Addendum to the Regulation 19 Sustainability Appraisal
2 Summary methodology
2.1 Introduction
2.1.1 This chapter provides a brief overview of the methodology used to inform the identification and assessment of potential effects in the SA process.
2.1.2 The detailed SA methodology is provided in the SA reports which accompanied the previous stages of Local Plan preparation.
2.1.3 The sustainability appraisal process uses objective geographic information relating to environmental receptors, the SA Framework (as defined in the SA Scoping Report[11]) and established standards (where available) to help make the assessment decisions transparent and robust.
2.2 The SA Framework
2.2.1 The SA Framework is comprised of SA Objectives and decision-making criteria. Acting as yardsticks of sustainability performance, the SA Objectives are designed to represent the topics identified in Schedule 2 of the SEA Regulations [12].
2.2.2 The SA Objectives and the SEA topics to which they relate are set out in Table 2.1.
2.2.3 Each SA Objective is considered when appraising SLP site allocations, policies and reasonable alternatives. The order of SA Objectives in the SA Framework does not infer prioritisation. The SA Objectives are at a strategic level and can potentially be open-ended. In order to give focus for each objective, decision making criteria are presented in the SA Framework to be used during the appraisal of policies and sites.
Table 2.1: Summary of the SA Objectives
|
SA Objectives |
Relevance to SEA Regulations – Schedule 2 |
|
|
1 |
Cultural heritage: Protect, enhance and manage sites, features and areas of archaeological, historical and cultural heritage importance. |
Cultural heritage |
|
2 |
Landscape: Protect, enhance and manage the character and appearance of the landscape and townscape, maintaining and strengthening local distinctiveness and sense of place. |
Landscape, cultural heritage |
|
3 |
Biodiversity, flora, fauna and geodiversity: Protect, enhance and manage biodiversity and geodiversity. |
Biodiversity, flora and fauna |
|
4 |
Climate change mitigation: Minimise Sandwell's contribution to climate change. |
Climatic factors |
|
5 |
Climate change adaptation: Plan for the anticipated levels of climate change. |
Climatic factors, soil and water |
|
6 |
Natural resources: Protect and conserve natural resources. |
Soil, water and material assets |
|
7 |
Pollution: Reduce air, soil, water and noise pollution. |
Air, water, soil and human health |
|
8 |
Waste: Reduce waste generation and disposal and achieve the sustainable management of waste. |
Population and material assets |
|
9 |
Transport and accessibility: Improve the efficiency of transport networks by increasing the proportion of travel by sustainable modes and by promoting policies which reduce the need to travel. |
Climatic factors, population and material assets |
|
10 |
Housing: Provide affordable, environmentally sound and good quality housing for all. |
Population |
|
11 |
Equality: Reduce poverty, crime and social deprivation and secure economic inclusion. |
Population and human health |
|
12 |
Health: Safeguard and improve community health, safety and wellbeing. |
Human health and population |
|
13 |
Economy: Develop a dynamic, diverse and knowledge-based economy that excels in innovation with higher value, lower impact activities. |
Population and material assets |
|
14 |
Education, skills and training: Raise educational attainment and develop and maintain a skilled workforce to support long-term competitiveness. |
Population |
2.3 Appraisal process
2.3.1 The purpose of this document is to provide an appraisal of the proposed modifications to the SLP in line with Regulation 12 of the SEA Regulations[13] which states that:
2.3.2 "Where an environmental assessment is required by any provision of Part 2 of these Regulations, the responsible authority shall prepare, or secure the preparation of, an environmental report … [which] shall identify, describe and evaluate the likely significant effects on the environment of implementing the plan or programme, and reasonable alternatives taking into account the objectives and the geographical scope of the plan or programme".
2.3.3 This document also provides information in relation to the likely characteristics of effects, as per the SEA Regulations (see Box 3.1).
Box 2.1: Schedule 1 of the SEA Regulations[14]
Criteria for determining the likely significance of effects (Schedule 1 of SEA Regulations)
The characteristics of plans and programmes, having regard, in particular, to:
- the degree to which the plan or programme sets out a framework for projects and other activities, either with regard to the location, nature, size and operating conditions or by allocating resources;
- the degree to which the plan or programme influences other plans and programmes including those in a hierarchy;
- the relevance of the plan or programme for the integration of environmental considerations in particular with a view to promoting sustainable development;
- environmental problems relevant to the plan or programme; and
- the relevance of the plan or programme for the implementation of Community legislation on the environment (e.g. plans and programmes linked to waste management or water protection).
Characteristics of the effects and of the area likely to be affected, having regard, in particular, to:
- the probability, duration, frequency and reversibility of the effects;
- the cumulative nature of the effects;
- the transboundary nature of the effects;
- the risks to human health or the environment (e.g. due to accidents);
- the magnitude and spatial extent of the effects (geographical area and size of the population likely to be affected);
- the value and vulnerability of the area likely to be affected due to:
- special natural characteristics or cultural heritage;
- exceeded environmental quality standards or limit values;
- intensive land-use; and
- the effects on areas or landscapes which have a recognised national, Community or international protection status.
2.4 Significant effects
2.4.1 A single value from Table 2.2 has been allocated to each SA Objective for each reasonable alternative, site allocation or policy evaluated in the SA process. Justification for the classification of the impact for each SA objective is presented in an accompanying narrative assessment text for all reasonable alternatives that have been assessed through the SA process.
2.4.2 The assessment of impacts and subsequent evaluation of significant effects is in accordance with Schedule 2 (6) of the SEA Regulations[15], where feasible, which states that the effects should include: "secondary, cumulative, synergistic, short, medium and long-term effects, permanent and temporary effects, positive and negative effects, cumulative and synergistic effects".
Table 2.2: Guide to scoring significant effects
|
Significance |
Definition (not necessarily exhaustive) |
|
Major Negative -- |
The size, nature and location of a development proposal would be likely to:
|
|
Minor Negative - |
|
|
Negligible 0 |
Either no impacts are anticipated, or any impacts are anticipated to be negligible. |
|
Uncertain +/- |
It is uncertain whether impacts would be positive or adverse. |
|
Minor Positive + |
The size, nature and location of a development proposal would be likely to:
|
|
Major Positive ++ |
The size, nature and location of a development proposal would be likely to:
|
2.4.3 When selecting a single value to best represent the sustainability performance, and to understand the significance of effects in terms of the relevant SA Objective, the precautionary principle[16] has been used. This is a worst-case scenario approach; if a positive effect is identified in relation to one criterion and a negative effect is identified in relation to another criterion within the same SA Objective, the overall impact has been assigned as negative for that objective. It is therefore essential to appreciate that the impacts provide only an indicative summary, and the accompanying assessment text provides a fuller explanation of the sustainability performance of the option.
2.4.4 The assessment considers, on a strategic basis, the degree to which a location can accommodate change without adverse effects on valued or important receptors (identified in the baseline).
2.4.5 Significance of effect has been categorised as minor or major. Table 2.2 sets out the significance matrix and explains the terms used. The nature of the significant effect can be either positive or negative depending on the type of development and the design and mitigation measures proposed.
2.4.6 It is important to note that the assessment scores presented in Table 2.2 are high level indicators. The assessment narrative text should always read alongside the significance scores. Likely impacts are not intended to be summed.
2.4.7 A number of topic-specific methodologies and assumptions have been applied to the appraisal process for reasonable alternative sites, allowing evaluation of sustainability performance against receptors within each SA Objective and increasing granularity in reporting. The site assessment methodology is presented in Appendix D of the Regulation 19 SA Report[17]. The same methodology has been applied in the assessment of the proposed new site (Chapter 3).
2.5 Limitations of predicting effects
2.5.1 SA/SEA is a tool for predicting potential significant effects. Predicting effects relies on an evidence-based approach and incorporates expert judgement. It is often not possible to state with absolute certainty whether effects will occur, as many impacts are influenced by a range of factors such as the design and the success of mitigation measures.
2.5.2 The assessments in this report are based on the best available information, including that provided to Lepus by the Council and information that is publicly available. Every attempt has been made to predict effects as accurately as possible.
2.5.3 SA operates at a strategic level which uses available secondary data for the relevant SA Objective. All reasonable alternatives and preferred options are assessed in the same way using the same method. Sometimes, in the absence of more detailed information, forecasting the potential impacts of development can require making reasonable assumptions based on the best available data and trends. However, all options must be assessed in the same way and any introduction of site-based detail should be made clear in the SA report, as new data could potentially introduce bias and skew the findings of the assessment process.
2.5.4 The assessment of development proposals is limited in terms of available data resources. For example, up to date ecological surveys and/or landscape and visual impact assessments have not been available. Additionally, the appraisal of the SLP is limited in its assessment of carbon emissions, and greater detail of carbon data would help to better quantify effects.
2.5.5 All data used is secondary data obtained from the Council or freely available on the internet.
[11]Lepus Consulting (2023) Sustainability Appraisal of the Sandwell Local Plan: Scoping Report. Available at: https://www.sandwell.gov.uk/downloads/file/896/sandwell-local-plan-issues-and-options-sustainability-appraisal-scoping-report [Date accessed: 17/04/25]
[12] Schedule 2 of the SEA Regulations identifies the likely significant effects on the environment, including "issues such as (a) biodiversity, (b) population,(c) human health, (d) fauna, (e) flora, (f) soil, (g) water, (h) air, (i) climatic factors, (j) material assets, (k) cultural heritage including architectural and archaeological heritage, (l) landscape and (m) the interrelationship between the issues referred to in sub-paragraphs (a) to (l)."
[13] The Environmental Assessment of Plans and Programmes Regulations 2004 (SEA Regulations). Available at: https://www.legislation.gov.uk/uksi/2004/1633/contents/made [Date accessed: 17/04/25]
[14] Ibid
[15] The Environmental Assessment of Plans and Programmes Regulations 2004 (SEA Regulations). Available at: https://www.legislation.gov.uk/uksi/2004/1633/contents/made [Date accessed: 17/04/25]
[16]The European Commission describes the precautionary principle as follows: "If a preliminary scientific evaluation shows that there are reasonable grounds for concern that a particular activity might lead to damaging effects on the environment, or on human, animal or plant health, which would be inconsistent with protection normally afforded to these within the European Community, the Precautionary Principle is triggered".
[17] Lepus Consulting (2024) Sustainability Appraisal of the Sandwell Local Plan 2024-2041: Regulation 19 SA Report Volume 3 of 3: Appendices. September 2024. Available at: https://www.sandwell.gov.uk/downloads/file/3209/slp-reg-19-sustainability-appraisal-vol-3-appendices-september-2024- [Date accessed: 17/04/25]
