PLANNING ADVICE NOTE pan - Scottish Government · PLANNING ADvICE NotE 1/213: Environmental Impact Assessment CoNtENtS Page 1. Introduction 22. Aims of Environmental Impact Assessment

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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

http://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.


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.


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’.


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.


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.


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.


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.


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.


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’.


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.


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


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.


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’).


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


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.


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.


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.


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.

http://www.iema.net/state-environmental-impact-assessment-eia-practice-uk

https://www.planningportal.gov.uk/planning/planningpolicyandlegislation/reform/killianpretty/finalreport


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.


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.


7. FuRtHER INFoRMAtIoN7.1 ThisPlanningAdviceNoteandfurtherinformationabouttheplanning

systemcanbefoundontheScottishGovernmentwebsiteat:http://www.scotland.gov.uk/topics/built-environment.FormoreinformationonthisPANpleasecontactCaraDavidsonon01312440928oremailcara.davidson@scotland.gsi.gov.uk

http://www.scotland.gov.uk/topics/built-environment

mailto:[email protected]


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.


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.


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

Documents

PLANNING ADVICE NOTE pan - Scottish Government · PLANNING ADvICE NotE 1/213: Environmental Impact Assessment CoNtENtS Page 1. Introduction 22. Aims of Environmental Impact Assessment