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Table 1: Checklist: Assessing Development Plans for Appropriate Assessment
Screening Phase (combined with SEA)
Step 1 Identify the geographical scope of the plan.
Step 2 Identify all European sites that may be affected. This may require consideration of sites outside the boundaries of the plan area and should include both maritime and terrestrial sites. If there is any doubt as to whether any European site may be affected, a precautionary approach should be adopted and the site should be included in the assessment. SNH can advise.
Step 3 Consider the qualifying interests and conservation objectives of each European site which may be affected, in the context of the plan's aims and objectives. Remember that the area affected may extend beyond the boundaries of the plan area. SNH can advise.
Step 4 Consider the intentions of the aims, objectives, proposals and policies within the plan, and the anticipated changes to the interests of any of the sites that its implementation may cause or contribute to. Estimate the likely magnitude, duration, location and extent of the effects of these changes as far as they may reasonably be predicted at this stage. Remember that the area affected may extend beyond the boundaries of the plan area.
Step 5 Determine which, if any, elements of the plan would be likely to have a significant effect on any interest/feature of any European site, alone or in combination with other projects and plans, directly or indirectly. The European site or sites that could be affected, should be explicitly cited in the tests. This appraisal can be applied as a signposted or ring-fenced part of the normal SEA process or in a separate procedure.
Step 6 If the planning authority determines that the plan will not be likely to have a significant effect on any European site it may proceed to adoption or, in the case of structure plans, to submission for Scottish Ministers' approval without requirement for appropriate assessment. A record should be kept of the appraisal and the reasoning behind this conclusion, ensuring that the terminology of the Habitats Directive is used.
Step 7 For each likely significant effect, consider (in consultation with SNH and any other relevant body as appropriate) whether any option or alternative approach in the plan, including those that may have previously been rejected, could avoid such an effect on the international site, and still achieve the plan's aims and objectives. If such modifications remove the likelihood of a significant effect on any European site, the plan may proceed to adoption or submission for Scottish Ministers' approval. A record should be kept of the modifications made, their appraisal and the reasoning behind such a conclusion.
Appropriate Assessment Phase (specific to AA)
Step 8 Where a significant effect on a European site remains likely, an appropriate assessment is required. Agree the methods and scope of the appropriate assessment with SNH and other relevant stakeholders (eg SEPA; FCS).
Step 9 For each likely significant effect, alone or in combination, undertake an appropriate assessment of the implications for the site in light of its conservation objectives, using the best information, science and technical know-how available (regulation 48(1)). The Planning authority should acquire any further information, reasonably obtainable at this stage, to inform the assessment (regulation 48(2)). The assessment should be as full as practicable, being proportional to the level in the hierarchy and detail of the plan.
Step 10 Having formally consulted SNH (regulation 48(3)) and other stakeholders that may have information or expertise to assist the appropriate assessment (regulation 48(4)), the Planning Authority should identify any impacts on European sites, actions which might avoid or mitigate these, or restrictions which would allow them to be undertaken. The Planning Authority should ascertain that the plan would not adversely affect the integrity of any international site (regulation 48(5)). In doing so it should have regard to the manner in which it is proposed it will be carried out, and consider any restrictions or modifications to which the plan may be subjected, in order to achieve this (regulation 48(6)).
Step 11 If it can be ascertained that the plan will not adversely affect the integrity of any European site either with or without any restrictions or modifications which address any of the potential effects identified, it may proceed to adoption. In approving a higher level plan which will be subject to further elaboration at a more detailed level, it is important that conditions or restrictions on approval of the higher level plan ensure that further assessment will be required to ascertain that the integrity of any European site will not be adversely affected. It should be made explicit in the plan that any subsequent plan or project will only be compliant with the earlier plan in such circumstances.
Step 12 If it cannot be ascertained that a plan will not adversely affect the integrity of a European site, the planning authority can only proceed with it if it is agreed that it meets the necessary tests for imperative reasons of overriding public interest, there being no alternatives and subject to appropriate compensatory measures (regulation 49). This has to be agreed by Scottish Ministers. It may also require consultation with the European Commission.
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