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pan1/2013 ENVIRONMENTAL IMPACT ASSESSMENT
PLA
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ING
AD
VICE N
OTE
PLANNING SERIES
PLANNING SERIES:
• Scottish Planning Policy (SPP) isthestatementoftheScottishGovernmentpolicyonnationallyimportantlanduseplanningmatters.
• National Planning Framework (NPF) istheScottishGovernment’sstrategyforScotland’slongtermspatialdevelopment.
• Circulars, whichalsoprovidestatementsoftheScottishGovernment’spolicy,containguidanceonpolicyimplementationthroughlegislativeorproceduralchange.
StatementsofScottishGovernmentpolicyintheSPP,NPF,DesigningPlaces,DesigningStreetsandCircularsmaybematerialconsiderationstobetakenintoaccountindevelopmentplansanddevelopmentmanagementdecisions.
DesigningPlaces,DesigningStreetsandtheWestEdinburghPlanningFrameworkhavethesamestatusindecision-makingastheSPPandNPF.
Planning Advice Notes (PANs) provideadviceandinformationontechnicalplanningmatters.
Design Advice Guidance willprovideguidanceandinformationondesignmatterscoveringarangeofpracticalprojectsandroles.
FurtherinformationontheScottishGovernment’sroleintheplanningsystemisavailableonhttp://www.scotland.gov.uk/Topics/Built-Environment/planning
PLANNING ADVICE NOTE 1/2013: Environmental Impact Assessment
CoNtENtS Page
1. Introduction 2
2. Aims of Environmental Impact Assessment 3
Environmentalinformationandtheplanningprocess 3
3. Key Principles 4
4. Integration with Planning Procedure 5
MainstepsoftheEIAprocess 5
Multi-stageconsents 6
Projectinitiation 7
Considerationofalternatives 8
Screening 8
Scoping 10
Publicityandconsultation 12
TheNon-TechnicalSummary 13
Reviewing&evaluatingtheEnvironmentalStatement 13
EIAanddecision-making 16
Securingmitigation 16
Cumulativeeffects 17
5. Proportionality 19
Identifyingsignificantenvironmentaleffects 19
Earlyandrobustscreening 19
SmarterScoping 19
PreparationandcontentoftheEnvironmentalStatement 20
6. More Efficient Resourcing 21
EIAandHabitatsRegulationsAppraisal 21
SEAandEIA 21
Multi-regimeconsents 22
CostsandbenefitsofEIA 22
7. Further information 23
8. Glossary 24
PLANNING ADVICE NOTE 1/2013: Environmental Impact Assessment2
1. INtRoDuCtIoN1.1 EnvironmentalImpactAssessment(EIA)isaprocesswhichidentifies
theenvironmentaleffects(bothnegativeandpositive)ofdevelopmentproposals.Itaimstoavoid,reduce,andoffsetanyadverseimpacts.
1.2 ThisPANexplainstheroleofindividualplanningauthoritiesandthatoftheConsultationBodiesinEIA,aswellasprovidingguidanceonthewaysinwhichEIAcanbeintegratedintotheoveralldevelopmentmanagementprocess.Itisalsointendedasapointofreferencefordevelopersandtheirconsultants–whoundertaketheenvironmentalassessmentandreportthefindingsonbehalfoftheirclient–ontheroletheytoohavetoplayinworkingtowardtheScottishGovernment’saimofmoreefficientandeffectiveEIA.ThisPANdoesnothoweverprovideanydetailedtechnicalguidanceonhowtoundertakeanenvironmentalassessment,otherthantosetoutwhatplanningauthoritiesandtheConsultationBodieswillexpecttoseeinanEnvironmentalStatementwhichisbothproportionateand‘fitforpurpose’.
1.3 ThisPANconcernsEIAsundertakenwithinthePlanningEIAregime,asrequiredbyTheTownandCountryPlanning(EnvironmentalImpactAssessment)(Scotland)Regulations20111(‘theEIARegulations’).SeparateguidanceisavailableinconnectionwithotherScottishEIAregimes,forexampleinrelationtoMarineLicensingProcedures,orEnergyConsents.
1 SSI2011No.139.
PLANNING ADVICE NOTE 1/2013: Environmental Impact Assessment 3
2. AIMS oF ENvIRoNMENtAL IMPACt ASSESSMENt
2.1 EIAaimstoensurethatthelikelyenvironmentaleffectsofadevelopmentproposalareproperlyunderstoodbeforeanydevelopmentconsentisgranted.EIAthereforeprovidesameansofassessingthelikelysignificantenvironmentaleffectsofaproposal,andthepotentialforavoiding,reducingoroffsettinganyadverseimpacts,inamannerwhichisbothsystematicandtransparent.
Environmental information and the planning process
2.2 Forthemajorityofapplicationstheusualplanningprocessprovidesameansofassessingtheenvironmentaleffectsofaproposal,andtheabsenceofaformalEIAdoesnotmeanthatenvironmentalissuesarenotbeingconsidered.Planningauthoritieshaveattheirdisposalwiderangingdutiesandpowerstocollectandevaluateinformationfromconsulteesandtheapplicantbeforedetermininganyplanningapplication.However,incaseswhereaproposalislikelytohaveasignificantenvironmentaleffectbyvirtueoffactorssuchasitsnature,scaleorlocation,thesepowersarefurthersupplementedbytheproceduressetoutintheEIARegulations.
PLANNING ADVICE NOTE 1/2013: Environmental Impact Assessment4
3. KEy PRINCIPLES3.1 ThefollowingkeyprinciplesshouldunderpintheEIAofindividual
developmentproposals,andarefurtherconsideredwithinthisPlanningAdviceNote:
• Integration (section 4); MeetingtherequirementsoftheEIARegulationsshouldformthestartingpointforanyEIA,andtiminganddeliveryofEIAoutputsatappropriatestagesinthewiderdevelopmentmanagementprocessarekeytoachievingthis.Atthesametime,PlanningAuthorities,theConsultationBodies,anddevelopersalikewillwishtoensurethefullbenefitsofEIAarerealisedthroughtheearlyconsiderationofenvironmentalissuesbeforeanyplanningapplicationissubmitted.EIAisaniterativeprocesswhichaimstoensureearlyconsiderationofenvironmentalissuesatallstagesofprojectdevelopment.Inthisway,EIAcanleadtoimprovementsindesign,includingtheintegrationofmitigationmeasures,whichcanleadtocostandotherresourcesavings.EIAcanalsogenerateaddedvaluebydeliveringnetenvironmentalgain,aswellasprovidingaframeworkforengagingwiththepublic.
• Proportionality (section 5); EIAsshouldbefitforpurpose.Excessivelylong,repetitiveandpoorlyco-ordinatedEnvironmentalStatements(ESs)canproveabarriertoinformeddecision-making.EnvironmentalStatementsarebytheirverynaturetechnicaldocuments,equallyhowevertheymustbewritteninamannerthatisaccessibletotheplanningauthorityasthedecision-maker;totheConsultationBodies,andalsotothepublic.ProportionalitycanbestbeachievedbyseekinginformationfromtheplanningauthorityandtheConsultationBodiesonthescopeoftheassessment,payingattentiontotheirviewsfromtheoutset,andbyfocusingonthesignificantenvironmentaleffectsoftheproposeddevelopment.Developersandtheiragents,planningauthoritiesandtheEIAconsultationbodiesallhaveresponsibilitiesinthisrespect.
• Efficiency (section 6); Throughitsearlyconsiderationofthelikelyenvironmentaleffectsofdevelopmentplanallocations,SEAprovidesnewopportunitiestostrengthenandstreamlineprojectlevelEIA,particularlyatscreeningandscopingstagesandbyhighlightinganystrategicmitigationmeasureswhichmayberelevantatprojectdesignstage.Earlyidentificationofotherproject–levelassessmentorinformationrequirements,includinganysurveysrequiredtobeundertaken,canalsohelptoidentifyopportunitiesforgreaterco-ordination,andhelptominimisesubsequentdelays.
PLANNING ADVICE NOTE 1/2013: Environmental Impact Assessment 5
4. INtEGRAtIoN WItH PLANNING PRoCEDuREMain steps of the EIA process
4.1 EIAisaniterativeprocess.Whilsttheoverallprocessmaybesubdividedintoanumberofsteps,inpracticetheprocessrarelyproceedsinasimplelinearfashion.Forexample,earlyassessmentmayidentifyasignificantadverseimpactwhichcanonlybeovercomebyalteringtheprojectdesign,sotheprocessrevertsbacktothefirststepbutstatutoryproceduressuchasscreeningandscopingdonotnecessarilyhavetoberepeated.Figure1illustrateshowthekeystagesofasimplifiedEIAprocessmightalignwithtypicaldevelopmentmanagementprocedures.
Figure1:KeystagesinasimplifiedEIAprocess
Project initiation &early engagement*
(pages 5-8)
Screening: Is EIA required?
Scoping: What are the key issues to be assessed?
Submission & consideration of EIA application;statutory consultations undertaken.
(pages 9-11)
Publicity & ES & NTS published Consultation and consulted on.
Review & Authority to consider ES inEvaluation light of representations received.
Determination ofthe application:refuse/approve/approve withconditions.
(pages 11-13)
Decision-making: Authority to secure mitigation where relevant, and any post-consent monitoring.
* Includinganypre-applicationdiscussionswiththeauthorityandconsultees;anypre-applicationconsultationswithcommunities,andanyprocessingagreement.See‘furtherreading’.
PLANNING ADVICE NOTE 1/2013: Environmental Impact Assessment6
Multi-stage consents
4.2 TheEIADirectiverequiresanassessmentoftheeffectsofcertainprojectsontheenvironmentbeforea‘developmentconsent’isgranted,andtheEuropeanCourtofJustice2hasdefined‘developmentconsent’astheconsent(s)whichallowthedevelopmenttoproceed.Consequently,whereagrantofeitherplanning permission in principleor planning permission in fullismadesubjecttoplanningconditionswhichrequirethegrantoffurtherapprovalsorconsents,thesubsequentapprovalsorconsentscanberegardedaspartofa‘multi-stagedevelopmentconsent’.Anexamplemightbeawastewatertreatmentworksgrantedplanningpermissioninprinciple,withdetailssuchasthebuildingheight,buildingmaterialsetc.requiringsubsequent,moredetailedapprovals,fromtheplanningauthority.
4.3 Inpractice,screeningand–whererequired,EIA–shouldcontinuetobeundertakenattheearliestpossiblestage,beforetheprincipaldecisionismade(i.e.beforethedecisiononwhethertogranteitherplanningpermissioninfullorinprinciple).However,ifthelikelysignificantenvironmentaleffectsofaprojectarenotfullyidentifiedatthetimeoftheprincipaldecision,EIAmustbeundertaken(eitherforthefirsttimeorthroughthesubmissionofanupdatedEnvironmentalStatement)beforethefurtherapprovalorconsentisgranted.Detailedproceduraladviceonmulti-stageconsentsisprovided–see‘furtherreading’fordetails.
Key message:Authorities should take steps to minimise the risk that an EIA is required either for the first time after a grant of planning permission has been made (in principle or in full), or that any previously submitted ES needs to be updated, before a subsequent consent can be granted. This risk can be minimised by:
• Ensuring that EIA is done fully from the outset, where required.
• Ensuring that screening decisions are robust, and that reasons for the decision are retained on record.
• Ensuring that planning permissions are conditioned by reference to the development parameters considered in the ES.
2 EuropeanCourtofJusticecasesC-201/02andC-508/03refer.
PLANNING ADVICE NOTE 1/2013: Environmental Impact Assessment 7
Applications for planning permission in principle: Dealing with uncertainty
4.4 Whereanapplicationforplanningpermissioninprincipleisusedtoestablishtheacceptabilityofaproposalwithouthavingfirstdevelopeddetailedproposals,therequirementsoftheEIAregulationsmuststillbemetinfull.Generallyspeaking,themoredetailedanapplicationis,theeasieritwillbetoensurecompliancewiththeEIARegulations.However,byapplyingtheprinciplesofanapproachcommonlyknownasthe‘RochdaleEnvelope’itispossibletoundertakeanenvironmentalassessmentwhichtakesaccountoftheneedforflexibilityinthefutureevolutionofthedetailedprojectproposal,withinclearlydefinedparameters.Insuchcases,thelevelofdetailoftheproposalsmustbesufficienttoenableaproperassessmentofthelikelyenvironmentaleffects,andanyresultantmitigationmeasures–ifnecessaryconsideringarangeofpossibilities.Assumptionsshouldalsobeclearlystated.Forlinkstosourcesofinformationonthe‘RochdaleEnvelope’approachsee‘furtherreading’.
4.5 Inpractice,applicantsarestronglyencouragedtodiscusswiththeplanningauthorityandtheConsultationBodiesthelikelyscopeandcontentofanyEnvironmentalStatementrequiredinconnectionwithanapplicationforplanningpermissioninprinciple,beforetheapplicationissubmitted.
Project initiation
4.6 ByidentifyingtheneedforEIAattheearliestpossibleopportunity,beforeanyplanningapplicationissubmitted,planningauthoritiesanddevelopersalikecanhelptoensurethefullbenefitsofEIAarerealisedtoallconcerned.Environmentalissuesshouldbeconsideredattheearlieststagesofaproject,anditwillbeimportanttoassembleaprojectteamwhichincludestheappropriateskillsettoensurethatdesignworkcanproceedintheknowledgeofanyenvironmentalconstraintsandissues.Earlyengagementwiththeconsultationbodiesandwiththeplanningauthoritycanbebeneficialinthiscontext,forexamplethroughpre-applicationdiscussionswiththeauthorityandconsultees,andanypre-applicationconsultationswithcommunities,whereapplicable.TheuseofprojectmanagementtoolssuchasPlanningProcessingAgreementswilldevelopasharedunderstandingandexpectationoftheprocessesinvolved,andcanhelptoidentifywhatinformationisrequired,andfromwhom,andinthesettingofagreedtimescalesforthevariousstagesoftheprocess.Finally,earlyengagementcanhelptopreventcostlymistakesanddelayslaterintheplanningprocess,aswellasintheidentificationofopportunitiestobuildmitigationmeasuresintothedesignstages,whichcanleadtoefficiencysavings.See‘furtherreading’formoreinformationonPlanningProcessingAgreements.
PLANNING ADVICE NOTE 1/2013: Environmental Impact Assessment8
Consideration of alternatives
4.7 WhilsttheDirectiveandtheRegulationsdonotexpresslyrequiretheapplicanttostudyalternatives,thosealternativeswhichareinanycaseconsideredaspartoftheprojectplanninganddesignprocessmustbeassessed,andanoutlineofthemainalternativesstudiedbytheapplicantincludedintheES.TheESmustalsogiveanindicationofthemainreasonsforthechoicemade,takingintoaccounttheenvironmentaleffects.
4.8 Thenatureofcertaindevelopmentsandtheirlocationmaymaketheconsiderationofalternativesitesamaterialconsideration.Insuchcases,theESshouldrecordthisconsideration.Moregenerally,theconsiderationofalternatives(includingalternativesites,choiceofprocess,andthephasingofconstruction)iswidelyregardedasgoodpractice,resultinginamorerobustapplicationforplanningpermission.Whilstoptionevaluationistraditionallyundertakenintermsofeconomicandengineeringfeasibility,atthisstageitisworthwhiletakingtheenvironmentalimplicationsofoptionsintoaccount(particularlyasthemitigationmeasuresassociatedwiththesemayhavedifferingcostandprogrammeimplications).
Screening
4.9 Inpracticethereareoften2stepsintheEIAscreeningprocess:
Step 1–istheproposaleither‘schedule1’or‘schedule2development’?
Experiencehasshownthatsometypesofschedule2developmentcanbeeasiertoidentifythanothers.ItisimportanttorememberthattheUKCourtswillinterprettheEIAregulationsinthecontextoftheEuropeanDirective–i.e.ashavinga“widescopeandbroadpurpose”.Detailedguidanceoninterpretingtheschedulesisavailable–see‘furtherreading’.
Step 2(forschedule2developments)–istheproposallikelytohaveasignificanteffectontheenvironment?
TheplanningauthorityisresponsiblefordecidingwhetheranEIAisrequiredforschedule2development(anEIAisalwaysrequiredforschedule1development).Thisdecisionmustbemadeonacasebycasebasis.
PLANNING ADVICE NOTE 1/2013: Environmental Impact Assessment 9
Determining ‘significance’
4.10Forschedule2development,thekeyquestiontoconsideriswhethertheparticularproject,byvirtueoffactorssuchasits“nature,sizeorlocation”islikelytohavesignificanteffectsontheenvironment.Wherethisisthecase,EIAmustalwaysbecarriedoutandthereisnodiscretionnottorequireEIAsimplybecauseinformationabouttheprojectisavailablefromothersources.Inmostinstances,authoritieswillneedtoconsiderthecharacteristicsofthedevelopmentincombinationwithitsproposedlocation,toidentifythepotentialforinteractionsbetweenthedevelopmentanditsenvironment,andwhetherthesearelikelytobesignificant.Inallcases,planningauthoritiesmusttakeaccountoftheselectioncriteriainschedule3oftheEIARegulations,including:
• Theextentoftheimpact(geographicalareaandsizeoftheaffectedpopulation)
• Themagnitudeandcomplexityoftheimpact
• Theprobabilityoftheimpact
• Theduration,frequencyandreversibilityoftheimpact.
4.11AuthoritieswillnotusuallyconsulttheConsultationBodiesatscreeningstage.However,if–havingundertakentheirinitialassessment–anauthorityremainsindoubtaboutthesignificanceoftheeffectofaproposeddevelopmentonaparticularaspectoftheenvironment,theymaywishtoseekadvicefromtheappropriateConsultationBody.Ifrequestingadvice,Planningauthoritiesshouldmakecleartheissueinquestion.
Screening tools
4.12ThedecisiononwhetherornotEIAisrequiredforschedule2developmentrequirestheexerciseofprofessionaljudgement,takingintoaccountthefactorsoutlinedabove.Inmanycasesthisjudgementwillbestraightforwardandascreeningopinioncanbeissuedveryquickly.Forborderlinecasesthedecisionmaytakeslightlylonger.Itwillhoweverbeimportanttoensureinallcasesthatthereisaclearaudittrailrecordingthereasonswhyaparticulardecisionhasbeenreached.
PLANNING ADVICE NOTE 1/2013: Environmental Impact Assessment10
4.13Thereisarangeofwidelyavailablescreeningtoolssuchaschecklistswhichcanaidinthescreeningprocess,whetherusedindividuallyorincombination.Thereisnorequirementtousesuchchecklists,howevertheycanaidintransparency.
Key message:Keeping a clear record of your decisions and the reasons for them ensures transparency and can help to demonstrate that a robust decision has been made. It can also help to reduce the risk of successful legal challenge.
Mitigation in screening
4.14Theextenttowhichmitigationorothermeasuresmaybetakenintoaccountinscreeningdependsonthefactsofeachcase.Inreachingascreeningopinion,authoritieswillwishtohaveregardtotheamountofinformationavailable,theprecautionaryprincipleandthedegreeofuncertaintyinrelationtothelikelyenvironmentalimpact.Insomecases,suchmeasuresmayformpartoftheproposal,orbesoplainlyandeasilyachievablesothatitmaywellbepossibletoreachaconclusionthatthereisnolikelihoodofsignificantenvironmentaleffects.Equally,theremaybecaseswheretheuncertaintiesaresuchthatEIAmustberequired.
SCoPING
4.15ScopingistheprocessofdeterminingthecontentandextentofmatterstobecoveredbytheEIAandtheresultingEnvironmentalStatement(ES).Thepurposeofscopingisto:
• identifythekeyissuestobeconsidered
• identifythosematterswhichcaneitherbescopedoutorwhichneednotbeaddressedindetail
• discussandagreeappropriatemethodsofimpactassessment,includingsurveymethodologywhererelevant.
Thescopingprocessshouldalsobeusedtoidentifyanyotherprojectlevelassessmentorsurveyobligationswhichmayapply.
PLANNING ADVICE NOTE 1/2013: Environmental Impact Assessment 11
4.16ThereisnostatutoryrequirementforadevelopertoconsulteithertheplanningauthorityortheConsultationBodiesbeforedeterminingthecontentoftheES,howeverthereareclearadvantagesindoingso.Whereadeveloperchoosestorequestaformal‘scopingopinion’fromtheplanningauthority,theplanningauthorityisrequiredtoconsulttheConsultationBodiesbeforeissuingtheiropinion.
4.17Whetherornotaformalscopingopinionisrequested,caseofficersshouldencouragedeveloperstoengagewiththeplanningauthorityandtheConsultationBodiesduringtheearlystagesofaproject.Non-statutorypre-applicationdiscussionsbetweenthedeveloper,theplanningauthorityandthekeyagenciespresentakeyopportunitytodiscussthescopeandcontentoftheEnvironmentalStatement.Suchdiscussionscanhelptoidentifythemainissuesquicklyandeffectively,andcanassistinscopingoutissuesunlikelytohavesignificanteffects(seesection5on‘proportionality’inEIA).Inadditiontoanynon-statutoryengagement,whereanapplicationisfor‘national’or‘major’development(includingall‘schedule1development’),pre-applicationconsultationwiththeCommunitymusttakeplace,offeringfurtheropportunitytohelpinformthecontentoftheEIA.
4.18Whereaformalscopingopinionisrequested,effectivecommunicationbetweenthedifferentpartiescanhelptoidentifyandmanageanyconflictingviewsfromtheoutset,shouldthesearise.WhenconsideringandinterpretingresponsesfromtheConsultationBodies,planningauthoritieswillinanycasewishtobealerttoanyinconsistencies,whetherinrelationtotheproposedcontentoftheassessmentorwithregardtothemethodsofstudytobeemployed.BoththeplanningauthorityandConsultationBodieswillwishtoensurethatanysurveyrequirementsarereasonable.
4.19Planningauthoritiesmaywishtoconsiderrequestinga‘scheduleofmitigation’whichcanaidthesubsequentdraftingofanyconditionsattheconsentingstage.Seeparagraphs4.30to4.31on‘securingmitigation’.
PLANNING ADVICE NOTE 1/2013: Environmental Impact Assessment12
Scoping tools
4.20Therearearangeofwidelyavailablescopingchecklistsandothertoolswhichauthoritiesmaychoosetouseiftheywish.See‘furtherreading’forexamples.
Key message:Comprehensive and informed scoping of EIA forms the foundation of a focused assessment. There are real benefits to be gained from effective scoping which can help to:
• Identifythemainissuesquickly-thiswillhelpshortenandfocusthe Environmental Statement making it more accessible and proportionate.
• Avoiddelaylaterintheapplicationprocess,forexamplebydemonstrating why those matters which have been scoped out need not be assessed, or need not be assessed in detail.
• ImprovetheplanningoftheEIAprocess.
• Facilitatewiderangingconsultation,whereappropriate.
Scoping also provides an opportunity to:
• IdentifypotentialoverlapsbetweenEIAandanyotherassessmentrequirements (see section 6 for further information on efficient resourcing).
• Giveanearlyindicationofwheremitigationmeasuresmaybenecessary.
Publicity and consultation
4.21TheEIAprocessisexpresslyintendedtoensurethattheConsultationBodiesandthepublichaveopportunitytoexpresstheiropiniononboththedevelopmentproposalandtheEnvironmentalStatement.Theplanningauthoritymusttakeintoaccountalltheenvironmentalinformation,includingtheresultsoftheconsultationprocess,beforeanydecisionismade.TheEIAregulationsthereforesetoutapublicityandconsultationprocedurewhichmustbefollowedwhenanEnvironmentalStatementissubmittedtoaccompanyaplanningapplication.Whereverpossible,forreasonsofefficiency,thesepublicityandconsultationrequirementsshouldbecombinedwiththerelevantpublicityandconsultationproceduresrequiredundertheDevelopmentManagementProceduresRegulations20133.
3 TheTownandCountryPlanning(DevelopmentManagementProcedure)(Scotland)Regulations2013.SSI2013/155.
PLANNING ADVICE NOTE 1/2013: Environmental Impact Assessment 13
Table 1 – EIA Statutory Consultation Requirements
EIA StageConsult with public
Consult with Consultation Bodies Comment
Screening Exceptionally,planningauthoritiesmaywishtoseekspecialistadvicefromtheConsultationBodiesregardingthesignificanceofanylikelyenvironmentaleffects.Anysuchrequestsshouldbetargetedandspecific.Acopyofthefinalscreeningopinionmustbemadeavailabletothepublic.
Scoping Asamatterofgoodpractice,anddependingonthecircumstancesoftheapplicationconcerned,developersmaychoosetoconsultmorewidelyatscopingstage,forexamplewiththepublicorrelevantNon-GovernmentalOrganisations.Seeparagraphs4.15to4.20forfurtherinformationonscoping.
SubmissionofES
Where‘additionalinformation’issubsequentlyprovided,thismayalsoneedtobepublished.Seeparagraphs4.27to4.28below.
the Non-technical Summary
4.22ThepurposeofaNon-TechnicalSummary(NTS)istoensurethatthekeypointsoftheEScanbemorereadilyunderstoodbynon-experts,andthepublic.Itmayalsohelpdirectdecision-makerstothemainfindingsof,andthemitigationmeasuresproposedwithin,theES.TheNTSshouldthereforeprovideanobjectivesummaryofthefindingsoftheEIAandshouldavoidbeingpromotionalinnature;itshouldsetoutthemainfindingsoftheESinaccessible,plainEnglish.
Reviewing & evaluating the Environmental Statement
4.23TheESisthemostvisiblepartoftheEIAprocess,andoughttobethemainsourceofenvironmentalinformationavailabletotheplanningauthority.However,inadditiontoreviewingandanalysingthecontentoftheES,theplanningauthoritywillalsowishtoaddtothisinformationwherenecessary:Thecaseofficerwillwishtoconsiderrepresentations
PLANNING ADVICE NOTE 1/2013: Environmental Impact Assessment14
fromtheConsultationBodiesandthepublic;theywillalsowishtotakeintoaccountinformationprovidedbythecouncil’sownspecialists,inlightoftheexpertiseofplanningofficersthemselves.Inthisway,thereviewandevaluationprocessinvolvesare-interpretationandreconsiderationoftheESinlightoftherepresentations,tothepointwheretheplanningauthorityhassufficientconfidenceinthenatureofthelikelyimpactsandthenecessarymitigationtodeterminetheapplicationandattachanyconditions.
Key message:The purpose of the ES review is to:
• Providethecaseofficerwithafullunderstandingoftheproject,theexpectedimpactsandthemitigationmeasures.
• Identifyifadditionalinformationorevidenceshouldberequestedfrom the applicant.
• Establishaninitialviewonthekeyenvironmentalissuespriortothereceipt of views from consultees.
• Identifyspecificissuesonwhichtheviewsofconsulteesshouldbesought.
• Beginconsiderationofanyplanningconditionswhichmaybeneeded.
4.24Thereviewandevaluationprocessshouldbeginassoonastheapplicationisregistered.OnreceiptoftheES,thecaseofficermaywishtoreadtheNTStobecomefamiliarwiththegeneralnatureoftheprojectandthemainissues.TheremayalsobemeritincheckingtheESagainstthelistofrequiredcontentssetoutintheEIARegulationstogainaninitialoverview.MoststatementsdonothoweverdealwiththeissuesinthesameorderastheRegulations.Authoritiesshouldbearinmindthatthereisnosingle‘correct’wayofpreparinganEnvironmentalStatement,asthenatureofprojects,sites,receivingenvironmentsandassessmentmethodologiesvary.
4.25Duringthereviewthecaseofficerwillidentifythoseissuesonwhichadvicefromspecialistswithinthecouncil(e.g.archaeology,ecology,conservation,landscape,design,environmentalhealth)mayneedtobesought.ThereviewmayalsoidentifyissuesonwhichthespecificviewsoftheConsultationBodieswillberequired,inwhichcasetheConsultationBodiesshouldbeadvisedaccordinglyfromtheoutset.Theadvicefromallthesesourceswillalmostalwaysbesufficientbut–insomeparticularlychallengingortechnicallycomplexcases–planningauthoritiesmayconsideritappropriatetoenlistthehelpofaconsultantorotherbodytoreviewtheES.
PLANNING ADVICE NOTE 1/2013: Environmental Impact Assessment 15
Evaluation checklists
4.26Avarietyofpublishedchecklistsareavailabletoassistinmanagingthereviewandevaluationprocess.Authoritiesarenotrequiredtoutilisesuchtools,buttheymayprovideaconvenientwayofrecordingandsummarisingtheviewsofconsulteesaswellasthoseofthecaseofficer.See‘furtherreading’formoredetails.
Requesting additional information
4.27Ifearlyandeffectiveengagementhasbeenundertaken,andiftheEIAhasbeenofahighqualityandiswellreportedintheES,theworkoftheplanningauthorityandtheconsulteeswillmainlyamounttovalidatingitsmethodsandfindings.IfhowevertheEShassignificantdefects,thereviewwillexposetheseandtheapplicantcanbeaskedtoprovidefurtherinformation.Withinthereviewprocess,itisimportanttodistinguishbetweeninformationthatisrequiredtomakethedecision,andadditionalinformationwhichconstitutesgoodpracticebutisnotnecessarilyrequired.Anemphasisonproportionalitydoesnotprecludethelatterbutemphasisestheimportanceofthetargeteduseofresources,wherefurtherinputsarelikelytobemostmeaningful.
Key message:The planning authority should consider it has sufficient environmental information when:
• Thescaleandimportanceofeachimpact(e.g.emissionstoair)isknown or any remaining uncertainties are unlikely to be resolved through further information/assessment.
• Theeffectsofeachimpactonspecificaspectsoftheenvironment(e.g. landscape) are known or any remaining uncertainties are unlikely to be resolved through further information/assessment.
4.28AthoroughscopingexerciseandagoodEnvironmentalStatementwillminimisethelikelihoodthatadditionalinformationisrequired.Where,exceptionally,thefullevaluationofaparticularissuerequiresasecondcycleofconsiderationthrougharevisedorupdatedEnvironmentalStatement,additionalpublicityandconsultationprocedureswillapply.Publicitymayalsoberequiredintheeventtheapplicantchoosestovoluntarilysubmitadditionalinformationofasubstantivenature.Detailedproceduralguidanceisavailable(see‘furtherreading’).
PLANNING ADVICE NOTE 1/2013: Environmental Impact Assessment16
EIA and decision-making
4.29BeforedetermininganEIAapplication,theplanningauthoritymusttakeintoaccountalltheenvironmentalinformation,includingthecontentoftheES,theviewsofconsultees(includingthepublic)andanyadditionalinformationfromtheapplicant.Followingthatconsideration,theapplicationshouldbedeterminedinaccordancewiththedevelopmentplanunlessmaterialconsiderationsindicateotherwise.EnvironmentalinformationfromtheEIAprocessmaybeamaterialconsideration.
Securing mitigation
4.30TheaimofEIAistoavoid,reduceandoffsetanysignificantadverseenvironmentaleffectsarisingfromaproposeddevelopment.Themosteffectivemitigationmeasuresarethosewhichavoidorpreventthecreationofadverseeffectsatsourceandideallysuchmeasuresshouldbeidentifiedduringtheprojectdesignstage.Seeparagraph6.5on‘costsandbenefitsofEIA’.Theaimshouldbetopreventoravoidtheeffectsifpossible,andonlythenconsiderothermeasures.
Figure2–Themitigationhierarchy
most preferred
least preferred
avoid
reduce
offset
PLANNING ADVICE NOTE 1/2013: Environmental Impact Assessment 17
4.31Wherespecificmitigationmeasuresarerequired,thesemustbeexplicitlysecuredaspartoftheplanningpermission.Forsomemeasuresitwillbeappropriatetodothisbyspecifyingtheminwritingaspartoftheplanningapplication.Forothers,itwillbenecessaryfortheplanningauthoritytoattachthemasconditions,orexceptionallytoincludetheminaplanningobligationunderSection75oftheTownandCountryPlanning(Scotland)Act1997,asamended.AgeneralconditionwhichsaysthatthemattersreferredtointheESshouldbeimplementedshouldnotbeusedandisunlikelytobevalidunlesstheESwasexceptionalintheprecisionwithwhichitspecifiedthemitigationmeasurestobeundertaken.Planningauthoritiesmaywishtorequestascheduleofmitigation,toaidthedraftingprocess.(Ascheduleofmitigationisalsoahelpfulmeansofensuringthatthemitigationmeasuresarecompatibleandwillworktogethertoachievethedesiredaims.)Furtherguidanceonsecuringmitigationisavailable,see‘furtherreading’.
Key message:The most effective mitigation measures are those which avoid or prevent the creation of adverse effects at source. Where specificmitigationmeasuresarerequired,thesemustbeexplicitlysecured as part of the planning permission.
Cumulative effects
4.32Whenconsideringthepotentialimpactofaparticularproposalontheenvironment,planningauthoritieswillwishtotakeaccountof:
• Impact Interactions:Thereactionsbetweenimpactswhetherbetweentheimpactsofjustoneprojectorbetweentheimpactsofotherprojectsinthearea.
• Additive Impacts:Impactsthatresultfromincrementalchangescausedbyotherpast,presentorreasonablyforeseeableactionstogetherwiththeproject.
4.33Cumulativeeffectsarisingfromdifferentelementsofaprojectonenvironmentalreceptors(intra-projecteffects)andfromprojectscombinedwithotheractivities(inter-project)impactsarecommonlyidentified.Thereisnodefinitiveviewonthescopeofactivitiestobeincludedwithininter-projectassessmentstoensurethat‘reasonablyforeseeableactions’areproperlyconsidered.Itwillbeamatterofprofessionaljudgementtoensuretherelevantprojectsandactivities–andtheirenvironmentaleffects–areidentified,takingintoaccountthecircumstancesoftheindividualproposalanditslocation.
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4.34Assessmentmethodsforcumulativeimpactsandinteractionsvary.NotethattheHabitatsRegulationsreferto“in-combination”effects,i.e.theeffectsoftheproposedprojectincombinationwiththoseofotherprojectsinthearea.Thesein-combinationeffectsareincludedinthedefinitionofcumulativeeffectsabove.
Key message:The assessment of cumulative impacts provides an important opportunity to consider and address the impacts of development as a whole, and is likely to be facilitated by effective co-ordination of specialist inputs.
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5. PRoPoRtIoNALIty
Identifying significant environmental effects
5.1 Identifyingsignificantenvironmentaleffectsiscrucial,bothindeterminingwhetherEIAisrequired,andwhendeterminingthescopeandcontentofanyEnvironmentalStatement.
• Whetherornotanenvironmentaleffectissignificantdependsonanumberoffactors.Itisajudgmenttobemadeineachindividualcase.
Key message:Significance is generally determined on the basis of expertjudgement,anditispossiblethatdifferentexpertsmaynotalways agree. To minimise the risk of challenge it is important to ensure that the manner in which significance has been attributed is transparent and repeatable.
Early and robust screening
5.2 EIAismosteffectivewhenusedtoinformtheearlydesignphaseofaproject.Earlyandrobustscreeningdecisionscanhelpto:
• ensureenvironmentalconsiderationsaretakenintoaccountfromtheoutset
• providecertaintytothedeveloper
• avoidEIAbeingundertakingunnecessarily.
Smarter scoping
5.3 ScopinghasanimportantroletoplayinachievingtheScottishGovernment’saimofproportionateandeffectiveEIA.InordertogainthefullbenefitsofEIA,caseofficerswillwishtoencouragedeveloperstoengagewiththeplanningauthorityandwiththeConsultationBodiesduringtheearlyplanninganddesignstagesofaproject.InthiswayEIAcanhelptofacilitatetheearlyavoidanceofadverseeffectsthroughchangestodesignstrategies.SmarterscopingwillalsohelptofacilitateproportionateandefficientEIA,byfocusingresourcesonthesignificantissues.Seeparagraph4.6ontheroleofpre-applicationdiscussions,pre-applicationconsultation,andontheuseofPlanningProcessingAgreementsduringtheearlyprojectinitiationstage.
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Preparation and content of the Environmental Statement
5.4 TheEnvironmentalStatement(‘ES’)istheapplicant’sstatementontheproject,itslikelysignificantenvironmentaleffects,andthemeasuresproposedtomitigateadverseeffects.TheESisthemainoutputoftheEIAprocedureanditfollowsthatanESwhichispoorlywritten,andexcessivelylong,canreducetheoverallvalueofEIAtodecision-makers4.Inadditiontoensuringcompliancewithschedule4oftheEIARegulations–andtoimprovetransparency–developersandtheiragentshavearesponsibilitytoproduceESswhichare;
• Clear & concise – theESshouldcontainaclearanalysisofthesignificantareasofimpact.Itshouldhighlightkeyissuesrelevanttothedecisionandpresenttheminanon-promotionalwaywhichcanbeunderstoodbyall.Technicalappendicesshouldbecross-referencedwhererelevantandproposedmitigationmeasuresshouldbeclearlysign-posted.
• Consistent–theESshouldbeinternallyconsistentandtechnicalterms(e.g.degreesofsignificance)shouldbeclearlydefined.
• Proportionate –theESshouldnotbeoverlylongandshouldmakeuseofannexesfortechnicaldataandinformationwhereappropriate.
5.5 TheNon-TechnicalSummary(seeparagraph4.22above)shouldalsoreflect–inanaccurateandbalancedway–thekeyinformationcontainedintheES.Itshouldbewritteninlanguagewhichisunderstandabletothegeneralpublic.
4 SeeforexampletheInstituteofEnvironmentalManagementandAssessment’s2011SpecialReport:TheStateofEnvironmentalImpactAssessment(EIA)PracticeintheUK.The2008KillianPrettyReview–EnglandpublishedbytheUKGovernment’sDepartmentforCommunitiesandLocalGovernmentisalsorelevantinthisrespect.
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6. MoRE EFFICIENt RESouRCING
EIA and Habitats Regulations Appraisal
6.1 Toreducecostsandavoiddelay,anyoverlapsbetweenEIAandotherprojectlevelassessmentorsurveyrequirementsshouldbeidentifiedattheearliestopportunity,andcertainlyatscopingstage.Thiscouldapply,forexample,incasesaffectingaEuropeanSitewhereaHabitatRegulationsAppraisalisrequiredundertheHabitatsRegulations5.TheEIAcanhelptoavoidduplicationbyidentifyingearlyonwhetherthereareanylikelysignificanteffectsonaEuropeansiteand–wherethisisthecase–ensuringtheEnvironmentalStatementprovidestheinformationnecessarytohelptheplanningauthoritytomakeitsassessmentofwhetheraproposalislikelytohaveadetrimentaleffectontheconservationinterest,andthereforewhethertheymaygrantplanningpermissionfortheproposal.6See‘furtherreading’formoreinformationonHabitatsRegulationsAppraisal(HRA).
SEA and EIA
6.2 StrategicEnvironmentalAssessment(SEA)ofdevelopmentplansoffersanopportunitytostrengthenandstreamlinesubsequentEIAsundertakenatprojectlevel.Byidentifyingenvironmentalissuesatstrategiclevel,theymayhelptoinformthescreeningandscopingstagesofEIA,aswellasprovidinganearlyindicationofanyadditionalsurveyworkwhichmayberequired.
6.3 ThereisconsiderablepotentialforstrengtheningthelinksbetweenSEAandEIA,tofacilitatemoreproportionateapproachestoprojectlevelplanningandassessment.Inparticular,itmaybeusefultousethesignificanteffectsidentifiedinaprecedingSEAasastartingpointforEIAscreeningandscopingattheprojectlevel.StrategicmitigationmeasuresidentifiedthroughtheSEAcanalsohelpinformproject-leveldesign,whererelevant.SEAalsoprovidesanidealopportunitytoexplorepotentialforcumulativeeffectsatanearlystageintheprocessofdevelopingmultipleprojectswithinagivenarea.
Key message:Environmental effects identified in a plan-level SEA can help to inform EIA screening and scoping at the project level.
5 TheConservation(NaturalHabitats,&c.)Regulations1994,asamended.
6 NotethattheAppropriateAssessmentusesdifferenttestsfromthoseusedinEIA.DeveloperswillwishtoconsidersupplyingtheinformationtosupporttheAppropriateAssessmentinanannex,clearlysettingoutthepotentialeffectsoftheprojectontheEuropeansite’sintegrityandconservationobjectives.
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Multi-regime consents
6.4 AsmallnumberofprojectsmayrequiremorethanoneconsentwhichmustbesubjecttoEIA(a‘multi-regimeconsent’),forexampleanoff-shoremarineprojectwithassociatedon-shoreinfrastructure.Wherethisisthecase,earlyandeffectiveengagementwithalltherelevantconsentingauthoritiesandConsultationBodieswillbeparticularlyimportant.Thiswillprovideanopportunitytodiscusswhichconsentswillberequired;theapplicant’sproposedconsentingstrategy;and,thescopeforcoordinatingthedifferentconsentingprocessesandtheirEIArequirements.Inthisway,allpartiescanseektominimiseduplicationwhilstensuringtherequirementsoftheindividualEIAregulatoryregimesaremetinfull.See‘furtherreading’formoreinformationongoodpracticeinmulti-regimeconsents.
Costs and benefits of EIA
6.5 TherequirementtoundertakeEIAcanaddtotheoverallcostofaproject,aswellasintroducingadditionalproceduresassociatedwiththedeterminationoftheplanningapplication.Equallyhowever,EIAcanaddvaluebyensuringthatconsiderationofenvironmentalmattersbeginsattheearliestopportunity,andideallyatprojectinceptionwhenEIAbecomesatoolforsustainabledesign.Earlyactiontoembedmitigationmeasuresfullyintotheprojectatdesignstagecanhelptogeneratecostsavings.Therearenostatutoryproceduresassociatedwiththispreparatorystage,butitisundoubtedlyoneofthemostimportantinensuringthefullvalueofEIAisrealisedtoallconcerned.Takingaccountofenvironmentalconsiderationsatthisstagewillensureabetterproposaland,wherethoseconsiderationsareclearlyandconciselydocumented,shouldleadtoaspeedierdeterminationoftheapplication.
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7. FuRtHER INFoRMAtIoN7.1 ThisPlanningAdviceNoteandfurtherinformationabouttheplanning
systemcanbefoundontheScottishGovernmentwebsiteat:http://www.scotland.gov.uk/topics/built-environment.FormoreinformationonthisPANpleasecontactCaraDavidsonon01312440928oremailcara.davidson@scotland.gsi.gov.uk
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GLoSSARyThefollowingareexplanationsoftermsusedinthePAN,notdefinitions.
Additional information FurtherinformationwhichtheplanningauthoritymayrequiretheapplicanttosubmitinconnectionwithapreviouslysubmittedEnvironmentalStatement;anyotherinformationofasubstantivenaturerelatingtotheEnvironmentalStatement,whichtheapplicanthassubmittedvoluntarily.
Appropriate Assessment Aplanningauthority’sassessmentoftheimplicationsofaproposedprojectforanyEuropeanSite.Whererequired,theappropriateassessmentwillbeundertakenaspartofa‘HabitatsRegulationsAppraisal’.
Consultation Bodies Theconsultationbodiesare:–anyadjoiningplanningauthority,wherethedevelopmentislikelytoaffectlandintheirarea;• ScottishNaturalHeritage• ScottishWater• TheScottishEnvironmentProtection
Agency• TheScottishMinisters(includingHistoric
Scotland)• Otherbodiesdesignatedbystatutory
provisionashavingspecificenvironmentalresponsibilitiesandwhichtheplanningauthorityorScottishMinistersconsiderarelikelytohaveaninterestintheapplication.
Environmental Statement Adocumentordocumentswhichsetsoutthedeveloper’sassessmentofthelikelyeffectsoftheprojectontheenvironment,includingmitigationmeasures,andwhichissubmittedinconjunctionwithanapplicationforplanningpermission.
Environmental Impact Assessment
Aprocesswhichidentifiestheenvironmentaleffects(bothnegativeandpositive)ofdevelopmentproposals.
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Habitats Regulations Appraisal
AtermusedtodescribecertainappraisalproceduresrequiredunderTheConservation(NaturalHabitats,&c.)Regulations1994,asamended.Thetermisoftenusedtoencompassthedecisiononwhetheraproposedprojectshouldbesubjecttoappraisal;the‘screening’processfordeterminingwhetheranappropriateassessmentisrequired,andany‘appropriateassessment’subsequentlyundertaken.
Multi-regime Consents CertainprojectsmayrequiremorethanoneconsentwhichmustbesubjecttoEIA(‘multi-regimeconsents’).Forexample,offshoreprojectswithassociatedon-shoreinfrastructuremayrequirebothplanningpermissionandamarinelicense.
Negative Screening opinion AscreeningopinionissuedtotheeffectthatEIAisnotrequired.
Non-technical Summary Ashort,summarydocumentsettingoutthemainfindingsoftheEnvironmentalStatement(ES)inaccessible,plainEnglish.
Rochdale Envelope Anapproachtoenvironmentalassessmentwhichaimstotakeaccountoftheneedforflexibilityinthefutureevolutionofthedetailedprojectproposal.TheapproachisnamedaftertwocourtrulingsconcerningoutlineplanningapplicationsforaproposedbusinessparkinRochdale.
Schedule 1 Development DevelopmentofadescriptionmentionedinSchedule1oftheEIARegulationswhichalwaysrequiresEIA.
Schedule 2 Development Developmentofatypelistedinschedule2totheEIARegulationswhich;a)meetsanyrelevantcriteriaandexceeds
anyrelevantthresholdsinthesecondcolumnofschedule2;or
b)islocatedwhollyorinpartina‘sensitivearea’asdefinedbytheEIAregulations.
Schedule2developmentrequirescasebycasescreeningtodeterminewhetheranEIAisrequired.
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Screening opinion Theplanningauthority’sformaldeterminationofwhetherornotEIAisrequiredfora‘schedule2development’.
Scoping opinion Theplanningauthority’sformalopinionontheinformationtobesuppliedintheEnvironmentalStatement.
Strategic Environmental Assessment
Aniterativeprocess,whichoffersgreaterprotectiontotheenvironmentbyidentifyingthelikelysignificantenvironmentaleffects(bothnegativeandpositive)ofpublicplans,programmes,andstrategies,duringtheirpreparation.
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ISBN:978-1-78256-846-9(webonly)
TheScottishGovernmentSt Andrew’s HouseEdinburghEH13DG
ProducedfortheScottishGovernmentbyAPSGroupScotlandDPPAS14659(08/13)
PublishedbytheScottishGovernment,August2013