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Chapter 10: SEA Objectives and Indicators
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Contents
Part 1 - Introduction
- Introduction to SEA objectives
Part 2 - Legislative requirements
- The relevant statutory provisions
Part 3 - Devising SEA objectives and indicators
- What is an " SEA objective"? Why do we use SEA objectives?
- When should SEA objectives be devised?
- Issues in devising SEA objectives
Part 1 - Introduction
Introduction to SEA objectives
10.1.1 An important consideration for Responsible Authorities in undertaking their environmental assessment is to decide what methods and techniques should be used to undertake the assessment. The Responsible Authority is required to assess and report the significant effects of the plan, programme or strategy ( PPS) on the 12 environmental parameters identified in Schedule 3 of the Environmental Assessment (Scotland) Act 2005 (the Act').
10.1.2 At the strategic level it can be difficult to assess the impact of a strategic action within a PPS on an environmental resource ( e.g. in terms of hectares of habitat lost, calculated noise levels, etc). Accordingly, an appropriate set of assessment criteria covering the 12 environmental parameters is needed. Experience has shown the value of using so-called " SEA objectives" as one way to test the strategic action or proposal and thereby predict its impacts.
10.1.3 The purpose of this chapter is to help Responsible Authorities and other interested parties to understand and apply the concept of SEA objectives. There are other assessment criteria that Responsible Authorities may wish to consider using ( e.g. for high level policy analysis the Dutch e-test approach has proved to be useful) 1.
Part 2 - Legislative requirements
The relevant statutory provisions
10.2.1 Sections 14(1) and (2) of the Act require the Responsible Authority to assess the likely significant effects of a PPS on the environment and to provide the results in an Environmental Report. Section 19 of the Act requires the Responsible Authority to monitor the significant environmental effects of implementing the PPS.
10.2.2 The information to be provided in Environmental Reports is set out in Section 14(3) and Schedule 3, and includes a description of how the assessment was undertaken and of the monitoring measures. The indicators used in the environmental assessment are likely to also be used for monitoring.
10.2.3 While the Act requires a description of the methods used in the assessment, it does not require particular methods to be used. Accordingly, there is no requirement in the Act to use SEA objectives as a means of assessing environmental effects or identifying indicators.
Part 3 - Devising SEA objectives and indicators
What is an " SEA objective"? Why do we use SEA objectives?
10.3.1 The term " SEA objective" is a commonly used one in SEA. These objectives should not, however, be confused with other objectives which are also relevant to the PPS-making and SEA processes. The different types of objectives are explained below:
- SEA objectives: provide a yardstick against which the environmental effects of the PPS can be assessed. An SEA objective identifies an outcome, e.g. to protect biodiversity. The test would then be: do the strategic actions of the PPS help to achieve this objective, or work against it? SEA objectives are distinct from the PPS objectives. Examples of SEA objectives are set out in Figure 10.1.
- PPS objectives: are the objectives of the PPS itself, usually adopted through a process of expert consideration, public consultation and political approval. Some of these objectives will be environmental in nature (for example, one of the objectives of a transport policy or strategy might be to maintain and improve air quality), but these may also include social or economic issues relevant to the PPS.
- Environmental protection objectives: are goals for environmental protection set out in international and national legislation and policy. For example, the objective to protect and further biodiversity is contained at international level in the Convention on Biological Diversity, at the European level in the European Biodiversity Strategy and the Habitats and Birds Directives, and in Scotland by the Nature Conservation (Scotland) Act 2004, the Scottish Biodiversity Strategy and NPPG14.
10.3.2 SEA objectives are assessment tools. They are used to develop a systematic, rigorous, and consistent framework with which to assess environmental impacts. An SEA objective is a goal for a particular environmental parameter: the assessment asks whether the PPS furthers this goal or works against it. For example, an SEA objective may be "to protect and enhance waterbody status at good status". The assessment would then consider whether the strategic actions of the PPS would move towards this objective by maintaining and enhancing water quality at "good status", or whether it would not provide effective protection and therefore be likely to prevent or hinder realisation of this objective.
How is an SEA objective devised?
10.3.3 The key issues to consider when devising SEA objectives include:
- the SEA objectives should cover at least the 12 environmental parameters identified in Schedule 3 ( i.e. biodiversity, flora and fauna; population; human health; soil; water; air and climatic factors; material assets; cultural heritage; and landscape), unless these are scoped out at the scoping stage ( Chapter 5);
- the SEA objectives should integrate the requirements of the environmental protection objectives relevant to the PPS; and
- the SEA objectives should take into account the baseline environmental characteristics of the area, where relevant to the PPS. This should include any relevant environmental problems e.g. contaminated land.
10.3.4 SEA objectives should take account of local circumstances and concerns. They should be proportionate and relevant to the PPS in question. A PPS concerned with minerals, for example, could include more objectives for soil and water quality, maintenance of the hydrological regime, and mineral reserves. The Consultation Authorities may also have suggestions for SEA objectives.
10.3.5 The achievement of objectives can be measured by using indicators. Accordingly, SEA objectives can be expressed so that they are measurable ( e.g. an objective to "reduce greenhouse gas emissions", could be expressed as "reduce CO2 emissions by 12.5% by 2010"). This kind of ' SMART' objective is preferable but not always possible.
10.3.6 Figure 10.1 suggests some SEA objectives and indicators. Examples of the application of SEA indicators are provided in Chapter 9.
When should SEA objectives be devised?
10.3.7 SEA methods should be devised early in the SEA process. The guidance on scoping ( Chapter 5) suggests that, as a matter of good practice, the Responsible Authorities should devise the SEA objectives at the scoping stage and consult with the Consultation Authorities for their views as part of the wider scoping consultation on assessment methods. If the Responsible Authorities intend to use an alternative assessment method, consultation on these during scoping is recommended.
Figure 10.1 (Source: the SEA Practical Guide ( ODPM et al, September 2005)
SEA topics | Possible SEA objectives (to be adapted to regional/local circumstances) | Possible SEA indicators (to be adapted to regional/local circumstances) |
|---|
Biodiversity, fauna and flora | - to conserve and enhance the integrity of ecosystems
- prevent damage to designated wildlife and geological sites and protected species
- maintain biodiversity, avoiding irreversible losses
- reverse the long term decline in farmland birds
- ensure the sustainable management of key wildlife sites and the ecological processes on which they depend
- provide appropriate opportunities for people to come into contact with and appreciate wildlife and wild places
| - reported levels of damage to designated sites/species
- achievement of Biodiversity Action Plan targets
- reported condition of nationally important wildlife sites, Sites of Special Scientific Interest ( SSSI) etc.
- number/area of Local Nature Reserves
|
Population and human health | - create conditions to improve health
- protect and enhance human health
- decrease noise and vibration
- maintain and improve opportunities to access public open space
- conserve and enhance the quality of the built environment
- improve and promote appropriate access to the natural and historic environment
| - number of transport/pedestrian/cyclist road accidents
- number of people affected by ambient noise levels
- proportion of population within 200m of parks and open spaces
|
Water | - limit water pollution to levels that do not damage natural systems
- maintain water abstraction, run-off and recharge within carrying capacity (including future capacity)
- maintain and restore key ecological processes ( e.g. hydrology, water quality, coastal processes)
- protect and, where necessary, enhance waterbody status
- reduce / manage flood risk
| - quality (biology and chemistry) of rivers, canals and freshwater bodies
- quality and quantity of groundwater
- water use (by sector, including leakage), availability and proportions recycled
- water availability for water-dependent habitats, especially designated wetlands
- extent of use of Sustainable Urban Drainage solutions in new development
|
Soil | - safeguard soil quality, quantity and function
- reduce levels of brownfield, derelict and contaminated land in the plan area
| - amount/loss of greenfield / brownfield land and proportion available for reuse
- number of houses affected by subsidence, instability, etc.
- land identified on Scottish Vacant and Derelict Land Survey (number of hectares)
- hectares of contaminated land in plan area
|
Air | - to maintain and improve air quality
- limit air pollution to levels that do not damage natural systems
- limit air emissions to comply with air quality standards
| - number of days air quality limits exceeded annually
- levels of key air pollutants / by sector and per capita
- achievement of Emission Limit Values
- population living in Air Quality Management Area
- distances travelled per person per year by mode of transport (proxy indicator)
- modal split (proxy indicator)
- traffic volumes (proxy indicator)
|
Climatic factors | - to reduce the cause and effects of climate change
- reduce greenhouse gas emissions
- reduce vulnerability to the effects of climate change e.g. flooding, disruption to travel by extreme weather, etc.
| - electricity and gas use (proxy indicator)
- electricity generated from renewable energy sources and CHP located in the area (proxy indicator)
- energy consumption per building and per occupant (proxy indicator)
- carbon dioxide (CO2) emissions by sector/ per capita
- amount of development in the floodplain
- flood risk
|
Cultural heritage | - protect and, where appropriate, enhance or restore the historic environment
- preserve historic buildings, archaeological sites and other culturally important features
- promote access to the historic environment
- improve the enjoyment and understanding of the historic environment
| - number and outcome of Listed Building Consent applications received
- number and outcome of applications received for Listed Building demolition
- number and outcome of applications for Scheduled Monument Consent received
- number of planning applications rejected for not complying with Development Plan policy relating to historic environment
- condition (as affected by strategic action of PPS)
- number and outcomes of planning applications that affect gardens and designed landscapes
|
Landscape | - to conserve and enhance landscape character and scenic value of the area
- protect and enhance the landscape everywhere and particularly in designated areas
- value and protect diversity and local distinctiveness
- improve the quantity and quality of publicly accessible open space
| - number and area of designated landscape areas
- percentage of land designated for particular quality or amenity value, including publicly accessible land and greenways
|
Material assets | - to promote sustainable use of natural resources and material assets
- minimise waste, then re-use or recover it through recycling, composting or energy recovery
- to promote effective use of existing infrastructure
| - amount of waste generated
- waste disposed of in landfill
- percent of waste recycled or reused
|
Issues in defining SEA objectives
10.3.8 It is good practice for SEA objectives to focus on outcomes (or ends), not how the outcomes will be achieved ("inputs" or means). For example, they might focus on improved biodiversity, rather than protection of individual wildlife sites.
10.3.9 SEA objectives can be supported by a list of more detailed criteria or questions. For example, an SEA objective to protect the aquatic environment could be supported by questions about water quality, watercourses, aquifers and marine and coastal waters, water abstraction and flooding. Impacts affecting the features which make up the historic environment ( e.g. scheduled ancient monuments, listed buildings, designed landscapes, setting) can be identified through these supporting criteria.
10.3.10 The development of SEA objectives and indicators and the collection of baseline information should inform each other. As the SEA objectives become clearer, they should help to focus (and where necessary restrict) the collection of baseline information, whilst the baseline information should help to identify which SEA objectives are of most concern for a particular PPS (baseline environmental data are discussed in more detail in Chapter 8).
10.3.11 Each SEA objective should be genuinely needed and should not duplicate or overlap with other objectives. Experience suggests that between 8 and 16 objectives are normally enough to cover the range of topics needed for SEA and to keep the process efficient and manageable.
10.3.12 SEA objectives should be linked to indicators which measure progress or otherwise towards or away from them.
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