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LECTURE 13

Introduction to Sustainable Urban

Development Planning

Strategic Environmental Assessment

Theory and Application

I. Introduction to SEA

II. Stages and activities

III. The EU SEA Directive

IV. SEA vs. EIA

V. Towards Sustainability: Case Studies

VI. Bibliography

Table of Contents

Part I – Introduction to SEA

Origins

Since the early 1970s, it was recognized that taking

environmental effects into early consideration is crucial for

a substantially environmental- and sustainable-friendly

process.

In 1989, Strategic Environmental Assessment was

introduced as a concept in the context of a European

research project, as “the environmental assessment’s

appropriate to policies, plans and programs […] of a more

strategic nature than those applicable to individual projects

[…] likely to differ from them in several important respects”

(Wood & Djeddour, 1989).

What is SEA?

The keyword is “strategic”, as it qualifies ways of thinking,

attitudes and actions related to strategies, while positioning

SEA in crucial stages of the decision-making process.

• definition:

“a systematic process for evaluating the environmental

consequences of proposed policy, plan or programme

initiatives in order to ensure they are fully included and

addressed at the earliest appropriate stage of decision

making on par with economic and social considerations“

(Sadler & Verheem, 1996)

Key characteristics

1• Flexible position within the decision-making process

(strong, frequent, iterative interaction)

2• Integration of relevant biophysical, social, institutional

and economic aspects

3

• Assessment of environmental and sustainability opportunities and risks to help drive development into sustainability pathways

4• Active stakeholders engagement through collaborative

processes (conflict reduction, win-win achievement)

Principles

A SEA process should:

• fit the purpose and be customized for application at the P/PP* level

• have integrity (application in accordance with objectives and provisions)

• be focused on delivering relevant information, and address the key issues

• be driven by all sustainable development principles

• be integrated with parallel analysis of all issues / with other processes

• relate to project EIA where appropriate (e.g. through tiering mechanisms)

• be transparent and open

• be practical, easy to implement, cost-effective, oriented to problem-solving

• introduce creativity and new perspectives

• be a learning process

*Policies / Plans and Programmes; these are separated because, although SEA can be applied to all three, the

EU Directive as presented later on requires that SEA be applied in plans and programmes exclusively.

Principles

A SEA process should ensure:

Screening

Timing

Environmental scoping

Sufficient information on other factors (e.g. socioeconomicconsiderations)

Review

Participation (of all legitimate stakeholders, including the publicaffected)

Documentation

Decision-making and accountability

Post-decision

But why is it important?

SEA is an important instrument to help facedevelopment challenges generated by:

a) Adaptation and mitigation to climate changes

b) Poverty eradication and overcome of inequalities

c) Enhancement of biodiversity values, ecosystem services,human well-being

d) Social and territorial cohesion

e) Promotion of regional development potential

f) Innovation and cultural diversity of the population

g) Promotion of environmental quality, landscape and culturalheritage, and sustainable use of natural resources

Application in Sustainable Urban

Development and Planning

SEA’s potential to promote urban sustainability is

linked to the following advantages:

• Systematic, integrated framework for considering sustainability

principles

• Early examination of projected impacts of P/PPs on the urban

environment

• Higher-level, comprehensive scope to consider cumulative impacts

• Tiering to carry sustainability principles from P/PPs to Projects

• Monitoring and mitigation measures for adaptive environmental

management

• Substantive, early public involvement

Application in Sustainable Urban

Development and PlanningExamples of potential SEA application in sustainable urban

development and planning include:

national water plans

river basin management plans

green energy policies

electricity transmission grid planning

regional development plans

sustainable tourism policies

urban detailed area plans

small-scale changes to municipal master plans

urban infrastructure programs (energy, water, waste, transport, and

telecommunication systems)

Example

“Renewable energy projects are unlikely to be developed in

a region whose energy strategy promotes gas-fired power

stations.”

SEA would:

incorporate environmental and sustainability

considerations in strategic decision making

inform decision makers about the urban development

sustainability implications of using renewable energy

versus fossil fuel power generation

facilitate public participation in decision-making

Example



stations.”

SEA would also:

help to ensure that the strategic action, whichever this

would be, will be implemented effectively, without any

unintended impacts resulting from this action

help decision makers to better understand their plan

and promote confidence in it

Example



stations.”

SEA would eventually:

make the decision-making process more transparent

and robust

streamline decision-making, since decisions taken at

one planning stage need not be revisited at subsequent

stages

Part II – Stages and activities

i. the P/PP authorities responsible for intendedstrategies

ii. the P/PP development teams

iii. the SEA team (including a coordination team, theexpert teams, a stakeholders engagement expert)

iv. public institutions that are part of environmentalresponsible authorities (alongside public, privateand non-governmental organizations)

v. the public (as a whole, or as selected targetgroups)

Who gets involved?

Five-stage Approach

Stage A: Context, Baseline &

Scoping

Task Purpose

Identifying other relevant P/PPs and

environmental protection objectives

Establish how the P/PP is affected by

outside factors, suggest ideas on

addressing constraints, help to identify

objectives

Collecting baseline informationProvide an evidence base for environmental

problems, prediction of events, monitoring

Identifying environmental problemsHelp focus the SEA and streamline next

stages

Developing SEA objectives

Provide a means by which the performance

of the P/PP and alternatives can be

assessed

Consulting on the scope of SEAEnsure that the SEA covers the likely

significant environmental effects of the P/PP

Stage B: Alternatives &

Assessment

Task Purpose

Testing the P/PP objectives against the SEA

objectives

Identify potential synergies or conflicts and

help in developing alternatives

Developing strategic alternatives Develop and refine strategic alternatives

Predicting the effects of the P/PP (including

alternatives)

Predict the significant environmental effects

of the P/PP and alternatives

Evaluating the effects of the P/PP (including

alternatives)

Evaluate the predicted effects; refine the

P/PP

Mitigating adverse effects

Ensure adverse effects are identified and

potential mitigation measures are

considered

Proposing measures to monitor effects

Detail the means by which the

environmental performance of the P/PP can

be assessed

Stage C: Preparing the

Environmental Report

Task Purpose

Preparing the Report

Present the predicted environmental effects

of the P/PP (including alternatives) in a form

suitable for public consultation and use by

decision-makers.

This is the key output of the SEA process

that will present information on the effects of

the draft P/PP.

Stage D: Consultation

Task Purpose

Consulting the public and Consultation

Bodies on the draft P/PP and the Report

Give the public and the Bodies an

opportunity to express opinions on the

findings of the Report; gather more

information through opinions and concerns

Assessing significant changes

Ensure that the environmental implications

of any significant changes to the P/PP are

taken into consideration

Making decisions

Provide information on how the

Environmental Report and consultees’

opinions were taken into account

Stage E: Monitoring

Task Purpose

Developing aims and methods for

monitoring

Track the effects of the P/PP to show

whether they are as projected; help identify

adverse effects

Responding to adverse effectsPrepare for appropriate responses where

adverse effects are identified

Level 1: Objective and targets

[Source: http://sea.unu.edu/course/index.html%3Fpage_id=92.html]

Level 2: Assessment


Level 3: Monitoring


Stakeholder engagement:

• Stakeholder analysis to identify those affected and involved

• Consultation surveys

• Consensus building processes

Predicting environmental & socio-economic effects:

• Modeling or forecasting techniques for direct effects

• Matrices and network analysis

• Participatory or consultative techniques

• GIS as a tool to analyze, organize and present information

Analyzing and comparing:

• Scenario analysis and MCDA techniques

• Risk analysis

• Cost-benefit analysis

• Opinion surveys to identify priorities

Tools

Part III – The EU SEA Directive

Directive 2001/42/EC

The EC made several attempts to adopt regulations on SEA. After

many rounds of revisions, this directive was agreed upon in 2001 and

finally entered into force in 2004.

Directive 2001/42/EC is popularly referred to as the SEA Directive,

although its title does not refer to SEA: “Directive on environmental

assessments of certain plans and programs”.

The directive requests that the competent authorities elaborate an

environmental statement and perform consultations with the

authorities and the general public.

However, it only addresses plans and programmes (PP), whereas the

SEA process can, in principle, be applied to policy levels as well.

Requirements

The EC Directive includes requirements for consultations of:

• environmental authorities when deciding on the scope and level of

detail of the information that must be included in the

environmental report (Article 5.4)

• environmental authorities and the public, who must be given an

effective opportunity within rational timeframes to express

opinions on the draft PP and the respective environmental report

before the PP is adopted (Articles 6.1, 6.2)

• other EU Member States where the plan’s implementation is

considered likely to have significant effects on the environment of

those States.

Application criteria

Source: Scottish Executive, 2005

Part IV – SEA vs. EIA

Environmental Impact

AssessmentThe Environmental Impact assessment (EIA) definition adopted by

the International Association for Impact Assessment (IAIA) is “the

process of identifying, predicting, evaluating and mitigating the

biophysical, social, and other relevant effects of development

proposals prior to major decisions being taken and commitments

made”.

In other words, EIA is both:

(a) a technical tool for analysis of the consequences of a planned

P/PP or project or an unplanned event (natural disasters, wars

etc), providing information to stakeholders and decision makers;

and

(b) a legal procedure linked to the decision-making process of a

planned intervention.

SEA: An EIA-based process?

Initial understanding of the concept of SEA was based firmly on EIA

principles and processes, although it was recognized that procedure and

methodology would need to be adapted.

Subsequently, the range of interpretations of SEA has grown much wider

and, arguably, now extends beyond its EIA foundations: “this diversity in SEA

practice indicates a rebellion against the straightjacket of being

conceptualized as a narrow impact assessment instrument”.

Early definitions saw SEA as a tool derived from EIA, extending its process

and procedure upstream from the project to the strategic level, and focusing

on the environmental impacts of PP/Ps already proposed.

Recent definitions take a broader perspective: they see SEA as including the

social and economic dimensions.

In other words, SEA is seen as a key tool for sustainable development.

Key differences

EIA SEA

Legislation

Directive 97/11/EC amending

Directive 85/337/EEC on the

assessment of the effects of certain

public and private projects on the

environment

(“EIA Directive”)

Directive 2001/42/EC on the

assessment of the effects of certain

PPs on the environment

(“SEA Directive”)

Aim of the process

To ensure that planning decisions are

made with full knowledge of a

project’s likely significant

environmental effects; prevent,

reduce or offset any negative effects;

enhance any positive ones

To provide for a high level of

protection of the environment and to

contribute to the integration of

environmental considerations into the

preparations and adoption of PPs

with a view of promoting sustainable

development

ScreeningIdentify whether a project falls within

Annex 1 or 2 of the EIA Directive,

and therefore requires EIA

Identify whether a PP requires SEA

ScopingNot mandatory, but accepted as good

practice

Mandatory requirement to consult

designated statutory bodies on the

scope and level of detail of the

information to be included in the

Report

Key differences

EIA SEA

Focus of assessment

Issues set out in Article 3 of the EIA

Directive including (in)direct effects of

a project on human beings, fauna

and flora, soil, air, water, climate,

landscape, material assets, cultural

heritage and the interaction of the

above factors

Issues set out in Annex I of the SEA

Directive including biodiversity,

population, human health, flora,

fauna, soil, water, air, climate

landscape, material assets, cultural

heritage and the interaction of the

above factors

Alternatives

Requires the Environmental

Statement (ES) to include —where

appropriate— an outline of the main

alternatives studied by the developer

and an indication of the reasons for

choosing an alternative, taking into

account their environmental effects

Requires the Environmental Report

(ER) to identify, describe and

evaluate reasonable alternatives

taking into account the objectives and

the geographical scope of the PP

Effect of the result of

the assessment on

the decision

In determining the project application,

the competent authority is required to

have regard to the ES, as well as to

other material considerations. The

authorities may also request the

developer to provide further

information where they consider that

the ES is inadequate

Provides information to be taken into

consideration prior to any decision,

but does not determine it; a post-

adoption statement must be

produced outlining changes made to

the PP as a result of the SEA,

responses to consultations, and the

main reasons for choosing the plan

versus other reasonable alternatives

examined

Key differences

EIA SEA

Monitoring

The EIA Directive contains no explicit

monitoring requirements; these are

implicit in the identification of

“measures to prevent, reduce and

where possible offset any significant

adverse effects on the environment”;

predicted effects and delivery of

commitments in the ES should be

monitored

The SEA Directive places a duty on

Member States to monitor the

significant environmental effects of

the implementation of PPs in order

to […] identify at an early stage

unforeseen adverse effects, and to

be able to undertake appropriate

action

Part V – Towards Sustainability:

Case Studies

Case Studies

Argentina: Policy Reform in Water and Sanitation Sectors

During the late 1990s, Argentina requested World Bank assistance in

reforming its water and sanitation sectors (cases of medium-size cities and

issues linked to earlier reforms in larger cities).

As per World Bank’s request, the government hired consultants to prepare an

SEA focusing on linkages between Argentina’s environmental regulatory

activities and its water and sanitation sectors.

The SEA was conducted during project preparation, in order to identify

priority issues by examining negative external effects: excessive water losses

(e.g. leaks), water quality deterioration (e.g. degradation due to pollution);

water and waste treatment systems (e.g. noise and odors).

The ministry had reservations about the SEA, feeling EIAs for individual

projects would satisfy World Bank requirements; after the report, the ministry

became a supporter of the SEA.

Case Studies

Canada: Review of the North American Free Trade Agreement (NAFTA)

A few years before issuance of the 1993 guidelines implementing a 1990

directive that requires ex ante SEAs for PPPs, Canada undertook an

environmental review of NAFTA; the case is viewed as an SEA.

NAFTA negotiations took place between June 1991 and August 1992;

however, the Canadian SEA for NAFTA (published in October 1992) did not

reflect an effort to fully integrate SEA-related activities, as the SEA was

conducted after the negotiations had started.

The SEA process included provisions for interagency coordination, but was

only one element of a four-part plan to integrate environmental concerns into

treaty design.

It is unlikely that the SEA played a major role in negotiations, because treaty

negotiators learned of such concerns through earlier work.

Case Studies

The Czech Republic: Tourism Policy 2000

In 1992, the government enacted the Czech Environmental Impact

Assessment Act, according to which the proponent of a development concept

must prepare SEA documentation (including elements typically contained in

project-level EIAs), which is subject to public review.

The Ministry for Regional Development created Tourism Policy 2000

(followed by Sectoral Operational Program for Tourism and the Spa Industry -

SOP) without a required SEA; the Ministry of the Environment advised that

SEAs were required, and the government withheld its final approval of the

policy.

Although both SEAs were conducted after the Ministry for Regional

Development had completed much of its policy design work, they led to

notable changes in the tourism policy and SOP.

Case Studies

The Slovak Republic: Energy Policy 2000

Under the Slovak Republic’s EIA Law (1994), environmental assessments

are required for development policies in the energy sector.

The SEA process was indistinguishable from the process employed to design

Energy Policy 2000; the way in which SEA is integrated into the policy

formulation process has probably been the most important factor behind the

effectiveness of Slovak SEAs.

Although not obligated to, the Ministry of Economy revised its draft policy

based on results of the SEA, conducted by the Ministry of the Environment.

Public involvement was a hallmark: government websites, newspaper

announcements, university and NGO websites, extensive media coverage,

kiosks. By the end of the public comment period, authorities had received

hundreds of comments.

Case Studies

South Africa: KwaZulu-Natal Trade and Industrial Development Policy

The Development Facilitation Act (1995) provides the foundation for

addressing environmental concerns in the context of spatial planning, but

requires no SEAs; however, several jurisdictions in South Africa have

voluntarily undertaken SEAs.

In response to the Act, the KwaZulu-Natal Regional Economic Forum asked

the Council of Scientific and Industrial Research to prepare an SEA providing

input for creating the forum’s trade and industry policy for the region.

The SEA process was completed before the policy-making process started,

but is unclear how or whether the SEA was integrated into policy.

The Council began its SEA work with technical studies, then held a

stakeholder workshop to discuss key environmental issues. The SEA team

later identified assessment criteria for technical issues, the demands of the

scenario on use of natural resources, and the suitability of particular land

areas for different types of industry

Case Studies: Analysis

Complete

Partial /

Simultaneou

s effort

Partial / Late-stage Effort

Partial /

Technical

Support

Level of integration Slovak

RepublicArgentina Canada

Czech

RepublicSouth Africa

Intersectoral coordination Yes Yes Yes Yes No

Public Involvement Yes Yes Yes Yes No

Influence on policy design Yes Yes Unclear Yes Unclear

Influence on monitoring Yes Yes Unclear Unclear No

[Source: Ahmed & Triana, 2008]

Featured Case Study: China’s

GWD StrategyChina: The Great Western Development (GWD) Strategy

China’s western region remains relatively underdeveloped; the

Government’s GWD Strategy provides a strategic framework

linking over 20 national policies and a range of key

construction projects.

The GWD SEA was commissioned by the State Environmental

Protection Administration and its aim was to examine

environmental consequences and risks, and investigate

possible modifications to specific elements of the Strategy.


GWD StrategyBackground

A number of regions in Eastern & Central China had achieved rapid

economic development in the last decade, a transition with profound impact:

on one hand increasing job opportunities, providing access to new

technologies and contributing to significant advances in education and

healthcare; and on the other hand generating ongoing challenges (pollution,

environmental degradation and access to natural resources).

China’s western region includes 12 provinces, regions and municipalities;

hosts a diverse range of ecosystems, communities and economic activities;

and holds more than half of the country’s natural resources.

In October 2000, the government acknowledged that the distributions of

productive forces should be rationally readjusted for the benefit of the

strategy of developing China’s western areas and the efforts should be

intensified to improve infrastructure, protect the environment and strengthen

control of population growth and resources so as to maintain sustainable

development.


GWD StrategyThe Strategy

The GWD Strategy includes a range of public policy instruments with links to

more than 20 national policies and a range of construction projects.

At the most strategic level, policies address issues such as foreign

investment, infrastructure development, natural resource management,

energy, telecommunications, education and urbanization. Projects include

water diversion, natural gas transfer, power transmission and the

construction of a railway.

Purpose of the SEA

In October 2002, China passed an EIA Law requiring SEAs for PPs in certain

sectors (such as energy and transportation).

The Ministry of Environment also wanted to examine the environmental risks

of the Strategy in order to suggest modifications to its concrete elements.


GWD StrategyMethodology

The analysis focused on a broad range of environmental media.

The interim report included chapters on water, air and biodiversity, land

resources and social impacts.

The Delphi method among experts was used to examine direct (intended)

and indirect (unintended) impacts, as well as alternative impact mitigation

options.

Sector-based studies applied a range of additional techniques; e.g.

demand gap analysis in the case of water resources.

There were no references to any formal mechanisms for public

participation within the SEA process.


GWD StrategyResults

The matrix of possible direct and indirect impacts was really thorough and

complex, but the main message emerging was that the environmental

situation in Western China was already serious and the GWD Strategy would

exacerbate some crucial environmental risks. For example:

Increased water demand

High pressure on scarce groundwater resources

Increased water pollution

Pressure on biological diversity from large infrastructure projects and

urbanization

Potential increase in air pollution (due to industrialization, and despite

technological development)

Part VI - Bibliography

Ahmed, K., Triana, E. S. (Eds.). (2008). Strategic environmental assessment for policies: an

instrument for good governance. World Bank Publications.

Arts, J., Tomlinson, P., Voogd, H. (2005, September). EIA and SEA tiering: the missing link. In

International experience and perspectives in SEA”, Conference of the International Association of

Impact Assessment (pp. 26-30).

Dalal-Clayton, B., Sadler, B. (1999). Strategic Environmental Assessment: A rapidly evolving

approach. Environmental Planning Issues No. 18. International Institute for Environment and

Development.

Dalkman, H. (2007, April). Strategic environmental assessment—a promising instrument for

sustainable urban development in China. In Holcim Forum (pp. 155-160).

Ehrhardt, K., Nilsson, M. (2006). Strategic environmental assessment. Advanced Techniques for

Evaluation of Sustainability Assessment Tools, 6th Framework Programme, Brussels, available at:

http://ivm5. ivm. vu. nl/sat.

Holder, J., Lee, M. (2007). Environmental protection, law and policy: text and materials. Cambridge

University Press.

Organisation for Economic Co-operation and Development. (2006). Applying strategic environmental

assessment: good practice guidance for development co-operation. OECD Publishing.

Partidário, M. (2012). Strategic Environmental Assessment Better Practice Guide-methodological

guidance for strategic thinking in SEA. Lisbon: Portuguese Environment Agency and Redes

Energéticas Nacionais (REN).

Bibliography on SEA

7/28/2016 www.sustainedu.com

Sadler, B. (1998). Institutional requirements for strategic environmental assessment. In Paper to the

2nd Intergovernmental Policy. Forum, Christchurch, New Zealand (held in association with the IAIA

Annual Meeting).

Sadler, B., Dalal-Clayton, D. B. (2012). Strategic environmental assessment: a sourcebook and

reference guide to international experience. Earthscan.

Sadler, B., Verheem, R. (1996). SEA: Status, Challenges and Future Directions, Report 53, Ministry of

Housing, Spatial Planning and Environment.

Scottish Executive (2005). A Practical Guide to the Strategic Environmental Assessment Directive.

Office to the Deputy Prime Minister, London.

Schmidt, M., Joao, E., Albrecht, E. (Eds.). (2006). Implementing strategic environmental assessment

(Vol. 2). Springer Science & Business Media.

Shepherd, A., Ortolano, L. (1996). Strategic environmental assessment for sustainable urban

development. Environmental Impact Assessment Review, 16(4), 321-335.

Therivel, R. (2012). Strategic environmental assessment in action. Routledge.

Verheem, R. A. A., Tonk, J. A. M. N. (2000). Strategic environmental assessment: one concept,

multiple forms. Impact Assessment and Project Appraisal, 18(3), 177-182.

Wood, C., Djeddour, M. (1989). Environmental assessment of policies, plans and programmes. Interim

report to the Commission of European Communities. Contract, (B6617-571), 572-89.

Bibliography on SEA

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