Strategic Environmental Assessment in Action 9781849772655, 1849772657, 1844070425, 1844070417

Table of contents :
Content: Strategic Environmental Assessment in Action
Copyright
Contents
List of Figures, Tables and Boxes
Acknowledgements
List of Acronyms and Abbreviations
Part I: Introducing Strategic Environmental Assessment
Chapter 1 Introduction
Book structure
Background to the book
Chapter 2 Strategic Environmental Assessment: An Overview
Aims and principles of SEA
Strategic actions
Stages of SEA
Advantages of SEA
Problems with SEA
Conclusions
Chapter 3 The European Union SEA Directive and UNECE SEA Protocol
History of the SEA Directive
The Directive's requirements. Good and bad points of the DirectiveThe UNECE Protocol on SEA
Conclusions
Chapter 4 The SEA Process as a Whole
Example of SEA: Tooton Rush District Transport Plan
What is crucial in SEA?
Quality assurance
Conclusions
Part II: The SEA Process
Chapter 5 Setting the Context for SEA
Deciding whether a strategic action requires SEA: 'Screening'
Links between SEA and decision-making
Fitting SEA with other existing assessment requirements
Who should be involved in the SEA?
Conclusions. Chapter 6 Describing the Environmental Baseline, Identifying Problems, Links to Other Strategic ActionsIndicators, objectives, targets
Things to think about when establishing SEA objectives and indicators
Collecting and documenting baseline data
Setting targets (where appropriate)
Identifying environmental problems
Links to other strategic actions
When to stop collecting information: 'Scoping'
Conclusions
Chapter 7 Identifying Alternatives
Types of alternatives
Identifying alternatives/options
Deciding which alternatives/options are not worth pursuing: More scoping
Conclusions. Chapter 8 Predicting, Evaluating and Mitigating ImpactsPrediction and evaluation principles
Prediction
Evaluation
Choosing prediction and evaluation techniques
Mitigation
Conclusions
Chapter 9 Documentation, Implementation and Monitoring
Documentation
Consultation on the SEA report(s)
Monitoring
Conclusions
Part III: Assuring SEA Quality
Chapter 10 Ensuring that the SEA is Done Well and Resourcing It
Ensuring SEA quality
The case studies revisited: Was SEA effective?
How to do SEA in 1, 10 and 100 person-days
Capacity building, setting a supportive context
The future of SEA. AppendicesAppendix A: European Union Directive 2001/42/EC
Appendix B: United Nations Economic Commission for Europe Protocol on Strategic Environmental Assessment
Appendix C: SEA Prediction and Evaluation Techniques
Expert judgement
Quality of Life Assessment
Overlay maps
Land use partitioning analysis
Geographical Information Systems
Network analysis
Modelling
Scenario/sensitivity analysis
Cost-benefit analysis
Multi-criteria analysis
Life cycle analysis
Vulnerability analysis
Carrying capacity, ecological footprints
Risk assessment
Compatibility appraisal
References
Index.

Citation preview

Strategic Environm ental Assessm ent in A ction Riki Therivel

Strategic Environmental Assessment in Action

Riki Therivel

London • Sterling, VA

First published by Earthscan in the UK and USA in 2004 C opyright © Riki Therivel, 2004 All rights reserved ISBN: 1-84407-042-5 paperback 1-84407-041-7 hardback Typesetting by M apSet I.td, G ateshead, UK Printed and bound in the UK by Cromwell Press Ltd Cover design by Danny Gillespie For a full list o f publications please contact: Earthscan 8-12 C am den H igh Street London, NW1 0JH , UK Tel: +44 (0)20 7387 8558 Fax: + 44 (0)20 7387 8998 Email: earthinfo@ earthscan.co.uk Web: www.earthscan.co.u k 22883 Quicksilver Drive, Sterling, VA 20166-2012, USA Earlhscan publishes in association with WWF-UK and the International Institute for E nvironm ent and Development A catalogue record for this book is available from the British Library Library o f Congress Cataloging-in-Publication Data Therivel, Riki, I960-. Strategic environm ental assessment in action / Riki Therivel. p. cm. Includes bibliographical references and index. ISBN 1-84407-042-5 (pbk. : alk. paper) — ISBN 1-84407-041-7 (hardback : alk. paper) 1. Environm ental im pact analysis. 2. Strategic planning— Environm ental aspects. 3. Environm ental policy. I. Title TD194.6.T48 2004 333.7 l ’4—dc22 2003021890 This book is printed on elem ental chlorine free paper

Contents

List of Figures, Tables and Boxes Acknowledgements List of Acronyms and Abbreviations

vi xi xii

Part I: Introducing Strategic Environmental Assessm ent 1

Introduction Book structure Background to the book

2

Strategic Environmental Assessment: An Overview Aims and principles o f SEA Strategic actions Stages o f SEA Advantages o f SEA Problem s with SEA Conclusions

7 7 9 13 14 18 19

3

The European Union SEA Directive and UNECE SEA Protocol History o f the SEA Directive T h e Directive’s requirem ents Good and bad points of the Directive T h e UNECE Protocol on SEA Conclusions

20 21 23 32 33 35

The SEA Process as a W hole Exam ple o f SEA: Tooton Rush District T ransport Plan W hat is crucial in SEA? Quality assurance Conclusions

36 36 48 48 53

4

3 3 5

Strategic Environmental Assessment in Action

Part II: The SEA Process 5

Setting the Context for SEA Deciding w hether a strategic action requires SFA: ‘Screening’ Links between SFA and decision-m aking Fitting SFA with o th er existing assessment requirem ents W ho should be involved in the SFA? Conclusions

6

Describing the Environmental Baseline, Identifying Problems, Links to Other Strategic Actions Indicators, objectives, targets T hings to think about when establishing SFA objectives and indicators Collecting and docum enting baseline data Setting targets (where appropriate) Identifying environm ental problem s Links to o th er strategic actions W hen to stop collecting inform ation: ‘Scoping’ Conclusions

7

57 57 61 62 68 73

75 76 79 93 97 100 102 107 108

Identifying Alternatives Types o f alternatives Identifying alternatives/options Deciding which alternatives/options are not worth pursuing: M ore scoping Conclusions

109 110 120

8

Predicting, Evaluating and Mitigating Impacts Prediction and evaluation principles Prediction Evaluation Choosing prediction and evaluation techniques Mitigation Conclusions

133 134 135 154 157 167 171

9

Documentation, Implementation and Monitoring D ocum entation Consultation on the SFA report(s) M onitoring Conclusions

175 176 178 179 181

IV

125 131

Contents

Part III: A ssuring SEA Q uality 10

Ensuring that the SEA is D one Well and R esourcing It E nsuring SEA quality T h e case studies revisited: Was SEA effective? H ow to do SEA in 1 ,1 0 an d 100 person-days Capacity building, setting a supportive con tex t T h e fu tu re o f SEA

185 185 194 199 205 209

A ppendices A B C

European U nion D irective 2001/42/EC U nited N ations Econom ic C om m ission for Europe Protocol on Strategic Environm ental A ssessm ent SEA Prediction and Evaluation Techniques E x p ert ju d g e m e n t Q uality o f Life Assessment O verlay m aps L and use p artitio n in g analysis G eographical Info rm atio n Systems N etw ork analysis M odelling Scenario/sensitivity analysis Cost-benefit analysis M ulti-criteria analysis Life cycle analysis V ulnerability analysis C arrying capacity, ecological footprints Risk assessm ent C om patibility appraisal

References Index

210 222 239 239 240 242 244 246 247 248 250 251 253 254 256 257 259 260 262 269

v

List of Figures, Tables and Boxes

Figures 2.1 2.2 2.3 2.4 3.1 5.1 5.2 5.3 5.4 6.1 6.2 6.3 6.4 7.1 7.2 7.3 7.4 8.1 8.2 8.3 8.4 8.5 10.1 10.2

SFA as decision-making process that takes on board a broader range of perspectives, objectives and constraints Idealized model of strategic decision-making Tiering of policies, plans and programmes Links between SEA and strategic decision-making Screening under the SEA Directive Context of SEA: Links to decision-making and other assessment processes Decision flowchart and SEA inputs for Tooton Rush Evolution towards sustainable strategic actions Evolution from environmental appraisal to SEA Links between indicators and other aspects of SEA Simple example of the tenuous links between local authority inputs and final environmental outcomes Index of Sustainable Economic Welfare for the UK Problem identification through analysis of trends and targets ‘Hierarchy’ of alternatives Different focuses of different levels of decision-making Examples of discrete alternatives: Oxfordshire County Council spatial strategy Developing options into statements Links between prediction, evaluation and mitigation Indirect and cumulative impacts, and impact interactions Identifying impact significance Simple network diagram of employment and biodiversity impacts of Statement L (minimizing impact of lorries) Sequencing of SEA techniques in the example of Statement L Getting to improved strategic actions through SEA Side benefits of sustainability appraisal

9 13 14 15 28 58 61 62 66 77 85 87 100 111 119 120 130 134 145 155 165 167 186 187

List o f Figures, Tables and Boxes 10.3 Changes to the plan with sustainability appraisal carried out as an integral p art o f plan-m aking v. after the plan was com pleted 10.4 T im ing o f appraisal v. indirect benefits an d resourceefficiency 10.5 SEA process for the UK strategy on farm ing an d food 10.6 SEA process for the Regional Economic Strategy for the South West 10.7 SEA process (massively simplified) for local developm ent plans C .l Exam ple o f overlay maps: T ranquil areas C.2 Exam ple of land use partitioning analysis for biodiversity: E uropean T rans-E uropean N etwork C.3 Exam ple of CIS: Potential sites for expansion o f UK Biodiversity Action Plan priority habitats in the Chiltern N atural Area C.4 Exam ple o f an internal compatibility m atrix

189 190 195 197 198 243 245

247 260

Tables 1.1 2.1 3.1 4.1 4.2 4.3 4.4 4.5 5.1 5.2 5.3

5.4 5.5 6.1 6.2

Parts o f the book likely to be of particular relevance for specific readers SEA outputs Sum m ary of the SFA Directive’s consultation requirem ents Baseline data for Tooton Rush Im pact appraisal of some of the options for Tooton Rush’s District T ransport Plan Compatibility appraisal o f some of the options for Tooton Rush’s District T ransport Plan Mitigation m easures for impacts identified in Tables 4.2 and 4.3 Possible hierarchy of im portance o f SEA approaches Exam ple of screening o f some UK tran sp o rt plans and program m es u n d e r the SEA Directive Advantages an d disadvantages o f different approaches to fitting SFA with other assessment systems ‘B readth’ o f coverage: Environm ental/sustainability issues covered by the SFA Directive and guidance on sustainability appraisal Advantages and disadvantages o f different approaches to who should carry out the SFA Public participation techniques and approaches Possible list o f SEA objectives for land use plans Objectives and indicators used to test alternative UK policies for farm ing and food

4 16 32 40 44 46 47 49 59 64

69 70 73 78 80

vu

Strategic Environmental Assessment in Action 6.3 6.4 6.5 6.6 6.7 6.8

7.1 7.2 8.1 8.2 8.3 8.4 8.5 8.6 8.7 8.8 8.9 8.10 8 .1 1 8.12 8.13 8.14 9.1 9.2 9.3 10.1 C. 1 C.2 C.3 C.4

Advantages and disadvantages o f the baseline-led v. objectives-led approach Part of a baseline data m atrix: Cotswold District Council Examples of UK targets M anaging non-replaceable environm ental assets or benefits M anaging replaceable environm ental assets or benefits Part of a compatibility analysis which shows constraints of higher-level strategic actions on a lower-level strategic action Examples o f alternatives/options D ocum enting reasons for elim inating options from fu rth e r consideration Examples o f what statem ents in strategic actions do and do n ’t m ean Advantages and disadvantages o f approaches to im pact prediction Part of a simple im pact prediction m atrix: Policy on farm ing and food Part of a simple equity im pact prediction matrix: Policy on farm ing and food Part of a m ore detailed im pact prediction m atrix: UK N ational Forest Im pact prediction m atrix used to identify and assess cum ulative effects Examples o f techniques for reducing uncertainty Partial assessm ent o f different scales o f Strategy A from Box 8.4 ' Examples o f com parisons o f alternatives: CO v emissions o f four alternatives C om parison of alternatives: Objectives for food and farm ing Possible applications of SEA prediction and evaluation techniques Stream lined v. com prehensive SEA techniques Im pact assessment m atrix for Statem ent L (minimizing im pact o f lorries) Possible types o f integration in SEA Possible structure for final SEA rep o rt Sum m ary of responses to SEA re p o rt consultation Possible form at for a m onitoring program m e T h e Full Monty: 100-day SEA process Part of Quality of Life Assessment for m ajor new developm ent proposal west o f the A1(M) at Stevenage Exam ple o f p art o f a CBA Scoring systems for MCA R anking o f alternatives based on w eighted scores

83 96 99 102 103

104 112 131 137 139 141 142 143 147 148 153 157 158 160 161 164 173 178 179 180 203 241 252 254 255

List o f Figures, Tables and Boxes

Boxes 2.1 2.2 2.3 3.1 3.2 4.1 4.2 4.3 5.1 5.2 6.1 6.2 6.3 6.4 6.5 6.6 6.7 7.1 7.2 7.3 7.4 7.5 7.6 8.1 8.2

Two exam ples o f objectives for a national policy on farm ing an d food Exam ple of cum ulative impacts identified as part o f SEA Exam ple of strategic alternatives identified as part o f an SEA UK environm ental/sustainability appraisal system pre-Directive Sum m ary of SEA Directive requirem ents for a given plan o r program m e T h e bad old District T ransport Plan for Tooton Rush District B rainstorm ed options for achieving Tooton Rush D T P ’s new objective Quality assurance checklist for SEA ‘A ppropriate assessm ent’ u n d e r the E uropean Union H abitats Directive ‘D epth’ of coverage: SEA Directive requirem ents covered by guidance on environm ental/sustainability appraisal Relation of SEA objectives to other objectives In p u t v. outcom e indicators: An exam ple Ind ex of Sustainable Economic Welfare as an indicator of quality o f life Local G overnm ent M anagem ent Board sustainability them es Exam ple of equity assessment: N o rth ern Ireland policy on the location of civil service jobs Part of a baseline analysis: T aunton’s cultural heritage Exam ple of conflicting and unsustainable strategic actions Public v. private decisions, and the myth that ‘choice’ is always good Exam ple of discrete alternatives: O xfordshire County Council spatial strategy Exam ple of options: Prom oting town centre vitality in the Vale o f the W hite H orse Exam ple of options that aim to deal with a specific problem : Traffic m anagem ent in E pping Forest Exam ple of options suggested by links to other strategic actions: Providing housing in Newtown Dealing with constraints im posed by o th e r strategic actions: Exam ple of Swale B orough Local Plan Cum ulative im pact assessment process Exam ple of m odelling uncertainty using ranges: Air pollution caused by cultural and sporting events resulting from an economic strategy

11 17 17

22 25 37 42

51 63 67 82 84 86 90 92 94 106 117 119 122

123 124 127 146

149 IX

Strategic Environmental Assessment in Action 8.3

Q uestions for screening o f com poncnts/statcm cnts o f the strategic action 8.4 Exam ple of different strategic levels for im pact prediction: Part of a Regional Economic Strategy 8.5 Checklist o f items to p rep a re for a prediction, evaluation and m itigation session 8.6 Q uestions to ask when predicting, assessing and mitigating impacts 8.7 Examples o f m itigation m easures: Changes m ade to strategic action statem ents 10.1 Is the strategic action sustainable? T h e Bcllagio Principles 10.2 SEA review grades

150 151 170 171 172 192 194

d

x

Acknowledgements

T his is my first solo book, so I have not had a co-author to share in the joys and pains of w riting it. Instead I have had the assistance o f m any people who contributed ideas, case studies and oth er support. Roger Levett, my business partner, took on m ore th an his share o f work to keep o u r com pany afloat while I wrote this book, and has been a fantastic source o f inspiration, ideas and supp o rt over the years. He wrote the sections o f the book that discuss how sustainability an d the en v iro n m en t in terrelate, and suggested rules for how not to carry out SEA. My colleagues at O xford Brookes University, particularly Elizabeth W ilson, J o h n Glasson, G raham Wood an d Stew art T h o m p so n have been unfailingly g en ero u s an d helpful. S tu dents on my SEA u n it at O xford Brookes U niversity’s MSc in Environm ental Assessment and M anagem ent, and participants on various SEA train in g courses th a t I have ru n have co n trib u ted ideas, exam ples and enthusiasm. I am also grateful to m any o th e r people for th e ir su p p o rt, advice and ideas. Many are fellow SEA practitioners who have contributed in m ajor ways to the evolution o f SEA; others are forw ard-thinkin g g o v ern m en t officials responsible for adm in isterin g an d im plem enting SEA. T h ey include (in alphabetical order) Charles Aston, Joan B ennett, Nick Bonvoisin, Jean-D enis B o urquin, C lare Brooke, Lex B row n, H elen B yron, C heryl Cowlin, Je n n y Dixon, Ric Eales, Chris Fry, H alldora Hreggvi