Sustainability Appraisal of Waste Local Plans
Article from Waste Planning - December 2002
(E-mail mineralplanning@btinternet.com for further information)
In this article Sean Nicholson describes how Sustainability Appraisal can assist the preparation of Waste Local Plans.
Sustainability Appraisal – the Background
The need for plans to be accompanied by an environmental appraisal is long established. Planning Policy Guidance Note 12 ‘Development Plans and Regional Planning Guidance’, 1992 required local planning authorities to conduct environmental appraisal of plans as they were being drawn up.
In 1998 the government issued advice on how the methodologies used for environmental appraisal could be broadened to encompass economic and social issues in ‘Planning for Sustainable Development: Towards Better Practice’. This was followed by publication of research on a methodology for undertaking sustainability appraisals of Regional Planning Guidance (‘Proposals for a Good Practice Guide on Sustainability Appraisal of Regional Planning Guidance, DETR 1999’) with the aim of issuing good practice advice, which was subsequently issued in 2000.
The revised Planning Policy Guidance Note 12, ‘Development Plans’,
issued in 1999 states that (para 4.16):
“The scope for extending guidance on sustainability appraisal to
the development plan process will be considered in the light of the outcome
of this research
and its application”.
The Green Paper ‘Planning: Delivering A Fundamental Change’ proposes to extend Sustainability Appraisal to development plans (paragraph 4.25 of the paper refers). In essence a Sustainability Appraisal considers the economic, social, environmental and natural resource implications of policies and proposals before they are implemented, where any significant negative impacts are identified policies should, where possible, be amended. Similarly the appraisal process might highlight policy gaps that justify an additional policy or broadening the scope of an existing policy. It is against this background that Entec has undertaken Sustainability Appraisals of the policies and proposals within Waste Local Plans.
Sustainability Appraisal – What’s Involved?
The methodology adopted for the appraisal of Waste Local Plans is described below.
Selecting the Appraisal Objectives
Current guidance is that Sustainability Appraisals should be ‘objectives – led’. This means using clearly articulated objectives, which are achievement-orientated and, ideally quantified, as the basis for testing the plan. This is a subtle but important difference from the criteria based approach adopted in Environmental Appraisals. Essentially the objectives that underpin a Sustainability Appraisal should set out the direction that the plan should be heading. In contrast, the criteria used in Environmental Appraisals are neutral.
Ideally the appraisal objectives should be independent from the plan. One possible source is the Regional Sustainable Development Framework (RSDF). The RSDF is a document intended to influence the direction of Regional Planning Guidance and other policy documents through a series of objectives. One issue that must be considered is the extent to which the Waste Local Plan that is being appraised can contribute to the achievement of the objectives. This can be clarified through the use of a set of criteria.
Some examples of objectives and criteria are provided below. Normally around 25 objectives are used.
Broad Objective : Prudent Use of Natural Resources
| Topic | Objective | Criteria / Questions |
| Climate Change and Energy Supply | To help reduce greenhouse gases | Is there a supportive policy framework? |
| Does the Plan encourage consideration of this issue in respect of specific proposals? | ||
| To encourage electricity from renewable resources | Is there a supportive policy framework? | |
| Waste | To reduce the quantities of waste for disposal | Likely progress with meeting relevant targets? |
| Does the Plan seek to encourage the closure of loops e.g. by encouraging facilities for re-manufacturing? | ||
| To adopt techniques that are further up the waste management hierarchy | Does the Plan see to move waste up the hierarchy? | |
| If proposals are lower down the hierarchy do they form a necessary part of an integrated response? | ||
| To provide an integrated network of waste management facilities | Reference included in relevant policies and reflected in proposals? | |
| To provide flexibility so that any changes in policy at the national or regional level can be reflected in the plan area | Reference included in relevant policies and reflected in proposals? |
Broad Objective : Effective Protection of the Environment
| Topic | Objective | Criteria / Questions |
| Landscape | To maintain and enhance the quality, integrity and distinctiveness of the landscape | Is there a supportive policy framework? |
| Impact on Areas of Outstanding Natural Beauty | ||
| Impact on Ancient Woodland | ||
| Impact on local landscape designations | ||
| Consideration of landscape character | ||
| Biodiversity | To maintain and enhance the biodiversity resource | Impact on Sites of International Importance (RAMSAR/SPA) |
| Impact on Sites of National Importance (SSSI/NNR) | ||
Impacts on sites of County/Local Importance |
Broad Objective : Maintenance of High and Stable Levels of Economic Growth
and Employment
| Topic | Objective | Criteria / Questions |
| Economic stability and competitiveness | To encourage innovation within the waste sector | Supportive policy framework? |
| Provision of specific proposals? | ||
| To ensure there is access to an adequate network of facilities for the management of commercial and industrial wastes | Supportive policy framework? | |
| Availability of sufficient capacity having regard to anticipated waste arisings | ||
| Economic Vitality | To support the rural economy | Supportive policy framework? |
| To avoid significant environmental impacts on land and premises in business use (B1) | Supportive policy framework? | |
| Impacts of specific proposals | ||
| To safeguard existing airports and aerodromes | Supportive policy framework? | |
| Impact of specific proposals |
Broad Objective : Social Progress which Recognises the Needs of Everyone
| Topic | Objective | Criteria / Questions |
| Poverty and Social Exclusion | To help tackle poverty and social exclusion in areas of particular need | Provision of employment opportunities in areas of need |
| Access | To ensure access for all to facilities that encourage the minimisation, re use, and recycling of waste and recovery of energy from waste | Supportive policy framework? |
| Education | To help improve education on the need for waste minimisation; re use, recycling and energy recovery and the means to achieve these | Supportive policy framework? |
| Provision of facilities in specific proposals? |
In some instances the selection of objectives has been informed by a report that describes the baseline situation across a range of topics. The selected topics cover the broad themes of sustainable development and include information on existing landscape designations and landscape character, existing nature conservation designations, air quality, water quality, socio – economic characteristics etc. A range of documents are reviewed together with other information, e.g. census data.
For each topic a series of opportunities and constraints are identified that would need to be addressed in the plan period. The opportunities and constraints are used as the basis for devising the appraisal objectives. A series of criteria are also devised to provide the basis for assessing performance against the objectives.
The appraisal objectives are also tested for compatibility with the Government’s four broad themes for sustainable development. The purpose of this exercise is to ensure that the appraisal objectives provided a sound basis for appraising the plan.
A draft set of policies is then appraised. A number of tasks are undertaken as part of the appraisal and these are described below:
Scoping the draft policies against the appraisal objectives
In this task each policy is assigned to the appraisal objective that it is judged to relate to. Identifying objectives that are not supported by policies is a simple way of identifying any policy gaps.
Scoping draft policies against other policy and guidance
The scope of the draft set of policies can be tested against other policies and guidance at the national, regional and local level. So for example the policies are reviewed against relevant guidance in Planning Policy Guidance Notes (PPGs), including PPG10 on waste.
The purpose of this exercise is to both validate the content of draft policies and identify any policy gaps.
Compatibility
This task entails reviewing the draft policies to test for compatibility with other policies in the plan. If the appraisal team judges that two policies are potentially incompatible suggestions are made as to how the plan might be amended.
Appraising policies and proposals against the appraisal objectives
Each policy is appraised against each of the appraisal objectives and a judgement made as to whether it would move away from or towards achievement of each of the objectives. In those instances were the wording of policies implies a move away from the objective suggested modifications to the policy are put forward. This part of the appraisal can be undertaken through a round table discussion involving the Entec appraisal team. Representatives from the planning authority also attend to observe the process and provide background on specific policies. The round table format is a good way of capturing a range of views over a relatively short period of time.
Proposals for waste management facilities are appraised in the same way. Site visits are also undertaken. The appraisal of sites is also informed by desk top studies to collect information on, e.g. existing air quality, proximity to landscape designations, proximity to the major road network, etc. Ideally the appraisal should be an iterative process with subsequent versions of the Plan re-appraised.
Conclusions
Sustainability Appraisal is potentially a useful tool for assessing the impacts of policies and proposals in draft Waste Local Plans. If the Government’s proposals in the Planning Green Paper are implemented it will become mandatory for Waste Local Plans to be subjected to such appraisals. Considering the social and economic implications of plans alongside environmental considerations is one way of ensuring that plans contribute to sustainable waste management.
The views expressed
here are the author's own.
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