Screening process

Identification of projects that require statutory EIA

The requirements and procedures set out in this document shall be followed for screening a project to determine whether it requires an EIA and the subsequent publication of an Environmental Impact Assessment Report (EIAR). The process for identifying the requirement for EIA is known as determination. The Scottish Ministers, acting though their agency Transport Scotland, have statutory responsibility to undertake a screening determination if they have under consideration either construction of a new road, or improvement of a road, for which the Scottish Ministers are roads authority. The screening determination must be carried out before details of the project are published.

The EIA Directive has three annexes which are key to identifying the requirement for EIA. These are:

  • Annex I – list of projects always requiring EIA
  • Annex II – list of projects that may require EIA, and require screening to ascertain if they do
  • Annex III – criteria to be used in screening projects for EIA (see Appendix B for these criteria)

Annex I projects in relation to roads are defined as:

  • Construction of motorways and express roads.
  • Construction of a new road of four or more lanes, or realignment and/or widening of an existing road of two lanes or less so as to provide four or more lanes, where such new road, or realigned and/or widened section of road would be 10 km or more in continuous length.

Annex II list of projects in relation to roads are:

  • The construction of roads, harbours and port installations, including fishing harbours (projects not included in Annex I)

An EIA is always required for Annex I projects and although screening is not a statutory requirement, Transport Scotland require a Record of Determination to be prepared which highlights the likely significant effects on the environment from the proposed project. This helps to inform the scoping exercise, which is the next step.

Annex II projects which meet thresholds require screening to determine if they require EIA. The thresholds are that the completed works, including construction works and any area occupied by apparatus, equipment, machinery, materials, plant, spoil heaps or other such facilities or stores required during the construction period:

  • Exceed 1ha in area; or
  • Are situated in whole or in part in a sensitive area (Appendix C).

At this stage, if they meet either criteria, they are referred to as ‘relevant projects’ and require the next stage of screening.

A hierarchy of road interventions showing example projects and possible EIA requirements are shown below. These are examples of each type of project and are not intended as a legal interpretation. Further guidance is available in the Design Manual for Roads and Bridges (DMRB), LA102 Screening Projects for Environmental Impact Assessment.

Types of road projects and possible EIA requirements

Major projects (Annex I)

  • New trunk roads
  • Bypasses
  • Additional carriageways
  • New bridges
  • Widening schemes resulting in four lanes or more

As there is high potential for significant effects, EIA is almost always required.

Minor improvement projects (Annex II)

  • Minor widening schemes
  • Road geometry improvements
  • Small bridge replacements
  • Junction improvements

There is potential for significant effects and therefore screening is required to identify if EIA required.

Structural maintenance schemes (Annex II)

  • Pavement reconstruction
  • Resurfacing works
  • Drainage improvements
  • Structural bridge maintenance
  • Works affecting banks of rivers or lochs

There is potential for significant effects and therefore screening is required to identify if EIA required.

Routine and cyclic maintenance

  • Gully emptying
  • Surface patching and overlays
  • Vegetation management
  • Minor signing and lighting
  • Grass cutting
  • Lighting maintenance

Environmental effects are possible but are unlikely to be significant and should be managed through good practice site procedures.

The project is screened using the criteria set out in Annex III of the Directive, which identifies three broad criteria as follows:

  • The characteristics of the development
  • The location of the project
  • The type and characteristics of the potential impact

Where review of these criteria indicates the likelihood of one or more significant environmental effects, then the project will require EIA. However, mitigation measures can be taken into account which are envisaged to avoid or prevent significant adverse effects on the environment.

The criteria for EIA screening are intended to be used for sifting purposes, rather than as absolute thresholds requiring an EIA to be done. In addition, not every road project in or affecting the areas identified in Annex III will require an EIA. It will be necessary to review the likely significance of impact of that particular project and location.

In certain cases statutory and non-statutory designations which are not included in the definition of ‘sensitive area’, but which are nonetheless environmentally sensitive, may also be relevant in determining whether EIA is required.

It is also possible that a project may have a significant impact on an area of the environment not identified in Annex III. In such cases, the potential for impact will be identified and a determination made as to whether EIA is required.

Completing a Record of Determination

For Annex I projects and projects that are deemed ‘relevant’ under Annex II and require further screening to determine if an EIA is required, the following information shall be collated in a Record of Determination (RoD). The RoD template can be obtained from Transport Scotland Environmental Advisors. In summary, the following is required:

  • The name and location of the project, including a plan.
  • A description of the project (including any demolition works).
  • A description of the local environment (baseline).
  • A description of main environmental impacts of the project (including impacts resulting from expected residues and emissions and the production of waste, and the use of natural resources, in particular soil, land, water and biodiversity), and proposed mitigation.
  • The extent of environmental assessment work undertaken to date and details of discussion with statutory bodies / interested parties.
  • A statement of case in support of a determination that an EIA is/is not required. If the determination is that an EIA is not required, this statement must state any features of the project which are envisaged to avoid or prevent significant adverse effects on the environment.

In practice the RoD will usually be supported by an appropriate report, usually an Environmental Screening Report, which sets out the appraisal which has been undertaken to ascertain whether or not significant environmental effects are likely, and therefore whether more detailed work and the EIA process needs to be followed (or not).

All RoDs are submitted to Transport Scotland, preferably at least four weeks prior to the works starting on site for negative determinations. The RoD procedure is described below:

  1. RoD prepared by Operating Company (OC) or Consultant and submitted to TS Environmental Advisor.
  2. RoD reviewed and signed by TS Environmental Advisor.
  3. RoD passed to TS Project Manager for review and sign off by TS Director.
  4. RoD passed to Roads Network Administration Team for filing. RoD published on TS website.

The RoD is a critical document since it forms the basis of Transport Scotland’s position with respect to EIA on each scheme and is used for the public notice of the determination which must be advertised in the press. It is very important that, where the requirement for EIA is being screened out, the assessment of ‘no significant effects’ is robust and defendable.

Process for projects not requiring EIA

Where projects or maintenance schemes do not fall under Annex I, are not ‘relevant’ projects under Annex II and will not affect Natura 2000 sites and therefore not require a RoD or EIA, they must still be assessed for their potential environmental effects.

The following approach is suggested, however precise detail on assessment is not included here to allow the Operating Companies flexibility in approach and also to reflect the wide variation in size and complexity of maintenance schemes.

  • A desktop review to identify other nearby potential environmentally sensitive areas using in-house and online sources such as NatureScot SiteLink, Historic Environment Scotland’s (HES) Pastmap, Scotland’s Environment Web and Scottish Environment Protection Agency (SEPA) Water Classification Hub and Flood Maps.
  • If required, a site visit can be undertaken to identify any sensitive receptors near to the proposed works. These may include: habitats (e.g. woodland), specific land uses (e.g. agricultural), water courses (e.g. burns, rivers, groundwater, wetlands) and protected species (e.g. badgers, bats).
  • An assessment can then be made if the proposed works, including the siting of welfare, plant, machinery and storage, may have likely significant effects on the environment.
  • Where potential environmental effects have been identified, mitigation measures should be planned and implemented to avoid or reduce those effects.

Where the works are deemed to have little or no environmental effects, a formal report is not required, however environmental best practices must always be followed.

Where potential environmental effects and associated mitigations have been identified, it is suggested that a report be prepared for recording purposes, and also for communicating the requirements to site personnel and other interested parties.

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