Development Plan
Practice Note
04
Sustainability Appraisal
incorporating Strategic Environmental
Assessment
April 2015
Development Plan Practice Note 4
Sustainability Appraisal incorporating SEA
Preamble
This Development Plan Practice Note is designed to guide planning officers
and relevant users through the key requirements of a Sustainability Appraisal
(SA) and Strategic Environmental Assessment (SEA) and deals primarily with
procedures as well as good practice. It forms part of a series of new practice
notes stemming from the Planning Act (Northern Ireland) 2011 [the
2011Act] and any related subordinate legislation. The emphasis is very much
on advice but where explicit legislative requirements must be followed these
will be made clear.
Where appropriate this practice note will therefore highlight:
•
Relevant legislation;
•
Procedural guidance;
•
Definitions;
•
Best practice examples / relevant case law
This guidance is not intended to replace the need for judgement by planning
officers in the local development plan making process. Nor is it intended to be
a source of definitive legal advice. Reference should be made to the actual
legislation referred to in this document and if any discrepancy or conflict exists
between the Practice Note and legislation the provisions of the legislation will
prevail.
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Development Plan Practice Note 4
Sustainability Appraisal incorporating SEA
1.0
Introduction
1.1
The Regional Development Strategy 2035 (RDS) defines sustainable
development as ‘development that meets the needs of the present
without compromising the ability of future generations to meet their own
needs1’. Furthermore, the Executive’s Sustainable Development
Strategy (May 2010) ‘Everyone’s Involved’ aims to put in place
economic, social and environmental measures to ensure that we can
continue to grow our economy, improve our society and communities
and utilise our natural resources in an environmentally sustainable
manner. The Strategy also intends to strengthen the framework to
address global issues such as climate change.
The Sustainable
Development Strategy sets out six principles as follows:
1.2
•
living within environmental limits;
•
ensuring a strong, healthy, just and equal society;
•
achieving a sustainable economy;
•
promoting good governance;
•
using sound science responsibly; and
•
promoting opportunity and innovation.
In order to help achieve the above, it is important to integrate the
principles of sustainable development into the plan and policy making
process.
2.0
Legislative context
2.1
Section 25 of the Northern Ireland (Miscellaneous Provisions) Act
2006 requires all NI Departments and a council, in exercising their
functions, to act in the way they consider best calculated to contribute
to the achievement of sustainable development.
Section 5 of the
Planning Act (Northern Ireland) 2011 (the 2011 Act) copper-fastens
this duty by requiring those who exercise any function in relation to
1
RDS 2035 Glossary, P. 109
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Development Plan Practice Note 4
Sustainability Appraisal incorporating SEA
local development plans to do so with the objective of furthering
sustainable development.
2.2
Furthermore, Sections 8(6) and 9(7) of the 2011 Act requires an
appraisal of sustainability to be carried out for the Plan Strategy and
Local Policies Plan, respectively. As the sustainability appraisal (SA)
for each of these development plan documents will incorporate an
assessment of environmental effects, it must also comply with the
requirements of the European Directive 2001/42/EC on the assessment
of effects of certain plans and programmes on the environment (SEA
Directive)2.
2.3
The SEA Directive was transposed into Northern Ireland legislation
through the Environmental Assessment of Plans and Programmes
Regulations (Northern Ireland) 2004 (the EAPP (NI) Regulations).
The EAPP (NI) Regulations set out more detailed requirements for the
process and content of the environmental assessment of plans and
development.
3.0
The purpose of SA and SEA
3.1
The purpose of SA is to promote sustainable development through the
integration of social, environmental and economic considerations into
the preparation plans and programmes such as local development
plans. The main difference between SA and Strategic Environmental
Assessment (SEA) is that SA is wider in scope as it covers the social
and economic effects of plans, as well as the more environmentallyfocused considerations of SEA as required by the SEA Directive. The
objective of the SEA Directive is to provide for a high level of protection
of the environment and to contribute to the integration of environmental
considerations into the preparation and adoption of plans and
programmes with the view to promoting sustainable development. The
requirements of the SEA Directive are set out in Annex 1.
2
A Practical Guide to SEA (DCLG) September 2005
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3.2
Sustainability Appraisal incorporating SEA
Similar to SEA, SA must be carried out from the outset and in parallel
with the local development plan preparation process. In doing so it will
help ensure that decisions that are made will help contribute to the
achievement of sustainable development. Whilst the requirement to
carry out a SA and SEA are distinct, it is possible to satisfy both these
requirements through a combined appraisal process.
3.3
SA should help to improve the quality of the plan making process by:
•
raising awareness of the social, economic and environmental
impacts of the plan;
•
facilitating the identification and assessment of reasonable
alternatives for the plan;
•
demonstrating that the plan is the most appropriate given the
reasonable alternatives;
•
providing transparency in the decision making process and
facilitating public participation;
•
3.4
facilitating the effective monitoring of implementation of the plan.
It should be an integral part of the plan making process and perform a
key role in providing a sound evidence base for the plan which will play
an important part in demonstrating if a development plan document is
‘sound3’.
4.0
4.1
SA and Habitats Regulations Assessment (HRA)
The Habitats4 and Birds5 Directives aim to maintain or restore the
favourable conservation status of habitats and species of community
interest. Special Areas of Conservation and Special Protection Areas
are designated to afford protection to habitats and species are listed in
the Habitats and Birds Directives. These designations form a suite of
sites which are collectively known as the Natura 2000 network.
3
Development Plan Practice Note 6 Soundness
Directive 92/43/EEC on the conservation of natural habitats and of wild fauna and flora
5
Directive 2009/147/EC of the European Parliament and of the Council of 30 November 2009
on the conservation of wild birds (this is the codified version of Directive 79/409/EEC as
amended)
4
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Development Plan Practice Note 4
4.2
Sustainability Appraisal incorporating SEA
HRA is required by The Conservation (Natural Habitats, etc.)
Regulations (Northern Ireland) 1995 (as amended). It aims to
assess possible adverse effects on Natura 2000 sites (Special Areas of
Conservation, Special Protection Areas) and Ramsar Sites as a result
of the implementation of policies and proposals contained in plans such
as a PS and LPP. The process of HRA may be undertaken in parallel
with SA however, a council should liaise with the Shared Environmental
Services to ensure that it meets all legislative requirements.
5.0
Role of the Consultation Body in SA and SEA
5.1
The
SEA
Directive
requires
authorities
with
environmental
responsibilities to be consulted at specific stages in the SEA process.
The EAPP(NI) Regulations refer to these authorities as the
‘consultation body’. The consultation body must be consulted by
responsible
authorities
(the
bodies
which
prepare
plans
and
programmes subject to the Directive) in this case a council in the
preparation of its DPD / LDP.
5.2
Regulation 4 of the EAPP(NI) Regulations designates the Department
for the Environment as the ‘consultation body’ and delivery of this
function is led by The Northern Ireland Environment Agency (NIEA). A
council will usually contact the consultation body at four stages during
SEA6:
•
Screening: When determining if a plan or programme requires a
SEA (Article 3(6) of the SEA Directive);
•
Scoping: When deciding on the scope and level of detail of the
information which must be included in the Environmental Report
(Article 5(4));
•
Public consultation: When consulting the public on the draft plan
or programme and the accompanying Environmental Report
(Article 6(2));
6
Strategic Environmental Assessment – Consultation Bodies’ Services and Standards for
Responsibilities, NIEA
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Development Plan Practice Note 4
•
Sustainability Appraisal incorporating SEA
Decision to adopt: When making information available on the
Plan adopted, consultations, decisions made, and monitoring
measures (Article 9(1)).
5.3
As a council must undertake a SA which incorporates the legislative
requirements of SEA, it must also consult the consultation body as part
of the combined SA and SEA process. Whilst a council must consult
the consultation body in relation to environmental issues, it may also
consult other bodies and/or the public depending upon the nature of the
information required e.g. social and economic objectives/issues relating
to SA. Therefore, a council should therefore exercise judgement in
relation to the level of consultation required to ensure that the SA
framework used to appraise the DPD is sufficiently robust and justified.
6.0
Key stages in the SA Process
6.1
As previously mentioned, the SA process should be fully integrated into
the local development plan making process. The SA should be started
at the same time as a LDP and should inform each stage where
decisions are taken. It should also be used for developing
arrangements for monitoring the implementation of the plan, in order to
identify problems and inform the review of the LDP. The SA process
involves the following key stages;
•
Stage A(1): SA Scoping Report - preparation of the
evidence base to inform the appraisal, establishing the SA
framework / objectives for undertaking the appraisal and
seeking agreement with Consultation Body;
•
Stage A(2): SA Interim Report: consists of SA Scoping
Report, assessment of reasonable alternatives against
agreed SA framework and undertaking public consultation
along with the Preferred Options Paper;
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Development Plan Practice Note 4
•
Sustainability Appraisal incorporating SEA
Stage B: Assessment of alternatives and any likely
significant effects of the draft plan against SA
framework, taking into account the evidence base and
where necessary, proposing mitigation measures for
alleviating any adverse effects;
•
Stage C: SA Report to document the appraisal process
and findings;
•
Stage D: Consultation with the public, environmental
authorities and any EU member state affected on the
sustainability appraisal report and draft plan;
•
Stage E: SA Statement to show how the SA and opinions /
consultations have been taken into account, the reasons for
choosing the plan as adopted and the proposed measures
to monitor the plan;
•
Stage F: Monitoring: establishing arrangements to monitor
the significant effects of the implementation of the plan, to
identify
unforeseen
adverse
effects
and
undertake
appropriate remedial action.
6.2
Figure 1 shows the linkages between the key stages of the LDP and
SA process. Whilst there are clear linkages at various stages of both
processes, it is important to note that the preparation of the LDP and
SA should be an iterative process whereby findings at each stage
should be taken into account to inform subsequent stages of the plan
preparation or appraisal process. This may also involve reviewing the
previous stage and where necessary, revising alternatives to enhance
positive effects of the draft plan. This is particularly relevant to the LDP
which consists of two separate but related development plan
documents i.e. the Plan Strategy and Local Policies Plan.
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Development Plan Practice Note 4
Sustainability Appraisal incorporating SEA
Figure 1: Key stages in the LDP and SA process.
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7.0
Stage A (1): Preparation of SA Scoping Report
7.1
Schedule 2(1) to (5) of the EAPP (NI) Regulations set out the
information requirements to establish the context for undertaking an
appraisal of any likely significant environmental effects of implementing
a plan. This is the first stage in undertaking SEA /SA and provides the
basis for the preparation of a scoping report. Although a formal scoping
report is not mandatory, it is considered a useful way to set out the
evidence base and framework of sustainability objectives against which
the social, economic and environmental effects of implementing the
draft plan can be appraised.
7.2
Whilst the scoping phase of SA should commence and run concurrently
with the preparation of the preferred options paper (refer to Fig 1), it
may also be necessary to review and /or update the scoping report at a
later stage of the process to ensure that the content remains reliable
and effective for the appraisal of the subsequent Plan Strategy and
Local Policies Plan.
7.3
The SA Scoping Report should include:
•
a review of other policies, plans, programmes, and objectives
relevant
to the plan
with
information on
synergies
or
inconsistencies;
•
baseline and other information, either already collected or still
needed with notes on sources and any problems encountered;
•
social, environmental and economic problems / issues identified
as a result of work undertaken;
•
the SA framework, including the suggested SA objectives and
indicators (and targets where these are proposed), and how they
were chosen; and
•
consulting on the scoping report in accordance with EAPP (NI)
Reg 11 and setting out the proposals for the structure and level
of detail of the subsequent SA report on the draft plan.
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Development Plan Practice Note 4
Sustainability Appraisal incorporating SEA
Annex 2 sets out suggested content for the SA Scoping Report.
(a)
Review of other policies, plans, programmes and sustainability
objectives relevant to the plan
(i)
The plan must take account of relationships between the plan
and
other
relevant
policies,
plans,
programmes
and
sustainability objectives. The SEA Directive specifically requires
‘the relationship with other relevant plans and programmes’ and
‘the environmental protection objectives at the international,
European Community or national levels which are relevant to
the plan’ to be taken into account (Schedule 2 (1) and (5)).
(ii)
Other relevant documents include a range of other plans and
strategies at both the regional and local level such as the RDS,
A Strategic Planning Policy Statement for Northern Ireland
(SPPS)7, the Sustainable Development Strategy, the NI Marine
Plan and the Biodiversity Strategy. A review of the regional and
local policies, plans and programmes will provide the context for
the preparation of the plan and also influence the options to be
considered.
(iii)
The
review
of
other
policies,
plans,
programmes
and
sustainability objectives relevant to the plan will help to:
•
identify any external social, environmental or economic
objectives that should be taken into account in the SA of
the plan;
•
identify other external factors, including sustainability
issues that might influence the preparation of the plan;
and
7
The SPPS is subject to clearance by the Executive Committee.
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Development Plan Practice Note 4
•
Sustainability Appraisal incorporating SEA
determine whether other policies, plans or programme
might give rise to cumulative effects when combined with
the plan that is subject to SA.
Annex 3 provides an example of how the findings of this review
can be summarised.
(b)
Collecting baseline information
(i)
The collection of baseline information is necessary to meet the
requirements of Schedule 2 (2) and (3) of the EAPP (NI)
Regulations.
However in the wider context of SA, the
requirements for baseline information are similar to SEA but
include social and economic as well as environmental
information
to
determine
the
significant
effects
upon
sustainability as a result of the implementation of the plan.
(ii)
A robust understanding of the baseline position is important in
ensuring a sound evidence base for the plan. Baseline
information can also help to identify sustainability problems
which the plan should seek to address and also provides the
basis for predicting the effects of different options for the plan. It
can also be used as a benchmark to monitor the likely significant
effects of implementing the plan.
(iii)
Baseline information consists mainly of indicators although both
quantitative and qualitative information can be used. It is
advised that baseline information should be collected during the
survey and evidence gathering stages of plan preparation.
(iv)
As the collection of baseline information could go on indefinitely,
a council should adopt a practical approach and consider what
baseline information is required for the SA before embarking on
an extensive data collection exercise and to avoid making the
task overly onerous and time consuming. The level of detail
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should be sufficient to provide a basis for the understanding of
the social, economic and environmental characteristics of the
area likely to be affected by the draft plan and also how the area
would evolve without the implementation of the plan.
(v)
Baseline information should also focus upon the SA topic areas /
objectives to provide the evidence base and help inform the
subsequent appraisal process. It may also be necessary to
include specific baseline information beyond the plan area
depending upon the nature of any likely significant effects of the
policies and proposals contained in the draft plan. The scale of
detail should be proportionate to the level of detail in the plan,
bearing in mind the level of detail needed may differ across the
plan area. For example, more data may be required for areas or
sites which have environmentally sensitive issues.
The SA
report can then focus on these areas where significant effects
are more likely to occur as a result of the implementation of the
plan.
(vi)
A council should also consider appropriate ways to display and
organise their baseline data e.g. colour coded matrices and the
use of overlay maps to highlight particular areas that may
require more detailed assessment. Annex 4 provides a
suggested format for the collection and presentation of baseline
information.
(vii)
There are various methods of obtaining information depending
upon the nature and detail of the evidence required. The main
options are in house from a council’s own data, other strategies
and research work; use of consultants / working with external
stakeholders; joint working with adjoining councils; information
from relevant Departments and local knowledge through
community and stakeholder engagement.
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(viii)
Sustainability Appraisal incorporating SEA
Where there are gaps or difficulties in obtaining information, it
will be important to record any resulting uncertainties or risks to
the SA. Provision should be made to fill in any major gaps and
improve the availability of information through proposed
monitoring arrangements.
(ix)
The baseline information should enable a council to;
•
determine the current state of the social, economic and
physical environment;
•
identify trends to indicate whether the situation is better or
worse or how far it is from reaching any established
thresholds or targets;
•
identify particularly sensitive or important elements of the
social, economic and physical environment which are
likely to be affected e.g. endangered species, vulnerable
groups;
•
identify any problems and/or issues and whether these
are likely to be reversible, irreversible, temporary or
permanent;
•
determine how difficult it would be to offset or remedy any
damage;
•
determine if there have been significant cumulative or
synergistic effects over time or if any such effects would
be expected in the future.
(x)
The main focus of the baseline is to provide details of the
current state of the social, economic and physical environment
likely to be affected by the draft plan. As this data will be used
throughout the SA and plan preparation process, it will need to
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be kept up to date rather than merely providing a snapshot of
the situation at a particular time8.
(c)
Identifying sustainability issues and problems
(i)
The
identification
of
sustainability
issues
(including
environmental problems as required by Schedule 2 (4) of the
EAPP (NI) Regulations) is an opportunity to define key issues
for the local development plan and to develop sustainable plan
objectives and options. A council may identify problems and
issues on the basis of:
•
experience with issue identified in the other policies, plans
and programmes including the Community Plan;
•
identification and analysis of possible tensions or
inconsistencies with other policies, plans, programmes
and sustainability objectives;
•
identification and analysis of possible tensions and
inconsistencies between current and future baseline
conditions;
•
consultation with authorities with social, economic and
environmental
responsibilities
and
other
relevant
stakeholders.
(ii)
Any issues and problems identified should, where possible, be
linked to evidence by reference to baseline information and the
identification of historical or likely future trends.
8
Further information on the collection of baseline data and indicators is provided in ‘A
Practical Guide to the Strategic Environmental Assessment Directive, ODPM, 2005 and
‘From Evidence to Opportunity - A Second Assessment of the State of Northern Ireland’s
Environment’, NIEA, DOE, 2013.
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Development Plan Practice Note 4
(d)
Sustainability Appraisal incorporating SEA
Developing the SA Framework
(i)
The SA framework provides a way in which sustainability effects
can be described, analysed and compared. The SA framework
consists of sustainability objectives which, where practicable,
may be expressed in the form of targets and outcomes, the
achievement of which is measurable using indicators. Although
the SEA Directive does not specifically require objectives to be
developed,
it
is
considered
that
they
can
provide
a
methodological yardstick against which likely significant social,
economic and environmental effects of the plan can be tested.
The objectives of the SA framework should be proportionate to
the level of detail required for the appraisal.
(ii)
SA objectives can also often be derived from sustainability
objectives identified on other plans and programmes or from a
review of baseline information and sustainability problems. SA
objectives will need to address the full cross section of
sustainability issues and should be tailored to the characteristics
of and issues arising in the local area. The development of
objectives must include the topics listed in Schedule 2(6) of the
EAPP Regulations (NI) 2004). It may also be helpful to include
more detailed decision making criteria and related indicators in
the SA framework to help ensure that all the key issues are
considered in the SA. Annex 5 provides an example of a SA
framework.
(iii)
SA objectives are distinct from plan objectives although they
may inform the objectives of the plan. It may be useful to test the
compatibility between the plan and SA objectives to ensure that
both are consistent with each other. Furthermore, some
objectives may be more important than others and therefore it
may be worthwhile, particularly where there are tensions, to give
an indicative ranking of objectives or highlight those which are
considered to be particularly important, e.g. because current
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conditions are problematic or because they are of particular
concern to the public. Annex 6 provides a model template to test
the compatibility of objectives.
(iv)
At this stage, the a council may also wish to include an outline of
the methodology for the appraisal and the proposed structure
and level of detail of the SA report to inform consultees and
interested parties of the next stage of the appraisal process.
(e)
Consulting on the Scoping Report
Consultation Body
(i)
In preparing the Scoping Report, the responsibly authority must
consult the consultation body i.e. Northern Ireland Environment
Agency. Regulation 11(5) of the EAPP (NI) Regulations states
that when deciding on the scope and level of detail of the
information that must be included in the environmental report,
the responsible authority shall consult the consultation body.
Furthermore Regulation 11(6) states that where the consultation
body wishes to respond, it shall do so within the period of 5
weeks
beginning
with
the
date
which
it
receives
the
responsibility authority’s invitation to engage in the consultation.
Transboundary Consultations
(i)
Regulation 13 of EAPP (NI) Regulations sets out the
requirements for transboundary consultation with other Member
states. Whilst not mandatory at this stage of the process, early
engagement with adjoining council(s) in RoI may help to provide
additional baseline information and highlight issues, particularly
where the a council considers that the draft plan may also have
likely significant effects in RoI. A council may wish to notify the
relevant council(s) and Department of Environment Heritage and
Local Government (DEHLG) in the Republic of Ireland of their
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intention to the undertake a SA of the Draft Plan, send a copy of
the SA Scoping Report and initiate informal discussions
regarding transboundary consultations on the subsequent SA
Report.
8.0
Stage A (2): SA Interim Report on POP
8.1
Regulation 11 of EAPP (NI) Regulations sets out the requirements for
the preparation of an environmental report. The report shall identify,
describe and evaluate the likely significant effects on the environment
of implementing the plan and reasonable alternatives taking into
account the objectives and geographical scope of the plan. Schedule
2(8) of EAPP (NI) Regulations also requires an outline of the reasons
for selecting the alternatives dealt with and a description of how the
assessment was undertaken including any difficulties encountered in
compiling the required information. Regulation 15(4) sets out the
information requirements for the adoption of the draft plan which must
include the reasons for the choosing the plan as adopted in light of the
other reasonable alternatives dealt with.
8.2
Reasonable alternatives are the different realistic options available to a
council for delivering the objectives of its local development plan. They
should also be consistent with other aspects of the plan as well higher
level plans and policies and, in the case of the Local Policies Plan, the
Plan Strategy. As an appraisal of alternatives should be carried out for
the POP, PS and LPP, it may be useful to consider alternatives in
terms of a hierarchy to reflect to level of detail or stage in the local
development plan process. For example, the alternatives for the Plan
Strategy may focus on strategic policies to deal with needs / objectives
for the plan whilst alternatives for the Local Policies Plan may focus
more on site specific policies and proposals dealing with the type and
location of development.
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Development Plan Practice Note 4
(a)
Sustainability Appraisal incorporating SEA
Appraisal of reasonable alternatives for POP
(i)
The process of generating and refining options and alternatives
at this stage should run concurrently with the preparation of the
POP. As a council identifies the main issues which need to be
addressed by the plan, it should develop reasonable alternative
approaches to deal with them early in the process. Options at
this early stage should concentrate on key plan issues which are
capable of implementation and represent a range of different
approaches within the realm of the plan. They should also be
sufficiently distinct to enable comparisons to be made.
(ii)
The appraisal of reasonable alternatives against sustainability
issues, as set out in the SA Scoping Report, can help a council
to determine their preferred options for the preparation of
subsequent development plan documents. It will also help to
provide a sound evidence base to justify a council’s preferred
options
and
make
the
decision
making
process
more
transparent.
(iii)
Regulation 11(3) of the EAPP (NI) Regulations refers to the
information to be included in the report, in particular, it states
that the information may take account of the content and level of
detail of the plan, the stage of the decision making process and
the extent to which certain matters are more appropriately
assessed at different levels in that process in order to avoid
duplication of the assessment.
(iv)
A council should therefore exercise judgement in relation to the
level of detail for the SA which should be proportionate to the
POP. The role of the SA is to assist with identification of the
appropriate options, by highlighting the sustainability implications
of
each
and
by
putting
forward
recommendations
for
improvement. The appraisal needs to compare all reasonable
alternatives including the preferred option and assess these
against the baseline environmental, economic and social
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characteristics of the area and also the likely situation without
the implementation of the plan. The appraisal should also take
account of the reviews of other policies, plans, programmes and
sustainability objectives relevant to the plan e.g. RDS and SPPS
and where appropriate, use this as further justification for the
preferred option.
(v)
Any assumptions used in assessing the significance of effects
should be documented. The appraisal should also be an iterative
process, with the options being revised to take account of
appraisal findings. It is not the role of the SA to determine the
option(s) to be chosen for the basis for the POP and subsequent
development plan documents. A council has to decide which is
the most appropriate, using the findings of the SA to inform the
decision making process. Annex 7 provides a model template to
document the appraisal of reasonable alternatives.
(b)
Consulting on the SA Interim Report
(i)
A SA Interim Report, consisting of the SA Scoping Report and
appraisal of alternatives, should be published for consultation
along with the POP. This will facilitate a more meaningful public
consultation process by enabling interested parties to make
more informed judgements when submitting representations on
the POP. Regulation 12 of EAPP (NI) Regulations sets out the
requirements for consultation on an environmental report.
(ii)
Regulation 10 of the LDP Regulations also sets out
requirements for the availability of the POP and its supporting
documents. This includes sending a copy of the POP and its
supporting documents to the consultation bodies for information.
Regulation 11 requires the POP to be subject to a public
consultation period between 8 and 12 weeks.
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Development Plan Practice Note 4
(iii)
Sustainability Appraisal incorporating SEA
Furthermore, if the a council has already engaged with council(s)
in the Republic of Ireland and considers that the plan may have
likely significant effects in the adjoining council in the Republic of
Ireland, it should also send a copy of the POP and
accompanying SA Interim Report and undertake transboundary
consultations as considered necessary.
9.0
Stage B: Appraisal of reasonable alternatives and any likely
significant effects of the draft plan against SA objectives
9.1
This stage of the SA process should be undertaken in parallel with the
preparation of the draft development plan document (Plan Strategy or
Local Policies Plan) building upon existing SA information and taking
account of comments received from the consultation process. At this
stage, a council should review and/or update the information contained
in the SA Scoping Report to ensure that it remains relevant and that the
SA objectives for the appraisal are proportionate to the level of detail
required for the appraisal of the Plan Strategy or Local Policies Plan.
Where changes to the Scoping Report are required, a council should
undertake further consultation with the Consultation Body under
Regulation 11 of the EAPP (NI) Regulations (refer to Stage A(1)(e)).
(a)
Appraisal of reasonable alternatives for Draft Development Plan
Document
(i)
The appraisal for reasonable alternatives for the draft plan
should follow the same methodology used for the appraisal of
options in the POP (refer to Annex 7) and in particular, the
requirements as set out in Regulation 11 and Schedule 2(8) of
EAPP (NI) Regulations. The difference at this stage is that the
range of reasonable alternatives considered should now be
within the context of a council’s preferred options and focus on
the strategic options and policies for delivering the objectives of
the Plan Strategy. Similarly, the Plan Strategy should be taken
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into account in determining the range of reasonable alternatives
to be considered in the SA of the Local Policies Plan.
(ii)
Regulation 11(3) refers to the information to be included in the
report, in particular, it states that the information may take
account of the content and level of detail of the plan, the stage
of the decision making process and the extent to which certain
matters are more appropriately assessed at different levels in
that process in order to avoid duplication of the assessment.
Regulation 11(4) further states that information may be provided
by referring to relevant information obtained at other levels of
decision making or through other Community legislation.
(iii)
A council should therefore exercise judgement in relation to the
appropriate level of detail for the SA and avail of time and
resource savings where possible without compromising on the
quality of the SA. The level of detail should be proportionate to
the PS or LPP and provide a sound justification for the policies
and proposals of the draft plan.
(iv)
As each key location or site can be regarded as a potential
alternative in the LPP, it is important for a council to only
appraise those which are considered reasonable. In order to do
this objectively and enhance the transparency of the process, a
council may wish to use a number of criteria to filter out
alternatives based on a balanced consideration of exclusionary
or deliverability criteria such as consistency with strategic policy
objectives, environmental designations, flood risk, infrastructure
issues etc. This initial stage will help to focus the SA on realistic
local policies and proposals and obviate the need to undertake a
resource intensive and detailed appraisal of every potential key
location or site for the LPP. It will also help to meet the
requirements of Schedule 2(8) and justify the reasons for
selecting the alternatives dealt with in the LPP.
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(v)
Sustainability Appraisal incorporating SEA
A comprehensive appraisal of alternatives for the draft plan is
particularly important at both the PS and LPP stage as a council
may have to consider any likely significant effects of changes to
the draft plan as a result of the independent examination and the
Department’s Binding Report. Regulation 15(4) also sets out the
information requirements for the adoption of the draft plan which
must include the reasons for the choosing the plan as adopted
in light of the other reasonable alternatives dealt with. A council
may therefore have to refer back to the appraisal of alternatives
in
order
to
determine
any
likely
significant
effects
in
circumstances where an alternative option needs to be
considered for the adoption of the plan.
(vi)
A further appraisal may be required if a change substantially
alters the draft plan and may have likely significant effects which
have not previously been appraised. Therefore, a thorough and
robust appraisal of alternatives at this stage may lead to time
and cost savings in the long run. Modifications to the SA should
be proportionate to the level of change being made to the draft
plan. Therefore, changes to the draft plan that are not significant
should not require any further SA. A council will need to exercise
judgement as whether a revised SA report will be required.
(b)
Assessment of the likely significant effects of the draft development
plan document
(i)
Regulation 11 of EAPP (NI) Regulations sets out the
requirements for the preparation of an environmental report.
Furthermore,
Schedule
2(6)
and
2(7)
of
EAPP
(NI)
Regulations deal with the likely significant effects on the
environment and the mitigation measures envisaged to offset
any significant adverse effects in implementing the plan.
(ii)
The purpose of this stage is to assess the likely significant
effects upon sustainability issues as a result of implementing the
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draft development plan document. This involves appraising the
policies and proposals of the draft plan against SA objectives as
set out in the SA Scoping Report. A council will have to exercise
judgement as to whether an effect is likely to be significant and
ensure a consistent approach is applied throughout the
appraisal.
The significance of the effect will depend on the
character, quality and sensitivity of the environment affected by
the draft plan as well as the scale, magnitude and frequency of
the effect. Schedule 1of the EAPP (NI) Regulations sets out
criteria for determining the likely significance of effects on the
environment.
(iii)
Schedule 2(6) of EAPP (NI) Regulations requires the appraisal
to include short, medium and long-term effects, permanent and
temporary effects, positive and negative effects, and secondary,
cumulative and synergistic effects. Secondary effects are effects
that are not a direct result of the plan, but occur as a result of an
original or direct effect. Cumulative effects can arise where
several developments each have insignificant effects but
together have a significant effect or where several individual
effects of the plan (e.g. noise, dust and visual) have a combined
effect. Synergistic effects interact to produce a total effect
greater than the sum of the individual effects. For example,
synergistic effects can often happen as habitats, resources or
human communities get close to capacity9.
(iv)
When forming a judgement, a council will need to consider the
probability, duration, frequency and the reversibility of the effects
with particular reference to baseline information such as the
current state of the environment, the characteristics of the area
likely to be affected and any existing problems relevant to plan.
In addition, a council should also take account of the
requirements stemming from its review of other policies, plans,
9
Annex 8 A Practical Guide to the Strategic Environmental Assessment Directive, ODFM,
2005 provides further detail on the assessing secondary, cumulative and synergistic effects.
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programmes and sustainability objectives relevant to the plan.
The consideration and integration of baseline information and
other plan and policy objectives into the appraisal process will
help to provide a sound evidence base to justify a council’s
findings and enhance transparency in the SA process.
(v)
Where the appraisal identifies any likely significant adverse
effects, information should be provided on the measures
envisaged to prevent, reduce and, as fully as possible, offset
them. These may also include proactive avoidance of adverse
effects as well as recommendations for improving the beneficial
effects of the PS or LPP. Mitigation may include contingency
measures and bringing forward new options, refining policies,
technical measures e.g. buffer zones and design principles,
proposals for EIAs as well proposals for changing other plans
and programmes.
(vi)
The
use
of
matrices
can
provide
a
systematic
and
comprehensive method of appraising and recording different
types of effects and accompanying comments to justify a
council’s findings. Maps and overlays of spatial data may also
be useful to highlight problems and vulnerable areas that may
require more detailed assessment.
Furthermore, if there are
any uncertainties or limitations in the information arise during the
appraisal of effects, these should be documented in order to
help improve the subsequent SA for the LPP.
(vii)
Whilst the SA process will remain largely the same, the
appraisal of the LPP stage should be more detailed and
proportionate to the content of the draft plan. For example, SA at
the LPP stage may focus more on spatial proposals and specific
local policies compared to the SA of the strategic objectives and
policies of the PS.
Annex 8 provides a model template to
document the appraisal of likely significant effects.
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10.0 Stage C: Preparation of the SA Report
10.1 Regulation 11 and Schedule 2 of EAPP (NI) Regulations sets out the
requirements for the preparation and content of the environmental
report. In terms of SA, the SA report should also include these
requirements but with a wider remit to address all the sustainability
issues of the appraisal i.e. social and economic as well as
environmental issues.
10.2 The purpose of the SA report is to present the findings of the appraisal
and show how reasonable alternatives and any likely significant effects
of the implementation the draft plan have been taken into account in
the decision making process. The SA Report should aim to provide
transparency by documenting the SA and plan preparation process and
highlighting any changes to policies and proposals and mitigation
measures as a result of the SA of the draft plan. It should provide the
audit trail of policy thinking and development. Whilst monitoring is not
required until the implementation of the plan, the SA Report must at
this stage provide a description of the measures envisaged to meet the
monitoring requirements as set out under Regulation 16 of EAPP (NI)
Regulations10.
10.3 A council will need to determine the appropriate length and level of
detail of the SA Report bearing in mind that it is a consultation
document and therefore needs to be suitable for a wide range of users.
Schedule 2 (10) requires a Non Technical Summary (NTS) of the
information provided in the SA Report. The NTS should summarise the
information provided under Schedule 2 (1) to (9) and present the
findings succinctly to facilitate the engagement process.
10.4 It is recommended that a council uses a combination of matrices and
commentary to present and summarise its findings. It would be useful
to draw attention to any changes to the draft plan as a result of the SA
10
Annex 10 of ‘A Practical Guide to Strategic Environmental Assessment Directive’ provides
further detail on monitoring.
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and also provide references to legislative requirements to show how
these have been met throughout the SA Report.
10.5 As the SA will be subject to the test of soundness, the preparation of a
SA report also provides an opportunity for a council to present its
findings and use the SA as part of its evidence base for the draft plan.
The SA report should help to integrate different areas of evidence and
to demonstrate why the proposals in the draft plan are the most
appropriate. Furthermore, it is likely that the SA report will be
scrutinised and where possible, used by potential objectors to justify
and put forward alternative proposals for the draft plan. The SA report
therefore needs to be robust and comprehensive, particularly as it will
likely be examined by all parties involved at the IE stage. Annex 9
provides an example of the structure and content for the SA Report.
11.0 Stage D: Consulting on the SA Report
11.1 The SA Report must be published for consultation along with the draft
plan. This will facilitate a more meaningful public consultation process
by enabling interested parties to make more informed judgements to
demonstrate soundness when submitting representations on the draft
plan. Regulation 12 of EAPP(NI) Regulations sets out the requirements
for consultation which include sending a copy of documents to the
consultation body (Northern Ireland Environment Agency) and inviting it
to express an opinion within a specified period, publication of a notice,
making the documents available for inspection and publishing the
documents on a council’s website. The period for consultation must be
of such length to ensure an early and effective opportunity to express
an opinion on the relevant documents.
11.2 Regulation 15 of the LDP Regulations also sets out requirements for
the availability of the draft plan and its supporting documents. This
includes sending a copy of the draft plan and supporting documents to
the consultation bodies for information. Regulation 2 of the LDP
Regulations sets out the consultation bodies for the LDP process.
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Regulation 16 of the LDP Regulations requires the draft plan to be
subject to a public consultation period of 8 weeks.
11.3 Furthermore, if a council has already engaged with a council(s) in the
ROI and considers that the plan may have likely significant effects in
the adjoining ROI council area, it should undertake transboundary
consultations as set out under Regulation 13 of EAPP (NI) Regulations.
If the Department has been notified under Regulation 13(1), it shall
invite ROI to enter into transboundary consultations and where
necessary, agree detailed arrangements with ROI to ensure that the
public and relevant Department in ROI are consulted on the likely
transboundary effects and the measures envisaged to reduce or
eliminate such effects. Following such transboundary consultations, the
Department shall notify the consultation body and a council of the
outcome of such consultations.
12.0 Stage E: Information as to adoption of plan and preparation of SA
Statement
12.1 Regulation 15 of EAPP (NI) Regulations sets out the information to be
provided following the adoption of the draft plan. This includes
arrangements for the availability and inspection of the draft plan and its
accompanying SA report and notifying the consultation body. A council
must also notify the Department if transboundary consultations have
been undertaken in accordance with Regulation 13 of EAPP (NI)
Regulations.
12.2 In particular Regulation 15(4) requires a council to prepare a statement
to include the following information:
•
how environmental considerations have been integrated into the
plan or programme,
•
how the environmental report has been taken into account;
•
how opinions expressed in response to consultation have been
taken into account;
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•
Sustainability Appraisal incorporating SEA
how results of any transboundary consultations have been taken
into account;
•
the reasons for choosing the plan as adopted, in light of the
other reasonable alternatives dealt with;
•
the
measures
to
be
taken
to
monitor
the
significant
environmental effects of the implementation of the plan.
12.3 In terms of SA, the statement should include information on the wider
issues of sustainability as well as the environmental considerations as
required by EAPP (NI) Regulations.
12.4 If changes to the draft plan are required as a result of the independent
examination and the Department’s Binding Report, a council must
consider whether such changes will have any likely significant effects.
In doing so, it may be useful to refer back to the appraisal of
alternatives in order to determine if a particular change or alternative
has already been considered as part of the appraisal process.
12.5 Modifications to the SA should be proportionate to the level of change
being made to the draft plan. Therefore, changes to the draft plan that
are not significant should not require any further SA. A council will need
to exercise judgement as whether a revised SA report will be required.
13.0
Stage F: Monitoring the implementation of the LDP
13.1 Regulation 16 of EAPP (NI) Regulations sets out the requirements for
monitoring the implementation of the plan. Monitoring should help a
council to identify any unforeseen adverse effects at an early stage and
implement the necessary remedial action. Monitoring should focus
upon the likely significant effect identified by the SA and the mitigation
measures proposed to offset or reduce significant adverse effects.
13.2 Monitoring measures should be clearly linked to the SA process, with
particular reference to the sustainability objectives and issues identified
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during the preparation of the SA Report. Monitoring allows the actual
significant effects of the implementing the plan to be tested against
those predicted in the SA. Therefore, where possible, monitoring
should be based on indicators which have been used to describe the
baseline, the objectives of the plan and the SA. The appropriate level at
which to monitor will depend on the development plan document11.
13.3 Where possible, a council may wish to use existing monitoring
arrangements and information to reduce duplication of effort and
maximise the efficient use of resources. As a council will be required to
prepare an Annual Monitoring Report, this may also include the
findings of monitoring any likely significant effects as a result of
implementing the plan.
11
Annex 10 of ‘A Practical Guide to Strategic Environmental Assessment Directive’ provides
further detail on monitoring.
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Annex 1: Requirements of Directive 2001/42/EC
Preparation of an environmental report in which the likely significant effects on the environment of
implementing the plan, and reasonable alternatives taking into account the objectives and geographical
scope of the plan, are identified, described and evaluated. The information to be given is (Art. 5 and
Annex I):
a) an outline of the contents, main objectives of the plan, and relationship with other relevant plans
and programmes;
b) the relevant aspects of the current state of the environment and the likely evolution thereof
without implementation of the plan;
c) the environmental characteristics of areas likely to be significantly affected;
d) any existing environmental problems which are relevant to the plan including, in particular,
those relating to any areas of a particular environmental importance, such as areas designated
pursuant to Directives 79/409/EEC and 92/43/EEC;
e) the environmental protection objectives, established at international, Community or national
level, which are relevant to the plan and the way those objectives and any environmental
considerations have been taken into account during its preparation;
f) the likely significant effects on the environment, including on issues such as biodiversity,
population, human health, fauna, flora, soil, water, air, climatic factors, material assets, cultural
heritage including architectural and archaeological heritage, landscape and the interrelationship
between the above factors*;
g) the measures envisaged to prevent, reduce and as fully as possible offset any significant adverse
effects on the environment of implementing the plan;
h) an outline of the reasons for selecting the alternatives dealt with, and a description of how the
assessment was undertaken including any difficulties (such as technical deficiencies or lack of
know-how) encountered in compiling the required information;
i) a description of the measures envisaged concerning monitoring in accordance with Art. 10;
j) a non-technical summary of the information provided under the above headings
*These effects should include secondary, cumulative, synergistic, short, medium and long-term
permanent and temporary, positive and negative effects
The report must include the information that may reasonably be required taking into account current
knowledge and methods of assessment, the contents and level of detail in the plan, its stage in the
decision-making process and the extent to which certain matters are more appropriately assessed at
different levels in that process to avoid duplication of the assessment (Art. 5.2)
Consultation:
• of environmental authorities when deciding on the scope and level of detail of the information
which must be included in the environmental report (Art. 5.4)
• environmental authorities and the public shall be given an early and effective opportunity within
appropriate time frames to express their opinion on the draft plan and the accompanying
environmental report before the adoption of the plan (Art. 6.1, 6.2)
• of other countries where the implementation of the plan is likely to have significant effects on the
environment of that country (Art. 7).
The environmental report and the results of the consultations must be taken into account in
decision-making (Art. 8)
Provision of information on the decision:
When the plan is adopted, the public and any countries consulted under Art.7 are informed and the
following items are made available to those so informed:
• the plan as adopted
• a statement summarising how environmental considerations have been integrated into the plan and
how the environmental report of Article 5, the opinions expressed pursuant to Article 6 and the
results of consultations entered into pursuant to Art. 7 have been taken into account in accordance
with Art. 8, and the reasons for choosing the plan as adopted, in the light of the other reasonable
alternatives dealt with; and
• the measures decided concerning monitoring (Art. 9)
Monitoring of the significant environmental effects of the plan's implementation (Art. 10)
Quality assurance: environmental reports should be of a sufficient standard to meet the requirements
of the SEA Directive
Source: A Practical Guide to the Strategic Environmental Assessment Directive, ODFM, 2005
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Annex 2 - Suggested content for the SA Scoping Report
Scoping
Component
Information to be included
Purpose
A brief outline of the main objectives To allow the consultation body to
and contents of the local development understand the nature and content
plan.
of the local development plan.
1.Set the
context for the
local
development
plan
A summary of relationship with other
relevant plans and programmes may To allow the consultation body to
affect or influence the plan being understand the policy context for the
assessed.
plan, particularly where other plans
Summary of the likely changes to the or programmes may have a
social,
economic
and
physical significant influence on content and
environment
without
the implementation.
implementation of the plan.
2. Establish the
relevant
baseline
information
Brief summary of the environmental
characteristics of those geographic
areas that are likely to be significantly
affected by the plan. This should
include identification of the relevant
environmental data/data sets to be
used and possible data gaps.
To allow the key social, economic
environmental characteristics of the
area covered by the plan and of the
issues being experienced to be
understood in order that the
consultation body can effectively
advise on the scope and level of
Brief summary of environmental detail of the assessment.
problems / issues experienced in the
area which may affect or be affected
by the plan.
If known at this point, a brief
description of the type and range of To allow the consultation body early
reasonable alternatives that may be sight of the potential alternatives that
may be assessed.
assessed should be provided.
3. If available,
identifying
reasonable
alternatives
5. Intended
approach to
assessment
April 2015
A suitable means to gauge the effects
of alternative approaches should be
separately
identified
if
the
Responsible Authority intends to use
a different method to the assessment
method used for the draft plan.
Consideration
of
"reasonable"
alternatives
required.
Not
all
alternatives can be viable, so
consideration of what ones to reject
and why would also be helpful at this
stage.
The Responsible Authority should
include in the Scoping Report a brief
summary of its proposed assessment
technique and the level of detail of the
assessment.
To allow the consultation body to get
an idea of the intended approach to
the assessment in order to inform
their comments on the scope and
level of detail.
The Responsible Authority should
include the proposed SA objectives,
where these are to be used, and
indicators, if known.
The techniques selected have to be
able to cover the range of
sustainability issues included in the
assessment.
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Annex 3
Review of other policies, plans, programmes and sustainability objectives
relevant to the plan
Document Title
Objectives / Requirements Relationship / Implications
of Plan / Programme for local development plan
under review
Summary of review
Key
requirements
each SA Topic Area
Biodiversity, Flora
Fauna
for Source
i.e.
Plan Implication
for
SA
/Programme reviewed
Framework / Objectives
and
Population and Health
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Annex 4
Suggested
format
for
collection
and
presentation
of
baseline
information
SA
Indicator
Theme /
Objective
April 2015
Local
Data
Regional / Targets
National
Comparison
Data
Trends
Issues
/ Source
Comments of data
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Annex 5: An Example of a SA Framework
SA Theme
Objective
Decision Making Criteria
Prosperity and Social
Inclusion
To reduce poverty and social
exclusion
Will it reduce poverty and social exclusion, in
particular in those areas most affected?
Health and Wellbeing
To improve the health and
wellbeing of the population
Will it improve
services?
affordability
of
essential
Will it improve access to high quality health
care?
Will it encourage healthy lifestyles and provide
opportunities for sport and recreation?
Will it reduce health inequalities?
Will it improve physical and mental health?
Education and Skills
To improve the education and
skills of the population
Housing
To provide everybody with the
opportunity to live in a decent
home
Will it reduce noise levels and concerns?
Will it improve qualifications and skills of the
population?
Will it improve access to high quality
educational facilities?
Will it help fill key skill gaps?
Will it increase access to affordable housing?
Will it encourage a range of dwelling type, size
and tenure?
Will it reduce homelessness?
Crime Prevention and
& Community Safety
Community Identity
To reduce crime and antisocial activity
To encourage a sense of
community;
identity
and
welfare
Will it reduce actual levels of crime?
Will it reduce the fear of crime?
Will it encourage engagement in community
activities?
Will it foster satisfaction and a sense of pride in
the local area?
Will it increase the ability of people to influence
decisions?
Will it improve ethnic relations?
Will it improve understanding between different
communities of their respective needs and
concerns?
Will it encourage people to respect and value
their contribution to society?
Social
Accessibility
April 2015
To improve accessibility to key
services especially for those
most in need
Will it improve the level of investment in key
community services?
Will it make access more affordable?
Will it make access easier for those without
access to a car?
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To reduce the effect of traffic
on the environment
Traffic
Will it reduce traffic volumes and congestion?
Will it increase the proportion of journeys using
modes other than the car?
Will it encourage walking and cycling?
Water
Quality
Resources
&
Air Quality
To improve water quality;
conserve water resources and
provide
for
sustainable
sources of water supply
To improve air quality
To conserve
biodiversity
Biodiversity
and
enhance
Will it improve the quality of surface and
ground water?
Will it reduce water consumption and improve
water efficiency?
Will it improve air quality?
Will it help achieve the objectives of the Air
Quality Management Plan?
Will it reduce emissions of key pollutants?
Will it conserve and enhance habitats of
borough or local importance and create
habitats in areas of deficiency?
Will it conserve and enhance species diversity;
and in particular avoid harm to protected
species?
Will it conserve and enhance sites designated
for their nature conservation interest at the
regional or national level?
Will it protect and enhance woodland cover
and trees and promote their management?
Will it improve access to and promote the
educational value of sites of biodiversity value?
Will it improve the landscape character and
visual amenity of open spaces?
Environmental
Landscape
Townscape
&
To maintain and enhance the
character and quality of
landscapes and townscapes
Historic Environment
& Cultural Assets
To conserve and, where
appropriate
,enhance
the
historic
environment
and
cultural assets
Climate Change
To reduce contributions to
climate change and reduce
vulnerability to climate change
April 2015
Will it enhance the quality of priority areas for
townscape and public realm enhancements?
Will it protect and enhance local distinctiveness
and sense of place?
Will it minimise visual intrusion and protect
views?
Will it decrease litter in urban areas and open
spaces?
Will it protect and enhance Conservation Areas
and other sites, features and areas of historical
and cultural value?
Will it protect listed buildings and their
settings?
Will it help preserve, enhance and record
archaeological features and their settings?
Will it reduce emissions of greenhouse gases
by reducing energy consumption and the need
to travel?
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Will it lead to an increased proportion of energy
needs being met from renewable sources?
Will it reduce emissions of ozone depleting
substances?
Will it minimise the risk of flooding from rivers
and watercourses to people and property?
Will it reduce the risk of damage to property
from storm events?
Will it help reduce the impact of increased
urban temperatures on people and property?
Waste Management
To minimise the production of
waste and use of nonrenewable materials
Land and Soil
To conserve and enhance land
quality and soil resources
Will it lead to reduced consumption of
materials and resources?
Will it reduce household waste?
Will it increase waste recovery and recycling
and improve facilities?
Will it reduce hazardous waste?
Will it reduce waste in the construction
industry?
Will it minimise development on greenfield
sites?
Will it ensure that, where possible, new
development occurs on derelict; vacant and
underused previously developed land and
buildings?
Will it ensure contaminated land is remediated
as appropriate?
Will it minimise the loss of soils to development
and maintain and enhance soil quality?
Economic Growth
To encourage
economic growth
sustainable
Will it reduce the risk of subsidence
heave?
Will it encourage new business start-ups
opportunities for local people?
Will it improve business development
enhance productivity?
Will it improve the resilience of business
the local economy?
Will it promote growth in key sectors?
and
and
and
and
Will it promote growth in key clusters?
Will it enhance the image of the area as a
business location?
Economic
Employment
Regeneration
April 2015
To
offer
everybody
the
opportunity for rewarding and
satisfying employment
To reduce disparities in
economic performance and
promote
sustainable
regeneration
Will it reduce short and long-term local
unemployment?
Will it provide job opportunities for those most
in need of employment?
Will it help to improve earnings?
Will it promote regeneration, reducing disparity
with surrounding areas?
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Investment
Sustainability Appraisal incorporating SEA
To
encourage
and
accommodate both indigenous
and inward investment
Will it encourage indigenous business?
Will it encourage inward investment?
Will it make land and property available for
business development?
Will it reduce commuting?
Efficient Movement
To encourage efficient patterns
of movement in support of
economic growth
Will it improve accessibility to work by public
transport; walking and cycling?
Will it improve access between key
employment areas and key transport
interchanges?
Will it encourage rail and water based freight
movement?
Source: Adapted from Sustainability Appraisal of Regional Spatial Strategies and Local Development Documents, ODPM, 2005
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Annex 6
Compatibility of SA Objectives
Objective 1
Objective 2
√
Objective 3
√
Objective 4
X
Objective 5
SA Objectives
√
Objective 1
X
√
Objective 2
√
Objective 3
Objective 4
X – Incompatible √ Compatible Blank – No links
Source: Sustainability Appraisal of Regional Strategies and Local Development
Documents, Nov 2005.
Compatibility of Plan and SA Objectives
Plan
Objectives
Objective A
Objective B
SA Objectives
Objective 1
Positive
compatible
Possible
conflict
Objective 2
Objective 3
Objective 4
Neutral
Positive
compatible
Positive
compatible
Neutral
Positive
compatible
Positive
compatible
Objective C
Neutral
Neutral
Positive
compatible
Neutral
Objective D
Possible
conflict
Possible
conflict
Neutral
Neutral
Comments and recommendations:
Plan Objective B versus SA Objective 1: Possible conflict as Plan Objective 2 seeks to
deliver housing that meets unmet demand, whilst SA Objective A aims to meet local
housing need. Recommendation: change wording of Plan Objective 2 to ‘need’ rather than
‘demand’.
Plan Objective D versus SA Objective 1: Possible conflict as Plan Objective 4 is to
protect greenfield land from development, but housing capacity study has shown that in
order to satisfy housing need, some greenfield development will be required.
Recommendation: change wording of Plan Objective 4 to prioritise brownfield development
over greenfield, but not to rule out greenfield development completely.
Plan Objective D versus SA Objective 2: Possible conflict as SA Objective B seeks to
deliver development that reduces the need to travel, and some greenfield locations may be
better placed to deliver this than some remoter brownfield sites. Recommendation: add to
wording of Plan Objective 4 ‘where in line with the objective to reduce the need to travel’.
Whilst the aim should be to achieve consistency between plan objectives, in practice there
may be tensions between objectives. Where win-win outcomes cannot be achieved,
decision-makers will need to determine where the priorities should lie and this should be
recorded explicitly in the SA.
Source: Sustainability Appraisal of Regional Strategies and Local Development
Documents, Nov 2005.
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Development Plan Practice Note 4
Sustainability Appraisal incorporating SEA
Annex 7
Suggested format for assessment of alternatives
SA
Objective
As set out
in SA
Framework
Option 1
Short
term
Option 2
Medium
Term
Long
Term
Comments/
Explanation
Reasons for
choosing /
rejecting
alternative –
refer to
review of
other plans/
programmes,
baseline,
problems /
issues etc
Short
term
Medium
Term
Long
Term
Comments/
Explanation
Reasons for
choosing /
rejecting
alternative –
refer to
review of
other plans/
programmes,
baseline,
problems /
issues etc
positive (+) negative (-)neutral (0) uncertain (?) no relationship (N/R) minor positive (+) major
positive (++) minor negative (-) major negative (--)
Source: Adapted from A Practical Guide to the Strategic Environmental Assessment Directive, Sept 2005
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Development Plan Practice Note 4
Sustainability Appraisal incorporating SEA
Annex 8
Suggested format for assessment of likely significant effects
SA
Theme /
Objective
Decision
Making
Criteria
Relevant
Indicator
Plan
Policy /
proposals
Effects
Short
Term
Medium
Term
Long
Term
Summary / Comments
Mitigation /
Changes to
policy or
proposal
Reasoning /justification
-refer to review of other
As set out in SA
Baseline
plans/ programmes,
Framework
Data
baseline, problems /
issues etc
Also consider
Interrelationship
between SA objectives
and secondary,
cumulative and
synergistic effects.
positive (+) negative (-)neutral (0) uncertain (?) no relationship (N/R) minor positive (+) major positive (++) minor
negative (-) major negative (--)
Source: Adapted from A Practical Guide to the Strategic Environmental Assessment Directive, Sept 2005
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Development Plan Practice Note 4
Sustainability Appraisal incorporating SEA
Annex 9
An Example of structure and content for the SA Report
Structure of Report
Information to include
Components making up the
Environmental Report
Table sign-posting the components of the SA Report which
make up the Environmental Report for the purposes of the
SEA Directive
1. Summary and outcomes
1.1. Non-technical summary
1.2. A statement of the likely significant effects of the plan
1.3. Statement on the difference the process has made to date
1.4. How to comment on the report
2. Appraisal Methodology
Structure of report Information to include
2.1. Approach adopted to the SA
2.2. When the SA was carried out
2.3. Who carried out the SA
2.4. Who was consulted, when and how
2.5. Difficulties encountered in compiling information or carrying
out the assessment.
3. Background
4. Sustainability objectives,
baseline and context
5. Plan issues and options
6. Plan policies
7. Implementation
3.1. Purpose of the SA and the SA Report
3.2. Plan objectives and outline of contents
3.3. Compliance with the SEA Directive/Regulations
4.1. Links to other policies, plans and programmes and
sustainability objectives and how these have been taken into
account
4.2. Description of the social, environmental and economic
baseline characteristics and the predicted future baseline
4.3. Main social, environmental and economic issues and
problems identified
4.4. Limitations of the information, assumptions made etc.
4.5. The SA framework, including objectives, targets and
indicators
5.1. Main strategic options considered and how they were
identified
5.2. Comparison of the social, environmental and economic
effects of the options
5.3. How social, environmental and economic issues were
considered in choosing the preferred options
5.4. Other options considered, and why these were rejected
5.5. Any proposed mitigation measures
6.1. Significant social, environmental and economic effects of the
preferred policies
6.2. How social, environmental and economic problems were
considered in developing the policies and proposals
6.3. Proposed mitigation measures
6.4. Uncertainties and risks
7.1. Links to other tiers of plans and programmes and the project
level (EIA, design guidance etc.)
7.2. Proposals for monitoring
Source: Sustainability Appraisal of Regional Spatial Strategies and Local Development Documents, ODPM, 2005
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Development Plan Practice Note 4
Sustainability Appraisal incorporating SEA
Further reading
‘Implementation of Directive 2001/42/EC on the Assessment of the Effects of
Certain Plans and Programmes on the Environment’, European Commission
‘A Practical Guide to the Strategic Environmental Assessment Directive’,
ODPM, 2005
‘Strategic Environmental Assessment - Consultation Bodies’ Services and
Standards for Responsible Authorities’, NIEA 2009
‘From Evidence to Opportunity - A Second Assessment of the State of
Northern Ireland’s Environment’, NIEA, DOE, 2013
‘Implementation of SEA Directive (2001/42/EC): Assessment of the effects of
Certain Plans and Programmes on the Environment Republic of Ireland’,
Department of Environment, Heritage and Local Government, Nov 2004
‘Sustainability Appraisal of Regional
Development Documents’, ODPM, 2005
Spatial
Strategies
and
Local
Sustainability Appraisal of Unitary Development Plans in Wales, Welsh
Assembly Government, 2002
Strategic Environmental Assessment Tool Kit, Scottish Executive 2006
Strategic Environmental Assessment of Development Plans, The Scottish
Government, March 2010
Strategic Environmental Assessment Guidance, The Scottish Government,
August 2013
Useful websites
http://ec.europa.eu/environment/eia/sea-support.htm
http://planningguidance.planningportal.gov.uk/blog/guidance/strategicenvironmental-assessment-and-sustainability-appraisal/
http://www.doeni.gov.uk/niea/land-home/sea-natural.htm
http://www.environ.ie/en/DevelopmentHousing/PlanningDevelopment/Environ
mentalAssessment/EIASEAGuidance/
April 2015
42
Planning Guidance Team
Causeway Exchange
1-7 Bedford Street
Belfast
BT2 7EG
Tel: 0300 200 7830
Email: [email protected]