research prospectus format

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How to Write a Prospectus

Last Updated: February 5, 2024 Fact Checked

This article was co-authored by wikiHow staff writer, Jennifer Mueller, JD . Jennifer Mueller is a wikiHow Content Creator. She specializes in reviewing, fact-checking, and evaluating wikiHow's content to ensure thoroughness and accuracy. Jennifer holds a JD from Indiana University Maurer School of Law in 2006. There are 10 references cited in this article, which can be found at the bottom of the page. This article has been fact-checked, ensuring the accuracy of any cited facts and confirming the authority of its sources. This article has been viewed 137,450 times. Learn more...

A prospectus is, in effect, a research proposal. The purpose of this document – be it a single page or dozens of pages long – is to sell your idea to the appropriate professor or research committee. You may be writing a prospectus for an undergraduate research project, a grad school study, or a doctoral dissertation. A prospectus also is used to apply for grants or other funding from universities or nonprofit organizations. [1] X Trustworthy Source Investor.gov Website maintained by the Securities and Exchange Commision’s Office of Investor Education and Advocacy providing free resources about investing. Go to source

Things You Should Know

• State your topic of study and the questions you intend to answer; then, explain how and why your study will answer those questions.
• Outline the chapters of your prospectus and each stage of research, and include an estimate of the project's costs and timeline.
• Use standard formatting unless otherwise instructed, with a table of contents and bibliography.
• Carefully proofread your prospectus before submitting it for evaluation.

Describing the Goals of the Study

• Your topic isn't as broad as an entire subject such as history or sociology. Rather, you're going to list a specific aspect of that subject, such as "The Causes of World War II" or "The Impact of Globalization in Latin America."
• This topic generally would be far too broad to write a single paper (or even a single book) about and even begin to cover it in a more than superficial manner.
• In a shorter prospectus, such as for an undergraduate research paper, you typically won't need to devote more than a sentence to your topic before moving on to your research questions.

• Before you start formulating your questions, you may want to look at other research projects in your discipline to get a good idea of the types of questions typically asked.
• For example, a history question may involve extensive research and synthesis of that research to discover any patterns that may emerge.
• In contrast, questions in the social sciences such as political science may be based more on data gathering and statistical analysis.
• In a short prospectus, this may simply be a bullet-point list of specific questions you expect to address through your research.
• A longer prospectus, such as a grant proposal or dissertation prospectus, typically devotes several pages to discussing the specific questions that your research will address.

• The more advanced you are in your discipline, the more crucial this portion of your prospectus is going to be.
• If you're writing a prospectus for a research project in an undergraduate course, your professor likely won't expect you to contribute something new or profound to the field. However, graduate research and dissertations typically attempt to make a unique contribution to the area.
• You may need to do some preliminary research before you can write this portion of your prospectus, particularly if you believe you are the only person ever to do research seeking specifically to answer the questions you've listed.
• Any statement you make regarding the importance of your research should be supported by research, and you should be able to defend those assertions to the people reviewing your prospectus.

• You want your thesis statement to be as clear as possible. If you find it difficult to craft a clear answer to the questions you've presented, it may be that your questions aren't as clear as they could be.
• Keep in mind that if your question is vague or muddled, you're going to have a hard time coming up with a clear, definitive thesis statement.

• At this level, you're not just selling your idea, you're also selling your own knowledge, passion, commitment, and skills as a researcher to find the answers you seek.
• For grant applications, information about yourself as a person and your personal interest in the topic you plan to research also can be important. When deciding which projects to fund, having a personal commitment or dedication to a particular issue may give you an edge.
• Depending on the type of research you plan to do, you also may have to outline your position and your access or ability to gather various types of information, such as archives or classified documents.

Explaining the Organization of the Study

• Keep in mind that this is just a plan – nothing's set in stone. At this early stage, your paper likely will change as you get into your research or start gathering the data and crunching numbers to work on your project.
• You can create specific paragraphs or an outline, or you can write this section in a single seamless narrative. For shorter papers, that's probably all this section will be – essentially a couple of paragraphs that tell the readers how you anticipate you'll organize the final report on the project.

• For example, if you're doing a statistical analysis, you must first gather the data, then compile statistics from that data, then analyze the statistics you create.
• For scientific experiments, this is the place where you'll describe the steps in the experiment.
• If you're doing a project in the humanities, the stages of your research may not be as clear-cut as they would be if you were doing a research project for a more scientific discipline.

• For graduate research projects or dissertations, the timeframe may be more open-ended. In these situations, you should provide an estimate in your prospectus of when you believe your project will be completed.
• Coming up with a timeline and ultimate deadline of when the research will be completed is particularly important if you're applying for a grant.
• How long you think it will take to complete your research affects the feasibility of the project, which is ultimately how your prospectus will be evaluated. Be realistic in what you can do within the time constraints you have.
• Keep in mind that while you may be able to get an extension if your research ends up taking longer than you anticipated in your prospectus, you also may be expected to justify the reasons you need more time or explain why the initial estimate in your prospectus was incorrect.

• This is especially important if you're applying for a grant, as the people who review your prospectus will want a detailed breakdown of what you intend to do with the money if you're awarded the grant.
• Typically you'll need to include expenses such as fees for access to archives or for copying, any costs for data collecting, and rentals of lab or other equipment.
• You also should include a list of any resources you plan to use for which you anticipate there being no cost, such as use of the university library or computers and employment of student volunteers.

Formatting Your Prospectus

• The guidelines also typically will include details on which citation method you should use, and may include details on using a particular style guide that will govern word usage, grammar, and punctuation rules.
• Your assignment information also may specifically state how long each section is supposed to be, and which sections must be included.

• Type your prospectus in a standard, legible font such as Times New Roman or Helvetica.
• Typically you'll have one-inch margins on all sides of the paper, and your text will be double-spaced. Include page numbers if your prospectus is more than one page.
• Follow the guidelines from your professor or department in regard to creating a cover sheet or using special formatting or headers on the first page.
• If footnotes or end notes are required, set these up in your word processing app before you start working on your prospectus.

• The table of contents essentially is a list of chapters for your final report, and gives the readers of your prospectus an idea of what the final report will look like and how long it will be.

• Some professors or departments require an annotated bibliography, in which you not only cite the sources you plan to use but provide a detailed description of what the source is and how it fits into your research.
• Check the guidelines from your professor or department to make sure you're using the correct citation method for your bibliography.

• Reading your prospectus backwards is a good way to proofread and catch errors you might have missed otherwise.
• In addition to editing for grammar and punctuation, you also should check your language carefully. Make sure everything is written in a formal, professional tone.
• Keep your audience in mind as you edit. While you may be writing your prospectus for professors or a department committee that has full understanding of your project's topic, you shouldn't assume any particular level of understanding. Rather, your prospectus should be written so that it can be understood by a generally intelligent person without any special knowledge in your field.

Expert Q&A

• Be realistic about what you can accomplish through your research. Writing a prospectus that seems narrow in scope, but feasible, is better than writing a prospectus that seems overly ambitious and impractical. Thanks Helpful 0 Not Helpful 0
• Don't worry if your final paper or study ends up deviating from your prospectus. This often happens when you get further into your research, and is to be expected. Thanks Helpful 0 Not Helpful 0

You Might Also Like

• ↑ https://www.investor.gov/introduction-investing/investing-basics/glossary/prospectus
• ↑ https://www.wichita.edu/academics/fairmount_college_of_liberal_arts_and_sciences/english/deptenglish/WritingaResearchProspectus.php
• ↑ https://english.washington.edu/sites/english/files/documents/ewp/academicresearchpapersequence_grollmus.pdf
• ↑ https://www.slu.edu/arts-and-sciences/theological-studies/student-resources/pdfs/prospectus-template.pdf
• ↑ https://writing.wisc.edu/handbook/assignments/planresearchpaper/
• ↑ https://poorvucenter.yale.edu/writing/graduate/writing-through-graduate-school/prospectus-writing
• ↑ https://www.investor.gov/introduction-investing/investing-basics/glossary/mutual-fund-fees-and-expenses
• ↑ https://examples.yourdictionary.com/reference/examples/table-of-content-examples.html
• ↑ https://www.sciencebuddies.org/science-fair-projects/science-fair/writing-a-bibliography-examples-of-apa-mla-styles
• ↑ https://academicguides.waldenu.edu/writingcenter/writingprocess/proofreading

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Writing a Research Prospectus

A prospectus is a formal proposal of a research project developed to convince a reader (a professor or research committee, or later in life, a project coordinator, funding agency, or the like) that the research can be carried out and will yield worthwhile results. It should provide:

• a working title for your project,
• a statement of your research question or issue,
• an overview of scholarship related to this topic or to the this author,
• a brief summary of your research methods and/or your theoretical approach.

A prospectus is normally accompanied by a bibliography, often annotated, which lists sources you have consulted or plan to consult for your research. In cases where the texts studied exist in multiple editions or in translation, the bibliography should normally state which edition, text, or translation you will be using and why. You also should include a Prospectus Cover Sheet (Word) , complete with the signature of your director and second reader.

Contents:  In most cases, a prospectus will begin with an overview of existing scholarship, summarizing basic arguments relevant to the project. It will then position the project with reference to this scholarship. For this reason, the prospectus will demonstrate that you have conducted enough preliminary research to be able to design a relevant project and carry it through relatively independently. Since at this stage much research remains to be done, a thesis statement usually does not follow this introduction. Instead, include a statement of hypothesis or of the central research questions. The prospectus should then offer an overview of the project organization. If the project is large enough for chapters, include a breakdown of them. If special skills or assistance such as foreign language competency, access to archives or special collections, technical skills, or access to technical equipment are needed to complete your project, the prospectus should address your preparation in these areas. Part of your goal is, in essence, to "sell" your research supervisors on both your project and yourself as a researcher. Cover the ground well, presenting yourself and your project as intellectually convincing.

Developing an initial prospectus will help faculty understand where you are in the research process and help you bring focus to your research throughout the experience. Because it lays out a framework for your project, the prospectus can provide you with direction during the inevitable moments when you feel overwhelmed or lost. And because you have already clearly demonstrated your ability to carry out your research project, the prospectus can serve to reinforce your confidence and help keep you on track for a timely completion.

Beyond its relevance to your current research project, a prospectus helps you sharpen several important skills. Because a good prospectus demands concise, informative writing, composing one will help hone your writing style. In asking you to persuasively describe a compelling project and establish your ability to carry it out, it draws on abilities applicable to a variety of situations in and out of the academy, such as scholarship and funding applications, proposals for research forums, conferences, or publications, job applications, and preparation for larger and more complex research projects such as those found in Ph.D. programs and a variety of professional settings. The skill is so important that some people—grant writers—make a profession out of writing prospectuses.

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Prospectus writing.

Writing your prospectus is the first step towards completing your dissertation. It represents an opportunity to identify your project goals, create a roadmap for completing your graduate work, and to frame the significance of your work.  Your committee will provide you with feedback on the prospectus.

While different departments and disciplines will have their own requirements, in general, your prospectus will include an abstract, background and significance of research, a literature review, a description of the preliminary work you have completed, an explanation of your method or approaches, potential limitations or issues with the project, a timetable for completion, a conclusion, and a list of references.

The Graduate Writing Lab’s team of writing consultants can help you at any stage of your prospectus drafting, from brainstorming ideas, through early drafts, and polishing a final product. You can make an appointment with a consultant at:  https://poorvucenter.yale.edu/writing/graduate .

• General Guidelines for Writing a Prospectus

The Graduate Writing Lab has collected sample prospectuses from various disciplines for your reference, which are available here as downloadable resources.

• East Asian Languages and Literature  
• Film Studies  
• History of Art and African American Studies  

Social Sciences

• African American Studies 
• Political Science  
• Cell Biology  
• Computational Biology and Bioinformatics  
• Neuroscience
• Pharmacology  
• Physiology  

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Trapped in dissertation revisions?

How to write a dissertation prospectus (with outline and examples), published by nicholas tippins on april 30, 2020 april 30, 2020.

Last Updated on: 2nd February 2024, 05:41 am

Your dissertation prospectus is the first formal document you submit to your dissertation committee outlining your intended study. It is not a long document; usually around 10-20 pages. It should be submitted fairly soon after establishing candidacy.

It is wise to discuss your prospectus with your Chair and committee members before writing it. They will give you valuable pointers about your intended study, and you’ll save yourself the effort of rewriting it after you get their feedback.

In this article, I’ll provide an example outline of a dissertation prospectus, discuss the basics of how to write a dissertation prospectus, and also explore the similarities between writing a prospectus and asking someone on a date.

Dissertation Prospectus: Example Outline 

While every institution will have different requirements (and you should absolutely look at those before writing your dissertation prospectus), there are a few basics that are common to most of them. 

Title : This is more of a labor than you might have anticipated. Gone are the days of last-minute essay titles. The dissertation prospectus title is a hyper-specific description of what you plan to study. It should align with your problem and purpose statements. 

Focus, or Statement of Thesis : This is where you describe what you’ll study. No need to write a ton here–a few sentences or short paragraphs is usually sufficient.

Again, this must be very specific. It’s easiest to think of this section as a central question of your dissertation. Can you distill the focus of your dissertation into one question? If not, chances are your topic is too broad.

Since this section will become your Problem Statement and Purpose statement , it can be helpful to consider “what is the problem I’m trying to solve,” and “with that in mind, what is the purpose of this study?” 

Summary of Existing Literature: What other studies have been done on the subject? This is the very beginning of what will become your Literature Review . It’s important that you’re familiar with the landscape before you dive into studying a subject so that you can be sure that you’re building off of existing knowledge and adding a genuine contribution to the field.

Methodology: Discuss the methods you plan on using. You should know whether your study will be qualitative or quantitative, as well as any theoretical or conceptual frameworks you plan on using.

Outline: Some institutions ask that you provide a brief outline of each chapter. 

Timeline : Some institutions ask for a rough timeline. Make sure to account for time researching existing literature, collecting data, and writing.

Bibliography: Here, you’ll list the sources that you reference in your prospectus. 

How to Write a Dissertation Prospectus

Writing a Dissertation Prospectus Is Like Asking Someone on a Date

One of the most common challenges students have when they begin writing their dissertation prospectus is lack of specificity. The level of specificity required in academic writing is unique, and it often takes students a while to grasp just how specific they need to be.

One (sort of) helpful way to look at this is that it’s like asking someone out on a date. In both a dissertation proposal and a date proposal, you need to communicate the following information:

• Who is involved?
• What are we doing?
• Where are we going?
• When is this happening?

In a date scenario, usually that’s you and me. But maybe two of our mutual friends are coming along for a double date. Or an adult chaperone. Or maybe it’s you and one of my friends who I think would be perfect for you, even though you think he’s an asshole. Do you see how it’s important to know who we’re talking about? 

Knowing who is equally important in a dissertation. And we have to be super-specific here. Not just “branch managers,” but “branch managers at a medium-sized paper company in Pennsylvania.” 

For one of the first dates I went on with my partner, I neglected to tell her that we were going hiking. She showed up in a sundress and pretty little sandals (which I also neglected to notice were not appropriate for hiking). I should also mention that “hiking” for me is more like bush-whacking; it involves following deer trails, climbing over fallen trees, scaling small cliffs, and jumping over streams. 

Despite her attire, we had a blast, and only once did she mention that she “maybe should have brought different shoes.” If I were to do it over again, though, I would tell her what we were doing so she could dress appropriately.

It’s also important to know what you’re studying. What phenomenon, event, etc. Are you studying employee engagement, 

If we’re going on a date, I have to know where to meet you. At a cute local diner or L’etoile? Knowing where we’re going only makes sense. If I plan on taking you to Venice, but you think we’re meeting at our favorite cafe, there might be a problem–no matter how nice Venice is. 

See, knowing where we’re talking about is important. Guess what–the same is true for a dissertation.

Most dissertation studies (at least those with human subjects) involve a limited area. It’s important to know where a study took place in order for future researchers to account for the location when trying to replicate your data. It’s also important to know where in order to interpret the data in context.

For example, upper-level managers in banks in Nigeria have a different context than those in the United States. Women between the ages of 25 and 40 who earn the majority of their household income have a different context depending on whether they’re in Tokyo, rural India, or a medium-sized city in Brazil. Each of these countries has different cultures, laws, economies, and historical events that affect the data you collect.

This is something most people get right when asking someone on a date. It’s hard to meet up if you’re there at different times. However, not everyone gets this right in the dissertation prospectus.

You can explore about the causes or the effects of the financial crisis in Rome, but what you discover will differ depending on whether you mean the Roman Empire’s financial crisis of 33 A.D. , or the Italian financial crisis of 2018 . 

How to Write a Dissertation Prospectus: Summary

Your prospectus is usually the first formal document you submit on your way to writing your dissertation . When done well, it can provide you a strong basis for writing your Chapter 1. I encourage you to reach out to your committee before writing it to discuss what your plans are, and again if anything is unclear. You’ll save valuable time by doing this proactively, and you’ll also learn the essential vocabulary of the academic.

Nicholas Tippins

Nicholas has been a dissertation editor since 2015. He founded a dissertation editing firm that served clients around the world. Currently, he manages the editing team at Beyond PhD Coaching.

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Dissertation Prospectus and Proposal Writing

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General Information

The prospectus, or proposal, is the first step of your dissertation. It serves as a plan for your project, an identification of your research goals and method(s), and an articulation of the importance of your work. Alongside its preparation, you will also select members of your committee, who will provide you with important feedback. 

Beginning the document often marks a significant change of pace and approach for graduate students. The immensity of the task that is writing a dissertation can feel overwhelming, and can make the prospectus feel equally insurmountable. The prospectus, however, is meant to check precisely these moments. As a plan made in consultation with your committee, it is something to hold onto as you work through, and often get lost in, the details of your project. 

Different departments often have different expectations for the prospectus. These include the nature and importance of a literature review, of explaining your method, of discussing the limits of the pr o blem you identify, etc. While some of the advice we offer here is suitable for any graduate student, we also recognize these differences, and so, to aid as broad a range of students as possible, we have compiled a set of sample documents from a range of disciplines below.

• General Guidelines for Dissertation Prospectuses and Proposals

Sample Documents

• Anthropology (Cultural Track) Prospectus
• Art History Prospectus
• English Sample Prospectus
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• Last Updated: Jul 18, 2022 10:00 AM
• URL: https://guides.libraries.emory.edu/c.php?g=1220626

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Prospectus Guide

Writing a Prospectus

There are many different kinds of prospectuses for different purposes. Ph.D. students are asked to submit dissertation prospectuses to their committees; most research grant applications require them; academic job candidates often include short prospectuses with their application materials; and book publishers request them as part of the process of considering a manuscript for publication. Editors of journals and essay volumes may also request a prospectus of a proposed article. These different kinds of prospectuses differ mostly in regard to the length and detail with which the project is described. Dissertation prospectuses can run anywhere from 5 to 30 pages, depending on the amount of detail requested of the student, while grant and job applications generally require brevity (1-2 single-spaced pages for a job application; 3-5 single-spaced pages for many grants). It is highly likely that before a major project is published, 3 or 4 different kinds of prospectuses will have been written for it. 

A dissertation prospectus is a Ph.D. students attempt to describe a dissertation project, including the central problem, puzzle or question to be addressed, the existing literature, and how the project might add to that literature. 

Below you will find general information. When in doubt you should always consult your department and faculty advisors. Academic writing is discipline specific, so one size definately doesn't fit all. 

A prospectus should answer the following questions: 

• What is the subject of the study? How is the subject defined (is there any special use of terminology or context)? What are the main research questions the study aims to answer?
• Why is the author addressing this topic? What have other scholars written about this subject, and how is this author's approach, information, or perspective different? What need or gap does this proposed study fill in the scholarly conversation? What new approach to a familiar topic does it propose to offer? What will be the study's original and special contributions to this subject?
• What are the main sources that will be used to explore this subject? Why are these sources appropriate?
• What is the proposed organization of the study?
•  Does the author have any special needs in order to complete this study? In particular, does s/he need funding to travel to archives, gain access to collections, or acquire technical equipment? Does s/he have the special skills (languages, technical expertise) that this project might require?

Organization: 

• Title: it should be informative and helpful in pinpointing the topic and emphasis of your study
• The body of the prospectus: this section should concentrate on addressing questions 1-3 above. The goal of this section is both to describe the project and to "sell" the reader on its potential interest and scholarly significance.
• A chapter breakdown: This can either be a formal section, in which each chapter is described in turn in about a paragraphâs worth of text, or it can be done more narratively, in which the whole project is outlined as a more seamless story. Either way, it should address question #4, above.
• (for grant applications, if applicable) a brief paragraph at the end addressing question #5.
• (for dissertation prospectuses) a bibliography is usually required.
• (for book prospectuses) a table of contents is usually requested.

Some further considerations:

Think about your audience. Most of the members of your dissertation committee will know a lot about your area of research. But this may not be true, for example, of committee members from outside the department. It is even less likely that readers of job or grant applications or book editors will be familiar with the particular area of scholarship in which you work. It is therefore important that your prospectus convey its subject matter in as clear a fashion as possible, and that it not make too many demands upon its readers in regard to knowing specialized terminology or about debates within a given field. Your prospectus should be meaningful and interesting to an intelligent general reader.  What readers look for in a good prospectus. In most cases, prospectuses are being reviewed because people are considering entrusting you with something: the freedom of advancing to candidacy; a job; grant money; a book contract. They need to know if their trust will be well placed, and that you are a good bet to follow through on your proposed work. Questions that often arise in this regard are as follows:

• How interesting and important is this study? (will we have helped make an important contribution if we support this work?)
• Is the study feasible? Can it be done in a reasonable time frame?
• Can this author produce an excellent dissertation/book? (nobody wants to back a shoddy effort)

Your prospectus should address the first of these concerns head-on and show the reader exactly why your project is important, interesting, and, if possible, relevant to broad (human/social/political/cultural) concerns. The second two questions are a little tougher to address. Often, they emerge because the project appears to be too broad or ambitious in scope or not yet completely formulated. Or perhaps the readers have concerns about the author's scholarship. If you are concerned that your dissertation prospectus describes a project that appears too big to be successfully completed, you should discuss this with your dissertation director; this might be a signal that you need to reconsider your project's structure. As for the scholarship issue, you can best address this by making sure to show that you are completely in charge of the scholarly apparatus of your project: you know what you're talking about in regard to the scholarly debates, and you give sufficient (and the right) citations. (A negative example: if you say you're the first person to study a particular topic, you had better be right!)  Dissertations are works in progress. If you have read these suggestions in preparation for writing a dissertation prospectus, you may be feeling overwhelmed. Perhaps you worry that you don't know how to address all the issues raised in the five key questions outlined above. This is probably because your dissertation topic and/or organization has not been thoroughly worked out yet. Indeed, many students find it hard to be decisive about the shape, topic, and issues in a dissertation until they are well into the writing (which is why more advanced students tend to write better prospectuses than those just starting their research, and, not coincidentally, compete better for jobs and grants). If your dissertation is still in its early stages, you may have to bluff a little to produce a cogent prospectus, and even resign yourself to remaining a bit speculative in places about features of your project. But you should also see whatever difficulties you have in writing your prospectus as diagnostic of the work have yet to do in planning your dissertation: if you are having trouble articulating the topic, you probably need to think it through more thoroughly; if you are uncomfortable with your rationale for undertaking the project, perhaps you need to do more research on previous approaches; if you have trouble summarizing your chapters, perhaps you need to spend some time on either the organization of the dissertation or on the content of the individual chapters. This exercise is worth the effort: a dissertation prospectus will probably be the first draft of all the other prospectuses to follow.

Library Resources

Sample Lists of texts in J. Willard Marriott Library

Dissertation   proposal  guidebook :  how   to   prepare   a  research  proposal  and get it accepted ( LB2369 .G26)

Theses   and   dissertations  : a  guide   to   writing  in the social  and  physical sciences ( LB2369 .T44 1997)

Theses   and   dissertations  : a  guide   to  planning, research,  and   writing ( LB2369 .T458 2000)

Completing   dissertations   in   the   behavioral  sciences and education ( LB2369 .L65 1985)

Proposals   that   work  : a guide for planning dissertations and grant proposals ( Q180.55.P7 L63 2007)

Dissertation   solutions  : a concise guide to planning, implementing, and surviving the  dissertation  process ( LB2369 .A94 2012)

Avoiding thesis and  dissertation  pitfalls : 61 cases of problems and solutions ( LB2369 .T457 2001)

Some online publications on this topic

• Last Updated: Apr 14, 2020 3:55 PM
• URL: https://campusguides.lib.utah.edu/prospectus

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A resource for interdisciplinary writers, photo ©2009 david frazier, research prospectus for seminar papers.

The prospectus is a fully-developed research plan that will help you pull together your research materials as you think about how to pursue your research question and develop your thesis. It describes your topic, introduces your working thesis, and explains the sources that you plan to use and pursue in building your argument.

In a Prospectus, You Should....

• Introduce and describe your topic
• State what you already know about it
• State your primary research question
• Propose a tentative claim (that is, your working thesis, or possible answers to your primary research question)
• Outline the primary support (evidence + reasoning about the evidence in relationship to your claim) that you will use to develop your thesis
• Identify the sources containing that evidence and the disciplinary (or interdisciplinary) approaches those sources represent
• Indicate significant counter-arguments to your working thesis (or anomalous pieces of support that you will have to account for)
• Identify the sources that contain these counter-arguments/anomalies
• Explain why your insight into this topic is significant and interesting (how does your thesis pass the “so what?” test?)

Remember that your prospectus is a planning document; while it will provide the foundation for your finished presentation or paper, it is not intended to be the presentation or paper itself, or to state exactly what your presentation or paper will say (that is, it is not an abstract of an essay already written or a presentation already given, but an anticipation of what will come based on the preliminary research you’ve done). You will discover as you do further research that you might need to make changes to your initial plan and to your working thesis (sometimes substantial ones).

be sure to address these questions in any research prospectus

1. Summarize what you already know about the topic.

2. What is your proposed title?

3. Who is your intended audience?

4. What is the purpose of your paper; that is, what will this paper do for the reader? For you? Be specific.

5. What is your proposed thesis?

6. What major question(s) do you hope to answer in this paper that pertain to your purpose?

7. What is your proposed outline or organization (e.g., what will you discuss first, second, third,etc.)?

8. Tentatively, what sources will you be using? Cite those sources, and document them at the end of your prospectus on a Works Cited page.

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What is a Prospectus?

A dissertation prospectus is a document that shows the researcher’s plan for the dissertation project. This document should provide enough information to verify the need for their study, the way it is situated amongst existing literature, and how the research will be facilitated. A committee will use this document to verify the viability of a study and to start the conversation regarding where the research could go or other potential avenues to explore.

Note: The prospectus is only the initial starting point, so the focus of the study may change as you continue to research and develop your ideas.

In the prospectus, you are primarily responsible for identifying:

• What you are researching
• Why it matters
• What the foundation of the research is

The dissertation will follow the format of the prospectus template . It is primarily modeled after the professional version of APA 7th edition, but does require minor deviations.

The prospectus is generally a minimum of 15 pages, is double-spaced, and includes an extensive reference section. Remember that the prospectus is the initial plan. While a fair amount of information and evidence is necessary to show a firm foundation, it should not be exhaustive. Provide the information that is necessary in a concise and clear manner.

The prospectus will consist of the following sections/components:

The title of your dissertation should be relevant, clear, concise, and informative.

Focus: Can your readers determine the focus and topic of your research?

Approach: Does indicating your approach help the reader to determine the overall impact on your results?

Specificity: Were you specific enough about the factors or aspects studied?

Examples: UNDERSTANDING THE EXPERIENCES OF WOMEN STUDENT VETERANS DURING THEIR TRANSITION PROCESS FROM THE MILITARY INTO HIGHER EDUCATION: IDENTITY, BELONGING, AND VOICE IN WRITING COURSES AND WRITING ASSIGNMENTS IN OTHER DISCIPLINES (Broding, 2020)

THREE CASE STUDIES IN QUANTITATIVE APPROACHES TO AGROECOSYSTEM MANAGEMENT (Baird, 2019)

Problem Background

What is the central problem that your research will address? The existence and extent of this problem should be verified with research.

Context: Explain the depth of the problem with enough information for readers to understand the reason it is an issue

Issue: State the problem clearly and precisely

Importance: Indicate who it influences or what would happen if this problem were not solved.

Objective: Situate your research here. What will you achieve with your research? What is your aim? ( tense: future simple – This study will…. )

Problem Statements

From the context of your problem background, identify specific problems that your research aims to address. These should be stated in a single sentence format (at most two) and be supported with a citation.

Note: The problem statements should link to the research questions

Purpose of the Study

The purpose of the study will explain, in simple terms, what the point of the study is. You can think of this as identifying the research type, direction, purpose (reason for it), and what the overall goal is.

Begin the sentence with: “The purpose of this (qualitative/quantitative/mixed methods) study is to (insert action verb).

Action verbs for qualitative studies: explore, understand, describe, etc.

Action verbs for quantitative studies: examine, analyze, predict, etc.

Theoretical/Conceptual Framework

The framework will indicate the structure and basis of your proposed research. For more information on frameworks, see the framework page.

Research Questions

Indicate a research question(s) that derive from the problem statements previously mentioned.

Specific: Does each question focus on one issue/problem?

Clear: Does your reader understand what you are researching?

Legitimate: Is it a question (open-ended) and not a statement?

Answerable: Can you answer the question that you have asked with the resources and time you have available?

Nature of the Study

Explain your proposed method, research design, required data, data collection method, and data analysis methodology.

Note: This is a plan for a future study, so future simple is used.

Method: Qualitative, quantitative, mixed

Research design: Evaluation, action research, correlational, quasi-experimental, grounded theory, phenomenological, etc.

Data: What data is needed? (Primary/secondary?)

Data collection method: Survey, questionnaire, interview, observation, focus group, etc.

Data analysis methodology: exploratory analysis, descriptive analysis, regression analysis, etc.

Consider aspects like: location of study, time frame, participants, sampling, etc.

Significance of the Study

Indicate the potential impact of your study.

Contribution: How will your findings contribute to your field?

Gap: What will your research add to the gap you identified?

Benefit: Who will benefit most from this research?

The references typically span 3-5 pages. All references should be formatted using APA 7th edition. See the APA page for further information on properly formatting your references.

Samples of Prospectuses

When Do I Complete the Prospectus?

The prospectus will be completed in the second year of your doctoral program during the RES721 course.

Can I Start Working on it Before RES721?

For suggestions on what you can be working on now to prepare for your dissertation, please see here .

What if I need help?

For help on the prospectus, you can see the list of services the Doctoral Writing Center provides here .

• California State University, Northridge
• Working on a Research Prospectus
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What is a Research Prospectus

A Research Prospectus is a formal statement about your chosen topic of  research . It should contain an explanation of the larger  historical  concerns which make your topic worth doing. You will also be able to present questions that you will be asking of your sources. 

As you are working on your project, think of your prospectus as a work-in-progress. 1. As you work with the secondary literature on your subject, either broadly or narrowly conceived, you should think about how your study fits into the historiographical literature.

2. As you begin to collect your primary sources, you may discover that you need additional sources

3. And, as you think critically about the evidence in both your primary and secondary sources, you may discover that your thesis ideas have changed, and that you need to revise, or rethink altogether, your thesis question.

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Honors College Research Program: Writing the Research Prospectus

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• Writing the Research Prospectus

What is a Research Prospectus?

A Research Prospectus is a formal research proposal. You should design the Research Prospectus to convince readers you can complete the research. It should contain:

A research statement or question

An overview of scholarly work already done around your topic; the background and context of your proposed research 

A summary of your research methods or your approach to completing the research

The Honors College has specific guidelines for laying out your Research Prospectus. Please see link to the guidelines below.

• Honors College Prospectus Guidelines

Theses and Dissertations - in the Library

Confronting the idea of writing a senior project can be daunting; therefore, it may be helpful for you to take a look at what earlier students in the Honors Program have written. You can find previous Honors Senior projects in the Marx Library. Try this keyword search in SOUTHcat :

dissertation? thes?s honors

Honors theses all start with the call number LD 10, so you can also do a call number search in SOUTHcat to get a list of  titles:

Dissertations and theses in the Marx Library are all located in the Reference area on the 2nd Floor North, but they can be checked out like any other circulating book.

These and Dissertations - Electronic

Coming soon!

Questions to Ask

Are you having trouble getting started? Below are some questions that may help get you started:

What is your research about?

What makes your topic worth researching? 

What is your research design?

What kind of articles do you need?

What have you found so far, and where are the information gaps?

Links to More Information

Stuck? The links below have a lot of information about what a research prospectus is, what it should include, and ways to lay one out.

• Bowling Green State University - Outline An outline of a research prospectus.
• Southern New Hampshire University - Research Proposals A guide to writing research proposals with links to examples.
• University of Guelph - Research Proposals A guide for how to Write a Research Proposal
• Wichita State University - Research Prospectus A guide on writing a research prospectus.
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• Last Updated: Jan 26, 2024 10:36 AM
• URL: https://libguides.southalabama.edu/honorsresearch

Florida State University

FSU | Department of History

Department of History

Guidelines for a prospectus.

The prospectus should be typed, double-spaced, preferably about 10 pages in length or more, exclusive of preliminary outline and bibliography.

I.  The PROSPECTUS is a formal statement about your chosen topic of research . It should contain an explanation of the larger historical concerns which make your topic worth doing. You will also be able to present questions that you will be asking of your sources. Lastly, it asks you to present some tentative conclusions and perhaps a thesis. It should contain the following components.

• A. A  discussion of the general topic . Describe your subject briefly, place it in an historical context, and state its significance to the larger historical issue(s).
• B.   A definition of the "problem" that you are confronting, including a few questions that you will ask in an attempt to solve the problem.  You should present tentative conclusions and even a thesis statement. The purpose here is to see how you are conceptualizing your problem and how you might get at some answers. Keep in mind that any conclusions and/or a thesis which you propose are tentative at this point. All will probably be revised as you proceed with your research.
• C.  Historiography.  Your prospectus should include a survey of the historiography of the topic and themes which you plan to cover. It should be a significant part of the prospectus. You should discuss how and why your research will contribute to the existing literature. Does it fill a gap? Does it add a new perspective? If so, what?
• D.  A discussion of your sources . Describe the primary sources that you will use for each part of your work.

II.   A PRELIMINARY OUTLINE  should be included with the prospectus . Follow traditional outline form. The outline should not be TOO detailed but it should offer general topics and subtopics. It should enable you to approach your topic and present your material in an effective, organized way. Remember that it is tentative; you will revise it as you proceed.

III.  The last part of this prospectus is a more detailed WORKING ANNOTATED BIBLIOGRAPHY composed of two parts:  sources which you have in your possession, and sources which you have not yet obtained but intend to use.

• A.   For sources in your possession:  Divide the bibliography into primary and secondary sources. Use complete bibliographical information for each entry and follow standard form. Remember to alphabetize by author's last name or the appropriate title word. For each entry, or groups of entries, briefly annotate the sources.
• B.   For sources which you have not yet obtained but intend to use : Do exactly the same as for Part A except you do not have to annotate the entries. Give some indication about the availability and likely access of the sources you plan to consult, especially archival sources.

IV.   A tentative time table.  This should include the number of weeks or months you expect each stage of your labors to cover. Most everything takes longer than you expect!

V.  A one-paragraph Summary.

VI.   A cover page with:

• A. proposed title;
• B. signature of major professor;
• C. signatures of all committee members including outside representative.

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• Dissertation Prospectus

In the third year doctoral students prepare a dissertation prospectus and present it at the prospectus conference, which is held yearly during the third week in January.

The conference is a forum in which students share their ideas with faculty and colleagues, and receive suggestions as they begin to research and write their dissertation.

Following the conference, advisors may either approve the prospectus, or ask the student to revise it. It is suggested that students begin working on the prospectus immediately after passing the general exam , so that they are adequately prepared.

A typical prospectus includes the following:

Statement of thesis.

What is the problem you wish to study and what is its interest or significance in current historical thinking? State clearly and concisely how you presently conceive this problem and how you suppose it can be resolved.

Historiographical Context

What work has, and has not, been done in this field and on this problem? Discuss relevant scholarship critically. It is not necessary to criticize specific failings; but show what is understood to be the merits and limitations of relevant works. How do you propose to develop, challenge, or depart from existing positions or themes in historical literature?

Method and Theory

Outline an approach to the subject. If the conception has theoretical aspects, discuss them critically. Have scholars in other fields developed concepts of potential interest to the topic? Think about method and theory, even if there is a decision not to engage much with external perspectives and theory. The faculty neither encourages nor discourages such engagement, but cautions that original historical work should not simply illustrate other people's ideas.

Give an account of the sources for the subject. Stress primary sources, the difficulties they present, their location (print, manuscript, or any other form), and their accessibility. Identify the principal libraries and repositories as well as other locations and persons. Do not overlook unpublished doctoral or master's research.

Draft a tentative chapter outline and schedule of tasks and stages for the writing of the dissertation. Allow time for research, travel to collections, writing, and revision.

Bibliography

List the primary and secondary sources used to develop the prospectus.

About the Prospectus Conference

Presentations last for 30 minutes. For the first 15 minutes students present their prospectus, and the remaining 15 minutes are reserved for questions from the audience. By December 2nd, the graduate coordinator will ask for three pieces of information as a prelude to the conference:

1.   Provisional title of the presentation 2.   Requests for audio/visual equipment 3.   Names of faculty members who should be invited to the presentation.

By January 13 candidates will submit a 15-20 page written prospectus to the graduate coordinator that forms the basis of the presentation. The prospectus should include a select bibliography and the names of archives in which research will be conducted. For examples of last year's conference see the  Graduate Student Resources site.

About the Prospectus Approval

Before spring break in the G3 year, and after the G3 conference has occurred, the graduate student will initiate a meeting of their dissertation committee. The goal of this meeting is to generate additional feedback on the prospectus and set norms and milestones for the research and writing of the dissertation. If necessary, the chair of the dissertation committee may ask for revisions of the prospectus. The final version of the prospectus must be submitted to the Graduate Coordinator no later than June 30 (preferably much earlier) along with the approval form signed by the advisor.

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Capstone Documents: Doctoral Prospectus Resources

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Doctoral Prospectus Form Video

Doctoral Prospectus Form Overview

The Doctoral Prospectus Form is a brief and intuitive form for students to complete a discipline-specific, feasible, and aligned plan for their doctoral capstone or project. 

This all-in-one prospectus form provides:

• Step-by-step directions with links to key resources 
• Detailed content guidance and  examples in the appendix
• Research design alignment content and support
• Quality rubric standards

Students complete the form,   submit to their committee members for formative assessments, and then upload into MyDR for formal rubric evaluation by the committee and the PD Designee Reviewer.

The form should be used as a working document between the student and committee; therefore, iterations should be documented. A clean copy of the prospectus form should be sent for PD Designee review only when the committee members have reviewed it and any revisions requested have been made by the student.

Prospectus Forms by Doctoral Program

• DBA Prospectus Form
• DBA Traditional Capstone Prospectus Form Exemplar - QUANTITATIVE Study (Survey)
• DBA Traditional Quantitative Research & Qualitative Case Study Prospectus Form
• DBA Prospectus Form for Portfolio Program Evaluations
• DBA Prospectus Form for Portfolio Secondary Data Analysis
• DBA Prospectus Form for Action Research - Mixed Methods Study
• DHA Prospectus Form
• DHA Prospectus Form for Portfolio Secondary Data Analysis
• DHA Integrative Review Planning (Prospectus) Form
• DHS Prospectus Form
• DIT Prospectus Form
• DPA Prospectus Form
• DrPH Prospectus Form If you started the DrPH program June 1, 2020 or earlier you will select this form.
• DrPH Prospectus Form If you started the DrPH program August 31,2020 or later, you will select this form.
• DSW Prospectus Form
• EdD Prospectus Form
• PhD Prospectus Form
• PhD in Health Education Prospectus Form
• PhD in Public Health Prospectus Form
• PsyD Prospectus Form

Writing Support

Bookmark the Walden Writing Center’s Preproposal Starter Kit , which contains advice and resources to help you prepare your prospectus and transition from coursework to doctoral capstone writing. Review the Writing Center’s APA resources and Ask OASIS  for any scholarly writing questions you have. You can even make a  paper review appointment  to get writing feedback on your prospectus draft. For more intensive support, consider enrolling in SKIL’s Preproposal Doctoral Writing Workshop .

Also visit the Form and Style Page  for other capstone resources.  Students should review the Form and Style SMRTguides on Alignment ,   Formatting RQ’s and Hypotheses , and Writing the Assumptions, Limitations, and Delimitations .

Library Support

If you need help researching your problem, broadening or narrowing your topic, or searching the literature, visit the Walden Library pages: Decide on a Topic , Choosing Your Topic , or schedule a Library appointment , which allows you to have a one-on-one session with a librarian in your subject area to brainstorm and develop effective research strategies for your capstone.You may also wish to bookmark the Library’s Guide to Capstone Literature Reviews which will help as you collect your literature.

Methodology Support for Students

Make a one-on-one doctoral research appointment with a ORDS statistics tutor for assistance with data analysis, SPSS, or interpretation of results. Attend Quantitative or Qualitative Methodology Office Hours with questions related to research methodology (e.g., research design, collecting data, analyzing data, writing up results).

For These and All Other Doctoral Skills and Capstone Resources and Support

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• A Research Guide
• Writing Guide
• Assignment Writing

How to Write a Prospectus for a Research Paper

• What is a prospectus

How to write a prospectus

• Writing Tips
• Prospectus writing format

What is a prospectus?

• Decide on your topic- a prospectus as mentioned earlier should give a solution to a specific problem which, in essence, affects quite some people if not everyone. Hence your prospectus should essentially answer a specific question, and this will give you the topic of your prospectus and give you direction on what you are going to write about and how you are going to put it down. Ensure that your topic is not as broad as a whole subject but just a section of the whole subject.
• Research on the topic- although the question you are going to answer is peculiarly different from what other people have already worked on, it must be of the same subject as what has already been worked on which may shed some light on the topic you are working on. You may find articles that are closely similar to the one you are working on or that is in the same subject as yours. For example, if your proposal is on business but more specifically on importing and exporting, you will find other business articles and others that are about the import and export market. These will help you stay on track and give you very clear pointers to what is expected. For example, incorporation of technology in medical record keeping.
• Enumerate the main questions that your prospect is aimed at answering- helps you to stay on course when writing you proposal as these are the problems you seek to answer in your proposal. The questions are distinct depending on the type of research proposal you are working on such a dissertation proposal will focus more on justifying the questions put forward and explaining these questions, in some other prospectus especially the short ones, they may be just a simple list of questions.
• What are the benefits of incorporating technology into health record keeping?
• What ways can technology be incorporated into the health record keeping process effectively?
• What stands out in your work? This a very important question that every prospectus writer should keep in mind when deciding what to write about and work on. This is important as you are required to focus on the factor that unique between your work and what other people have worked on. Remember that it is this uniqueness that will guarantee the acceptance of your work by your advisors and the hard to please committee members mandated to listen to your idea. This is very important especially when you are requesting for funds from a target and interested companies to enable you to work on your chosen topic.
• The sources you are going to use- even with a clear objective of the topic you are going to work on, it is not possible to come up with the contents of your prospectus on your own. Hence, it is necessary for you to select a wide selection of books, articles, manuscripts and any other write up that will enable you to come up with a credible write-up. Thinking and coming up with the whole content on your own will leave you stressful and may even make you give up on your topic of interest.
• Whose story are you going to tell? After selecting your desired problem, you have to now carefully select the characters in your story especially the protagonist who has to be unique from all others amidst the similarity in the story theme with that of already finished works. This will help you identify how you are going to plot your story and build your story.
• Consider how you are going to tell your story- you should decide the plot of your story and the themes you are going to expound on or that which your story is going to be centered upon, each chapter has to build on a specific theme to make the story flow well. Remember that you have to maintain a good and clear flow of ideas.
• Design your timeframe- working with a clear timeline is essential in ensuring that you complete your research well before the stipulated time and enable you to do the same unruly hence minimize the number of mistakes you are likely to make and give you time to keenly proofread your write up.
• Create a workable budget for your research work-  a research work, most definitely, is accompanied by costs for equipment and data collection from different sources among other things that you may be required to purchase during your research work.
• Once you have carefully considered all these points, you are more than ready to get your idea on paper, and the results will most assuredly be awesome and much more rewarding but only if you put in all your mind and heart to your work. It’s a matter of hard work, precision, assertiveness, and dedication towards achieving your goal.

Read also: One of the best ways to get a degree is to buy dissertation from trustworthy writing service.

Some important prospectus writing tips

• Consider the topic you have chosen- it is important that you stay on course and focus on that specific problem or rather question that you are bound to answering. The themes or chronological order of events that you have chosen to work within your prospectus should be what you will follow to ensure that there is a systematic order of events hence a smooth flow of ideas and in turn, easier reading and comprehension of your document. Moreover, the topic you choose should be one that you are most comfortable in and will engage your thoughts effectively.
• Formatting- human is to err, and no matter how advanced you are in the field you are working on, or how confident you are with yourself and your work, you are bound to make mistakes. Thus, it is prudent to take your time and go through your work over and over again before submitting it. You may even choose a trustworthy person to give you a second opinion.
• Go through the guidelines provided by your advisor to ensure that your research has captured all the areas outlined.
• Format your work just like you would any type of research paper- standard font should be used that is visible, use one-inch margins and double-spaced text. If there are any formatting specification given by the advisor, follow these specifications to the latter.
• Precision and accuracy- avoid unnecessary grammatical and sentence structure errors that you can easily avoid. Also, ensure that the sources you choose to derive your content from are credible to ensure accuracy in your story or write up.
• Keep in mind the audience that your write up will be directed to the beginning with your advisors to the committee members. Make the content as comprehensive as possible to the target audience get your whole idea.
• Ensure that your story is as realistic and believable as possible so that even convincing the committee members will be such a walk in the park.
• Allow your ideas to flow without any hindrance or holding back to give you a wide scope of content for your prospectus. Do not be afraid of pouring out your heart and mind as there is room for formatting to erase anything that is irrelevant and out of context.
• Make your prospectus as interesting as it can be. Play around with words, include ideologies where necessary, questions that will prompt the audience to ponder on what you have written, rhetorical questions and many more. However, you should be careful not to overdo it to so much so that your story loses focus on the main theme and objective it was intended for.
• Originality is key in a prospectus, and there should be a clear margin of difference between that which you are researching on and what other researchers’ in your field have already done.

Useful information: Read more about professional dissertation writing services .

Prospectus writing format – how to apply it

• The topic of your prospectus- this is basically what the document is all about. In longer research proposals, you may have to give a brief outline of the topic you have chosen to write on whereas, in shorter proposals such as those of undergraduates, it is not necessary to include this section.
• The questions that your prospectus is aimed at answering or rather the problems that you are aimed at solving through your work. As mentioned the type of questions and whether or not you will explain or elaborate them depends on the kind of research proposal you are working on.
• Impact of the answers to the questions you have identified- for a prospectus to be easily accepted by the people and most importantly by interested parties, especially in the case of the dissertation prospectus, its importance to improving the field and even people’s lives should be clearly outlined and hence the importance of this section. Also, you should be careful to state something that is attainable, and that can be scientifically supported by facts or other preliminary research works on the topic.
• The next section should involve detailed and clearly stated means by which your research will be able to answer the stated questions or problems. This section carries the weight and should be done with much thought and consideration of the topic and the questions you are looking forward to answering.
• Your qualifications and interests- this is a small but rather important section of your prospectus where you should give a summary of your knowledge, commitment and drive towards the chosen topic. This section is very important especially when you are presenting your work to get grants or funds to complete your work hence it is your opportunity to build quite an impressive reputation. In some prospectus, it may be necessary also to include how you will access sources of information.
• Create a plot or draft of the chapters that your research is going to include- this may change in the course of your research but will give you clear guidance on the order of chapters so just create a draft to get you started.
• Divide your work into sections- this is mainly applicable in scientific research papers where you have to follow a specific procedure from the methodology, experiment, data collection, data analysis and interpretation which have to be indicated in the research proposal.
• Table of contents- this section enumerates the research paper chapters and give the pages of each of the subtopic to enable easier navigation through your research paper and gives an idea of how long the paper is.
• Bibliography- this is a list of all the sources that you derived your content. It should include: the author’s name, title, edition, year of publication and the page from which you derived your content.

Read also: Trustworthy research proposal writing service to handle all your writing tasks.

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• Housing, local and community
• Planning and building
• Planning reform

Nationally Significant Infrastructure Projects: 2024 Pre-application Prospectus

Introducing the new pre-application service for Nationally Significant Infrastructure Projects.

Applies to England and Wales

Introducing a new pre-application service.

In 2020, the National Infrastructure Strategy established a government ambition to accelerate and improve the decision-making process for major infrastructure projects, including those considered under The Planning Act 2008 (PA2008). This ambition was reinforced in 2022 within the British Energy Security Strategy which committed to establishing a process allowing some Nationally Significant Infrastructure Projects (NSIPs) to be capable of receiving a decision within 12 months.

Following an operational review of the PA2008 process beginning in 2021, the Department for Levelling Up, Housing and Communities (DLUHC) published an Action Plan setting out proposed reforms that would be implemented to ensure the PA2008 process can support the country’s future infrastructure needs. Between July and September 2023, DLUHC consulted on the details of the operational reforms and government’s response to the consultation was published on 6 March 2024.

The Planning Inspectorate has responded to the government brief by developing a new pre-application service which is set out in this, the 2024 Pre-application Prospectus. The key areas of operational reform supported within the Inspectorate’s new service are:

• The introduction of three pre-application tier options reflecting different levels of service that applicants may receive from the Inspectorate ahead of submitting an application.
• The introduction of pre-application fees associated with the service under each pre-application tier, discharging government’s policy ambition for the Inspectorate to achieve full cost recovery for the services it provides.
• The introduction of a ‘Fast Track’ procedure which will allow some applications, that are able to satisfy a new Quality Standard, to potentially receive a decision within 12 months from the point that the application is accepted for examination.

Updated government guidance has been published which provides the framework for our new pre-application service, including the Fast Track procedure. Government’s 2024 National Infrastructure Planning Guidance Portal.

What does success look like and what does it depend upon?

The Inspectorate is confident that through these reforms our service will be substantially improved, providing applicants with better focused and more helpful advice, enhanced certainty of timescales and improved project outcomes. Through a collaborative effort involving statutory bodies, local authorities, and other stakeholders, the new pre-application service is expected to result in consistently smoother and potentially faster post-submission stages.

We note that the success of our service reforms has interdependencies with the progression of other government policy initiatives, including for example the update and ongoing maintenance of National Policy Statements. The success of our service, and the achievement of government’s policy objectives, also has interdependencies with service reforms at other government bodies which have an advisory role in the PA2008 process. These interdependencies will be taken into account as the performance of the new service is monitored by the Inspectorate and wider government.

The 2024 Pre-application Prospectus supersedes the ‘Pre-application Prospectus for Applicants’ published in 2014, which is being withdrawn and should not be relied upon by projects entering the PA2008 system from May 2024. Further information about transitional arrangements.

The Inspectorate considers that the services set out in the 2024 Pre-application Prospectus are relevant to, and will add value for, all users of the PA2008 process. However, the prospectus establishes a service within the pre-application stage which is necessarily led, and paid for, by applicants. On this basis, the prospectus describes services which are predominantly framed around the interests and needs of applicants in relation to the submission of well-prepared applications.

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Revision date: 16 05 2024

The pre-application stage – an overview

The main features of the pre-application stage in the PA2008 process are explained in government guidance. Government’s 2024 National Infrastructure Planning Guidance about the pre-application process . Additional details are provided within our Advice Pages which are also being updated to reflect and support the new service. As a frontloaded process, activities within the pre-application stage are of critical importance in preparing applications that, if accepted, are capable of receiving a decision within statutory timeframes and, where consent is granted, being delivered to meet the national need.

For applicants, in general terms the activities at the pre-application stage include:

• Establishing early relationships with stakeholders affected by the project, including statutory bodies, local authorities, persons with an interest in the land affected by the project and the local community;
• establishing the tier of support requested from the Inspectorate and preparing and maintaining a pre-application Programme Document ;
• developing relationships and, where relevant, agreeing requested levels of service with affected statutory bodies and local authorities, in accordance with the pre-application Programme Document, and progressing to resolution, where achievable, relevant issues raised by those bodies;
• developing relationships with other stakeholders, including the local community, and progressing to resolution, where achievable, relevant issues raised by those stakeholders;
• for relevant projects, seeking advice from the Inspectorate on the project’s suitability for a Fast Track procedure , and meeting associated requirements at the pre-application stage;
• developing the design of the project to reflect the good design criteria in the relevant National Policy Statement(s);
• giving required notifications to the Inspectorate;
• undertaking mandatory pre-application consultation and publicity;
• preparing and undertaking necessary project assessments, if required, such as Environmental Impact Assessment (EIA) and Habitats Regulations Assessment (HRA);
• beginning the work necessary for obtaining other non-planning consents or licenses such as species licences or environmental permits;
• preparing the application documents including the draft Development Consent Order (DCO); and
• logistical preparations for post-submission stages including the identification of potential Preliminary Meeting and hearing venues etc.

What does this mean for other people and organisations?

For other individuals and organisations affected by proposals under the PA2008, the pre-application stage represents the main opportunity to engage with the applicant to shape the proposal. After an application has been accepted for examination, there is limited scope for the substance of the proposals to change. This means that comprehensive stakeholder engagement at the pre-application stage is critical in order that their views may influence the final form of the submitted application. Further information in relation to engagement at the pre-application stage is provided in our Advice Pages .

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Section 51 advice and how it may change

Although the pre-application stage is led by the applicant, the Inspectorate can advise applicants and others with a view to ensuring an application is better prepared for post-submission stages, including the examination. This advice is issued under section 51 of the PA2008 . Any section 51 advice that we issue is without prejudice to the acceptance decision under section 55 of the PA2008 and any future decision taken by the relevant Secretary of State about whether development consent should be granted. The relevant Secretary of State is the Secretary of State for the type of development under consideration, for example for highway-related NSIP development the Secretary of State for Transport is the decision-maker for applications.

We can provide advice to applicants on procedural matters and also provide an impartial view on questions relating to potential examination issues and the readiness of an application to proceed beyond the pre-application stage. Drawing on our experience, we can also provide advice about what to expect during post-submission stages, including the examination, and indicate approaches to best practice. Within the new service, the extent of the advice service provided to applicants by the Inspectorate will be limited by the tier subscription of the applicant.

For applicants, the type of advice available from the Inspectorate can include, depending on the tier subscription, the aspects of advice set out below:

The process and the application

• Advice about procedural matters;
• Advice emerging from an impartial view on questions which relate to potential examination issues;
• Advice about the policy framework for a proposed application;
• Advice about the project design options being considered by the applicant;
• Advice about the consultation strategies, consent strategies and the programme for pre-application activities eg advising whether timescales are realistic or about any important omissions;
• Advice about the acceptance tests under the legislation and acceptance process; and
• Advice about the Quality Standard test associated with the Fast Track procedure .

EIA, HRA and land rights advice

• Advice about proposed approaches to EIA including cumulative effects and use of the Rochdale envelope;
• Advice about approaches to HRA;
• Advice about EIA screening and scoping;
• Advice about the list of consultees for the Environmental Statement;
• Advice about transboundary consultation and the process followed;
• Advice about working with public bodies in EIA and HRA processes; and
• Advice about making land rights and access requests ( section 52/ 53 of the PA2008 ).

Good practice advice

• Helping applicants to build and sustain good working relationships with relevant statutory bodies, local authorities and other stakeholders including the local community;
• Advice about what to expect in examination and examination risks based on experience of other cases;
• Signposting to good practice examples of application and examination documents and approaches; and
• Advice about approaches to evidencing agreement/ disagreement with consultees eg in Statements of Common Ground and pre-application Principal Areas of Disagreement Summary Statements (PADSS) .

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Our openness policy

The Inspectorate has a duty under section 51 of the PA2008 to publish any advice we give about applying for a DCO or making representations about an application, or proposed application, for a DCO. This duty reflects the importance of the pre-application stage and the role of the Inspectorate within it.

We seek to be helpful in advising applicants and other stakeholders about applications and our commitment to fairness, openness and impartiality means that we publish advice that we have given to any party regardless of whether that advice was given under section 51 of the PA2008 . Where advice relates to a specific project, it is published on the relevant project page on Find a National Infrastructure Project . If we issue advice at a meeting, a draft of the advice will always be shared with the meeting attendees before publication.

Within the new service project-specific advice given to applicants will be published in the form of an Advice Log. Every project will have an individual Advice Log which will be published and maintained on the relevant project page on Find a National Infrastructure Project . A draft of the Advice Log will always be shared with the applicant for comment before publication. The Advice Log will be updated to record all advice that we issue to each applicant during pre-application, including any advice issued at project meetings.

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Publication of early advice and project information

We are conscious of the need to strike an appropriate balance between openness and enabling potential investors to protect sensitive information at the earliest stages of discussion. Some applicants feel that there may be occasions in the early stages of pre-application when they may be able to engage more fully with us if the publication of any advice given and any information about a project provided by an applicant to the Inspectorate did not immediately emerge into the public domain.

As explained above, we are required to publish any advice we give under section 51 of the PA2008 . Whilst the PA2008 does not specify any time period within which such advice must be published, it implies an expectation that there should not be any unreasonable delay. Our openness policy sets an expectation that advice will be published as soon as practicable, except in circumstances where a reasonable delay is justified.

What happens where EIA Regulations are concerned?

Where an applicant has not yet submitted a request or notification under Regulation 8 of the EIA Regulations , it can ask us to delay publication of early project discussions by up to six months, specifically:

• Publishing advice given to the applicant and other information relating to such advice; and/ or
• adding the project to the list of pre-application projects on Find a National Infrastructure Project .

We will expect applicants to justify why delaying publication of such information is required for commercial confidentiality/ sensitivity reasons. We will not unreasonably decline any such request.

When an EIA Regulation 8 request or notification is received, all advice given in relation to that project will be published at that point irrespective of whether or not six months have passed from the time information for the website was received, advice was given, or a meeting held for which we had agreed to a delay of publication. Once we have received an EIA Regulation 8 request or notification, the existing practice of publishing all advice provided as soon as practicable will continue in the interests of openness and transparency.

Applicants should note our obligations under the Freedom of Information Act and the Environmental Information Regulations. These may, following a request, require us to disclose any unpublished information for which we have agreed to delay publication, either where an exemption or exception does not apply or, if in all the circumstances of the case, the public interest in disclosing the information outweighs the public interest in maintaining the exemption or exception.

In addition, all applicants are expected to have early (in confidence if necessary) discussions with affected statutory bodies, such as the statutory nature conservation bodies, and affected local authorities, on the scope, where necessary, of their EIA and HRA (including consideration of alternatives and approaches to surveys). Any public record of these discussions will be subject to the individual policies of these bodies.

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Our new pre-application service

We recognise that our pre-application service is not ‘one size fits all’ and on that basis we have established flexibility through a new tiered approach to our service offer. This will enable a proportionate approach according to the needs of individual applicants. Different projects, and different applicants, will require different levels of engagement at the pre-application stage depending on, for example:

• whether the applicant has experience of using the PA2008 process;
• whether the project’s system of stakeholders, including affected local authorities, have experience of the PA2008 process;
• the scale and location of the project;
• the complexity of the project issues and likely levels of agreement/ disagreement between the applicant and other key stakeholders, including affected statutory bodies and local authorities, at the point of submission;
• the extent to which the project or approach to seeking consent is novel;
• whether the applicant is seeking a Fast Track procedure ;
• whether or not a relevant National Policy Statement is designated, or otherwise the status of the designated National Policy Statement; and
• the level of local and national interest in a project.

On this basis, we have developed three pre-application service tiers which are expected to be appropriate for the range of applications we provide advice and support in relation to. In all service tiers, all applicants are expected to engage five primary service features . The five primary service features.

What are the three tier options?

Tier 1: the basic service.

Within the basic tier, direct interactions between the Inspectorate and applicants are minimised. Only statutory duties are discharged by the Inspectorate, including a screening and scoping service if engaged by the applicant. We consider that the basic tier could represent an appropriate service for very experienced applicants and low-complexity projects, for which an up-to-date relevant National Policy Statement(s) is in place, seeking no or limited compulsory acquisition powers, and/ or which are likely to give rise to examination issues that are few and commonly considered by Examining Authorities.

In general, we consider that subscription to a basic tier service is a higher risk consenting strategy for most applications as there will be far less opportunity for us to inform any key matters of concern prior to receipt of the application. Some types of applications which subscribe to a basic tier service may be more likely to experience more challenging examinations and statutory maximum timeframes.

Tier 2: The standard service

Within this service tier, most applications should be capable of being prepared to a standard which enables them to be accepted for examination and examined within a proportionate period which is within the statutory six months maximum. This service tier includes project update meetings between the applicant and the Inspectorate at key milestones in the pre-application process, a standard draft documents review service and an embedded risk review process. Applicants may choose to develop one or more of the supplementary components identified within the enhanced tier service in order to optimise their application and minimise risk, but we will not provide focused support in the development of these components within the standard tier service.

We consider that the standard tier could represent an appropriate service for most projects ie those which are neither exceptionally straightforward nor exceptionally complex. Applicants will not however be enabled to qualify for a Fast Track procedure under the standard tier service. Although entry to a formal Fast Track procedure is not enabled, where residual pre-application issues are minimised within a standard tier service, this will not prevent an examination from being shorter than the statutory six-months maximum; in accordance with the discretion of the appointed Examining Authority.

Tier 3: The enhanced service

The enhanced tier features unique service offers including:

• The Inspectorate supporting the development of up to nine supplementary pre-application components which can assist in optimising applications prior to submission, increasing the likelihood of smoother and potentially faster post-submission stages. The Annex to this Prospectus provides more information about supplementary pre-application components.
• The Inspectorate adopting a facilitative and pre-emptive role, including within multiparty forums . A ‘pre-emptive’ role will involve the Inspectorate identifying project and programme risks based on its experience of the PA2008 process and providing advice to the applicant about how to offset or mitigate those risks. More information about facilitation.
• Enhanced Examining Inspector involvement in pre-application advice.
• The enablement of applicants to qualify for a Fast Track procedure through the satisfaction of the Quality Standard, including associated support from the Inspectorate.

For non-Fast Track applications, we consider that the enhanced tier will represent an appropriate service for projects that require or would benefit from system-wide coordination and support. These projects may be very complex, giving rise to likely examination issues which are numerous and less commonly considered by Examining Authorities.

For applicants seeking a Fast Track procedure , the enhanced tier service must be subscribed to in order to engage the Quality Standard test and potentially qualify for a four-month examination. This requirement is established in government’s 2024 National Infrastructure Planning Guidance about the Fast Track process .

What are the detailed arrangements for each service tier?

The table below establishes the detailed offering associated with the three service tiers available for applications. To engage our services applicants are requested to subscribe to one of the tiers at the pre-application stage of the process. We consider the basic tier to broadly align with our statutory duties in pre-application services (eg accommodating EIA screening and/ or scoping) with our levels of input increasing at the standard and enhanced tiers. Information about transitional arrangements, including for applicants that have already held an Inception Meeting with us prior to 16 May 2024.

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The Planning Inspectorate’s Pre-application Service Tiers

PDF , 160 KB , 3 pages

This file may not be suitable for users of assistive technology.

TIER 1: BASIC

Cost to the applicant ( further information about cost recovery )

£62,350 per year of service

Suitable projects

Very experienced applicants, low-complexity projects, with an up-to-date relevant National Policy Statement(s) in place, no or limited compulsory acquisition, and where the likely examination issues are few and commonly considered by Examining Authorities.

Planning Inspectorate role

Planning Inspectorate discharging statutory duties only including section 51 advice and EIA screening/ scoping.

Section 51 advice

Advice normally limited to signposting to existing written resources including published advice, guidance and precedents established in other cases.

Meetings and interactions

Meetings with the Planning Inspectorate available to applicants at essential milestones only (maximum three meetings per annum) comprising:

• Inception Meeting
• Post-section 42 consultation meeting
• Pre-submission meeting

In all service tiers, the occurrence of additional meetings (ie over the maximum occurrences per annum stated) may be agreed on a needs basis. Planning Inspectorate not available for involvement in multiparty forums, including Evidence Plan process. No Examining Inspector involvement in pre-application advice.

Draft documents

No access to Planning Inspectorate draft documents review service.

Acceptance and post-submission risk

Risk review at outset, in conjunction with decision to proceed with basic tier offer.

Additional features

TIER 2: STANDARD

£126,050 per year of service

Potentially any project, apart from projects seeking qualification for a Fast Track procedure for which an enhanced tier service is prerequisite.

Planning Inspectorate discharging statutory duties and supporting the preparation of applications which are:

• Capable of being accepted for examination; and
• capable of being examined within the statutory six-month maximum.

Applicants may choose to develop one or more of the supplementary pre-application components listed in the enhanced tier offer in order to optimise their application but will not receive focused support from the Inspectorate.

Issuing of procedural advice to support programme and advice to assist progression and/ or resolution of likely examination issues prior to submission.

Meetings with the Planning Inspectorate available to applicants at key milestones, as requested/ required by applicant (maximum six meetings per annum), including:

• Post-Scoping, pre-section 42 consultation meeting
• Post-section 42 consultation/ post- Preliminary Environmental Information Report meeting
• Draft documents feedback meeting

In all service tiers, the occurrence of additional meetings (ie over the maximum occurrences per annum stated) may be agreed on a needs basis.

Offer of Planning Inspectorate involvement in non-Evidence Plan multiparty forums, where agreed, in observer/ advisory role. More information about multiparty meetings.

Offer of Planning Inspectorate involvement in Evidence Plan process, where agreed, in observer/ advisory role. More information about the Evidence Plan process.

Examining Inspector involvement in some elements of pre-application advice.

Standard draft documents review service available to applicants. Documents included in standard tier review service. Examining Inspectors support review of draft DCO and Explanatory Memorandum.

Iterative risk review at key milestones.

TIER 3: ENHANCED

£208,850 per year of service

Projects seeking qualification for a Fast Track procedure .

Novel or very complex/ cross-sector interests where likely examination issues are numerous and less commonly considered by Examining Authorities, not seeking Fast Track Consent but requiring or benefitting from system-wide coordination and support.

Planning Inspectorate discharging statutory duties and performing an enhanced role supporting the preparation of applications which are optimised to facilitate an efficient and effective route to decision, with potential for certain projects to qualify for a Fast Track procedure. Supplementary pre-application components supportable by the Planning Inspectorate to optimise applications include:

• Evidence Planning
• Pre-application PADSS
• Policy Compliance Document
• Design Approach Document
• Outline control documents
• Multiparty meetings (non-Evidence Plan)
• Preparation of Compulsory Acquisition and Temporary Possession evidence
• Preparation of evidence to support the Public Sector Equality Duty
• Multiparty application readiness gate-check (trial)

Some supplementary pre-application components are required for applications seeking a Fast Track procedure . The Annex to this Prospectus gives details in relation to the development of supplementary pre-application components, including the value they are expected to add, and identifies those which are required for applications seeking a Fast Track procedure.

Issuing of procedural advice to support programme and advice to assist progression and/ or resolution of likely examination issues prior to submission, including on a pre-emptive basis in accordance with increased Planning Inspectorate exposure to pre-application evidence.

Where requested by the applicant, and agreed by the Planning Inspectorate, topic-based meetings with the Planning Inspectorate in addition to meetings at key milestones identified in standard tier offer (maximum nine meetings per annum). In all service tiers, the occurrence of additional meetings (ie over the maximum occurrences per annum stated) may be agreed on a needs basis. Offer of Planning Inspectorate involvement in non-Evidence Plan multiparty forums, where agreed, including at the Adequacy of Consultation Milestone. This may be in a chairperson or facilitator role. More information about multiparty meetings . Offer of Planning Inspectorate involvement in Evidence Plan process, where engaged as agreed, as facilitator. More information about the Evidence Plan process. Enhanced Examining Inspector involvement in pre-application advice, including potential deployment as facilitator in multiparty forums.

Enhanced draft documents review service available to applicants, which may consider more than one draft iteration of documents over time, as agreed in the pre-application Programme Document, including:

• Documents reviewable under standard tier
• Documents associated with supportable components listed above

Documents included in enhanced tier review service.

Examining Inspectors available to support review of all draft documents.

Iterative risk review, including affected statutory bodies and local authorities.

For applications seeking a Fast Track procedure, support from the Planning Inspectorate to prepare an application that is capable of satisfying the Quality Standard established in government’s 2024 National Infrastructure Planning Guidance about the Fast Track process .

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The Inception Meeting

For the Inspectorate, the pre-application stage of the process begins with the applicant’s first organised interaction with us at an Inception Meeting . Although the Inception Meeting represents the start of the pre-application process for the purposes of monitoring the timeframe for pre-application, the applicant will have been initialising its project, including through early engagement with relevant statutory bodies and local authorities, prior to this meeting over varying timescales.

The Inception Meeting will feature an introduction by the applicant to the Proposed Development, confirmation of its requested service tier and presentation of its proposed programme for pre-application activities in a Programme Document. The Inception Meeting also marks the point at which invoicing for the Inspectorate’s pre-application services will commence. Further information about the charges for our pre-application services.

It is expected that prior to the Inception Meeting, the applicant will have interacted with relevant statutory bodies and local authorities to explore, and where possible agree, the scope of services required to support the requested service tier and the proposed programme of pre-application activities. It will also be necessary for applicants to have established contact with the Inspectorate prior to the Inception Meeting to provide essential basic project information and to prepare the agenda for the meeting.

Inception Meeting agenda template

MS Word Document , 64.4 KB

The tier of pre-application support provided will be agreed between the applicant and the Inspectorate at, or within a maximum of 28 days following, the Inception Meeting. To inform this agreement the applicant must notify the following basic information to us at least 14 days before the Inception Meeting is scheduled to take place:

• Basic information about the project including details of the applicant, the location of the project and a high-level description of the proposed development.
• The applicant’s provisional opinion on the appropriate service tier.
• A Programme Document covering pre-application activities from the Inception Meeting to the submission of the application. It is accepted that there may be some uncertainty around elements of detail in this first iteration pre-application Programme Document.

Basic case information required in advance of Inception Meeting template

MS Word Document , 58.1 KB

At the Inception Meeting, the applicant will elaborate on the basic information provided to inform agreement on the appropriate service tier. This will include a detailed description and explanation of the activities and predicted timescales established within the pre-application Programme Document . The detailed project description will include such elements as an outline of the main environmental issues/ constraints and the extent of any compulsory acquisition powers sought in relation to the project. The Inspectorate may ask clarifying questions about the information provided by the applicant and may ask for further information to inform identification of the appropriate service tier. The agreed tier will be kept under review throughout the pre-application stage and, if circumstances change, the applicant may be advised on the basis of risk to change its subscription to an alternative tier. Further information about changing subscription.

It is assumed that, based on the facts of the case, the Inspectorate and the applicant will normally agree on the appropriate pre-application service tier. In circumstances where there is disagreement, the Inspectorate’s view will be final. We will only ever exercise this policy where we consider that a lower tier service is appropriate for the application in question. We will inform the applicant of our decision, with reasons, and will publish any associated advice under section 51 of the PA2008 .

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Primary service features

Across all three tiers of pre-application service, all applicants are expected to engage the following five primary service features. We consider that these features are fundamental general requirements for improved service, certainty and outcomes:

1. Programme Document

The production and maintenance, by the applicant, of a pre-application Programme Document setting out the main steps that the applicant anticipates taking during the preparation of the application. This document will be introduced by the applicant at the Inception Meeting and its development and maintenance monitored by the Inspectorate throughout the pre-application stage. A public version of the pre-application Programme Document must be published on the applicant’s website.

Updates to the pre-application Programme Document should be communicated by the applicant proactively, with a clear description of the potential impacts on the requested services of the Inspectorate, relevant statutory bodies, local authorities and other stakeholders provided. A reliable view of programmes across the NSIP portfolio is essential to enable these actors to resource and support the pre-application service effectively. In preparing and making updates to the pre-application Programme Document, we expect applicants to be responsive and reasonable in tailoring programmes to support the engagement of statutory bodies and local authorities where required.

2. Issues Tracker and Potential Main Issues for the Examination

The production and maintenance, by the applicant, of an Issues Tracker throughout the pre-application stage. The expectation is for applicants to be upfront about issues and who they affect. The Issues Tracker should be made available for regular review by the Inspectorate, affected statutory bodies and local authorities in order to encourage dialogue and, where possible, achieve resolution. The degree of risk associated with each issue identified in the tracker should be allocated a ‘RAG’ (red, amber, green) status. The Issues Tracker may be sustained into post-submission stages subject to the discretion of the appointed Examining Authority.

The issues tracking process will culminate in a list of Potential Main Issues for the Examination (PMIE) which will be entered into the examination as an application document. The PMIE should be a short document which, where possible, is agreed by relevant statutory bodies and local authorities. It is entirely separate from the later Initial Assessment of Principal Issues (IAPI) developed by the appointed Examining Authority, but may, per any evidence within the application documentation, influence the content of the IAPI. The function of the PMIE (along with PADSS ) is to demonstrate that there are sufficiently few and uncomplex residual issues to potentially allow for a four-month examination to be timetabled (in Fast Track procedure cases) and/ or to facilitate more robust preparation for examination and a smoother and more proportionate examination experience for all parties. In the enhanced tier service, a multiparty meeting may be convened by the applicant to assist finalisation of the PMIE.

How the Issues Tracker, PADSS, PMIE and Statements of Common Ground interact

Flow Chart 1 - How the Issues Tracker, PADSS, PMIE and Statements of Common Ground interact

PDF , 328 KB , 1 page

Pre-application Issues Tracker template

MS Word Document , 62.7 KB

Potential Main Issues for Examination template

MS Word Document , 61.2 KB

3. Advice Log

Engagement in the Inspectorate’s production of an Advice Log to replace meeting notes as a record of interactions between us and the applicant. Trials of the Advice Log approach have proved it to be an effective mechanism to streamline the way in which we record advice and free-up resources (both internal and external) to deal with other elements of the pre-application process which focus on improving the quality of the emerging application. The Advice Log is owned and maintained by the Inspectorate. After each meeting with the applicant, we will seek comments on drafting within the Advice Log from the applicant prior to publication on Find a National Infrastructure Project . The applicant will use the Advice Log as the basis for demonstrating regard to section 51 advice within the application (see 5, below).

4. Adequacy of Consultation Milestone

Engagement in a pre-submission Adequacy of Consultation Milestone (AoCM) intended to allow early consideration of the adequacy of consultation undertaken by the applicant and minimise risk at the acceptance stage. The AoCM should be programmed to occur early enough to enable applicants to consider how to undertake any additional engagement that may be needed, but sufficiently towards the end of the pre-application stage to assess the adequacy of the consultation that has been done. To inform the AoCM, the applicant will make a written submission to the Inspectorate which establishes the consultation undertaken to date, confirms the approaches set out in the Statement of Community Consultation, and summarises the consultation responses and the way in which they are shaping the application. Importantly, it should include the views and any relevant supporting material from local authorities if available. The written submission will be published on the relevant project page on Find a National Infrastructure Project .

The AoCM and associated activities will be established in the applicant’s pre-application Programme Document . In the enhanced tier service, where requested and required, an additional multiparty meeting, chaired/ facilitated by the Inspectorate, will be made available to discuss the AoCM submission including the views from local authorities.

5. Demonstrating regard to advice

The production of evidence, presented within the Consultation Report accompanying the submitted application, demonstrating the applicant’s regard to the advice that the Inspectorate and affected statutory bodies have issued during the pre-application stage. This should highlight amendments to the application arising from advice received, and similarly provide justification where advice received has not led to an amendment to the application. This new requirement is expected to give rise to better evidence to support the applicant’s case for compliance with Part 5, Chapter 2 of the PA2008 , and give better confidence to the stakeholder system that the applicant has taken account of the statutory advice received and made reasonable efforts to submit an application that is in an optimised condition for post-submission stages, including the examination.

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Facilitation within the enhanced tier service

There are sometimes occasions when disagreement between an applicant and a key consultee about a certain aspect of a project can mean that progress is difficult to achieve. If such disagreements are not resolved during the pre-application stage, and the application is subsequently accepted, this could present challenges to everyone during the time-limited post-submission stages. There are also times when, for example, resource constraints within a statutory body may limit the amount of advice and engagement that can be offered to an applicant. This can result in project delays at the pre-application stage. Where this is the case, or to seek to prevent this from happening, within the enhanced tier service the Inspectorate can have a role in helping to facilitate a way forward. More information about our interaction with the services of statutory bodies.

Our role as facilitator

For projects engaged in the enhanced tier service we are able to facilitate multiparty round table meetings, including within Evidence Plan processes, with a view to optimising the evidence being prepared to support an application and/ or tackle potential blockages in the process to move an application forward. Typically, such meetings may involve the Inspectorate, applicant, relevant local authority and/ or any other relevant statutory bodies and will be undertaken on a ‘virtual first’ basis. This means that we will attend/ facilitate within multiparty forums via Microsoft Teams (or equivalent). ‘In person’ attendance may be considered where circumstances are clearly justified in the interests of the process. In accordance with our statutory duty under section 51 of the PA2008, any advice that we issue at a multiparty meeting will be published on the relevant project page on Find a National Infrastructure Project . A draft of the advice will always be shared with the meeting participants for comment before publication.

Where it is agreed that we will adopt a facilitator role, we will aim to promote adherence to the agreed terms of reference, and to be fair, balanced and objective in our consideration of the issues. We will encourage productive discussion through interpretation of points raised by participants, the clarification and summarising of positions and active and open-ended questioning. In our role as a facilitator, we will communicate in terms of the risk that positions pose for acceptance, examination, recommendation and where applicable admission to a Fast Track procedure , and will work with parties to identify actions to overcome barriers to resolving issues. Where certain issues are not able to be fully resolved, we will encourage parties to narrow and focus specific areas of disagreement prior to submission of the application in order to allow for a more efficient and effective use of time at post-submission stages.

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Revision date: 16 05 2024 

Types of multiparty forums

Multiparty meetings within the evidence plan process.

An Evidence Plan is an optional way to agree and record the information the applicant needs to supply to the Inspectorate when applying for a DCO so that environmental issues arising from multiple assessments (for example EIA, HRA and/ or Flood Risk Assessments) within the application can be efficiently identified, tracked, discussed and progressed. This process can lead to a smoother examination as it provides the opportunity for all parties to agree and provide certainty on proportionate assessments and for issues to be agreed outside the constraints of statutory timeframes.

The option to request and agree an Evidence Plan is available to all applicants for proposed NSIPs that are in England, or England and Wales, and are entering the pre-application stage. It is an optional process, and resource constraints within a consultee body may limit the amount of advice and engagement they are able to provide. To oversee and monitor the progress of Evidence Plans during the pre-application stage, steering groups are formed which are able to agree/ sign off any issues that arise from Expert Topic Groups. Expert Topic Groups are formed of technical specialists who agree methodological and analytical assessment approaches. Both groups consist of attendees from the applicant and relevant statutory bodies. The Inspectorate can attend where requested and agreed. More information about the Evidence Plan process is set out in our Advice Pages .

The Inspectorate’s structure and working principles for Evidence Planning, and the details of the approach, are to be developed in discussion between the Inspectorate, the applicant and relevant statutory bodies. Before we can begin engaging with the Evidence Plan process, we must have been provided with the applicant’s pre-application Programme Document including the proposed activities and timeframes associated with the process. We must also have been given an opportunity to review and agree the applicant-owned terms of reference for the Evidence Plan process. We will issue standard text establishing our role for the applicant to insert.

Our involvement in the Evidence Plan process will be available to applicants within the standard tier and enhanced tier service, as set out below. Meetings undertaken within the Evidence Plan component are in addition to the maximum annual service meetings, but do not attract additional charges within the parameters of the table below . Some statutory bodies will charge for engagement in an Evidence Plan process. Similarly, local authority participation may be governed by the terms of any Planning Performance Agreement (PPA) that is in place.

What is the Inspectorate’s role?

Observer only. The Inspectorate will provide high level advice on the implications of discussions held. We will review one iteration of the applicant’s notes of the meeting which are to be circulated within five working days of the meeting. 

How will the Inspectorate attend?

On a ‘virtual first’ basis.

How many meetings can the Inspectorate attend?

Up to five meetings. The Inspectorate’s attendance at these five meetings can be a mix of steering group and Expert Topic Group meetings.  The applicant, in conjunction with relevant statutory bodies, will advise us accordingly.

What is the required notice period for meetings and the information required?

The schedule of Evidence Plan activities (including meetings) should be provided to the Inspectorate before the process formally begins, within the pre-application Programme Document. For any additional meetings, in order to resource attendance and make appropriate preparations, we require a minimum of six weeks’ notice to participate.

A minimum of ten working days prior to each meeting, the applicant will circulate the relevant information to us ensuring that we can fully prepare for the meeting. This information should be adequately detailed, including key assumptions and evidence in support of any proposed approach/ conclusion.

Who will attend from the Inspectorate?

The Inspectorate’s Environmental Services Team.

How will the Inspectorate engage with the SNCBs out of project-specific Evidence Plan meetings?

The Inspectorate will be available to engage with the relevant statutory bodies to discuss progress in the resolution of issues, including how our engagement could be of assistance.

Observer and/ or facilitator as required. As a facilitator, the Inspectorate will actively engage to progress the resolution of outstanding issues and take actions away. We will review one iteration of the applicant’s notes of the meeting which are to be circulated within five working days of the meeting. 

Maximum number of five in-person meetings per annum (can be a mix of steering group and Expert Topic Group meetings). All other meetings will be attended virtually.

Up to eight meetings. The Inspectorate’s attendance at these eight meetings can be a mix of steering group and Expert Topic Group meetings. The applicant, in conjunction with relevant statutory bodies, will advise us accordingly.

The Inspectorate’s Environmental Services Team and/ or an Examining Inspector, dependent on stage in the process and agenda items/ issues being discussed.

In addition to the offer at the standard tier, where issues are identified, the Inspectorate may proactively engage the relevant statutory bodies to understand the issues in greater detail and offer advice on implications.

Multiparty meetings outside of the Evidence Plan process

It may be appropriate for the Inspectorate to be involved in multiparty meetings outside of an established Evidence Plan process, either because an Evidence Plan process has not been engaged in relation to a particular project, or because the subject or issue for discussion at the meeting is not directly related to an environmental matter covered within the scope of the Evidence Plan. We may attend such a multiparty party meeting either on an observer/ advisory basis within the standard tier service, or in a facilitator or chairperson role within the enhanced tier service. Our involvement will be determined in discussion with the applicant, affected statutory bodies and/ or local authorities. Inspectorate involvement in multiparty meetings is not available to applicants which have subscribed to the basic tier service.

Who can attend a multiparty meeting?

Local authority officers, the applicant, the Inspectorate, relevant statutory bodies, other interest groups. Some statutory bodies will charge for attendance at such meetings. Similarly, local authority participation may be governed by the terms of any PPA that is in place.

When should a multiparty meeting take place?

Depending on the project, a multiparty meeting could be held before the applicant starts statutory consultation or following close of the final round of section 42 consultation. The timing of a multiparty party meetings will be optimised based on the facts of individual cases, including the theme or issue for discussion. A multiparty meeting can be requested by the applicant, affected statutory bodies or local authorities. Where a multiparty meeting is requested to take place, the requesting party must provide clear reasons, purpose and intended outcomes. The final decision on whether a requested multiparty meeting will be convened will always rest with the applicant.

What notice of meetings is required by the Inspectorate and what information is required?

In order to resource attendance and make appropriate preparations, we require a minimum of six weeks’ notice to participate.

A minimum of ten working days prior to a multiparty meeting, the applicant will circulate the relevant information to us ensuring that we can fully prepare for the meeting.

How are multiparty meetings held?

In a roundtable format, held on a ‘virtual first’ basis.

The Inspectorate’s Case Team and/ or Environmental Services Team and/ or an Examining Inspector, dependent on stage in the process and agenda items/ issues being discussed.

What is the purpose of multiparty meetings?

To understand:

• What the process requires of each party and to agree response timings;
• any issues that are potentially difficult to achieve agreement on during the pre-application stage;
• what the implications of any unresolved issues are for the parties and for the statutory process;
• what action is required by relevant parties prior to submission of the application and what the timescale is for addressing particular issues; and/ or whether all parties are prepared for the acceptance post-submission stages.

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Review of draft application documents

In the standard and enhanced tier services the Inspectorate can review certain draft application documents during the pre-application stage. There is not access to a draft documents review service within the basic tier service.

Draft documents review allows us to give advice about the standard of the documentation, any aspects that may need clarification and any procedural omissions prior to submission. It also helps us to understand more about the proposed application and to prepare for the submission so that we can deal with the application within statutory timeframes, and potentially faster.

Experience has shown that our review of draft documents can help to avoid possible problems before they arise, resulting in a smoother experience at post-submission stages for the applicant and other Interested Parties. Our approach to reviewing draft application documents is set out in the table below.

Which draft documents can the Inspectorate review?

The Inspectorate can review the following draft application documents within the standard tier service:

• Draft DCO, including protective provisions and/ or draft deemed marine licence(s)
• Draft DCO Explanatory Memorandum
• Draft sample Works Plans and Land Plans
• Draft Consultation Report including section 42 consultee list
• Draft HRA report
• Draft Environmental Statement project description chapter(s)
• Draft Planning Statement
• Draft Book of Reference
• Draft Statement of Reasons
• Draft Funding Statement

In addition to the draft documents that can be reviewed in the standard tier service, in the enhanced tier service the following draft documents can also be reviewed:

• Draft DCO control documents eg Draft Outline Construction Environmental Management Plan
• Drafting associated with key issues and/ or novel approaches within the draft Environmental Statement
• Draft Policy Compliance Document
• Draft Design Approach Document
• For relevant projects, draft Fast Track Admission Document

What is the Inspectorate unable to review?

The Inspectorate is unable to review draft Environmental Statements in their entirety due to the size of documents. Applicants are encouraged, however, to share draft chapters of the Environmental Statement with relevant statutory bodies and local authorities at the pre-application stage.

When should draft documents be prepared and how long does the review stage last?

Applicants are encouraged to start preparing application documents sufficiently early (for example before statutory consultation). Standard and enhanced tier applicants should carefully consider the best time to provide draft documents to us. The more complete the documents are when provided to us, the more thorough our advice can be. This needs to be balanced against seeking advice on key elements sufficiently early to frame and shape project development.

Due to the volume of material, standard and enhanced tier applicants must allow sufficient time for the Inspectorate to review draft documents. The submission of draft documents must be established in the applicant’s pre-application Programme Document, allowing six weeks for the Inspectorate to review the documents and provide feedback. This may be shorter or longer depending how complex and novel a project or the issues it raises might be, subject to our agreement.

Standard and enhanced tier applicants must provide sufficient time to allow for the Inspectorate’s comments on draft documents to be reflected in the final form of the submitted application. This is essential in relation to the requirement for applicants to demonstrate regard to the Inspectorate’s pre-application advice in the Consultation Report.

Who reviews draft documents?

Within the standard tier service, draft document reviews will generally be undertaken by suitable persons within the allocated project team at the Inspectorate. The review of the draft DCO and draft Explanatory Memorandum will be undertaken by an Examining Inspector(s).

Within the enhanced tier service, draft document reviews will be undertaken by the project team with support across the suite of documentation by an Examining Inspector(s).

How is advice on draft documents given?

Normal practice is to give advice on draft documents in writing. This written note (recorded within the Advice Log then forms the agenda at a subsequent meeting at which the applicant can seek clarifications about the written advice issued by the Inspectorate. In some circumstances we can take a different approach, to be agreed between the applicant and ourselves. In all cases, our advice on draft application documents is published.

Who else should the applicant share draft documents with?

All applicants, including those within the basic tier service, are expected to share relevant draft application documents with key stakeholders, enabling those stakeholders to provide a response, outlining any areas of concern or disagreement. This can be carried out as part of an applicant’s consultation under section 42 of the PA2008 and/ or at other appropriate points established in the pre-application Programme Document .

For example, as a minimum, we would expect relevant provisions within the draft DCO to be shared with any party specifically affected by them, including those responsible for the discharge or enforcement of requirements, and those affected by any protective provisions. The expectation is that as many matters as possible are agreed with those directly affected by the drafting of the DCO prior to submission of the application.

We also expect applicants to share draft Environmental Statement chapters with statutory bodies, local authorities and other relevant stakeholders where they are aware that they may have substantial interests that may need addressing. Sufficient time should be established in the Programme Document for any requested responses to be reflected in the final form of the Environmental Statement.

Some statutory bodies will charge for advice given in response to draft documents. Similarly, local authority responses may be governed by the terms of any PPA that is in place.

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The Fast Track procedure and the Quality Standard

Government has established a new policy framework which will allow some NSIPs to be capable of receiving a decision within 12 months from the point at which the application is accepted for examination. To realise this timeframe, applicants may apply to the Inspectorate to be considered for a Fast Track procedure. Admission to a Fast Track procedure will require the application to be examined in a statutory maximum period of four months. Under conventional PA2008 timescales the statutory maximum period for the examination is six months.

Whilst the Inspectorate will have control of delivering examinations in a maximum of four months, and producing a recommendation within two and a half months, achieving the 12 months target set by government will also require:

• Substantial investment by the applicant, set out below, including a commitment, for elements within its control, to minimise the duration of the pre-examination stage to a maximum of three months;  
• investment in the shortened timescales by affected statutory bodies and local authorities throughout pre-application and post-submission stages, including the examination; and
• the relevant Secretary of State in each case to uphold a non-statutory commitment to produce its decision on whether development consent should be granted within two and a half months.    

Applicants wishing to put their projects forward for a Fast Track procedure will need to demonstrate that their application meets the Quality Standard set out in government’s 2024 National Infrastructure Planning Guidance about the Fast Track process .

Preparing an application to be considered for a Fast Track procedure

Before deciding whether to apply for a Fast Track procedure, applicants should consider carefully whether this consenting strategy is appropriate and realistic in relation to the project they are promoting. Considerations in this respect will include, amongst other things:

• The novelty and complexity of likely issues associated with the application and the likelihood of those issues being resolved at pre-application, and/ or within shorter post-submission process timeframes;
• whether the application is likely to give rise to change requests post-submission;
• the levels of local, national and cross-sector interest in the project; and
•  the status of any relevant National Policy Statement(s).

The applicant’s interest in a Fast Track procedure should be established at the Inception Meeting at which the Inspectorate will provide advice to the applicant in relation to the suitability of its application for a Fast Track procedure, including consideration of the required interactions with affected statutory bodies and local authorities.

The applicant’s interest in a Fast Track procedure should be established at the Inception Meeting. To inform the Inception Meeting, the applicant must establish within its pre-application Programme Document the main matters that, to qualify for a Fast Track procedure, the applicant will need to cover in addition to the normal pre-application requirements. For applicants seeking to qualify for a Fast Track procedure, the pre-application Programme Document must include:

• an indicative programme setting out the keys steps in the preparation of the Fast Track procedure application to the point of submission;
• a summary of the policy context for the application;
• the potential issues that require input from statutory bodies, including for relevant projects an indicative Evidence Plan process timetable;
• for relevant projects, an indicative programme for the preparation of an Information to Inform Habitats Regulations Assessment Report, with endorsement by the relevant statutory nature conservation body;
• a clear position on, and activities to support, the intended design approach and level of detail likely to be provided in the final application;
• activities relating to the development of, and engagement on, key application documents including the draft DCO and Explanatory Memorandum; and
• details of any licencing requirements or non-planning consents not included in the draft DCO that are needed.

The Inspectorate will continue to provide advice on the suitability of the application for a Fast Track procedure as the pre-application programme develops.

Following the Inception Meeting, and as established within the pre-application Programme Document , an applicant seeking to qualify for a Fast Track procedure must discharge the following procedural steps:

• Subscribe to use the Inspectorate’s enhanced tier pre-application service;
• within its PA2008 section 42, section 47 and section 48 statutory notification and consultation materials, provide written confirmation/ notification of its intent or potential to apply for a Fast Track procedure;
• prior to statutory consultation, publicise its programme of relevant activities, milestones and dependencies (required for both Fast Track and non-Fast Track procedures), ensuring transparency and meaningful engagement in progress towards meeting the Quality Standard; and
• provide a Fast Track Admission Document accompanying the application submission, setting out how in the applicant’s view the application satisfies the Quality Standard.

Demonstrating satisfaction of the Quality Standard

The Quality Standard test is applied by the Inspectorate, on behalf of the Secretary of State, during the 28-day Acceptance stage. A provisional decision on the application’s suitability for a Fast Track procedure is made at the same time as the Acceptance decision. The non-statutory decision on the suitability of the application for a Fast Track procedure, and the Quality Standard test, is entirely independent of the decision and tests relating to the acceptance of the application under section 55 of the PA2008 . On this basis, affected applicants will receive two separate decisions; the application may be accepted for examination but refused entry to a Fast Track procedure.

The Fast Track Admission Document is not in a prescribed format but must clearly evidence how the main and supplementary tests comprising the Quality Standard are satisfied, including how each of the required supplementary components for a Fast Track procedure have contributed. As part of this, in support of the main test, the Fast Track Admission Document must include as appendices the PADSS produced by relevant consultees. This will allow the conclusions drawn by the applicant within the Fast Track Admission Document to be verified by the Inspectorate. The document is also expected to include as an appendix a Policy Compliance Document

Within the enhanced tier pre-application service, the applicant will receive focused support from the Inspectorate in preparing actions and evidence to support satisfaction of the Quality Standard, including the Fast Track Admission Document.

The Fast Track procedure decision

If having considered the Fast Track Admission Document and supporting evidence the Inspectorate considers that the application satisfies the Quality Standard, we will issue a decision to the applicant confirming provisional admission to a Fast Track procedure. A Fast Track procedure, however, cannot be confirmed until the appointed Examining Authority has received and considered all Relevant Representations later in the pre-examination stage. This establishes an essential opportunity for the Examining Authority to be satisfied that new evidence within the Relevant Representations would not prevent the application from being examined in a maximum of four months. After the Examining Authority has considered the Relevant Representations, the Inspectorate will issue a final decision about whether the application will be progressed through a Fast Track procedure.

If the application is endorsed for a Fast Track procedure, the Examining Authority will develop a draft up to four-month examination timetable in accordance with Rule 6 of the Examination Rules . If the application is not endorsed for a Fast Track procedure, the Examining Authority will develop a draft up to six-month examination timetable in accordance with conventional statutory timeframes. Within conventional statutory timeframes, the ExA’s discretion to complete the examination in less than six months is always retained. Our Advice Pages provide information about the preparation of the draft examination timetable .

Preparing for a Fast Track procedure and the decision process

Flow Chart 2 - Preparing for a Fast Track procedure and the decision process

PDF , 283 KB , 1 page

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Recovering the cost of our pre-application services

In order to meet government’s policy objective of cost recovery in NSIP service provision, applicants will be charged for the pre-application services described in this Prospectus. The Infrastructure Planning (Fees) Regulations 2010 have been amended by The Infrastructure Planning (Fees) (Amendment) Regulations 2024 to insert Regulation 2A which enables cost recovery for pre-application services provided by the Inspectorate on behalf of the Secretary of State. Government’s 2024 National Infrastructure Planning Guidance about cost recovery should be read in conjunction with the legislation and this Prospectus.  

The charges below are reflective of the anticipated days and mix of input required by the Inspectorate to deliver each tier of service, including Inspector, support staff and overhead costs and, as appropriate, a waiver in part using the relevant day rate figure stated in The Infrastructure Planning (Fees) (Amendment) Regulations 2024 .

In accordance with Managing public money - GOV.UK (www.gov.uk) , the Inspectorate cannot make profit on the overall services we provide. The charges applied relate solely to the work of the Inspectorate and not any pre-application support provided to the applicant by other organisations. The charges will be reviewed periodically and subject to adjustment in line with consumer price index annually and the Fees Regulations amendments. We will review the levels of service and the cost of the service to applicants periodically. 

We will raise invoices in advance in order to resource the service, typically twice a year, in April and October. Where an applicant joins the pre-application service mid-way through any invoicing period, charges will be applied pro rata for that period on a whole month basis.  

In the event of non-payment, we will not provide the pre-application service as otherwise agreed with the applicant.   

We understand that depending on the maturity of the proposed project, some applicants may want to embark on a lower-level tier service at the Inception Meeting prior to moving into a different tier as the project evolves. We would expect any applicant to provide at least three months’ notice of any desire to change tier and the likelihood and timing of this would be expected to be identified in the associated pre-application Programme Document . We cannot guarantee that such requests to move up a tier will be agreed in light of likely competing demand for service provision but will accommodate where possible. Applicants are therefore advised to consider their intended approach to pre-application support carefully and in consultation with the Inspectorate, relevant statutory bodies and local authorities as early as is practicable. Any agreed uplift in service provision will be chargeable in advance and this will be on a whole month basis. 

In line with government’s 2024 National Infrastructure Planning Guidance about the Fast Track process , any applicant intending to submit an application which qualifies for the Fast Track procedure will be required to enter the enhanced tier service from the Inception Meeting through to submission of the application.

We will review the pre-application service over time and could agree with an applicant additional service offerings which may require a supplementary fee. Any supplementary service would be subject to the appropriate daily rate for the chosen pre-application service tier. It is unlikely that any additional service offerings will be available in the first year whilst the new process is being established. 

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Interaction with the services of statutory bodies

The Inspectorate has good working relationships with the statutory bodies relevant to the PA2008 process and maintains regular contact about the issues arising from our collective experience, but it is not the role of the Inspectorate to ensure or monitor the performance of their pre-application services on behalf of the applicant and/ or the body’s parent government department.

The pre-application stage of the PA2008 process is driven by the applicant, but the quality of applications and the success of service reforms is dependent upon the performance of multiple actors within the PA2008 process, including statutory bodies. Some statutory bodies have an important role in advising applicants on the preparation of evidence to support applications. The services associated with this function are set out in separate resources owned and maintained by those statutory bodies and may have charges associated with them. It is for the applicant to access these resources and ensure that the required services of statutory bodies are programmed effectively through early and direct interactions with those bodies. All required or requested interactions with statutory bodies and local authorities should be established in the applicant’s pre-application Programme Document .

Further information on our approach to working with other public bodies, including contact information for applicants .

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Transitional arrangements

In order to establish the tier service preference of all current projects at the pre-application stage on Find a National Infrastructure Project , the Inspectorate will carry out an expression of interest exercise from late May 2024. Details of the expression of interest exercise, including what information is required to accompany responses, and the deadline for responses, will be sent to individual applicants directly.

The Inspectorate’s pre-application service tiers attract different levels of resource input from those involved in pre-application. As such, responses to the expression of interest will be considered carefully by the Inspectorate to understand, amongst other things, the demand placed on the capacity of its available resource. Equally, it is necessary to consider the resource capacity of key dependents including relevant statutory bodies. Applicants should be clear as to whether the likely level of support required from such organisations, specific to the project, has already been secured and if not, is realistically achievable for the desired tier.

The Inspectorate is not responsible for the co-ordination of pre-application resourcing across the system. Applicants should note that information submitted within the expressions of interest may be shared with relevant statutory bodies, particularly if seeking the enhanced tier service, for their own input. Going forward applicants should work with such bodies to agree and secure their capacity to support the preferred service tier in advance of entering into agreement with the Inspectorate.

All projects should expect to be confirmed within a service tier before the end of August 2024.

For projects that have not notified us or requested an opinion in accordance with EIA Regulation 8 before 30 April 2024, charging for our new services will begin on 1 October 2024.

For projects that have notified us or requested an opinion in accordance with EIA Regulation 8 before 30 April 2024, charging for our new services will begin on 1 April 2025.

For all projects subscribing to the enhanced tier of pre-application service, charging will begin on 1 October 2024.

All system users should be aware that the services established within this version of the Prospectus are anticipated to evolve as they are matured and embedded in practices and procedures. On this basis, the Prospectus will be a flexible resource and subject to amendment and update as we continue to learn to optimise the process together.

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Contact information

If you are interested in finding out more about our pre-application services, please contact us. If you are a potential applicant and have not previously talked to us about your project, please contact us on 0303 444 5000 or at [email protected] .

If you are an existing applicant and already have an identified Case Manager/ Operations Manager, please contact them to discuss how the changes to our pre-application services affect you. If you do not have an identified Case Manager/ Operations Manager, please contact us using the details provided above.

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Annex – Supplementary pre-application components

Planning Inspectorate support in the development of the supplementary pre-application components detailed in this annex is available to applicants that have subscribed to the enhanced service tier . Development of these components is expected to assist in optimising applications for smoother and potentially faster post-submission stages.

Enhanced tier applicants that are not seeking admission to a Fast Track procedure are not compelled to develop all of the supplementary components on offer, dependent upon the characteristics of the application in question. The suitability of individual components in relation to an application will be discussed with the Inspectorate at the Inception Meeting and confirmed at an early stage in the applicant’s programme.

Applicants seeking to qualify for a Fast Track procedure are encouraged to develop all supplementary components, but the components indicated in the table below are required:

Applicants that subscribe to the standard service tier may choose to develop one or more of the supplementary components listed below but will not receive the focused Inspectorate support described in this annex.

The value offer and roles in relation to the development of supplementary pre-application components

Component 1: evidence planning.

An Inspectorate role in the development of an Evidence Plan can have a variety of positive effects on the experience and outcomes of the process. The value added through Inspectorate involvement is reflected in feedback from various statutory bodies which report that our engagement can positively influence interactions and the progression of issues. Establishing final, and where possible agreed, positions between the parties engaged in the Evidence Plan process can help to narrow and focus the issues that may require further consideration at post-submission stages, making for a smoother and potentially faster process for everybody involved.

The applicant’s role : To drive an optimised Evidence Plan where there are complex or substantial/ numerous environmental issues arising from the Environmental Impact Assessment, Habitats Regulations Assessment, Flood Risk Assessment etc. These issues/ disagreements should be identified, and the programme agreed with affected statutory bodies and local authorities as early as possible in the pre-application stage and shared with the Inspectorate. The process will be investigative, and solution/ agreement focussed. The final positions reached at the completion of the Evidence Plan should be reflected in the Issues Tracker.

The Inspectorate’s role : To provide facilitative support, including assisting/ advising where there are ongoing issues and/ or disagreements/ stalemates which may impact post-submission stages. More information in relation to the Inspectorate’s role in Evidence Planning.

COMPONENT 2: Use of pre-application Principal Areas of Disagreement Summary Statements

Pre-application Principal Areas of Disagreement Summary Statements (PADSS) provide a mechanism for consultees to present unfettered evidence to the pre-application process. Based on this evidence the Inspectorate can identify and explore key areas of disagreement with the applicant before the application is submitted. This will provide the applicant with an opportunity to provide clarifications and/ or take action, where appropriate, and to optimise how areas of disagreement are presented in the application. Pre-application PADSS can help to narrow and focus the issues that may require further consideration by an Examining Authority at post-submission stages, making for a smoother and potentially faster process for everybody involved.

The applicant’s role : To initiate pre-application PADSS with relevant consultees from the beginning of the pre-application stage. Pre-application PADSS are owned and authored by consultees. The expectation is for Pre-application PADSS to be periodically updated by consultees post-submission, contributing towards agreed Statements of Common Ground in reasonable advance of the Examination close. PADSS will supplement, not replace, the preparation of Statements of Common Ground. More information on the relationship between pre-application PADSS and Statements of Common Ground.

PADSS are designed to:

• Provide a record of the pre-application areas of disagreement from the perspective of the consultee; and/ or
• in relation to an application for a Fast Track procedure , assist the decision about whether the number and complexity of residual issues at the point of submission would preclude an application from achieving a robust examination within a maximum of four months.

PADSS should be prepared by consultees with areas of disagreement presented in priority order.

The applicant’s Issues Tracker must consolidate relevant areas of disagreement established in PADSS, enabling PADSS to also inform the Potential Main Issues for the Examination. Pre-application PADSS must be retrieved from affected consultees by the applicant and provided with the submitted application. For projects seeking admission to a Fast Track procedure, the PADSS will be provided as an appendix to the Fast Track Admission Document.

The Inspectorate’s role : To elevate the status of PADSS as key evidence informing pre-application interactions with the applicant. The Inspectorate will monitor and query the status of issues identified in PADSS with the applicant, and where appropriate consultees, in pre-application interactions.

COMPONENT 3: Production of Policy Compliance Document

The development by the applicant of a Policy Compliance Document (PCD) will establish a resource which may assist a variety of stakeholders, but it will have particular value for appointed Examining Authorities. We have heard from Examining Authorities that the presentation of policy evidence in the PCD format helps them to monitor the performance of the application against policy requirements and objectives in a systematic way, improving the post-submission experience for all. Applicants can expect that the development of a PCD may result in fewer written and oral questions to them and other Interested Parties concerning the policy case, allowing resources to be focused on other important areas of the examination.

The applicant’s role : To prepare a PCD to accompany its application. This is a separate document to the Planning Statement required in government’s 2024 National Infrastructure Planning Guidance about the pre-application process . The PCD will include itemised evidence for how the policy requirements established within any relevant National Policy Statement(s) (and/ or emerging drafts) and other important national and local policy documents are satisfied by the application. It should be approached section by section/ requirement by requirement and outline the applicant’s response with links to (a) evidence in the Environmental Statement, (b) the outcomes and (c) where they are secured.

Relevant consultees (including policy owners) should be asked by the applicant to input on the scope of the PCD during pre-application, with updates on its development provided to those consultees and the Inspectorate at appropriate intervals. The applicant will be frank/ upfront about policy issues with potential implications for post-submission stages, including the examination.

The Inspectorate’s role : To provide focused support in the applicant’s development of the PCD, including a draft PCD review service with relevant expert input. The Inspectorate will require updates from the applicant on its preparation of the PCD and will query input/ consensus from relevant consultees (including policy owners). The Inspectorate will maintain detailed advice concerning the preparation of PCDs and signpost to good example PCDs prepared for decided cases.

The Inspectorate will work with applicants to establish the different functions of the Planning Statement and the PCD in the course of their development.

COMPONENT 4: Production of Design Approach Document

The development by the applicant of a Design Approach Document (DAD) will assist the Examining Authority and Interested Parties to understand the preparation and evolution of the design case from project inception, providing important context for the design of the project presented in the final form of the application. We expect that the production of a DAD will assist Examining Authorities in considering the satisfaction of design-related policy requirements established in relevant National Policy Statement(s). Applicants can expect that the development of DAD may result in fewer written and oral questions to them, and other Interested Parties, concerning the design case, allowing resources to be focused on other important areas of the examination.

The applicant’s role : To prepare a DAD to accompany its application which sets out how the application satisfies design criteria in eg any relevant National Policy Statement(s) and best practice guidance. The DAD is a separate product to the Design Principles Statement (or equivalent), which is also typically provided by applicants in support of Nationally Significant Infrastructure Project applications. More information about the format and content of a DAD will be provided in our Advice Pages .

Relevant consultees (including policy owners) should be asked by the applicant to input on the scope of the DAD during pre-application, with updates on its development provided to those consultees and the Inspectorate at appropriate intervals.

The Inspectorate’s role : To provide focused support in the applicant’s development of the DAD, including a draft DAD review service with relevant expert input. The Inspectorate will require updates from the applicant on its preparation of the DAD and will query input/ consensus from relevant consultees. The Inspectorate will maintain detailed advice concerning the preparation of DADs and signposting to good example DADs prepared for decided cases.

The Inspectorate will work with applicants to establish the different functions of the Design Principles Statement (or equivalent) and the DAD in the course of their development.

COMPONENT 5: Production of mature outline control documents

The preparation of mature outline control documents to support the application submission, which are agreed by affected stakeholders, is likely to result in fewer written and oral questions for the applicant and other Interested Parties concerning the construction and operationalisation of the Proposed Development. We have heard from Examining Authorities that the provision of underdeveloped outline control documents with the application can demand substantial time and effort at post-submission stages to develop detail and resolve issues, complicating and potentially extending post-submission stages. 

The applicant’s role : To prepare mature outline control documents to accompany its application. These should be consulted upon with relevant stakeholders in accordance with the agreed pre-application Programme Document . Control documents include any documents named within the draft Development Consent Order (DCO) (normally within Requirements) which provide specific and detailed practical controls on the Proposed Development eg Construction Environmental Management Plan and equivalents. Outline control documents should include, where applicable, a robust case for why elements of detail may be required to follow at later stages.

The Inspectorate’s role : To provide focused support in the applicant’s development of outline control documents, including a draft document review service in accordance with the agreed Programme Document . The Inspectorate will proactively seek updates from the applicant on preparation of outline control documents and query input/ consensus from relevant consultees.

COMPONENT 6: Use of multiparty meetings (non-Evidence Plan)

Multiparty meetings provide an opportunity for key issues to be considered in an open way and for actions towards resolution prior to submission to be identified and, where possible, agreed and discharged. Feedback confirms that an Inspectorate role in multiparty meetings can help to focus and manage discussion and provides additional value by establishing the likely impacts of unresolved matters on statutory timeframes at post-submission stages.

The applicant’s role : To use multiparty meetings during pre-application to facilitate resolution of issues or disagreements. The approach to multiparty meetings should be proportionate to any arising issues/ disagreements or the complexity of ongoing issues/ disagreements. The applicant is responsible for arranging multiparty meetings and briefing the attendees on their roles and expectations in advance of the meeting occurrence.

The Inspectorate’s role : To engage on the basis of the applicant’s tier subscription , acting as either an observer/ advisor (standard or enhanced tier) or as a chairperson/ facilitator (enhanced tier only). The Inspectorate’s role as facilitator . The Inspectorate will be responsive to meeting objectives and its requested role within it, and resource to ensure relevant/ required skills and expertise are available for meetings. The Inspectorate will provide advice to the applicant and other attendees, including in respect of the resolution (or otherwise) of ongoing issues and the implications for post-submission stages, including the examination.

COMPONENT 7: Preparation of Compulsory Acquisition and Temporary Possession evidence

The development of a pre-application Land and Rights Negotiations Tracker will help the Inspectorate to understand the issues, monitor progress and target advice at the pre-application stage. Experience shows that unresolved land and rights issues can complicate and extend the duration of post-submission stages. The Inspectorate’s support will help the applicant to prepare and optimise the Compulsory Acquisition and Temporary Possession evidence within the application, potentially giving rise to fewer Examining Authority written and oral questions and smoother, possibly faster, post-submission stages. The pre-application Land and Rights Negotiations Tracker will provide the basis for a detailed post-submission Land Rights Tracker which will be requested by the appointed Examining Authority.

The applicant’s role : To prepare mature and robust evidence to support the application for compulsory acquisition and temporary possession powers in the draft DCO. This evidence will be developed around a pre-application Land and Rights Negotiations Tracker, which will ultimately form part of the submitted application. The Land and Rights Negotiations Tracker will provide a live and consolidated view of the status of negotiations and inform pre-application interactions between the applicant and the Inspectorate. The applicant will be frank/ upfront about barriers and the likelihood of individual and/ or collective land and rights issues affecting the smoothness and duration of the examination. The applicant will prepare mature versions of the draft DCO, draft Land Plans (including special category land and crown land information), draft Book of Reference, draft Statement of Reasons and draft Funding Statement for review by the Inspectorate within the timeframes agreed in the pre-application Programme Document .

The Inspectorate’s role : To elevate the status of the Land and Rights Negotiations Tracker as key evidence informing pre-application interactions with the applicant. The Inspectorate will monitor and query the status of issues identified in the Land and Rights Negotiations Tracker with the applicant, issuing advice on the impacts (and mitigations) for post-submission stages.

Pre-application Land and Rights Negotiations Tracker template

MS Word Document , 64.8 KB

COMPONENT 8: Preparation evidence to support the Public Sector Equality Duty

Inspectorate support in the development of application evidence which is optimised in relation the Examining Authority’s requirement to discharge the PSED is expected to result in better applicant practice and less examination time taken up with written and oral questions posed to the applicant and other Interested Parties.

The applicant’s role : To design events, communicate with consultees (including, in particular, those affected by Compulsory Acquisition and/ or Temporary Possession powers) and mature evidence at the pre-application stage to assist the Inspectorate and the appointed Examining Authority, during post-submission stages, to discharge the Public Sector Equality Duty (PSED) under The Equality Act 2010 .

The Inspectorate’s role : To elevate the requirements of the PSED and provide support to the applicant in having regard to those requirements in designing events, communicating with consultees, developing pre-application resources, establishing the final form of the application and preparing for post-submission representations.

COMPONENT 9: Multiparty application readiness gate-check (trial)

The purpose of the gate-check trial is to establish an event occurring after statutory consultation and before the application is submitted to identify any substantive gaps in information, with a focus on where any such gaps might present risks to the acceptance and examination. The timing of the gate-check event will allow for the applicant and other relevant parties to take remedial action before the application is submitted, facilitating more focused, smoother and potentially faster post-submission stages.

The applicant’s role : To work with the Inspectorate and relevant statutory bodies within the trial of a multiparty gate-check process, engaging proactively, being responsive and developing and making essential supporting resources available in a timely way. The applicant will be responsible for organising the gate-check meeting (in addition to the maximum total of standard meetings) with themselves, the Inspectorate and relevant statutory bodies in attendance.

The Inspectorate’s role : To facilitate a multiparty gate-check meeting for applicants, involving relevant statutory bodies. Within the trial, the gate-check would occur between the statutory consultation and submission stages and would enable the Inspectorate to understand issues and associated risks and facilitate agreement in relation to appropriate remedial actions prior to submission. The gate-check event can include consideration of any project-related issues but is expected to focus on environmental matters, including those identified within the Evidence Plan process (where engaged).

The gate-check trial will be made available to a limited number of applicants to test appetite, deliverability and value added . Further details on the proposed gate-check process and requirements will be made available to the applicants involved in the trial.

Paragraph: 018 Reference ID: 1-018-20240516

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MLB’s new bat speed numbers: The good, the bad and the uncertain future

Track it. Vet it. Scout it. Get it. That’s been the playbook when it comes to new publicly tracked statistics in the past — they’ve moved from fancy new numbers to accepted metrics and then scouting and player development goals over time. Now that MLB’s Baseball Savant website has unveiled a new suite of bat tracking numbers including, among others, bat speed and swing length, we are left to wonder whether the past will repeat itself.

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In 2006, PITCHf/x systems were installed in every park and pitch velocity was tracked publicly for every pitcher. Since then, the average four-seam velocity in the league has gone up 2.8 mph (along with associated injuries ).

In 2015, baseball moved to TrackMan’s radar-based systems in every park, and spin rate was observed (instead of calculated) for every pitcher. Since then, spin rate has gone up , albeit with some bumps and bruises (and perhaps associated injuries ).

In 2020, MLB ’s parks went back to optical player and ball tracking by adding Hawk-Eye cameras. Since then, exit velocities and launch angles have gone up . More on injuries later.

Now baseball is giving us bat speed as measured at the sweet spot, about 6 inches from the head of the bat, and at contact, or closest point to contact for a miss. There is a handy chart to explain some of the newest statistics, how they are measured, and what they can tell us.

Vetting these new statistics is more complicated, and will take place over the next few years as we add more data to what’s currently only available for this season. But that process has been underway across baseball already, and we can tell that bat speed is important, especially for power.

“Bat speed affects exit velocity,” physicist Alan Nathan said. “For a squared-up impact at the sweet spot, each mph additional of bat speed increases exit velocity by about 1.2 mph. For a ball hit at the optimum launch angle of 25-30 degrees and around 100 mph, the corresponding increase in fly-ball distance is about 6 feet.”

Six feet is the difference between the warning track fly ball and a home run. STATS Perform estimated that, if we removed 6 feet from every home run last year, there would have been 365 fewer homers. Even if we look at this year’s small-sample outputs, you can see how bat speed correlates with power.

Hitters are aware of this relationship.

“It’s absolutely important,” Oakland Athletics designated hitter Brent Rooker said. “In a vacuum, all else the same, swinging faster is never going to be a bad thing. Just like throwing harder is going to be better.”

“Bat speed is a foundational speed that you need to have,” St. Louis Cardinals outfielder Lars Nootbaar said.

“Yes, absolutely bat speed is important,” Boston Red Sox director of hitting Jason Ochart said. “To suggest otherwise is crazy.”

Not every coach feels the same way.

“It seems absurd really to even argue that training to move the bat faster could ever be a bad thing, but the caveat in our game is that it involves a complex task with precision, skill and timing,” Pittsburgh Pirates hitting coach Andy Haines said. “It’s not slow-pitch softball.”

“Most of the best power hitters in MLB don’t have the best bat speed, it’s more about how you get the bat up to speed, when and where,” Eugene Bleecker of 108 Performance said.

“If bat speed alone was an absolute measure of success, then the top bat speeds would all be the top hitters in baseball,” Doug Latta of The Ball Yard said.

To be fair, you can look at that chart and see the positive relationship and ascribe the spread around that trend line as noise. Or you can see that noise as complications, reasons that bat speed is not worth pursuing as a singular training or scouting goal.

If you play around with the Baseball Savant visualization tool, you’ll quickly see that bat speed has a positive correlation with whiff rate and a negative correlation with square-up percentage, meaning as bat speed goes up, whiffs and mis-hits go up. And that’s a problem for hitters and coaches because you have to make contact and make it flush to hit for power in the big leagues, too.

“Sweet-spot accuracy is the No. 1 thing, even if bat speed is really important,” New York Mets slugger Pete Alonso said. “You have to hit the ball over 100 (mph) for it to go, but that takes accuracy and bat speed.”

“You’ve had great prospects with elite bat speed, not to put anyone under the bus, but Clint Frazier had elite bat speed,” A’s hitter J.D. Davis said. “It’s more complicated than that.”

Yes, bat speed is king. But what happens when hitters face better stuff? I built a series of models across various levels of Stuff+ and plotted the effects of bat speed, bat to ball, and swing decisions on run value. The results show that bat speed matters less as stuff improves pic.twitter.com/3sGLbBurpa — Connor Curtiss (@connor_curtiss) August 21, 2023

There’s evidence that contact ability becomes more important against the nastiest of pitchers, so hitters and teams might not want to make even more of a power/contact trade-off than they’ve made so far .

But there’s a flaw in this type of analysis, too. We’re looking at individual players in the big leagues, so there’s a selection bias at play. We’re only looking at a select group of players, not all baseball players.

“The hitters who can get away with whiffing and still make it to the big leagues have bat speed and do damage,” Ochart said. “The low bat speed hitters in the big leagues are able to survive because they put way more balls in play. The best hitters usually do both.”

“If a player has bad bat speed and makes bad swing decisions, they’re not in the major leagues,” Nootbaar said.

If we look at bat speed by level, it’s pretty obvious how important bat speed is to advancing to the professional ranks. According to Dan Aucoin , the assistant director of foundational research with the Philadelphia Phillies , the average bat speed in high school is around 65 mph. In college, it’s around 68 mph, and in the minors, it’s just above 70 mph. We know from directly tracked bat speed that the average in the pros is 72 mph.

It’s still kind of important how a hitter gets to that bat speed.

“There are some diminishing returns if you sell out for bat speed and lose barrel control or awareness of the strike zone or lose the ability to make contact,” Rooker said. “If you’re making your swing mechanics worse or your timing worse, that could be a problem. There’s a shorter timing window.”

That’s borne out in the numbers. Take a look at how the top left of this chart is deep blue (poor production) and how the bottom right is lighter (good production).

A short, fast swing is the goal (those are the white dots). If you want to see it in table form, here are the major-league hitters who have 74 mph-plus bat speed and shorter than a 7 1/2-foot swing.

“Efficiency in the swing is everything,” Bleecker said, and this list underlines that point.

“How far is your bat traveling? Is it back and around?” Latta said. “We talk about being direct. We talk about a direct swing.”

“I’ve personally gotten guys past certain thresholds and made them worse in-game,” Texas Rangers director of hitting Donnie Ecker said about the quest for bat speed. “Where in the body are we moving the needle, and how does the value-add in speed interact with the overall movement system? The higher you go up you will find preferred ranges where guys are at their best as hitters. We don’t have to guess on that anymore.”

Keeping player development and training environments more game-like has been a huge emphasis recently in player development, and you can see why. Just adding bat speed by making the swing longer isn’t a great idea, and the game will show you if that’s what you’ve done.

“If you’re adding speed in game-like environments it’s hard to take long s—ty disconnected swings that don’t translate,” Driveline director of hitting Tanner Stokey said. “If you’re training bat speed off of tee/front toss or even worse (in terms of transferability) dry swings, there’s a much higher likelihood swings will get longer and more disconnected because it’s easier to get away with that in controlled environments.”

“Hitting the ball 100-plus off the tee is irrelevant,” Latta agreed. “It’s hard to make a game-like environment, other than maybe live at-bats, and even then, the psychology is that you’re facing your own guy, and you don’t have the adrenaline of competition.”

Still, bat speed has its proponents who say that with the right training in the right environments, it’s possible to train a short swing with good timing that is also fast.

“The skills of making contact and swinging fast are themselves not correlated in a sense that having or increasing one will decrease the other,” Ochart said, and a lot of players end up agreeing if adding the “in a vacuum” qualifier. “Most times being faster means being quicker, too.”

The consensus building is happening. It’s happening right now, as some teams have coordinated weighted bat programs in the minor leagues. Bat speed most tightly correlates with maximum exit velocity, so teams can use that more available number to scout for their next hitters. Major leaguers like Ramón Laureano are buying weighted bats and doing training on their own. The Los Angeles Dodgers sent their hitters for a round of bat speed training . This is happening … much in the same way that the league once started training for pitch velocity.

Are there going to be similar ramifications?

Maybe. Triston Casas , who has bat speed just outside the top 10 percent in the league, recently hurt his rib cartilage by turning so fast. He had some very eye-opening things to say.

“(The doctor) pretty much chalked it up to me being so big, rotating so fast, so many times that I created a car crash within my body,” Casas said . “It was a matter of time before this happened. He said it was something similar to like a pitcher needing Tommy John, just an inevitable thing that was going to happen sooner or later.”

Wow. This isn’t just a one-off thing, either. Thanks to Derek Rhoads at Baseball Prospectus, we can see that there’s a bit of a trend emerging with rib and oblique injuries in hitters.

This might have to do with the mechanics of chasing bat speed. The obliques might fail because the body is having a hard time decelerating from its top speed as it turns.

“When we move athletically and naturally, deceleration is built in,” Latta said. “If the front shoulder moves off, you lose that natural decel.”

“We’ve noticed a strong correlation with some movement pattern red flags of the lower half and how the body handles that force up and the chain,” the Pirates’ Haines said. “That leads to not only oblique but lead arm shoulder injuries as well.”

How that deceleration is trained — some places use water bags , others emphasize mechanics — is important and a big matter of debate. It’s hugely important as bats will probably begin to move faster over time if the past is prologue. But pitchers and hitters might also benefit from an even simpler approach: tracking their workloads. Just as a pitcher throws bullpens and has to track how often he puts in game-like effort in a training environment, the hitter should do the same to avoid fatigue and injury.

“Yeah, we swing a ton,” said Oakland’s Zack Gelof , who is on the injured list for an oblique injury. “They track workload like how much we run and stuff in the weight room but not swings.”

Less might be more for batters trying to grind their way to bat speed and success in the major leagues, too. Especially on game day.

“We shut people down,” Latta said. “I tell them we’ve got some time, but we have to get the point across and do this work in the cage in a short time frame, because once your body is tired, you start compensating.”

“Overall, something Dustin Lind and I got into when in San Francisco together, was thinking of our ramp-ups through the lens of a physical therapist,” the Rangers’ Ecker said. “Could we get the central nervous system to only ramp up twice before a game? We felt like that, as simple as it sounds, was a massive win in a space that’s used to guys swinging 350 times before a game. There’s a reason pitchers don’t throw four bullpens before they start that night.”

Some teams are using wearable tech to monitor hitters’ fatigue as well as pitchers’, and that’s going to be more important. Because, as these stats become more accepted in the public space and hitters and coaches see the correlations between bat speed and power, and hitters begin to train for bat speed specifically, these injuries might become even more commonplace.

We can learn from the past, and do our best to mitigate the effects we’ve seen before from similar enterprises, but we might not be able to escape it as hitters chase bat speed.

“There’s a maximum the human body can handle, and we’re pushing up on it,” Rooker said. “Long enough timeline, the body adapts and evolution takes place, but as far as what it can handle right now, we’re reaching the top end of it.”

(Photo of Triston Casas: Lindsey Wasson / Associated Press)

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Eno Sarris is a senior writer covering baseball analytics at The Athletic. Eno has written for FanGraphs, ESPN, Fox, MLB.com, SB Nation and others. Submit mailbag questions to [email protected]. Follow Eno on Twitter @ enosarris