Implementing Strategic Environmental Assessment

by Schmidt, Michael; Knopp, Lothar; Albrecht, Eike; Joao, Elsa

• ISBN13: 9783540205623
• ISBN10: 3540205624
• Format: Hardcover
• Copyright: 2004-12-31
• Publisher: Springer Verlag

Summary

More countries are now using Strategic Environmental Assessment (SEA) than ever before. This timely and comprehensive Handbook describes the implementation of SEA in 18 countries around the world, as well as a critical analysis of different SEA methodologies. The Handbook starts by introducing key SEA principles and the legal requirements of the new European SEA Directive (which became law in 2004). It then describes the implementation of SEA in 11 European Union countries, as well as the USA, Canada and New Zealand. This is contrasted with SEA requirements of four developing countries. The Handbook explores public participation issues and the wide-range of SEA methodologies used in terms of resources (soils, water and biodiversity) and sectors of activity (transport, agriculture, waste management and industry). The Handbook concludes with a discussion on best practice, capacity building and the future of SEA.

Table of Contents

Foreword	p. V
Preface	p. VII
List of Contributors	p. XXI
Key Principles and Legal Framework for SEA	p. 1
Key Principles of SEA	p. 3
Introduction	p. 3
Environmental Assessment of `Strategic Actions'	p. 4
Tiering and the Link between SEA and Project EIA	p. 4
Two Key Principles of SEA	p. 7
The Ideal SEA Team	p. 12
Conclusions and Recommendations	p. 13
Purpose and Background of the European SEA Directive	p. 15
Introduction	p. 15
The SEA Directive and its European Context	p. 15
Definition of SEA	p. 22
History of the SEA Directive	p. 22
Content, Objectives and Purpose of the SEA Directive	p. 25
Outlook	p. 27
Conclusions and Recommendations	p. 28
Legal Context of the SEA Directive - Links with other Legislation and Key Procedures	p. 31
Introduction	p. 31
Competence of the Community	p. 31
Relation to the Aarhus Convention	p. 33
Relation to the Espoo Convention	p. 34
Harmonisation of Environmental Assessment Procedures	p. 34
Relation to other European Acts	p. 35
Area of Application	p. 39
Procedure of SEA	p. 45
Consequences of Mistakes in the SEA Procedure	p. 52
Conclusions and Recommendations	p. 52
Transposition of the SEA Directive into National Law - Challenges and Possibilities	p. 57
Introduction	p. 57
Connection to Member States' Laws	p. 57
Transposition of the SEA Directive	p. 58
Transposition into the National Legal System	p. 63
Conclusions and Recommendations	p. 66
Some Legal Problems of Implementing the SEA Directive into Member States' Legal Systems	p. 69
Introduction	p. 69
Implementation Problems in Member States	p. 69
Problems in the Implementation in Poland	p. 73
Conclusions and Recommendations	p. 78
Current Status and National Strategies for the Implementation of SEA in the European Union	p. 81
Current SEA Practice in England	p. 83
Introduction	p. 83
Current SEA-Type Assessment Practice	p. 84
Practice in Land Use Planning in England	p. 86
Practice in Transport Planning	p. 91
Conclusions and Recommendations	p. 95
Implementing SEA in Germany	p. 99
Introduction	p. 99
Intended Amendments to the EIA Act	p. 101
The Amendment to the Building Code of 24 June 2004	p. 105
The Amendment to the Spatial Planning Act of 24 June 2004	p. 108
Links between the new SEA Legislation and Existing Assessment /Planning Tools	p. 108
Methodology	p. 109
Data Requirements	p. 110
Support of the Implementation and Quality Control	p. 111
Conclusions and Recommendations	p. 114
Implementing SEA in Italy - The Case of the Emilia Romagna Region	p. 117
Introduction	p. 117
Using the Emilia Romagna Region to Explore the Implementation Status of SEA in Italy	p. 119
Context of Planning in Italy	p. 119
Relationship between Strategic Planning and SEA	p. 121
Planning in the Region of Emilia Romagna	p. 122
VALSAT versus SEA Directive	p. 128
Implementing the SEA Directive in the Emilia Romagna Region	p. 129
A Look at the Bigger Picture: Implementing the SEA Directive in Italy	p. 130
Conclusions and Recommendations: Considerations for the Region of Emilia Romagna and Italy as a whole	p. 131
First Experiences with implementing SEA Legislation in Flanders (Belgium)	p. 137
Introduction	p. 137
Development of a Flemish combined Legislation on EIA and SEA	p. 138
Practice of SEA in Flanders	p. 141
Common Points of Interest for Future Use of SEA in Flanders	p. 144
Conclusions and Recommendations	p. 147
Implementing SEA in Austria	p. 149
Introduction	p. 149
Legislative Efforts to implement the SEA Directive	p. 150
Case Studies	p. 150
SEA of the Land use Plan of Weiz	p. 152
Accompanying Measures	p. 155
Conclusions and Recommendations	p. 156
Implementing SEA in Finland - Further Development of Existing Practice	p. 159
Introduction	p. 159
Scope of Application - the EIA Act and the SEA Directive	p. 160
SEA in Practice	p. 161
Discussion	p. 169
Conclusions and Recommendations	p. 172
Problems of a Minimalist Implementation of SEA - The Case of Sweden	p. 177
Introduction	p. 177
Environmental Assessment in Sweden	p. 178
The Legislation Implementing the SEA Directive	p. 181
Understanding the Swedish Mode of Implementation	p. 185
Conclusions and Recommendations	p. 189
National Strategy for the Implementation of SEA in the Czech Republic	p. 193
Introduction	p. 193
Previous Situation Regarding SEA in the Czech Republic	p. 193
Current Situation Regarding SEA in the Czech Republic	p. 196
Ensuring the Quality of SEA	p. 199
Conclusions and Recommendations	p. 200
Developments of SEA in Poland	p. 201
Introduction	p. 201
Development of SEA	p. 202
Compliance of the Polish Environmental Protection Law with the European SEA Directive	p. 204
Administrative Structure and Procedure of SEA in Poland	p. 206
Environmental Planning and SEA	p. 209
Availability of Environmental Data in Poland	p. 210
Examples of SEA in Poland	p. 211
Methodological Problems and Quality of SEA	p. 213
Conclusions and Recommendations	p. 214
Experiences with SEA in Latvia	p. 217
Introduction	p. 217
Practical Experience Gained with Existing Assessment Instruments and its Legal Provisions	p. 218
Review of Differences in Applying SEA in Latvia	p. 219
Quality Assurance	p. 222
Case Study - SEA for the Latvia Development Plan	p. 223
Conclusions and Recommendations	p. 224
Implementing SEA in Estonia	p. 227
Introduction	p. 227
Project EIA and SEA in Estonia	p. 228
Actors in the SEA Process in Estonia	p. 229
SEA in Practice	p. 230
The Quality Criteria of the SEA Document	p. 233
Conclusions and Recommendations	p. 234
Experience of SEA in North America and Oceania	p. 237
Improved Decision-Making through SEA - Expectations and Results in the United States	p. 239
Introduction	p. 239
National Environmental Policy Act	p. 239
NEPA Analysis: Procedural Process	p. 242
Successes and Failures	p. 246
Conclusions and Recommendations	p. 249
SEA in Canada	p. 251
Introduction	p. 251
SEA Legislation and Principles	p. 252
Roles and Responsibilities	p. 255
Methodologies and Tools	p. 256
Documentation and Reporting	p. 261
Critical Analysis	p. 261
Canadian SEA Case Study	p. 264
Conclusions and Recommendations	p. 267
SEA of Plan Objectives and Policies to Promote Sustainability in New Zealand	p. 269
Introduction	p. 269
Competing Rationales Underpinning Section 32	p. 271
The Formative Period (1974-1984)	p. 272
A New Era in Environmental Impact Assessment (1991-Present)	p. 275
Section 32 Methodological Procedure	p. 279
Conclusions and Recommendations	p. 285
Requirements of SEA in Developing and Fast Developing Countries	p. 289
The Need for SEA in Kenya	p. 291
Introduction	p. 291
Kenya and its Formulation of Strategic Decisions	p. 292
History of Environmental Assessment of Strategic Decisions in Kenya	p. 293
SEA Elements in Kenya and Tools to Implement them	p. 294
Institutional Framework for SEA Elements	p. 297
Need and Justification for SEA in Kenya	p. 298
How SEA will Supplement EIA and Physical Planning in Kenya	p. 300
Conclusions and Recommendations	p. 301
SEA for Water Resource Management in Ghana	p. 305
Introduction	p. 305
Impacts of Water Resource Developments in Ghana	p. 306
Environmental Assessment in Ghana	p. 308
Applying SEA and EIA to Water Resource Management in Ghana	p. 310
Benefits of SEA for Water Resource Management in Ghana	p. 313
Conclusions and Recommendations	p. 315
SEA in Ukraine	p. 321
Introduction	p. 321
Historical Background of SEA in Ukraine	p. 321
The Existing Conditions of SEA Application in Ukraine	p. 322
Obstacles for SEA Application in Ukraine	p. 326
Possible Levels of SEA Development in Ukraine	p. 327
Conclusions and Recommendations	p. 328
Importance of SEA in China - The Case of the Three Gorges Dam Project	p. 331
Introduction	p. 331
Environmental Situation and Policies in China	p. 331
The Case Study of the Three Gorges Project	p. 336
The Three Gorges Project and SEA	p. 341
Conclusions and Recommendations	p. 344
Methodologies for SEA and Public Participation	p. 347
Tools for SEA	p. 349
Introduction	p. 349
What Makes a Good SEA Tool?	p. 349
SEA Tools	p. 350
Impact Matrices	p. 354
Geographical Information Systems	p. 356
Causal Effect Diagrams	p. 361
Conclusions and Recommendations	p. 362
Methodological Approaches to SEA within the Decision-Making Process	p. 365
Introduction	p. 365
Procedural and Methodological Demands on SEA and EIA - a Comparison	p. 366
Identifying Possible Alternatives for Waste Dumping-Ground Sites	p. 372
Identification and Assessment of Possible Corridors and Alignments for New Roads	p. 375
Landscape Planning as an Information Base for SEA	p. 380
Conclusions and Recommendations	p. 382
Strategic Level Cumulative Impact Assessment	p. 385
Introduction	p. 385
Definitions and Concepts	p. 386
Principles of Cumulative Impact Assessment	p. 388
Carrying out Cumulative Impact Assessment	p. 388
Conclusions and Recommendations	p. 394
Handling Transboundary Cumulative Impacts in SEA	p. 397
Introduction	p. 397
Definition of Cumulative Effects	p. 398
Cumulative Effects Analysis in the US	p. 399
Transboundary Implications of Cumulative Effects	p. 405
Conclusions and Recommendations	p. 407
Cultural Integrity as a Criterion of SEA	p. 409
Introduction	p. 409
The Impact on Cultural Integrity	p. 410
Consideration of Cultural Elements within SEA	p. 411
The Concept of Culture	p. 412
The Cultural Impact Assessment	p. 416
Cultural Impact Assessment Procedure	p. 417
Conclusions and Recommendations	p. 419
Requirements and Methods for Public Participation in SEA	p. 421
Introduction	p. 421
Opportunities and Obstacles of Public Participation in SEA	p. 422
What Does """"Public"""" Mean?	p. 423
What Does Participation Mean?	p. 424
Methods of Public Participation within SEA - Possibilities and Experiences	p. 427
Conclusions and Recommendations	p. 430
Public Participation for SEA in a Transboundary Context	p. 433
Introduction	p. 433
Public Participation in the SEA Directive	p. 434
Methodological Aspects	p. 435
Public Participation for the SEA in a Transboundary Context	p. 436
Pilot Project	p. 436
Conclusions and Recommendations	p. 440
Developing Quantitative SEA Indicators Using a Thermodynamic Approach	p. 443
Introduction	p. 443
Sustainability and Technology	p. 444
Thermodynamics - its Basic Laws and the Exergy Concept	p. 447
Quantitative Information for the SEA of Technology from the Thermodynamic Approach	p. 449
Conclusions and Recommendations	p. 456
A Structural and Functional Strategy Analysis for SEA	p. 459
Introduction	p. 459
Background and Definitions	p. 460
The Method of Strategy Analysis	p. 462
Contribution of the Strategy Analysis	p. 466
Conclusions and Recommendations	p. 468
SEA for Abiotic and Biotic Resources	p. 471
Soil Resources and SEA	p. 473
Introduction	p. 473
SEA Links with Environmental and Planning Legislation in Germany	p. 475
Impacts and Effects - Adequate Methods for Soil Evaluation	p. 478
Methods Relating Soil Properties with Functions	p. 482
Strength and Weakness of Methodologies, Data Requirements	p. 487
Synergies from the Use of a Common Environmental Data Base	p. 489
Conclusions and Recommendations	p. 491
Towards the Implementation of SEA - Learning from EIA for Water Resources	p. 495
Introduction	p. 495
Water in the SEA and EIA Processes	p. 496
Water and energy resources of Azerbaijan	p. 498
Environmental Impacts Summary	p. 499
Challenges for EIA Procedures in the FSU	p. 499
Water Resource Data Appropriateness: General Limitations for EA	p. 500
Specific Environmental Data Issues in the FSU	p. 504
A Revised Water Impact Assessment (WIA) Procedure	p. 504
SEA into the Future: Learning from Project EIA	p. 505
Conclusions and Recommendations	p. 508
Links between the Water Framework Directive and SEA	p. 513
Introduction	p. 513
From a """"Hydrological Policy"""" to a Sustainable """"Water Policy""""	p. 513
Strengths of SEA in the Water Sector	p. 514
Weaknesses of SEA in the Water Sector	p. 516
SEA Directive and the Water Framework Directive	p. 517
Conclusions and Recommendations	p. 521
Assessing Biodiversity in SEA	p. 523
Introduction	p. 523
Definition of Biodiversity	p. 524
Measurability of Biodiversity in Theory and Practice	p. 525
The Value of Biodiversity	p. 528
Conclusions and Recommendations	p. 533
Biodiversity Programmes on Global, European and National Levels Related to SEA	p. 539
Introduction	p. 539
Determinants or Driving Forces of Biodiversity	p. 540
Biodiversity in SEA	p. 541
Available Data for Biodiversity Assessment	p. 546
Decision-Aid in Biodiversity Protection	p. 547
A Hypothetical Example	p. 548
Conclusions and Recommendations	p. 550
Implementing SEA in Spatial and Sector Planning	p. 555
Co-ordination of SEA and Landscape Planning	p. 557
Introduction	p. 557
The Intention of the SEA Directive	p. 558
The Situation in Germany	p. 558
The Intersection of SEA and Landscape Planning	p. 559
Conclusions and Recommendations - A Model for Procedural Integration and its Requirements	p. 566
Urban Planning and SEA	p. 571
Introduction	p. 571
Existing Liabilities due to the Federal Building Code	p. 572
Relation of Landscape Planning and Urban Planning	p. 573
Analysis of SEA Liabilities Exceeding Previous Requirements	p. 575
Suggestions for Contents of SEA and the Assessment of Alternatives	p. 578
The Question of Acceptability	p. 582
Conclusions and Recommendations	p. 583
SEA in Transport Planning in Germany	p. 585
Introduction	p. 585
Screening	p. 586
Scoping	p. 587
Identifying and Describing the Environmental Effects	p. 590
Assessing Alternatives	p. 592
Decision-Making Process	p. 592
Monitoring	p. 595
Conclusions and Recommendations	p. 595
SEA for Agricultural Programmes in the EU	p. 599
Introduction	p. 599
EU Agricultural Policy 1992-2005	p. 600
Influence of CAP on Agricultural Land Use	p. 602
SEA for Agricultural Plans and Programmes	p. 605
Suitability of the German Preliminary Agrarian Structure Planning (gAEP) for the implementation of SEA	p. 608
Conclusions and Recommendations	p. 614
SEA of Waste Management Plans - An Austrian Case Study	p. 621
Introduction	p. 621
Fields of Application	p. 621
The SEA for the Viennese Waste Management Plan	p. 622
Methodologies and Data	p. 623
Process Design and Public Participation	p. 625
Conclusions and Recommendations	p. 628
Mining Industry and SEA - An Example in Turkey	p. 631
Introduction	p. 631
SEA and the Mining Industry	p. 632
Challenges of SEA in Developing Countries	p. 640
Conclusions and Recommendations	p. 642
Conclusions	p. 647
Capacity-Building and SEA	p. 649
Introduction	p. 649
Meaning of Capacity-Building for SEA	p. 650
Current Key Priorities for SEA as a Strategic Impact Assessment Approach	p. 653
What are the Needs and the Key Drivers in SEA Capacity-Building?	p. 655
Training for SEA Capacity-Building	p. 659
Conclusions and Recommendations	p. 661
A Critique of SEA from the Point of View of the German Industry	p. 665
Introduction	p. 665
The Role of Industry in the Legislatorial Process	p. 666
The Priority Level of SEA for the Industry	p. 666
Involvement of the Industry in the Legislative Process	p. 668
Conclusions and Recommendations	p. 671
Best Practice Use of SEA - Industry, Energy and Sustainable Development	p. 673
Introduction	p. 673
Institutional Links Between SEA and Industry	p. 674
SEA Application in Industry Planning	p. 675
SEA - A Strategic Decision-Making Framework for Businesses	p. 677
Electricity Provision and the UK Transmission Industry	p. 678
The Perceived Benefits of SEA to ScottishPower	p. 680
The Mid-Wales Case Study - ScottishPower's First Steps to SEA implementation	p. 680
Applying the Seven Phases of Regional Transmission Network SEA	p. 685
Conclusions and Recommendations	p. 687
SEA Outlook - Future Challenges and Possibilities	p. 691
Introduction	p. 691
SEA Barrier 1: Bland Alternatives	p. 691
SEA Barrier 2: Weak Public Participation	p. 693
SEA Barrier 3: Lack of the `Right Data'	p. 694
SEA Barrier 4: Poor Procedures and Methodology	p. 697
Conclusions and Recommendations	p. 698
The Full Text of the SEA Directive	p. 701
Consolidated List of Legislation	p. 715
Subject Index	p. 733
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