There are different aspects to completing due diligence as shown in the ‘Woodland creation Application Process’ diagram.

Depending on the level of information gathered and presented as well as the sensitivity of the site, the order for completing the steps and the level of detail required can vary.

If applicants have not already done so they should create an issues log to record information as it is gathered. The proposal details should include any additional infrastructure such as new forest roads , quarries or ATV tracks required to establish the proposal as well as considering impacts from these aspects.

Experienced forestry professionals may be able to conduct much of this stage without significant interaction with Scottish Forestry. However, we should be engaged at the beginning of this stage to help ensure key stakeholders are identified and that potential issues are captured at an early stage in the process.

This can prevent costly amendments to woodland creation proposals at a later point in the process. A site visit by a Scottish Forestry Woodland Officer would normally happen at this stage of the process, to ensure that they are familiar with the proposed woodland creation area, and therefore better able to advise the applicant and add value to the proposal.

Complex small proposals may still require significant due diligence and would likely benefit from completing due diligence prior to a grant application.

We can advise on due diligence requirements during initial proposal preparation (step 1.1).

For proposals not seeking grant support, such as compensatory planting proposals, it is strongly recommended that applicants follow this due diligence process to ensure all sensitivities and relevant issues have been identified.

When commissioning surveys, consider what information could be considered sensitive from commercial, individual and species (NatureScot has guidance on relevant species) perspectives.

References to personal information relating to surveyors should be minimised in reports.

It is strongly recommended that survey reports are structured to enable any sensitive information to be easily redacted if required, e.g., sensitive data is in a separate chapter or section.

Introduction

Stakeholder engagement provides an opportunity to explain the landowner’s objectives and plans to other relevant parties and for applicants to take account of their views.

Stakeholder engagement is an informative process that helps to identify the key factors that should be considered within the woodland creation proposal.

It seeks to avoid any unexpected issues arising during the later public consultation which may cause changes to the proposed woodland creation.

It is the applicant’s responsibility to carry out the stakeholder engagement and feedback exercise however the proposed approach should be agreed with us before proceeding. 

This stage provides the opportunity for stakeholders to share knowledge and raise issues related to the specifics of the proposal, so that they can be properly considered before the proposal is finalised. 

These issues can include but are not limited to:

• habitat and species
• private water supplies
• archaeological features
• impacts on / opportunities for tenants and/or local businesses
• proximity to dwellings and neighbouring properties
• deer management - Footpaths and access
• timber haulage
• concerns about anti-social behaviour

Views on forestry-related standards, guidance or national policy, rather than its application in relation to the proposal, are not normally considered to be material for the assessment and approval of the individual proposal.

Where these views are shared during the process Scottish Forestry may note and record them for use during future reviews of the relevant standards, guidance or policies.

Generally, however the focus of Scottish Forestry will remain on considering the individual proposal and the compliance with relevant criteria under the EIA regulations, UKFS and grant eligibility criteria. 

Preparation for Stakeholder engagement

Information to inform Stakeholders It is critical that the information given to stakeholders regarding the proposal is clear and understandable for non-foresters.

Applicants should explain that they are looking for information and comments on the specifics of the proposal and set out the process and expected time scales for both engagement and the proposal application process.

Different stakeholders will likely require different approaches or levels of information.

Short summary

Applicants are encouraged to prepare an assessment of the impact any woodland creation proposals may have on the local community and local interests and identify steps to be taken to address such impacts.

This is part of good forestry practice as articulated under the UKFS. The assessment will help clarify and summarise likely impacts and mitigation proposals and demonstrate that these aspects have been factored into the proposals.

The assessment should cover such things as: 

• neighbours likely to be affected by proposed forestry operations
• specific legal interests (e.g. water supplies, servitude rights of access, wayleave agreements, rights of way, etc)
• impact on, or opportunities for, existing biodiversity or designated sites
• impact on, or opportunities for, local amenity (visual, recreational, access)
• impact on, or opportunities for, neighbouring communities such as the potential for increased timber traffic on minor rural roads or improved leisure facilities

In many situations this may simply require a short statement, whilst in other locations the scale and likely impact on local communities may be much greater and so further information may be required.

In either situation, it will be important that applicants have fully assessed such impacts and factored appropriate measure into plans, as required by the UKFS and Scottish Forestry good practice guidance.

Issues log

As outlined in Step 1.1.

Concept map and/or Opportunity and Constraints map

To help facilitate stakeholder engagement, particularly on larger or sensitive proposals, a concept map should be provided.

This map should show the main factors that will impact on the design of the woodland. 

Highlight the issues that may impact upon what is or is not possible on the site.

These can be constraints (factors which reduce the freedom of action) and opportunities (factors which allow greater flexibility).

The map should complement the summary and / or issues log and show all the issues that have been identified.

This should include relevant aspects of the proposal such as:

• physical conditions (e.g. deep peat, water)
• biodiversity
• historic environment
• landscape
• timber transport access
• public access 

For smaller or simple woodland creation proposals, a basic map showing location and proposals outline alongside the issues log may be sufficient to help facilitate discussions with stakeholders.

A broad indication of activities, such as ground preparation technique, could be included at this stage.

An overview of woodland type (not necessarily individual species) and open ground could be useful, however, too much detail may lead to the presumption that decisions have already been made.

The detail on the concept map must be clear with well identified symbols and legends. Appendix 1 provides guidance on maps for a woodland creation proposal.

Approach(s) to stakeholder engagement

The approach to stakeholder engagement will need to take into account how significant the impact of the proposal is likely to be. 

This will be influenced by the size, extent of operations and sensitivities associated with the woodland creation proposal.

Applicants should agree their stakeholder engagement approach with Scottish Forestry to help ensure all relevant stakeholders are included and the proposed timescale and approach are reasonable.

In the most sensitive proposals, we will require applicants to work with the community to set out agreed expectations on what, how and when the community will be engaged.

The approach may need to be amended once engagement has started if additional stakeholders or significant additional issues are identified.

Where a meeting is to be held this should take place early in the process to allow interested parties adequate time to respond. 

For proposals requiring EIA consent this meeting could be part of the screening/scoping process

The timescales for stakeholder engagement on forestry proposals are based on guidance from the Scottish Government and the Scottish Land Commission.

Recording and Reviewing responses 

Applicants should record:

• the issues raised by stakeholders on the issues log along with their assessment of the issue
• where necessary, how issues will be addressed within the woodland creation proposal

In addition, applicants should also retain the details of the stakeholders that were contacted and responded on the stakeholder engagement record. 

Any processing of personal information must be done in accordance with data protection laws such including the Data Protection Act 2018 and the assimilated law version of the General Data Protection Regulation as it forms part of the law of Scotland.

Data Protection Act 2018 (legislation.gov.uk)

Applicants must consider how to record personal information in relation to these data protection duties.

For example, using anonymised details in the issues log then linking these to personal details in the stakeholder engagement record would enable Scottish Forestry to link comments or issues to a specific stakeholder, without personal information being detailed in the issues log.

Addressing the key issues raised by stakeholders

• try to make an objective assessment of the information and comments provided including the likely impact that each issue could have on the planting, management of the forest - in some cases the objectives of the participants and the proposed management objectives may differ, resulting in issues which are challenging to address
• state how each issue will be taken into account within your woodland creation proposal - this might include proposed amendments to the planting proposal or management policies
• the issues log should also be used to record comments responding to issues which have been identified but are not expected to be resolved - it can also be used as a prompt for follow up action
• where a stakeholder comment can not be addressed, explain how it has been considered and why the comment has not been addressed
• give an outline of any surveys to be undertaken as a result of the stakeholder engagement exercise

Agree issues log, stakeholder engagement record, and follow up action with Scottish Forestry Woodland Officer

• the issues log and the stakeholder engagement record should be provided to Scottish Forestry
• we may also request copies of the actual responses received
• for some proposals, we may also require a map showing the location of neighbours and neighbouring landowners who have been contacted or provided comments
• it may not always be possible to resolve every issue raised whilst still delivering the objectives for the proposals - where this is the case, a rationale for response should be provided and discussed with the Woodland Officer
• we can make the issues log available during Public Register consultation

Consider your management objectives

Within the context of the UKFS, the first stage of developing a proposal is to clarify the short and long term objectives for the proposed forest.

These will inform the remainder of the process and may, for example, include:

• carbon sequestration
• future revenue generation
• capital appreciation
• recreational areas
• improving biodiversity

See pages 10-11 of the ‘Design techniques for forest management planning’ practice guide. This is available to download from the Scottish Forestry website.

Design Techniques for Forest Management - A Practice Guide

Consider what information is available and identify any new requirements

Applicants are expected to collect and provide information about the land proposed for tree planting. The relevance and degree of detail will depend on the context of the woodland.

Assessments should include appropriate aspects of:

• biodiversity
• historic environment
• landscape
• site designations
• public access

It is recommended that applications summarise:

• survey data , such as aerial photographs
• soil
• wayleaves
• habitat surveys

The source and date of surveys should be recorded as well as where any full survey data is kept.

Any supporting information may needed to be shared later either with us or stakeholders in order to inform their consideration of the proposal.

If there are designated sites or features that influence woodland creation proposals, additional information may be required; these could include:

• historic environment
• biodiversity
• landscape
• water environment
• other interests

See pages 12-13 of the ‘Design techniques for forest management planning’ practice guide. Table 1 below provides an indication of the topics you should cover. 

Applicants considering grant support should also be familiar with the eligibility requirements and scheme rules.

Woodland Creation Grant

Create an Issues Log

Applicants should start producing an “issues log” at this early stage of the process.

The Issues log will help to create a record of the journey through the application process, including considerations and any actions taken. A concept map that complements the issues log may prove useful.

Please refer to Appendix 3 of this guidance for an example issues log. 

A partially completed issues log can provide a basis for stakeholder engagement and discussions with us on the appropriate next steps. 

The issues log can also help to simplify the process.

For example, where a number of stakeholders raise the same issue, that issue only needs to be included once in the log, together with a summary of the actions and decisions made and the response to the specific issue. 

When producing an issues log, consider how to record personal information in accordance with data protection laws such including the Data Protection Act 2018 and the assimilated law version of the General Data Protection Regulation as it forms part of the law of Scotland. 

Data Protection Act 2018 (leglisaltion.gov.uk)

This should be considered as an issues log may be shared with third parties during the development of a proposal. The use of additional Scottish Forestry guidance and associated forms will assist in minimizing the collection for personal information and reduce need for redaction at later stages of the process. 

Applicants should summarise the position reached at the end of step 1.1

A summary of this data will provide the information required for different purposes:

• to provide a base line to consider the objectives for the site and realistic opportunities
• to provide basic information for discussion with Scottish Forestry
• to inform what additional information, if any, may be required to produce a woodland creation grant application or for EIA screening
• to provide a basis for discussions with stakeholders

This section provides a step by step guide to help applicants prepare woodland creation proposals.

Applicants are encouraged to provide concise descriptions with a clear rationale for management decisions. Good use of tables and maps will reduce the need for long text explanations.

Where possible, applicants should use the templates provided, which will enable individual elements of plans to be assessed by Scottish Forestry and consultees.

The level of detail required will depend on the size and complexity of proposals. Some of the stages below may not be applicable in all cases.

If in any doubt it is recommended practice to agree what is required with the local Scottish Forestry woodland officer.

Contact your local Scottish Forestry office

Proposals requiring EIA screening or 10+ hectares

Applicants are required to follow steps 1.1 (prepare initial proposal) and 1.2. (due diligence). 

• when step 1.2 (due diligence) has been completed, the proposal can be submitted to us for review and public consultation
• we will assess the proposal to ensure that all relevant issues arising during the due diligence phase have been addressed
• the proposal will then be subject to at least a 4 week formal consultation exercise (Stage 3)
• we may require applicants to address any further relevant issues or comments that are raised through the Public Register consultation
• when all issues have been addressed and the design finalised we will complete their assessment (including an EIA Screening Opinion if required)

Proposals not requiring EIA Screening and less than 10 hectares

Applicants are able to apply directly for grant funding without undertaking steps 1.1 and 1.2 however, proportionate due diligence will be expected to have been undertaken and this must be clearly detailed in the application.

We will assess the proposal to ensure that all relevant issues arising during the due diligence phase have been addressed.

The proposal will then be subject to at least a 4 week formal consultation exercise (Stage 3).

We may require applicants to address any further relevant issues or comments that are raised through the Public Register consultation.

When all issues have been addressed and the design finalised we will complete their assessment. 

Proposals for afforestation not applying for grant funding but requiring a screening opinion under the Forestry (Environmental Impact Assessment) (Scotland) Regulations 2017 are expected to follow step 1.1 (prepare initial proposal) and 1.2 (due diligence).

The Forestry (Environmental Impact Assessment) (Scotland) Regulations 2017 (legislation.gov.uk)

When such proposals have sufficient information, the applicant can complete stage 2.2 to request an EIA screening opinion.

The level of detail required will depend on the sensitivity of the proposals.

In the case of large, complex or particularly sensitive proposals we may decide at an early stage in the process, that EIA consent will be required.

Where this occurs ahead of significant due diligence, the applicant will be advised to submit an EIA screening opinion request so that the EIA consent process can be followed (see Stage 3).

Getting expert advice

The woodland creation proposal process places an emphasis on quality and accuracy.

Woodland creation applications produced from superficial survey or poor analysis of information are unlikely to be approved without further work by the applicant.

We recommend that landowners engage the services of a professional forestry agent to help prepare their woodland creation proposals.

Forestry agents may also need to seek other expert advice where there are environmental or landscape sensitivities to be dealt with in the proposal.

Public Access

Woodland creation proposals must make provision for public access, where it has been customary, where there is local interest, and along all forest roads (private ways) constructed under Prior Notification arrangements.

Unlike built developments, in most situations small scale tree planting or natural regeneration of trees in Scotland is allowed under the law and does not require any legal consent or approval.

This guidance is designed to help landowners and communities develop woodland creation proposals in line with the law and good forestry practice.

Decisions taken by public bodies relating to woodland creation, such as EIA screening opinions, can be subject to legal challenge through a Judicial review process.

Applicants should be aware that the time limit for lodging a petition for judicial review of a decision is normally up to 3 months after the decision is taken.

Customer Charter

We will assess grant applications in accordance with our Customer Charter,

Scottish Forestry Customer Charter

Grant support

Grant support maybe available for helping with the costs associated with woodland creation.

Available funding and support

In addition to complying with the UKFS, woodland creation proposals seeking grant funding must also meet the grant scheme requirements.

In line with Public Bodies Climate Change Duties as outlined in the Climate Change (Scotland) Act 2009 (see Appendix D), we will report our annual progress via the Public Bodies Climate Change Duties Report facilitated by the Sustainable Scotland Network.

Sustainable Scotland Network

These reports are publicly available.

Scottish Forestry progress reports (Sustainable Scotland Network website)

We also plan to report any progress towards our targets via our public facing website.

Internal reporting will initially happen annually to our Executive Board using data from both the aforementioned report and data obtained via our carbon accounting platform, notch.