Strategic environmental assessment and sustainability appraisal
Provides clarity on the need for sustainability appraisal and strategic environmental assessment in relation to plan development.
Please note new paragraphs 046-047 which set out changes to Strategic environmental assessment and sustainability appraisal guidance in respect of modified inspection of documentation requirements.
Strategic environmental assessment and sustainability appraisal
What is a sustainability appraisal, and how does it relate to strategic environmental assessment?
A sustainability appraisal is a systematic process that must be carried out during the preparation of local plans and spatial development strategies. Its role is to promote sustainable development by assessing the extent to which the emerging plan, when judged against reasonable alternatives, will help to achieve relevant environmental, economic and social objectives.
This process is an opportunity to consider ways by which the plan can contribute to improvements in environmental, social and economic conditions, as well as a means of identifying and mitigating any potential adverse effects that the plan might otherwise have. By doing so, it can help make sure that the proposals in the plan are appropriate given the reasonable alternatives. It can be used to test the evidence underpinning the plan and help to demonstrate how the tests of soundness have been met. Sustainability appraisal should be applied as an iterative process informing the development of the plan.
Section 19 of the Planning and Compulsory Purchase Act 2004 requires a local planning authority to carry out a sustainability appraisal of each of the proposals in a plan during its preparation. More generally, section 39 of the Act requires that the authority preparing a plan must do so “with the objective of contributing to the achievement of sustainable development”. There is a separate requirement for spatial development strategies be accompanied by a sustainability appraisal under regulation 7 of both the Town and Country Planning (London Spatial Development Strategy) Regulations 2000 and the Combined Authorities (Spatial Development Strategy) Regulations 2018.
Sustainability appraisals incorporate the requirements of the Environmental Assessment of Plans and Programmes Regulations 2004 (commonly referred to as the ‘Strategic Environmental Assessment Regulations’). Sustainability appraisal ensures that potential environmental effects are given full consideration alongside social and economic issues.
Strategic environmental assessment alone can be required in some limited situations where sustainability appraisal is not needed. This is usually only where either neighbourhood plans or supplementary planning documents could have significant environmental effects.
Paragraph: 001 Reference ID: 11-001-20190722
Revision date: 22 07 2019 See previous version
Paragraph: 002 - deleted - See previous version
What is the difference between sustainability appraisal, strategic environmental assessment and other forms of assessment?
Sustainability appraisal and strategic environmental assessment are tools used at the plan-making stage to assess the likely effects of the plan when judged against reasonable alternatives.
In contrast Environmental Impact Assessment is applied to individual projects which are likely to have significant environmental effects (also see the Town and Country Planning (Environmental Impact Assessment) Regulations 2011).
A plan or project may also require an appropriate assessment, as set out in the Conservation of Habitats and Species Regulations 2017 (as amended), if it is considered likely to have significant effects on a habitats site. A sustainability appraisal should take account of the findings of an appropriate assessment, if one is undertaken.
Paragraph: 003 Reference ID: 11-003-20190722
Revision date: 22 07 2019 See previous version
Table: The Strategic Environmental Assessment Regulations requirements checklist
Paragraph: 004 Reference ID: 11-004-20150209
Revision date: 09 02 2015 See previous version
Sustainability appraisal requirements for local plans and spatial development strategies
What documents in a local plan require a sustainability appraisal?
A sustainability appraisal should be prepared for any of the documents that can form part of a local plan, including core strategies, site allocation documents and area action plans. Neighbourhood plans, supplementary planning documents, the Statement of Community Involvement, the Local Development Scheme or the Authority Monitoring Report are excluded from this requirement.
Paragraph: 005 Reference ID: 11-005-20190722
Revision date: 22 07 2019 See previous version
When should the sustainability appraisal process be started?
Sustainability appraisal is integral to the preparation and development of a local plan or sustainable development strategy, to identify how sustainable development is being addressed, so work should start at the same time that work starts on developing the plan. The relationship between the sustainability appraisal and local plan preparation processes is shown in paragraph 13. The sustainability appraisal process should be taken into account when the local planning authority develops its timetable for the preparation of the plan as outlined in its Local Development Scheme.
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Revision date: 06 03 2014
Is strategic environmental assessment required in addition to sustainability appraisal?
Strategic environmental assessment considers only the environmental effects of a plan, whereas sustainability appraisal considers the plan’s wider economic and social effects in addition to its potential environmental impacts. Sustainability appraisal should meet all of the requirements of the Environmental Assessment of Plans and Programmes Regulations 2004, so a separate strategic environmental assessment should not be required.
Paragraph: 007 Reference ID: 11-007-20140306
Revision date: 06 03 2014
Do supplementary planning documents require a sustainability appraisal or strategic environmental assessment?
Supplementary planning documents do not require a sustainability appraisal but may in exceptional circumstances require a strategic environmental assessment if they are likely to have significant environmental effects that have not already have been assessed during the preparation of the relevant strategic policies.
A strategic environmental assessment is unlikely to be required where a supplementary planning document deals only with a small area at a local level (see regulation 5(6) of the Environmental Assessment of Plans and Programmes Regulations 2004), unless it is considered that there are likely to be significant environmental effects.
Before deciding whether significant environment effects are likely, the local planning authority will need to take into account the criteria specified in schedule 1 to the Environmental Assessment of Plans and Programmes Regulations 2004 and consult the consultation bodies.
Paragraph: 008 Reference ID: 11-008-20140306
Revision date: 06 03 2014
What level of detail is required in a sustainability appraisal?
The sustainability appraisal should only focus on what is needed to assess the likely significant effects of the plan. It should focus on the environmental, economic and social impacts that are likely to be significant. It does not need to be done in any more detail, or using more resources, than is considered to be appropriate for the content and level of detail in the Local Plan.
Paragraph: 009 Reference ID: 11-009-20140306
Revision date: 06 03 2014
Who is responsible for ensuring that the sustainability appraisal requirements have been met?
The local planning authority is responsible for ensuring that the sustainability appraisal has been carried out in accordance with the relevant planning and environmental assessment legislation.
Paragraph: 010 Reference ID: 11-010-20140306
Revision date: 06 03 2014
How does the sustainability appraisal relate to other forms of Impact Assessment?
A sustainability appraisal should incorporate the requirements of the Environmental Assessment of Plans and Programmes Regulations 2004. The Local Plan may also require a Habitats Regulations Assessment, as set out in the Conservation of Habitats and Species Regulations 2010 (as amended) if it is considered likely to have significant effects on European habitats or species. The sustainability appraisal should take account of the findings of a Habitats Regulations Assessment, if one is undertaken.
Paragraph: 011 Reference ID: 11-011-20140306
Revision date: 06 03 2014
How should the sustainability appraisal process be applied to plan preparation?
The key stages of local plan preparation and their relationship with the sustainability appraisal process are shown at paragraph 13.
Paragraph: 012 Reference ID: 11-012-20140306
Revision date: 06 03 2014
Sustainability appraisal process
Paragraph: 013 Reference ID: 11-013-20140306
Revision date: 06 03 2014
What is required at the scoping stage?
The scoping stage (Stage A) needs to identify the scope and level of detail of the information to be included in the sustainability appraisal report. It should set out the context, objectives and approach of the assessment; and identify relevant environmental, economic and social issues and objectives.
Although the scoping stage is a key stage in the process, a formal scoping report is not required by law but is a useful way of presenting information at the scoping stage. A key aim of the scoping procedure is to help ensure the sustainability appraisal process is proportionate and relevant to the plan being assessed.
When deciding on the scope and level of detail of the information to be included in the report, the plan-maker must consult the consultation bodies. Where a consultation body decides to respond, it should do so within 5 weeks of receipt of the request. (See regulation 12(5) and 12(6) of the Environmental Assessment of Plans and Programmes Regulations 2004.)
Paragraph: 014 Reference ID: 11-014-20140306
Revision date: 06 03 2014
Who are the consultation bodies?
Regulation 4 of the Environmental Assessment of Plans and Programmes Regulations 2004 defines certain organisations with environmental responsibilities as consultation bodies. In England the consultation bodies are Historic England, Natural England and the Environment Agency.
Although this guidance covers England, some local planning authorities may need to consult the relevant consultation bodies in the Devolved Administrations to help them determine whether their plan is likely to have significant environmental effects.
Paragraph: 015 Reference ID: 11-015-20140306
Revision date: 06 03 2014
What is baseline information?
The term ‘baseline information’ refers to the existing environmental, economic and social characteristics of the area likely to be affected by the plan, and their likely evolution without implementation of new policies. It provides the basis against which to assess the likely effects of alternative proposals in the draft plan. The area likely to be affected may lie outside the local planning authority boundary and plan makers may need to obtain information from other local planning authorities.
Wherever possible, data should be included on historic and likely future trends, including a ‘business as usual’ scenario (ie anticipated trends in the absence of new policies being introduced). This information will enable the potential effects of the implementation of the plan to be assessed in the context of existing and potential environmental, economic and social trends.
Paragraph: 016 Reference ID: 11-016-20190722
Revision date: 22 07 2019 See previous version
Paragraph: 017 Deleted
Revision date: 22 07 2019 See previous version
How can the sustainability appraisal assess alternatives and identify likely significant effects?
The sustainability appraisal needs to consider and compare all reasonable alternatives as the plan evolves, including the preferred approach, and assess these against the baseline environmental, economic and social characteristics of the area and the likely situation if the plan were not to be adopted. In doing so it is important to:
- outline the reasons the alternatives were selected, and identify, describe and evaluate their likely significant effects on environmental, economic and social factors using the evidence base (employing the same level of detail for each alternative option). Criteria for determining the likely significance of effects on the environment are set out in schedule 1 to the Environmental Assessment of Plans and Programmes Regulations 2004;
- as part of this, identify any likely significant adverse effects and measures envisaged to prevent, reduce and, as fully as possible, offset them;
- provide conclusions on the reasons the rejected options are not being taken forward and the reasons for selecting the preferred approach in light of the alternatives.
Any assumptions used in assessing the significance of the effects of the plan will need to be documented. Reasonable alternatives are the different realistic options considered by the plan-maker in developing the policies in the plan. They need to be sufficiently distinct to highlight the different sustainability implications of each so that meaningful comparisons can be made.
The development and appraisal of proposals in plans needs to be an iterative process, with the proposals being revised to take account of the appraisal findings.
Paragraph: 018 Reference ID: 11-018-20140306
Revision date: 06 03 2014
What does the sustainability appraisal report accompanying the publication of the draft plan need to cover?
Regulation 12 of the Environmental Assessment of Plans and Programmes Regulations 2004 sets out the formal requirements of an ‘environmental report’, which can form an integral part of the sustainability appraisal report and is a core output of any strategic environmental assessment. An environmental report for the purpose of the regulations must identify, describe and evaluate the likely significant effects on the environment of implementing the plan policies and of the reasonable alternatives, taking into account the objectives and geographical scope of the plan. The sustainability appraisal report will need to show how these requirements have been met as well as recording the wider assessment of social and economic effects.
The sustainability appraisal will need to include a non-technical summary of the information within the main report, and be prepared with a range of readers in mind, providing a clear, accessible overview of the process and findings.
Paragraph: 019 Reference ID: 11-019-20140306
Revision date: 06 03 2014
Who needs to be consulted on the sustainability appraisal?
The plan making body must consult the consultation bodies and other parties who, in its opinion, are affected or likely to be affected by, or have an interest in, the decisions involved in the assessment and adoption or making of the plan. Further details on consultation procedures are set out in regulation 13 of the Environmental Assessment of Plans and Programmes Regulations 2004.
The plan-making body may also want to consult those they are inviting representations from, as part of the development of the plan itself. The sustainability appraisal report, including the non-technical summary, needs to be published alongside the draft plan for a minimum of 6 weeks.
Paragraph: 020 Reference ID: 11-020-20140306
Revision date: 06 03 2014
Should the sustainability appraisal report be updated if the draft plan is modified following responses to consultations?
The sustainability appraisal report will not necessarily have to be amended if the plan is modified following responses to consultations. Modifications to the sustainability appraisal should be considered only where appropriate and proportionate to the level of change being made to the plan. A change is likely to be significant if it substantially alters the plan and/ or is likely to give rise to significant effects.
Further assessment may be required if the changes have not previously been assessed and are likely to give rise to significant effects. A further round of consultation on the sustainability appraisal may also be required in such circumstances but this should only be undertaken where necessary. Changes to the plan that are not significant will not require further sustainability appraisal work.
Paragraph: 021 Reference ID: 11-021-20140306
Revision date: 06 03 2014
What is the role of the sustainability appraisal report at examination of the plan?
The sustainability appraisal report should be submitted with the plan for independent examination. The sustainability appraisal report will be examined as part of the evidence base for the plan. The sustainability appraisal
The sustainability appraisal report should help to integrate different areas of evidence and to demonstrate why the proposals in the plan are the most appropriate.
Paragraph: 022 Reference ID: 11-022-20140306
Revision date: 06 03 2014
Will the sustainability appraisal report have to be amended if modifications to the Local Plan are proposed at examination?
It is up to the plan-making body to decide whether the sustainability appraisal report should be amended following proposed changes to an emerging plan. A local planning authority can ask an Inspector to recommend changes to its submitted local plan to make it sound or they can propose their own changes.
If the plan-making body assesses that necessary changes are significant, and were not previously subject to sustainability appraisal, then further sustainability appraisal may be required and the sustainability appraisal report should be updated and amended accordingly.
Paragraph: 023 Reference ID: 11-023-20140306
Revision date: 06 03 2014
What information should be provided following the adoption of a local plan or spatial development strategy?
Regulation 16 of the Environmental Assessment of Plans and Programmes Regulations 2004 sets out the post-adoption requirements.
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Revision date: 06 03 2014
Does the plan-making body have to monitor the significant effects of implementing the adopted plan?
The significant environmental effects of implementing a plan which has been subject to sustainability appraisal should be monitored (as required by regulation 17 of the Environmental Assessment of Plans and Programmes Regulations 2004). This will enable any unforeseen adverse effects to be identified at an early stage and to enable appropriate remedial actions.
Details of monitoring arrangements may be included in the sustainability appraisal report, the post-adoption statement or in the local plan itself. The monitoring results should be reported in the local planning authority’s Monitoring Report.
Paragraph: 025 Reference ID: 11-025-20140306
Revision date: 06 03 2014
Strategic environmental assessment requirements for neighbourhood plans
Does a neighbourhood plan require a sustainability appraisal?
There is no legal requirement for a neighbourhood plan to have a sustainability appraisal as set out in section 19 of the Planning and Compulsory Purchase Act 2004. However, a qualifying body must demonstrate how its plan or order will contribute to achieving sustainable development. A proportionate approach can be taken to this; preparing a sustainability appraisal is one approach that can be used, in which case the guidance on sustainability appraisal for local plans and spatial development strategies can be referred to. It will often be possible to make use of information and analysis that has been used in assessing the social, economic and environmental impact of local plans or spatial development strategies covering the area. In doing so, it will be important to consider the relevance of this material to the neighbourhood area, as well as whether it remains up to date.
Paragraph: 026 Reference ID: 11-026-20140306
Revision date: 06 03 2014
Does a neighbourhood plan require a strategic environmental assessment?
In some limited circumstances, where a neighbourhood plan is likely to have significant environmental effects, it may require a strategic environmental assessment. Draft neighbourhood plan proposals should be assessed to determine whether the plan is likely to have significant environmental effects. This initial assessment process is commonly referred to as a ‘screening’ assessment and the requirements are set out in regulation 9 of the Environmental Assessment of Plans and Programmes Regulations 2004.
If it is concluded that strategic environmental assessment is required, an environmental report must be prepared in accordance with paragraphs (2) and (3) of regulation 12 of those regulations.
One of the basic conditions that will be tested by the independent examiner is whether the making of the neighbourhood plan is compatible with relevant legal obligations including Strategic Environmental Assessment. If a strategic environmental assessment is required, it will often be possible to make use of information and analysis that has been used in assessing the environmental impact of local plans or spatial development strategies covering the area. In doing so, it will be important to consider the relevance of this material to the neighbourhood area, as well as whether it remains up to date.
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Revision date: 22 07 2019 See previous version
How do you know if a draft neighbourhood plan might have significant environmental effects?
To decide whether a draft neighbourhood plan might have significant environmental effects, it needs to be assessed (screened) at an early stage of the plan’s preparation according to the requirements set out in regulation 9 of the Environmental Assessment of Plans and Programmes Regulations 2004. These include a requirement to consult the environmental assessment consultation bodies.
Each consultation body will be able to advise on particular topics relevant to its specific area of expertise and responsibility, and the specific information that it holds.
Where it is determined that the plan is unlikely to have significant environmental effects (and, accordingly, does not require an environmental assessment), a statement of reasons for the determination should be prepared. A copy of the statement should be submitted with the neighbourhood plan proposal and made available to the independent examiner.
The local planning authority, as part of its duty to advice or assist, should consider putting in place processes to determine whether the proposed neighbourhood plan will require a strategic environmental assessment. The qualifying body should work with the local planning authority to be sure that the authority has the information it needs.
Paragraph: 028 Reference ID: 11-028-20150209
Revision date: 09 02 2015 See previous version
What do you do if a neighbourhood plan is likely to have a significant environmental effect?
Where a neighbourhood plan is likely to have a significant effect on the environment a strategic environmental assessment needs to be carried out and an environmental report prepared in accordance with paragraphs (2) and (3) of regulation 12 of the Environmental Assessment of Plans and Programmes Regulations 2004.
Whether a neighbourhood plan proposal requires a strategic environmental assessment, and (if so) the level of detail needed, will depend on what is proposed. A strategic environmental assessment may be required, for example, where:
- a neighbourhood plan allocates sites for development
- the neighbourhood area contains sensitive natural or heritage assets that may be affected by the proposals in the plan
- the neighbourhood plan is likely to have significant environmental effects that have not already been considered and dealt with through a sustainability appraisal of the local plan or other strategic policies for the area.
Paragraph: 046 Reference ID: 11-046-20150209
Revision date: 09 02 2015
What is the relationship between a Strategic Environmental Assessment and a Habitats Assessment?
An appropriate assessment, under the Conservation of Habitats and Species Regulations 2017 (as amended), identifies whether a plan or project is likely to have a significant effect on a habitats site, either alone or in combination with other plans or projects. This assessment must determine whether significant effects on that site can be ruled out on the basis of objective information.
If the conclusion is that the plan is likely to have a significant effect on a habitats site then an appropriate assessment of the implications of the plan for the site, in view of the site’s conservation objectives, must be undertaken. If the plan is determined to require an appropriate assessment then it will normally also require a Strategic Environmental Assessment.
Paragraph: 047 Reference ID: 11-047-20190722
Revision date: 22 07 2019 See previous version
When should a plan-maker start producing a strategic environmental assessment?
Where it is determined that a neighbourhood plan is likely to have significant effects on the environment and that a strategic environmental assessment is necessary, work on this should start at the earliest opportunity. This is so that the processes for gathering evidence for the environmental report and for producing the draft neighbourhood plan can be integrated, and to allow the assessment process to inform the choices being made in the plan.
Paragraph: 029 Reference ID: 11-029-20150209
Revision date: 09 02 2015 See previous version
What level of detail is required in a strategic environmental assessment?
The strategic environmental assessment should only focus on what is needed to assess the likely significant effects of the neighbourhood plan. It should focus on the environmental impacts which are likely to be significant. It does not need to be done in any more detail, or using more resources, than is considered to be appropriate for the content and level of detail in the neighbourhood plan.
Paragraph: 030 Reference ID: 11-030-20150209
Revision date: 09 02 2015 See previous version
Who is responsible for ensuring that the strategic environmental assessment requirements have been met?
It is the responsibility of the local planning authority to ensure that all the regulations appropriate to the nature and scope of a neighbourhood plan submitted to it have been met. The local planning authority must decide whether the neighbourhood plan proposal is compatible with relevant legal obligations including Strategic Environmental Assessment Directive:
- when it takes the decision on whether the neighbourhood plan should proceed to referendum; and
- when it takes the decision on whether or not to make the neighbourhood plan (which brings it into legal force).
To support this process, it is helpful for the qualifying body to make its own assessment of whether the draft neighbourhood plan that it intends to submit to the local planning authority:
- meets each of the basic conditions
- has been prepared in accordance with the correct process and all those required to be consulted have been
- is accompanied by all the required documents
One of the following documents must be included with a neighbourhood plan when it is submitted to the local planning authority:
- a statement of reasons for a determination under regulation 9(1) of the Environmental Assessment of Plans and Programmes Regulations 2004 that the proposal is unlikely to have significant environmental effects; or
- an environmental report prepared in accordance with paragraphs (2) and (3) of regulation 12 of the Environmental Assessment of Plans and Programmes Regulations 2004
The local planning authority can discuss the steps that the qualifying body needs to take and what needs to be produced in order to comply with the Environmental Assessment of Plans and Programmes Regulations 2004 as part of meeting its duty to advise or assist the qualifying body with neighbourhood planning.
It is helpful for the local planning authority to consider what further assistance it can provide to help a qualifying body comply with the regulations, for example making available information and evidence that may help a qualifying body that is preparing the environmental report where one is required.
Paragraph: 031 Reference ID: 11-031-20150209
Revision date: 09 02 2015 See previous version
How can the strategic environmental assessment process be applied to neighbourhood plan preparation?
The key stages of neighbourhood plan preparation and their relationship with the strategic environmental assessment process are shown at paragraph 33.
Paragraph: 032 Reference ID: 11-032-20140306
Revision date: 06 03 2014
Strategic environmental assessment process
Paragraph: 033 Reference ID: 11-033-20150209
Revision date: 09 02 2015 See previous version
What is required at the scoping stage?
The scoping stage (Stage B) needs to identify the scope and level of detail of the information to be included in the environmental report. It should set out the context, objectives and approach of the assessment; establish the baseline; and identify relevant environmental issues and objectives.
Although the scoping stage is a key stage of the process, a formal scoping report is not required by law but is a useful way of presenting information at the scoping stage. A key aim of the scoping procedure is to help ensure the strategic environmental assessment is proportionate and relevant to the neighbourhood plan being assessed.
The consultation bodies must be consulted on the scope and level of detail of the information to be included within the report.
Where a consultation body decides to respond, it should do so within 5 weeks of receipt of the request (see regulation 12(5) and 12(6) of the Environmental Assessment of Plans and Programmes Regulations 2004.)
Paragraph: 034 Reference ID: 11-034-20150209
Revision date: 09 02 2015 See previous version
Who are the consultation bodies?
Regulation 4 of the Environmental Assessment of Plans and Programmes Regulations 2004 defines certain organisations with environmental responsibilities as consultation bodies. In England the environmental assessment consultation bodies are Historic England, Natural England and the Environment Agency.
Although this guidance covers England, the relevant consultation bodies in the Devolved Administrations may need to be consulted to help determine whether the plan is likely to have significant environmental effects.
Paragraph: 035 Reference ID: 11-035-20150209
Revision date: 09 02 2015 See previous version
What is baseline information?
The term ‘baseline information’ refers to the existing environmental characteristics of the area likely to be affected by the neighbourhood plan, and their likely evolution without implementation of the neighbourhood plan.
The term ‘baseline information’ refers to the existing environmental characteristics of the area likely to be affected by the neighbourhood plan, and their likely evolution without implementation of the neighbourhood plan. It provides the basis against which to assess the likely effects of alternative proposals in the draft plan. The area likely to be affected may lie outside the designated neighbourhood area and the local planning authority boundary and plan makers may need to obtain information from other local planning authorities.
Wherever possible data should be included on historic and likely future trends, including a ‘no neighbourhood plan’ or ‘business as usual’ scenario (ie anticipated trends in the absence of the neighbourhood plan being introduced). This information will enable the potential environmental effects of the implementation of the neighbourhood plan to be assessed in the context of existing and potential environmental trends. The local planning authority may be able to provide this baseline information.
Paragraph: 036 Reference ID: 11-036-20140306
Revision date: 06 03 2014
Paragraph: 037 deleted
Revision date: 22 07 2019 See previous version
How can the strategic environmental assessment assess alternatives and identify likely significant effects?
The strategic environmental assessment needs to consider and compare the reasonable alternatives as the plan evolves, including the preferred approach, and assess these against the baseline environmental characteristics of the area and the likely situation if the neighbourhood plan were not to be made. In doing so it is important to:
- outline the reasons the alternatives were selected, and identify, describe and evaluate their likely significant effects on environmental factors using the evidence base (employing the same level of detail for each alternative option). Criteria for determining the likely significance of effects on the environment are set out in schedule 1 to the Environmental Assessment of Plans and Programmes Regulations 2004;
- as part of this, identify any likely significant adverse effects and measures envisaged to prevent, reduce, and, as fully as possible, offset them;
- provide conclusions on the reasons the rejected options are not being taken forward and the reasons for selecting the preferred approach in light of the alternatives.
Any assumptions used in assessing the significance of the effects of the plan will need to be documented. Reasonable alternatives are the different realistic options considered in developing the policies in the plan. They need to be sufficiently distinct to highlight the different environmental implications of each so that meaningful comparisons can be made. However, it may be that the strategic policies for the neighbourhood area limit the alternatives that can realistically be considered.
The development and appraisal of proposals in neighbourhood plans needs to be an iterative process, with the proposals being revised to take account of the appraisal findings.
Paragraph: 038 Reference ID: 11-038-20190722
Revision date: 22 07 2019 See previous version
What does the environmental report accompanying the draft neighbourhood plan need to cover?
Regulation 12 of the Environmental Assessment of Plans and Programmes Regulations 2004 sets out the requirements of an environmental report, which is a core output of any strategic environmental assessment. An environmental report for the purpose of the regulations must identify, describe and evaluate the likely significant effects on the environment of implementing the neighbourhood plan policies and of the reasonable alternatives taking into account the objectives and geographical scope of the neighbourhood plan. The environmental report must clearly show how these requirements have been met.
The environmental report will need to include a non-technical summary of the information within the main report, and be prepared with a range of readers in mind, providing a clear, accessible overview of the process and findings.
Paragraph: 039 Reference ID: 11-039-20140306
Revision date: 06 03 2014
Who needs to be consulted on the environmental report?
The environmental report, including the non-technical summary, must be made available alongside the draft neighbourhood plan. The consultation bodies need to be sent a copy of these documents and the documents publicised in order to bring them to the attention of those members of the public likely to be affected by, or have an interest in the decisions involved in the assessment and development of the neighbourhood plan. The consultation bodies and the interested parties should have an opportunity to express their opinion and be given sufficient time to do so. These procedures can be incorporated into the pre-submission publicity and consultation process for the neighbourhood plan.
Full details are set out in regulation 13 of the Environmental Assessment of Plans and Programmes Regulations 2004.
Paragraph: 040 Reference ID: 11-040-20140306
Revision date: 06 03 2014
Should the environmental report be updated if the draft neighbourhood plan is modified following responses to consultations?
The environmental report will not necessarily have to be amended if the neighbourhood plan is modified following responses to consultation. Modifications to the environmental report should be considered only where appropriate and proportionate to the level of change being made to the neighbourhood plan. A change is likely to be significant if it substantially alters the draft plan and or is likely to give rise to significant environmental effects. Further assessment may be required if the changes have not previously been assessed and are likely to give rise to significant effects.
Changes that are not significant will not require further environmental assessment work.
Paragraph: 041 Reference ID: 11-041-20140306
Revision date: 06 03 2014
What is the role of the environmental report at the independent examination of the neighbourhood plan?
One of the basic conditions that will be tested by the independent examiner is whether the neighbourhood plan is compatible with relevant legal obligations. The basic conditions statement submitted to the local planning authority with the draft plan should set out how the plan meets this basic condition.
Paragraph: 042 Reference ID: 11-042-20190722
Revision date: 22 07 2019 See previous version
Will the environmental report have to be amended if modifications to the neighbourhood plan are proposed at examination?
The independent examiner of a neighbourhood plan is testing whether the plan meets (or can be modified to meet) the basic conditions and will make recommendations to the local planning authority. The local planning authority will then reach its own view, informed by the examiner’s report.
If the local planning authority assesses that the proposed changes are likely to have significant environmental effects which were not previously assessed then the strategic environmental assessment should be updated and the environment report amended accordingly in consultation with the qualifying body.
Paragraph: 043 Reference ID: 11-140306
Revision date: 06 03 2014
What information needs to be provided following the making of a neighbourhood plan?
Regulation 16 of the Environmental Assessment of Plans and Programmes Regulations 2004 sets out the requirements of the local planning authority once the neighbourhood plan has been made, where the plan has been subject to strategic environmental assessment.
Paragraph: 044 Reference ID: 11-044-20140306
Revision date: 06 03 2014
Does the local planning authority have to monitor the significant effects of implementing the neighbourhood plan once it has been made?
Monitoring the significant effects of the implementation of a neighbourhood plan that was subject to a strategic environmental assessment should be undertaken (see regulation 17 of the Environmental Assessment of Plans and Programmes Regulations 2004). This will enable unforeseen adverse effects to be identified at an early stage and to enable appropriate remedial actions. The local planning authority will need to consider arrangements to monitor the significant effects of implementing the neighbourhood plan and reporting this issue in its Monitoring Report.
Paragraph: 045 Reference ID: 11-045-20140306
Revision date: 06 03 2014
How do the Environmental Assessment of Plans and Programmes (Amendment) Regulations 2020 modify the requirements placed on responsible authorities and/or the Secretary of State to make documents available for inspection?
The Environmental Assessment of Plans and Programmes (Amendment) Regulations 2020 (“these Regulations”) have modified a number of inspection requirements, set out in the Environmental Assessment of Plans and Programmes Regulations 2004 (“the SEA Regulations”) that require responsible authorities (as defined in regulation 2) to make physical copies of documents available for inspection at their principle office. These Regulations make permanent some of the temporary measures introduced by the Environmental Assessment of Plans and Programmes (Coronavirus) (Amendment) Regulations 2020, with some further changes. See further detail.
These Regulations:
- Remove existing requirements for documents to be made available for inspection at principal offices and replace this with a requirement for responsible authorities to publish these documents on a public website.
- Introduce a requirement for responsible authorities to provide a copy of relevant documentation by email to members of the public who request one.
- Introduce a requirement for responsible authorities to provide a copy of relevant documentation by post to members of the public who request one. Authorities should only provide a physical copy of relevant documentation if it is reasonable to do so given coronavirus precautions, including restrictions on movement and relevant safety concerns. Wherever possible, authorities should seek to accommodate reasonable requests if they can do so safely.
- A responsible authority may levy a reasonable charge for providing a physical copy of documentation, which should be sufficient to cover the costs of providing this service. Responsible authorities may wish to consider waiving such a charge for members of the public who are unable to access the documentation electronically or find it difficult to do so. Additionally, responsible authorities may wish to offer a digital copy of documentation on a USB flash drive by way of an alternative to providing a physical copy by post drive where parties have access to a computer but have limited or no internet access, although there is no obligation on a person making a request to accept this alternative.
- Introduces a requirement for responsible authorities to provide a telephone number where members of the public without internet access can make factual enquiries about the documents. This can be an existing general enquiry line used by the authority for other matters.
- Amend the notification requirements for responsible authorities to bring to the attention of the public or other consultees the address at which certain documents can be obtained. Responsible authorities are instead required to bring to the attention of the public or other consultees the website at which these documents are available, the fact that a copy of the documents can be obtained by email, the fact that a copy of the documents can be obtained by post, and the telephone number at which enquires can be made in relation to those documents.
- Amend the notification requirements for the Secretary of State to take steps to bring to the attention of the transboundary consultees and Member State of the European Union with whom transboundary consultation has taken place the address at which certain documents can be obtained. The Secretary of State is instead required to notify the transboundary consultees or the Member State of the public website at which these documents are available.
Paragraph: 046 Reference ID: 11-046-20201231
Revision date 31 12 2020 See previous version
How can responsible authorities involve individuals without access to the internet?
Responsible authorities should be proactive in ensuring effective consultation and fair participation in the development of plans, programmes and modifications to them. They should consider how they can continue to promote effective community engagement by means which are reasonably practicable, in particular to reach those sections of the community that do not have internet access. For example, they may consider waiving fees for physical copies for those without other alternatives to engaging with documents.
Authorities are expected to make a phone line available where interested members of the public can field enquiries regarding documentation. This may be an be an existing general enquiry line used by the authority for other matters. The authority must also ensure that the number at which these enquiries may be made is brought to the attention of the public.
Responsible authorities may wish to consider providing information in alternative formats, such as on a USB flash drive, for people who have with access to a computer but limited or no internet access.
Paragraph: 047 Reference ID: 11-047-20201231
Revision date 31 12 2020 See previous version
Updates to this page
Published 9 February 2015Last updated 31 December 2020 + show all updates
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Amended paragraphs 46-47 to reflect The Environmental Assessment of Plans and Programmes (Amendment) Regulations 2020 coming into force on 31 December 2020.
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Added Paragraphs 046 and 047 which set out changes to the guidance in response to the coronavirus (COVID-19) pandemic.
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Amendments to paragraphs - 001,003,005,016,027, 038,042,047 Paragraphs 002,017,037 removed
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First published.