Strategic Environmental Assessment (SEA) and the Planning Process

1.  Strategic Environmental Assessment (SEA) and the Planning Process Seminar in Nicosia, Cyprus 20th February 2009 SEA experience from the UK Ric Eales and Owen White Collingwood Environmental Planning, London, UK

2. Introduction • Context on UK planning system and SEA • Integrating SEA and the plan making process • SEA 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

3. Context on UK Planning System and SEA Ric Eales Collingwood Environmental Planning

4. 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

5. Local Development Frameworks (LDF) • 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. • 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.

6. 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

7. 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

8. SEA Guidance - web links • http://ec.europa.eu/environment/eia/sea-support.htm • http://www.communities.gov.uk/documents/planningandbuilding/pdf/practicalguidesea.pdf • http://www.communities.gov.uk/documents/planningandbuilding/pdf/142520.pdf • http://www.pas.gov.uk/pas/aio/51863

9. Integrating SEA and the Plan Making Process Ric Eales Collingwood Environmental Planning

10. Summary • Overview of the SEA process • Guiding principles for SEA process design • Integrating the SEA and the plan-making process • Planning and managing an SEA • Where to start? • Who should undertake the SEA? • What resources are required?

11. 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)

12. The Directive’s requirements for the SEA process Screening(does the plan or programme require SEA?) Environmental Report(document process and findings) Scoping(what environmental issues should the SEA address?) Public consultation(consult general public and NGOs) Baseline data(establish the environmental baseline) Consider SEA findings(take SEA findings into account) Alternatives(what different approaches could be taken?) Monitoring(monitor implementation of plan/programme) Mitigation(what can be done to alleviate negative impacts?)

13. 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) Scoping 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

14. SEA Key Processes (2) • Stage c: preparing the Environmental Report • prepare a environmental report documenting the assessment process and findings Environmental Report • Stage d: consultation • consult stakeholders on the draft plan and Environmental report • assessment of any significant changes, making decisions and provide information Post adoption statement • Stage e: monitoring • monitor the environmental effects of implementing the plan Responding to adverse effects as part of revising the plan

15. Guiding Principles for Designing the SEA Process (1) • transparent – clear, easy to understand requirements • participative – provide for public and stakeholder information and involvement • accountable – implement fairly, impartially and professionally • cost-effective – meet objectives within time and budget limits • comprehensive scope – cover all significant environmental effects

16. 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

17. Tailoring the SEA to the Plan-Making Process • The 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

18. 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 approach • Factors 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 issues • Knowledge requirements and complexity of issues • Time and resources available

19. 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

20. Illustration of the assessment process alongside the plan making process (in UK guidance for DPDs) Plan making process steps Assessment process steps

21. Planning an SEA: where to Start? • Find out about the plan • Design the assessment process • Develop a joint project plan including stakeholder involvement • Decide who will undertake the SEA / manage the process • Undertake the assessment

22. Deciding Who Will Undertake the SEA • The ‘responsible authority’ is required to prepare, or secure the preparation of, an SEA • Four main options (in the UK we have examples of all these approaches): • 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 • Internal but remote – by officers in the same responsible authority but not involved directly in the plan preparation process • perhaps also with independent review or audit (either by an external body or stakeholder group) at key stages in the development of the plan

23. Deciding Who Will Undertake the SEA (cont.) • 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 • External – the whole of the SEA process undertaken externally • undertaken by independent consultants, academics, regional or local stakeholders

24. 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

25. 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?

26. 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 group • Quality Assurance checklist

27. 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

28. Illustration of the resources needed to undertake an SEAUK guidance suggests SEAs of development plans will require 50-100 person days (£15,000 - £50,000)

29. 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)