Strategic Environmental Assessment (SEA) and the Planning Process

Ric Eales and Owen WhiteCollingwood Environmental Planning, London, UK

SEA experience from the UK

Seminar in Nicosia, Cyprus20th February 2009

Introduction

Context on UK planning system and SEAIntegrating SEA and the plan making processSEA case studies and lessons from spatial planning

in the UK:Regional case study: South West England Regional

Spatial Strategy (RSS)Local case study: London Borough of Brent Development

Plan Documents (DPD)Local case study: South Kilburn Supplementary Planning

Document (SPD)

Discussion and questions

Context on UK Planning System and SEA

Ric EalesCollingwood Environmental Planning

UK Planning System

The Planning and Compulsory Purchase Act 2004 introduced a new “two-tier” plan system in England, made up of:Regional Spatial Strategy (RSS) – prepared by

regional planning bodies which set out a broad spatial strategy for how a region should look in 15-20 years time and possibly longer

Local Development Frameworks (LDF) – a folder of local development documents prepared by district councils, unitary authorities or national park authorities that outline the spatial strategy for the local area

Local Development Frameworks (LDF)

The LDF must contain: The Statement of Community Involvement (SCI)

shows how and when planning authorities intend to consult local communities and other stakeholders when preparing documents.

Annual Monitoring Report is submitted to the government by a local planning authority to assess the progress and the effectiveness of a LDF.

The Local Development Scheme is a public 'project plan' identifying which local development documents will be produced, in what order and when.

A LDF must include a Core Strategy and a Proposals Map. It may also contain additional optional development documents such as Area Action Plans.

DPDs are subject to rigorous procedures of community involvement, consultation and independent examination. Once adopted, development control decisions must be made in accordance with the DPDs unless material considerations indicate otherwise.

SEA and the Planning System

Under the Planning and Compulsory Purchase Act all Regional Spatial Strategies and Development Plan Documents are require to be subject to Sustainability Appraisal

Strategic Environmental Assessment is also a statutory requirement for all Regional Spatial Strategies and Development Plan Documents (likely to have significant environmental effects) under the Environmental Assessment of Plans and Programmes Regulations 2004 which transposes the SEA Directive (2001/42/EC) in England

Government guidance for England suggests SEA is integrated into Sustainability Appraisal which meets the requirements of the SEA Directive but also includes consideration of social and economic effects as well as environmental effects

SEA Guidance European Commission (2003)

Implementation of Directive 2001/42/EC on the assessment of certain plans and programmes on the environment

In the UK guidance has been prepared on undertaking SEAs/Sustainability Appraisals:

Department of Communities and Local Government, Scottish Executive, Welsh Assembly Government and the Northern Ireland Department of the Environment (2005) Practical Guide to the Strategic Environmental Assessment Directive

Department of Communities and Local Government (2005) Sustainability Appraisal of Regional Spatial Strategies and Local Development Documents

Planning Advisory Service (2007) Local Development frameworks: guidance on sustainability appraisal

SEA Guidance - web linkshttp://ec.europa.eu/environment/eia/sea-

support.htmhttp://www.communities.gov.uk/documents/

planningandbuilding/pdf/practicalguidesea.pdf http://www.communities.gov.uk/documents/

planningandbuilding/pdf/142520.pdfhttp://www.pas.gov.uk/pas/aio/51863

Integrating SEA and the Plan Making Process

Ric EalesCollingwood Environmental Planning

Summary

Overview of the SEA processGuiding principles for SEA process design Integrating the SEA and the plan-making processPlanning and managing an SEA

Where to start? Who should undertake the SEA? What resources are required?

What is SEA?

“the formalised, systematic and comprehensive process of evaluating the environmental effects of a policy, plan or programme and its alternatives, including the preparation of a written report on the findings of that evaluation, and using the findings in publicly accountable decision-making.”

(Thérivel et al, 1992, p.19)

The Directive’s requirements for the SEA process

 

Screening (does the plan or programme require SEA?)

Screening (does the plan or programme require SEA?)

Scoping (what environmental issues should the SEA address?)

Scoping (what environmental issues should the SEA address?)

Baseline data (establish the environmental baseline)

Baseline data (establish the environmental baseline)

Alternatives (what different approaches could be taken?)

Alternatives (what different approaches could be taken?)

Mitigation (what can be done to alleviate negative impacts?)

Mitigation (what can be done to alleviate negative impacts?)

Environmental Report (document process and findings)

Environmental Report (document process and findings)

Public consultation (consult general public and NGOs) Public consultation

(consult general public and NGOs)

Consider SEA findings (take SEA findings into account)

Consider SEA findings (take SEA findings into account)

Monitoring (monitor implementation of plan/programme)

Monitoring (monitor implementation of plan/programme)

SEA Key Processes (1)

Stage a: setting the context and scoping• assemble the evidence base to inform the assessment• establish the framework for undertaking the

assessment (in the form of environmental objectives)

Stage a: setting the context and scoping• assemble the evidence base to inform the assessment• establish the framework for undertaking the

assessment (in the form of environmental objectives)Scoping ReportScoping Report

Stage b: developing and refining alternatives• assess the plan objectives, options and preferred

options/policies against the framework taking into account the evidence base

• propose mitigation measures for alleviating the plan’s adverse effects as well as indicators for monitoring the plan’s environmental effects

Stage b: developing and refining alternatives• assess the plan objectives, options and preferred

options/policies against the framework taking into account the evidence base

• propose mitigation measures for alleviating the plan’s adverse effects as well as indicators for monitoring the plan’s environmental effects

SEA Key Processes (2) Stage c: preparing the Environmental Report• prepare a environmental report documenting the

assessment process and findings

Stage c: preparing the Environmental Report• prepare a environmental report documenting the

assessment process and findings Environmental ReportEnvironmental Report

Stage d: consultation• consult stakeholders on the draft plan and

Environmental report• assessment of any significant changes, making

decisions and provide information

Stage d: consultation• consult stakeholders on the draft plan and

Environmental report• assessment of any significant changes, making

decisions and provide information

Stage e: monitoring • monitor the environmental effects of implementing the

plan

Stage e: monitoring • monitor the environmental effects of implementing the

plan

Post adoption statementPost adoption statement

Responding to adverse effects as part of revising the plan

Guiding Principles for Designing the SEA Process (1) transparent – clear, easy to understand

requirements participative – provide for public and stakeholder

information and involvementaccountable – implement fairly, impartially and

professionallycost-effective – meet objectives within time and

budget limits comprehensive scope – cover all significant

environmental effects

Guiding Principles for Designing the SEA Process fit-for-purpose – customise to decision-making

process and level of detail / type of plan or programme

objective and baseline led – identify environmental goals and priorities supported by a good evidence base against which to measure performance and identify effects

sustainability driven – ensure proposal promotes sustainable development

decision and audience relevant – focus on issues that matter and ensure timing and format of outputs/reports allows SEA to make a difference and is appropriate for its intended audience

Tailoring the SEA to the Plan-Making ProcessThe SEA process will need to be tailored

to the plan or programme making process and will need to reflect: Plan or programme objectives Procedural requirements - key stages and

milestones, consultation, decision-making etc Local characteristics Key stakeholders Duration Budget Key environmental issues etc etc

No one SEA will be the same

No single SEA methodology can apply uniformly to all strategic actions

SEA needs to be a flexible and adaptable approachFactors to take into account:

Level of plan or programme (or policy) – tiering, scale, types of proposals/measures coming out of the plan or programme

Organisations involved and institutional issuesKnowledge requirements and complexity of issuesTime and resources available

Tips for Integrating the SEA and Plan Making Process

Plan the SEA at the same time as the plan-making process and start early

Include those responsible for the plan when planning the SEA

Ideally SEA should be fully integrated with the planning process so that: SEA provides information that is relevant to the plan SEA provides information at the time when it is needed .... however the SEA also needs to maintain a degree of independence

Critically, ensure all the SEA Directives requirements are met

Illustration of the assessment process alongside the plan making process (in UK guidance for DPDs)

Assessment process steps

Plan making process steps

Planning an SEA: where to Start?

1. Find out about the plan

2. Design the assessment process

3. Develop a joint project plan including stakeholder involvement

4. Decide who will undertake the SEA / manage the process

5. Undertake the assessment

Deciding Who Will Undertake the SEAThe ‘responsible authority’ is required to prepare,

or secure the preparation of, an SEAFour main options (in the UK we have examples

of all these approaches):1. Internal - by the plan-makers themselves

perhaps with independent review or audit (either by an external body, a stakeholder group or by officers not involved in the plan-making process) at key stages in the development of the plan

2. Internal but remote – by officers in the same responsible authority but not involved directly in the plan preparation processperhaps also with independent review or audit (either by an

external body or stakeholder group) at key stages in the development of the plan

Deciding Who Will Undertake the SEA (cont.)

3. Internal and External – discrete parts of the assessment process undertaken externally, the rest internally the external parts undertaken by independent consultants,

academics, regional or local stakeholders

4. External – the whole of the SEA process undertaken externallyundertaken by independent consultants, academics,

regional or local stakeholders

Deciding Who Will Undertake the SEA: Internal or External?

Consider the advantages and disadvantages of undertaking the SEA internally or externally

Whether undertaking it internally or externally, the key is to ensure there is regular communication between the plan team and those undertaking the SEA

If undertaken externally – could for example have a consultant based in the office (so communication is smoother) or just support particular elements of the SEA. Ensure as a client you are sufficiently familiar with the SEA process and challenge the consultants

Factors To Take Into Account:Are the assessors able to take a balanced and

objective view?Are the assessors familiar with the environmental

characteristics of the plan area, and the environmental issues it faces?

How much practical experience / knowledge of SEA and the Directive do they have?

Is the assessor(s) able to appraise the full range of environmental issues?

What resources are available to carry out the SEA internally, and is a budget available to appoint external consultants?

Independence in the Assessment Process:What is the purpose of SEA?

identifies and evaluates the environmental implications of the plan – information providing, not decision taking

Why is independence important?credibility of authority with public / stakeholders rigour / comprehensiveness better informed plans – environmental protection

How can independence and its benefits be achieved?Separate person / external organisation responsible for the

assessment Peer review / stakeholders / steering groupQuality Assurance checklist

Resources Required to Undertake SEA: Time spent by officers in the relevant responsible

authority, including training/capacity building Costs involved in commissioning specialist studies to

inform the SEA, or consultants to undertake the SEA Time spent by officers of other bodies and organisations,

for example as consultees, or as providers of baseline information

Time and investment in collecting and analysing baseline information, for example in the development of modelling

Costs of report production and consultation as part of the SEA process, including venue hire, etc

Illustration of the resources needed to undertake an SEA

UK guidance suggests SEAs of development plans will require 50-100 person days (£15,000 - £50,000)

Scale of Plan SEA of a

relatively

simple plan

with limited

potential

significant

effects

SEA of a

moderately

complex plan

with

significant

effects in

some areas

SEA of a

complex and

detailed plan

with a wide

range of

significant

effects

SEA Stage Indicative

number of days

Indicative

number of days

Indicative

number of days

Screening 1-5 5-10 5-15

Stage A: Setting

the context and

scoping

5-10 10-15 10-25

Stage B:

Developing and

refining

alternatives

5-15 10-20 15-30

Stage C:

Preparing the

Environmental

Report

2-10 5-15 10-20

Stage D:

Consultation 5-10 5-10 10-20

Stage E:

Monitoring

1-5

Ongoing

5-10

Ongoing

10-15

Ongoing

Total Days 20-45 40-80 60-125

Conclusions and lessons for SEA of Development Plans in Cyprus Consider the Development Plan making process and

how the SEA process needs to interact and integrate with it: When do certain tasks and activities need to be undertaken

and how long will they take? What are the consultation requirements on the plan and the

SEA? Should they be done together or separately? What are the reporting requirements? Which tasks and activities can be done jointly to fulfil the

needs of both the plan and the SEA? When and how can the SEA really influence the plan? Who is going to undertaken the SEA? How are they going

to work with the plan makers?

How will we know if the SEA has been effective? Ultimately aiming for a “better” plan – negative

environmental affects avoided or mitigated and positive environmental effects enhanced

How do we know? – by monitoring the significant effects Has it been a good SEA process? - use review criteria to

check (see hand out)