MODELS OF SEA! ROLE OF SEA IN DECISION-MAKING

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Laura Escobar Revuelta
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1 Mestrado em Urbanismo e Ordenamento do Território/ Master in Urban Studies and Territorial Management Mestrado em Engenharia do Ambiente / Master in Environmental Engineering Avaliação Ambiental Estratégica / Strategic Environmental Assessment 5º ano 1º semestre MODELS OF SEA ROLE OF SEA IN DECISION-MAKING 9ª aula Prof. Doutora Maria do Rosário Partidário METHODOLOGICAL MODELS and SEA APPROACHES 1

2 Continuum in SEA EIA-based OECD-DAC, 2006 Sustainability assessment Impact-based Effects-based Institutional-based World Bank, 2008 Strategic-based Partidário, 2007 For the environmental assessment of higher level PPP, attempts to apply project-level EIA methodologies have generally proven inadequate. Nilsson and Dalkmann, 2001 Different approaches to SEA UNECE Kiev Protocol to the Espoo Convention on Transbounday impacts EU 2001/42 Directive on the effects on the environment of certain plans and programmes World Bank Regional, Sectoral EAs and the Institution- Centred SEA OECD/DAC: Good Practice Guidance on SEA in Development Cooperation (2006) Canadian SEA 1999 Directive on policies and programmes New Zealand 1990 Resources Management Act Dutch SEIA (plans and programmes) and E-test for policies Danish SEA of government bills and more... 2

3 Models of SEA Standard EIA-based model Decision Process SEA Process SEA Report TOO LATE 3

4 Parallel model Decision Process SEA Process one SEA process fits all Fully integrated model Decision Process + SEA Process indistinct SEA effective role difficult to know 4

5 Decision-centred model Decision process drives the way Decision Process SEA - framework of key activities SEA is taylor-made and shaped to planning processes Role of SEA in decision-making (1) To approach issues that are relevant for the decision-maker To inform the decision-maker at the right time To address and attempt to resolve objectives that are in conflict To engage key agents in establishing a common vision and options that will contribute to resolve the problem 5

6 Role of SEA in decision-making (2) To identify and promote strategic opportunities To identify and resolve strategic risks To support decision when it is needed, through windows of opportunity, with the necessary information, in a rapid, short and in a way easy to understand. HOW TO DO AN SEA? 6

7 National approaches Guidelines and approaches to SEA Same steps in EIA and SEA (NCEIA) Screening Scoping Public participation SEA Decidido caso a caso en la mayor parte de los casos Agenda política, discussión de agentes e opinión de los expertos Foca en los organismos representativos EIA Projectos que requieren EIA estan listados Cuestiones locales y checklists técnicas Incluen frequentemente el publico Assessment Review Decision Monitoring Más qualitativo (opinión de los expertos) De la información y proceso de envolvimiento de agentes Comparación de alternativas en relación a objectivos de políitca Más quantitativo Foca en la qualidad de la información Comparación en relación a normas e padrones Foca en la implementación del plan Foca en la medición de los impactos actuales 7

8 Screening Scoping Participación pública Steps in SEA (OECD-DAC, 2006) SEA EIA 1. Estabelecer el contexto para la EAE Decidido caso a caso en la mayor Projectos que requieren parte de Screening los casos EIA estan listados Agenda política, Estabelecer discussión objectivos de Cuestiones locales y agentes e Identificar opinión de agentes los expertos checklists técnicas 2. Foca Implementar en los organismos la EAE Incluen frequentemente representativos Scoping (en diálogo con los agentes) el publico Línea de base Evaluación Más qualitativo Identificar (opinión alternativas de los Más quantitativo expertos) Como llegar a oportunidades y mitigar los impactos Revisión de De la información negativos y proceso de Foca en la qualidad de qualidad envolvimiento de agentes la información Assegurar la qualidad Decisión Comparación de alternativas en Comparación en Informe relación a objectivos de políitca relación a normas e 3. Informar la décision padrones Monitoramiento Foca en Hacer la implementación recomendaciones del plan (en Foca diálogo en con la medición los agentes) de 4. Monitoramiento y évaluación los impactos actuales SEA steps suggested by Riki Therivel (2004) 1. Consider environmentally/sustainability issues; Identify SEA objectives and indicators 2. Describe environmental baseline: identify problem areas; identify links to other strategic actions 3. Identify (more) sustainable alternatives 4. Prepare scoping report and consult 5. Predict and evaluate impacts of alternatives 6. Mitigate impacts of chosen alternative(s) 7. Write the SEA report; establish guidelines for implementation 8. Monitor impacts of the strategic action 8

9 Riki Therivel suggested methodology (2004) Planning process Identify objectives of strategic action Identify alternative ways to achieve the objective of the strategic action and solve problems Choose preferred alternative(s): describe the strategic action in more detail (statements) Fine-tune the chose alternative(s) and statements Formal decision / announcement Implement and monitor the strategic action SEA Include environmentally/sustainability issues; Identify SEA objectives and indicators Describe environmental baseline: identify problem areas; identify links to other strategic actions Identify (more) sustainable alternatives Prepare scoping report: consult Predict and evaluate impacts of alternatives/statements Mitigate impacts of chosen alternative(s)/ statements Write the SEA report; establish guidelines for implementation Monitor impacts of the strategic action Continuous interaction with public and stakeholders Generic SEA steps in Hong-Kong 1. Understanding the needs, nature and objectives of PPP 2. Design/select SEA process and methods 3. Initial screening and scoping 4. Baseline / background studies 5. Identify and examine strategic environmental issues and linkages INITIAL ASSESSMENT 6. Identify and evaluate possible options, alternatives means and resulting environmental implications 7. Identify and evaluate preferred options 8. Determine follow-up actions, monitoring requirements FINAL ASSESSMENT 9

10 CULTURAL Context and ANALYTICAL Follow-up Policy objectives Institutional settings Quality control parameters Implementation and review Quality control critical factors Diagnosis - key trends and current situation Reference framework Inter-sectoral Links and Conflicts Analysis Communication of context Choice Assessment Opportunities and risks Management guidelines Participation POLITICAL Scenarios Trend analysis Criteria and indicators for strategic assessment Consultation Options Analysis ANALYTIC Based on Partidário SEA methodology to Spatial Planning Portugal, 2005 South Africa - Integrating the Integrated Development Planning (IDP) Process and elements of SEA Plan monitoring and auditing Identification of broad plan and programme alternatives development of workplan and scoping phase MONITORING, EVALUATION & REVIEW WORKPLAN VISION Identification of a vision identification of strategic issues OPERATIONAL PLANNING DEVELOPMENT FRAMEWORK Development of a strategy for implementation of the plan or programme Legenda: Stages in the IDP process Elements of SEA which can add value to the IDP process The IDP process adequately incorporates these elements of SEA DEVELOPMENT STRATEGIES Guidelines for sustainability Added-value of SEA: - Identification of sustainability objectives, criteria and indicators - Identification of environmental opportunities and constraints SEA can also add value to the IDP through the development of guidelines for sustainability of the framework 10

11 (in Linking SEA and CDS, Partidário et al., 2008) Strategic-based SEA through Building Blocks SEA building blocks CDS building blocks Process Links and Decision Windows Context and Strategic framework Institutionalisation Process Design Monitoring & Evaluation Initial or Updated* Assessments Analysis: Key issues and critical factors Action Plans and Implementation Assessment and Guidelines M&E&M&C Vision, Goals and Objectives Consultation and Participation Consultation and participation Context and Strategic framework 11

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