欧洲战略环境影响评价导则(2001)

欧洲战略环境影响评价导则(2001)

The Strategic Environmental Assessment Directive: Guidance for Planning AuthoritiesPractical guidance on applying European Directive 2001/42/EC‘on the assessment of the effects of certain plans and programmes on the environment’ to land use and spatial plans in England

October 2003 Office of the Deputy Prime Minister: London

欧洲战略环境影响评价导则(2001)

Office of the Deputy Prime Minister

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Telephone 020 7944 3000

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Further copies of this report are available from:

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欧洲战略环境影响评价导则(2001)

CONTENTS

CHAPTER 1

Introduction

CHAPTER 2

Background and Context

Objectives and requirements of the Directive

SEA and the planning process

SEA and Sustainability Appraisal

Plans for which SEA is not always required

Consultation

Who should undertake the SEA?

CHAPTER 3

Stages of SEA

Stage A:Setting the context and establishing the baseline

Stage B:Deciding the scope of SEA and developing alternatives

Stage C:Assessing the effects of the plan

Stage D:Consultation on the draft plan and Environmental Report

Stage E:Monitoring implementation of the plan

Glossary

Appendices

Appendix 1.Application of the SEA Directive to plans and programmes

Appendix 2.Other relevant plans, programmes and objectives

Appendix 3.Devising SEA and sustainability appraisal objectives and

indicators

Appendix 4.Sources of baseline data

Appendix 5.Presenting baseline information

Appendix 6.Assessing secondary, cumulative and synergistic effects

Appendix 7.Identifying and comparing alternatives

Appendix 8.Prediction and evaluation

Quality Assurance Checklist

References and further information

The SEA Directive5779911111213162022252729313132343942434651545659

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The Strategic Environmental Assessment Directive: Guidance for Planning Authoritiesiv

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CHAPTER 1

Introduction

1.1This publication presents guidance on how to carry out environmental assessment of

English land use and spatial plans in accordance with European Directive 2001/42/EC onthe assessment of the effects of certain plans and programmes on the environment, knownas the ‘strategic environmental assessment’ or SEA Directive.

1.2 The SEA Directive applies to a wide range of plans and programmes, including among

others those for town and country planning and land use. It will apply to both the presentsystem of local authority development plans and Regional Planning Guidance and theproposed Local Development Documents and Regional Spatial Strategies, details of whichare set out in the Government’s Planning Policy Statement ‘Sustainable Communities –Delivering through Planning’.

1.3This guidance is focused on the application of the Directive to these plans in England. Itis

designed to be relevant to all types of plan, under both the existing and proposed planningsystems, from local to regional levels. It is intended to help authorities responsible for thefollowing plans in particular:

Local Plans

Unitary Development Plans

Structure Plans

Minerals Local Plans

Waste Local Plans

Regional Planning Guidance

The Spatial Development Strategy for London

Local Development Documents

Regional Spatial Strategies

1.4The Directive applies to plans and programmes, and modifications to them, whose formal

preparation begins after 21 July 2004. However, it will also apply to plans and programmeswhose formal preparation began before that date, if they have not been adopted (or

submitted to a legislative procedure leading to adoption) by 21 July 2006. This retroactiveprovision is likely to affect many plans which are already in preparation. The Governmenthas therefore decided to publish guidance in advance of the transposing legislation, to helpauthorities to become familiar with its requirements and to prepare for them.

1.5 This guidance is not intended as an interpretation of the law, but should be read in

conjunction with the Directive and transposing legislation.

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The Strategic Environmental Assessment Directive: Guidance for Planning Authorities1.6

1.7

1.8

1.9

1.10

1.11

6The full text of the Directive can be found at the end of this guidance and online at:http://europa.eu.int/eur-lex/pri/en/oj/dat/2001/l_197/l_19720010721en00300037.pdfA diagram illustrating how the criteria of the Directive apply to a plan or programme is at Appendix 1.TerminologyThough Directive 2001/42/EC is usually referred to as the SEA Directive, it does not usethe term ‘strategic environmental assessment’ or SEA; rather, it requires an ‘environmentalassessment’ of certain plans and programmes. For convenience, however, we use the term‘SEA’ in this guidance to mean an environmental assessment which complies with theDirective.The Directive applies to ‘plans and programmes’. This guidance refers only to ‘plans’, butthis should be taken to include all relevant plans or programmes such as those listed inparagraph 1.3 above, regardless of their formal titles.Structure of the guidance Chapter 2 explains the procedural requirements of the Directive and how they relate toplan-making processes. Chapter 3 explains the stages of SEA and the main decisions andoutputs needed at each stage. A series of appendices give more detailed information onaspects of SEA, including examples. A glossary of terms is also provided.Acknowledgements This guidance was prepared for the Office of the Deputy Prime Minister by Levett-TherivelSustainability Consultants. ODPM carried out a public consultation exercise on a draft ofthe guidance between October 2002 and January 2003. ODPM and Levett-Therivel wouldlike to express their gratitude to the many people and organisations whose comments andsuggestions have contributed to its development.

欧洲战略环境影响评价导则(2001)

CHAPTER 2

The SEA Directive and thePlanning System

Objectives and requirements of the Directive

2.1The 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 intothe preparation and adoption of plans … with a view to promoting sustainable

development’ (Article 1). These aims are broadly consistent with a range of Governmentpolicies and have been reflected for some years in guidance for planning authorities. The Directive’s main new areas of emphasis are on:

collecting and presenting baseline environmental information;

predicting the significant environmental effects of the plan and addressing themduring its preparation;

identifying strategic alternatives and their effects;

consulting the public and authorities with environmental responsibilities as part of the assessment process;

monitoring the actual environmental effects of the plan during its implementation.

2.2The Directive defines ‘environmental assessment’ as a procedure comprising:

preparing an environmental report on the likely significant effects of the draft plan, carrying out consultation on the draft plan and the accompanying environmentalreport,

taking into account the environmental report and the results of consultation indecision-making, and

providing information when the plan is adopted and showing how the results of theSEA have been taken into account.

2.3Figure 1 sets out these requirements in detail, referring to the relevant provisions of

the Directive. The shaded parts of Figure 1 show elements of SEA which are alreadyestablished in Government guidance as good practice in plan-making or sustainabilityappraisal.

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The Strategic Environmental Assessment Directive: Guidance for Planning Authorities

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The SEA Directive and the Planning System

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欧洲战略环境影响评价导则(2001)

The Strategic Environmental Assessment Directive: Guidance for Planning Authorities

Figure 2:Stages of plan-making and SEA

Stages of plan-making

Key stages are shown in bold.

Detailed activities are in light type.

Identify issues and options and

prepare for consultation

The ODPM guidance publication ‘Making Plans’

suggests the following activities among others

at this stage:

Undertaking a policy context review

Carrying out assessment of adopted plan

Carrying out research and studies

Developing strategic options

Developing a participation strategy

Preparing the issues and options reportStages of SEA(and Sustainability Appraisalwhere relevant)Requirements of the Directive are in bold. Guidance on methods is in light type. Prepare Environmental Report on the likelysignificant environmental effects of the planor programme and reasonable alternatives(Article 5 and Annex I)The initial stages of SEA/sustainability appraisalcan be carried out in parallel with the issuesand options stage of plan-making. This will usually be the best time for: Identifying plans, programmes and environmental protection objectivesrelevant to the SEA

Developing SEA and sustainability appraisal

objectives, if these are to be used

Collecting data to establish environmental and

sustainabilitybaselines and identify problems

Identifying alternatives to be assessed

Consult authorities with environmental

responsibilities on the scope of the

Environmental Report (Article 5.4)

The Directive does not require public

consultation until the Environmental Report on

the draft plan is finalised, but authorities may

find it useful to publish environmental and

sustainabilityinformation in support of the issues

and options report. Public feedback at this

stage may also provide more information for the

Environmental Report or sustainability appraisal.

Make the Environmental Report on the draft

plan available to the public and

environmental authorities and give them the

opportunity to express opinions (Article 6)

At this stage the Environmental Report should

comply fully with Directive Annex I. It should

therefore cover:

the effects of the plan, including alternatives

still under consideration, on the environment

proposals for mitigating adverse effects

proposals for monitoring

Depending on the extent of changes to the plan

during this stage, revisions may be needed to

the Environmental Report/sustainability appraisal

Take account of the Environmental Report

and opinions from consultees (Article 8)

Integrate environmental and sustainability

considerations to amendments and

modifications to plan.

Publish information on how the Environmental

Report and consultees’ opinions were taken

into account, reasons for choice of alternatives,

and proposals for monitoring (Article 9).

During implementation, monitor significant

environmental effects (Article 10)Consult public on issues and optionsPrepare the plan for formal consultation stage Assess responses to consultation onissues and options Develop preferred strategy Identify proposals to be taken forward Develop policies Draft the planFull public consultation/participation on proposed plan (the deposit stage under the existing system) Publication of plan (corresponding to what the Directive terms ‘the draft plan’ ) Public consideration and participation Analysis of representations Negotiations with objectorsConsultation may take place in several stages, including examination. This table does not make any assumption about the number of stages orhow the public is involved at any given point during consultation. Finalise and adopt plan Amendments to the plan (including changes stemming from SEA or sustainability appraisal) Inspector’s modificationsPublish adopted plan Monitor plan implementation

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The SEA Directive and the Planning SystemPlans for which SEA is not always required

2.9For plans which ‘determine the use of small areas at local level’ or are ‘minor

modifications’ to existing plans, the Directive only requires SEA where they are likely tohave significant environmental effects. The expressions ‘small area’, ‘local level’ and

‘minor modification’ are not defined in the Directive, and must be interpreted in relationto the nature and scope of a particular plan. Screening is needed to determine whether

such plans are likely to have significant environmental effects. Annex II of the Directivelists criteria for determining the likely significance of the environmental effects of plans.

2.10In the planning field, under the Planning and Compulsory Purchase Bill, planning documents will

be either RSSs or LDDs. For all of these, authorities will be required to carry out a SustainabilityAppraisal. The predicted environmental effects of the policies and proposals in the document willneed to be assessed to the extent necessary to meet the Directive’s requirements, either for a fullSEA or to establish clearly that this is not needed, while satisfying the requirements of

Sustainability Appraisal.

Consultation

2.11The Directive requires consultation at two stages, summarised in Figure 3:

When preparing the Environmental Report, the plan-making authority must consult

other ‘authorities … which, by reason of their environmental responsibilities, are

likely to be concerned by the environmental effects [of the plan]’. For England, these

are the Environment Agency, Countryside Agency, English Nature and English

Heritage. Authorities already consult these and a wide range of other bodies under the

existing arrangements when preparing plans. Chapter 3 below suggests how to

integrate this part of the Directive’s requirements into wider consultation at this stage

of plan-making.

The plan-making authority must consult ‘the public affected or likely to be affected or

having an interest’, and the authorities with environmental responsibilities, on the

‘draft plan’ and the Environmental Report. Existing UK provisions on consultation on

the proposed plan are sufficient to comply with the Directive, and the main new

requirement is to make the Environmental Report available. Other EU Member States

should also be consulted if their environment is likely to be significantly affected by

the plan, but this is likely to be relatively rare for plans covered by this guidance.

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The Strategic Environmental Assessment Directive: Guidance for Planning Authorities2.12

2.13

12Figure 3:The Directive’s consultation requirementsStage of SEADirective requirementsDecision on the scope and level of detail of Consultation of authorities with environmentalthe SEAresponsibilities (Article 5.4)Environmental report and draft planDraft plan made available to authorities with environmental responsibilities and the public(Article 6.1)Consultation of authorities with environmentalresponsibilities and the public (Article 6.2)Who should do the SEA?The Directive does not prescribe who should carry out the SEA, but it will normally bethe responsibility of the authority that produces the plan. It is likely to be most effective ifundertaken by people who together can: consider and respond to local circumstances; take a balanced and objective view; understand the issues; draw on good practice elsewhere; evaluate the full range of environmental issues.It is usually helpful to involve both people who are directly involved in producing the planand others, either within the authority or from outside, who can contribute a moredetached and independent view to the exercise. The Environmental Report should makeclear who took part in carrying out the SEA.

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The Strategic Environmental Assessment Directive: Guidance for Planning Authorities

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Stages of SEA

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The Strategic Environmental Assessment Directive: Guidance for Planning Authorities

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Stages of SEA

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The Strategic Environmental Assessment Directive: Guidance for Planning Authorities

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Stages of SEA

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