ASSISTANT DIRECTOR OF HONG KONG ENVIRONMENTAL PROTECTION DEPARTMENT

1. WORLD TRENDS OF STRATEGIC ENVIONMENTAL ASSESSMENT By ELVIS AU ASSISTANT DIRECTOR OF HONG KONG ENVIRONMENTAL PROTECTION DEPARTMENT FORMER PRESENT OF INTERNATIONAL ASSOCIATION FOR IMPACT ASSESSMENT

2. Outline of Presentation • 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.

3. Policies (Strategies) Plans Programmes Projects Project EIA Hierarchy of Proposal and Assessment Strategic Environmental Assessment

4. Major SEA Developments and Achievements in the Past Decade • 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.

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

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

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

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

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

10. CHINA • 2003 PRC EIA Law covering landuse and sectoral plans

11. 2000 Basic Environment Plan to consider the framework for environmental considerations in decision-making in polices and plans • 2003 SEA Tentative Guidelines JAPAN

12. Statues of the Implementation of EU SEA Directive • 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

13. Level of government Land-use Plans (SEA) Category of action and type of assessment (in brackets) Sectoral and multi-sectoral actions Plans (SEA) Programmes (SEA) Projects (EIA) Policies (SEA) National/ Federal National land use plan 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 investment programme Sub-regional land-use plan Sub-regional Local infrastructure project Local Local land-use plan Tiering of Policy, Plan, Programme and Project Environmental Assessment Source: Adapted from Lee and Wood (1978)

14. US National Environmental Policy Act (NEPA) • 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.

15. 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) The European SEA Directive

16. New Directive to Improve Public Participation in EIA 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.

17. New Directive to Improve Public Participation in EIA (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

18. Key Features of European SEA Directive • Does not mention SEA by name; • Requires SEA for all land use plans establishing framework for future development consent of EIA directive projects (Article 3 [2][a]); • Covers SEA for plans requiring assessment under Habitats Directive (Article 3[2][b]);

19. Key Features of European SEA Directive • 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]);

20. Key Features of European SEA Directive • 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]);

21. Key Features of European SEA Directive • 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);

22. Key Features of European SEA Directive • 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]).

23. England, Wales, Scotland • 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.

24. Unitary Development Plan (UDP) Oldham Glasgow Oldham Liverpool Birmingham London Great Britain

25. Denmark • 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.

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

27. Generic Stages of the SEA Process

28. Generic Stages of the SEA Process (continued)

29. Environmentally Sustainable Development S EA S EA Plan Policy Programmes S EA Project Environmentally unsustainable development

30. Potential Benefits of SEA • Encourages the consideration of environmental objectives during policy, plan and programme-making activities within non-environmental 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)

31. Potential Benefits of SEA (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)

32. SEA Issues and Challenges for the Next Decade • 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.

33. Four Key Challenges for SEA in the World • 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.

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

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

36. What do the world SEA trends mean for you ? It’s now a norm in plan-making – the right thing to do; Call for major re-training of all planners and engineers in all sectors; Better get on board earlier rather than later

37. Thank You

38. Generic Stages of the SEA Process (continued)

39. What is the Right Context for SEA to be Effective ? • 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”.

40. Seven Habits of Highly Effective Impact Assessors/ Reviewers 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