By
ELVIS AU
ASSISTANT DIRECTOR OF HONG KONG
ENVIRONMENTAL PROTECTION DEPARTMENT
FORMER PRESENT OF INTERNATIONAL ASSOCIATION FOR IMPACT ASSESSMENT

World trends in the past 10 years;
Latest status of implementation of the
European Union’s Directive on Strategic
Environmental Assessment;
Summary of Major Issues and Prospects.

Strategic
Environmental
Assessment
Policies
(Strategies)
Plans
Programmes
Projects
Project EIA

Increasing provision and take-up of SEA by countries and international organization;
Continued diversification of SEA approaches and applications;
New supra-national (EU SEA Directive) and multilateral (Espoo SEA protocol) legal frameworks that define minimum procedural requirements.

CANADA
USA
SOUTH
AMERICA
UK
NETHERLAND
MAINLAND
EUROPE
EASTERN
EUROPE
KOREA
CHINA
JAPAN
AFRICA
AUSTRIA

USA National Environmental
Policy Act 1969, U.S.:
“….. Proposals for legislation and other major
Federal Actions significantly affecting the quality of the human environment…..”

CANADA
1992 Cabinet’s Directive on
Assessment of
Environmental Effects on
Policies and Plans

NETHERLAND
EIA of Spatial Plans;
1995 Cabinet’s Directive on
Environmental Test (E-test) of Polices and Legislation.

EUROPE
EU Directive 2001/42/EC on the Assessment of the
Effects of Certain Plans and Programmes on the
Environment

2003 PRC EIA
Law covering landuse and sectoral plans
CHINA

2000 Basic Environment
Plan to consider the framework for environmental considerations in decision-making in polices and plans
2003 SEA Tentative
Guidelines
JAPAN

Status of Implementation
By autumn 2004:
9 Member States had implemented the Directive … more or less completely
Complete silence from :
Greece
Spain
Luxemburg
Italy some time in 2006
EUROPE

Level of government
National/
Federal
Land-use
Plans (SEA)
National land use plan
Category of action and type of assessment (in brackets)
Sectoral and multi-sectoral actions
Policies
(SEA)
Plans
(SEA)
Programmes
(SEA)
Projects
(EIA)
National transport policy
Long-term
National roads plan
5-yr road building programme
Construction of motorway section
National economic policy
Regional/
State
Regional
Land-use plan
Regional strategic plan
Sub-regional
Sub-regional land-use plan
Sub-regional investment programme
Local Local landuse plan
Local infrastructure project
Source: Adapted from Lee and Wood (1978)

NEPA : “ … major federal actions significantly affecting quality of the human environment …”;
(section 102 [2][c])
Council on Environmental Quality Regulations:
“Major Federal Actions” to include “projects, programmes, rules, regulations, plans, policies, procedures or legislative proposals”;
Not called SEA; but EIS for policies, plans and programmes; e.g. California: several hundred SEAs undertaken for various plans and programmes.

Since mid 1970s, EC’s research on environmental assessment of policies, plans and programmes:
“ The environmental assessments appropriate to policies, plans and programmes are of a more strategic nature than those applicable to individual projects and are likely to differ from them in several important respects… We have adopted the term ‘strategic environmental assessment’ (SEA) to describe this type of assessment…”
(Wood & Djeddour , 1989)

Brussels, 20 July 2004
European citizens will from now on be able to have more influence on decisions which will affect their environment. From tomorrow, 21 July 2004, the environmental effects of a wide range of public plans and programmes must be assessed under better and more open planning procedures . These measures are set out in a new European law, the Directive on Strategic
Environmental Assessment (SEA ), which must be implemented by all Member
States tomorrow.
Local waste management plans or road building plans for regions are examples that come under the SEA directive. It will also apply to land use, agriculture, water management, tourism, industry and energy . When drawing up relevant plans or programmes public authorities will have to make an environmental report to identify, describe and assess their likely effects on the environment. Amongst the effects to be covered are those on biodiversity, fauna and flora, soil and water, climatic factors, landscape and on human health. The SEA Directive enables everybody to express their opinion on the environmental report and on the draft plan or programme. Both the environmental report and the outcome of the public consultation must be taken into account when the plans are decided upon.

(Continued)
Brussels, 20 July 2004
“ The Directive on Strategic Environmental Assessment is a major step towards sustainable development and deepened democracy .
Planners of all kinds must take it to heart and apply it consistently .
European citizens should be encouraged to get more involved in the discussions and decisions that are vital for their well-being and the future of the environment they live in. However, the benefits of the new law will only be achieved if all Member States implement it. Up to now only nine Member states have done so, and I therefore ask the others to do their homework and transpose the Directive into national law.
”
Environment Commissioner Margot Wallström

Excludes minor modifications to existing plans and small area plans not having significant environmental effects (Article 3[3]);
Recognizes the concept of tiering: members states must ‘take into account the fact that the assessment will be carried out … at different levels of the hierarchy’ (Article 4[3]);
Establishes a scoping stage that requires authorities undertaking SEA to consult appropriate bodies on scope and detail of assessment (Article 5[4]);

Necessitates the consideration of alternatives:
‘an environmental report shall be prepared in which the likely significant effects on the environment of implementing the plan … and reasonable alternatives … are identified, described and evaluated’ (Article 5[1]);
Requires consultation and public participation:
‘the draft plan … and the environmental report … shall be available to the authorities… and the public’ (Article 6[1]);

• Encourages the consideration of cumulative, synergistic and secondary impacts (Annex
II[14]);
• Requires an environmental report to be ‘taken into account during the preparation of the plan … and before its adoption or submission to the legislative procedure’ (Article 8);

Demands a ‘statement summarizing how environmental considerations have been integrated into the plan … and how the environmental report … and the results of consultations … have been taken into account’ (Article
9[1]);
Incorporates transboundary consultation (Article 7);
Forces member states to ‘monitor the significant environmental effects of the implementation of plans … in order … to identify … unforeseen adverse effects, and to be able to undertake appropriate remedial action’
(Article 10[I]);
Requires member states to ensure environmental reports are of ‘sufficient quality’ (Article 12[2]).

Separate regulations and guidance, but similar issues;
Previous sustainability appraisal system;
Major ongoing changes to planning system;
Scotland: ongoing 2005 Environmental
Assessment (Scotland) Bill for SEA.

Glasgow
Oldham
Liverpool
Birmingham
London
Great Britain

Administrative Order No.
31 of 26
February 1993 issued by the Danish
Prime Ministers Office – SEA of bills and other government proposals (i.e. 200-250 bills per year);
The Act No.
316 of 05/05/2004 – standalone SEA legislation covering only plans and programmes;
Plans/Programmes covered: regional plans; municipal plans, municipal planning strategy, local plans; Local
Agenda 21, waste plans, water plans;
Up to now, 15 regional plans & 25 local plans assessed.

:
Functional ’ road connections within hierarchical spatial and transport structures
( ‘ decentralised concentration ’ / polycentric spatial structure)
Hierarchy of centres
Hierarchy of roads
Functional connections
Recreation sites
Border lorry parking
26

Generic SEA
Stage
Apply a screening process
Key Considerations
Examine aims and objectives of plans and its overall purpose.
Consider whether plan likely to have significant environmental effects. If so, SEA required.
Apply a scoping process
Consider whether plan meets requirements of relevant policies, environmental protection objectives, international targets, etc. Based on objectives of plan, identify key environmental issues central to particular plan being assessed.
Select SEA objectives/ criteria
Develop series of SEA objectives/criteria against which performance of plan will be predicted. Targets and indicators based on these criteria can be used as basis of a strategy to monitor implementation of plan.
Consideration of alternatives
Identify costs, benefits and environmental impacts of other realistic alternatives to meeting plan’s objectives. Choice between alternatives ultimately a political decision.
Collect baseline environmental data
Target data gathering effort on issues identified during scoping. (These may change in light to new information obtained.) Provides platform to examine predicted impacts against anticipated changes in future environment without plan.

(continued)
Generic SEA
Stage
Undertake impact prediction
Key Considerations
Using SEA objectives and criteria as a guide, identify impacts of plan policies.
Predictions should be made using baseline environmental data where available.
Where possible, focus on cumulative, synergistic, secondary and long-term impacts to increase comprehensiveness. Involves subjective and objective assessment.
Undertake impact evaluation
Develop a mitigation strategy
Consider acceptability of plan and alternatives, looking at significance of predicted environmental impacts.
Not explicit stage, as mitigation should be considered throughout SEA process, enabling continual refinement of plan. Nevertheless, residual impacts of chosen alternative must be addressed.
Develop a monitoring strategy
Relate monitoring strategy back to environmental targets and indicators identified during scoping. Consider whether plan is achieving its objectives and if mitigation measures are working effectively. Amendments to plan may result.

S
E
A
Plan
Environmentally
Sustainable
Development
Environmentally unsustainable development

Encourages the consideration of environmental objectives during policy, plan and programme-making activities within nonenvironmental organizations;
Facilities consultations between authorities on, and enhances public involvement in, evaluation of environmental aspects of policy, plan and programme formulation;
May leave examination of certain impacts to protect EIA;
Allows formulation of standard or generic mitigation measures for later projects;
Encourages consideration of alternatives often ignored or not feasible in project EIA;
Source: Wood and Djeddour (1992, p7)

(continued)
Can help determine appropriate sites for projects subsequently subject to EIA;
Allows more effective analysis of cumulative effects of both large and small projects;
Encourages and facilitates the consideration of synergistic effects;
Allows more effective consideration of ancillary and secondary effects and activities;
Facilitates consideration of long-range and delayed impacts; and
Allows analysis of the impacts of policies that may not be implemented through projects.
Source: Wood and Djeddour (1992, p7)

Overcoming ad hoc and inconsistent implementation of SEA procedure;
Strengthening the quality and effectiveness of SEA practice;
Improving SEA follow up and policy and plan monitoring.

Institutional mechanisms and linkages;
Methodological Linkages and Integration: environmental tools versus economic/planning tools;
Stakeholder Linkages: diverse interests versus common policy objects/values;
Generation and management of win-win outcomes or policy/plan options.

1
Relative Passive
Approach in EIA/SEA
2
Focus on a Given
Option in EIA/SEA
3
Meet Economic
Demands
4
Pursue a Linear EIA/
SEA Study Process
More Proactive
Approach in EIA/SEA
Search for Win-Win
Alternatives
Change the
Demands
Pursue a Cyclical
Study Process

5
Separate Specialized
Study by a few Experts
6
Not So Transparent
System and Process
Collective, inter-
Disciplinary Study with Full Involvement of
Stakeholders
Far More Transparent
System and Process
7
Focus on Preparation
Of Report
Focus on Achieving
Positive Changes and
Whole-hearted Follow-up

(a)
It’s now a norm in plan-making – the right thing to do;
(b) Call for major re-training of all planners and engineers in all sectors ;
(c) Better get on board earlier rather than later

(continued)
Generic SEA
Stage
Prepare a report
Key Considerations
A public available SEA report should be prepared to document main findings of SEA.
This should include a non technical summary.
Instigate a review mechanism
Consider whether information provided by SEA and included in the SEA report is sufficient for decision making. In order to maintain objectivity, some form of independent review necessary.
Consultation and public participation
Not separate stage, as relevant authorities and public should be involved at various stages during SEA. External involvement important at early SEA stages (scoping and selection of objectives/criteria), and prior to plan adoption but after impact evaluation.

Be adaptive to cultural, political and social circumstances;
Need to consider different types of context that define different roles for SEA;
Need a responsive decision-making environment;
Need a right regulatory context;
Need “public participation and engagement”.

Habit 1 : Be Proactive
Habit 2 : Begin with the End in Mind
Habit 3 : Put First Things First
Habit 4 : Think Win-Win
Habit 5 : Seek First to Understand, Then to be Understood
Habit 6 : Synergize
Habit 7 : Sharpen the Saw
Source: 7 Habits of Highly Effective People by Stephen Covey