Guidance note: ecological survey and assessment process

It is important to note that ecological survey data is generally valid for a period of up to two years and so surveys may need to be repeated during and after the planning process. See CIEEM Advice Note 'On The Lifespan of Ecological Reports & Surveys': https://cieem.net/wp-content/uploads/2019/04/Advice-Note.pdf

Appendix 1 of the Biodiversity and Development Supplementary Planning Guidance (SPG) provides:

• A checklist for Protected/Priority Species Surveys likely to be required for different development sites in Swansea (Figure A1.1);
• Species and habitats likely to be found in Swansea's Marine/Coastal/Estuarine Locations (Figure A1.3);
• Protection of Species in Swansea (Figure A1.4);
• Protected Sites in Swansea (Figure A1.5); and
• Protection of Habitats in Swansea (Figure A1.6).

An initial Preliminary Ecological Appraisal (PEA) should be undertaken. This will identify the need for any further species surveys, the results of which should be presented in an Ecological Impact Assessment (EcIA) report. The applicant and their ecologist will also need to consider if a Habitats Regulations Assessment (HRA) or an Environmental Impact Assessment (EIA) are required. These assessments are detailed in the sections below.

Who should prepare ecological information?

Applicants submitting ecological information with their planning application will need to employ a suitably qualified, and where necessary licensed, ecologist. The Chartered Institute of Ecology and Environmental Management (CIEEM) is the main body in the UK promoting good practice and professionalism in ecology and membership of this organisation is a good indication of competence. CIEEM has a directory of members and provides Guidelines for Ecological Report Writing.

The applicant's ecologist should always work to the relevant recognised survey and mitigation guidelines, and should give an evidence-based justification for any deviation from these guidelines. The ecological reports should contain information demonstrating the competency of the report author and any limitations of the surveys/assessments.

1.  Preliminary Ecology Appraisal

1.1.  A PEA report should include:

• A desk study to identify species records and designated nature conservation sites that may be affected by the development;
• An Extended Phase 1 Habitat Survey to map the habitats present and any significant biodiversity features, including invasive non-native species (INNS);
• An assessment of the likely importance of the habitats present;
• An assessment of the likely presence of protected and priority species;
• Identification of any ecological constraints and measures to avoid significant negative effects;
• A list of further ecological surveys likely to be required to inform an EcIA, together with appropriate methodology and timing; and
• Identification of opportunities for ecological enhancement.

1.2. Applications likely to affect any designated sites or priority habitats must include an assessment of the relevant habitats or species that the sites are designated for. A Habitats Regulations Assessment may also be required.

1.3. Further information on PEAs is provided in the CIEEM Guidelines for Preliminary Ecological Appraisal.

2.  Species/Further Surveys

2.1. A PEA report may recommend additional surveys for protected or priority species or habitats. These are sometimes known as "further surveys," "species surveys," or "phase 2 surveys."

2.2. Swansea Council does not condition these surveys. Therefore, they should be undertaken prior to a planning application submission. If the need for further surveys is identified after submission, they will be required prior to determination of the application.

2.3. The checklist for Protected/Priority Species Surveys in Appendix 1 of the Biodiversity and Development SPG details application types that may require further species survey work.

2.4.  Further surveys must be undertaken by a suitably qualified ecologist. Certain surveys require a licensed ecologist, for example bat inspections, great crested newt surveys and dormouse surveys. Please see the NRW Guidance on Species Licences: https://naturalresources.wales/permits-and-permissions/species-licensing/

2.5. CIEEM provides competency guides for undertaking species surveys, which also list the relevant survey and mitigation guidelines.

2.6. Species surveys may identify the need for development licences in order for the development to proceed lawfully. These licences are separate from the planning process, but LPAs must take account of the legislation throughout the development management process. Therefore, the proposed species mitigation to be included with a licence application should be included upfront with the planning application.

3.  Ecological Impact Assessment

3.1. Once a PEA and further surveys have been undertaken, it may be advisable to undertake an EcIA, especially on larger-scale developments.

3.2. EcIA "is a process of identifying, quantifying and evaluating the potential effects of development-related or other proposed actions on habitats, species and ecosystems." Two uses of EcIA are:

• To provide the ecological component of an Environmental Impact Assessment (EIA); and
• To demonstrate how a project adheres to relevant planning policy and legislation when an EIA is not required.

3.3. The following principles underpin EcIA:

• Avoidance of harm to ecological features;
• Mitigation of negative effects;
• Compensation to offset residual negative effects; and
• Enhancement to provide benefits for biodiversity.

3.4. The PEA and further surveys are used to establish the ecological baseline and determine important ecological features associated with the development.

3.5. The key part of the EcIA is the Impact Assessment. It should consider all phases of the development (i.e. construction, operation and where appropriate, decommissioning), all parts of the development (e.g. construction site, compounds and access routes) and both direct and indirect effects. It should be noted that there may be pathways for impact that extend beyond a site boundary.

3.6. The impact assessment should characterise impacts in terms of extent, magnitude, duration, reversibility and frequency. It should also consider cumulative impacts and it should be noted that impacts can be positive or negative.

3.7. Further information on EcIAs is provided in the CIEEM Guidelines for Ecological Impact Assessment.

3.8. CIEEM provide an EcIA Checklist to ensure that sufficient information is captured to inform decision-making.

4.  Habitats Regulations Assessment

4.1. Under the Habitats Regulations, before granting planning consent, the LPA must be satisfied that the proposed development will not significantly impact any European/International sites[1]. The LPA may need to undertake an HRA.

4.2. Triggers for HRA:Impacts that may necessitate a consideration of impacts upon European/International protected sites include:

• Increased recreational pressure from, for example, a new housing development;
• Discharges into watercourses;
• Noise, air pollution or light pollution; and
• Disturbance of species or habitats.

4.3. It is important to consider that developments do not need to occur within or adjacent to a designated site in order to impact upon it. Impacts may also arise as a result of development in locations which are connected to a protected site, for example via hydrological networks, or as a result of air pollution. Designated sites that are 10km or further from an application site may need to be considered.

4.4. For proposals that might affect a European/International site, the LPA will undertake a Screening Exercise ('Stage 1') to determine if there would be any Likely Significant Effects (LSE). Where a development proposal (alone or in combination with other proposals and without considering mitigation[2]) is likely to have a significant effect, the LPA, as the competent authority must undertake an Appropriate Assessment ('Stage 2'). Such an assessment will examine the implications for the site with regard to conservation objectives of the site.

4.5. The applicant must provide all the necessary information to allow the LPA to undertake the HRA. This can take the form of an ecological report 'to inform an HRA' submitted with the planning application. Applicants are advised to seek advice regarding the scope of survey and assessment work. Planning consent cannot be granted unless the results of the appropriate assessment show that the proposal will not have an adverse effect on the integrity of the site.

Environmental Impact Assessment

4.7. EIA describes a procedure that must be followed for certain types of project before they can be given 'development consent'. The procedure is a means of drawing together, in a systematic way, an assessment of a project's likely significant environmental effects. Projects are listed on two schedules within the legislation (The Town and Country Planning (Environmental Impact Assessment) (Wales) Regulations 2017).

4.8. Schedule 1 includes large development such as airports and industrial works, which will require EIA.

4.9. Schedule 2 lists other development types, which only require EIA if the proposal is likely to have significant environmental effects.

4.10. The submission of the EIA information is called the 'Environmental Statement (ES)'.

4.11. The preparation of an ES in parallel with project design provides a useful framework within which environmental considerations and development design can interact. The responsibility for carrying out the EIA and compiling the ES rests with the applicant.

4.12. Screening Opinion: Applicants can apply to the LPA for an opinion on whether they will need to undertake an EIA - this is called a 'screening opinion'.  A screening opinion application must include a plan on which the site of the proposed development is identified, a brief description of its nature and purpose and of its possible effects on the environment. This can be undertaken well in advance of any formal planning application.

4.13. Scoping Opinion: The Regulations enable an applicant, before making a planning application, to ask the LPA for its formal opinion on the information to be included within an ES - this is called a 'scoping opinion'. If the applicant wishes, an application for a scoping opinion can be carried out simultaneously with the screening opinion.

4.14. Environmental Statement:Applicants and authorities should discuss the scope of an ES before beginning its preparation. Statutory consultees, such as NRW would be consulted at this stage. The formal requirements as to the content of an ES are set out in Schedule 4 of the legislation. There is no prescribed form of ES, provided that the requirements of the Regulations are met.

For more information see the UK Government website guidance on EIA.

[1] Special Areas of Conservation (SACs), Special Protection Areas (SPAs), Ramsar sites, candidate SACs (cSAC), proposed SPAs (pSPA), and proposed and existing European offshore marine sites.

[2] Court of Justice of the EU Case C-323/17 People Over Wind and Peter Sweetman v Coillte Teoranta: "...in order to determine whether it is necessary to carry out, subsequently, an appropriate assessment of the implications, for a site concerned, of a plan or project, it is not appropriate, at the screening stage, to take account of the measures intended to avoid or reduce the harmful effects of the plan or project on that site."