authorities. These recommendations include Workshops, on-line training, a dedicated helpline and the production of written guidance. It is recommended that adopting more than one communication channel will be the most effective strategy in this case.

Executive Summary


SWMP Report

Introduction 06

> Construction Resources and Waste Platform (CRWP) 06

> Site Waste Management Plans Regulations 2008 06

Methodology 08

> Pilot Study 08

> Review of the Questionnaire 09

> Extended Study 09

Survey Results 12

> Awareness 12

> Existing Procedures 14

> Implementation 16

> Problems and Difficulties 18

> Suggestions for Best Practice 20

> Further Observations 21

Recommendations 24

> Workshops 24

> SWMP Training 24

> Helpline 25

> Written Guidance 25

> Recommended Strategy 25

Appendices 28

> Appendix 1 Questionaire 28

SWMP ReportName Local Authority Implementation of SWMP

Prepared byName Amanda HarrisName Laura Deller Name David Shiers

Approved on behalf of AEAName Rupert CarrickName David Vaughn

AEA Technology plc Registered office 329 Harwell, Didcot, Oxfordshire, OX11 0QJ.

Contents


SWMP Report

Local Authority Implementation of SWMPPa

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Construction Resources and Waste Platform (CRWP)The Construction Resources & Waste Platform (CRWP) has been managed by AEA and BRE since it’s inception in April 2005. The main priority of CRWP is to ensure the construction industry has a say in how funds are allocated to improve their ability to be resource efficient. The CRWP also aims to improve understanding of what services and support is available to construction businesses to help them become more resource efficient and is joining with WRAP to improve resource efficiency and reduce waste within the construction industry.

Site Waste Management Plans Regulations 2008The Site Waste Management Plans Regulations (2008) came into force in April 2008, in England, making Site Waste Management Plans (SWMP) compulsory for all construction projects above the value of £300,000. The Site Waste Management Plans Regulations (2008) aim to increase the amount of construction waste that is recovered from sites; increase the amount of waste that is re-used or recycled, and improve construction projects’ material and resource efficiency. The new regulations also aim to prevent illegal waste activities and ensure that waste is disposed of appropriately and within the waste duty of care provisions, helping to ensure that the funds from the landfill tax are being spent appropriately.

The new regulations do not identify precisely who will be responsible for the enforcement of the regulations and this has caused some confusion for local authorities and other stakeholders. Section 15 of the regulations details the responsible authorities that may enforce these regulations but is ambiguous about who has the final responsibility. It states:

The Site Waste Management Plans Regulations (2008) came into force in April 2008, requiring a Site Waste Management Plan (SWMP) for construction projects valued in excess of £300,000. Since then a growing number of local authorities have set SWMP and resource efficiency requirements within the planning system. However, these changes have been implemented to varying degrees and in an ad hoc way that is not consistent across the planning regime. This has led to concern that the construction sector will suffer confusion from having to adopt different requirements depending on the location of the development.

The purpose of this report is to detail the results of an in-depth review of planning requirements in the context of SWMPs and construction resource efficiency, along with providing recommendations for developing a consistent best practice approach.

The objectives of the study are to:

Understand the Local Authority awareness of the >Regulations

Identify if and how Local Authorities are implementing >the Regulations

Understand the experience of the Local Authorities >

The review was carried out by the Construction Resources and Waste Platform (CRWP). CRWP have canvassed a cross section of the planning authorities throughout England to gain insight into their individual experiences and identify the best approach for ensuring that the regulations can be complied with consistently.

Introduction


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1. Source: http://www.opsi.gov.uk/si/si2008/uksi_20080314_en_1 - l1g5 - accessed 01-10-2009.

The following may enforce these Regulations—

(a) the Environment Agency;

(b) in any local government area with a principal authority, that authority;

(c) any district or county council;

(d) in the City of London, the common council.

For the purposes of these Regulations an officer of a local authority authorised to enforce these Regulations has all the powers of an officer of the Environment Agency under section 108 of the Environment Act 1995. 1

As it has been left open to interpretation, it was found in the study that some local authorities have concluded that it is in fact the responsibility of the Environment Agency to enforce the regulations whereas the environment agency consider it the responsibility of local authorities to ensure that the regulation is complied with.

This study aims to find a solution to resolving this lack of clarity for stakeholders and includes our recommendations for going forward.


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The local authorities listed above were selected for the pilot study as they represent a good cross section of councils across England. They are spread evenly geographically, and include city councils, from both rural and urban areas with two local authorities from greater London. We also looked at the estimated population sizes of the local authority areas, to ensure some demographic variation in our selection of interviewees.

During conversations held with the eleven local authorities, interviewees raised surprise and concern that the Regulations were already in existence and consequently felt alarmed that they did not have any knowledge of them.

It also became apparent early on that there was a mixed response over which department should be responsible for the approval and monitoring of SWMPs. Six of the eleven local authorities thought that their planning and building control department should be responsible for requesting and approving the plans. Four of the local authorities selected ‘other’ and specified departments such as their policy unit, planning policy team, sustainable development policy team, and waste services team.

The pilot study led to the conclusion that there was a significant lack of awareness and understanding of the regulations. Only two of the eleven local authorities contacted were aware of the regulations. Nine could not comment on how the regulations might be implemented or how this would affect them. Three local authorities asked for further information and were directed to sites on the Internet that would offer guidance.

It was decided to extend the pilot to a full survey, in order to identify whether these results were representative of all local authorities in England and to eliminate the possibility that this may be coincidental.

The method taken for carrying out this study was to design a telephone survey that could be used by technical staff to ask uniform questions from a selection of local authorities. As the staff carrying out the survey are experienced in the field of waste management, it was possible to further expand, where necessary, to gain a greater depth of understanding into each local authority experience of the new regulations, and any issues they have been facing.

The survey was split into two parts with an interim adaptation of the questionnaire design. The first part was a pilot study. The survey was then adapted based on the results of the pilot study, ensuring a level of quality control. Then an extended study was carried out that consisted of a larger cross-section of local authorities in England.

Pilot StudyInitially the survey began by interviewing eleven local authorities. The local authorities included in the pilot study were:

Cornwall County Council; >

Melton Borough Council; >

Colchester Borough Council; >

Shropshire Council; >

Oxford City Council; >

Brighton and Hove City Council; >

Royal Borough of Kensington and Chelsea; >

Carlisle City Council; >

North Yorkshire County Council; >

Salford City Council; and >

London Borough of Wandsworth. >

Methodology


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Review of the QuestionnaireAfter completion of the pilot study it was possible to review the quality and effectiveness of the questionnaire. It was apparent that the questionnaire could be improved and a number of changes were made for the extended study.

The main change was to redesign the questionnaire by adding some additional questions. It had previously been thought that the questionnaire should be kept short on the assumption that people would be busy and not keen to spend too long responding to a telephone survey. However, the interviewees contacted for the pilot were willing to talk for more time than originally envisaged as most had a number of questions they wanted to ask about the regulations. Four additional questions were added to the original questionnaire for the extended study, based on the responses we received from the pilot study.

These were:

Roughly how many planning applications do you >receive over the value of £300,000?

The purpose of this question was to identify how great an impact the regulations were likely to have on each local authority.

Each local authority is able to implement the >regulations in their own manner, and during their own timescale. Do you foresee any problems with this?

This was included to help the interviewee consider potential impacts of the regulations for themselves and on contractors.

Would you be interested in receiving further >information on the regulations?

It was thought that the questionnaire should provide opportunity for the interviewee to request additional information about the regulations.

Would you be interested in attending a workshop >or seminar on the regulations?

This final question was intended to establish whether the interviewees felt they needed additional guidance in implementing the regulations.

The aim of adding these questions to the survey was to gain greater understanding of the impact that the regulations were likely to have on local authorities and the level of further guidance they would require to implement the regulations effectively. A full copy of the survey can be seen in Appendix 1.

Extended StudyFor the purpose of the extended study it was decided that taking a representative sample of 10% of English local authorities would be sufficient. According to the National Statistics Website (data table KS01 gathered from the 2001 Census 2), there were 360 local authorities in England. The sample size would therefore be a total of 36 local authorities. As eleven authorities had already been contacted in the pilot study, a further 25 local authorities would need to be identified.

As was the case with the pilot study, it was considered important to choose a varied spread of local authorities to ensure that a good cross section would be contacted. Every 10th local authority on the list was chosen and adjusted when the eleven local authorities already contacted did not fit the pattern.

The final list of selected local authorities to be contacted is:

Ribble Valley Borough Council; >

Uttlesford District Council; >

South Oxfordshire District Council; >

North Kesteven District Council; >

Cheltenham Borough Council; >

2. http://www.statistics.gov.uk/StatBase/ssdataset.asp?vlnk=8271&Pos=2&ColRank=1&Rank=224


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Welwyn Hatfield Borough Council; >

Hart District Council; >

Great Yarmouth Borough Council; >

Chester City Council: >

Rochford District Council; >

Dartford Borough Council; >

Luton Borough Council; >

Bristol City Council; >

Camden Council; >

Maidstone Borough Council; >

South Norfolk Council; >

Newcastle-Under-Lyme Borough Council; >

Richmond Upon Thames London Borough Council; >

North Warwickshire Borough Council; >

Council Of The Isles Of Scilly; >

Fylde Borough Council; >

Hartlepool Borough Council; >

Wiltshire Council, Southern area; >

Bedford Borough Council; and >

Winchester City Council. >

When the contacts list had been decided, consideration was given to the importance of speaking to the correct individual within each local authority. It was thought that senior people would have an adequate overview of council operations and be fully aware of what their local authority was doing with regard to these regulations.

When calling, our target contacts within each authority was a senior member of the planning and development control departments or the equivalent department in each local authority e.g. department director, manager or principle planner.

The results of the combined pilot and extended study has been presented in Section 3 of this report.


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It is reasonable to expect that the responders to this survey were in a position within the local authority that would have a reasonable understanding of the SWMP regulations and their implications to the council and contractors alike. The following results are therefore indicative of the level of knowledge that each local authority holds.

AwarenessThe pilot study indicated that there was a significant lack of awareness of the SWMP regulations amongst local authorities. Therefore, two additional questions were added to the survey for the extended study to ascertain the level of interest in receiving further information. It was thought that with such a low level of understanding of the regulations at this stage that some local authorities may feel it necessary to obtain information in an environment such as a seminar or workshop. We therefore added question 13 to gain the level of interest there may be for carrying out this activity. The results of the awareness related questions have been detailed below.

Question 2: Are you aware of the Site Waste Management Plans Regulations 2008?The aim of this question was to establish how well the regulations have been disseminated across the sample of local authorities to date. Half of all responders had no knowledge of the regulations and a third were only vaguely aware. 17% of responders said that they had some awareness of the Regulations. A breakdown of these results can be seen in Figure 2.

The following survey results have been divided into six sections to provide a clearer picture of each primary area of enquiry. These areas are:

Awareness >

Existing Procedures >

Implementation >

Problems and Difficulties >

Suggestions for Best Practice >

Further Observations >

To ensure a high probably that the responder will be knowledgeable of the SWMP regulations the survey first enquired as to the position held within each local authority. It was thought that senior staff of relevant departments would be the most likely person to be aware of changes to regulation that affect them. The survey was therefore aimed at staff in a senior position unless we were directed to an alternative member of staff considered more appropriate for this area of study. In many cases we were directed to speak to a senior planning officer or team leader however, we also spoke to a director at one local authority. A breakdown of the responsibility levels of the responders to this questionnaire can be seen in Figure 1.

Survey Results

Figure 1. Responsibility Level of Responder

8%3%

51%

38% Director

Of�cer/Team leader

Manager

Did not answer


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Of those local authorities that stated they were aware of the Regulations, the majority could not provide any information on them or explain what the regulations entailed. The interviewer was required to offer a brief explanation of the regulations to these responders at this point of the survey in order to continue.

Question 12: Would you be interested in receiving further information on the Regulations?Question 12 was added after completion of the pilot study so was only answered by the additional local authorities that were chosen to take part in the extended study. The responses from this question are therefore based on 27 responses, consisting of the 25 asked in the full survey, plus another two individuals that had requested additional information to be sent during the pilot study. It was the two independent requests that prompted the introduction of this question in the extended survey.

Figure 3 illustrates that almost all responders (89%) would like more information about the regulations.

Question 13: Would you be interested in attending a workshop on the regulations?This question was also added due to the results from the pilot study. The sample size for this question is 25, as the 11 local authorities canvassed during the pilot study were not asked this question.

The majority (92%) of those asked said that they would be keen to attend a workshop to gain a better understanding of the SWMP regulations. Figure 4, illustrates that two of the responders commented they would only be able to attend if the workshop was held locally, and a further two highlighted a preference for the workshop to be kept to a maximum of half a day. Three responders also emphasized the importance of the workshops being relevant to the specific needs of the local authorities, and so cover topics such as recommendations for implementing the regulations and practical actions to take.

Figure 2. Local authority awareness of SWMP regulations 2008

33%

17%

50%

Aware

Vaguely aware

Not aware

Figure 3. Number of local authorities that would like more information on the regulations.

89%

4%7%

Yes

Requested information

No


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Existing ProceduresQuestions 3, 4 and 5 were designed to ascertain what procedures exist within each local authority with respect to the SWMP regulations. The results of these questions are based on 36 responders, as these were present in the pilot stage of this study.

Question 3: For building projects costing over £300,000, does your local authority require an environmental policy statement as part of the planning application process?

Figure 5 illustrates more than half of the local authorities asked said that they currently require an environmental policy or statement to be included as part of the planning application. These are implemented in different ways and with varying conditions so there is a distinct lack of consistency in approach for each local authority.

Three local authorities have a planning checklist that includes a requirement for an environmental statement. One local authority only requires this when an Environmental Impact Assessment is needed and one checklist is for a sustainable construction statement for projects of 5 dwellings or more or with major applications.

Three local authorities require this for all developments with one responder stating that they believed this was required in order to comply with current building regulations. The third responder said that they focus on the waste minimisation aspects of the developments.

Other responses were varied with one local authority requiring a design access statement. They explained how this statement touched on the environmental aspects of a development and that this is required for single dwellings. Yet another local authority said that a statement of environmental considerations were requested on an ad hoc basis for major projects but this did not include housing.

Question 13 also highlighted the level of confusion as to where the responsibility lies for the implementation and enforcement of these regulations. One local authority was uncertain about whether they would choose to attend a workshop on the SWMP regulations. They also stated that their understanding of the regulations meant it was the responsibility of the clients and principal contractors for all construction projects to prepare and implement a SWMP, rather than the responsibility of the local authority.

Figure 4. Number of local authorities that would like to attend a workshop on the regulations

92%

4% 4%

Yes

Don’t know

No


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Another local authority said that they require energy assessments and BREEAM assessments for developments over 10002m and Code for Sustainable Homes Assessments where 5 or more dwellings are created.

There were a large percentage (39%) of local authorities that did not require a planning policy or statement.

Question 4: As part of an environmental policy statement, does your local authority require a ‘Resource Efficiency’ or ‘Site Waste Management Plan’ (SWMP)?

This question is more specific and relates more closely to the current SWMP regulations. Figure 6 illustrates 56% of local authorities do not require a resource efficiency or site waste management plan to be included within their environmental policy statement.

Of those local authorities stating that they require a resource efficiency plan or SWMP three included waste management plans within their checklists. Two require SWMP for any application over 100 dwellings or 10,000m2 developments. One local authority said that a waste minimisation statement was required as part of their design and access statement with another only requiring site waste to be covered. One local authority

said, an in-depth waste audit is required as part of the pre-application stage.

Question 5: Are SWMP or resource efficiency procedures currently monitored or enforced by the local authority, once construction of a project has commenced? If so, which department has responsibility for this process?This question relates to the enforcement of the SWMP regulations and as illustrated in Figure 7 less than half of all responders carried out activities in this area. Those local authorities who did tended to do so in a reactionary manner.

One local authority commented that although they have made attempts at having a dedicated person to visit sites, this proved expensive and they couldn’t afford to continue with the process. The most common response to this question was that an enforcement or planning officer would be responsible for this.

Other responses included: “this would have to be included as a condition within the planning permission;” and, “this is the responsibility of environmental health.” One local authority said they also provide guidance on how to implement policies.

Figure 5. Local authority requirement for environmental policies or statements

56%

39%

5%

Yes

Don’t know

No

Figure 6. Local authority requirement for resource efficiency or SWMPs

36%56%

8%

Yes

Don’t know

No


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separates the approval and the monitoring/enforcement aspects of the requirements. Figure 8 illustrates how local authorities are unclear as to who is responsible for each part of the regulation.

a) Approval of SWMPsThe most common response to this part of question 6 was “other” with 17 responses. Four of these commented that they thought it should be the joint responsibility of development control departments and another department. Other departments included; Street environmental Services, Environmental Health and Sustainable Development Policy Team.

Four local authorities felt that the Environment Agency should be entirely responsible with two more saying the Environment Agency should have a role to play working alongside the local authority.

ImplementationQuestions 6 and 7 of the questionnaire have been included to ascertain the issues that may surround the implementation of the SWMP regulations for local authorities. Question 6 was included in the pilot study however question 7 was added later and therefore is based on a smaller sample size.

One council said that they have already implemented the regulations, and that each contractor is required to submit a SWMP. However, due to the geographical constraints for this local authority, they have had little option but to make waste management a priority. The local authority has also said they have been effective in their communication strategy.

Question 6: As the new regulations are rolled out, which department within your local authority would be best placed to:

a) Approve the SWMPs?b) Monitor and enforce the use of SWMPs?

This question has been split into two parts to highlight the different aspects of implementing the SWMP regulations for a local authority. This question clearly

Figure 7. Local authority monitoring of SWMP or resource efficiency at project commencement

Yes, 13No, 21

Don’t Know, 2

Monitoring 8%

ReactionaryMonitoring 28%

Figure 8. Local authority approving, monitoring and enforcement of SWMPs

0 10 20

Environment Agency4

11

7

179

0

159

36

Planning &Development Control

Building Control

Environmental Health

Enforcement Of�cers

Other

Approve SWMPs

Enforce and Monitor SWMPs


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Figure 9 shows 9 responders answering, “don’t know,” however nine local authorities were not asked nor provided that information of their own accord. The remaining responses could not answer because they did not keep a record of the information.

Of the seven local authorities that receive high value applications once a month or more, one stated that they received at least one application above the £300,000 threshold each week.

It can be concluded from the data gathered that the new regulations could potentially have a significant impact on local authorities.

One local authority believed that approval should be the responsibility of the Environmental Health department.

b) Monitor and enforce the use of SWMPsThe majority of responses to part b of question 6 felt that it is the responsibility of the local authority to carry out monitoring and enforcement of the regulations. However, there was some variation on which department within each council should be responsible.

Seven responders thought it would be the responsibility of their internal enforcement officers. Nine people responded to this question with “other” with one commenting that it is the responsibility of clients and principal contractors for all construction projects to prepare and implement a SWMP.

Four local authorities felt that this was the responsibility of the Environment Agency.

Question 7: Roughly how frequently do you receive building applications over £300,000?Question 7 was included after completion of the pilot study to determine the level of the additional workload the new regulations could potentially impose on local authorities. Those applications within the threshold of £300,000 or more require a SWMP to be submitted by the contractor. Although the 11 local authorities in the pilot study were not asked, two volunteered the information, therefore the data in Figure 9 is from a sample size of 27 local authorities.

Figure 9. Number of applications with a value of £300,000 and above received by local authorities

0

2

4

6

8

10

Respondents

Do notknow

1 in 6months

1 in 4months

1 in 2months

1 amonth or more


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“Yes, they must all enforce in the same way. There >is already an inconsistency on other issues, and we the quality of planning applications differs.”

“A nationwide approach is needed because we find >that we keep having to justify why we are asking for things that other local authorities are not.”

“The Environment Agency should have a standard >procedure. Rules should be the same for the whole country.”

“We really need a standard procedure.” >

“Local authorities will also be taking up the >regulations at different times which will be a problem.”

“Too much flexibility could act as a disincentive >to implementation and cause delay.”

Other comments from local authorities highlighted that there would be significant implications with respect to resources.

Problems and Difficulties The purpose of including Questions 8, 9 and 10 were to determine the types of issues that local authorities may face when implementing the SWMP regulations. This information will be useful to help produce better guidance and learn lessons from those local authorities. that have already made progress in implementing the regulations. The data will also allow guidance to deal with any expectations with regards problems and difficulties for local authorities, allowing them to be dealt with in a proactive rather than reactive way.

Question 8: Each Local Authority is able to implement the regulations in their own manner, and during their own timescale. Do you foresee any problems with this?

Question 8 was identified during the pilot study as a useful question to ask and was added at the questionnaire review stage. The eleven local authorities that were canvassed in the pilot were not asked this question so the data illustrated in Figure 10 has been based entirely on the responses from the remaining twenty-five that took part in the extended study only.

Although the majority of local authorities felt that a level of consistency would be needed to facilitate the implementation process, making it easier for both the contractor and the local authority to comply with the new regulations, some local authorities felt that having some flexibility would be beneficial.

One local authority noted, as many contractors already have to comply with differing systems nationally, this would not be a big issue for them.

Evidence suggests those local authorities that felt there was a need for consistency appeared to have stronger feelings about this issue, as these responders were more likely to expand on their comments. The comments made in favour of consistency were:

Figure 10. Number of local authorities that foresee problems relating to the flexibility of the regulations

13

10

2

Yes

Don’t know

No


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“As we understand it, these regulations are permissive and may be enforced by the Environment Agency or the District or County Council. I am not aware that we have undertaken to enforce these provisions.”

A local authority that has already effectively implemented the SWMP regulations requests the waste management plan as part of the planning application process along with a number of other documents as part of a validation checklist.

Question 10: In your view, what will be/has been the experience of local building contractors, in terms of preparing and complying with the new regulations?

This question was included in the pilot study in addition to the extended study and has been designed to show how well local authorities are working with construction companies with respect to SWMPs. As illustrated in Figure 11, many responders have said they do not know, indicating that their relationship with developers might be remote which may impact on the implementation of the regulations.

Of the local authorities that responded with a positive or negative response, the split between them is almost even. Some local authorities have said that much of their information about the regulations have come from contractors.

Some local authorities said they expect building contractors to be very concerned about the amount of extra paperwork and expense that the regulations will impose on them. They think the process could be significantly slowed, as contractors will find it difficult to complete planning applications correctly.

One council highlighted there would be a different reaction depending on the size of the contractor. Smaller construction companies would find it more difficult to absorb new processes and additional expense than larger companies who, in the experience of the local

Question 9: In your view, what will be/has been the experience of the Local Authority department concerned in implementing the new regulations?

Some of the local authorities contacted said this would be a difficult question to answer when they had not previously had any knowledge of the regulations. However asking the question did give the responders an opportunity to consider the implications of implementation.

Concerns were raised regarding the level of resources that would be required by 15 local authorities as it was generally felt that there would not be the staff, budget or other associated resources to absorb the extra work this would entail. One local authority commented that budget is a particular issue at this time due to the current financial situation globally. Another local authority said that they currently have a sustainability checklist, which requires the preparation of a waste management plan. The application of the checklist was said to have been expensive for the council, and led to delays in the processing of applications. It was thought that placing monitoring requirements into the process would delay this further and add to the expense.

A lack of knowledge was also cited as a potential problem for local authorities in implementing the SWMP regulations, highlighting training as a potential issue.

Six of the interviewees said that there would be a problem identifying which applications will fall within the £300,000 threshold, as the planning application process does not require information on the total budget. This has highlighted an issue with respect to cohesion with current practices and procedures.

One responder was adamant that as it was not the responsibility of the local authority to implement the SWMP regulations the question was not relevant. A second local authority said;


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Suggestions for Best PracticeUnderstanding how local authorities implement changes in regulations is important to ensure that our recommendations are based on best practice. Question 11 has been included to gain a good understanding of current best practice amongst the local authorities as a benchmark. Question 11 was included in both the pilot and extended study.

Question 11: What suggestions would you make in terms of providing guidance to both local authorities and building contractors, to help them develop a best practice approach to SWMPs?

It has been relatively easy to identify a benchmark, as many of the responses to this question were similar. They mostly related to providing more guidance, however two key points were highlighted. These were:

Information about the SWMP regulations should be >targeted at contractors at the planning stage; and

Effective communication is the key to implementing >regulations successfully.

Local authorities appear to be asking for a communication strategy to be developed to include:

Explicit information about how the regulations should >be implemented;

Who should be implementing them; >

Guidance on how to complete a SWMP; >

Guidance on how to read and assess a SWMP; and >

Guidance on how to enforce the regulations >appropriately.

One local authority asked if it would be possible clarify exactly who is responsible for enforcing this set of regulations at district and county levels for two tier authorities. Another local authority said; “communication is vital to the success of these regulations.”

authority in question, have been able to adapt to changes in regulation more easily.

Other positive responses have highlighted that the requirement for a SWMP will help construction companies to save money by planning their processes for dealing with waste. It was thought however that the practical cost of dealing with waste coupled with the availability of local sorting/processing capacity has probably had more impact in incentivising contractors rather than the SWMPs.

The negative responses concentrated on the issue of a slow take up, confusion with varying systems and processes and additional costs for construction companies. A slow take up, it was noted, “could be solved by a few high profile prosecutions.”

Figure 11. Estimated impact of the regulations on contractors

0

2

4

6

8

10

12

14

16

18

20

Respondents

Don’t know Positive Negative


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There were many ides offered during this study. The following is a list of suggestions that were offered by the local authorities that took part in this study.

There is a need for consistency in the way we ask >for and monitor the SWMPs

The Environment Agency should have responsibility >for SWMPs

An SWMP standard template would allow for easier >assessment and help contractors to comply with the regulations.

A routine process for checking compliance of >construction projects is required.

Examples of good practice issued to local authorities >would help them to implement the regulations effectively.

A seminar with guidance notes would help local >authorities understand the regulations better.

There needs to be a joined up approach from places >such as Defra and BERR.

A single guidance document would help to reduce >confusion of how the planning process works.

If the planning office is considered to be the >appropriate arm of the council to assess, monitor and enforce the SWMP regulations then Defra will need to agree a fee to cover the additional work.

The SWMP requirement would be easier to >implement if it were not based on project value as this information is rarely submitted and can change through the life of a contract.

Further Observations A final question was added to the survey to allow each local authority canvassed to provide us with any final thoughts, comments or observations they may have.

ResponsibilityAt the start of this study, it became apparent that there were inconsistencies in each local authorities understanding of the regulations. How it should be implemented and who should be assessing, monitoring and enforcing the regulation is not at this time clear to those local authorities that said they some awareness. More concerning however, is the level of complete unawareness of the regulations amongst the local authorities canvassed.

As each local authority is unclear of who should be responsible for the various activities that the regulations require the local authority to take, it will be difficult for Defra to provide direct guidance. This highlights a need to educate councils, initially at a high level, as to the regulations and the functional area these regulations should fall under. One local authority mentioned that they have a department that has been specifically set up to ensure that the council are updated and fully aware of new policy and legislation. This department have SWMP legislation on their agenda. If other councils also have similar departments or steering groups this may be an appropriate target group for providing initial guidance.

There are also areas where local authorities are split into a two tier council structure. One example of this was identified during this study. There was a borough council, which is not a waste planning authority and a county council which is the waste authority for this council. However, the county council had assumed that the regulations should be applied at the district level, rather than the county level.

Other local authority structures have highlighted the same


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considered to be an expense that the local authority would not be able to absorb within their current budgets.

CohesionObservations regarding the lack of cohesion with current planning practice of the SWMP regulations has been made by some of the local authorities. As current planning procedures rarely require information relating to the total cost of construction projects, planning officers would be unaware if there is a requirement to complete a SWMP. A change in the planning procedure would be required to ensure that the correct data is captured.

In addition, if local authorities were to require a valuation for each construction project, one difficulty is that contractors are often unable to provide the exact costs upfront, and can estimate incorrectly. This situation is common and can be seen in the number of high profile construction projects that have gone grossly over budget. It has been suggested by more than one local authority that the requirement for a SWMP would be better based on some other information. To allow for the regulations to be easily integrated with current processes, the requirement for SWMPs could be based on measures such as floor space created or altered; or the number of dwellings created or lost, and not on the value of a development.

A suggestion was made by one local authority that the SWMP legislation should be included as part of the local development framework.

Local FacilitiesWith regards to enforcing SWMPs, one local authority suggested that there might be difficulties for construction companies with respect to local facilities. In some areas, the local infrastructure available for dealing with construction waste is not effective at coping with the level of recycling and reuse of materials that may be required within the SWMP.

issue with either two or sometimes three tiered councils. It has been noted that there is often little liaison between the levels of authority and this could cause additional strain on the successful implementation of the SWMP regulations.

ResourcesMost local authorities cited a resource issue with respect to implementing the SWMP regulations. In particular, staff are considered already stretched and it is unlikely the new work could be absorbed without instigating training and hiring additional staff. Another resource issue that was a common theme throughout the study was budget. Most local authorities said that they would not have the budget required to absorb the additional training and work required to comply with the regulations. One local authority suggested that a chargeable fee would need to be agreed by Defra for the local authority to assess and monitor the SWMPs.

ConsistencyThere were a number of local authorities that mentioned the issue of consistency. There was an element of concern that SWMPs would not be consistent from one construction project to the next and that this could be exaggerated for national companies that work with different local authorities. A potential solution to this was suggested by one local authority who stated that the creation of a SWMP template would help to eliminate any inconsistencies in completing an SWMP.

ExpertiseMost local authorities said that they did not have the level of expertise required to assess SWMPs. One local authority did mention that they work closely with the Environment Agency however they were not confident that they could meet the correct technical standard.

The cost of training staff to deal with the new tasks that would need to be carried out by the local authority was


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SWMP TrainingA number of local authorities voiced a concern over the requirement for training to assess an SWMP effectively as the level of expertise currently does not exist within their complement of staff. It is perceived that a designated individual or team, capable of reviewing plans effectively would need to be created.

Before training could be provided it would be necessary to review the cost implications to local authorities. There may be a requirement to gain additional funding to achieve this for some local authorities and there may also be a requirement to hire additional staff.

The provision of an online training course that can be accessed by individuals as required is a potential solution to the training issue. This would have the following benefits:

Flexible, ongoing training for local authorities; >

Low cost for both Defra and local authorities; >

No trainer required; >

Consistent content of training course; >

Can also be used outside of local authorities e.g. >construction companies;

Can be revisited by trainees at any time; >

Can be monitored to assess uptake figures; and >

Can be a hub for downloading guidance and >templates.

The general lack of awareness surrounding the regulations has highlighted an opportunity for Defra to lead local authorities by producing clear guidance and providing an opportunity for a cohesive and consistent process to be taken up across the board.

Based on the results of the survey, the dissemination of information has so far been mostly ineffective. This study has highlighted the potential to take advantage of this position to consider a new approach. The following recommendations show the best available options currently open to Defra.

Workshops From the responses we received after asking the awareness questions, it has been demonstrated that there is a willingness to learn more about the regulations by attending workshops or seminars.

Local authorities indicated a preference for workshops to be held locally. To reduce the burden on staffing these should not be longer than a half day. The recommendation would therefore be to hold half-day regional seminars. This would provide the opportunity to disseminate information, encourage questions and discussions, and ensure consistency in guidance.

To measure the success of the workshops and identify any further requirements for guidance, feedback will also be important to the success of future workshops.

A follow up call to each local authority after a reasonable period e.g. 6 months, would provide information on how regulations have been implemented. This may be in the form of a telephone survey such as the one used in this study. This would help to identify the success of any actions that are carried forward from this study and the recommendations outlined here.

Recommendations


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Written Guidance It is evident from the survey that the vast majority of local authorities need formal guidance on the regulations.

This guidance could be distributed in a variety of methods:

Sent to all local authorities by post; >

Sent to all local authorities via electronic mail shots; >

Provided during SWMP workshops; or >

Provided as part of online training and guidance. >

Developing a written guidance document will help to provide local authorities with a better understanding of the regulations and help them interpret the implications and requirements that the local authorities will be expected to carry out as a result.

The written guidance should be in plain English, void of jargon and sectioned to make it easy to skip from one point of fact to another ensuring a user-friendly guidance document.

Written guidance would need to be general information that can be relevant for all local authorities regardless of the structure or process of each individual council.

HelplineA dedicated helpline can provide a low cost point of call for local authorities when they have questions or require additional guidance. This study showed that each local authority has a slightly different structure and will likely have questions that may only pertain to their particular council. Providing them with a specialist point of contact either through a web or phone based helpline will allow those questions to be dealt with as and when they arise.

There will be some questions that local authorities regularly ask and a “frequently asked questions” response sheet can be drawn up to enable helpdesk operators to deal with these questions quickly and with confidence.

Below, are the most frequently asked questions posed by local authorities during this study:

What does an SWMP entail, what must be included >in it?

How will the local authority identify which applications >require a SWMP, when we do not know the total value of the project?

For a large development with many different >contractors, which contractor has responsibility for creating and implementing the SWMP?

On a development that had begun prior to April 2008, >will the contractor be expected to create a SWMP?

The provision of a helpline may also provide support and attract enquiries from construction companies and other stakeholders.


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Recommended StrategySending information to the local authorities does not eliminate the risk that they may not fully read or understand the guidance. There will be a concern that the information could be ignored, misplaced or misunderstood.

A follow up phone call to check that the information has been received would encourage the local authorities to read the guidance, helping them to understand the next steps in implementing the regulations. The follow up call would also provide an ideal opportunity to invite each local authority to attend one of the SWMP workshops.

It is recommended that adopting more than one communication channel will be the most effective strategy in this case. We recommend sending the guidance, either by e-mail or post, in the first instance. Follow this up by a telephone call to invite each local authority to one of the workshops where another electronic version of the guidance and any further information, such as SWMP templates, links to information on the web, information about a helpline and details on how to gain access to online training, can be supplied.

In addition to written guidance and workshops, an online training course and template will ensure that the training requirements are met and a consistent approach can be adopted. A dedicated helpline either via an electronic mailbox for e-mail enquiries or by a telephone helpline will provide local authorities with directed support for issues that are specific to individual structures and procedures.

This combined strategy will ensure that local authorities are able to gain the guidance required to adequately implement and comply with the SWMP regulations and help to ease some of the financial burden by reducing the cost of training.


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Appendix 1 Questionaire

Please take a couple of minutes to answer the following questions.

1. What is your position/which department of your Local Authority do you work for? (This information will remain confidential)

2. Are you aware of the Site Waste Management Plans Regulations 2008?

Yes / No / Have heard of them, but do not know much about them

3. For building projects costing over £300,000, does your Local Authority require an Environmental Policy statement as part of the planning application process? (Includes new buildings and refurbishments)

Yes / No / Don’t know

4. As part of an Environmental Policy statement, does you local authority require a ‘Resource Efficiency’ or ‘Site Waste Management Plan’ (SWMP)?


5. Are SWMP or Resource Efficiency procedures currently monitored or enforced by the Local Authority, once construction of a project has commenced? If so, which department has responsibility for this process?

Yes – monitored and enforced by

No / Don’t know

6. As the new regulations are rolled out, which department within your local authority would be best placed to:

a) approve the use of SWMPs?

Planning and Development Control >

Building Control >

Environmental Health >

Trading Standards >

Other or combination of the above – please state >

b) monitor and enforce the use of SWMPs?

Planning and Development Control >

Building Control >

Environmental Health >

Trading Standards >

Other or combination of the above – please state >

7. Roughly how frequently do you receive building applications over 300k?


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11. What suggestions would you make in terms of providing guidance to both Local Authorities and building contractors, to help them develop a consistent and best practice approach to SWMPs?

12. Would you be interested in receiving further information on the Regulations?


13. Would you be interested in attending a workshop or seminar on the Regulations?


14. Please provide any further comments or observations.

Thank you very much for your time.

8. Each Local Authority is able to implement the regulations in their own manner, and during their own timescale. Do you foresee any problems with this?

9. In your view, what will be/has been the experience of the Local Authority department concerned in implementing the new regulations?

10. In your view, what will be/has been the experience of local building contractors, in terms of preparing and complying with the new regulations?

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Local Authority Implementation of Site Waste Management Plans

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