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PAN 58 - Environmental Impact Assessment

September 1999

Introduction

1. Environmental Impact Assessment (EIA) is a process which identifies the environmental effects (both negative and positive) of development proposals. It aims to prevent, reduce and offset any adverse impacts.

2. Within the overall EIA process there are 2 main stages. In the first stage the applicant undertakes an assessment so that environmental issues can be taken into account during the design of the project. This involves consultations, data collection and environmental studies to identify the effects and propose mitigation measures to prevent, reduce and offset them. This is reported in an environmental statement (ES) which is submitted in conjunction with the planning application. The planning authority then undertakes the second main stage by critically evaluating the statement, seeking further information from the applicant if necessary and taking into account additional consultations and public representations. This is to ensure the planning authority has sufficient reliable information to understand the likely environmental effects and specify any mitigation measures before the planning application is determined.

3. The types of project for which an EIA has been undertaken are typically complex, with a wide range of environmental effects. They often occupy extensive sites and are in sensitive locations. They are likely to raise issues which are not always easy to resolve and which often attract contentious representations. For such projects EIA provides a systematic approach to obtaining and considering environmental information.

4. The statutory requirement for EIA applies to the types of projects described in the Environmental Impact Assessment (Scotland) Regulations 1999 (Schedules 1 and 2). EIA is always required for a Schedule 1 project which by virtue of its nature or scale is always likely to have significant environmental effects. EIA is only required for a Schedule 2 project if it is judged likely to have significant environmental effects. For the overwhelming majority of development projects however, normal planning powers are perfectly adequate to gain environmental information and EIA is not required (see paragraphs 10-12).

Schedules 1 & 2 are reproduced at Annex 1 & 2

5. This PAN provides information and advice on:

• the legislative background to EIA;
• EIAs in Scotland;
• the process of environmental impact assessment ;
• environmental studies and statements;
• the evaluation of environmental information by the planning authority;
• implementation through the planning decision.

6. It also points the reader to additional sources of information and advice. Guidance and advice on EIA in relation to specific topics has already been issued in relevant NPPGs and PANs which should be read in the light of this PAN, the 1999 Regulations and SEDD Circular 15/1999. An index to the EIA references in NPPGs and PANs is at Annex 3.

7. This PAN relates specifically to environmental impact assessment for development projects authorised under planning legislation. EIA may be required under other legislation, for example trunk roads under the Roads (Scotland) Act 1984, but the basic principles of this advice are likely to be relevant. Further information on other regimes may be found at paragraphs 102-104.

The term EIA was formerly known as Environmental Assessment (EA).

The Legislative Contex

The European EIA Directive and The Scottish Regulations

8. The statutory requirement for environmental impact assessment is the 1985 European Council Directive (No. 85/337/EEC) "on the assessment of the effects of certain public and private projects on the environment". This was amended in 1997 by Council Directive 97/11/EC. (An informal consolidation of the Directives is available via the Department of the Environment, Transport and the Regions home page - http://www.planning.odpm.gov.uk/ .

"...the assessment procedure is a fundamental instrument of environmental policy as defined in Article 130r of the Treaty and of the Fifth Community Programme of policy and action in relation to the environment and sustainable development.....Community policy is based on the precautionary principle and on the principle that preventative action should be taken, that environmental damage should as a priority be rectified at source and that the polluter should pay."

EC Directive 97/11/EC

9. The Environmental Impact Assessment (Scotland) Regulations (Scottish Statutory Instrument 1999 No. 1) transpose the EIA Directive as amended into Scottish planning law. With regard to Town & Country Planning matters they supersede the Environmental Assessment (Scotland) Regulations 1988 and all amendments. The Regulations set out the statutory procedures, list the types of project to which they apply, specify the information to be contained in an environmental statement, list the consultation bodies and provide criteria for deciding whether projects are likely to have significant environmental effects. Copies of the Regulations may be purchased from The Stationery Office and are also available on their web site ( www.scotland-legislation.hmso.gov.uk).

Environmental Information and Normal Planning Powers

10. The Town and Country Planning (Scotland) Act 1997 and the General Development Procedure Order 1992 provide planning authorities with wide ranging duties and powers to collect and evaluate information from consultees and the applicant before determining any planning application. This may involve consultation and discussion as appropriate with statutory bodies (such as the Scottish Environment Protection Agency and Scottish Natural Heritage), amenity bodies, community councils, the public generally and other council departments or services.

11. The planning system therefore provides a means for assessing the environmental effects of all applications and the absence of a formal EIA does not mean that environmental issues are not being considered nor appropriate mitigation measures put in place. In the vast majority of cases, the normal powers and duties are sufficient for the planning authority to gather the information it needs, but when an EIA is required, they are supplemented by the procedures set out in the Environmental Impact Assessment (Scotland) Regulations 1999.

12. A wide range of development proposals have 'permitted development rights' which means that a specific application for planning permission is not needed. Where however such proposals require EIA under the Regulations, permitted development rights are withdrawn and planning permission must be sought. In cases of doubt the planning authority should be consulted.

Circular No. 15/99 paragraphs 61-65

Other Environmental Legislation

13. There are additional environmental controls which are likely to share information requirements with an EIA. These include Integrated Pollution Control which deals with discharges from major industrial processes and the Control of Major Accident Hazards Regulations. Each has its own legislative requirements and questions will arise over whether applications should be prepared and submitted concurrently or sequentially. For further advice reference should be made to PAN 51 Planning and Environmental Protection (paragraphs 45 - 48).

14. EC Directive 96/61 on Integrated Pollution Prevention And Control (IPPC) was adopted in September 1996. Although the directive's provisions do not require that an EIA be prepared for IPPC authorisation, if an EIA has been carried out under the EIA (Scotland) Regulations then that information may be included in or attached to the application. (The IPPC Regulations which will implement EC Directive 96/61 are intended to come into force on 30 October 1999)

15. Special Protection Areas (SPAs) under the EC Wild Birds Directive (79/409/EEC) and Special Areas of Conservation (SACs) under the EC Habitats Directive (92/43/EEC) are collectively known as "Natura 2000" sites. Planning authorities are required to make an appropriate assessment of whether a plan or project significantly affecting a Natura 2000 site is likely to damage a conservation interest of that site, and in doing so they must consult SNH. The assessment is required whether or not the proposal is subject to a full EIA. If an EIA is carried out for a project affecting a Natura 2000 site, the environmental statement should address the impact of the proposal on the conservation interest of the site in question. The environmental statement will help the planning authority to make its assessment of whether a proposal is likely to have a detrimental effect on the conservation interest and therefore whether they may grant planning permission for the proposal. The Government's policy is that proposed Natura 2000 sites, and sites designated under the Ramsar Convention on Wetlands of International Importance, should be protected to the same extent as if they had the status of designated SPAs or SACs. Further advice is given in SOEnvD Circular No. 6/1995.

Record of EIA in Scotland

Background

16. Scotland was in the forefront of environmental impact assessment during the 1970s and early 1980s when around thirty were undertaken, predominantly for the large onshore construction projects associated with the North Sea oil and gas industry. This work, supplemented by experience in the rest of the UK and by practice in the United States was drawn together and published in A Manual for the Assessment of Major Development Proposals, London, HMSO, 1981. The aim of the manual was "to assist planners and others in making a balanced assessment of major development proposals within the existing framework of planning controls and other statutes."

Number & Types of EIAs

17. Since the 1988 Regulations came into force, the procedural requirements for environmental impact assessment have been fully integrated into the operation of the planning system. In Scotland up to February 1999, there had been 347 EIAs for planning projects. To put this figure into context, in the year from April 1998-March 1999 there were 42,432 planning applications in Scotland.

18. Of the 347, only 27 were for Schedule 1 projects (for which EIA is always required). Table 1 shows the number of Schedule 1 projects by category:

19. Schedule 2 of the 1988 Regulations contained 85 categories of project. More than two-thirds of the EIAs in Scotland were however undertaken for projects in only 8 of these categories (see Figure 1). There were no planning related EIAs for the majority of categories.

20. Of the eight most common project categories, the two types of mineral extraction (which may often generate similar large scale environmental effects) have accounted for around 27% of the total number of EIAs since 1988. Controlled waste disposal (i.e. household, commercial and industrial waste disposal) accounted for nearly 12%, and wind generators around 8% despite the fact that this category was only added to Schedule 2 in 1994. The implementation of various European Directives relating to water quality explains the number of waste water treatment works (7%). Urban development projects (5%) included football stadia, new settlements and mixed use development projects.

Distribution of EIAs

21. Map 1 shows the distribution of EIA applications. There is a marked concentration in the Central Belt where population and development pressure is greatest, and on the east coast. Highland, Fife and East Ayrshire have had a large number of applications whilst neither East Dunbartonshire nor East Renfrewshire have received any (see table 2). Authorities' experience of handling EIA applications consequently varies accordingly.

22. Certain projects have specific requirements that dictate their location. The presence of a particular resource within an authority's boundary will affect the categories of project with which it is likely to be familiar. For example, of the 27 EIAs carried out in East Ayrshire (and its predecessor authorities), 60% relate to opencast coal applications.

23. A list of environmental statements received by the Secretary of State for planning projects is included at Annex 4. This may be useful to both planning authorities and other interested parties where they are faced with unfamiliar projects, so that they may draw on relevant experience that exists elsewhere in Scotland. The statements are available for examination by arrangement with the Scottish Executive Library, K Spur, Saughton House, Edinburgh (Tel. 0131 - 244 4564).

EIA overview

24. The process of EIA should begin when a project is initiated and continue right through to monitoring the impacts of the development, the on-going operation of mitigation measures and, where appropriate, site restoration. The process includes the preparation of an environmental statement by the developer to accompany a planning application, consultation with expert bodies and the public, and scrutiny by the planning authority. In this way the available information about the environmental effects of a project is collected and evaluated before being taken into account in the determination of the planning application.

25. The overall EIA process may be subdivided into a number of steps, illustrated by the adjacent diagram. The diagram is a simplified depiction of a complex process. In practice, the process rarely proceeds in a simple linear fashion. For example, environmental studies may identify a significant adverse impact which can only be overcome by altering the design, so the process reverts to the first step, but this does not necessarily mean that the screening and scoping stages will have to be repeated.

Consultation and Public Involvement

26. At several steps in the EIA process, a number of bodies have a duty if requested to provide information and advice: to the planning authority on the scope of the EIA, to the applicant during the preparation of the environmental statement (ES), and to the planning authority during their evaluation of the ES and consideration of the application. During the EIA process, as additional information is made available the initial views of consultees may develop, but there is an expectation that their advice will be consistent on points of principle. As appropriate in giving their advice these bodies act within the requirements of their own legislation to protect/promote the well being of the environment. The consultation bodies and their areas of expertise are set out in the box below.

EIA (Scotland) Regulations1999, Regulation 2(1)

27. There is also a requirement for public involvement. The submission of an environmental statement must be advertised and copies made available for inspection or purchase at reasonable cost. Local and national interest groups, and members of the public may all have useful comments to make on the scope of the assessment, the existing environment, potential impacts and mitigation measures. Local knowledge may raise issues of which the statutory bodies are unaware, and for this reason, notwithstanding the statutory consultation requirements the public should be invited to participate in the process as early as is possible. Public meetings, leafleting of local residents and questionnaires have all been used to elicit a comprehensive understanding of public views and concerns.

Circular No. 15/99 paragraphs 101-110

Outline applications

28. Where EIA is required for a planning application the requirements of the Regulations must be fully met regardless as to whether the application is in outline form. The limited information generally provided in an outline application is unlikely to be sufficient to form the basis of an environmental statement (ES), or for the planning authority, the public and the statutory consultees to make an informed response. There may be uncertainties for example over the way the project will be constructed and operated, including its design and development footprint, making it difficult to accurately determine the environmental effects on the basis of the documentation submitted with the outline planning application. Further environmental information will thus be required to ensure compliance with the regulations.

Circular No. 15/99 paragraph 48

29. There is no completely satisfactory approach to resolving the uncertainty inherent in technically complex projects. Attempts have been made to base the work on a set of assumptions about the project and the resultant effects. The EIA might proceed on that basis with the detailed design of the project being undertaken within the parameters set by the assumed impacts as a whole, allowing for some trade-offs between the detailed impacts. If however it was subsequently found that the detailed design could not proceed within the set of assumptions, a new EIA might be necessary under Schedule 2 paragraph 13 which covers changes or extensions to projects. Alternatively, applicants have agreed at the outline stage to abide by the environmental performance and mitigation measures which will be defined at the detailed stage as being "to the satisfaction of the planning authority".

30. Either option will pose difficulties:

• for the applicant, who will be entering into a project with uncertain mitigation and perhaps design costs;
• for the consultees and public who will be unable to fully contribute; and
• for the planning authority who will have to determine an application that by definition is likely to have significant environmental effects but which will, at best, be only partly defined.

A planning authority may decide, given the circumstance of a case, that they are unable to entertain an outline application unless further details concerning the siting, design, external appearance, access or landscaping have been submitted (Article 4(3) of the General Development Procedure (Scotland) Order 1992).

31. In considering whether an outline application accompanied by an ES can be entertained, planning authorities and developers should bear in mind whether:

• enough detail is known about the project to prepare an ES in accordance with Schedule 4 of the Regulations, particularly the description of the development and the processes, and to give 'an estimate by type and quantity of expected residues and emissions';
• for the particular project, an ES based on an outline application is consistent with the principle of project design and environmental considerations progressing together;
• the public's ability to make representations will be unduly constrained;
• the complexity of the likely environmental effects can only be properly explored at the detailed stage;
• an outline will provide sufficient information for the planning authority to determine the application.

EIA (Scotland) Regulations1999, Schedule 4, Part I,1(c)

Project Initiation - Design with the Environment

32. Environmental issues should be considered at the earliest stages of a project, such as project initiation and feasibility studies, alongside the other design and technical factors. Design work should proceed in the knowledge of any environmental constraints and issues. Consideration of environmental issues at all stages of project development is likely to prevent costly mistakes, for example abortive design work, which could have been avoided if the environmental constraints had been realised. Such consideration should also result in the cost-effective design of mitigation measures and may help to identify positive impacts which will enhance the environment.

33. Providing environmental data to inform project design is a key function of EIA, for example a landscape assessment may suggest the optimum position for siting buildings to minimise their impact on the landscape. The detail contained in the EIA will increase as the project progresses and can be used iteratively in the design process. One application of EIA is in the initial site selection process, where the information obtained through scoping can be used to prevent impacts by choosing a site (or sites) which avoids environmentally sensitive features (see paragraphs 53-54 on mitigation).

34. The environmental issues should also influence the alternatives considered and be key factors in choosing between them. The alternatives may include different sites, different positions of buildings, plant and equipment on the site, or different processes. Once a preferred site is selected, detailed EIA can then be used in conjunction with design to provide acceptable site layouts and operational processes. For example, the ES for a proposed waste to energy plant in West Lothian reviewed alternative disposal options for clinical waste (including export to existing sites in England), as well as alternative sites in Central Scotland.

Screening - Considering Whether EIA Is Required

35. The planning authority has a statutory responsibility for deciding whether an EIA is required for Schedule 2 projects (an EIA is always required for Schedule 1 projects) - a process known as 'screening'. Initially however the applicant should consider, possibly in discussion with the planning authority, whether in their view a project requires EIA. Firstly it must be a "Schedule 2 development" i.e. it must be listed in Schedule 2 of the Regulations and either exceed or meet any applicable threshold or criterion in Column 2 of that schedule, or be in a 'sensitive area' (as defined in the Regulations Part II, 2(1)). Once a proposal is established as a Schedule 2 development, to require an EIA it must be judged by the planning authority as likely to have significant environmental effects. A written request may be made to the planning authority for their opinion. The characteristics of the development, its location and potential impact are key considerations, and detailed criteria under these headings are set out in Schedule 3 of the Regulations.

EIA (Scotland) Regulations1999, Schedule 2

Circular No. 15/99 paragraphs 28-49

36. In the light of the criteria EIA will generally be needed for Schedule 2 projects in three main types of case:

• Major developments which are of more than local importance;
• Developments which are proposed for particularly environmentally sensitive or vulnerable locations;
• Developments with unusually complex and potentially hazardous environmental effects.

For Schedule 2 developments the need for EIA has to be determined on a case by case basis. To assist in this the Circular lists indicative criteria and thresholds which indicate the types of case for which EIA is more likely to be required.

Circular No. 15/99 Annex A

37. Only limited information about the project may be available initially, though the planning authority may request additional information. The planning authority may occasionally wish to seek the advice of key consultees, but nevertheless experience shows that it can sometimes be difficult to reach a decision on the need for EIA. In such cases, and within the requirement to undertake EIA for projects where there are likely to be significant environmental effects, the considerations which affect the planning authority's decision on whether EIA is required have included:

• whether EIA is the only way to be certain of gaining the environmental information;
• whether the potential impacts are limited, with negligible interaction between them;
• the complexity of any interdependent impacts;
• the proximity of, and possible effects on, designated areas and sensitive receptors; and
• where an EIA would remove uncertainty and improve confidence that environmental issues have been fully addressed.

For detailed guidance on Screening reference should be made to SEDD Circular No.15/99, paragraphs 28-79.

Environmental Studies

38. EIA has to identify the likely environmental effects of a project through the study and analysis of individual issues, predicting and assessing the projected impacts and proposing measures to mitigate the effects. The work is invariably led by a consultant or in-house team, calling upon experts in particular fields (e.g. noise) to undertake specific studies and advise on mitigation measures. The statutory consultation bodies have a duty to provide information if requested and may also on occasion be able to advise more widely on such issues as design and construction. In addition, applicants may find it beneficial to keep the planning authority informed as the work progresses on the studies and environmental statement, offering them the opportunity to comment.

EIA (Scotland) Regulations1999, Regulation 12

39. The approach to any assessment and the techniques employed will be dependent on the nature of the project, potential impacts and the environment. However, the approach and its presentation in the ES should always be systematic.

A Systematic Approach

Scoping(see paragraphs 40-43)

• undertake a scoping exercise to establish significant issues

Baseline Studies (see paragraphs 44-46)

• examine, through baseline studies, the environmental character of the area likely to be affected by the development;
• identify relevant natural and manmade processes which may already be changing the character of the site;

Predicting and Assessing Impacts (see paragraphs 47-52)

• consider the possible interactions between the proposed development and both existing and future site conditions;
• predict and assess the possible effects, both negative and positive, of the development on the environment; and

Mitigation (see paragraphs 53-57)

• introduce design and operational modifications or other measures to avoid, minimise or mitigate adverse effects and enhance positive effects.

(Source: paragraph 1.2, Preparation Of Environmental Statements For Planning Projects
That Require Environmental Assessment- A Good Practice Guide, DOE, 1995)

Scoping

40. The applicant should identify the key issues for EIA before the detailed studies commence (a process known as 'Scoping'). The normal pre-application discussions between the developer and the planning authority are an opportunity for both parties to discuss the scope of the EIA. For the planning authority in particular, this is an opportunity to act positively and provide early advice on the EIA process, methodologies, sensitive issues and sources of information. Early involvement of all parties is encouraged. Under Regulation 10, the planning authority has a duty, if requested, to give their opinion in writing to the applicant on the information to be provided in the ES. The applicant has first to provide information on the proposal including a site plan, a brief description of the proposal and its possible effects. At project initiation stage developers may wish to carry out scoping to a limited extent, possibly on a confidential basis, prior to seeking the formal opinion of the planning authority. The scoping is a key part of the EIA process but additional issues may still emerge as work progresses and the planning authority is not precluded from requiring the applicant to submit further information at a later stage.

41. The purpose of scoping is:

• to focus the EIA on the environmental issues and potential impacts which need the most thorough attention;
• to identify those which are unlikely to need detailed study;
• to provide a means to discuss methods of impact assessment and reach agreement on the most appropriate.

42. By drawing on the knowledge of the planning authority and consultees, a scoping exercise will help the developer to identify the main issues quickly. It also gives an early indication of where mitigation measures may be necessary and should help to reduce requests for further information once the ES is submitted. In some cases developers have used a forum of interested parties to discuss the issues informally prior to the formal scoping stage. The matters identified by the scoping exercise will derive from the nature of the project, the site and the environment.

43. A good scoping exercise will lay the foundations for a good EIA. It is a critical and essential stage. Further advice is available in Guidance on Scoping European Community May 1996 and in A Good Practice Guide to the Preparation of Environmental Statements DoE 1995.

In the case of the Beinn An Tuirc windfarm in Argyll and Bute, initial discussions with a limited range of parties led to a preliminary scoping report which was then widely circulated. This brought other interested parties into the process and gave the applicant a secure basis for the study. A summary of the issues raised by each interested party was presented as a matrix in the ES (see Figure 2).

A consultation exercise was also carried out to identify the most significant of the issues and detailed assessments were carried out for:

• landscape and visual amenity
• protected bird species
• protected habitats (blanket bog)
• tourism
• noise
• telecommunications and television interference.

Three other issues were also assessed in less detail:

• air and climate
• transport
• archaeology

Baseline Information

44. Information on the existing environmental conditions (i.e. baseline information) is needed so that possible changes can be predicted and assessed. The topics for baseline information and the methods of study should be identified and agreed by the relevant parties in the scoping exercise. Collecting the information may involve, in the first instance, drawing on existing records, for example archaeological records, but where information does not exist or is inadequate for accurately predicting possible impacts, new surveys will need to be undertaken e.g. conducting a noise survey to measure the existing noise climate. The planning authority and statutory consultees will be of assistance in identifying data sources and advising on appropriate measuring techniques. Existing sources will be particularly valuable when surveying can only be carried out at a certain time of the year (e.g. surveys of flora or migratory birds), or must be undertaken over a lengthy period of time (e.g. to understand behavioural patterns). In the absence of existing data, applicants should be aware of such time constraints when programming projects.

45. Baseline studies should also identify the existing processes of change in the environment which are likely to influence the character of the site or its surrounds, so that any changes which are predicted to occur due to the project can be distinguished from those which are expected to occur anyway. The predicted future environmental conditions which would exist if the proposed development did not materialise is known for EIA purposes as the 'do nothing scenario'.

46. There is often more than one method of measuring environmental information. For example, different indices and methods are used for measuring, predicting and assessing industrial noise as compared to transport noise. Furthermore, there may be different levels of survey. In the case of habitat, for example, an initial survey may simply involve a general description of habitat, but this may indicate that a more detailed survey is required involving the collection of quantitative vegetation data. The method and level of survey will be determined by the nature of the project and the sensitivity of the environment.

Predicting and Assessing Impacts

47. Using the information from the baseline studies and knowledge of the proposed development, the aspects of the project which might affect the existing or predicted environment can be identified. The effects (positive as well as negative) generated by the project should be identified and evaluated for both the construction and operational stages. It is likely that each stage will have different impacts and in some cases the more significant effects will be during construction. For some projects the environmental effects will extend considerably beyond the confines of the application site. Baseline studies and predicted impacts should reflect this. For each environmental topic area, types of impact identified "should cover direct effects and any indirect, secondary, cumulative, short, medium and long-term, permanent and temporary, positive and negative effects". The inter-relationship between impacts is an important consideration. The data gathered can and should feedback into the design process, in order that adverse environmental impacts can be addressed at an early stage (see paragraphs 32-34 on Project Initiation - Design with the Environment).

EIA (Scotland) Regulations1999, Schedule 4, Part I.4

48. The majority of the work should be devoted to those key issues which give rise to the major environmental effects, and how they have been mitigated. It is not usually necessary to study minor impacts in detail. Nor is there any point in assessing impacts in detail if it has been established that emissions fail to meet acceptable standards. For example, if water pollution levels will exceed legal maxima there is little point in proceeding to report on the precise effects on aquatic flora and fauna. An effective scoping process will identify the importance of the issues, the method for studying them and what standards are applicable. The scoping study for an EIA for industrial development in South Ayrshire showed that ecological impacts were unlikely to be significant given that the land was already intensively farmed. Consequently, the issue was considered in only one and a half pages in the environmental statement. However, a similar development in a more sensitive location, e.g. adjacent to an SSSI, is likely to need more detailed analysis.

49. Impacts can often be analysed in terms of the source of pollution (e.g. emissions of process water), the pathways by which they may travel (e.g. through ground water) to arrive at a receptor (e.g. fish or a reservoir intake). This approach provides a useful basis for understanding the environmental pollution impacts of projects and identifying the measures which are needed to mitigate them.

50. Methods for predicting environmental effects and their magnitude are specific to the environmental topic and are a matter for expert consultants. For some topics there will be qualitative techniques (e.g. landscape assessment, photomontage) which rely on previous experience and knowledge about the consequences of a given action. For other topics there will be quantitative techniques which usually seek to model the natural environment and calculate the effects of the change due to the project (e.g. the dispersal patterns and dilution of emissions to air). Some topics may involve a mixture of qualitative and quantitative techniques. The predictions are very likely to be subject to a degree of uncertainty and this should be explained together with any assumptions on which they are based.

51. Once impacts have been identified then they must be evaluated. For instance studies may show that there will be emissions to air from a proposed industrial plant. If the emissions will not lead to an increase in gases in excess of natural variation then the effect might be described as insignificant. If, however, gaseous emissions will result in detectable increases in concentrations but still below permissible legal limits, this may be considered to be of minor significance. Emissions which will lead to a breach of legal limits would clearly be of major significance. Other effects, for example landscape impacts, will require more subjective evaluation.

52. Further information on baseline measurement techniques, and predicting and assessing impacts for individual environmental topics may be found in the publication, Preparation of Environmental Statements for Planning Projects (DoE 1995), particularly in the appendices. There is also a considerable body of literature on the subject. Some key references may be found in the bibliography.

Mitigation

53. The elimination of adverse environmental impacts, or their reduction to an acceptable level is at the heart of the EIA process. By definition all EIA projects are likely to have significant environmental effects and the potential for mitigation ought therefore to be considered at every stage of the EIA process. In determining an application the planning authority will be concerned to know which potential effects have been prevented, which reduced, and which offset. Effects which cannot be mitigated should be acknowledged. It is vital that the ES plainly describes the mitigation measures and that the magnitude and significance of residual impacts are clearly identified.

Mitigation Measures

In this advice measures to 'prevent' adverse effects include measures to 'avoid' them, and measures to 'offset' include measures to 'remedy' them.

See EIA (Scotland) Regulations 1999, Schedule 4 Part I.5 & Part II.2

54. It is helpful to consider mitigation as a hierarchy of measures ranging from the 'best' i.e. prevention, down to the 'worst' i.e. compensatory measures. In principle the options at the top of the hierarchy should be considered first and lower alternatives only considered if higher options are not feasible. The higher level alternatives can probably only be fully considered during the early stages of a project.

A. Prevent - The most effective approach will be to prevent the creation of adverse environmental effects at source rather than trying to counteract their effects through specific mitigation measures (e.g. so called "end of pipe" solutions). Typical at source solutions may include:

• the choice of site - for example a site remote from concentrations of people or which does not affect designated areas.
• the location of plant within the site - for example locating the noisy plant away from noise sensitive development.
• specification of operational equipment- for example the use of an inherently quieter machine.

B. Reduce - If the adverse effects cannot be prevented steps should be taken to reduce them. Methods to reduce adverse effects include:

minimisation at source

• choice of process - for example the use of a cleaner technology or an alternative chemical process.
• use of low noise or vibration construction equipment
• operating the site to minimise the production of leachate.

abatement on site

• colour of buildings
• screen planting and landscaping
• noise attenuation measures
• reduced hours of operation

abatement at receptor

• noise insulation for houses
• relocating rare species

C. Offset - When effects remain that cannot be prevented or reduced, they may be offset by remedial or compensatory action such as:

• provision of environmental improvements
• provision of new opportunities for access and informal recreation
• creation of alternative habitats
• prior excavation or study of archaeological features.

Offsetting measures can be difficult to deliver successfully and a sensitive approach will be needed. Action may be needed before development commences, and may link to other initiatives for example local bio-diversity action plans. Planning authorities should always carefully consider whether the adverse effects are such that there can be no adequate means of compensation, and the extent to which the proposed offsetting measures compensate for the negative impacts.

Schedule of Environmental Commitments

55. To clarify exactly what mitigation measures are envisaged it will be helpful to include a separate list of them in the ES. This is known as the Schedule of Environmental Commitments and could be updated as the evaluation proceeds and be used as the basis for specifying planning conditions. It would include both integral and 'add on' mitigation measures and identify any issues where mitigation will be agreed at a later stage. In any event the ES should:

• specify the effects being mitigated;
• identify the location, design and timing of the mitigation measures;
• state the predicted effectiveness of the measures (i.e. the extent to which the impact will be reduced); and
• explain the monitoring arrangements.

56. The choice of mitigation measures should take account of any potential secondary impacts. For example, a bund to mitigate noise impact will itself have an impact on the landscape, and may affect archaeological features.

57. Specific mitigation measures may be needed to deal with the effects arising from each stage in the life of a development; construction, commissioning, operation, decommissioning, and restoration & afteruse/aftercare. They may also include alternatives, physical design and project management measures.

(More extensive information on mitigation is contained in Mitigation Measures in Environmental Statements DETR 1997)

Monitoring

58. To complete the process of EIA the actual impacts of a project and the mitigation measures have to be monitored and compared to those predicted. This is an essential part of the process. It will demonstrate that the time and money invested in the EIA by all the parties is being taken seriously and enable corrective action to be taken if required. It will confirm and ensure that wider environmental aims are being met. A Schedule of Environmental Commitments (see paragraph 55-57) will provide a good basis for monitoring arrangements.

59. Monitoring involves checking that the development is proceeding in accordance with the planning permission, but also includes on-going study to show whether any defined environmental standards or parameters (for example, related to noise, emissions to air or water quality) are being met during construction and when the development is in use. To be effective the monitoring arrangements must specify what action will be triggered if the results of monitoring show that specified standards are not being achieved.

60. For some particularly complex projects a more comprehensive approach to managing impacts, known as an Environmental Management System, may be preferable. This offers a structured approach which defines all legal and other requirements, including those in planning conditions. It establishes responsibilities, the monitoring procedures and performance standards, plus review mechanisms to ensure that the system is functioning correctly.

61. The ES and any conditions concerning monitoring should specify:

• what is to be monitored;
• the standard or parameter to be achieved;
• who will carry out the monitoring on the ground;
• how the monitoring is to be funded;
• who will receive the results and be responsible for any necessary action.

The Environmental Statement

62. The environmental statement (ES) is the applicant's statement on the project, its likely environmental effects and the measures proposed to mitigate adverse effects. It will also report on the information, studies, techniques and analysis involved in the work. A systematic ES is the most significant contribution to the planning authority's evaluation of the environmental effects of a project even though it is common for further information to be required or clarification sought as a result of the authority's review of the ES and any representations received.

63. By collecting and presenting environmental information in a systematic fashion, the statement is of benefit to the planning authority, consultees, the public, interest groups and the applicant.

Content of the Environmental Statement

64. The required contents of an ES are specified in the 1999 Regulations in the following terms:

Environmental Statement - Information Required

"environmental statement" means a statement that includes at least -

a) a description of the development comprising information on the site, design

and size of the development;

b) a description of the measures envisaged in order to avoid, reduce and, if

possible, remedy significant adverse effects (mitigation measures);

c) the data required to identify and assess the main effects which the

development is likely to have on the environment;

d) an outline of the main alternatives studied by the applicant or appellant and

an indication of the main reasons for his choice, taking into account the

environmental effects;

e) a non-technical summary of the information provided under (a) to (d) above.

EIA (Scotland) Regulations 1999 Regulation 2(1) & Schedule 4, Part II

65. In addition the statement must include such further information which is reasonably required to assess the environmental effects of the development. Reference should be made to the Regulations but in summary further information may include:

• a full description of the project's physical characteristics;
• a description of the main characteristics of the production processes;
• an estimate of expected residues and emissions from the operation of the project;
• a description of the aspects of the environment likely to be significantly affected by the development (in particular - population, fauna, flora, soil, water, air, climatic factors, material assets (including heritage), landscape and the interaction between them;
• a description of the likely significant effects of the development, direct, indirect, and cumulative, on the environment;
• a description of the forecasting methods used;
• an indication of any difficulties (technical difficulties or lack of know-how) encountered in compiling the required information.

EIA (Scotland) Regulations1999, Schedule 4, Part I

66. The environmental statement is submitted in support of the planning application, but is not part of the application itself. The statement should be objective, and information indicating negative effects should not be omitted. Conclusions should be drawn from the data, rather than tailored to favour the proposal, and a distinction should be made between matters of fact, judgement and opinion. 67. If, during the environmental studies and the preparation of the ES, environmental effects came to light which could not be mitigated the developer might decide not to make the planning application. When however a project is taken through to the planning application stage, it is only to be expected that the ES will conclude that overall the environmental effects, with mitigation, are not sufficient in the judgement of the applicant to warrant refusal of planning permission.

68. In a good quality ES it will be clear that during the process of preparing the ES, the environmental impacts were accurately identified and that the project design was altered and mitigation measures introduced in order to make the project acceptable. This is a key way in which EIA achieves environmental objectives. The ES is not however definitive and the planning authority, taking advice from consultees and the public, has the task of evaluating the ES and confirming (or not) its validity and if necessary seeking additional mitigation measures.

Reporting on Alternatives

69. It has always been good practice for the ES to report on the alternatives considered by the applicant and it is a requirement of the 1999 Regulations. The reporting has not amounted to a full ES on each alternative, even where they have been significantly different, but has given an outline of them and explained how the choice between them was made (see also paragraph 34).

EIA (Scotland) Regulations 1999 Schedule 4

70. In presenting alternatives, applicants and planning authorities need to recognise the constraints of commercial confidentiality and the potential for creating blight, especially where a development is part of a programme and the alternatives are projects which may come forward in due course.

71. The Regulations do not require the applicant to "invent" alternatives when none has been considered (although the lack of alternatives should be explained). It is accepted that the alternatives available will be constrained by economic and operational reasons. The planning authority should determine the planning application on the merits of the proposal before them and not on the merits of potential alternatives (for some projects however the existence or otherwise of a feasible alternative may be a material consideration in the determination of the application).

Presentation of the Environmental Statement

72. An environmental statement should have a minimum of two parts; a main report, and a non-technical summary (NTS). Specific environmental studies and technical material can be part of the statement or they can be in separate volumes. They should however be available to interested parties.

Main Report

73. The main report should give an account of all the environmental assessment work from project inception through to the mitigation measures and monitoring arrangements. It should read as a single document and not be merely a compendium of separate reports on each environmental topic or impact. To help the reader, lengthy or detailed supporting studies should be confined to appendices, and accurately summarised in the main report and the non-technical summary. The main body of the statement can thus be kept to manageable proportions.

74. As each project is unique it is not appropriate to prescribe a fixed length for statements, but in every case, what is required is a concise, comprehensive and objective report. About 50 pages for projects with few significant impacts and about 100 pages where there are more complex issues, can be taken as a general guide however. 150 pages should generally be regarded as the maximum.

75. It is helpful if each environmental topic is discussed in the ES in a logical sequence distinguishing between:

• Potential impacts;
• Existing baseline conditions;
• Predicted impacts, giving a measure of their nature, extent and magnitude;
• The scope for mitigating adverse effects; and
• The significance of unavoidable and/or residual impacts.

76. Suitable diagrams and illustrations should be used to support the text. Summary tables like that shown at Table 3 are a useful way of presenting a large amount of information in a user friendly manner.

77. The information should be presented in such a way that the links between the main body of the report, the appendices, and the non-technical summary are clearly indicated, so that the reader can move from one to another with ease. Page and paragraph numbering should be consecutive and consistent between different sections of the main report. If separate volumes are used, then each should be clearly marked as to its contents. Planning applications and environmental statements should not be bound together in one volume, because the statement and the planning application may be seen as one and the same thing. In fact the EIA is only one aspect of determining a planning application and there are likely to be other material planning considerations.

Non-Technical Summary

78. The purpose of a Non-Technical Summary (NTS) is to ensure that the key points of the environmental statement including the findings of the studies and the mitigation measures proposed can be more readily understood by non-experts and decision makers. It should therefore be presented in a form that does not deter the reader, and provide an accurate and balanced statement of key information contained in the main body. The nature of EIA means that the ES will contain complex information, but the NTS should present information in a manner which the lay person may readily understand. Appropriate maps, diagrams and illustrations should be included. Despite their name, some NTSs have been too technical to be of use to many members of the public and that represents a waste of time and limited resources.

The Non Technical Statement prepared by East of Scotland Water, accompanying the environmental statement for the Newbridge Waste Water Treatment Works, contains the following helpful elements:

It is:
Size A4;
Black and white (for ease of copying);
Separately bound;
Not reliant on technical jargon; and
Structured in a logical and easy to follow way.

It includes:
A summary table of impacts; and
A site plan.

The main report also contains a copy of the NTS for ease of reference.

79. The preferred paper size for the NTS is A4 so that it may be easily copied for consultation and public participation. Ideally it should be available separately as well as being included in every ES. Consultation will be aided if it is available free of charge. It should also say where the complete ES may be consulted or obtained and the cost. The NTS could also be published on the Internet.

Checklist of Quality Indicators

80. There is no one 'correct' way of preparing an Environmental Statement, as the nature of projects, sites, environments and methodologies vary. Nevertheless, the following checklist should be of help to those preparing, commenting on and evaluating statements.

Environmental Statements: A Checklist of Quality Indicators

• Does the statement report on a systematic approach to the gathering and analysis of information?
• Does it contain the information specified in Schedule 4 of the Regulations?
• Is the information presented in a clear, comprehensive and objective manner?
• Is there a relatively concise main report which draws on the technical studies and summarises them as necessary?
• Is there sufficient cross referencing for the reader to make the links between the NTS, the main report, appendices, and any separate studies?
• Is the space devoted to environmental issues commensurate with their potential impacts, and are those issues with insignificant impacts identified?
• Are mitigation measures presented as a hierarchy?
• Are mitigation (and restoration) measures described in sufficient detail and timetabled?
• Does it state the means by which monitoring will be carried out?
• Are the methods by which the analysis was carried out and the ES prepared explained, and are the credentials of the experts involved stated?
• Is the development plan context for the project set out ?
• Are detailed technical studies contained in appendices?
• Are links to other consent regimes clearly indicated?
• Is the 'Non Technical Summary' a summary in every-day language?

evaluating the environmental statement and information

The Process of Evaluation

81. The ES is the most visible part of the whole EIA process, and ought to be the main source of environmental information available to the planning authority. Evaluation however, involves not only reviewing the information and analyses in the ES, and adding to it if necessary, but also considering representations from consultees and the public, plus the information provided by the council's own specialists, and the expertise of planning officers. The evaluation involves a process of re-interpretation and reconsideration in the light of the representations, to the point where the planning authority has sufficient confidence in the nature of the likely impacts and the necessary mitigation to determine the application and attach any conditions. As the work progresses new issues may come to light or need to be pursued in more depth with the applicant. A thorough scoping exercise and a good environmental statement will minimise the likelihood of this. Exceptionally the full evaluation of a particular issue will involve a second cycle of consideration but the planning authority should consider it has sufficient environmental information when:

• the scale and importance of each impact (e.g. emissions to air) is known or any remaining uncertainties are unlikely to be reduced; and
• the effects of each impact on specific aspects of the environment (e.g. human beings) is known or any remaining uncertainties are unlikely to be reduced.

82. An ES and related information will present the planning authority with a large amount of information to manage and evaluate. In general, planning authorities do not use formal techniques of evaluation such as Cost Benefit Analysis. Research has shown that for EIA purposes such techniques can have technical shortcomings and planning officers often have reservations about their practicability. These arise because of the diverse nature of environmental impacts, some of which can be measured (e.g. area of land developed), many of which cannot (e.g. visual impact) and the absence of a formal method which can combine all the impacts to produce an overall conclusion. Nevertheless, specific analytical techniques may have a role to play in clarifying individual issues, and advice is available in Good Practice on the Evaluation of Environmental Information for Planning Projects - Joint Scottish Office/DOE Research Report DOE, 1994.

83. It is important that the planning authority takes a systematic, thorough and meticulous approach to the evaluation. The task can be complex, particularly for major projects where the impacts are potentially numerous, of a technical nature and where significant new information becomes available during the course of the work.

84. Upon receipt of the ES the case officer should read the NTS to become familiar with the general nature of the project and the main issues. There may also be merit in checking the ES against the list of required contents set out in the Regulations (see paragraphs 64-65 above) to gain an initial overview. Most statements do not however deal with the issues in the same order as the Regulations and the initial check would therefore involve a complete reading of the ES. In that case the time will probably be better spent on a full review using the checklist at Annex 5.

Adequacy of environmental information

"It is not open to a planning authority to decline to register an EIA, on the grounds that it disagrees with the analysis or judgements contained within the ES, or because it feels that insufficient attention has been paid to specific topics. In such circumstances it will be necessary for the planning authority to require the provision of further information or evidence to back up unsubstantiated statements and conclusions." ( Evaluation of Environmental Information for Planning Projects - A Good Practice Guide, DOE, 1994).

EIA (Scotland) Regulations1999, Schedule 4

Circular 15/1999, paragraphs 114-116.

Reviewing the Environmental Statement

85. Evaluation begins with the planning authority's and consultees' review of the ES. This should be undertaken as soon as the application is registered. If the EIA has been of a high quality and is well reported in the ES, the work of the planning authority and the consultees will mainly amount to validating its methods, results and findings. If however the ES has significant defects, the review will expose them so that the applicant can be asked to provide further information.

86. The purpose of the review is to:

• provide the case officer with a full understanding of the project, the expected impacts and the mitigation measures;
• identify if additional information or analysis should be requested from the applicant;
• identify specific issues on which the views of consultees should be sought;
• establish an initial view on the key environmental issues prior to the receipt of views from consultees;
• begin consideration of any planning conditions which may be needed.

87. To validate the findings of the ES the case officer has to approach it with a questioning mind. For example, are the conclusions supported by the detailed studies or are they only assertions? Is the ES internally consistent? Does it 'ring true'? The detailed examination of the ES has to be thorough so that the professional views of the case officer are soundly based. This will require time and attention to detail.

88. The ES can be reviewed under 5 headings:

• Elements of the Project: Does the ES explain the main components of the project and the main effects?
• Policy Framework: Is attention drawn to designated areas and development plan policies, and how much significance is attached to each?
• Environmental Effects: What potential effects are identified and how much significance is attached to them?
• Mitigating Measures: Has a description been given of measures to prevent, reduce and offset any significant adverse effects?
• Risks and Hazardous Development: Have any risks or hazards been identified and if so what preventative measures are proposed?

EIA (Scotland) Regulations1999, Schedule 3.1 (f)

89. To assist in this, and in the management of the whole evaluation process, an extensive checklist based on the 5 headings is attached at Annex 5. It provides a convenient way of recording and summarising the views of various consultees as well as the case officer. Alternative approaches to review include the Lee-Colley Review Package, the Institute of Environmental Assessment Method and the EIA Review Checklist prepared by Environmental Resources Management for the European Commission (see bibliography). Some planning authorities consider it appropriate to enlist the help of a consultant or other body to review the ES. 90. During the review the case officer will identify those issues on which advice from specialists within the council (e.g. archaeology, ecology, conservation, landscape, design, environmental health) has to be sought. The review may also identify issues on which they must have the specific views of the statutory consultees, and although general consultation will already be underway, the consultee should be advised of the specific issue. The advice from all these sources will almost always be sufficient but exceptionally the planning authority will have to consider the appointment of its own consultant on a specialised topic.

Requests For Further Information

91. If an ES is inadequate the planning authority are able to require the developer to submit further information and give it the same publicity and consultation as the initial statement over a 28 day period. This is less likely to occur if the EIA has been thoroughly scoped, the environmental studies rigorously carried out and the ES presented to a good standard.

EIA (Scotland) Regulations1999 Reg. 19

92. In practice planning authorities have used their discretion to decide whether the information required amounts to "environmental information" as defined in the Regulations. There can be no definitive advice on whether to advertise but acting within the terms of the Regulations the questions to consider include whether the information:

• is of a minor factual nature, such as a correction, which does not change the project or its expected impacts?
• is likely to affect the concerns of a consultee or an interest group?
• has implications for other parts of the ES?

EIA (Scotland) Regulations1999 Reg. 2 (1)

The Planning Report and Decision

93. Following the review of the ES, the case officer's understanding will have been supplemented by the views of consultees and any further information from the applicant. It is likely that a number of the potential impacts will be subject to mitigation measures, especially if the impacts have been considered early in the design process, and the key parties may well have reached agreement about the suitability of such measures. Experience shows that there will usually be a small number of major issues, perhaps only one, on which the acceptability of the project hinges. These major issues should be highlighted in the planning report, drawing on the ES.

94. The planning authority's evaluation of the environmental information will narrow down any uncertainties over the potential impacts and suitable mitigation measures, but some may still remain. In this situation the precautionary principle will be relevant.

The Precautionary Principle - the principle that authorities should act prudently to avoid the possibility of irreversible environmental damage in situations where the scientific evidence is inconclusive but the potential damage could be significant.

It applies particularly where there are good grounds for judging either that action taken promptly at comparatively low cost may avoid more costly damage later, or that irreversible effects may follow if action is delayed.

95. All planning applications must be determined in accordance with the development plan unless material considerations indicate otherwise. Providing it serves a planning purpose, any information from the EIA process may be material and considered alongside the provisions of the development plan.

96. The implementation of the matters contained in the environmental statement, including any mitigation measures, has to be stated explicitly as part of the planning permission. For some measures it will be appropriate to do this by specifying them in writing as part of the planning application. For others it will be necessary for the planning authority to attach them as conditions or include them in a planning agreement under Section 75 of the Town and Country Planning (Scotland) Act 1997. The same is true for other measures which the planning authority wish the developer to implement, and any other matters they wish to control, for example in response to the concerns raised by a consultee. A general condition which says in effect that the matters referred to in the ES should be implemented should not be used and could be misleading when the ES has been supplemented by further information. Further information on planning conditions is contained in SODD Circular 4/1998 The Use of Conditions in Planning Permissions. It states that as a matter of policy conditions should only be imposed where they are necessary, relevant to planning, relevant to the development to be permitted, enforceable, precise and reasonable in all other respects. Policy and advice on planning agreements is set out in SODD Circular 12/1996.

Circular No. 15/1999, Paragraphs 123-127

97. For planning applications where there is an EIA the planning authority must inform the public and consultees of their decision (refused or granted). A statement has also to be made available to the public which includes the decision, the main reasons and considerations on which it was based and a description of the main mitigation measures. This is an opportunity for the planning authority to set the environmental issues in context. The Committee Report may provide the basis for this, especially when it contains the decision notice, a summary which gives the development plan position, the main material considerations (including the EIA), and the mitigation measures.

Management Issues

98. Planning applications with associated EIAs will almost always be for major projects and will warrant the direct attention of a senior member of staff as case officer. For projects with very complex or large scale impacts, Evaluation of Environmental Information for Planning Projects - A Good Practice Guide, DoE (1994) suggests that a small "review panel" should be formed with officers from other relevant departments including environmental health and technical services

99. Planning applications involving EIA are relatively rare and planning authorities may therefore find it useful if one member of staff is given special responsibility for developing and maintaining an expertise in EIA and providing advice to other members of staff and case officers.

100. For most applications it will be clear at an early stage in the development control process whether EIA is required. Case officers should however be prepared to reconsider the position during processing, particularly if new information is made available from consultees.

101. Planning authorities may wish to consider whether they have appropriate delegation procedures in place to provide officers with the authority to make decisions on the need for EIA and scoping, within the timescales set out in the Regulations.

EIA (Scotland) Regulations1999, Regs. 5(5) & 10(4)

Development Plans

102. Applications for planning permission have to be determined in accordance with the development plan unless material considerations indicate otherwise (an important material consideration will be the EIA). The depth of study involved in an EIA is likely to identify information which was not available during the preparation of the development plan, especially mitigation measures which will enable the development to proceed without adverse environmental effects. Structure plans and local plans should therefore refer to EIA and the role it plays in the development control process. More detailed references can be made under a specific topic such as waste disposal or opencast coal.

Other EIA regimes

103. The EIA Directive includes many types of project which are not controlled through the planning system, for example "projects for the restructuring of rural land holdings". Separate Regulations apply to these projects and specify which organisation (i.e. the "competent authority") is responsible for operating them. Some are included in Scottish Regulations and some have separate GB Regulations.

104. The Environmental Impact Assessment (Scotland) Regulations 1999 include provisions for:

Town & Country Planning
Roads and Bridges
Land Drainage

105. Separate Regulations will be issued for projects not included in the list above but which may still be subject to environmental impact assessment. Such projects include those falling into the following categories:

Forestry
Marine Fish Farming
Ports & Harbours
Uncultivated land
Electricity
Pipeline Works
Extraction of Minerals by Marine Dredging
Offshore Oil and Gas
Public Gas Transporters

Conclusions

106. The environment is complex. It includes the human population, fauna, flora, soil, water, air, climatic factors, material assets (including the architectural and archaeological heritage), landscape, and the way these interact with each other. Consequently evaluating the impact of a project on the environment is often an elaborate technical exercise, requiring the collection, presentation and analysis of a large amount of information, the identification of involved issues and a consequential specification of mitigation measures. Studies should be focussed on the key issues on which the acceptability of the project rests, and not be unnecessarily elaborate. EIA provides a structured approach to the complicated task of understanding the likely environmental effects, and taking them into account in:

• the design of the project; and
• the determination of the planning application.

107. Central to the EIA process is the design, operation and monitoring of effective mitigation measures. The most effective mitigation measures are those which prevent the creation of adverse effects at source. The second best are those which reduce the effects, and the third best are those which offset the effects by compensatory action. The aim should be to prevent the effects if possible and only then consider other measures.

108. Environmental issues must be seen alongside other concerns and considerations, but EIA should nevertheless play a key role in decision making at all stages of a project, bringing benefits to applicants, consultees, the public, interest groups, and planning authorities. There has been considerable experience of EIA in Scotland over a period of nearly thirty years. This PAN, which is issued to coincide with the introduction of revised Environmental Impact Assessment Regulations draws on this experience and highlights best practice in the conduct of EIA.

Note

109. Enquiries about the contents of this planning advice note should be addressed to Neil Henderson, Scottish Executive Development Department, Planning Services, Room 2-H, Victoria Quay, Edinburgh EH6 6QQ (Tel: 0131-244 7550, e-mail: neil.henderson2@scotland.gov.uk). Further copies, together with other PANs, can be obtained by contacting Lynn Jameson at the same address (Tel: 0131-244 7543, e-mail: lynn.jameson@scotland.gov.uk). NPPGs and Circulars are available from David Love, Scottish Executive Development Department, Planning Division, also at the same address (Tel: 0131-244 7066 e-mail: david.love@scotland.gov.uk).

110. In addition, this PAN, along with other planning series documents, is accessible within the Scottish Executive web site at www.scotland.gov.uk/planning. Environmental statements received up to February 1999 are listed at Annex 4 and are available for examination by arrangement with the Scottish Executive Library, K Spur, Saughton House (Tel: 0131 - 244 4564).

Bibliography

Commission of the European Communities (1992) Towards Sustainability: The EC Fifth Environment Action Programme 1993-2000.

Commission of the European Communities (1993), Report On The Implementation Of Directive 85/337/EEC And Annex For The United Kingdom. ISBN 92-77-52778-1.

Commission of the European Communities (1994), Environmental Impact Assessment _ Review Checklist.

Commission of the European Communities (1996), Guidance on Scoping.

Commission of the European Communities (1996), Guidance on Screening.

Department Of The Environment (1989), Environmental Assessment- A Guide to the Procedures, London, HMSO. ISBN 0-11-752244-9.

Department Of The Environment (1991), Monitoring Environmental Assessment and Planning, London, HMSO. ISBN 0-11-752436-0.

Department of the Environment (1994), Good Practice on the Evaluation of Environmental Information for Planning Projects- Research Report, London, HMSO. ISBN 0-11-752990-7

Department of the Environment (1994), Evaluation of Environmental Information for Planning Projects - A Good Practice Guide, London, HMSO. ISBN 0-11-7530432990-73.

Department Of The Environment (1995), Preparation Of Environmental Statements For Planning Projects That Require Environmental Assessment- A Good Practice Guide, London, HMSO. ISBN 0-11-753207-X

Department Of The Environment (1996), Changes In The Quality Of Environmental Statements For Planning Projects - Research Report, London, HMSO. ISBN 0-11-753269-X

Department Of The Environment, Transport and the Regions(1997), Mitigation Measures in Environmental Statements, London, HMSO. ISBN 1-85112-050-5

EC Council, Directive On The Assessment Of The Effects Of Certain Public And Private Projects On The Environment (85/337/EEC)

EC Council, Directive (97/11/EC) amending Directive 85/337/EEC

Environmental Impact Assessment (Scotland) Regulations 1999 (SSI 1/1999), The Stationery Office, ISBN 0-11-059107-0

Institute of Environmental Assessment (1995), Guidelines for Baseline Ecological Assessment

Institute of Environmental Assessment (1995), Guidelines for Landscape and Visual Impact Assessment

Lee, N. and Colley, R. (1990), Reviewing the Quality of Environmental Statements, Occasional Paper 24, Dept. of Planning and Landscape, University of Manchester

Lee, N. and Colley, R. (1991), Reviewing the Quality of Environmental Statements: Review Methods and Findings, Town Planning Review, 62,2.

RSPB (1995)," Wildlife Impact _ the treatment of nature conservation in environmental assessment", The RSPB,

Scottish Executive Development Department Circular 15/1999, "Environmental Impact Assessment (Scotland) Regulations 1999"

Scottish Office Development Department Circular 25/1998, "Review Of Old Mineral Permissions And Environmental Impact Assessment: Notes For Guidance"

Scottish Office Environment Department Circular 6/1995, "Habitats and Birds Directives"

Glossary

The following are explanations of terms used in the PAN and annexes, not definitions

1 In this advice measures to 'prevent' adverse effects include measures to 'avoid' them, and measures to 'offset' include measures to 'remedy' them.

Annex 1: SCHEDULE 1 OF THE ENVIRONMENTAL IMPACT ASSESSMENT REGULATIONS (SCOTLAND) 1999

DESCRIPTIONS OF DEVELOPMENT FOR THE PURPOSES OF THE DEFINITION OF "SCHEDULE 1 DEVELOPMENT"

Interpretation

In this Schedule-

"airport" means an airport which complies with the definition in the 1944 Chicago Convention setting up the International Civil Aviation Organisation (Annex 14);

"express road" means a road which complies with the definition in the European Agreement on Main International Traffic Arteries of 15th November 1975;

"nuclear power station" and "other nuclear reactor" do not include an installation from the site of which all nuclear fuel and other radioactive contaminated materials have been permanently removed; and development for the purpose of dismantling or decommissioning a nuclear power station or other nuclear reactor shall not be treated as development of the description mentioned in paragraph 2(2) of this Schedule.

Descriptions of development

The carrying out of development to provide any of the following-

1. Crude-oil refineries (excluding undertakings manufacturing only lubricants from crude-oil) and installations for the gasification and liquefaction of 500 tonnes or more of coal or bituminous shale per day.

2. - (1) Thermal power stations and other combustion installations with a heat output of 300 megawatts or more.

(2) Nuclear power stations and other nuclear reactors (except research installations for the production and conversion of fissionable and fertile material, whose maximum power does not exceed 1 kilowatt continuous thermal load).

3. - (1) Installations for the reprocessing of irradiated nuclear fuel.

(2) Installations designed-

(a) for the production or enrichment of nuclear fuel;

(b) for the processing of irradiated nuclear fuel or high-level radioactive waste;

(c) for the final disposal of irradiated nuclear fuel;

(d) solely for the final disposal of radioactive waste;

(e) solely for the storage (planned for more than 10 years) of irradiated

nuclear fuels or radioactive waste in a different site than the production site.

4. - (1) Integrated works for the initial smelting of cast-iron and steel.

(2) Installations for the production of non-ferrous crude metals from ore, concentrates or secondary raw materials by metallurgical, chemical or electrolytic processes.

5. Installations for the extraction of asbestos and for the processing and transformation of asbestos and products containing asbestos-

(a) for asbestos-cement products, with an annual production of more than 20,000 tonnes of finished products;

(b) for friction material, with an annual production of more than 50 tonnes of finished products; and

(c) for other uses of asbestos, utilisation of more than 200 tonnes per year.

6. Integrated chemical installations, that is to say, installations for the manufacture on an industrial scale of substances using chemical conversion processes, in which several units are juxtaposed and are functionally linked to one another and which are-

(a) for the production of basic organic chemicals;

(b) for the production of basic inorganic chemicals;

(c) for the production of phosphorous-, nitrogen- or potassium-based fertilisers (simple or compound fertilisers);

(d) for the production of basic plant health products and of biocides;

(e) for the production of basic pharmaceutical products using a chemical or biological process;

(f) for the production of explosives.

7. - (1) Construction of lines for long-distance railway traffic and of airports with a basic runway length of 2,100 metres or more.

(2) Construction of motorways and express roads.

(3) Construction of a new road of four or more lanes, or realignment and/or widening of an existing road of two lanes or less so as to provide four or more lanes, where such new road, or realigned and/or widened section of road, would be 10 kilometres or more in a continuous length.

8. - (1) Inland waterways and ports for inland-waterway traffic which permit the passage of vessels of over 1,350 tonnes.

(2) Trading ports, piers for loading and unloading connected to land and outside ports (excluding ferry piers) which can take vessels of over 1,350 tonnes.

9. Waste disposal installations for the incineration, chemical treatment (as defined in Annex IIA to Directive 75/442/EEC under heading D9), or landfill of hazardous waste (that is to say, waste to which Directive 91/689/EEC applies).

10. Waste disposal installations for the incineration or chemical treatment (as defined in Annex IIA to Directive 75/442/EEC under heading D9) of non-hazardous waste with a capacity exceeding 100 tonnes per day.

11. Groundwater abstraction or artificial groundwater recharge schemes where the annual volume of water abstracted or recharged is equivalent to or exceeds 10 million cubic metres.

12. - (1) Works for the transfer of water resources, other than piped drinking water, between river basins where the transfer aims at preventing possible shortages of water and where the amount of water transferred exceeds 100 million cubic metres per year.

(2) In all other cases, works for the transfer of water resources, other than piped drinking water, between river basins where the multi-annual average flow of the basin of abstraction exceeds 2,000 million cubic metres per year and where the amount of water transferred exceeds 5% of this flow.

13. Waste water treatment plants with a capacity exceeding 150,000 population equivalent as defined in Article 2(6) of Council Directive 91/271/EEC.

14. Extraction of petroleum and natural gas for commercial purposes where the amount extracted exceeds 500 tonnes per day in the case of petroleum and 500,000 cubic metres per day in the case of gas.

15. Dams and other installations designed for the holding back or permanent storage of water, where a new or additional amount of water held back or stored exceeds 10 million cubic metres.

16. Pipelines for the transport of gas, oil or chemicals with a diameter of more than 800 millimetres and a length of more than 40 kilometres.

17. Installations for the intensive rearing of poultry or pigs with more than-

(a) 85,000 places for broilers or 60,000 places for hens;

(b) 3,000 places for production pigs (over 30 kg); or

(c) 900 places for sows.

18. Industrial plants for-

the production of pulp from timber or similar fibrous materials;

the production of paper and board with a production capacity exceeding 200 tonnes per day.

19. Quarries and open-cast mining where the surface of the site exceeds 25 hectares, or peat extraction where the surface of the site exceeds 150 hectares.

20. Installations for storage of petroleum, petrochemical or chemical products with a capacity of 200,000 tonnes or more.

Annex 2: SCHEDULE 2 OF THE ENVIRONMENTAL IMPACT ASSESSMENT REGULATIONS (SCOTLAND) 1999.

DESCRIPTIONS OF DEVELOPMENT AND APPLICABLE THRESHOLDS AND CRITERIA FOR THE PURPOSES OF THE DEFINITION OF "SCHEDULE 2 DEVELOPMENT"

1 In the table below-

"area of the works" includes any area occupied by apparatus, equipment, machinery, materials, plant, spoil heaps or other facilities or stores required for construction or installation;

"controlled waters" has the same meaning as in section 30A(1) of the Control of Pollution Act 1974;

"floorspace" means the floorspace in a building or buildings.

2 The table below sets out the descriptions of development and applicable thresholds and criteria for the purposes of classifying development as Schedule 2 development.

The carrying out of development to provide any of the following-

Annex 3: MAIN EIA REFERENCES IN NPPGs AND PANs TO JULY 1999

(NB. Statutory Guidance on Air Quality and Land Use Planning was issued by The Scottish Office in December 1997 under Part IV of the Environment Act 1995. Paragraph 33 refers briefly to EIA).

Annex 4: INDEX OF ENVIRONMENTAL STATEMENTS

This index is provided to help those preparing or commenting on statements and assessments to identify comparable examples, to facilitate liaison and the transfer of experience and expertise. It is composed of statements received by the Secretary of State for projects which require planning permission. Statements submitted prior to April 1996 have been reallocated to current planning authorities. A regularly updated database of Statements submitted to the Secretary of State will be made available at www.scotland.gov.uk/planning/.

Environmental Statements by Project Category
(up to and including February 1999)

Schedule 1

Schedule 2

Annex 5: REVIEWING THE CONTENTS OF THE ENVIRONMENTAL STATEMENT

SECTION 1 - ELEMENTS OF THE PROJECT:

Have the following components of the development been explained in the ES in simple language, and in a sufficiently comprehensive manner for the main effects to be identified?

REVIEWING THE CONTENTS OF THE ES - continuation

SECTION 2 - POLICY FRAMEWORK:

Has attention been drawn to any of the following planning designations, or policies by the developer or agency in question?

If the answer is yes, how much significance/importance has been attached to each topic?

REVIEWING THE CONTENTS OF THE ES - continuation

SECTION 3 - ENVIRONMENTAL EFFECTS:

Has reference been made to any of the following potential effects by the developer or agency in question?

If the answer is yes, how much significance/importance has been attached to the issue?

REVIEWING THE CONTENTS OF THE ES - continuation

SECTION 3 - ENVIRONMENTAL EFFECTS (continued):

REVIEWING THE CONTENTS OF THE ES - continuation

SECTION 4 - MITIGATING MEASURES:

Where significant adverse effects are identified, has a description been given of the measures to be taken to prevent, reduce or offset those effects?

Have specific comments been made by the consultees in relation to these topics?

SECTION 5 - RISKS OF ACCIDENTS AND HAZARDOUS DEVELOPMENT:

Risks of accidents as such are not covered in the Directive on EIA or, consequently, in the implementing Regulations. However, when the proposed development involves materials that could be harmful to the environment (including people) in the event of an accident, the environmental statement should include an indication of the preventive measures that will be adopted so that such an occurrence is not likely to have a significant effect.

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