Guidelines for Preliminary Ecological Appraisal - CIEEM

1 Technical Guidance Series Guidelines for Preliminary Ecological Appraisal Guidelines FOR Preliminary for Baseline Ecological Assessment was published in 1995 and relevant information within it is concise Ecological Appraisal and limited. Furthermore, since its publication, many Guidelines for Preliminary Ecological Appraisal changes have taken place with regard to planning Section 1 Introduction and legislation requirements and standard Ecological survey methodologies. Background As a result of the lack of up-to-date guidance, there is Preliminary Ecological surveys1 have a range of purposes; a variety of Ecological assessment reports produced by one key use is in the site development process to gather Ecological consultants as part of the initial phase of data on existing conditions, often with the intention of the development process that use differing names and conducting a Preliminary assessment of likely impacts where the standard of survey and assessment may be of development schemes or establishing the baseline for variable.

2 For example, the lack of a standard approach future monitoring. As a precursor to a proposed project, to these Preliminary Ecological assessments may lead some evaluation is usually made within these appraisals to uncertainty on the part of developers and regulators of the Ecological features present, as well as scoping for (planning authorities and government agencies) as to notable species or habitats, identification of potential the level of Ecological survey required in a particular constraints to proposed development schemes and situation and whether sufficient survey effort has been recommendations for mitigation. Developers should made. be advised and encouraged to enter into discussions with planning authorities as early in the development Terminology process as possible. Many terms are used to describe Preliminary survey and A Preliminary Ecological Appraisal indicating, reporting: Baseline surveys, Extended Phase 1 habitat for example, the likely significance of Ecological survey; Constraints Survey; Ecological Site Assessment.

3 Impacts on a proposed development site will be an Ecological Site Appraisal ; Ecological Scoping Survey;. important contribution to these early stages. It will Walkover Survey. Some of these terms are fairly help the developer and the planning authority to old and are now rarely used, although they are still agree the appropriate scope of any subsequent impact encountered from time to time, walkover survey. assessments, or that Ecological impacts will not be a Furthermore, constraints or scoping surveys (although significant issue in the determination of the application they may vary in content) are unlikely to include any when it is submitted. Preliminary Ecological Appraisals element of valuing of features, and walkover, scoping would also be an important Preliminary step, whether and constraints survey are considered to be too limited taken by the developer or the planning authority, to or the terminology too loose.

4 Consequently some inform decisions as to whether a particular site should standardisation is required to reflect the minimum be included as an allocation in a development plan. works at this stage of the process, as set out below. The information obtained from such an Appraisal is appropriate for use in the process of selecting preferred Ecological (Site) Assessment' is open to confusion options and in the strategic environmental assessment with the more detailed Ecological Impact Assessment of the plan. and does not help to clarify what is being undertaken. Nevertheless, some form of robust Ecological approach A Preliminary Ecological Appraisal , together with any is required to inform planning decisions. It is therefore Ecological evaluation undertaken, does not replace considered that either Extended Phase 1 habitat the more formal Ecological Impact Assessment (EcIA) survey or Ecological Appraisal is the most appropriate (IEEM 2006 and IEEM 2010).

5 A Preliminary Ecological description of this type of assessment, although the Appraisal may be prepared before undertaking a full former implies no evaluation, and is thus insufficient EcIA or may be stand alone documents where no EcIA for purposes such as the Code for Sustainable Homes is required. No comprehensive up-to-date guidance and BREEAM (Building Research Establishment exists for undertaking this type of baseline Ecological Environmental Assessment Method) assessments. assessment. Ecological Appraisal ' is considered the term most suited to describing a Preliminary or baseline level Brief guidance is set out in Chapter 2 (Extended of survey and assessment. The word site' has been Phase 1 Habitat Map with Target Notes) of Guidelines omitted as it is common practice to include an element for Baseline Ecological Assessment (Institute of of survey beyond a site boundary, even if this is only a Environmental Assessment 1995).

6 This is the key visual assessment from within the proposed site. reference, and appears to be widely cited by consultant ecologists as the basis for such studies. Guidelines Objectives 1 Also referred to as Baseline Ecological surveys, Phase 1 or Ex- This document provides best practice guidance for tended Phase 1 Habitat Survey/Constraints Survey/ Ecological Site Assessment/ Ecological Site Appraisal / Ecological Scoping Survey/ those undertaking Preliminary Ecological appraisals, Ecological Site Walkover Survey setting out the minimum standards required. It provides 2. recommended terminology for consistency across development, statutory requirements and the needs of baseline appraisals to aid developers and planning the developer and the regulator. authorities. Guidelines for Preliminary Ecological Appraisal Obligations and Responsibilities Applications Prior to the commencement of any project, Examples of situations where these appraisals would be written agreement of respective obligations and undertaken are: responsibilities between the parties involved is necessary to establish the contractual relationship.

7 Proposed developments: This needs to be on a firm foundation in view of where it is considered that EcIA is not possible negligence claims and liabilities under statute required; ( Civil Liability Contribution Act 1978, Limitation to establish baseline conditions and Act 1980 and Latent Damage Act 1986) and any determine the importance of Ecological disagreement arising during the contract period. A. features present (or those that could be contract document provides both consultant and present) within the specified area, as far as client with protection under contract law. The work is possible; required to be undertaken should be set out clearly in to establish any requirements for detailed/ a contract. Advice on this can be found in the CIEEM . further surveys; Professional Guidance Series No. 7 Model Service to identify key constraints to the project and Agreements and Professional Guidance Series No.

8 11. make recommendations for design options Contract Advice Notes Part I. Those undertaking survey to avoid significant effects on important work should ensure that they meet the minimum Ecological features/resources at an early species survey standards as set out in the CIEEM . stage; Competencies for Species Survey guidance documents to identify the mitigation measures as far (2011). as possible, including those that will be required, and those that may be required Section 2 Outline of the Process (based on results of further surveys or final scheme design); and Introduction to identify enhancement opportunities. Site management plans: Ecological surveys should be undertaken by qualified to identify and evaluate the features of professionals, experienced in Ecological survey, with interest. an understanding of nature conservation legislation Code for Sustainable Homes/BREEAM (Land use and planning and recognised by a relevant professional and ecology credits): body such as CIEEM .

9 Where animal species are to gathering Ecological baseline data. be surveyed the ecologist should also be able to demonstrate that they meet the minimum knowledge, The results of baseline appraisals are potentially of skills and practical experience requirements as set out great importance as they often form the basis for in the IEEM Technical Guidance Series Competencies further Ecological surveys and EcIAs/Environmental for Species Survey. Impact Assessments (EIA) and for the setting of site management objectives. Consequently, without a Method consistent approach, important Ecological features may be scoped out' or inadequately surveyed at this This following advice in relation to a report's structure stage and are then overlooked in subsequent Ecological and contents is in accordance with the CIEEM . assessments. Professional Guidance Series No. 9 Guidance for Ecological Report Writing and Professional Guidance It is important to note that most, if not all, planning Series No.

10 10 Guidance on Metadata Standards: applications will require an assessment of all Ecological Reporting, Sharing and Archiving Ecological Data. effects. Therefore, in most cases, a Preliminary Ecological Appraisal , as described here, will not The method employed should be clearly stated and provide all of the information required by the regulatory should allow for the following: bodies to determine a planning application. However, in many cases it can be a helpful first step in informing 1. A desk study to identify notable (defined below). a developer of the key Ecological constraints, design or protected sites habitats or species potentially options, requirements for further surveys and mitigation affected by the proposal under consideration. measures. It can also be useful in providing a basis for consultation with the determining authority and other 2. Survey based on the Phase 1 habitat survey consultees on these same issues.