Guidance

Guide to Rule 6 for interested parties involved in an inquiry-enforcement appeals and certificate of lawful use or development appeals – England

Updated 21 December 2022

Applies to England

© Crown copyright 2022

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This publication is available at https://www.gov.uk/government/publications/apply-for-rule-6-status-on-an-enforcement-or-lawful-development-certificate-appeal/guide-to-rule-6-for-interested-parties-involved-in-an-inquiry-enforcement-appeals-and-certificate-of-lawful-use-or-development-appeals-england

1. Rule 6 Status

1.1. There are two sets of Inquiry Procedure Rules which may be relevant to the appeal you are interested in:

  1. The Town and Country Planning (Enforcement)(Determination by Inspectors) (Inquiries Procedure) (England) Rules 2002 (Statutory Instrument 2002/2685) - These are used where the appeal will be decided by an Inspector on behalf of the Secretary of State. This will be the case for almost all appeals.

  2. The Town and Country Planning (Enforcement) (Inquiries Procedure) (England) Rules 2002 (Statutory Instrument 2002/2686) - These are used where the appeal will be decided by the Secretary of State.

Rule 6 status refers to rule 6 (6) of the Inquiry Procedure Rules for appeals determined by an Inspector (rule 8 of the rules for appeals determined by the Secretary of State).

1.2. Rule 6(6) states that:

“The Secretary of State may in writing require any other person, who has notified him on an intention or wish to appear at an inquiry, to serve -

a. 3 copies of their statement of case to him within 4 weeks of being so required

b. in the case of an enforcement appeal, simultaneously, a copy of their statement of case on any person specified by the Secretary of State

and the Secretary of State shall, as soon as practicable after receipt, send a copy of each such statement of case to the Local Planning Authority (LPA) and to the applicant/appellant”.

1.3. From this extract, you will see that Rule 6 parties have the responsibility to send us a statement of case (see section 3). They also have rights which are explained in this guide.

1.4. With rule 6 status you will be considered a main party. You will be sent copies of the documents sent to us by the other main parties - the appellant (the person making the appeal), the LPA and any other Rule 6 parties. You will be entitled to appear at the inquiry and to ‘cross- examine’ other parties (to question witnesses about their evidence).

2. How to apply for rule 6 status

2.1. If you wish to take a very active part in an inquiry you should write to our case officer requesting rule 6 status. However, to avoid making the inquiry too repetitive, we encourage participants with similar views to group together and choose a spokesperson to appear at the inquiry on the group’s behalf. You should state who you are representing (for example, a parish council or local community group), why you want rule 6 status and briefly explain what you can bring to the inquiry that another party may not. It is unusual for rule 6 status to be granted to individuals.

2.2. Rule 6 parties can offer significant value to inquiries. However, this is only the case where rule 6 parties add substantively to the case being made by the LPA or the appellant.

2.3. Depending on whether you oppose or support the appeal you may wish to consult the LPA or the appellant to find out what their position will be at the inquiry. This will help you to decide whether your position can be satisfactorily represented by them. If this is the case, you would not need to ask us for rule 6 status.

2.4. We will review your request and decide whether rule 6 status will be granted in line with the considerations in 2.1 - 2.3.

2.5. Please see the following for the full inquiry timetable:

It is very important for all parties to keep to the timetable for the receipt of documents. You may wish to familiarise yourself with the content of the relevant Procedural Guide depending on whether you are interested in an enforcement appeal or a lawful development certificate appeal.

3. Statement of case

3.1. We will instruct Rule 6 parties to send us a statement of case, usually within 4 weeks of the date of our letter which grants rule 6 status.

3.2. In your statement of case, you will need to give full details of the case you will put forward at the inquiry. You must list any documents, including maps and plans, to which you intend to refer or use in evidence. Although you only have to list documents at this stage, it would be helpful if you supplied copies with your statement of case. Please see:

for further information on what to include in your statement of case.

3.3. You must send us one copy of your statement of case for the Inspector and one each for the appellant, the LPA and any other Rule 6 parties. On larger inquiries where 2 Inspectors are appointed, or where an additional copy of documents is required for the Secretary of State, we will ask you to provide 2 copies for the Inspectors.

4. Statement of common ground

4.1. The appellant and the LPA must jointly prepare a statement of common ground. This should list all agreed matters and should include basic facts such as the site description, area, planning history, relevant planning policies, and as many other matters as possible relating to the appeal site.

4.2. The statement of common ground must be received by us no later than 4 weeks before the start date of the inquiry.

4.3. With the agreement of the appellant and the LPA, rule 6 parties can also agree a statement of common ground. This will establish those matters which are agreed with the main parties, which means that the inquiry can then focus on the issues which are in dispute. If you wish to do this, you should contact the appellant and the LPA at the earliest opportunity - even if this is before you have asked us for Rule 6 status.

4.4. If there is more than one rule 6 party, it can also be helpful if they can jointly produce a statement of common ground.

4.5. For further information on statements of common ground please see:

5. Proofs of evidence

5.1. A proof of evidence is the document containing the written evidence about which a person appearing at a public inquiry will speak.

5.2. If you propose to give, or to call another person to give, evidence at the inquiry by reading a proof of evidence you must send:

  • 3 copies of it and any written summary (see paragraph 5.7) to us

  • one copy of it and any written summary to the LPA, appellant and any other rule 6 parties

no later than 4 weeks before the date the inquiry starts. However, if the Inspector has specified a different timetable for the receipt of the proofs of evidence you must meet that timetable.

5.3. The main role of a proof of evidence is to allow witnesses to:

  • have previously provided evidence in one document which helps them to present their case at the inquiry

  • give their professional opinion or opinion based on local knowledge, on evidence provided by other parties in their statements of case

5.4. For a description of what to include in your proof of evidence, please see:

5.5. The evidence of each of your witnesses should address distinct topics and not overlap another’s.

5.6. Witnesses and their advocates should limit the length of proofs. If the proof exceeds 1,500 words, it should be accompanied by a summary. It is normally only the summaries that will be read out at the inquiry.

5.7. Summaries should concentrate on the main points at issue. They must not introduce new or different evidence nor go beyond the scope of the text they summarise. It may sometimes be difficult to summarise complex technical evidence effectively, and the above advice is not intended to prevent witnesses properly explaining their evidence. Successful summaries of complex evidence will help make the main points clearer to the interested parties, as well as saving time.

5.8. If the proof of evidence includes evidence given by an expert witness, please see:

6. Core Documents

6.1. These are documents that are of general/background relevance to the inquiry. With the agreement of the other parties, a document that will be referred to by more than one party can be added to the core documents list. Either the LPA or appellant may coordinate the core documents list. If you want to suggest inclusion of a core document, you should provide copies of that document to the appellant and to the LPA.

7. Sending document to us electronically

7.1. Whilst we encourage electronic working, we may request a hard copy of some documents (such as your proofs of evidence – see section 5) to ensure the smooth running of the inquiry. Any printed copies must be of the final versions provided to us.

7.2. For further information, please see our guide on how to communicate electronically with us

8. Pre-inquiry meetings

8.1. When an inquiry is likely to last 4 or more days a pre- inquiry meeting is usually held, although one may be held before a shorter inquiry. A pre-inquiry meeting is a public meeting, but it is mainly for the benefit of the Inspector and main parties. We will invite rule 6 parties to attend the meeting.

8.2. The purpose of the meeting is to prepare for the actual inquiry by discussing procedural and other arrangements. No evidence about the case will be heard at the meeting. The meeting should help to ensure that the inquiry runs efficiently and will help everyone to concentrate on the main issues in dispute, saving time and expense for all.

9. Openess and transparency

9.1. Inquiries are open to journalists and the wider public, as well as interested people. Provided that it does not disrupt proceedings, anyone will be allowed to report, record and film proceedings including the use of digital and social media. Inspectors will advise people present at the start of the event that the proceedings may be recorded and/or filmed, and that anyone using social media during or after the end of the proceedings should do so responsibly.

9.2. If you want to record or film the event on equipment larger than a smart phone, tablet, compact camera, or similar, especially if that is likely to involve moving around the venue to record or film from different angles, you should contact us and the LPA in advance to discuss arrangements.

10. Inquiry arrangements

10.1. We ask the LPA to arrange the inquiry venue. Inquiries are usually held in LPA offices, village halls or community centres. For further information please see the Planning Inspectorate’s Public inquiries; Hearings and Examinations - venue and facilities requirements

10.2. We will notify the appellant, the LPA and every person entitled to appear at the inquiry of the date, time, place and expected length of the inquiry and the name of the Inspector.

10.3. We want to hold all inquiries in buildings with proper facilities for people with disabilities. If you, or anyone you know, want to go to the inquiry and you have particular needs, please contact the LPA to confirm that they can make proper arrangements.

10.4. Inquiries usually open on a Tuesday at 10:00. Unless there has been a pre-inquiry meeting (see section 8) the Inspector will agree the sitting times with the main parties at the start of the inquiry. It is often agreed that the inquiry will start at 9:30 on subsequent days. Inquiries usually sit until about 17:00 or 17.30 each day but may finish earlier on a Friday. There will usually be a mid-morning and mid-afternoon break and a 1-hour break for lunch. The Inspector should not be approached during breaks as other participants in the inquiry would not know what was being said. Inquiries do not usually sit on a Monday.

10.5. At the discretion of the Inspector, and dependent on a suitable inquiry venue being available, an evening inquiry session is occasionally held if there are a significant number of interested parties who cannot attend during the daytime inquiry sessions.

11. Advocates

11.1. There is no requirement for anyone to be legally represented by a solicitor or barrister. However, usually, each of the main parties at an inquiry are represented by an advocate. Advocates do not need to have legal qualifications. Their role is to present their party’s opening statement, go through each of their witness’s evidence in chief, cross-examine the opposing parties’ witnesses, and present their party’s closing statement. When advocates are inexperienced the Inspector will assist and advise, where necessary, of the procedures to be followed.

11.2. If a Rule 6 party does not have an advocate, then one of their witnesses can act as advocate. This is especially important if you wish to cross-examine any of the other main parties. If you do not nominate somebody to be your advocate, then you will need to introduce yourself to the inquiry and present your proof of evidence without anyone taking you through it.

12. What happens at the inquiry?

12.1. An inquiry is the most formal of the appeal procedures. It usually involves larger or more complicated appeals. An inquiry may last for several days, or even weeks. It is not a court of law, but the proceedings will often seem to be similar. Often expert evidence is presented, and witnesses are cross-examined.

12.2. The Inspector will normally have seen the site location and the surrounding area before the inquiry event but will normally make a further accompanied visit during or after the inquiry.

12.3. When the Inspector opens the inquiry on the first day, they will firstly deal with any housekeeping matters (such as what the inquiry is about and where the fire exits are). The Inspector will then usually give an outline of what will happen at the inquiry. The Inspector will ask whether there are any interested parties who wish to speak at the inquiry, this is often called taking the appearances.

12.4. The order of appearances is at the discretion of the Inspector who will usually consider the views of the parties and the particular circumstances of the case. The Inspector will make it clear at the start of the inquiry what the order of appearances will be.

12.5. Normally the appellant will be asked whether they wish to make a brief opening statement, followed by the LPA. Whether the parties make an opening statement or not, the appellant will usually present their case first; the witnesses will give their evidence and the opposing side will be allowed to cross-examine them.

12.6. After that the Inspector will normally ask (for each witness) if anyone who registered at the start of the inquiry that they wished to speak, and who opposes the case that has just been put forward, whether they have any questions to put to the witness.

12.7. This is followed by the other side presenting its case with witnesses being cross examined by the opposing side. Similarly, those who registered that they wished to speak and who oppose the case just put forward, will be asked if they have any questions to put to the witnesses. Rule 6 parties and then any other interested people who wish to speak will normally present their evidence after the appellant and the LPA have finished their cases.

12.8. The Inspector will usually ask if you are willing to answer questions about your evidence. You do not have to do this, though it is often helpful to do so, and it may add weight to your evidence. Do not feel intimidated. The Inspector will not let anyone ask you hostile or unfair questions.

12.9. Leading questions (questions in which the answer is suggested by the question) are not allowed (for example “Would you agree that…”). The witness then may be subject to cross-examination by opposing parties.

12.10. If you object to the proposal, the appellant’s representative may ask you questions. If you support it, the LPA’s representative may ask you questions. In turn, Rule 6 parties should ensure that their cross-examination of other parties is succinct, fair and relevant to the planning matters at issue.

12.11. After cross-examination, parties can do what is called ‘re- examination’. If a witness has made a mistake or got confused during their cross-examination, their advocate can try to correct things by discussing the subject again and asking further questions of their witness to ensure that their case is clarified. A re-examination is not a chance to invite the witness to revisit clear answers given in cross-examination.

12.12. For further information on the Inquiry procedure, please see:

13. Giving evidence on oath

13.1. Where the inquiry involves a dispute between the appellant and the LPA about the facts it is usual for the evidence to be given under oath (which the Inspector will administer) or after ‘affirming’. If your evidence/representations concerns facts, you will be required to give your evidence/representations under oath or an affirmation.

13.2. Inspectors will, where possible, seek early confirmation from the appeal parties if any witness to be called needs to swear on a religious text. If so, the appeal party will be asked to bring the relevant Holy Book to the Inquiry. LPAs may be asked to provide a copy of the necessary text.

14. At the end of the inquiry

14.1. After the evidence has been heard the parties may make closing statements which are an opportunity to sum up their case. They are usually read out loud from a pre-prepared written version and this can be added to, by hand if necessary, before being given to the Inspector and other main parties.

14.2. After the closing statements the Inspector will normally close the inquiry. This is followed by the Inspector making arrangements to visit the appeal site.

14.3. If the inquiry was closed before the site visit no further discussion on the merits of the case will be permitted during the formal site visit. This is because it could lead to further oral evidence being given by one party or interested person and could compromise the fairness, openness and impartiality of the process. The Inspector will be courteous but firm about not allowing any inappropriate discussions or comments to be made at the site visit.

14.4. However, where the parties have referred in their evidence to certain physical characteristics of a site, building or area, the Inspector will allow those to be pointed out.

15. Costs

15.1. There is no cost to being a rule 6 party other than what you may incur in preparing your evidence (for example, photocopying, binding and posting) and attending the inquiry.

15.2. All parties to an appeal are normally expected to meet their own expenses.

15.3. If a party does not behave reasonably during the appeal process, they leave themselves open to costs being awarded against them. This would be on the basis that the behaviour had directly caused another party to incur expenses that would not otherwise have been necessary.

15.4. There is guidance about costs awards in the Department for Levelling Up, Housing and Communities (DLUHC) planning practice guidance

15.5. It is important that you read this because it explains how, when and on what basis you can make an application or have an application made against you.

15.6. Costs may be awarded in response to an application for costs by one of the parties. Also, costs may be awarded at the initiative of the Inspector.

15.7. The Inspector will remind parties that any application for costs should be made before the end of the inquiry.

16. The decision

16.1. Almost all appeal decisions are made by the Inspector. However, in a very small number of cases, the Secretary of State will make the decision. In this case, the Inspector will write a report with their recommendations for the Secretary of State. Our case officer will normally write to the parties, within 10 working days of the close of the inquiry, to let them know the date by which the Secretary of State’s decision will be issued. For further information on decision-making in appeals, please see:

16.2. When made, the decision (either by the Inspector or the Secretary of State) can be viewed using the search facility

17. Complaints, challenges and feedback

17.1. Complaints

17.1.1. If, after the decision on an appeal has been published, we receive a complaint against an Inspector’s decision or the Inspector or the way we administered a case, it is dealt with by the Customer Quality Team who are independent of the teams who process cases. All complaints are investigated thoroughly and impartially. See our guide to the complaints procedure.

17.2. Challenge an administrative decision

17.2.1. If you wish to complain about a decision made by administrative staff during the processing of an appeal, you should write to our Case Officer giving clear reasons why you think we should review our decision.

17.2.2. There is no statutory right to challenge administrative decisions in the High Court. However, it is possible to make an application for judicial review. For further information please see:

17.3. High Court challenges

17.3.1. Once the decision on whether to allow or dismiss the appeal has been made, the only way it can be challenged is through the High Court. For further information on whether you can make a High Court challenge, the deadlines for making a challenge and the High Court challenge process, please see:

17.3.2. Some types of costs decisions can also be challenged in the High Court. Those that cannot be challenged in the High Court can be challenged by judicial review. Please see our procedure guide for further information.

17.4. Feedback

17.4.1. We welcome feedback about people’s experience of dealing with us. This can be provided to us at any time. Please send your feedback to feedback@planninginspectorate.gov.uk.

18. Contacting us

18.1. To contact us about a particular appeal you should contact our Case Officer - the LPA should have given you their details. For general enquiries our contact details are:

The Planning Inspectorate
Temple Quay House
2 The Square
Bristol
BS1 6PN

Customer Form: Customer Services and general enquiries.

Helpline: 0303 444 5000

Email: enquiries@planninginspectorate.gov.uk

19. Getting Help

19.1. You may also wish to contact the following organisations, who offer free, independent and professional planning advice to communities and individuals who cannot afford to pay professional fees.

Planning Aid

Planning Aid England
41-42 Botolph Lane
London
EC3R 8DL

Advice Line: 0330 123 9244 Switchboard: 020 7929 9494

Fax: 020 7929 9490

Email: <info@planningaid.rtpi.org.uk

Planning Aid website

The Environmental Law Foundation

The Environmental Law Foundation’s Website

Helpline: 0330 123 0169

Email: info17@.elflaw.org

Advocate

Advocate DX
50-52 Chancery Lane
London
WC2A 1HL

DX 188 London Chancery Lane

Advocate Website

20. How we use your personal information

20.1. The Planning Inspectorate takes its data protection responsibilities for the information you provide us with very seriously. To find out more about how we use and manage your personal data, please go to our privacy notice.

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