A Practical Guide to the Strategic Environmental Assessment Directive ODPM ISBN 1851127933 Price: £12.00 A Practical Guide to the Strategic Environmental Assessment Directive September 2005 Scottish Executive Welsh Assembly Government Department of the Environment, Northern Ireland Office of the Deputy Prime Minister: London A Practical Guide to the Strategic Environmental Assessment Directive Practical guidance on applying European Directive 2001/42/EC “on the assessment of the effects of certain plans and programmes on the environment” Office of the Deputy Prime Minister Eland House Bressenden Place London SW1E 5DU Telephone: 020 7944 4400 Web site: www.odpm.gov.uk © Crown copyright 2005. Copyright in the typographical arrangement rests with the Crown. This publication, excluding logos, may be reproduced free of charge in any format or medium for research, private study or for internal circulation within an organisation. This is subject to it being reproduced accurately and not used in a misleading context. The material must be acknowledged as Crown copyright and the title of the publication specified. For any other use of this material, please write to HMSO Licensing, St Clements House, 2-16 Colegate, Norwich NR3 1BQ. Fax: 01603 723000 or e-mail: licensing@hmso.gov.uk. Further copies of this publication are available from: ODPM Publications PO Box 236 Wetherby West Yorkshire LS23 7NB Tel: 0870 1226 236 Fax: 0870 1226 237 Textphone: 0870 1207 405 E-mail: odpm@twoten.press.net or online via www.odpm.gov.uk Printed on paper comprising 75% post-consumer waste and 25% ECF pulp September 2005 ISBN 1851127887 Reference Number 05 PD 03311 Contents 1. Introduction 6 Purpose of the Practical Guide 6 Other guidance on SEA 7 Acknowledgements 8 2. Background and Context 9 Objectives and requirements 9 The Directive’s field of application 9 Provisions on screening and exemptions 12 The Directive and SEA practice 14 Who should do SEA? 14 The level of detail in SEA 14 SEA and other forms of assessment 15 The regulatory impact of the Directive 15 3. SEA and Consultation 16 Requirements for consultation 16 The Consultation Bodies 17 Consulting the public 18 Practical aspects of consultation 19 Transboundary consultation with EU Member States 19 4. SEA and Sustainable Development 20 5. Stages of SEA 23 Introduction 23 Stage A: Setting the context and objectives, establishing the baseline and 26 deciding on the scope Stage B: Developing and refining alternatives and assessing effects 30 Stage C: Preparing the Environmental Report 35 Stage D: Consultation and decision-making 37 Stage E: Monitoring implementation of the plan or programme 39 EC Directives and other international instruments related to the 41 SEA Directive Glossary 42 3 Appendix 1 – Indicative list of plans and programmes subject to the 44 SEA Directive Appendix 2 – Other relevant plans, programmes and environmental 47 protection objectives Appendix 3 – Collecting and presenting baseline information 49 Appendix 4 – Sources of baseline information 52 Appendix 5 – Developing SEA objectives, indicators and targets 64 Appendix 6 – Developing and assessing alternatives 68 Appendix 7 – Prediction and evaluation of effects 74 Appendix 8 – Assessing secondary, cumulative and synergistic effects 78 Appendix 9 – Quality Assurance checklist 84 Appendix 10 – Monitoring 86 Frequently Asked Questions on the SEA Directive 91 References and Further Information 94 The SEA Directive 98 List of Figures 1. The SEA Directive’s requirements 10 2. Application of the SEA Directive to plans and programmes 13 3. Summary of consultation requirements under the SEA Directive 17 4. Extract from UK Sustainable Development Strategy, March 2005 21 5. Stages in the SEA process 24 6. Relationship between the SEA Tasks 25 7. Possible structure and contents of the Environmental Report 36 8. Possible approach to documenting links with other relevant plans and 48 programmes or environmental protection objectives 9. Possible way of organising and presenting baseline information 51 10. Sources of baseline information 52 11. Examples of SEA objectives and indicators 65 12. Testing compatibility of SEA objectives 67 13. Example of discrete alternatives 68 14. ‘Hierarchy’ of alternatives 69 15. Examples of alternatives 70 A Practical Guide to the Strategic Environmental Assessment Directive 4 16. Example of comparison of alternatives 72 17. Example table for assessment of alternatives against SEA objectives 73 18. Illustration of documentation of effects 74 19. Prediction and evaluation techniques for SEA 76 20. The process of assessing the effects of a plan or programme 77 21. Stages of SEA and the consideration of cumulative, secondary and 79 synergistic effects 22. Techniques for assessing cumulative, secondary and synergistic effects 82 23. Example of a table for recording cumulative effects and their causes 83 24. Example of a table for recording cumulative effects of plan or 83 programme on receptors 25. Quality Assurance checklist 84 Contents 5 1. Introduction Purpose of the Practical Guide 1.1 This Practical Guide provides information and guidance on how to comply with the European Directive 2001/42/EC “on the assessment of the effects of certain plans and programmes on the environment”, known as the Strategic Environmental Assessment or SEA Directive. The Guide is intended to apply to all plans and programmes in the UK which fall within the scope of the Directive. Specific guidance has however been developed for certain types of plans and programmes, particularly land use and spatial planning and transport planning (see paragraphs 1.10 and 1.11 below). Users should refer primarily to the relevant specific guidance when preparing those plans and programmes. 1.2 The Practical Guide has been developed jointly by the Office of the Deputy Prime Minister, the Scottish Executive, the Welsh Assembly Government and the Department of the Environment in Northern Ireland. 1.3 The guidance in this publication on how to comply with the Directive is not intended as an interpretation of the law, but should be read in conjunction with the SEA Directive and the Regulations which transpose it into UK law: • The Environmental Assessment of Plans and Programmes Regulations 2004 (Statutory Instrument 2004 No.1633) • The Environmental Assessment of Plans and Programmes Regulations (Northern Ireland) 2004 (Statutory Rule 2004 No. 280) • The Environmental Assessment of Plans and Programmes (Scotland) Regulations 2004 (Scottish Statutory Instrument 2004 No. 258), and • The Environmental Assessment of Plans and Programmes (Wales) Regulations 2004 (Welsh Statutory Instrument 2004 No. 1656 (W.170)) 1.4 The first of the above SEA Regulations applies to any plan or programme which relates either solely to the whole or any part of England, or to England and any other part of the UK. Each of the regulations for Scotland, Wales and Northern Ireland applies to plans and programmes which relate solely to the whole or any part of Scotland, Wales or Northern Ireland. 1.5 The SEA Regulations reproduce the Directive and do not add any further requirements. However, they adapt the Directive to arrangements in the UK in certain respects, notably by defining the authorities responsible for SEA (the ‘Responsible Authorities’), designating the organisations to be consulted (the ‘Consultation Bodies’, or in Scotland ‘Consultation Authorities’), and setting out time limits and other arrangements for consulting and informing authorities and the public. The Practical Guide refers to the Regulations, rather than to the Directive, only in connection with these matters. 1.6 Users of the Practical Guide may include: • The Responsible Authorities which produce plans and programmes subject to SEA; • The Consultation Bodies or Consultation Authorities with environmental responsibilities which must be consulted under the Directive; 6 • Other government bodies, including those with roles in oversight of plans or programmes; • Consultants and advisers involved in undertaking SEA; and • All those who may be affected by or have an interest in plans or programmes, including members of the public, non-government organisations, businesses and developers. 1.7 The Guide includes sections on: • Background and context of the Directive; • Consultation; • SEA and sustainable development; and • The steps in the SEA process. 1.8 The publication also includes answers to frequently asked questions, a glossary of SEA terms, a series of appendices on matters of detail, a Quality Assurance checklist, and the SEA Directive itself. 1.9 The Environmental Assessment (Scotland) Bill was introduced into the Scottish Parliament on 2 March 2005. The Scottish Executive is proposing to extend the number of public sector strategies, programmes and plans which qualify for SEA. Should the Bill be passed, the Scottish Executive is committed to producing comprehensive guidance. Other guidance on SEA 1.10 The European Commission has published guidance on the SEA Directive in Implementation of Directive 2001/42/EC on the Assessment of the Effects of Certain Plans and Programmes on the Environment. This provides useful advice on interpreting the terms used in the Directive, and is referred to below as “the European Commission guidance”. It is available on the EU website: www.europa.eu.int/comm/environment/eia/030923_sea_guidance.pdf. 1.11 Other UK guidance on the SEA Directive, including that for specific types of plans and programmes, includes: • Transport plans in England (DfT): Strategic Environmental Assessment – Core Guidance for Transport Plans and Programmes (www.webtag.org.uk/webdocuments/2_Project_Manager/11_SEA/index.htm) • Environment Agency Guidelines 2004: SEA Good Practice Guidelines (www.environment-agency.gov.uk/seaguidelines) • Land use and spatial plans in England (ODPM): Sustainability Appraisal of Regional Spatial Strategies and Local Development Frameworks (Consultation Paper 2004: www.odpm.gov.uk/stellent/groups/odpm_planning/documents/page/odpm_plan_030923. pdf; final version forthcoming). This Sustainability Appraisal guidance supersedes earlier SEA guidance for planning authorities published by ODPM in 2003. • Land use and spatial plans in Scotland (Scottish Executive): Interim planning advice on the Environmental Assessment of Development Plans (2003) (www.scotland.gov.uk/library5/planning/eadp-00.asp) Introduction 7 • Land use and spatial plans in Wales (Welsh Assembly Government): Strategic Environmental Assessment (SEA) of Unitary Development Plans – Interim Good Practice Guide (2004) (www.wales.gov.uk/subiplanning/content/devplans/sea-interim- good-prac-guide/strat_homepage-e.htm) 1.12 The Welsh Assembly Government and the Department of the Environment in Northern Ireland are developing further SEA guidance for Welsh planning authorities and the Northern Ireland Planning Service respectively. Acknowledgements 1.13 This Practical Guide draws extensively on the previous ODPM publication The SEA Directive: Guidance for Planning Authorities, prepared by Levett-Therivel Sustainability Consultants. It also draws on work by Land Use Consultants, Collingwood Environmental Planning and TRL on aspects of sustainability appraisal in planning and on SEA of transport plans. A public consultation exercise was carried out on a draft of the Practical Guide in 2004. The ODPM, the Scottish Executive, the National Assembly for Wales and the Department of the Environment in Northern Ireland would like to express their thanks to all of the many individuals and organisations who have contributed to this publication. A Practical Guide to the Strategic Environmental Assessment Directive 8 [...]... by national law, nor whether it produces legal effects in national law 11 A Practical Guide to the Strategic Environmental Assessment Directive A judgement should be made in each case, taking into account factors such as the nature of the act in question, the nature of the steps preceding it, and the apparent aim of the transitional provision, namely to pursue legal certainty and good administration”... made on a case by case basis and/or by specifying types of plan or programme 13 A Practical Guide to the Strategic Environmental Assessment Directive The Directive and SEA practice 2.19 Environmental assessment is already established practice for many types of plan and programme in the UK, but specific requirements and approaches vary The Directive brings a new emphasis to the following areas in particular:... stages of a plan or programme, information from earlier assessments can be used subject to any updating or extra detail which may be necessary This can help to avoid unnecessary duplication of assessment SEA and other forms of assessment 2.26 When seeking to integrate SEA with other types of appraisal, such as Sustainability Appraisal, Equality Impact Assessment or Health Impact Assessment, it may... A practical approach is essential Set a time limit for information collection Do not expect to be able to obtain all relevant information in the first SEA of a plan or programme, but make arrangements to fill any major gaps for future replacements or reviews of plans or programmes 27 A Practical Guide to the Strategic Environmental Assessment Directive 5 .A. 7 Environmental assessments conducted in the. .. programme spending continues until the end of 2008 Figure 2 shows the Directive s field of application in the form of a diagram Figure 2 – Application of the SEA Directive to plans and programmes This diagram is intended as a guide to the criteria for application of the Directive to plans and programmes (PPs) It has no legal status 1 Is the PP subject to preparation and/or adoption by a national, regional... procedural steps required by both The regulatory impact of the Directive 2.29 Information on the costs and benefits of implementing the SEA Directive in the UK is available in the Regulatory Impact Assessment accompanying the Environmental Assessment of Plans and Programmes Regulations 2004 on the ODPM website (www.odpm.gov.uk) A Regulatory Impact Assessment for Scotland has also been produced and is available... consultation with interested parties The administrative provision must have sufficient formality such that it counts as a “provision” and it must also use language that plainly requires rather than just encourages a plan or programme to be prepared 9 A Practical Guide to the Strategic Environmental Assessment Directive Figure 1 – The SEA Directive s requirements Requirements Preparation of an environmental. .. earlier stages This can help to inform discussion at this stage and facilitate decision-making at later stages Feedback from organisations or the public may also provide more information or highlight new issues for the Environmental Report 29 A Practical Guide to the Strategic Environmental Assessment Directive Stage B: Developing and refining alternatives and assessing effects What the Directive says:... in the Appendices Figure 5 summarises the main stages in the SEA process and the purpose of each stage 5.2 These stages are intended to be valid for all plans and programmes to which the Directive applies, whatever their sector or geographical scope However, where specific guidance is available for certain types of plans and programmes, readers are advised to use the stages set out in that guidance... assessment 23 A Practical Guide to the Strategic Environmental Assessment Directive Figure 5 – Stages in the SEA process SEA stages and tasks Purpose Stage A: Setting the context and objectives, establishing the baseline and deciding on the scope Identifying other relevant plans, programmes and environmental protection objectives To establish how the plan or programme is affected by outside factors, to suggest . A Practical Guide to the Strategic Environmental Assessment Directive ODPM ISBN 1851127933 Price: £12.00 A Practical Guide to the Strategic Environmental Assessment Directive September. Application of the SEA Directive to plans and programmes The Directive and SEA practice 2.19 Environmental assessment is already established practice for many types of plan and programme in the. 1.4 The first of the above SEA Regulations applies to any plan or programme which relates either solely to the whole or any part of England, or to England and any other part of the UK. Each of the