Pilot Pentland Firth and Orkney Waters Marine Spatial Plan - Sustainability Appraisal

6 Approach to the SA

6.1 Overview

6.1.1 The SA has been able to directly inform the development of the Plan as a result of being fully integrated into plan development. The following sections set out the two-tier approach undertaken in the appraisal, including how the SEA and Socio-economic components have been scoped, and how the consideration of alternatives to the draft Pilot Plan have contributed to its development.

6.2 Scoping the SEA and Socio-economic Assessment

6.2.1 The combined SEA Screening and Scoping Report ^[21] , prepared in January 2013 and issued to the statutory bodies for consultation, presented an initial overview of the likely content of the draft Pilot Plan and outlined the initial stage of thinking in relation to marine planning within the PFOW. Its preparation at an early stage of the development process, and that of a Draft Environmental Report prepared alongside the Planning Issues and Options Consultation Paper for the Pilot Plan in May 2013, were undertaken to continue this iterative plan development process and to build on the earlier engagement of the Consultation Authorities.

6.2.2 The Screening and Scoping Report identified a range of data sources to be used in preparing the environmental baseline for the SEA, and also considered the environmental aspects that were likely to be affected based upon the proposed direction of the Plan at that early stage of the process ^[22] . At this stage, it was determined that air quality would be scoped out of the SEA. While greenhouse gas emissions were noted as a consideration under the Climate Change topic area scoped into the assessment, it was considered unlikely that the adoption of the Plan would result in significant effects on air quality at the regional level.

6.2.3 The consideration of other marine users and associated social and economic aspects of the assessment process was discussed in the context of Population and Human Health and Material Assets in the Screening and Scoping Report. Whilst at that stage, the Report set out plans for addressing these issues in a separate Socio-economic Assessment and an overarching Sustainability Appraisal, as the process progressed, a decision was taken to incorporate both the SEA and Socio-economic assessment into the one SA Report (see Section 7.2).

6.3 Assessment Methodology

6.3.1 The SA explored the potential for significant effects which could arise from the adoption of the Draft Pilot Plan through two tiers of assessment: Analysis of policies and a cumulative assessment of the draft Pilot Plan in the wider policy context.

Analysis of Policies

6.3.2 The likelihood of the general and sectoral policies set out in the draft Pilot Plan to have significant social, economic and environmental effects was undertaken, and this analysis is presented in the tables in Appendices A and B of this Report. Possible alternatives to the development of the Pilot Plan were also considered under this tier of the assessment and an analysis of the reasonable alternatives identified for the Pilot Plan are presented in the tables in Appendix C. The consideration of reasonable alternatives is discussed further in Section 6.6 of this Report.

6.3.3 As the Plan and its policies took shape, it was considered that many of the policies outlined in the draft Pilot Plan set out ambitions, and were aimed at promoting improved management and development rather than delivering specific actions. As a consequence, it was considered that some policies, by themselves, were unlikely to have significant social, economic or environmental effects, but rather that they would contribute to delivery of wider ambitions (e.g. sustainability, protection of the marine environment, reduction of GHG emissions). This stage of the assessment also explored the likelihood of the policies contributing towards meeting these wider ambitions, and explored the potential for them to contribute to positive and/or negative impacts on the SA topic areas.

6.3.4 The findings of this tier of assessment are presented in Section 8 of this Report.

Cumulative Assessment

6.3.5 The second tier of assessment involved exploring the likelihood of cumulative effects associated with the collective group of these Policies within the wider policy and regulatory context (e.g. interactions with national policies, consenting processes governing activities and development in marine and coastal areas of the PFOW). The assessment identified that the Plan and its policies would likely frame and strengthen wider policy ambitions at the regional level, and together with its associated documents and (i.e. the RLG, Socio-economic and Environmental Baselines) could contribute to the delivery of these wider ambitions.

6.3.6 To frame this discussion, a set of assessment questions for the draft Pilot Plan were developed. The findings of this assessment are discussed further in Section 9 of this Report.

6.4 The development of objectives

Objectives

6.4.1 The SEA Screening and Scoping Report provided an initial review of key documents likely to have a bearing on the assessment of environmental impacts of the Pilot Plan. From this, a group of initial environmental objectives were developed for the seven SEA topic areas scoped into the assessment, and these were subsequently used to focus the development of the Draft Environmental Report published in May 2013.

6.4.2 As the draft Pilot Plan evolved, these objectives were progressively refined, and were informed by the development of the Socio-economic Baseline. An analysis of key environmental and socio-economic objectives is provided in Appendix D, and these objectives were used to develop the SA objectives and the key SA Questions presented in Table 6.1.

Key SA Questions

6.4.3 The primary tool used in undertaking the second tier of the assessment involved testing the Pilot Plan and its proposed provisions against a series of Questions to reflect on key issues identified in the collation of objectives and the baseline information for the assessment. These questions, called the key SA questions, were developed for two purposes. Initially, they were used to guide the assessment of the sectoral and cross-cutting policies presented in the Plan, and to frame the consideration of the potential for effects associated with each of the Plan’s Policies with regard to each of the environmental and socio-economic topic areas scoped into the assessment.

6.4.4 However, rather than applying these questions rigorously to the specific policies in the first tier of the assessment, a decision was taken to adopt a more proportionate and holistic approach in applying these questions to the Pilot Plan as a whole in the second tier of assessment. In this way, the potential for significant cumulative effects associated with the collection of policies was explored and how the Plan and its individual policies would work together in contributing to meet the assessment objectives. These questions also provided an opportunity to explore the influence of overarching and wider policies (e.g. NMP and current consenting processes).

Table 6.1 Summary of objectives, their implications for the Pilot Plan and Key SA Questions.

Summary of environmental and socio-economic objectives	Potential implications	SA Objectives	Key SA Questions
1: Biodiversity
The objectives at the international, national and local levels largely relate to the conservation of biodiversity, and the adoption of measures and PPS to work towards these aims alongside the promotion of enhancement of biodiversity features where possible. For example, the designation of sites and species for management and/or protection or conservation, amongst others. Many objectives also reflect ambitions for the sustainable development of biodiversity, including supporting important industries (e.g. sustainable fisheries, land use management). The objectives demonstrate important links between biodiversity interests and those in other environmental topic areas, most notably water and soil.	The SA should assess the extent to which the Pilot Plan will contribute to the core aims or protection and enhancement of biodiversity and natural heritage. There is a need to establish and mitigate impacts on coastal and marine habitats and species, particularly those designated at the international, national and local levels within the PFOW area. The SEA should also explore the extent to which the Pilot Plan will contribute to the core aims or protection and enhancement of biodiversity and natural heritage outlined in these objectives. It should encourage the Pilot Plan to take positive action in reflecting the aspirations and goals set out within the EU Biodiversity Strategy, the emerging Scottish response to the 2020 vision, and Biodiversity Action Plans ( BAPs) at the local level (Orkney and the Highlands); the latter emphasising the importance of ecosystem health, and framing biodiversity and natural heritage conservation within the context of sustainable economic growth within the PFOW area. Many effects on biodiversity and natural heritage can only be identified at a local level as they depend on the type and location of activities which are brought forward under the terms of individual policies. As a result, the assessment should focus on high level strategic issues arising from the emerging policy framework, whilst acknowledging that there will likely be a need to establish and mitigate impacts on designated sites and species from future development within the PFOW area.	1. To safeguard marine and coastal ecosystems and their interactions, and where possible, enhance these ecosystems. 2. To avoid adverse effects on, and where possible, enhance the integrity of designated sites, including Natura 2000 sites.	1 (a) How will the draft Pilot Plan and its policies contribute to meeting the aspirations and goals of the EU and Scottish Biodiversity Strategies, and the core aims of protection and enhancement of biodiversity and natural heritage? (b) Will the development of these policies: Help to preserve, and where possible, enhance biodiversity, habitat and geodiversity features in coastal and marine areas in the PFOW? Generate significant impacts on key marine, coastal and terrestrial habitats and species, or the networks of designated biodiversity sites within the UK? (c) How will the draft Pilot Plan and its policies contribute to the management of invasive non-native species?

Summary of environmental and socio-economic objectives	Potential implications	SA Objectives	Key SA Questions
2: Climatic factors
Relevant objectives at the international and national levels target both reductions in emissions and addressing the effects of climate change, including working towards a low carbon energy mix. Specific targets include commitments to reduce greenhouse gas ( GHG) emissions by 42% by 2020, 80% by 2050, and the setting of annual targets for 2010-2050; largely decarbonised electricity generation and heat sectors by 2030 and 2050 respectively; and almost complete decarbonisation of road transport by 2050; amongst others. In all, these policies and commitments highlight the importance of energy efficiency across a range of sectors, and the need to increase energy output from renewable sources.	The stated objectives and commitments promote the role of sectors such as the energy and transport sectors, amongst others, in contributing to climate change mitigation and aiding in adaptation to its predicted effects in the longer term. The SA should explore the extent to which the Pilot Plan can aid in delivering both climate change mitigation and adaptation commitments, and in particular, the role that the PFOW area can play in delivering a shift towards low carbon energy. The assessment should take into account the Pilot Plan’s role in addressing issues such as changing vulnerability of the natural environment, the need for land and sea use changes, and requirements for long term resilience in the face of the predicted effects of climate change.	3. To reduce GHG emissions. 4. To ensure that adaptation to the potential effects of climate change are considered in the development of the Pilot Plan and in future development in the region.	2 (a) How will the draft Pilot Plan and its policies contribute to climate change mitigation and adaptation? (b) Will the draft Pilot Plan and its policies generate significant direct, in-direct or secondary impacts that may exacerbate or contribute to the anticipated effects of climate change?
3: Cultural heritage and the historic environment
International and national objectives largely relate to the conservation and protection of cultural heritage features, ranging from the protection of marine features such as designated wrecks, to terrestrial features including historic buildings and scheduled monuments with coastal relevance.	As with those relating to biodiversity and natural heritage, wider policy on cultural heritage and the historic environment emphasises the role of the environment in supporting sustainable economic growth in the PFOW area. The Pilot Plan should take into account both the historic marine environment and that of coastal and terrestrial features with coastal components in the context of sustainable development and economic growth in the PFOW area. The SA should consider the potential for impacts on cultural heritage features and the historic environment within the PFOW area associated with future development undertaken in the context of the Pilot Plan. Key principles for managing change in the historic environment could also be applicable at a broader scale and present similar issues in other environmental topic areas. For example, policy relating to biodiversity and natural heritage, and landscape/seascape issues, amongst others.	5. To protect and maintain the historic marine environment. 6. To avoid damaging both known and unknown coastal and marine archaeology. 7. To avoid adversely impacting on the character and setting of historic features (e.g. monuments, buildings).	3 (a) How will the draft Pilot Plan and its policies contribute to protecting the historic environment and its setting in both the marine environment and for terrestrial features with coastal components, including both known and unknown features? (b) Will the draft Pilot Plan and its policies generate significant impacts on cultural heritage and the historic environment in the PFOW coastal and marine regions?

Summary of environmental and socio-economic objectives	Potential implications	SA Objectives	Key SA Questions
4: Landscapes and seascapes
The identified PPS outline the importance of landscapes, both designated and un-designated, and reflect ambitions at the international, national and local levels to safeguard protected areas and recognise and conserve wider landscapes and seascapes.	The assessment should reflect the principles of the European Landscape Convention and underlying policies, particularly the ‘all landscape’ approach it promotes and recognition of the importance of landscape and seascapes to local communities. The SEA should consider the potential for effects of the Pilot Plan on landscape and seascape quality and diversity. Such an assessment should however, go beyond a focus on protected areas such as national scenic areas ( NSAs) at the national scale to also consider other levels of recognition such as the identification of areas of wild land, national nature reserves, landscapes that contribute to sense of place more generally, and areas that would benefit from enhancement, amongst others.	8. To promote the protection and enhancement of both seascape and coastal landscape features. 9. To avoid the potential for adverse landscape, seascape, visual and cumulative effects.	4 (a) How will the draft Pilot Plan and its policies contribute to the preservation of recognised and protected areas (i.e. NSAs) and other levels of recognition (i.e. the identification of areas of wild land, national nature reserves, landscapes that contribute to sense of place more generally, and areas that would benefit from enhancement, amongst others)? (b) Will the draft Pilot Plan and its policies generate adverse impacts on landscape, seascape and visual amenity?
5: Communities, population and human health
The various PPS aim to ensure protection of communities and human health in the environmental, social and economic sense, particularly for marine users (e.g. bathing) through: ensuring access to activities and areas to help to keep people active and healthy, maintaining or improving accessibility and connectivity of remote island and coastal communities, contributing to the resilience and cohesion of coastal and island communities, and providing economic benefits, including employment opportunities.	There are numerous ongoing commitments to improving mental and physical health and wellbeing. The Pilot Plan could contribute to these through promoting key assets such a core paths, considering coastal and marine recreation, ensuring safe environments in the PFOW area and contributing to improving the wellbeing of local communities and delivery of sustainable economic benefits (e.g. employment opportunities). The SEA should inform the Pilot Plan through exploring the extent to which these objectives are being met, and explore potential access issues associated with future development within the PFOW area.	10. To avoid adversely affecting other users of the coastal and marine environment. 11. To avoid adversely affecting human health and safety in coastal and marine environments. 12. To avoid adversely affecting the accessibility and connectivity of remote island and coastal communities. 13. To positively contribute to improving the wellbeing of local communities and delivery of sustainable economic benefits. 14. To contribute to the resilience and cohesion of coastal and island communities.	5 (a) How will the draft Pilot Plan and its policies contribute to the delivery of sustainable economic development including employment benefits and opportunities for local communities? (b) Will the draft Pilot Plan and its policies contribute to improving the wellbeing of local communities and the population in the PFOW, including the management of noise impacts and disturbance from coastal and marine activities? (c) Will the draft Pilot Plan and its policies generate significant impacts on the wellbeing and connectivity of local communities and the population in the PFOW, or generate other environmental effects? (d) How will the draft Pilot Plan and its policies contribute to the resilience and cohesion of coastal and island communities in the PFOW?

Summary of environmental and socio-economic objectives	Potential implications	SA Objectives	Key SA Questions
6: Water
The water-related objectives outlined in the identified legislation and policies are focused largely on protecting water quality, through improved management of coastal and marine operations, and aiming to reduce adverse impacts from sources such as pollutants. Many also reflect links between the water environment and other topic areas (e.g. biodiversity, soil and marine geodiversity, human health, material assets) and set out objectives in relation to ‘ecological status’ as well as presenting water quality standards. Policies relating to the water environment aim to improve the condition of all water bodies through the appropriate management of activities and a range of pressures. Protection of the water environment extends to coastal water bodies, rivers and marine areas, including those which are recognised as Bathing Waters.	The Pilot Plan will have a key role to play in helping to ensure that the targets such as those set by the Water Framework Directive ( WFD) and Scotland’s River Basin Management Plans ( RBMPs) are met, with support from the SEA. The Plan should highlight those areas which are currently designated as shellfish growing waters and bathing waters, and should outline the rationale underpinning these designations. These policies, plans and their environmental objectives emphasise the inter-relationships between marine waters, coastal waters, rivers and soils in relation to water quality. The SA could explore these relationships, including the integrated and consistent management of terrestrial and marine areas in the context of the Pilot Plan and the specific interests in this area (e.g. the importance of the PFOW area for renewable energy investment, fisheries and aquaculture).	15. To avoid adversely affecting water quality in the coastal and marine water environment (e.g. pollution, release of contaminants from accidents). 16. To maintain good ecological status in accordance with the WFD and where possible work towards achieving high ecological status To positively contribute to improving the wellbeing of local communities and delivery of sustainable economic benefits.	6 (a) How will the draft Pilot Plan and its policies contribute to meeting the water quality targets such as those set by the WFD, Scotland’s RBMPs and Bathing Waters Directive, amongst others? (b) Will the draft Pilot Plan and its policies generate any significant environmental impacts on water quality in coastal and marine environments?
7: Soil, marine geodiversity and coastal processes
The identified policies aim to provide protection for soils, largely terrestrial and coastal, although the principles are also applicable more widely and are applicable to other environmental topic areas (e.g. climatic factors, water, landscape).	The Pilot Plan and this SA should reflect the principles of the Scottish Soil framework, whilst also considering links to related objectives and pressures in other topic areas (e.g. the potential for future implications associated with the effects of climate change). Coastal planning emphasises the importance of integrated management of these areas, whilst the NMP requires a consistent approach with terrestrial planning. The Pilot Plan and its SEA could explore this further in the context of coastal and marine geology, and coastal processes. The SA should explore the potential effects of the Pilot Plan and associated developments at the strategic level on marine and coastal geology, including the need to ensure the Plan is ‘future-proof’, and could investigate the potential for secondary effects.	17. To maintain the integrity of coastal processes and avoid exacerbating coastal erosion/accretion. 18. To maintain and protect the character and integrity of the seabed and coastline.	7 (a) How will the draft Pilot Plan and its policies contribute to the preservation of Scotland’s geodiversity? (b) Will the draft Pilot Plan and its policies present opportunities to improve the resilience of the PFOW coastline, including contributing to the management of the effects of climate change on coastlines within the PFOW, such as flooding or coastal erosion? (c) Will the draft Pilot Plan and its policies generate any significant environmental impacts on coastal and marine geodiversity or coastal processes?

Summary of environmental and socio-economic objectives	Potential implications	SA Objectives	Key SA Questions
8: Material assets
While a wide range of policies have been identified, together these broadly aim at making the best use of the Scotland’s marine and coastal resources in a sustainable way that supports economic growth. Many have clear links to other topic areas, most notably to climatic factors, further demonstrating widespread ambitions to reduce GHG reduction and infuse adaptation to changing climatic conditions across many sectors. Biodiversity links are also apparent in some objectives, mainly through ensuring the sustainability of sectors such as fishing and tourism, amongst others, into the future.	These policies, plans and strategies set out a number of objectives of relevance to the Pilot Plan and its environmental assessment. Many of the aims and objectives around material assets focus on improving transport infrastructure and services, reducing waste and promoting the waste hierarchy, with underpinning themes that seek to reduce emissions and shift towards a low carbon energy mix. These objectives also have a strong economic focus, supporting the many sectors that use the marine and coastal environments, but are also linked with opportunities for improving efficiencies and making the best use of resources, while also creating stronger and more resilient communities and environments. The SA should explore the extent to which these broader goals and ambitions aim could be incorporated or promoted through the Pilot Plan, whilst also seeking to optimise their performance in relation to wider environmental aims and objectives.	19. To promote sustainable development and shared use of the coastal and marine environment, and to avoid adverse effects on other coastal and marine users. 20. To avoid adverse impacts on existing and planned infrastructure in the coastal and marine environments.	8 (a) Will the draft Pilot Plan support the development of a sustainable marine economy and safeguard and/or create jobs that support new or existing communities? (b) Will the draft Pilot Plan contribute to the growth of marine industries? (c) How will the draft Pilot Plan remove or avoid barriers to new marine enterprise opportunities? (d) How will the draft Pilot Plan and its policies contribute to improved management of wastes, including reduced waste generation in the coastal and marine environments in the PFOW? (e) How will the draft Pilot Plan help to meet wider waste management ambitions (e.g. marine litter, contamination, pollutants, emissions)?

6.5 Approach to mitigation and monitoring

6.5.1 Much like the NMP before it, the avoidance or reduction of adverse social, economic and environmental effects has been built into the development of the draft Pilot Plan, primarily through the inclusion of the general policies and provisions in the sectoral policies. Together, these provide overarching non-statutory guidance for marine users and consenting bodies in the PFOW area, and will complement and support existing ambitions and responsibilities rather than replacing them. Existing consenting processes will remain the mechanisms by which development proposals and qualifying marine activities will be progressed and assessed. However, the Pilot Plan, its policies and the accompanying RLG, will become one of a number of material considerations in the determination of any future consenting applications in the PFOW area, and help to identify and fill data gaps in the future (see Section 3.2).

6.5.2 Given the wide-ranging nature of these policies, particularly in supporting sustainable development, promoting sustainable social and economic benefits, the preservation of the marine environment, and promoting early engagement between stakeholders; the policies themselves will act as cross-cutting mitigation measures across the whole policy framework. Thus, they will lay the foundation for the development of the upcoming statutory Regional Marine Plans for the Orkney and North Coast regions. However, the assessment has also explored opportunities for additional mitigation and monitoring, where possible, particularly in informing the development of future Regional Marine Plans within the PFOW area and in identifying opportunities to overcome key challenges in these processes. Mitigation and monitoring is discussed in further detail in Section 10.2.

6.6 Reasonable alternatives considered

Alternatives

6.6.1 The 2005 Act requires that the potential for significant environmental effects of reasonable alternatives to the draft Pilot Plan are assessed as part of the SEA process. To this end, the SA explored the implications of several possible alternatives, focusing primarily on several proposed alternative approaches to the preparation of the draft Pilot Plan but also considering a range of alternatives to aspects of the Plan, many of which were incorporated into its development.

6.6.2 The broad alternatives identified in the development of the draft Pilot Plan were:

• Do not develop a Pilot Plan – this alternative considered not preparing a Pilot Plan but rather to proceed directly with the development of the Orkney and North Coast Regional Marine Plans under the 2010 Act. It also included an option involving to the potential development of separate Pilot Plans for the Orkney and North Coast regions to inform the development of these regional plans.
• Consider adopting a ‘zoned approach’ in the development of a Pilot Plan – this alternative involved looking at the zoning of marine areas for different types of marine uses and/or development.
• Limiting the scope of the Pilot Plan to outlining existing requirements for developers and marine users – this alternative involved restricting the scope of the Plan to setting out the current requirements for future developers and marine users only. For example, this alternative would involve referring to the requirements of current consenting processes, and awareness of obligations under the SEA and HRA Directives, amongst others, without explicitly linking these to wider ambitions.
• Adopting a ‘staged approach’ to inform the future development of Regional Marine Plans for the PFOW area – this was identified as the preferred alternative for the draft Pilot Plan and involved building upon the intent of the previous alternatives. It would provide an overview of existing ambitions and policies and promoting ambitions for the sustainable development and consideration of socio-economic and environmental factors in the future management of the PFOW area. The aim of this alternative is to primarily inform and guide decision-making in the PFOW area and to complement current mechanisms for managing development in and use of the marine environment.

Engagement with stakeholders

6.6.3 In the development of the policies contained within the draft Pilot Plan, a series of discussions with stakeholders was undertaken to gauge stakeholder interest in the Pilot Plan itself, and to help guide its development and that of its policies. Particular focus was given to ensuring that both were useful documents for marine users, developers and decision-makers alike, and that these were aligned with the overarching NMP. The establishment of the working group in 2012, the publication of the Planning Issues and Options Consultation Paper and its Draft Environmental Report for consultation in 2013, and engagement with stakeholders during the preparation of the draft Pilot Plan set the scene for further engagement ahead of the development of Regional Marine Plans for the PFOW area over the next few years.

6.6.4 More recently, a series of formal and informal events were held in July 2013 and late 2014 to engage with stakeholders from a wide range of sectors with interests in the PFOW area. These broadly including meeting with stakeholders such as the commercial fishing, renewables, shipping and marine navigation, ports and harbours, aquaculture, recreation, leisure and tourism sectors, amongst others; and also included input from the SEA Consultation Authorities ^[23] , Marine Scotland Science ( MSS), Marine Scotland Licensing and Operations Team ( MS LOT) and other environmental stakeholders to refine the development of both the general safeguarding policies and the relevant sectoral policies. In these discussions, the application of alternative priorities was a key focal point, particularly in identifying opportunities to improve the Pilot Plan and its policies in achieving its environmental and socio-economic goals.

6.6.5 A range of other alternatives were identified during these periods of consultation, including many raised by stakeholders during the consultation process ahead of production of the draft Pilot Plan. Many of these included broad suggestions such as providing additional focus on the co-existence of marine users, having a ‘balanced approach’ with no one type of development having priority over another, focusing on designing development around the considerations for other marine users, and greater engagement between developers and stakeholders. Several specific alternatives were also identified in relation to specific policies contained within the Pilot Plan. For example, some raised concerns that some stakeholders have not received due consideration in development in the PFOW area previously (e.g. surfers along the north Caithness and Sutherland coast, amongst others), whilst others expressed a desire for a presumption in favour of certain types of development.

6.6.6 The consideration and assessment of the reasonable alternatives to the draft Pilot Plan are discussed in Sections 8 and 9, and the consideration of the reasonable alternatives noted above is presented in Appendix C.

6.7 Compliance of the Assessment with Legislation

6.7.1 Compliance of the SEA component of the SA with the requirements of the 2005 Act are summarised in Appendix E.