Tender for Hire of Service for

Collection of the World’s Latest Practice on Environmental Evaluation and Strategic Environmental Assessment for Urban Development

(Tender Ref. SA 07-039)

Final Report

This Final Report was prepared by BMT Asia Pacific Limited to the best of our knowledge. For the English and Traditional / Simplified Chinese versions of the report, if any discrepancy exists between these versions, the English version shall prevail.

Prepared under the Management of:

Name:              Carmen Ng

Position:           Senior Environmental Consultant

Signature:

Reviewed and Approved by:

Name:              Ben Ridley

Position:           Director

Signature:

Reference:      R8507/03 Issue 02

Date:                3 September 2008

Filename:         J:\8507  -  SEA Review Urban Development\Task 3 - Final Report\8507_Final Report_v2.doc

5/F, ING Tower, 308 Des Voeux Road Central, Hong Kong

Tel:    (852) 2815 2221             Fax:   (852) 2815 3377

1 Contents

1 Contents. ii

2 Acronyms & Abbreviation. ix

3 Executive Summary. xii

4 Introduction. 1

4.1 Overview. 1

4.2 Objectives of the Services. 1

5 Background. 2

5.1 Concepts and Definitions. 2

5.1.1 Strategic Environmental Assessment 2

5.1.2 Policy. 2

5.1.3 Urban Development 2

5.1.4 Urban Development Policy and/or Action. 2

5.1.5 Statutory. 2

5.1.6 Non-statutory. 2

5.1.7 Administrative System.. 2

6 Methodology. 3

6.1 Information Collection and Review Process. 3

6.2 Analysis and Reporting. 3

7 Country Reports. 4

7.1 Asia Pacific. 4

7.1.1 Hong Kong. 4

7.1.2 Mainland China. 14

7.1.3 Japan. 23

7.1.4 Korea. 31

7.1.5 Macau SAR. 37

7.1.6 Singapore. 40

7.1.7 Thailand. 45

7.2 Europe. 52

7.2.1 Denmark. 52

7.2.2 Finland. 64

7.2.3 France. 74

7.2.4 The Netherlands. 82

7.2.5 United Kingdom.. 93

7.2.6 Austria. 107

7.2.7 Germany. 114

7.2.8 Norway. 123

7.2.9 Portugal 131

7.2.10 Spain. 135

7.3 North America. 139

7.3.1 Canada. 139

7.3.2 USA. 152

7.4 Oceania. 165

7.4.1 Australia. 165

7.4.2 New Zealand. 174

7.5 Development Co-operations. 182

7.5.1 World Bank. 182

7.5.2 Asian Development Bank. 191

7.5.3 Inter-American Development Bank. 200

7.5.4 United Nations Development Programme. 210

7.5.5 United Nations Environment Programme. 219

7.6 Africa. 227

7.6.1 South Africa. 227

8 List of Reference Materials and Internet Resources. 237

8.1 Asia Pacific. 237

8.1.1 Hong Kong. 237

8.1.2 Mainland China. 237

8.1.3 Japan. 238

8.1.4 Korea. 238

8.1.5 Macau SAR. 239

8.1.6 Singapore. 239

8.1.7 Thailand. 239

8.2 Europe. 240

8.2.1 Denmark. 240

8.2.2 Finland. 240

8.2.3 France. 240

8.2.4 The Netherlands. 241

8.2.5 United Kingdom.. 241

8.2.6 Austria. 242

8.2.7 Germany. 242

8.2.8 Norway. 242

8.2.9 Portugal 243

8.2.10 Spain. 243

8.3 North America. 244

8.3.1 Canada. 244

8.3.2 USA. 244

8.4 Oceania. 246

8.4.1 Australia. 246

8.4.2 New Zealand. 246

8.5 Development Co-operations. 247

8.5.1 World Bank. 247

8.5.2 Asian Development Bank. 247

8.5.3 Inter-American Development Bank. 247

8.5.4 United Nations Development Programme. 248

8.5.5 United Nations Environment Programme. 248

8.6 Africa. 250

8.6.1 South Africa. 250

9 Appendix A. 251

List of Figures

Figure 7.1.1.1. EIA flow chart

Figure 7.1.1.2. Process flow chart for plan making process

Figure 7.1.2.1. Process flow chart for EIA for plans

Figure 7.1.3.1. Outline of procedures for the Environmental Impact Assessment Law

Figure 7.1.3.2. Approaches to Environmental Consideration at Each Stage of Establishing the Master Plans and Other Plans

Figure 7.1.3.3. Process flow chart for EIA for plans

Figure 7.1.4.1. Regulatory basis of Preliminary Environmental Review System

Figure 7.1.4.2. Process flow chart for Preliminary Environmental Review System for plans and programmes

Figure 7.1.7.1. Process flow chart for proposed EIA process

Figure 7.2.1.1. Spatial Planning System of Denmark

Figure 7.2.1.2. Denmark’s Planning System 2007

Figure 7.2.1.3. SEA process

Figure 7.2.1.4. Overall planning process

Figure 7.2.2.1. Environmental administration in Finland

Figure 7.2.2.2. EIA flow chart

Figure 7.2.3.1. Stages in the environmental assessment

Figure 7.2.4.1. The EIA Procedure in the Netherlands

Figure 7.2.4.2. Main steps in Strategic EIA

Figure 7.2.5.1. Tiering of environmental assessment in the UK

Figure 7.2.5.2. Application of the SEA Directive to plans and programmes

Figure 7.2.5.3. Stages in the SEA Process

Figure 7.2.5.4. Approval of SA report

Figure 7.2.5.5. Relationship between SEA tasks

Figure 7.2.6.1. Process flow chart for SEA for plans

Figure 7.2.7.1. SEA flow chart

Figure 7.2.8.1. Process flow chart for Spatial Planning Procedure at Municipal Level

Figure 7.2.8.2. Process flow chart for EA for policies and SEA for plans and programmes

Figure 7.3.1.1. Preliminary scan for the initiation of SEA

Figure 7.3.1.2. The SEA Process at Canadian International Development Agency

Figure 7.3.1.3. The SEA Process at Canadian International Development Agency

Figure 7.3.2.1. US Zoning Example

Figure 7.3.2.2. Uniform Land Use Review Procedure of New York City

Figure 7.3.2.3. Main steps in the US federal EIS process

Figure 7.3.2.4. Typical Decision-making Process

Figure 7.4.1.1. EPBC Act Environment Assessment Process – Assessment / Decision whether to approve

Figure 7.4.1.2. EPBC Act Environment Assessment Process – Referral

Figure 7.4.2.1. Steps for preparing an Assessment of Environmental Effect (AEE)

Figure 7.4.2.2. Processing resource consents – stages and timeframes

Figure 7.5.1.1. Overall process flowchart for Environmental Assessment

Figure 7.5.2.1. Process flow chart for EIA for plans

Figure 7.5.3.1. Process flow chart for SEA

Figure 7.5.5.1. Process flow chart for SEA

Figure 7.6.1.2. Process flow chart for SEA

List of Tables

Table 3.1 Summary Table of International Practices on Environmental Evaluation and Strategic Environmental Assessment for Urban Development

Table 7.1.1.1. Summary Table for Hong Kong

Table 7.1.2.1. Summary Table for Mainland China

Table 7.1.3.1. Summary Table for Japan

Table 7.1.4.1. Summary Table for Korea

Table 7.1.5.1. Summary Table for Macau

Table 7.1.6.1. Summary Table for Singapore

Table 7.1.7.1. Summary Table for Thailand

Table 7.2.1.1. Summary Table for Denmark

Table 7.2.2.1. Summary Table for Finland

Table 7.2.3.1. Summary Table for France

Table 7.2.4.1. Summary Table for Netherland

Table 7.2.5.1 Summary Table for England, Wales, Scotland and North Ireland

Table 7.2.5.2. Summary Table for England, North Ireland and Wales

Table 7.2.5.3. Summary Table for Scotland

Table 7.2.6.1. Spatial/Land use Planning Instrument at Different Planning Level

Table 7.2.6.2. Summary Table for Austria

Table 7.2.7.1. The competency regarding spatial planning of various levels of government

Table 7.2.7.2. The competency and planning instruments regarding urban planning of various levels of government, International Society of City and Regional Planners

Table 7.2.7.3. Summary Table for Germany

Table 7.2.8.1. Summary Table for Norway

Table 7.2.9.1. Summary Table for Portugal

Table 7.2.10.1. Summary Table for Spain

Table 7.3.1.1. Summary Table for Canada

Table 7.3.2.1. Summary Table for USA

Table 7.4.1.1. Summary Table for Australia

Table 7.4.2.1. Summary Table for New Zealand

Table 7.5.1.1. Summary Table for World Bank

Table 7.5.2.1. Summary Table for Asian Development Bank

Table 7.5.3.1. Summary Table for Inter-American Development Bank

Table 7.5.4.1. Summary Table for United Nations Development Programme

Table 7.5.5.1. Summary Table for United Nations Environmental Programme

Table 7.6.1.1. Summary Table for South Africa

List of Appendices

Appendix A - Contact record for overseas agencies

2 Acronyms & Abbreviation

ABF	Architectes des Bâtiments de France
ACE	Advisory Council on the Environment
AEE	Assessment of Environmental Effect
APA	Administrative Procedure Act
BP	Bank Procedure
CCLIP	Conditional Credit Line for Investment Projects
CEQR	City Environmental Quality Review
CESR	Conseil Economique et Social Régionale
CIADT	Comité Interministériel à l’Aménagement et au Développement du Territoire
COS	coefficient d’occupation des sols
CPE	Country Program Evaluation
CPER	Contrats de plan État –Régions
CPLD	Committee on Planning and Land Development
CRA	Comprehensive Regional Assessment
CSP	country strategy and program process
Danish SEA Act	Act on the Environmental Assessment of Plans and Programmes
DATAR	Délégation à l’aménagement du Territoire et à l’action régionale
DDE	Direction départementale d’equipement
DEP	Director of Environmental Protection
DGP	Development Guide Plans
DMC	Developing Member Countries
DPA	Development permission area
DPDs	Development Plan Documents
DPL	Development Policy Lending
DPT	Department of Public Works and Town & Country Planning
EA	Environmental Assessment
EIA	Environmental Impact Assessment
EIAO	Environmental Impact Assessment Ordinance
EIR	Environmental Impact Report
EIS	Environmental Impact Statement
EMA	Environmental Management Act
EMP	Environmental Management Plan
EOU	Evaluation and Oversight Unit
EPBC Act	Environment Protection and Biodiversity Conservation Act
EPD	Environmental Protection Department
EPMA	Environmental Protection and Management Act
EPS	Environmental Protection Scrutiny
ESMP	environmental and social management plan
E-Test	Environmental Test
EU	European Union
FAEP	Framework Act on Environment Policy
FONSI	Finding of No Significant Impact
FYP	Five Year Plan
HK2030 Study	Hong Kong 2030 Planning Vision and Strategy
HKPSG	Hong Kong Planning Standards and Guidelines
HST	High-Speed Train
IADB	Inter-American Development Bank
IEE	Initial Environmental Examination
IEM	Integrated Environmental Management
IMAR	Inner Mongolia Autonomous Region
IUDSP	Integrated Urban Development Sector Project Integrated Urban Development Sector Project
KTD	Kai Tak Development
LASED	Land Allocation for Social and Economic Development
LDFs	Local Development Frameworks
LPA	Local Planning Authority
MDG	Millennium Development Goals
ME	Ministry of Environment
MEP	Ministry of Environmental Protection of the People’s Republic of China
MMAH	Ministry of Municipal Affairs and Housing
MoE	Ministry of Natural Resources and Environmental Protection of the Republic of Belarus
MOEWR	Ministry of Environment and Water Resource
MOHURD	Ministry of Housing and Urban-Rural Development of the People’s Republic of China
MONRE	Ministry of Natural Resources and Environment
MP	Master Plan Committee
NCEA	Commission for Environmental Assessment
NEMA	National Environmental Management Act
NEPA	National Environmental Policy Act
NEPP	National Environmental Policy Plan
NFPS	National Forest Policy Statement
NGOs	Non-government Organisations
NRA	National Road Administration
NSESD	National Strategy for Ecologically Sustainable Development
OCPs	Outline Concept Plans
OD	Operational Directive
OM	Operations Manual
ONEP	Office of Natural Resource and Environmental Planning and Policy
OP	Operational Policy
OVE	The Office of Evaluation and Oversight
OZP	Outline zoning plans
PCFV	Partnership for Clean Fuels and Vehicles
PER	Public Environment Report
PERS	Prior Environmental Review System
PLU	Plan local d'urbanisme
PODP	Preliminary Outline Development Plan
PP	Plan or Programme Proponent
PPMS	Project Performance Management System
PPPs	Policies, plans and programmes
PRC	People’s Republic of China
PSSC	Planning Standards Sub-Committee
REAM	Environment Council of Macao Special Administrative Region
REC	Regional Environmental Centre for Central and Eastern Europe
REAs	Regional Environmental Assessments
RHC	Representation Hearing Committee
RMA	Resource Management Act
RNU	Les dispositions imperatives du règlement nationale d’urbanisme
ROD	Record of Decision
RPB	Regional Planning Body
RSS	Regional Spatial Strategies
SA	Sustainability Appraisal
SASP	South Australia’s Strategic Plan
SCOT	Schémas de cohérence territoriale
SDAU	Schéma directeur d'aménagement et d'urbanisme
SEA	Strategic Environmental Assessment
SEIA	Summary EIA
SIA	Strategic Impact Assessment
SIEE	Summary Initial Environmental Examination
SLC	Social Land Concessions
SPDs	Supplementary Planning Documents
SRADT	Schemas regionaux d’amenagement et de developpement du territoire
TDS	Territorial Development Strategy
TKO	Tseung Kwan O
TORs	Terms of Reference
TPB	Town Planning Board
TT	Task Team
UNDP	United Nations Development Programme
UNEP	United Nations Environment Programme
UN-HABITAT	United Nations Human Settlements Programme
URA	Urban Renewal Authority
VROM	Ministry of Housing, Spatial Planning and Environment

3 Executive Summary

The practices of the SEA process in urban development policies and actions vary from country to country depending on their internal administrative systems, historical and present socio-cultural and economic condition, and their internal political stability.

To capture the overall understanding on the SEA implementation progress in urban development policies at local / regional level, BMT Asia Pacific Limited was commissioned by the Environmental Protection Department (EPD) of the Hong Kong Special Administrative Region in April 2008 to conduct a desktop research on the international urban development policies and actions, and the latest practices in their Environmental Evaluation (EE) and Strategic Environmental Assessment (SEA).

The whole review study is divided into 2 stages and this is the Final Report. It provides a comprehensive overview and analysis on the existing international practices on environmental evaluation and strategic environmental assessment for policies, plans and programmes in general and urban development specifically. Both statutory and administrative / non-statutory systems in EE /SEA of urban development proposals were reviewed. As a reference, the urban development policy and SEA practice in Hong Kong were also reviewed and analyzed in this report. 

Following the specifications in the Tender, countries and jurisdictions to be reviewed in this Final Report include:

· Developed countries in Europe: Denmark, Finland, France, The Netherlands, United Kingdom (including Northern Ireland, Scotland, Wales, and UK), Austria, Germany, Norway, Portugal and Spain;

· Developed countries in North America: Canada and U.S. ;

· Developed countries in Oceania: Australia and  New Zealand;

· Developing and developed countries in Asia: Mainland China, Japan, Korea, Macau SAR, Singapore and Thailand;

· Developing country in Africa: South Africa and

· Development Cooperation (DC): World Bank, Asian Development Bank, Inter-American Development Bank, United Nations Development Programme, and United Nations Environmental Programme.

Examples on the application of EE or SEA during urban development were included. This is to reveal the typical urban development cases, details of the integration of EE/SEA along the planning process (e.g. evaluation tools used, agencies involved, involvement of public consultation) and the outcome of the SEA/EE application.

The international urban development policies / actions and their respective EE/ SEA status are summarized in Table 3.1.

This Final Report was prepared by BMT Asia Pacific Limited to the best of our knowledge. The information provided in this Report is primarily based on Internet sources published in English, Traditional and / or Simplified Chinese language.  The exact website address links to each of the relevant documents has been presented in full. Relevant local authorities of the selected countries / DCs have also been contacted to obtain the most updated and accurate information for this study.

Based on the countries and DC concerned, it was observed that a general directive or act for urban development / land use/ planning in national perspective are usually in force in countries worldwide to develop a framework for urban development. While, more detailed and specific planning regulations and guidelines are developed down the administration level at the state, region or local level to control urban development. It is the state or regional level government normally develops urban development policies and plans.

Regarding their latest practice of EE / SEA, most of the European countries, e.g. United Kingdom and Finland, have already transposed the EU Directive 2001/42/EC (SEA Directive) into its own legislations. In addition, most of the reviewed countries and development co-operations have developed their own EE /SEA systems, e.g. EIA for plans in Mainland China, E-test for policies in the Netherlands. The review also indicated that EE / SEA process is commonly found to be integrated to the establishment of urban development policy, plans and programmes. All details of the latest EE / SEA can be reviewed in the subsequent chapters.

Table 3.1                      Summary Table of International Practices on Environmental Evaluation and Strategic Environmental Assessment for Urban Development

Countries / Development Co-operations	Urban Development Policy and Actions			Environmental Evaluations / SEA Status in Urban Development
	Policy	Actions	Legislations / Guidance and Relevant Document *	Type of Assessment	Requirement Mechanisms	Legislations / Guidance and Relevant Document *	Applications	Project Examples
Asia Pacific
Hong Kong	Hong Kong Planning Standards and Guidelines	Hong Kong 2030 Planning Vision and Strategy	· Town Planning Ordinance · Urban Renewal Authority  Ordinance · Hong Kong Planning Standards and Guidelines · General Circular No. 1/2004 - Site Searches	Administrative: · Strategic Environmental Assessment · Sustainability assessment Statutory: · Strategic Environmental Assessment	Administrative system, statutory system	Administrative: · HKPSG Chapter 9 · Sustainability Assessment System · 2005-06 Policy Address Statutory: · EIA Ordinance · Technical Memorandum on Environmental Impact Assessment Process	Administrative: · Policies, plans and programmes Statutory: Plans and programmes	· Kai Tak Planning Review · Environmental Impact Assessment for Further Development of Tseung Kwan O Feasibility Study 2005
Mainland China	N/A	第十一個五年規劃, 《國務院關於編制全國主體功能區規劃的意見》	· 《中華人民共和國城鄉規劃法》 · 《城市規劃編制辦法》 · 《中華人民共和國土地管理法》 · 《中華人民共和國土地管理法實施條例》	Administrative: · Strategic Environmental Assessment Statutory: · Strategic Environmental Assessment	Administrative system, statutory system	Administrative: · 《國務院關於編制全國主體功能區規劃的意見》 · 第十一個五年規劃 Statutory: · 《中華人民共和國環境影響評價法》 · 《規劃環境影響評價條例（徵求意見稿）》	Administrative: · Plans and programmes Statutory: · Plans and programmes	· EIA for 11^th FYP of Inner Mongolia Autonomous Region · Strategic Environmental Assessment for Beijing Pinggu
Japan	N/A	Comprehensive National Development Plan 1998	· City Planning Act 1968 (2002 amended) · Building Standard Act · Land Consolidation Act	Administrative: · Strategic Environmental Assessment Statutory: · Environmental Impact Assessment	Administrative system, statutory system	Administrative: · Basic Environment Law · Draft Guidelines for the Introduction of Strategic Environmental Assessment Statutory: · Environmental Impact Assessment Law	Administrative: · Policies and programmes Statutory: · Plans	· The "New Mutsu-Ogawara Development Basic Plan"  on March 30, 2005
Korea	N/A	N/A	· City Planning Laws 1962	Administrative: · N/A Statutory: · Preliminary Environmental Review System	Statutory system	Administrative: · N/A Statutory: · Framework Act on Environmental Policy (FAEP)	Administrative: · N/A Statutory: · Plans and programmes	· Spatial development for a city in Kwangju, South Korea
Macau	N/A	N/A	· N/A	Administrative / non-statutory: · N/A Statutory: · N/A	N/A	Administrative / non-statutory: · N/A Statutory: · N/A	Administrative / non-statutory: · N/A Statutory: · N/A	No example available for reference
Singapore	N/A	· The Concept Plan (introduced in 1971 and revised every 10 years) · The Master Plan (introduced in 1998 and revised every 5 years)	· The Planning Act	Non-statutory: · Environmental Impact Assessment Statutory: · N/A	Non-statutory system	Non-statutory: · Environmental Protection of Management Act (EPMA) Statutory: · N/A	Administrative: · Policy, plans and programmes Statutory: · N/A	· Environmental Impact Assessment (EIA) for the Integrated Resort at Sentosa
Thailand	N/A	Comprehensive Plan	· City Planning Act 1975	Non-statutory: · Environmental Impact Assessment Statutory: · Environmental Impact Assessment	Statutory and non-statutory system	Non-statutory: · Improvement and Conservation of the National Environmental Quality Act 1975 · Enhancement and Conservation of Nation of National Environmental Quality Act  1992, Section 46 · General Guidelines in Preparing EIA Report Statutory: · Improvement and Conservation of the National Environmental Quality Act 1975 · Enhancement and Conservation of Nation of National Environmental Quality Act  1992, Section 46	Administrative: · Projects Statutory: · Projects	· Integrated urban air quality management (UAQM) in Bangkok
Europe
Denmark	Planning Act 2007	N/A	· Prime Minister’s Office Circular of 1993 (amended in 1995 and 1999)	Administrative: · N/A Statutory: · Strategic Environmental Assessment	Statutory system	Administrative: · N/A Statutory: · Prime Minister’s Office Circular of 1993 (amended in 1995 and 1999 · Strategic Environmental Assessment of Bills and Other Proposals	Administrative: · N/A Statutory: · Bills, proposals and ministry budgets	· North Jutland Regional Development Plan (1995-1997) · Municipal Plan for Hillerød
Finland	Finnish EIA Act (Section 24)	N/A	· Finnish EIA Act (Section 24)	Administrative: · N/A Statutory: · Strategic Environmental Assessment	Statutory system	Administrative: · N/A Statutory: · SEA Directive	Administrative: · N/A Statutory: · Bills, proposals and ministry budgets	· Main Road network development plan Assessment of the Nordic Triangle · Assessment of the National Waste Plan
France	N/A	· Municipal Zoning Plans · Plan local d'urbanisme (PLU)	· 1995 Spatial Planning and Development Act · Urban Solidarity and Renewal Act · Territorial Cohesion Blueprints (SCOT) · Local Urban Planning Maps	Administrative: · N/A Statutory: · Strategic Environmental Assessment	Statutory system	Administrative: · N/A Statutory: · Strategic Impact Assessment for policy level · Environmental Code for plans and programmes	Administrative: · N/A Statutory: · Strategic Impact Assessment (SIA) for Policies level · SEA for plans and programmes level	· Northern Corridor · The Franco-Spanish Highway project (The Somport Tunnel)
The Netherlands	N/A	N/A	· Spatial Planning Act 1965	Administrative: · Environmental Evaluation Statutory: · Environmental Test (E-test) · Strategic Environmental Impact Assessment	Administrative system, statutory system	Administrative: · Environmental Appraisal of Development Plans: A Good Practice Guide (DoE, 1993) Statutory: · European Directive 2001/42/EC · Official Gazette 1995, No.15 · Environmental Management Act (1993, 1994, 2006)	Administrative: · Policies, plans and programme Statutory: · Policy for E-test, plan · Strategic Environmental Impact Assessment for plans and programmes	· Canal Link: New Opportunities for Inland Waterways across the North Sea · SEA for the 2002 Dutch Waste Management Plan
United Kingdom (England, North Ireland and Wales)	N/A	· Regional Spatial Strategies · Spatial Plan (for England only) · Wales Spatial Plan	· Planning and Compulsory Purchase Act · SEA Directive · Draft Planning Policy Statement 11 (Sustainability Appraisal) · Planning and Policy Guidance 12 (Policy Appraisal) · Development Plans and Regional Planning Guidance	Administrative: · Strategic Environmental Assessment Statutory: · Strategic Environmental Assessment	Administrative system, statutory system	Administrative: · Environmental Appraisal of Development Plans: A Good Practice Guide (DoE, 1993) Statutory: · European Directive 2001/42/EC · Environmental Assessment for Plans and Programmes Regulations (2004) · Environmental Assessment of Plans and Programmes (Wales) Regulations 2004 · Environmental Assessment of Plans and Programmes Regulations (Northern Ireland) 2004 · Policy Planning Guidance Note 12:2 · Development Plans and Regional Planning Guidance (DoE, 1992)	Administrative: · Policies and programme Statutory: · Plans and programmes	· The RSS for the South East of England (the South East Plan) · SEA of Torbay Local Transport Plan (LTP) 2006 – 2011
United Kingdom (Scotland)	N/A	N/A	· Planning and Compulsory Purchase Act · SEA Directive · Draft Planning Policy Statement 11 (Sustainability Appraisal) · Planning and Policy Guidance 12 (Policy Appraisal) · Development Plans and Regional Planning Guidance	Administrative: · N/A Statutory: · Strategic Environmental Impact Assessment	Statutory system	Administrative: · N/A Statutory: · Environmental Assessment (Scotland) Act 2005 · Environmental Assessment of Plans and Programmes (Scotland) Regulations 2004	Administrative: · N/A Statutory: · Strategy, plans and programmes
Austria	The national spatial planning concept	N/A	· No general planning law over the country, different provinces have different planning law, like Spatial Planning Act in Vienna	Administrative: · Strategic Environmental Assessment Statutory: · Strategic Environmental Assessment	Statutory for federal level and Administrative for Lander level	Administrative: · Federal Act on strategic assessment Statutory: · Federal Act on strategic assessment	Administrative: · Policy, plan and programme Statutory: · Policy, plan and programme	· Land use plan revision in the municipality of Weiz · Pilot SEA for Vienna’s waste management plan
Germany	N/A	N/A	· Federal Spatial Planning Act 2004, Federal Building Code 2004, Federal Construction Law 2004 and 16 Federal States’ own law (add in those in Table 2) Federal Building Code · Spatial Organization Act · Federal Town Planning Act · Land Use Ordinances · Map sign Ordinances · Special Provisions for development and urban renewal	Administrative: · Strategic Environmental Assessment Statutory: · Strategic Environmental Assessment	Statutory for federal level and Administrative for federal state level	Administrative: · 16 Federal States’ own law Statutory: · Federal EIA Act (UVPG - Umweltverträglichkeitsprüfung 2005)	Administrative: · Plans and programmes Statutory: · Plans and programmes	· Federal Transport Infrastructure Plan 2003 · Municipality of Ketzin in Brandenburg land use Plan
Norway	N/A	N/A	· The Planning and Building Act 1985 (amended in 2005)	Administrative: · Environmental Assessment for policy. Strategic Environmental Assessment for plan and programme Statutory: · Environmental Assessment for policy. Strategic Environmental Assessment for plan and programme	Administrative system, statutory system	Administrative: · Guideline on Environmental Assessment in Accordance with the Instructions for Official Studies and Reports · Different municipal government’s own laws, systems and regulations.  Statutory: · Administrative Order 1994 · Environmental Assessment – Instructions for consequence assessment, submission and review procedures in connection with official studies, regulations, positions and reports to the Storting · Strategic Environmental Assessment – Planning and Building Act, Regulations on Environmental Impact Assessment	For both administrative and statutory applications, EA applies to policy while SEA applies to plans and programme	· Norwegian Road and Road Transport Plan 1997
Portugal	N/A	N/A	· Land Use Planning Act 1998	Administrative: · Strategic Impact Assessment Statutory: · N/A	Administrative system	Administrative: · Guidance on SIA of land-use/spatial plans · National Directorate General for Land-Use Planning & Urban Development (2003) Statutory: · N/A	Administrative: · Plans and programmes Statutory: · N/A	No example available for reference
Spain	N/A	N/A	· Land use planning and Appraisal Law 1998	Administrative: · Environmental Impact Assessment Statutory: · N/A	Administrative system	Administrative: · A total of 17 states have their own legislations · 1997 Government Act · EU SEA Directive (2001/42) Statutory: · SEA Law 9/2006	Administrative: · Plans and programmes Statutory: · N/A	No example available for reference
North America
Canada	N/A	N/A	· Public Lands Act · Cabinet Directive (1999) · Crown Land Use Policy Atlas	Administrative: · Strategic Environmental Assessment Statutory: · N/A	Administrative system	Administrative: · Cabinet Directive (1999) Statutory: · N/A	Administrative: · Policies, plans and programs Statutory: · N/A	· British Columbia offshore oil and gas development · Overview of Activities in the Magdalen Islands sector
USA	N/A	· City Environmental Quality Review	· National Environmental Policy Act of 1969 and its amendments	Administrative: · N/A Statutory: · Environmental Impact Assessment	Statutory system	Administrative: · N/A Statutory: · National Environmental Policy Act	Administrative: · N/A Statutory: · Policies, plans and programs	· National Park Service Yosemite Valley Plan and EIS · California High-Speed Train Final Program EIR/EIS (2005)
Oceania
Australia	N/A	· National Charter of Integrated Land Use and Transport Planning	N/A	Administrative: · N/A Statutory: · Strategic Assessment	Statutory system	Administrative: · N/A Statutory: · Environment Protection and Biodiversity Conservation Act (EPBC, 1999)	Administrative: · N/A Statutory: · Policies, plans and programs	· Domestic and international airport at Badgerys Creek in western Sydney ·  Foundry Expansion by Bradken Resources Pty Ltd at Kilburn
New Zealand	N/A	· Sustainable Development Programme of Action ·  New Zealand Urban Design Protocol	Resource Management Act of 1991 and its amendments	Administrative: · N/A Statutory: · Assessment of  Environmental Effects	Statutory system	Administrative: · N/A Statutory: · Environmental Act · Resource Management Act	Administrative: · N/A Statutory: · Policies, plans and programs	· Auckland’s Regional Growth Strategy 2050 · Waikato Regional Plan
Development Co-operations
World Bank	· Operational Policy / Bank Procedure (OP/BP 8.60) · Safeguard policies: OP/BP 4.01, OP 4.04, OP/BP 4.36, OP 4.09, OP/BP 4.11, OP 4.12, OP/BP 4.10, OP 4.37, OP/BP 7.50, OP/BP 7.60	N/A	· Operational Policy / Bank Procedure (OP/BP 8.60) · Safeguard policies: OP/BP 4.01, OP 4.04, OP/BP 4.36, OP 4.09, OP/BP 4.11, OP 4.12, OP/BP 4.10, OP 4.37, OP/BP 7.50, OP/BP 7.60 · Good Practice Notes for Development Policy Lending	Administrative: · Strategic Environmental Assessment Statutory: · N/A	Administrative system	Administrative: · Operational Policy / Bank Procedure (OP/BP 4.01) · Operational Policy / Bank Procedure (OP/BP 8.60) Statutory: · N/A	Administrative: · Policy, plan and programme Statutory: · N/A	· Malawi: Community-Based Rural Land Development Project · Cambodia: Land Allocation for Social and Economic Development
Asian Development Bank	· Urban Sector Strategy · Bank Policy	N/A	· Operational Procedures (OP) · Operations Manual (OM) Section 22: Project Performance Management System (PPMS)	Administrative: · Strategic Environmental Assessment Statutory: · N/A	Administrative system	Administrative: · Environmental Policy · Operations Manual (OM) Section 20: Environmental Considerations in ADB Operations · Environmental Assessment Guidelines Statutory: · N/A	Administrative: · All loans and investments projects Statutory: · N/A	· Environmental Assessment Report- Kingdom of Tonga: Integrated Urban Development Project · A Strategic Environmental Assessment of Fiji’s Tourism Development Plan
Inter-American Development Bank	· Urban and Housing Development sectoral operational policies	N/A	· General Operational policies · Financial Operational policies	Administrative: · Strategic Environmental Assessment Statutory: · N/A	Administrative system	Administrative: · Environment Strategy · Environment and Safeguards Compliance Policy · Conditional Credit Line for Investment Projects Statutory: · N/A	Administrative: · Policies, plans and programs Statutory: · N/A	· Strategic Environmental Studies for Guyana and Suriname · Strategic Environmental Assessment of the Northern Corridor La Paz-Guayaramerín
United Nations Development Programme	N/A	· Local Initiative Facility for Urban Environment	· Results-oriented Monitoring and Evaluation: A Handbook for Programme Managers · Decentralized Governance for Development: A Combined Practice note on Decentralization, Local Governance, and Urban/Rural Development	Administrative: · Strategic Environmental Assessment Statutory: · N/A	Administrative system	Administrative: · UNDP Environmental Mainstreaming Strategy · Apply Strategic Environmental Assessment: Good Practice Guidance for Development Cooperation Statutory: · N/A	Administrative: · Policies, plans and programmes Statutory: · N/A	· Strategic Environmental Assessment of the Yerevan City Master Plan
United Nations Environment Programme	N/A	N/A	N/A	Administrative: · Strategic Environmental Assessment Statutory: · N/A	Administrative system	Administrative: · Environmental Impact Assessment and Strategic Environmental Assessment: Towards and Integrated Approach Statutory: · N/A	Administrative: · Policies, plans and programmes Statutory: · N/A	· Environmental assessment of the areas disengaged by Israel in the Gaza Strip · Sudan Post-Conflict Environmental Assessment
Africa
South Africa	N/A	· Land Reform Programme · Urban Development Framework, 1997	· Land Use Management Bill, 2008 · Local Government: Municipal Systems Act, 2000	Administrative: · Strategic Environmental Assessment Statutory: · Environmental Impact Assessment	· Statutory and non-statutory system	Non- statutory: · Guideline Document: Strategic Environmental Assessment in South Africa Statutory: · General Guide to the Environmental Impact Assessment regulations, 2006	Administrative: · Policy, plan and programme Statutory: · Policy, plan and programme	· Durban South Basin Strategic Environmental Assessment · Strategic Environmental Assessment for uMhlathuze Municipality, South Africa

4 Introduction

4.1 Overview

Strategic Environmental Assessment (SEA) is a process through which any potential significant environmental effects arising from policies, plans and programmes can be identified, assessed, mitigated and communicated before those effects occur or are exacerbated.  The SEA process can thus assist with sustainable public planning and policy-making, including large-scale development projects under a jurisdiction.

This Final Report presents a review of the latest global practices for evaluating the strategic environmental issues / implications of urban development policies and actions under both the statutory and administrative / non-statutory systems.

4.2 Objectives of the Services

The practices of the SEA process in urban development policies and actions vary from country to country depending on their internal administrative system, historical and present socio-cultural and economic condition, and their internal political stability.

To capture the overall understanding on the SEA implementation progress in urban development policies at local / regional level, the following 21 selected countries and 5 Development Cooperation (DC) were reviewed and reported at this Final Report:

· Developed countries in Europe: Denmark, Finland, France, The Netherlands, United Kingdom (including Northern Ireland, Scotland, Wales, and UK), Austria, Germany, Norway, Portugal and Spain;

· Developed countries in North America: Canada and U.S. ;

· Developed countries in Oceania: Australia and  New Zealand;

· Developing country: Mainland China, Japan, Korea, Macau SAR, Singapore and Thailand

· Developing country in Africa: South Africa and

· DC: World Bank, Asian Development Bank, Inter-American Development Bank, United Nations Development Programme, and United Nations Environmental Programme.

In addition, the present SEA process in urban development policies and actions in Hong Kong is also reviewed and reported as reference.

5 Background

5.1 Concepts and Definitions

5.1.1 Strategic Environmental Assessment

SEA is a systematic process for evaluating the environmental consequences of proposed policy, plan or programme initiatives in order to ensure they are fully included and appropriately addressed at the earliest appropriate stage of decision-making on par with economic and social considerations (Sadler and Verheem, 1996).

5.1.2 Policy

A general course of action or proposed overall direction that a government is or will be pursuing and that guides ongoing decision-making (Sadler and Verheem 1996).

5.1.3 Urban Development

Proposed large-scale development projects, which may cause significant environmental impacts, in urban or rural areas.

5.1.4 Urban Development Policy and/or Action

An action of a government takes in the urban development aspect. The action includes the systems for setting up of development plans, land use, land ownership and zoning as well as many other areas of government. Such policies are often influenced by political beliefs and the administrative hierarchy.

5.1.5 Statutory

The action is obliged by statutes, which are laws enacted by a legislature or other governing authority such as the executive branch of government and international institutions.

5.1.6 Non-statutory

In contrast, non-statutory actions are those that follow the system but are not obligated by law. Its authority rests not on legislation, but on individual parties. Although lacking force of law, such instruments usually establish requirements that may be interpreted as mandatory or discretionary for government agencies. Non-statutory system consists of guidelines or communication, executive instructions, etc..

5.1.7 Administrative System

System/ internal procedures set up by the government in which all the government agencies are mandatory to adopt when performing their jobs and duty internally. The system/ internal procedures are not obligated by law. Its authority rests on individual agencies.

6 Methodology

6.1 Information Collection and Review Process

The primary task under this study is to review and collate applicable available information on international approach in relation to the

· Urban development policies and actions;

· Environmental evaluation / strategic environmental assessment for policy proposals; and

· Environmental evaluation / strategic environmental assessment for urban development planning policies.

The environmental evaluation / SEA procedures identified for both general policy proposals and urban planning policy proposal have included statutory and administrative / non-statutory systems, the overall evaluation process and evaluation tools applied.

The information collected has been derived from, but has not been limited to, the following channels:

· Legal documents (e.g., relevant legislation, regulations, directives, etc.);

· General and statutory guidance documents (e.g., technical circulars / memoranda, handbooks, guidance notes / guidelines, etc.) similar to the Hong Kong Planning Standards and Guidelines (HKPSG) and the EIAO Technical Memorandum (EIAO TM) etc;

· Government / DC related agencies (e.g., environmental agency, planning authority, etc.);

· Requirements of reports / environmental statements; and

· Requirements of SEA processes.

To assist the readers in better understanding the viability of each SEA system, at least two implemented projects have been identified and assessed as practical case studies in this Report.

The information provided in this Report is primarily based on Internet sources published in English, Traditional and / or Simplified Chinese language.  The exact website address links to each of the relevant documents has been presented in full and confirmed to be valid up until completion of this report.

Relevant local authorities of the selected countries / DCs have also been contacted to obtain the most updated and accurate information for this study. The list of contact information is provided as Appendix A.

6.2 Analysis and Reporting

Available information gathered for all selected countries and DC has been reviewed and analyzed individually.   

7 Country Reports

7.1 Asia Pacific

7.1.1 Hong Kong

7.1.1.1 Urban Development Policies and Actions

The Planning Department published Hong Kong 2030 Planning Vision and Strategy (HK2030 Study) in 2007, which aims at updating the Territorial Development Strategy (TDS) for Hong Kong.  It recommended, on the basis of a series of assumptions, how spatial environment of Hong Kong should respond to various social, economic and environmental needs in the next 20 to 30 years, taking Hong Kong towards a shared vision.

A. Regulatory mechanisms

In Hong Kong, the shaping of urban development including the HK2030 Study is implemented in accordance with either statutory or departmental district plans. These plans aim to regulate and provide guidance to development in terms of land use, building density and development characteristics, and to ensure that they are in line with the planning objectives of the districts.

For statutory planning, the principal responsible body is the Town Planning Board (TPB). Established under the Town Planning Ordinance, the TPB is responsible for preparing statutory plans for the use of land in different areas. There are two standing committees under the TPB, namely, the Metro Planning Committee and the Rural and New Town Planning Committee. These broad scale statutory plans cover the use of land for major roads and transport systems, and provide statutory planning controls in the form of land zoning and specification of development parameters. There are two types of statutory plans: outline zoning plans (OZP) and development permission area (DPA) plans.

OZP shows the proposed land uses and major road systems of an individual planning area. DPA plans are similar to outline zoning plans except that they are interim plans. They cover rural areas of the New Territories and they are eventually replaced by outline zoning plans. A set of notes is attached to each statutory plan, indicating the uses in particular zones that are always permitted and others for which the TPB's permission must be sought.

At district level, the District Planning Offices of the Planning Department prepare two types of departmental district plans - departmental Outline Development Plans and Layout Plans. These administrative plans are prepared for individual districts or planning areas to show the planned land uses, development restrictions and transport networks in greater detail. Under section 25 of the Urban Renewal Authority (URA) Ordinance, development scheme plans prepared by the former Land Development Corporation and its successor URA, also require approval by the TPB.

B. Overview of evaluation approach

Guiding the preparation of all these plans is the Hong Kong Planning Standards and Guidelines (HKPSG). This is a Government manual of criteria for determining the scale, location and site requirements of various land uses and facilities. In particular, Chapter 9 of the HKPSG specifically covers environmental.

The Planning Standards Sub-Committee (PSSC) is a sub-committee of the Committee on Planning and Land Development (CPLD), which is responsible for the formulation and review of the HKPSG. Members of the PSSC are all government department representatives. However, for territorial significance or unique uses and facilities (such as airports, museums, and universities), the provision of these facilities and their locational requirements would be subject to individual investigations and other internationally recognized criteria, therefore the HKPSG does not provide standards or guidelines for them. Once the policy authorities and committees formulate or revise a Government policy that has land use implications, the HKPSG are reviewed and may revise accordingly.  As a tool in forward planning, the HKPSG provides general guidelines to ensure that, during the planning process, the Government will reserve adequate land to facilitate sustainable development of Hong Kong (see Chapter 1, HKPSG). 

The Government also issues guidelines for specific purpose of land use planning or urban development.  An example is “General Circular No. 1/2004 - Site Searches” by Housing, Planning and Lands Bureau (HPLB).

The plan making process is summarized as follow:

· TPB agrees the proposal with reference to the HKPSG, all new plans, amendments to approved plans or amendments to draft plans will be exhibited for public representation (either supportive or adverse)..

· All received representations by the TPB will be published for comments. The TPB or its Representation Hearing Committee (RHC) will hold a hearing to consider the representations and comments received, and may propose amendments to the draft plan.  This representation consideration process will repeat once again for possible further amendment of the draft plan.

· Upon completion of the representation consideration process, TPB is required to submit the draft plan incorporating the amendments, representations, comments and further representations to the Chief Executive in Council for approval. In parallel, all representations / comments / further representations should be made available for public inspection until the Chief Executive in Council has decided on the draft plan.

· The Board may accept the application in whole or in part or refuse the application. The applicant will be notified in writing of the Board’s decision and the reasons for that.

· Applicants who are unsatisfied with the decisions of the TPB may lodge appeals with the independent Town Planning Appeal Board

7.1.1.2 Environmental Evaluation / SEA in Urban Development

A. Regulatory mechanisms

Statutory mechanism

Hong Kong has a statutory system to carry out SEA for certain landuse plans and major proposals.

The Environmental Impact Assessment Ordinance (EIAO) was enacted in 1997 and became operational since April 1998. The Ordinance requires a list of Designated Projects, including major urban development and redevelopment projects, to produce mandatory documentation and conduct public consultation. Development plans classified as Designated Projects have to conduct EIA. These major development and redevelopment plans are listed under Schedule 3 of the EIA Ordinance and they are regarded as SEA in many developed countries:

· engineering feasibility studies of urban development projects with a study area covering more than 20 ha or involving a total population of more than 100,000; and

· engineering feasibility studies of redevelopment projects with a study area covering more than 100,000 existing or new population.

Administrative / non-statutory mechanism

In addition to the statutory EIA system, SEA has also been applied to urban development policies, plans and programmes (PPPs) through the administrative system. This helps to ensure that environmental considerations are taken into account even during the policy making process.

· As stated in 1992’s Governor’s Policy Address, environmental implications arising from proposals of new policies or strategies should be stated clearly in all submissions to Executive Council (the highest decision making body in Hong Kong).

· Since 2002, “Sustainability Implication” section is also required to be included in the submissions to the Executive Council, which is a full assessment of their social, environmental and economic implications.

· As stated in the 2005-06 Policy Address, it is anticipated that all future new major government policies (including land use planning) will be subject to environmental protection scrutiny.

Although the standards and guidelines in the HKPSG are neither statutory nor rigid, any departure from the standards and criteria considered in the HKPSG should not be accepted by the TPB without full consideration of all the implications to the living conditions in Hong Kong. Chapter 9 provides specific guidance for including environmental considerations in the planning of both public and private developments which will have potential to cause significant changes to the biophysical environment or which are sensitive to environment.  General environmental considerations in land use planning cover air quality, noise, water quality and waste management. During the preparation of statutory plans, TPB take into account these environmental considerations. Where appropriate, mitigation measures related to planning standards and guidelines in HKPSG may be included in the lease conditions or stipulated as a condition of planning permission granted by the Town Planning Board.

B. Evaluation methodologies

Statutory mechanism

For certain urban development plan (i.e. under Schedule 3 designated project under the EIAO), statutory environmental impact assessment is usually carried out under the EIAO process:

Stage 1: The applicant submits an application for an EIA Study Brief along with a project profile describing issues relevant to the project, and advertises the availability of the project profile for public comments.

Stage 2: The Director issues an environmental impact assessment (EIA) study brief to the applicant. The applicant should prepare an EIA report in accordance with the requirements of the EIA study brief and the Technical Memorandum on EIA Process. An EIA Report shall comprise series of documents providing detailed quantitative EIA wherever possible, and the likely environmental impacts and benefits of the project. This would typically include areas like water and sediment quality, air quality, the noise environment, ecology, the cultural heritage and the man-made environment. It shall describe the characteristics of the environment, identify potential impacts which may be harmful or beneficial to the environment, evaluate anticipated changes and effects that shall be made, and propose mitigation measures which shall give priority to avoidance of impacts.

Stage 3: The Director shall evaluate the adequacy of the EIA Report based on the following consideration:

· Comprehensive coverage of the EIA report, which factually reflect the scope and extent of the project as well as associated potential environmental impacts;

· Adoption of sound and adequate assumptions and assessment methodologies

· Comparison of environmental benefits and disbenefits of various scenarios with or without the project;

· Maximum avoidance of adverse environmental effects, definition of all necessary environmental protection requirements and best mitigation measures;

· Incorporation of lessons learned from other similar projects;

· Adequate address of the need for environmental monitoring and audit together with a schedule.

Stage 4: If Director is satisfied with the EIA report, it will exhibit for public inspection for 30 days. The EIA report may also be required to submit to the Advisory Council on the Environment (ACE) for comments.

Stage 5: Once approved, the EIA report will be placed on the Register established under the EIA Ordinance for future referral.

Administrative / non-statutory mechanism

The strategic environmental assessment of land use planning through administrative system is guided by the online Hong Kong SEA Manual (http://www.epd.gov.hk/epd/SEA/eng/index.html).

The environmental planning process flowchart within the non-statutory planning framework is shown in Figure 7.1.1.2.

· Following Chapter 9 of HKPSG, proponents or development agents in consultation with Environmental Protection Department (EPD) should carry out an analysis of the environmental implications of the development.

· The matrix analysis showing environmental concerns relating to various land uses against different environmental aspects are classified into three types according to the likelihood and severity of, or sensitivity to, environmental impacts:

- Type I: Only some of the activities may cause environmental impacts. Impacts may be minimised through various measures. Least adverse impacts to the environment;

- Type II: Majority of the activities have potential to cause environmental impacts. Environmental standards and guidelines should be applied. Scoped environmental assessments of the developments at the project planning stage may be necessary.

- Type III: Land uses are likely to cause significant environmental concerns. The associated environmental standards and guidelines must be fully observed. Detailed Environmental Impact Assessments of the developments at the project planning stage may be necessary. Most significant impacts to the environment.

· Based on the matrix results and the environmental factors influencing particular areas, the proponent or development agents should consider and evaluate various parameters during the design of the urban development plan, such as the land use conflict, feasibility of development control imposition, necessity of alternative development options, effectiveness of land use zoning and site layout.

· The subsequent statutory plan making processes will be followed, which involve public consultation and possible amendments.

C. Process Flow Chart

The statutory EIA process flow chart for a Schedule 3 designated project (i.e. planning projects under the EIAO) is presented in Figure 7.1.1.1. The administrative environmental planning process flow-chart under Chapter 9 of HKPSG is listed in Figure 7.1.1.2.

Figure 7.1.1.1.        EIA flow chart

 Sources: A Guide to the EIA Ordinance - http://www.epd.gov.hk/eia/english/guid/ordinance/fig1.html

Figure 7.1.1.2.        Process flow chart for plan making process

Source: Chapter 9 Environment of the Hong Kong Planning Standards and Guidelines -http://www.pland.gov.hk/tech_doc/hkpsg/english/ch9/ch9_fig2_1.htm

D. Summary Table

Table 7.1.1.1.                Summary Table for Hong Kong

Urban Development Policy and Actions
Policy and Actions	Hong Kong Planning Standards and Guidelines, Hong Kong 2030 Planning Vision and Strategy
Legislations / Guidance and Relevant Document *	Hong Kong Planning Standards and Guidelines, Town Planning Ordinance, Urban Renewal Authority Ordinance, General Circular No. 1/2004 - Site Searches
Environmental Evaluations / SEA Status in Urban Development Policy and Actions
	Administrative	Statutory
Type of Assessment	Strategic Environmental Assessment, sustainability assessment	Strategic Environmental Assessment
Requirement Mechanism	Administrative system	Statutory system
Legislations / Guidance and Relevant Document ^*	HKPSG Chapter 9, Sustainability Assessment System, 2005-06 Policy Address	EIA Ordinance, Technical Memorandum on Environmental Impact Assessment Process
Applications	Policies, plans and programmes	Plans and programmes

7.1.1.3 Analysis and Conclusion

Urban Planning Policies

The TPB, established under the Town Planning Ordinance, is responsible for all the statutory plans. Development projects are implemented in accordance with statutory (i.e. outline zoning plans and development permission area plans) or departmental district plans. These plans aim to regulate and provide guidance to development in terms of land use, building density and development characteristics, and to ensure that they are in line with the planning objectives of the districts. This covers the urban development of the whole territories. Along the plan making process, Hong Kong has established statutory public representation, comments and further representation processes, in which new plans and amendments to the plans shall be considered accordingly. In addition, representatives from different relevant government departments (e.g. transport department, environmental protection department, housing department) are all engaged during the urban development process.

Environmental evaluation / SEA

The concept of SEA for policies, plans and programmes in Hong Kong is provided under statutory and administrative / non-statutory systems for PPPs. The Environmental Impact Assessment Ordinance (EIAO) is the principle statutory requirements governing the SEA for certain redevelopments and urban developments. The administrative system has also been applied to urban development PPPs. Along the statutory town planning process, Chapter 9 of the HKPSG provides specific guidance for including environmental considerations in the planning of both public and private developments, which will have significant environmental impacts.

With the public engagement mechanism along the EIA process / town planning process, environmental concerns from the public can be addressed.

7.1.1.4 Project Examples

Example 1	Kai Tak Planning Review
Description of the Study (scope and objectives of the study, why this study initiated, location / brief history about this study)	The Kai Tak Planning Review (the Study) was commissioned by the Planning Department in July 2004. It is tasked to conduct a comprehensive planning review of the South East Kowloon Development in view of the latest legal interpretation on reclamation. It formulated a Preliminary Outline Development Plan (PODP) for Kai Tak Development (KTD), with “no reclamation” as the starting point. The scope of this Study basically followed the coverage of the Kai Tak Outline Zoning Plans. Extensive public engagement activities were proceeded throughout the Study.
Process of the Study (overview of general process, more detail description on environmental evaluation. Also describe the parties involved, time schedule of the overall process (which month/year did which step))	To ensure compliance with the clarified Protection of the Harbour Ordinance, a comprehensive planning and engineering review of the Kai Tak Outline Zoning Plans (OZPs), which would originally involve reclamation, was conducted with “no reclamation” as the starting point. This Study is the first stage of the comprehensive review. To foster community support and general consensus on the key issues and to promote ownership on the study proposals, a 3-stage public participation programme was formulated. For this Study, it was further divided into several phases: Inception Phase: · Plan the overall approach, methodology and programme of the Study; Stage 1 Public Participation to gauge the community’s visions on the future development of Kai Tak. Review Phase: · Carry out a baseline review on the development vision, planning principles, development constraints and design opportunities, re-investigate the development requirements and parameters. The major elements for review including planning, urban design and landscape, engineering, drainage & sewerage, traffic & highways, cruise terminal, helicopter service and environmental review. This process involved the consultation of various government departments. · In particular for the environmental review, previous EIAs and findings for Kai Tak Approach Channel sediment contamination and treatment proposals were critically reviewed. · Based on the information gathered in the baseline review, prepare 3 options of OCP presenting different land use and urban design themes; conduct preliminary sustainability assessment on the draft OCPs; Stage 2 Public Participation to discuss the three Outline Concept Plans (OCPs). Plan Preparation Phase: · Prepare Preliminary Outline Development Plan (PODP) after taking into full consideration the input from the Stage 2 Public Participation. · Conduct preliminary technical assessments covering traffic & transport, highway infrastructure, environment, marine, drainage & sewerage and water & utility; develop implementation framework; conduct preliminary sustainability assessment for PODP. · For the preliminary environmental assessment, air quality, noise, water quality, sediment contamination, hazard, waste management, landscape & visual and cultural heritage were covered. Through identification of sensitive receivers, pollution sources identification, modelling simulation, pollution loading estimation and other assessment methods, environmental impacts were critically reviewed. · Stage 3 Public Participation to invite public discussion on more detailed land use and transport proposals of the draft PODP.. Recommendation Phase: · Finalize PODP with reference to the findings of the preliminary technical assessments and the views gathered; prepare Draft Final Report and Executive Summary.
Outcome of the Study	Key environmental issues were identified through the Study, some of them are highlighted as below: · Appropriate treatments/ mitigation measures for odour emissions from contaminated sediments should be explored. · Areas and buildings/ structures with high heritage value should be taken into account in planning for KTD. · New utility installations would be required within the development area to cater for future demand. The completed PODP served as a basis for the amendments to the statutory Kai Tak OZPs and also provided input to the Engineering Feasibility and Environmental Impact Assessment Studies in the next stage of the comprehensive review as KTD is a Schedule 3 Designated Project under the EIAO. The new draft Kai Tak Outline Zoning Plan was gazetted for public inspection on 24 November 2006. After taking into account the representations/comments/further representations received during the statutory exhibition period, Town Planning Board amended the OZP. On 6 November 2007, the Chief Executive in Council approved the draft Kai Tak OZP.

Example 2	Environmental Impact Assessment for Further Development of Tseung Kwan O Feasibility Study 2005
Description of the Study	Tseung Kwan O (TKO) is the seventh New Town in Hong Kong.  Feasibility Study for Further Development of Tseung Kwan O (TKO) (hereafter referred to as “the Project”) had been conducted by Civil Engineering and Development Department of HKSARG in 2005 to review the overall planning of TKO. This is to ensure that a comprehensive planning approach to the development of this area within the context of the South East New Territories Development Strategy. The proposed developments under the Project comprised of new developments at Town Centre South, Pak Shing Kok and remaining areas of Tiu Keng Leng, Western Coast Road, and Cross Bay Link. Prior to public consultation and the development of a Concept Plan, four alternative development themes were evaluated against a range of performance criteria and subjected to comparative assessments from environmental, planning and technical perspectives. The Concept Plan was used for formulation of more detailed layout plans that provide the land use and infrastructure layout framework for testing in the various impact assessment studies including Environmental Impact Assessment (EIA) to confirm their feasibility. The scope of this EIA study covered all developments proposed under the Project and any development proposals to be recommended in the course of the EIA study, and any other works associated with the proposed developments. It provides information on the nature and extent of potential environmental impacts arising from the construction and operation of the developments proposed under the Project and related activities taking place concurrently.
Process of the Study	Before undertaking this EIA and consolidation of the Concept Plan, the views of the public were combined with the technical assessments (i.e. with reference to the HKPSG) to provide a comprehensive evaluation of the alternative development themes. The combined evaluation yielded a ranking of the development themes which reflected public acceptability and that were sustainable from engineering, planning, and environmental perspectives. Under the EIAO, this Project is classified as a Schedule 3 Designated Project because it involved a total population of more than 100,000, therefore this detailed environmental impact assessment was required. An EIA study brief was issued by the Director of Environmental Protection (DEP) after the submission of project profile by proponent to specify assessment area.  The EIA was prepared in accordance with the requirements of the EIA study brief and the Technical Memorandum on Environmental Impact Assessment Process.  It comprises 13 key areas, including air quality, noise, hydrodynamic and water quality, sewerage and sewage treatment, terrestrial ecology, marine ecology, fisheries, landscape and visual, waste management implications, biogas assessment, cultural heritage, landfill gas hazard and hazard to life were evaluated. Impacts of key subject areas during construction and operational phase were assessed. For each assessment area, the following aspects were covered: · relevant governing legislation and standards; · assessment criteria and methods (e.g. air quality and noise modelling, literature review, 6-month ecological surveys and qualitative risk assessment); · assessment findings and relevant mitigation measures, such as provision of indirect technical remedies to noise sensitive receivers where exceedance of the relevant noise limit was predicted after implementation of all recommended mitigation measures; and · recommendation of environmental monitoring and audit programme to check the effectiveness of recommended mitigation measures. Director of Environmental Protection (DEP) evaluated the adequacy of the Report and the overall environmental acceptability of the Project after the implementation of environmental mitigation measures. DEP satisfied with the Report content.
Outcome of the Study	Given proposed mitigation measures for construction and operation phases are implemented, the Report concluded that the proposed Project would be environmentally acceptable. Once DEP was satisfied that the Report met the requirements of the Study Brief and Technical Memorandum, the Report was exhibited for public to comment from 15 October 2005 to 13 November 2005. During the period, 4 sets of written comments were received from the public. On 8 December 2005, the EIA report was approved without conditions.

7.1.1.5  List of References

· Hong Kong: The Fact – Town Planning, (September 2007) http://www.gov.hk/en/about/abouthk/factsheets/docs/town_planning.pdf

· Town Planning Ordinance (Chapter 131), http://www.legislation.gov.hk/blis_ind.nsf/CurAllEngDoc?OpenView&Start=117&Count=30&Expand=131#131

· Hong Kong Planning Standards and Guidelines – Chapter 9, http://www.pland.gov.hk/tech_doc/hkpsg/english/ch9/ch9_text.htm

· Town Planning Board, http://www.info.gov.hk/tpb/en/about_us/intro.html

· Sustainability Assessment of HKSARG, http://www.susdev.gov.hk/html/en/su/sus.htm

· Kai Tak Planning Review, http://www.pland.gov.hk/p_study/prog_s/sek_09/website_chib5_eng/english/index.html

· Further Development of Tseung Kwan O Feasibility Study (EIA 111/ 2005), http://www.epd.gov.hk/eia/register/report/eiareport/eia_1112005/index.htm

· EIA Ordinance, http://www.epd.gov.hk/eia/english/legis/index1.html

· Technical Memorandum on Environmental Impact Assessment Process, http://www.epd.gov.hk/eia/english/legis/index3.html

7.1.2 Mainland China

7.1.2.1 Urban Development Policies and Actions

As a big country like Mainland China, urban development is a key issue for the sustainable growth of the country. The 11th Five Year Plan for 2006-2010 of Mainland China, which was approved in the Communist Party of China 5th section and 16th session of central committee 2005, provides a general framework for the short and medium term development of China. It covers economic, social and environmental aspects. In particular, there is also an emphasis on the village urbanization and development, as well as facilitation of regional development coordination in the Plan. 

A. Regulatory mechanisms

As stated in《中華人民共和國土地管理法》, all the land within Mainland China is owned by the country and governed by the State Council on behalf of Mainland China. Other than those villages and rural lands which are owned by the farmer collective, the remaining is government land. The two major ministries involved in land management are the Ministry of Housing and Urban-Rural Development of the People’s Republic of China (MOHURD) and the Ministry of Land and Resources.

Binding to 《中華人民共和國土地管理法》, the Ministry of Land and Resources is responsible for both urban and rural land throughout China, the administration of land ownership and land use rights, the land register, land use planning and the protection of land resources, and the conveyance of land use rights in coordination with other relevant departments. MOHURD is responsible for housing, urban-rural planning and the provision of major infrastructure.

In rural areas, the administration at the county level is responsible for overall land use planning within its respective jurisdiction, including issuing “land contract certificates” to farmers and rectifying the conversion of farmland to non-agricultural uses. It is only at the county level and above that can approve the conversion, with the approval level required increasing progressively depending on the area of land being considered for conversion.

Control of development planning by the national government is based on the 2008 《中華人民共和國城鄉規劃法》. This Law aims at enhancing the urban-rural planning management, coordinating the spatial environment, improving the living environment and facilitating sustainable development of the urban-rural economy and society.

The Law establishes the specifications for the development & implementation of urban-rural plans, including City-township System Plans, City Plans, Township Plans, Rural Township Plans and Village Plans. City Plans and Township Plans are further categorized into Overall Plans and Detailed Plans, in which Detailed Plans are classified into regulated Detailed Plans and corrective Detailed Plans. Local governments at or above the level of municipality are responsible for the development of plans within their regions.

Land use activities within the planning districts must comply with this Law and defined in urban-rural plans. And the planning districts refer to the developed zones of cities, townships and villages as well as areas that the land use must be controlled due to the development needs.

Different urban-rural plans, once approved, are to be “strictly implemented”. Urban-rural development and planning management should strictly follow these plans. The compliance of the urban-rural plans is monitored and checked by the administrative divisions of the Planning Bureaus of county level or above.

For those outside the planning districts (e.g. farmland owned by the farmer association or grassland, ponds), development of these areas is governed by 《中華人民共和國土地管理法》. Through the administration of land ownership and land use rights, environmental and land resources of these areas are to be protected.

To implement the 11th Five Year Plan (2006-2010), the State Council introduced the concept of Functional Zones associated with environmental and natural resource concerns in 2007. The purpose is to ensure that local governments respond to different sets of incentives according to different functional zones (other than the dominant objective of promoting GDP and growth), emphasizing better environmental performance and taking account of environmental carrying capacity. The four categories of Functional Zones are: Optimized Development Zones (which include areas where land development density is already high and environmental resource carrying capacity starts to decline); Key Development Zones (which include areas where resource environmental carrying capacity is relatively strong and the economic and population concentration condition is relatively good); Restricted Development Zones (which include areas where environmental resource carrying capacity is relatively weak and a large-scale, concentrated economic and population condition is not desired); and Prohibited Development Zones (which include legally established nature reserves).

B. Overview of evaluation approach

For urban-rural plans, the statutory establishment process is summarized as follow:

Preparation of plans

Under the MOHURD, the urban-rural planning administration division of State Council is tasked to develop national urban-rural system plans for State Council’s approval. And the Planning Bureaus of different administrative divisions should hire qualified planners to produce different levels of plans.

The plans should aim at providing reasonable spatial arrangement, improving ecological environment, facilitating resources and energy saving and integrated usage, saving farmland and preserving cultural heritage, preventing pollution, satisfy population growth, defense development, fire safety and public safety needs.

For the Overall City Plans and Overall Township Plans, details relating to the land use, infrastructure development, public service facilities, water resources, agricultural land and greening areas, environmental protection, natural environment, heritage preservation and fire prevention must be included in these plans.

The planned project period of the Overall City Plans and Overall Township Plans is normally 20 years.

At local levels, the planning specifications such as infrastructure, land-use, spatial environment, housing, utility supplies and site are to be listed at the Rural Township Plans and Village Plans in more detail.

Public consultation

Before submitting the plans for approval, preparation unit should exhibit the draft plans for public comments. They should also engage experts and the public through hearings, discussion forums and other means.

Approval

With the consolidation of comments into the draft plans, the Planning Bureaus of different administrative divisions will submit the plans to the approval authority (i.e. the administrative division that is one tier up the administration hierarchy). 

Revision in plans

As stated in the 《中華人民共和國城鄉規劃法》, plans should be constantly reviewed and assessed by the relevant preparation unit together with experts. Comments from public should also be consolidated through hearings and other public consultation channels. Feedback from public and the planning assessment report will be submitted to the approval authority for approval.  In general, changes to these plans can only be made with the authorization of the approval authority (i.e. by the administrative division that is one tier up the administration hierarchy) and under the following situation:

· there is change in the urban-rural plans prepared by the upper administration divisions;

· revision of administrative region;

· approval of mega project at that region by State Council;

· revision suggested through the planning assessment; and

· the recognition by the approval authority of a need in changes of the plans.

For the development of Functional Zones, they are prepared through administrative mechanism following these three stages:

Stage 1: Objective analysis of the spatial environment of the whole territory, which includes:

· resources and environmental carrying capacity;

· current development density; and

· development potential.

Stage 2: Identification of the number, location and scope of the main function districts base on the analysis and other parameters such as population, transport, and the property development in spatial environmental change.

Stage 3: Enhancement of the local financial, investment, property, land-use, population management, environmental and effectiveness in policy assessment is to facilitate the development of main function districts.

7.1.2.2 Environmental Evaluation / SEA in Urban Development

A. Regulatory mechanisms

Statutory mechanism

Ministry of Environmental Protection of the People’s Republic of China (MEP) is the major ministry responsible for regulating strategic environmental assessment.

The SEA of China is mainly governed by the Environmental Impact Assessment Law, which was prepared by the Environmental and Resources Protection Committee of the National People’s Congress.  This was adopted on 28th October 2002 and became effective on 1st September 2003. EIA in this Law was defined as the methodology and system of performing analysis, projection and evaluation on potential environmental impacts resulting from implementation of a plan or a construction project, proposing counter measures to prevent or alleviate adverse impacts, and carrying out tracing monitoring. This EIA Law provides for EIAs of long-term (i.e. 5-10 years) strategic plans at national, provincial and sector levels; and short-term (i.e. less than 5 year) project plans at local levels. The 2nd chapter of this EIA Law specifically refers to EIA for Plans.

For development plans, the law requires relevant departments under the State Council, and local governments at or above the level of municipality with districts and relevant departments under them to:

· Organize an EIA and prepare chapters or descriptions of environmental impacts of draft land use plans and construction projects and exploitation plans of regions, river basins and sea areas; and

· Prepare EIAs and submit an Environmental Impact Statement (EIS) for draft sectoral plans concerning: land use; agriculture; livestock breeding; forestry; natural resources; urban construction; industries; energy; transportation; tourism and other specific plans.

Draft land use plans without chapters or descriptions of environmental impacts will not be approved by relevant government authority.

《規劃環境影響評價條例》had been prepared by the MEP in March 2008. As a supplement of the EIA Law, it aims to elaborate the assessment methodology of EIA for plans. The public consultation period of this regulation was completed in end of April 2008, but has not been approved by the State Council upon this research study. 

Administrative mechanism

In addition to the Environmental Impact Assessment Law,《國務院關於編制全國主體功能區規劃的意見》stated that the environmental carrying capacity of spatial areas within the territory should be assessed before categorizing into different Functional Zones. The four Functional Zone categories are defined by their environment performances, development potential and functions.

B. Evaluation methodologies

Statutory mechanism

Under the EIA Law, draft sectoral plans should adopt the following environmental impact assessment process:

· The specifications of the environmental impact assessment for plans as required by the EIA Law are determined by the environmental protection administration division of the State Council and relevant government agencies under the State Council, which subsequently submitted to State Council for approval.

· The proponents must engage a qualified professional for conducting the EIA study, which must be rigorous and undertaken in a realistic and scientific manner.

· The EIS should cover three major areas:

· The analysis, projection and evaluation on potential environmental impact resulting from the implementation of a plan

· Proposal of alternative measures to prevent or mitigate adverse impacts

· Conclusion of the environmental impact assessment

· Proponents must consult with the “interested” public (including government agencies, experts and the public) through expert meetings and public hearings or other means) to solicit comments and suggestions on the draft EIS; and the EIS must provide an account of the participation process and indicate what comments/suggestions have been adopted.

· The EIS should be incorporated into the draft sectoral plans for the submission to the authority responsible for the policies and plans (i.e. local governments at or above the level of municipality) before they are examined and approved.

· The submitted EIS will be examined by a review group selected randomly from a national expert database.

· The approval of the draft sectoral plan will take into account the conclusion of the environmental impact assessment and review group’s comment.

While for those land use plans, construction projects and exploitation plans specified in the EIA Law, environmental impact assessment should be carried out as the following steps:

· During the preparation of plans, an EIA should be organized to include environmental chapters or relevant descriptions of environmental impacts.

· The environmental chapters or descriptions of environmental impacts should cover three major areas:

· The analysis, projection and evaluation on potential environmental impact resulting from the implementation of a plan

· Proposal of alternative measures to prevent or mitigate adverse impacts

· Conclusion of the environmental impact assessment

· The draft plans with environmental chapters are submitted to the approval authority.

Administrative mechanism

Under the《國務院關於編制全國主體功能區規劃的意見》, prior to the categorization of Functional Zones, the resources and environmental carrying capacity of the spatial environment of the whole territory must be objectively assessed through scientific methods. This includes analysis of the natural resources availability, environmental carrying capacity (e.g. water and air), ecological sensitivity of the environment (e.g. weathering, dissertation), ecological importance (e.g. biodiversity) and frequency of natural disasters (e.g. earthquake, climate, and typhoon).

From the lowest to the highest environmental capacity, areas will be categorized from Prohibited Development Zones to Optimized Development Zones respectively.

After the categorization, the development of the Functional Zones must be in compliance with the environmental limitations issued:

1. Optimized Development Zones: Must implement more stringent discharge limits and standards, significantly reduce pollution discharge;

2. Key Development Zones: Maintain current environmental carrying capacity;

3. Restricted Development Zones: Ensure environment protection acts as the first priority of development, and ensure ecological function recovery and ecological conservation;

4. Prohibited Development Zones: Must conserve the environment in compliance with the Regulations.

C. Process Flow Chart

The statutory EIA process flow chart for sectoral plans is presented in Figure 7.1.2.1.

Figure 7.1.2.1.        Process flow chart for EIA for plans

D. Summary Table

Table 7.1.2.1.                Summary Table for Mainland China

Urban Development Policy and Actions
Policy and Actions	第十一個五年規劃, 《國務院關於編制全國主體功能區規劃的意見》
Legislations / Guidance and Relevant Document *	《中華人民共和國城鄉規劃法》, 《城市規劃編制辦法》, 《中華人民共和國土地管理法》, 《中華人民共和國土地管理法實施條例》
Environmental Evaluations / SEA Status in Urban Development Policy and Actions
	Administrative	Statutory
Type of Assessment	Strategic Environmental Assessment	Strategic Environmental Assessment
Requirement Mechanism	Administrative system	Statutory system
Legislations / Guidance and Relevant Document ^*	《國務院關於編制全國主體功能區規劃的意見》, 第十一個五年規劃	《中華人民共和國環境影響評價法》, 《規劃環境影響評價條例（徵求意見稿）》
Applications	Plans and programmes	Plans and programmes

7.1.2.3 Analysis and Conclusion

Urban Planning Policies

The implementation of 《中華人民共和國土地管理法》 has not been effective. In 2007, the Ministry of Land and Resources registered demolition of illegal constructions of more than 6 million square meters, confiscation of illegal construction of more than 2.9 million square meters and penalty of RMB$0.5 billion.

For 《中華人民共和國城鄉規劃法》, it clearly defines the preparation, implementation and amendment of urban development plans. The roles and responsibilities of different administration units involved along the urban-rural planning are clearly elaborated. Public consultation is integrated into the planning process. However, since it is a new legislation that was enacted in January 2008, the full implementation of this Law is still pending. Relevant administration divisions are still learning this Law and trainings on the interpretation of this Law are still continued.

Environmental evaluation / SEA

The integration of environmental concerns into urban development policies is not through market-based mechanisms, but through institution. The EIA Law was enacted in September 2003, which regulates the environmental assessment of both plans and projects. It defined the methodology and system of performing analysis, projection and evaluation on potential environmental impacts resulting from implementation of a plan. However, the analysis methodology was not well defined, only a framework was provided. Also, the specifications of the environmental impact assessment for plans as required by the EIA Law are defined by the environmental protection administration division of the State Council instead of clearly stated in the EIA Law or any guidelines. Together with the loss enforcement of this EIA Law on plans, only 11 administrative regions have been selected to undergo pilot EIAs for plans since mid 2005. The full implementation of the EIA Law on policies and plans is still pending, waiting for the elaboration of assessment methodology through the enactment of《規劃環境影響評價條例》.

Under this legal framework, mandatory public engagement along the EIS preparation process allows the public / affected parties’ concerns to be addressed at early stage. This helps to resolve any potential conflicts and to enhance the efficient implementation of future plans.

7.1.2.4 Project Examples

Example 1	EIA for 11th FYP of Inner Mongolia Autonomous Region
Description of the Study	To promote the establishment of EIAs for plans at different provinces following the EIA Law, Ministry of Environmental Protection of PRC (previously named as State Environmental Protection Administration) in 2005 selected 11 standard administrative regions, iconic industries and important topic plans to develop EIAs as a pilot study. The 11^th Five Year Plan (FYP) of Inner Mongolia Autonomous Region (IMAR) was one of them because of its enriched mineral resources and strategic importance to China.
Process of the Study	In August 2005, Ministry of Environmental Protection of PRC and Inner Mongolia Autonomous Region jointly kick off the EIA for 11^th FYP of IMAR. EIA for 11^th FYP of IMAR analysed the relationship between the environmental carrying capacity of IMAR and the development plan of IMAR (including position, distribution, composition and scale of regional and property development). EIA result drew up 5 major conclusions: · IMAR should strategically develop as “Ecological Zones” · Development from economic and environmental perspectives instead of administrative districts · Better functional arrangement of districts, so as to have proper integration of manufacturing, residential and ecological zones · Change the mode of industry to industries that consume less water. · Limit the scale of industry development with respect to the environmental carrying capacity of IMAR Following the statutory process, the EIA report was submitted to Ministry of Environmental Protection of PRC (i.e. expert group) for approval.
Outcome of the Study	As the 11^th FYP of IMAR was developed in parallel with the EIA, recommendations were addressed in the 11^th FYP. The EIA provides scientific baseline information for the position, distribution, composition and scale of regional and property development of IMAR. An expert group composting of ecological, economical and property experts approved the EIA report for 11^th FYP of Inner Mongolia Autonomous Region in 2006.

Example 2	Strategic Environmental Assessment for Beijing Pinggu
Description of the Study	In compliance with the EIA Law and the public consultation guidelines developed by the Ministry of Environmental Protection, Pinggu of Beijing commissioned Environmental Impact Assessment Centre of Agricultural University of China to conduct a strategic environmental assessment (i.e. EIA for plan) for the new city plan of Pinggu. The Plan is developed in response to the Beijing City Overall Plan (Year 2004-2020). The scope of the EIA covers the planning area of Pinggu administrative region, which is of 1075 square kilometres. Within the administrative region, the new city plan of Pinggu occupies 114 square kilometres.
Process of the Study	The process flow of the Strategic environmental assessment was summarized as follow: The new draft city plan of Pinggu was developed after the completion of Beijing City Overall Plan 2004-2020, which was aimed to lead Pinggu to become a cosmopolitan industrial city, logistic hub and resort area. An environmental impact assessment of the Plan was conducted and completed by 2007 in compliance with the EIA Law. It analysed, projected and evaluated the potential environmental impact resulting from the implementation of the draft Plan. Projected environmental impacts assessment were summarized in five areas: · Limited land supply as a result of the fast industrial and residential growth · Causing air and noise pollution as a result of city and industrial development · Tourism and fish farming may affect the ecological system of Pinggu and reduce the biodiversity. Also, water pollution and waste generation may arise from the increase in visitors. · Shortage of water · Ecological conservation measures can counter some of the adverse environmental impacts resulted from the implementation of the Plan
Outcome of the Study	The EIA result is exhibited on the webpage for public review. Proponent consulted the “interested” public to solicit comments and suggestions on the draft EIS through online questionnaires, emails and meetings. The public consultation process lasts from 15 December 2007 to 31 August 2008.

7.1.2.5 List of References

· 中共中央關於制定十一五規劃的建議(2005), http://gov.people.com.cn/GB/46742/3781970.html

· 《中華人民共和國城鄉規劃法》(2008), http://www.mohurd.gov.cn/zcfg/fl/200710/t20071029_159509.htm

· 《城市規劃編制辦法》(2006), http://www.mohurd.gov.cn/zcfg/jsbgz/200611/t20061101_159085.htm

· 《中華人民共和國土地管理法實施條例》(1999), http://www.mlr.gov.cn/zwgk/flfg/tdglflfg/200406/t20040625_369.htm

· 《中華人民共和國土地管理法》(1999), http://www.mlr.gov.cn/zwgk/flfg/gtzybl/200506/t20050607_68184.htm

· 《國務院關於編制全國主體功能區規劃的意見》 (2007), http://www.mohurd.gov.cn/zcfg/gwywj/200708/t20070801_155516.htm

· 《中華人民共和國環境影響評價法》 (2002), http://zfs.mep.gov.cn/fl/200210/t20021028_84000.htm

· OECD Environmental Performance Review of China 2007, http://www.efchina.org/csepupfiles/report/200812095029729.8523773582758.pdf/Environmental%20Performance%20Review%20-%20China%2007-23-07.pdf

· 《規劃環境影響評價條例（徵求意見稿）》(2008),  http://www.mep.gov.cn/law/fg/gwyw/200803/t20080328_119745.htm

· 《編制環境影響報告書的規劃的具體範圍(試行)》和《編制環境影響篇章或說明的規劃的具體範圍(試行) 》,  http://www.gzepb.gov.cn/hjgl/jsxm/xgyq/200611/t20061109_44148.htm

· 國家土地總督察公告（第1號）(2008), http://www.mlr.gov.cn/zwgk/tjxx/200805/t20080509_102644.htm

· 環保總局：中國首個省級行政區戰略環評通過評審(2006), http://www.gov.cn/gzdt/2006-06/14/content_310183.htm

· 平谷區區域戰略環境影響評價簡介(2007), http://qyzl.bjpg.gov.cn/jj.jsp

7.1.3 Japan

7.1.3.1 Urban Development Policies and Actions

Japanese planning system is a complex set of ingredients covering legal and legislative controls, plan-making, land use planning, zoning, control over population density etc. Planning in Japan is carried out at three levels - national, regional and local.

A. Regulatory mechanisms

National Development Plans

The Comprehensive National Development Plan 1998 is based on the Comprehensive National Land Development Act of 1950 and is determined by the Prime Minister of the country, in consultation with concerned ministers. It covers economic strategies, nationwide transport network planning and the metropolitan cities’ development strategies.

Regional Planning

Japan is broadly divided into eight regions and administratively with 47 prefectures. Each prefecture is overseen by an elected governor, legislature and administrative bureaucracy. 

According to City Planning Act, city planning in Japan stipulates the basic provisions for the planned development of urban areas by local city government. They include:

· the types and standards of city planning;

· planning procedure;

· planning control; and

· urban development projects.

The City Planning Act of 1968 (2002 amended) forms the basis for city planning in Japan. The main features of this Act include:

· Effective land-use control - Areas within a city were designated as 'urbanization promotion areas' and 'urbanization control areas' depending on the degree of urbanization.

· Functional city planning areas - With rapid economic development, improved motor ways and other factors, 'functional city planning areas' were designated integrating multiple municipalities into single planning units. This formed a common basis within which a prefectural governor makes plans involving more than one municipality.

· Delegation of power to local governments - Power to implement city planning was initially vested with the Minister of Construction (under the 1919 Act). This was delegated to the Prefectural Governors under the 1968 Act. City plans involving more than one municipality are made by the Governor, while other plans are made by the municipalities.

The regulation of land development in general is ensured through various acts, including Nature Conservation Act, Agricultural Land Act, Forest Act etc. Within urban areas, there are primarily two types of regulations - a development permission system which regulates the location and form of development, and the building confirmation system which regulates the use and structural safety of building.

Details of regulations and planning practices are specified in separate legislations. For instance, the Building Standard Act regulates building activities in accordance with the zoning plan, and the Land Consolidation Act provides legal procedures for land consolidation projects on sites specified in the authorized city plans.

B. Overview of evaluation approach

An original draft city plan is prepared by the Local Planning Council and explained to the public. The Draft Plan is then opened for public opinions and concerned municipalities. This results in a Proposed City Plan. A public notice is issued, and submission of written opinions is invited from the public for two weeks. The Local Planning Council is constituted for the implementation. Approval from the Minister of Construction is sought in coordination with the concerned Ministries. The Final City Plan is then implemented.

City plans are decided principally by local authorities of cities, towns and villages, and by the Prefecture Governor for plans that require integrated planning on prefectural basis. Exception is cases which stretch over more than two prefectures, where city plans are to be decided by the Minister of Construction. Local Planning Councils are established in prefectures, cities towns or villages for this purpose.

A complex process of authorization has been put in place for city planning. Prefectural governments are normally the bodies which approve City Planning, while small-scale projects are approved by municipalities. As City Planning approval regulations involve restrictions on the rights of private property, various democratic procedures are provided such as holding of public hearings, public review of plans, holding of City Planning Councils etc.

A public hearing is held to reflect the thoughts of the residents in the affected area before public plans are prepared by the government authorities. Public hearings are held when restrictions on rights are significant, such as alterations of the Urban Promotion Area and review of arterial roads etc. The government authorities disclose the contents of the city plans to the public for more than two weeks, and requests opinions from the public. The plans are further consulted with the City Planning Councils of the prefectural government, a committee totally independent of the agency administrating the city plan.

7.1.3.2 Environmental Evaluation / SEA in Urban Development

A. Regulatory mechanisms

Statutory mechanism

In Japan, no formal provision has been made for a national system of SEA of policies, plans or programmes.

The Environmental Impact Assessment Law stipulates the mandatory implementation of environmental impact assessment for large-scale projects that may have a marked impact on the environment. This covers projects for constructing roads, dams, railways, airports, power stations, and landfills and land reclamation, and area development projects including land readjustment. The Law has been in full effect since June 1999. The Environmental Impact Assessment is focused on planning level.

The Basic Environment Law is the tool for governing the basic environmental policies as well as programmes.

Article 19 of the Basic Environment Law stipulates:

“The State shall consider environmental conservation when formulating and implementing policies which are deemed to influence the environment.”

The direction to include environmental consideration for government policies and public work plans is clearly stated in the Basic Environment Law Article 19 of the Basic Environment Law stipulates that environmental consideration must be included during the formulation and implementation of government policies that are expected to cause environmental impact. Concerning SEA, there is currently no national SEA system and national SEA legislation in Japan. On the other hand, there is mandatory EIA for certain port and harbour plans according to the national EIA system established plans in year 1972 and legislated in 1993, but in full effect in June 1999. Such EIAs on plans can actually be regarded as SEAs by definition.

While there is no formal provision for a national system of SEA, the concept of SEA for policies, plans and programmes is taking into consideration by national and local governments.

In Japan, SEA is done through EIA for port and harbour plans or at local level. SEA is implemented mainly by administrative process at a local government level, where each government have their own local ordinances. As the national SEA system has not been developed, no unified SEA procedure has therefore been established.

The Basic Environmental Law addressed SEA and considered the establishment of rules for SEA. It provided mandates to:

· Carry out a review of the content and methods for including environmental considerations into decision-making on policies, plans and programmes.

· Evaluate the effectiveness and practicability of such measures by reviewing cases and formulating guidelines based on the review.

· Consider the framework for including environmental consideration in decision-making on policies, plans and programmes, if necessary.

Administrative mechanism

Several local governments such as Tokyo metropolitan government and Saitama Prefecture and Ministry of Land, Infrastructure and Transport have already introduced the idea of SEA into their environmental related plans and programmes.

The Ministry of Environment issued preliminary guideline on SEA in the formulation of municipal waste management plans in 2003. The Ministry of Land, infrastructure and Transport also introduce guidelines for promoting public involvement in road, airport and harbour planning and for taking into consideration alternatives in an early stage of the planning process.

Local governments are taking leading role in SEA applications in Japan, with totally 47 prefectures and 12 big cities having applied SEA under their jurisdictions mainly in the areas of regional, land use and development planning.

The Ministry of Environment established the "Panel for Comprehensive Research on Strategic Environmental Assessment" in 1998, and has been carrying out comprehensive investigation and research on the implementation status of related systems to systemize environmental assessment.

“Draft Guidelines for the Introduction of Strategic Environmental Assessment” was published in 2007 by the Ministry of Environment of Japan. SEA is still on the initial stage.

B. Evaluation methodologies

Statutory mechanism

The Environmental Impact Assessment Law states that through the preparation of the plan, a project proponent selects the categories and methods for environmental impact assessment that are most appropriate to the characteristics of the locality and the type of project, taking into consideration the opinions of citizens and local governments. If the documents required by this legislation had been created in accordance with the ordinances or administrative guidance before the legislation was enforced, the required document shall be deemed complete, allowing legal procedures to begin from mid-process.

Environmental Impact Assessment Law is adopted to evaluate the environmental aspects of proposals in Japan.

Step 1: Screening and scoping

Screening is required for class-2 projects (refers to the Environmental Impact Assessment Law chapter 2, scetion1) with significant environmental impact while it is always required to undertake environmental assessment for class-1 projects in the Environmental Impact Assessment Law. The judgment is made by the authorizing agencies in accordance with the judgment criteria made by the relevant industry Ministry.

Scoping

Scoping is required under the Environmental Impact Assessment Law. The “scoping document” is prepared by the project proponent that describes the assessment method to the prefectural governor and the municipal mayors and also makes it public available. The project proponent sends the summary of the public comments on the scoping document to the municipal mayors and the prefectural governor. Upon the opinions of the municipal mayors and the public opinions, the prefectural governor shall express his/her opinions to the project proponent. The project proponent then decides the assessment method by considering these opinions.

Also, the assessment method would be determined during the scoping process.

Step 2: Implementation of survey, forecast and evaluation

After the screening and scoping of the environmental impact assessment, the project proponent should carry out survey, forecast and evaluation of the environmental impacts in accordance with the method decided through the scoping procedure, and take into account measures necessary for protecting the environment.

Step 3: Environmental reporting

Draft environmental report describing the assessment results and the approach to addressing environmental assessment shall be submitted to the prefectural governor and the municipal mayors. Upon the completion of the evaluation of the plans and programmes, the draft environmental Impact assessment report should be publicly available.

Upon the opinions and within 120 days, the project proponent shall send the finalized environmental report to the authorizing agency and the Minister of the Environment for opinions. Taking into account the opinions, the project proponent shall finalise the environmental report and send to the prefectural governor, the municipal mayors and the authorizing agency, and makes it available for public review.

Step 4: Consultation

With authorities

The prefectural governors and the municipal governors will be consulted in the process of scoping and the assessment of the environmental report and the Minister of the Environment will be consulted for the environmental report if applicable.

With public

Public consultation is undertaken in the scoping and assessment of environmental report. Specific to the local governments, public hearing will be held to solicit citizens’ comments and they have adopted the practice of consulting a third party when prefectural governors give their opinions and when project proponents to conduct follow-ups.

Monitoring and enforcement

Follow up monitoring is required and the results of the follow up survey shall be made available publicly. 

Administrative mechanism

There is no explicit implementation on SEA in Japan. The Basic Environment Law is the tool for governing the basic environmental policies as well as programmes.

The Basic Environmental Plan addressed SEA and considered the establishment of rules for SEA. The procedures for evaluation are still under progress. Several local governments such as Tokyo metropolitan government and Saitama Prefecture and Ministry of Land, Infrastructure and Transport have already introduced the idea of SEA into their environmental related plans and programmes. The general procedures vary as different local governments have their own drafting stage SEA.

C.  Process Flow Chart

Figure 7.1.3.1.        Outline of procedures for the Environmental Impact Assessment Law

Source: Ministry of the Environment, http://www.env.go.jp/policy/hakusyo_e/hakusyo.php3?kid=221

Figure 7.1.3.2.        Approaches to Environmental Consideration at Each Stage of Establishing the Master Plans and Other Plans

Figure 7.1.3.3.        Process flow chart for EIA for plans

D. Summary Table

Table 7.1.3.1.                Summary Table for Japan

Urban Development Policy and Actions
Policy and Actions	Comprehensive National Development Plan 1998
Legislations / Guidance and Relevant Document *	City Planning Act 1968 (2002 amended), Building Standard Act, Land Consolidation Act
Environmental Evaluations / SEA Status in Urban Development Policy and Actions
	Administrative	Statutory
Type of Assessment	Strategic Environmental Assessment	Environmental Impact Assessment
Requirement Mechanism	Administrative	Statutory
Legislations / Guidance and Relevant Document ^*	Basic Environment Law, Draft Guidelines for the Introduction of Strategic Environmental Assessment	Environmental Impact Assessment Law
Applications	Policies and Programmes	Plan

7.1.3.3 Analysis and Conclusion

Urban Planning Policies

The Administration opens the contents of the city plans to the public for more than two weeks, and requests opinions from the public. The plans are further consulted with the City Planning Councils of the prefectural government, a committee totally independent of the agency administrating the city plan. The public opinions can be collected effectively and genuine consultation exists in Japan.

Environmental evaluation / SEA

In Japan, there is no formal provision national system of SEA of policies, plans or programmes while the concept of SEA for policies, plans and programmes have taken into account for national and local governments. SEA is generally adopted by local government. That is, the local government has greater power to implement the SEA.

The concept of SEA for policies, plans and programmes in Japan is provided under the Basic Environmental Plan, which administratively describes the need to consider the content and methods of consideration of environmental matters in plans and policies.

7.1.3.4 Project Examples

There is not enough information on the example of SEA in Japan. Only one example can be found.

Example 1	The "New Mutsu-Ogawara Development Basic Plan"  on March 30, 2005
Description of the Study	The New Mutsu-Ogawara Development Basic Plan is a regional development plan in which details of individual projects comprised in the plan are not confirmed. New guidelines applying to this plan were necessary since this type of plan is subject to neither the Environmental Impact Assessment Law nor the Aomori Prefectural Ordinance for Environmental Impact Assessment.
Process of the Study	As request by the Aomori Prefecture, the Ministry of the Environment set guidelines for environmental assessment to be conducted for formulating the "New Mutsu-Ogawara Development Basic Plan” on March 30, 2005. Main points of the Guidelines 1. Based on the procedures of environmental assessment conducted at the implementing stage of a project as it is, environmental assessment for the New Mutsu-Ogawara Development Basic Plan should be implemented in considering that it is carried out at the planning stage when details of individual projects comprised in the New Mutsu-Ogawara Development Basic Plan are not confirmed yet. Environmental impacts by the New Mutsu-Ogawara Development Basic Plan to the whole region, rather than the detailed environmental impacts of each projects, should be studied. Measures for environmental conservation should be placed in the New Mutsu-Ogawara Development Basic Plan based on the result of the environmental assessment. Each project to be implemented should be compiled in advance as stipulated in the "Guidelines for Environmental Considerations". 2. The information about environmental load by existing facilities built under the second Mutsu-Ogawara Development Plan should be collected and utilized. Any detailed environmental assessments which are already conducted at implementing stage of the projects, the results of these environmental assessments should be considered. Environmental load caused by any projects under operation such as Mustu-Ogawara National Oil Storage Base and environment changes by these projects should be apprehended as current environment of the region. 3. Considering the long-term implementation period of the New Mutsu-Ogawara Development Basic Plan, forecasts of environmental impact should be targeted at two different stages. Based on the progress of the New Mutsu-Ogawara Development Basic Plan, forecast and other survey should be conducted again at the mid-term of the implementation period. Since the New Mutsu-Ogawara Development Basic Plan is a long-term plan, forecasts should be targeted at two different stages. One is 2020's - the target year of the New Mutsu-Ogawara Development Basic Plan and the other is an intermediate stage of implementation. When the New Mutsu-Ogawara Development Basic Plan reached at "an appropriate intermediate stage", forecasts should be conducted again based on the information available at that stage, such as shaping up of individual projects. Based on these forecasts, environmental conservation measures should be revised, if necessary.
Outcome of the Study	The New Mutsu-Ogawara Development Basic Plan is a succeeding plan of the first Mutsu-Ogawara Development Plan developed in 1972 and the second Mutsu-Ogawara Development Plan developed in 1975 and revised in 1985 which were formulated to promote development of a large scale industrial park in Mutsu-Ogawara region. Considering enormous changes in socio-economic situation after the revision of the second plan, the Aomori Prefecture, in cooperation with the central government, has been making an effort to formulate it.

7.1.3.5 List of References

· Ministry of the Environment, Japan, Environmental Impact Assessment Law, 1997, http://www.env.go.jp/en/laws/policy/assess/index.html

· The Basic Environment Law, http://www.erc.pref.fukui.jp/info/Eho.html

· Ministry of the Environment, Quality of the Environment in Japan 2003, http://www.env.go.jp/policy/hakusyo_e/hakusyo.php3?kid=221

· The Japan Urban Observatory , Japan: Overview of Planning, http://www.gdrc.org/uem/observatory/jp-overview.html

· Ministry of the Environment, 2005, Framing of the Guidelines for Environmental Impact Assessment for "New Mutsu-Ogawara Development Basic Plan", http://www.env.go.jp/en/press/2005/0330c.html

· Ministry of the Environment, Environmental Impact Assessment in Japan, http://www.env.go.jp/en/policy/assess/pamph.pdf

· The Role of Development Planning in Japan, National Institute for Research Advancement, 2004, The International Conference on China’s Planning System Reform, http://www.adb.org/Documents/Events/2004/PRC_Planning_System_Reform/takafusa7.pdf

· 5^th Comprehensive National Development Plan, http://www.mlit.go.jp/kokudokeikaku/zs5-e/index.html

7.1.4 Korea

7.1.4.1 Urban Development Policies and Actions

A. Regulatory mechanisms

Korea has a multi-tiered structure of national, regional and local plans. The City Planning Laws 1962 govern the development and land-use change in the urban area of South Korea. The Korean placed great emphasis on broader land-use zoning concerns, and little emphasis on the tools and procedures for regulating new development. The Korean framework concerned with broad visions rather than detail. The details of development were to be regulated through a new “building code” in 1962. This system of broad zoning and subsequent technical control administered at the city government level has remained largely unchanged during the last 40 years.

There were numerous types of development zones being introduced since 1962. At the city government level, these include “residential”, “commercial”, “industrial” and “green land” zones. At the regional level, like the Capital Region around Seoul, the zoning includes “over-concentration restriction”, “growth management” and “preservation”. One important zone is the restricted development zone which surrounds different large cities, overlying the outer edge of the over-concentration restriction zone.

During the last 20 years, the national government has enacted a number of laws and programmes designed to foster regeneration and improvement within the major cities, including an “Urban Renewal Law”, a “Residential site Development Promotion Law” and a “Housing Construction Promotion Law”. The national government has also implemented a programme of public housing provision and introduced a statutory requirement for public participation in the planning process in 1980.

Land-use plans concerning nature protection vary greatly among municipalities. There is no standard and unitary land-use plan over the country. 

B. Overview of evaluation approach

Planning in Korea is largely carried out by the city government. Under the City Planning Laws, urban development control is largely carried out by the zoning system. Each area is categorized as different zone like commercial zone, residential zone and institutional zone. The existing SEA-like system Prior Environmental Review System is another mechanism in controlling plans and programmes in affecting the environment.

According to Article 21 of the City Planning Laws of Korea, the Minister of Construction and Transportation may designate a development restricted zone, when deemed necessary to restrict urban development, in order to prevent disorderly urban expansion and preserve the environment, or upon request from the Minister of Defense for national security purposes. Within the development restricted zone, any construction or change in the form and nature of land is prohibited. The Constitutional Court ruled that "this regulation is one which the legislature has confirmed the rights and obligations relating to property rights over land in a general and abstract manner. It defines the content and limits of property rights as protected within the legal order, and at the same time specifies social limitations as required by public necessity."  This is one of the development control used by the government to limit the expansion of urban land use into some specific area.

7.1.4.2 Environmental Evaluation / SEA in Urban Development

A. Regulatory mechanisms

Statutory mechanism

There are statutory requirements on the environmental evaluation of plans and programmes while there is no statutory or administrative requirement on the environmental evaluation of policies.

An SEA-like system, Preliminary Environmental Review System, is adopted in 1994 under the directive of the Prime Minister, to assess environmental impact at the planning stage of various administrative plans and development plans which affect development projects.

The Preliminary Environmental Review System is enforced under the Framework Act on Environment Policy 1999 (amended in 2003) and has been applied to some of the major administrative plans and programmes ever since.  In 2004, the Framework Act on Environment Policy was amended by:

· Extending the list of plans and programmes subject to Preliminary Environmental Review System;

· Stipulation of implementation of Preliminary Environmental Review System at an early stage to enhance its effects in decision making; and

· Enhancement of public participation and disclosure.

The Preliminary Environmental Review System aims to balance development and conservation by identifying possible environmental impacts of development plans or projects in the early stages of planning. It includes considering ways to carry out development plans while harmonizing the built and natural environments in an aesthetically pleasing manner.

The Preliminary Environmental Review System is applied to:

· 39 administrative plans specified under the Basic Environmental Policy Act and other individual laws;

· Any development activities conducted in 20 specified types of conservation and protection areas

By the latest amendment on the Framework Act on Environment Policy (Article 25 and Article 26, etc.), Preliminary Environmental Review System has been improved and made it towards SEA system by:

· extending the list of plans and programmes subject to Preliminary Environmental Review System

· stipulation of implementation of Preliminary Environmental Review System at an early stage to enhance its effects in decision making

· enhancement of public participation and disclosure

Administrative mechanism

There is no administrative mechanism of SEA in the urban development of South Korea.

B. Evaluation methodologies

Statutory mechanism

· Screening and scoping are not required.

· Only includes plans and programmes of small size development projects.

· For the assessment method, it is not specified in the legislation

· For environmental reporting, assessment results is required to be reported and preliminary review reporting is not required.

· Public consultation is not required. Participation of general public, stakeholders are restricted while participation of relating agencies, Preliminary Environmental Review System committee are guaranteed.

· Monitoring is required.

· SEA approach is not adopted.

General Workflow of Preliminary Environmental Review System

· The heads of  administrative agencies that establish, permit, or approve administrative plans are to consult with the Minister of Environment or the head of the local environmental agency on the matter of environmental validity review

· The heads of governmental bodies that establishes or approves administrative plans must fill in the basic forms/ individual forms, and submit to the Minister of Environment or the head of the regional environmental office. Basic forms must be submitted for all administrative development plans due for environmental validity previews and must include items such as project purpose, current land usage, and present distribution of preservation areas. Individual forms cover specific ecological characteristics, the current level and types of pollutants, and environmental impact projection and reduction plans.

The Preliminary Environmental Review System can cancel or downsize plans when the environmental impact is deemed serious in terms of quality and quantity. It can also force the project operator to preset countermeasures to minimise environmental impacts.

· The heads of administrative agencies that establish, permit, or approve administrative plans or development projects are to consult with the Minister of Environment or the head of the local environmental agency on the matter of environmental validity review.

· Forms required for the preview are specified and the submission of documents is now mandatory. The heads of governmental bodies that establish or approve administrative plans or that permit, approve, and authorize development projects must either fill out the forms themselves or receive them from project operators, and then submit the forms to the Minister of Environment or the head of the regional environmental office.

Figure 7.1.4.1.        Regulatory basis of Preliminary Environmental Review System

Source: Korea Environment Insitute,2004, http://info.worldbank.org/etools/docs/library/135715/SEA_Song_Beijing_June_04_EN.pdf

Administrative mechanism

There is no administrative mechanism of SEA in Korea.

C. Process Flow Chart

Figure 7.1.4.2. shows that apart from the environmental reporting of assessment results and monitoring are required, the other procedures such as screening, scoping, reporting of preliminary review and consultation are absent.

Figure 7.1.4.2.        Process flow chart for Preliminary Environmental Review System for plans and programmes

D. Summary Table

Table 7.1.4.1.                Summary Table for Korea

Urban Development Policy and Actions
Policy and Actions	Zoning is carried out at city level
Legislations / Guidance and Relevant Document *	City Planning Laws 1962
Environmental Evaluations / SEA Status in Urban Development Policy and Actions
	Administrative	Statutory
Type of Assessment	N/A	Preliminary Environmental Review System
Requirement Mechanism	N/A	Statutory
Legislations / Guidance and Relevant Document *	N/A	Framework Act on Environmental Policy (FAEP)
Applications	N/A	Plan and programme

7.1.4.3 Analysis and Conclusion

Urban Planning Policies

The national government has implemented a programme of public housing provision and introduced a statutory requirement for public participation in the planning process in 1980. The City Planning Laws governs the land-use in the urban area of South Korea.

The decentralization trend over the whole country in recent years led to a more efficient governance. The local councils can exercise their power more effectively and help urban planning policies formulate and exercise suitable to the local context.

Environmental evaluation / SEA

At policy level, ministerial consultation is required for the Comprehensive National Territorial Plan according to Article 9 of the Framework Act on the Discussion National Territory. The Preliminary Environmental Review System can be recognized as the statutory SEA system in Korea.

Regarding SEA requirements in Korea, it is a statutory requirement in Korea under the Framework Act on Environmental Policy that an SEA-like system called Preliminary Environmental Review System should be conducted at the planning stage for various development plans and programmes.

In the meantime, in Korea, a SEA-like system called Preliminary Environmental Review System is used to monitor the environmental concerns for parties in the early stages of planning.

Meanwhile, the Preliminary Environmental Review System had some limitations. The system was confined to public projects; private development projects were not covered. The system was also limited as a preventive measure since those projects targeted for the Environmental Impact Assessment System were excluded from the Preliminary Environmental Review System. Additionally, as mandated by provisions in other laws, like the “Urban Renewal Law”, a “Residential site Development Promotion Law” and a “Housing Construction Promotion Law”, the system also excluded administrative plans and development projects that were already under Ministry of Environment review. Thus, even though administrative plans such as national territory usage plans were referred to the Ministry of Environment for review or comment, they were not required to undergo the Preliminary Environmental Review System.

The earlier Preliminary Environmental Review System and the Environmental Impact Assessment System, the Basic Act on Environmental Policy was amended, and as a result the Preliminary Environmental Review System was adopted as law. Also, the enforcement ordinance was amended to largely expand the scope of administrative plans and development plans that fall under the system. The strengthened Preliminary Environmental Review System also now specifies the documents required for preview, and sets the timeframe and procedures for reaching agreement, so that the Preliminary Environmental Review System can fully function as a preventive decision-making mechanism.

7.1.4.4 Project Examples

There is not enough information on the example of SEA in South Korea. Only one example can be found.

Example 1	Spatial development for a city in Kwangju, South Korea
Description of the Study	Spatial development for a city in South Korea with a population of 1.5 million, Kwangju. The central area of Kwangju contains the most important urban and regional functions. There are many residences in the central city while recently many residents have moved to outer suburbs because of high land prices and the scarcity of land in this area. The expansion of built-up areas and the growth in mobility reinforce each other and aggravate the environmental problems. It can be expected that the environmental problems of Kwangju may become worse in the near future. The environmental problems in Kwangju, therefore, should be considered in a comprehensive way with respect to spatial urban development resulting from the relationship of land-use and transport.
Process of the Study	In the study different combinations of land-use and transport policies to reduce environmental problems of Kwangju are investigated. This task a transport simulation model is combined with an environmental assessment model. The model is used primarily to analyse the prevailing environmental problems of Kwangju resulting from its present spatial urban structure. It is used further to construct three scenarios with different combinations of land-use and transport policies in order to identify a sustainable spatial development for Kwangju: a trend scenario (toward further decentralisation) and two alternative scenarios (toward a more compact city and toward decentralised concentration). The development plan was also investigated by the environmental assessment model with respect to its environmental impacts on residents and local resources. The environmental problems of Kwangju in the future will be severely aggravated by the enormous expansion of built-up areas and the corresponding explosive growth in mobility.
Outcome of the Study	The transport simulation model is applied to examine all the traffic problems generated by the present urban spatial form and traffic network of Kwangju. According to the simulation results the main roads which connect the city centre of Kwangju with the centres of suburbs are heavily loaded. The environmental assessment model calculates the present environmental problems of Kwangju resulting from the spatial distribution and intensity of land uses and link loads.

7.1.4.5 List of References

· Framework Act on Environment Policy, 2002, http://siteresources.worldbank.org/INTEAPREGTOPENVIRONMENT/Resources/Korea_Act_on_PERS_2002.doc

· Strategic Environmental Assessment in Korea, Korea Environment Institute, http://info.worldbank.org/etools/docs/library/135715/SEA_Song_Beijing_June_04_EN.pdf

· Environmental Impact Assessment Regulations and Strategic Environmental Assessment Requirements –Practices and Lessons Learned in East and Southeast Asia, by the Environmental and Social Development Unit (EASES), 2006, http://siteresources.worldbank.org/INTEAPREGTOPENVIRONMENT/Resources/EIA&SEA-regional-review.pdf

· Korea Environment Institute, 2004, http://www.nrcs.re.kr/english/03institutes/sub01_4.php

· Seungil Lee, 1998, Sustainable Spatial Development for Kwangju, South Korea, http://www.raumplanung.uni-dortmund.de/irpud/pro/lee/lee_e.htm#top

· National Territory & Land Use, National Comprehensive Territorial Plan, http://www.moct.go.kr/EngHome/DataCenter/Statistic/list3.html

7.1.5 Macau SAR

7.1.5.1 Urban Development Policies and Actions

A. Regulatory mechanisms

There is no plan or strategy for urban development in Macau. Currently, the Macau Concept Plan work group is working on the first urban development plan for Macau. In November 2007, the Research Centre for Sustainable Development Strategies presented a report on Macau's urban development plan, in which it concluded that Macau’s urban development lacks a plan and strategies. The report also points out that the lack of land is Macau’s biggest problem in the face of population growth and rapid economic development. The actual Concept Plan will be presented in July 2008 for public consultation.

At present, the Land, Public Works and Transport Bureau researches policy for land utilization and assists in policy making for land and social installation management.

B. Overview of evaluation approach

No evaluation approach has been formulated in Macau.

7.1.5.2 Environmental Evaluation / SEA in Urban Development

A. Regulatory mechanisms

Statutory mechanism

 There is no statutory mechanism for environmental evaluation / SEA in Urban Development in Macau.

Administrative / Non-statutory mechanism

In Macau, no formal SEA system has been implemented even though the government has mentioned the concepts of SEA. The concepts of environmental assessment were formally mentioned only in Article 27 & 28 of the Decree Law No.2/91/M.

The Environment Council of Macao Special Administrative Region (REAM) (restructured in 1998 in accordance with Law No. 2/98/M) proposes, implements and gives advice on strategies or policies on environment protection, nature and ecological balance. It also enhances scientific research in protection of the environment, nature and ecological balance.

Every year, the REAM prepares a Report on the State of the Environment in Macau. In the report, the REAM adopts the "Driving forces – Pressures – State – Impacts – Responses" framework developed by the European Environment Agency (EEA) to analyse and assess Macau's environment and investigates the inter-relationship between the various environmental factors. Environmental management is a collective term used by the REAM to describe all the efforts for the conservation of the environment and natural resources and reduction in pollution. It is defined in the report as a means to promote the harmonious coexistence between human beings and nature, encompassing administration, legislation, economics, education and technology.

Macau is undergoing rapid economic development that causes increasing pressure on the environment. In order to become a sustainable city, the government recognizes the need to timely balance the development of its population, economy and society, the use of resources, transport, energy and planning. On 1 March, 2005, the Centre for the Studies of Quality of Life, later renamed as Research Centre for Sustainable Development Strategies, was established to study in detail the aspects concerning the improvement of the quality of life of the population and devise strategies for Macau.

B. Evaluation methodologies

Statutory mechanism

There is no statutory mechanism for environmental evaluation/ SEA in Urban Development in Macau.

Administrative / Non-statutory mechanism

No evidence on evaluation methodology is found for Macau’s environmental management.

C.  Process Flow Chart

N/A

D. Summary Table

Table 7.1.5.1.                Summary Table for Macau

Urban Development Policy and Actions
Policy and Actions	N/A (Macau is currently drafting the first urban development plan)
Legislations / Guidance and Relevant Document  *
Environmental Evaluations / SEA Status in Urban Development Policy and Actions
	Administrative / non-statutory	Statutory
Type of Assessment	N/A (no formal SEA system for policies, plans or programmes in Macau)
Requirement Mechanism
Legislations / Guidance and Relevant Document*
Applications

7.1.5.3 Analysis and Conclusion

Urban Planning Policies

Urban Planning is at a premature stage in Macau. The Macau Concept Plan work group is currently formulating the region’s first urban development plan.

Environmental evaluation / SEA

No formal environmental evaluation/ SEA system has been established in Macau. The government recognizes the imperative and significance of environmental management. Every year, the Environment Council prepares a Report on the State of the Environment in Macau to reveal environmental problem in Macau and recommends appropriate strategy.

7.1.5.4 Project Examples

There is not enough information on the example of SEA in Macau. No  example can be found.

7.1.5.5 List of References

· Report on the State of the Environment of Macau 2006, the Environment Council, http://www.dspa.gov.mo/tc/05/2006/en/index.html

· Research Centre for Sustainable Management Strategies, http://www.ceeds.gov.mo/en/index.html

· Hengqin Island possible solution for Macau's lack of land problems, Macau Daily, http://www.macaudailytimesnews.com/index.php?option=com_content&task=view&id=11850&Itemid=28

· The Land, Public Works and Transport Bureau, http://www.dssopt.gov.mo/en/index.php

7.1.6 Singapore

7.1.6.1 Urban Development Policies and Actions

A. Regulatory mechanisms

The Urban Redevelopment Authority is Singapore's national land use planning authority. The Authority prepares long term strategic plans, as well as detailed local area plans, for physical development, and then co-ordinates and guides efforts to bring these plans to reality.

The Concept Plan, introduced in 1971 and last revised in 2001 by the Urban Redevelopment Authority, broadly outlines land use policy and maps out Singapore's physical development into the year 2000 and beyond. It is Singapore’s strategic land use and transportation plan for the coming 40-50 years and is reviewed every 10 years. It aims to ensure future economic growth balances with environmental stewardship and social progress. The Concept Plan is translated into 55 detailed proposals for local areas called “Development Guide Plans” (DGPs) for gazetting a master plan.

The mid-term review of the concept plan in 2006 concluded that there is sufficient land to cater to a higher population, support economic growth, while maintaining a good quality of life. There are four broad strategies suggested to meet the future challenges. They include:

· Make better and more creative use of land, such as using underground spaces and co-location of compatible uses

· Decentralization through new growth centres which are proposed at Jurong and Paya Lebar

· Priority on public transport system, the new rail lines in particular, to meet the rising transportation needs

· Enhance quality of life through broadening leisure options, and at the same time, retain Singapore’s built and natural heritage to foster a sense of beloning

In December 1998, all the 55 DGPs were completed by Urban Redevelopment Authority. The implementation of DGPs is coordinated by the Master Plan Committee, which is a collaborative effort by all the public authorities in Singapore. The Master Plan Committee consists of representatives from the Urban Redevelopment Authority, the MOEWR, the Housing and Development Board, the Public Works Department, The Jurong Town Cooperation, the National Parks Board, the Parks and Recreation Department, the Ministry of Defense, the Ministry of Trade and Industry, and the Economic Development Board.

The completed DGPs were gazetted as the new statutory Master Plan, known as Master Plan 1998. The Master Plan is the statutory land use plan, which guides Singapore’s development in the medium term over the next 10 to 15 years. It is reviewed every 5 years and translates the broad long-term strategies of the Concept Plan into detailed plans to guide development. The Planning Act (last revised in 2003), an act for the planning and improvement of Singapore and for the imposition of development charges on the development of land and for purposes connected therewith, provides the legal foundation for the review process of the Master Plan.

The draft Master Plan 2008 is currently receiving public opinion and will be gazetted after incorporating public feedback by the end of 2008.

B. Overview of evaluation approach

No evidence of a comprehensive evaluation approach of Singapore’s urban planning has been found. However, it is evident that public consultation is conducted during the review of the Concept Plan and the Master Plan.

For the making of the Concept Plan 2001, the Minister of National Development launched the public consultation phase of the Concept Plan in August 2000 with the formation of two focus groups to study land use dilemmas. In order to reach out to a wide spectrum of Singaporeans, the two focus groups comprised professionals, interest groups, industrialists, businessmen, academics, grassroots and students. The job of the focus groups is to produce an interim proposal of the Concept Plan and consult members of the public through public forums, internet and other feedback channels. A public dialogue to discuss views on the Draft Concept Plan was held. The Final Plan was adopted after taking into account the extensive public feedback.

 Figure 7.1.6.1              Planning Process

Sources: Master Plan 2008 Fact Sheet, http://www.ura.gov.sg/DMP2008/intro.htm

7.1.6.2 Environmental Evaluation / SEA in Urban Development

A. Regulatory mechanisms

Statutory mechanism

There is no statutory mechanism available for Environmental Evaluation/SEA in Urban Development in Singapore.

Non statutory mechanism

The Ministry of Environment and Water Resource (MOEWR), former Ministry of Environment, is responsible for the management of the environment in Singapore.

At present, there is no specific legislation in Singapore making EIAs compulsory for major development projects. EIA is implemented through the requirements stipulated in the Environmental Pollution Control Act which came into force on 1 April 1999 and amended and renamed as the Environmental Protection and Management Act (EPMA) in June 2007.

For items related to hazardous waste (Part VII Hazardous Substances Control of EPMA) and establishing of industrial plants (Part IX License and Industrial Plant Works of EPMA), EPMA provides legal requirements of EIAs. When the MOEWR deems a particular project to have sufficient potential for pollution that may affect public health, an EIA may be required. For instance, EIAs have been required for petrochemical works, gasworks, and refuse-incineration plans. Regarding foreign investment project using or storing large quantities of substances, they are required to engage third-party consultants to conduct EIAs to support the establishment of a plant in Singapore. MOEWR issued a general format of EIA.

Apart from the EPMA, the integration of environmental concern with development is done through the Land Planning process- a combination of Master Plan/Concept Plan/Zoning, and Development Guide Plans (DGPs) which form part of the Master Plan.

In practise, the Master Plan Committee has required EIAs of development projects which have pollution potential. The planning process under the Concept Plan and the DGPs/Master Plan insures that polluting industries are sited far away from residential and recreational facilities.

The basic environmental concerns that are considered in the DGPs/ Master Plan are:

· Identification of development constraints and major land uses that affect the environment, e.g. airports, live-firing areas for military training, areas for pollutive and hazardous industries;

· Projection of land needs for environmental infrastructure such as refuse facilities (incinerators and dumping grounds), sewage treatment plans, etc.

· Identification of possible areas for major utility installations and infrastructural needs that may be pollutive, e.g. gasworks, explosive storage, other hazardous-goods storage;

· Identification of possible areas for nature conservation

· Continued protection of water-catchment areas.

B. Evaluation methodologies

Statutory mechanism

There is no statutory mechanism for evaluation methodologies of environmental assessment/SEA in Urban Development.

Non statutory mechanism

No evidence of a comprehensive evaluation process of environmental assessment in Singapore can be found. No EIA report is found on the Internet.

C. Process Flow Chart

No process flow chart is available.

D. Summary Table

Table 7.1.6.1.                Summary Table for Singapore

Urban Development Policy and Actions
Policy and Actions	The Concept Plan (introduced in 1971 and revised every 10 years) The Master Plan (introduced in 1998 and revised every 5 years)
Legislations / Guidance and Relevant Document  *	The Planning Act
Environmental Evaluations / SEA Status in Urban Development Policy and Actions
	Administrative	Statutory
Type of Assessment	EIA	N/A
Requirement Mechanism	Administrative	N/A
Legislations / Guidance and Relevant Document*	Environmental Protection of Management Act (EPMA)	N/A
Applications	Policy, plans and programmes	N/A

7.1.6.3 Analysis and Conclusion

Urban Planning Policies

Urban Planning in Singapore is chiefly governed by the Concept Plan which is Singapore’s strategic land use and transportation plan for 40-50 years. The Concept Plan leads to the formulation of the Master Plan which guides Singapore’s development in the medium term over the next 10 to 15 years. The Urban Redevelopment Authority, cooperating with other government agencies like the Ministry of National Development and Housing and Development Board, is responsible for land use plan implementation. In order to adapt to the ever-changing environment, the Concept Plan and the Master Plan are reviewed every 10 years and every 5 years respectively. No information can be found about the review process apart from the public consultation phase.

Environmental evaluation / SEA

In Singapore, the Environmental Protection and Management Act provides a legal framework for managing the environment. Environmental Impact Assessment is implemented through the requirements stipulated in EPMA. The Ministry of Environment and Water Resource may require an EIA of projects that it deems to have sufficient potential for pollution that may affect public health. In addition, EIA is enforced through the Land Planning Process- a combination of Master Plan, Concept Plan and Development Guide Plans. Environmental concerns are taken into account during the formulation and review of various land use plans. The Master Plan Committee requires EIAs of development projects which have pollution potential. Since there is no specific legislation in Singapore making EIAs compulsory for major development projects, environmental assessment relies more on planning and control system.

Lastly, there is no formal system of SEA for policies, plans or programmes in Singapore.

7.1.6.4 Project Examples

There is not enough information on the example of SEA in Singapore. Only one example can be found.

Example 1	Environmental Impact Assessment (EIA) for the Integrated Resort at Sentosa
Description of the Study	The Integrated Resort at Sentosa is to be completed in 2009. It is envisaged to be a large-scale iconic development and a “must-visit” attraction for visitors. The Integrated Resort on Sentosa will occupy a 49-hectare site, and yield up to 343,000 sqm in gross floor area. The Integrated Resort carries potential impact on coral reefs, seagrasses and water lives around the island and might negatively affect the water quality.
Process of the Study	An EIA is conducted for the Integrated Resort at Sentosa. However, there is no information concerning the details of the EIA.
Outcome of the Study	N/A

7.1.6.5 List of References

· Preliminary Assessment of Singapore’s Environmental Law, National University of Singapore, http://sunsite.nus.edu.sg/apcel/dbase/singapore/reports.html

· Master Plan 2008, Urban Redevelopment Authority, http://www.ura.gov.sg/DMP2008/intro.htm

· Planning Act, Urban Redevelopment Authority , http://statutes.agc.gov.sg/non_version/cgi-bin/cgi_retrieve.pl?actno=REVED-232&doctitle=PLANNING%20ACT%0A&date=latest&method=part

· Land-use Planning/Zoning to Integrate Environmental Concerns into Economic Development Framework, Economic and Social Commission for Asia and the Pacific Virtual Conference, http://www.unescap.org/drpad/vc/conference/bg_sg_14_lup.htm

· Singapore Tourism Board, http://app.stb.gov.sg/asp/new/new03a.asp?id=5063

7.1.7 Thailand

7.1.7.1 Urban Development Policies and Actions

A. Regulatory mechanisms

In Thailand, the Department of Public Works and Town & Country Planning (DPT) is responsible for urban development and planning as well as building standards and controls. Under the City Planning Act 1975, DPT and other local governments are given the power to prepare and adopt a Comprehensive Plan. Under the City Planning Act, Comprehensive Plans are identified as the policy plans, projects and controls that guide urban and related areas or rural conservation and preservation, in terms of the asset management, transportation, public utilities, public services and environment. The comprehensive plan consists of land use plan, open space plan, communication and transportation plan, and infrastructure plan. The plan will be put into action by passing 5-year Ministry Enactment. Despite the enactment of Comprehensive Plan, much of Thailand’s early development is done without comprehensive planning. In July 2002, the Thai Cabinet finally mandated the DPT to develop comprehensive land use planning throughout the country.

The first comprehensive plan to pass the Ministry Enactment is “The Rayong Master Plan” in 1983. Today, there are 154 plans passed the Ministry Enactment, 12 plans are on the process of enactment, and 250 plans are in the planning process. So far, only one Comprehensive Plan, “The Bangkok Comprehensive Plan” is made by the local government. The rest are in the responsibility of DPT. 

With the challenge of growing population, urbanization and environmental degradation, the proposed land use planning aims to preserve agricultural land and greenbelt, designate area for tourism and environmental conservation, mitigate the impact of flooding and confine urban sprawl.

The comprehensive land use planning process also identifies 9 urgent urban planning priorities within five years. The 9 priorities are:

· Preparing protection and mitigation plans for high-risk natural disaster areas, especially all river basin areas. The plan will include designated disaster risk zones, control permits and flood warning systems.

· Conserving and rehabilitating natural resources such as forests, watershed and coastal areas by rehabilitating forests, watershed and coastal areas by rehabilitating forests, determining buffer zones between community, forests and beaches; developing land use plans for coastal zones in Bangkok, Samut Prakarn and the southern region

· Disbursing developments to regional areas by further developing transportation infrastructure linking Bangkok and vicinity with regional cities

· Balancing regional city developments by encouraging regional-development clusters that can benefit from their collaboration and proximity to Bangkok. Improving regional area’s public facilities and utilities so that they are capable of serving new development roles

· Developing corridor potential by linking north-south corridor with the southern China and Lao PDR.

· Developing major economic zones that will enhance national growth-enhancing land, water, rail and air linkages linking Bangkok and Eastern Seaboard

· Developing sustainable and healthy urban areas- managing urbanization, improving public facilities and infrastructure, developing long-term environmental infrastructure- for Bangkok and Eastern Seaboard region

· Promoting global-class natural and cultural tourism by developing tourist centers in all regions including Chiangmai, Chiangrai, Udonthani, Nakorn Ratchasrima and Hatyai, and linking them with world heritage routes and coastal tourist destinations- accelerating tourist area land use planning

· Developing rural communities through land use planning by conserving productive agricultural lands, providing convenient and fast communication networks and developing water resources for agriculture and industry

B. Overview of evaluation approach

No substantial evidence can be found on the evaluation procedure of urban planning in Thailand.

7.1.7.2 Environmental Evaluation / SEA in Urban Development

A. Regulatory mechanisms

Statutory mechanism

Under the Improvement and Conservation of the National Environmental Quality Act 1975, environmental impact assessment (EIA) is first required for projects of various categories. Although EIA has been practiced for over twenty years, there is no established SEA system in Thailand so far.

By Section 46 of the Enhancement and Conservation of Nation of National Environment Quality Act 1992, the Ministry of Natural Resources and Environment (MONRE) with the approval of the National Environment Board has required 29 different types and sizes of projects or activities of government agency, state enterprise or private organization to prepare EIA at present. The projects and activities that require EIA range from public works such as construction of dam or reservoir to private sector projects such as plant construction in the petrochemical construction plants. Since highway or road, commercial port, commercial airport, mass transit system, residential building, land allocation of residential or commercial purpose are all subjected to EIA, environmental considerations are incorporated into urban planning activities through EIA.

The Office of Natural Resource and Environmental Planning and Policy (ONEP) under the MONRE is responsible for examining the EIA report and related documents and also making preliminary review. The EIA report is subjected to a two-tier process. EIA report will first be reviewed by the Environmental Impact Evaluation Bureau under the ONEP. After that, it will send its preliminary comments to the Expert Review Committee for final consideration of the project. The Expert Review Committee is composed of expert members who are qualified or specialized in various fields of related disciplines and the authority legally competent to grant permission for the given project or activity under review. The Committee may approve or reject the report or may ask for report revision or additional information.

Non-statutory mechanism

In order to tackle the controversial environmental process, the Minister of Natural Resources and Environment appointed a special committee to review the entire EIA process in 2003. The committee identified and proposed solutions to 8 major issues below:

· Steps in EIA process

· Public participation

· EIA expert panels

· EIA fund

· Special EIA organization

· EIA consultant registration

· Types and sizes of EIA projects

· Integrated EIA, Social Impact Assessment and Health Impact Assessment

The detailed solution will be presented under the evaluation methodologies. The improvements on EIA process proposed above are expected to be implemented in 2005, but no information can be found about the implementation of proposed solutions.

SEA in Thailand

Although a SEA system has not yet been established to extend the integration of environmental concerns from project level to policy/plan/programme level, the Interim Guidance Notes on piloting for the country EA system (published in 2005), which covers SEA, marked a large step towards establishment of such a system.

Voluntary preliminary synthesis of SEA approaches has occurred in Thailand. There are mainly 4 approaches adopted by the Thai society.

SEA- EIA School

This EIA approach is mainly expanded from the EIA concept to perform above the project-level, such as program, or sometime mega-project. Sharing the same aim as EIA, this approach still aims to minimize environmental impacts by identifying mitigation measures. The main process of this approach still follows the EIA process of Screening, Scoping, Impact Analysis, Reporting and Monitoring. The main limitations of the SEA-EIA School is that it has less or no effects on changing the direction or the policy, since it still try to ‘fine-tuning’ but just the larger scale than EIA project.

SEA Area Base

SEA Area Base approach focuses on area as basis for considering strategic issues. An area can be community and district to province and region. The main analysis is on natural resources and environment, for example, forest area, conservative and other ecological area, water and ground water resources, pollution sources etc. Moreover, this analysis may include other aspects, such as cultural heritage sites, ethnic group, health service, etc. However, this approach has no effect on sectoral or national policy as these policies not bound by area.

SEA Policy Options

The main aims of this approach is to support and influence the public decision-making process by providing information and analysis on the impacts of various policy options as well as the trade-off in each option. It will identify various policy alternatives and options and analyze the impacts on various aspects for the comparison of each option. The scope of impacts investigated by this process is set according to the development goals, which are deem important by stakeholders to the issue in focus.

SEA Development Direction

The SEA Development approach follows the concept and tool of Strategic Environmental Analysis (SEAN) which has been developed by the Netherlands Development Organization and AIDEnvironment. SEAN integrates environmental issues into strategic planning. It is a systematic and comprehensive analysis of context, value, factors, problems, and opportunities to synthesize the best strategic direction and/or option.

B. Evaluation methodologies

Statutory mechanism

The ONEP under MONRE set up guidelines for preparing EIA. The owners of the projects or activities have to submit EIAs to ONEP and the Expert Review Committee for review and approvals before further proceedings. And they must employ consultant firms registered by ONEP and permitting agencies to prepare the EIA. The whole EIA process involves only the stage of scoping and EIA reporting.

Non-statutory mechanism

Since the existing EIA system is to be reformed, we will focus on the improvement of present EIA process proposed by the special committee appointed by the Minister of Natural Resources and Environment.

There are 5 proposed steps in the EIA Process as listed below:

1. Screening

This stage involves site selection and local authorities’ involvement.

2. Scoping

Site selection, public and stakeholder’s involvement help define the scope of EIA.

3. Report preparation

Preceding the preparation of final report, owners of the projects or activities need to employ consultant who will acquire data and ask for public input/opinion to draft the EIA report.

4. EIA review

For private project, the final report will be submitted to permitting authority. For government project, the final EIA report will be submitted to National Environmental Board and to the Cabinet.

5. Monitoring

Follow-up by permitting authority including third party monitoring is necessary to ensure the projects/activities compliance with environmental legislations.

Apart from reforming the EIA process, the special committee also proposed more solutions to the present EIA system.

· Public participation is included in all steps of EIA process. The special committee identifies twenty groups of stakeholders to be consulted during the EIA process. They include local community which would be impacted, local expert panels, local administrative offices, educational institutions, civil society organizations, general public and more.

· A roster of EIA experts will be prepared.

· A separate EIA fund is proposed to be set up, so that more resources can be used for EIA.

· A special EIA organization is proposed as a government supported organization, independent from the ONEP. Its duty is to support and act as the secretary to the expert panels, performs EIA monitoring, manages the EIA Fund, conducts public participation activities, and promotes EIA knowledge. 

· The government should promote EIA consultant profession. Consultants firms and groups of persons must have at least 1 fulltime EIA expert, 2 EIA specialists in different fields, and 4 EIA assistants. Experts can be from all related fields including, engineering, science economics, architecture, social, health, town planning, etc.

· There will be 2 levels of EIA: the initial environmental examination (IEE) and the full EIA. Projects with less environmental impact will be required to do only IEE, while projects with significant impact will be required to do full EIA.

· Besides, it has been proposed that EIA should incorporate more aspects of social impact assessment, and health impact assessment as well. Public participation during the EIA scoping process can help identify local social and health issues of concern.

C. Process Flow Chart

Figure 7.1.7.1.        Process flow chart for proposed EIA process

D. Summary Table

Table 7.1.7.1.                Summary Table for Thailand

Urban Development Policy and Actions
Policy and Actions	Comprehensive Plan
Legislations / Guidance and Relevant Document  *	City Planning Act 1975
Environmental Evaluations / SEA Status in Urban Development Policy and Actions
	Administrative	Statutory
Type of Assessment	EIA	Environmental Impact Assessment
Requirement Mechanism	Non-statutory	Statutory
Legislations / Guidance and Relevant Document *	Improvement and Conservation of the National Environmental Quality Act 1975 Enhancement and Conservation of Nation of National Environmental Quality Act  1992, Section 46 General Guidelines in Preparing EIA Report	Improvement and Conservation of the National Environmental Quality Act 1975 Enhancement and Conservation of Nation of National Environmental Quality Act  1992, Section 46
Applications	Projects	Projects

7.1.7.3 Analysis and Conclusion

Urban Planning Policies

Urban development in Thailand traces back to the City Planning Act in 1975. It grants the Department of Public Works and Town & Country Planning (DPT) and local government the power to carry out comprehensive plan which includes Land use plan, Open space plan, Communication and transportation plan and Infrastructure plan. The comprehensive urban planning concerns the integration of all the sectoral issues in the provision of public utilities and facilities, but it has been done by various responsible agencies in accordance with their own development assumptions.

In 2002, the Thai Cabinet mandated the DPT to develop comprehensive land use planning in order to cope with the problem of growing population, urban sprawl and environmental degradation.

Environmental evaluation / SEA

Statutory EIA mechanism is present in Thailand while there is only administrative mechanism for SEA in Thailand. Environmental Impact Assessment (EIA) has been introduced to the country since the adoption of the Improvement and Conservation of the National Environmental Quality Act 1975. There are only two steps, namely scoping and EIA reporting in the whole EIA process.

In order to reform the existing EIA system, the Minister of Natural Resources and Environment appointed a special committee to review the entire EIA process in 2003. The special committee designs a 5-step EIA process which includes screening, scoping, report preparation, EIA review and monitoring. It proposes to set up a roaster of EIA experts, EIA Fund and an independent EIA organization. A 2-level EIA process which includes the initial environmental examination (IEE) and the full EIA is advocated. The committee highlights the importance of public participation and ask the government to promote the profession of EIA consultant. There is initial synthesis of SEA in Thailand and has been adopted by different parties in the country

7.1.7.4 Project Examples

There is not enough information on the example of SEA in Thailand. Only one example can be found.

Example 1	Integrated urban air quality management (UAQM) in Bangkok
Description of the Study	The current population in Bangkok is about 6 million and the population within the metropolitan area is about 10 million. Most inhabitants in Bangkok and the five provinces around travel to the city for work, services, industrial, energy, and construction sectors. Air pollution from the transportation sector has caused serious health impacts in Bangkok. Moreover, the road network is heavily congested, as on an average 500 additional cars enter into the network every day. In order to improve the air quality, the government carried out the UAQM from 1990 to 2002. The government first control the most crucial pollutants by phasing out leaded gasoline and reduce sulphate content of fuels. For medium term objectives, the government aims to improve air quality through capacity building which includes urban planning.
Process of the Study	Under the UAQM, urban planning in Bangkok concerns the road network and its distribution for various vehicles including bus lanes, mass transit system including Sky train and underground, and the availability of green areas, especially near roads, to reduce the regeneration of particulate matter. This management plan involves the monitoring and analysis of pollution levels, and identification of pollution sources. The national government agency (Pollution Control Department under the Ministry of Science, Technology, and Environment) and local government, Bangkok Metropolitan Administration are responsible for monitoring the ambient air quality in the city.
Outcome of the Study	In 1999, Bangkok’s first mass transit system, the electricity-powered Sky Train, become operational with a 23.5 km line, at a cost of $1.4 billion. During the first month of operation, about 200,000 trips were made each day and it is estimated that the line will eventually carry 65,000 passengers per day. The first phase of the Bangkok’s very own underground train system is scheduled to open on 12 August 2004.

7.1.7.5 List of References

· Urban Planning Policies in Thailand, http://www.ghb.co.th/en/Journal/Vol2/15.pdf

· Banasopit Mekvichai, Urban Land Management in Thailand, UMP-Asia Occasional Paper No. 13, www.serd.ait.ac.th/ump/op13.pdf

· Kingdom of Thailand Planning System, Ministry of Land, Infrastructure and Tourism, Japan, http://www.mlit.go.jp/kokudokeikaku/international/sp/en/general/pdf/08_Thailand/08_03_en.pdf

· Environmental Impact Assessment, http://www.onep.go.th/eia/ENGLISH/eia_eng_index.htm

· Office of Natural Resources and Environmental Policy and Planning. Thailand,, http://www.onep.go.th/eng/policy/policy_1.asp

· Environmental Evaluation Bureau, http://www.onep.go.th/eia/ENGLISH/about_eieb/about_eieb.htm

· Improvement of EIA Process in Thailand, The Environmental Engineering Association of Thailand, http://www.eeat.or.th/articles/ImprovementofEIA.pdf

· Annex 11 Thailand, Environmental Impact Assessment Regulations and Strategic Environmental Assessment, http://siteresources.worldbank.org/INTEAPREGTOPENVIRONMENT/Resources/EIA&SEA-regional-review.pdf

· Addressing health in SEA for Healthy Public Policy: A contribution from SEA Development in Thailand, Heath Systems Research Institute, Thailand, 2005, http://www.iaia.org/non_members/conference/SEA%20Prague/Prague%203/D3_Nuntavorakarn_Sabrum_Sukkumnoed.pdf

· Integrated urban air quality management (UAQM) in Bangkok, http://ekh.unep.org/?q=node/1149

7.2 Europe

7.2.1 Denmark

7.2.1.1 Urban Development Policies and Actions

The Finger Plan 2007 is Danish town planning showcase as it involves comprehensive concepts of the urban development. The infrastructure of roads and commuter railways forms the backbone of the Finger Plan. It covers the overall urban development in Denmark. The Finger Plan for Copenhagen was first developed in 1947 and remains the basis of the urban development and structure. Based on this Finger Plan, the Danish town planning practice is traditional and has been evolved into today’s comprehensive hierarchical system with emphasis on public engagement.

A. Regulatory mechanisms

Denmark has a simple and clear spatial planning system with strong decentralised delegation of responsibility. The municipal councils are responsible for comprehensive municipal planning, detailed local planning and permits for construction and changes in land use in rural zones. The 12 regional planning authorities are responsible for regional planning. The Minister for the Environment may influence decentralised planning through national planning initiatives. The state may veto the planning of municipalities and regional planning authorities to uphold national interests. Planning decisions can be appealed through the Nature Protection Board of Appeal.

Figure 7.2.1.1.        Spatial Planning System of Denmark

Source: Ministry of Environment, Denmark - http://www.map21ltd.com/COSTC11/dk-planning.htm#A2

The regional planning authority shall produce regional planning guidelines for:

· the location of and the maximum permitted gross floor space for shops when the size of shops exceeds 3000 m² of gross floor space for general shops or 1500 m ² of gross floor space for specialty shops; and

· the location of and the maximum permitted gross floor space for construction for retail trade purposes in city districts and secondary centres, when the total gross floor space in an area exceeds 3000 m ² (6b, EIA Act)

Figure 7.2.1.2.        Denmark’s Planning System 2007

Source: Spatial Planning Act 2007, Ministry of Environment, http://www.ymparisto.fi/download.asp?contentid=76407&lan=FI

The Planning Act was revised in 2007, which regulates land use through a tiered system of plans. The new Planning Act transfers most of the planning responsibility to the new municipalities by giving them almost full planning control of both urban areas and the open countryside.  The Planning Act provides a framework for the following:

· strengthened national planning;

· 5  regional spatial development  plans;

· 98 municipal plans;

· 1300 Local plans, prepared by the municipalities, creating the context for the approvals of construction, building and land use

The Planning Act contains rules for:

· Public participation at every planning level (including a period for the public to present ideas and proposals for the forthcoming planning process and hearings of objections to proposed plans);

· Local Agenda 21 strategy contributions;

· Special rules for planning in coastal zones to protect coastal areas from development and installations;

· Special rules for retail trade planning to promote a diverse supply of retail shops in small and medium-sized towns; and

· Environmental assessment - Projects that are likely to have significant effects on the environment shall not be initiated before the release of the municipal plan guidelines on the location and design of the project with an EIA.

Planning instruments operating at the national level are:

· National planning reports

· National planning directives

· Orders

· Guidance

· The Minister for the Environment’s right to veto regional and municipal plans

Planning instruments at the regional level consist of planning guidelines applicable to the municipal authorities and to land use in the open countryside.

Planning instruments at the municipal level are the biding local plans for specified developments.

B. Overview of evaluation approach

Planning process in Denmark over the regional and municipal level:

1. Prior public participation for every four years:

· Information on previous planning disseminated;

· Regional planning: ideas and proposals solicited;

· Municipal planning: a strategy for planning developed;

· Deadline at least eight weeks.

2. Each municipality shall have a municipal plan. The municipal plan shall cover a period of 12 years:

· Prepared by the municipal council in cooperation with other public authorities, citizens, non-governmental organizations, etc.

· In producing guidelines in the municipal plan for projects subject to subsection 1 of the Planning Act 2007, the municipal council shall, before initiating the work on the report on the likely important effects of the project on the environment, publish a brief description of the main features of the proposed project and solicit ideas and suggestions to be used in establishing the content of the report.

· The Minister for the Environment may establish rules specifying which projects shall be subject to EIA

3. Project Proposal published:

· Deadline for objections by the public to be at least eight weeks;

· Proposal sent to other public authorities;

· A regional plan or municipal plan can be vetoed to uphold national interests.

4. Plan adopted:

· Objections (including vetoes) and comments processed by the municipal council from the general public and proposed changes negotiated.

5. Final plan approved by the municipal council published:

6. Administration of plan:

· Relevant planning authorities strive to implement the plan.

The rules on SEA in the Planning Act comprise Danish implementation of a European Union directive (SEA Directive). The regional planning authority usually conducts the assessment and prepares a supplement to the regional plan with a SEA review.

7.2.1.2 Environmental Evaluation / SEA in Urban Development

A. Regulatory mechanisms

Statutory mechanism

The Planning Act 2007 stated that there should be an impact assessment for a designated project which is under the list of assessment. The municipal council shall, before reporting on the likely important effects of the designated project on the environment, publish a brief description of the main features of the proposed project and solicit suggestions to be used in establishing the content of the report.

The Minister for the Environment may establish rules stating that projects subject to the above mentioned shall not be initiated without a permit from the municipal council or the Minister.

The Minister for the Environment may establish rules specifying which projects shall be subject to Section 11g of the Planning Act 2007. However, the projects of which are adopted by a specific act shall always be prioritised. The Minister for the Environment may also establish rules specifying the minimum information required to conduct environmental impact assessment.

The EU SEA Directive (2001/42/EC) was integrated into the Danish planning system in 2004. The SEA Directive, instead of just government proposals, now ensures that SEA has been extended to plans and programmes. The Act on the Environmental Assessment of Plans and Programmes (Danish SEA Act) was passed into law in May 2004 and stated that the Danish SEA Act must be strictly in accordance with the requirements of the [2001/42/EC] directive. The primary objective is to promote sustainable development through the environmental assessment of state, regional and municipal plans, programmes and proposals that may have significant environmental impacts.

Before 1995, the SEA process was limited only to government proposals and did not extend to plans and programmes. SEAs were required to focus on the proposals that would have physical, ecological, cultural, health and risk impacts. In 1995, the SEA requirement was extended to new parliamentary acts in addition to government proposals at the national level.

Based on the Planning Act 2007, large development projects that are likely to have significant effects on the environmental are subject to environmental impact assessment and a public hearing before being initiated.

Similar to the administrative order of 1993, the Danish SEA Act allows the Minister for the Environment a certain amount of discretion when they are acting in the capacity of a public authority. The Minister could determine a private or publicly owned company is required to carry out a Danish SEA on their plan or programme.

In order to avoid duplication with “land use plans that have been prepared in accordance with the Planning Act”, the SEA Act can be overruled, as long as a plan or programme complies with the procedural and substantive requirements of the EU SEA Directive.

In 2006, The Ministry for the Environment released up to date guidance that related to the SEA requirements for plans and programmes dating from 2004. The new guide was later supplemented in 2007.

Administrative mechanism

Apart from the integration of the EU SEA Directive, SEA guidance was restricted to a publication called Strategic Environmental Assessment of Bills and Other Proposals: Examples and Experience issued in 1995 by the Ministry for the Environment. This guidance is not legal binding. The 1995 guidance issues a six step approach with regards to the type of information that should be included within an SEA:

1. Formulating the problem and describing the process of the proposal and the alternatives that have been considered

2. Identifying the relevant environmental effects

3. Describing the extent of the likely environmental effects

4. Identifying mitigation measures and monitoring follow up programmes

5. Assessing and weighing the environmental effects in relation to policy objectives

6. A statement with the summary of the main findings

B. Evaluation methodologies

Statutory mechanism

In the late 1990s, the Ministry of Environment asked the county authorities (project proponent) to undertake SEA in conjunction with the revision to their regional development plans. The municipal councils implemented national policy directives and established the guidelines for land use and infrastructure outside the urban zones. A series of trial runs was undertaken, beginning with the Northern Jutland regional plan and using this as a starting model for integrating SEA into the planning process. Administrative scale of SEA is regional and municipal level.

Five principles of SEA:

1. Documentation of the process and results
2. A clear and comprehensive procedure
3. Analysis of alternatives
4. Inclusion of public participation
5. Evaluation of the significance

Six steps in SEA of bills or other proposals (including urban development project as stated in Section 11g Planning Act 2007:

1. Screening –Environmental screening is mandatory for the Danish International Development Agency supported development programmes and projects. The main objectives of the screening are to identify environmental opportunities and benefits and to identify and manage environmental risks. The screening ensures that Danish International Development Agency supported activities are consistent with the partner country environmental policies and legislations as well as international environmental agreements. A checklist is used at the ‘heading level’ to identify proposals that are likely to have significant environmental impact and require further assessment. Also, the Ministry of Environment carries out a preliminary screening of the legislative calendar to flag bills that might be environmentally important. Ministry for the Environment screens the monitoring report. Ministry for the Environment contacts proponents to inform them that an SEA is required. Also, Ministry for the Environment issued a Guidance on SEA procedures that includes a checklist for screening potential environmental effects of proposals as the Planning Act 2007 stated (on a case-by-case basis).

The five stages in the SEA following the environmental screening include:

· Compile environmental regulation relevant to the key sector sources of information that is directly relevant to environmental assessment and management of the national sector policy or programme.

· Analyse the context - Prepare a public environmental expenditure review of funding available for environmental issues, prepare a review of environmental regulation, and assess the institutional capacity and available procedures (tools) for the inclusion of environment issues in the sector.

· Identify the main direct and indirect environmental impacts or changes as a result of the programme as well as the main opportunities for reducing environmental risks or gain environmental improvements.

· Develop a plan for specific actions to implement the findings of the SEA.

· Establish or enhance an existing environmental monitoring system to assess the changes in the environmental status of the sector and to follow up with the implementation of the SEA recommended actions.

The effort going into each stage of the SEA process will have to be balanced with the potential gains for improvements in development.

2. Scoping – the checklist is used at the ‘sub-heading level’ with specific questions to identify the nature and scope of the major or cumulative environmental effects of a bill or proposal. Reference is also made to the effects of national actions at different geographic scales – primarily local and regional, but in some cases extending to the global level.  Proponent authority determines the scope on a case by case basis. It is noted that the assessment is carried out to the extent possibly with the given administrative and data limitations. Generally speaking, scoping is either based on advice issued in the form of guidance.

3. Assessment – an analysis of the effects that are identified as potentially significant is carried out by the responsible Ministry. Danish procedural guidance states that it is not possible to give an overall description of when environmental effects are considered to be significant; rather, it includes a list of factors for this purpose.

4. Report –a detailed description of the environmental effects is prepared by the municipal council, included as a separate section in the commentary, which is attached to the bill or other government proposal when it is submitted to Parliament. It should be an easily understood, non-technical statement that is publicly accessible. Background assessment statement should be made accessible for the Parliament and the public as soon as the Bill is proposed

5. Public consultation – During the scoping stage, the public can participate by addressing the scope that needs to be assessed. All planning applications by other public authorities and the public must be recorded and such records should state how the responsible authority acted on the representation. Also, the SEA Act requires the responsible authority to state how the SEA findings and the comments and proposals from the public hearing were taken into account and why the adopted plan was chosen from amongst other alternatives. During the assessment stage, the responsible Ministry should conduct a non-technical summary to the public in a section within the commentary on the bill or the proposal background assessment statement along with the submitted bill or proposal.

According to the Planning Act 2007, the Minister for the Environment may establish rules governing the public announcement of:

· decisions stating that a project is subject to or not subject to the provisions of Section 11g of the Planning Act 2007;

· decisions stating that a proposal for a supplement to the municipal plan for a project that is subject to the provisions of Section 11g of the Planning Act 2007 will not be adopted;

· decisions stating that a proposal that has been published will not be adopted in final form; and

· decisions stating that a permit issued pursuant to the rules established in accordance with Section 11g of the Planning Act 2007, subsection 4 has been granted or has not been granted.

The public can be well-informed for the progress of the project with the public announcement over different stages of the projects.

6. Impact mitigation is required in the SEA system. It also includes monitoring and follow-up programmes.

Reviewing -- There is no reviewing procedure in the SEA system. The provision for the SEA of land use plans require proposals submitted during the public hearing to be taken into account by the responsible authorities and the outcomes to be publicly announced. Ministry for the Environment only prepares the monitoring report

The output of the SEA can be an integrated part of the policy, programme and plan design. A separate report is suggested but not always required. The outcome and impacts of the SEA are wider concerns and actions concerning environmental management. These can be included in an Environmental Management Plan.

Administrative / non-statutory mechanism

There is no administrative / non-statutory mechanism over SEA.

C. Process Flow Chart

Figure 7.2.1.3.        SEA process

Figure 7.2.1.4.        Overall planning process

D. Summary Table

Table 7.2.1.1.                Summary Table for Denmark

Urban Development Policy and Actions
Policy and Actions	Planning Act 2007
Legislations / Guidance and Relevant Document *	Prime Minister’s Office Circular of 1993 (amended in 1995 and 1999)
Environmental Evaluations / SEA Status in Urban Development Policy and Actions
	Administrative	Statutory
Type of Assessment	N/A	Strategic Environmental Assessment
Requirement Mechanism	N/A	Statutory system
Legislations / Guidance and Relevant Document ^*	N/A	Prime Minister’s Office Circular of 1993 (amended in 1995 and 1999); Strategic Environmental Assessment of Bills and Other Proposals
Applications	N/A	Bills, proposals and ministry budgets

7.2.1.3 Analysis and Conclusion

Urban Planning Policies

A notable element of regional and municipal planning in Denmark is the mandatory period for early public participation. This participation period, which lasts at least eight weeks, is intended to give the public the opportunity to influence the issues considered during the planning process through the submission of ideas and proposals. It is obligatory for planning authorities to acknowledge the submissions made by the public and other public authorities during this period. This early public participation is additional to the public participation procedures and hearings that take place after the proposed plan has been published. Individuals have the opportunity, during this ‘ordinary’ public participation period, to comment on how the planning authorities have dealt with the proposals they made initially and to make objections about this and other issue within the proposed plan. The public has a further opportunity to submit new proposals at this stage of the planning process.

Environmental evaluation / SEA

It was possible to implement the five SEA principles within an SEA of a parliamentary Bill. Public interest organizations are an effective proxy for the General Public. The decision making process associated with the development and passage of a Bill through Parliament is comprised of many stages allowing numerous opportunities for revision and amendment and the analysis of impacts should concentrate on the direction rather than their quantification or exact geographical location.

One distinctive feature of Danish SEA system is that the authorities are responsible to use information obtained from the project proponent to write up the final report. It can ensure that the project would not be manipulated by the project proponent, who may have bias in finishing the project.

Public participation is legally ensured in different steps of the SEA process. As refer back to figure 7.2.1.3 (flow chart), a shot hearing phase is mandatory during the scoping phase to allow the public to come with ideas and suggestions. Also, after the draft EIA report has been prepared, it has to go through a public hearing phase of no less than 8 weeks. Furthermore, after the public hearing phase, the raised objections have to be processed, and a final decision has to be taken by the regional council. The decision has to be made public with the reasons for the decision and a guideline for how to object the decision.  The timeframe for submitting complaints or objections is four weeks. Before the regional plan amendment is finally approved by the politicians there must be a public hearing about the project. After the regional council has approved a regional plan proposal, it must be published. Comments to the plan have to be given within eight weeks. This kind of well developed and highly institutionalised system can ensure the public could participate into the planning process in every stage.

In Denmark, the requirements for public participation in the SEA procedure are very precise, but they are implemented in such a way so that considerable resources are required to participate in the process. Public participation is extensive, which has significant influence on the detailed design of the project.

There has been a long history of considering the environmental effects that the planning process may have before the implementation of the SEA Directive into the Danish planning system which resulted in the transposition of the SEA Directive into Danish legislation conforms fully, and the supporting guidance ensures that SEAs conducted should be directive compliant. At the time when SEA introduced in the Danish planning system, the country had a long tradition in land use planning and the regulation of the administrative system is well-developed. Integrating the SEA into the existing system took some years which resulted in a complex but work-efficient system.

This historical background has ensured that the SEA process has been institutionalised into the planning process. This ensures that environmental considerations are the subject of political debates and those parliamentary bills are prepared adequately with the SEA Directive and Danish SEA Act in mind.

The SEA process in Denmark is transparent and SEAs have influence upon the decision making process to a certain extent. There is a long tradition of public participation in the Danish planning system and this philosophy is no exception with regards to the SEA system. Despite the costs generated from conducting the SEA (including time cost), overall it is a worthwhile and productive process.

With respect to determining mitigation measures for reducing or alleviating the potential impacts of the proposed strategic action, Denmark has stipulated clear requirements. Denmark also has monitoring requirements.

Danish SEA system requires assessments for at least two tiers of strategic decisions (i.e. any combination of PPPs): Administrative Order No. 31 of 1993 requires all ministries to prepare a statement on the environmental consequences of bills and government proposals if they are likely to cause significant effects on the environment (MEE, 1995, 1997). Amendments were made in 1995 and 1998, respectively, requiring (a) that impacts on resources, buildings and cultural heritage as well as on health and security, flora and fauna, soil, water, air, climate and landscape are taken into account, and (b) environmental assessments for ministry budgets. A checklist is used to determine whether the proposed bill, proposal or budget will require an SEA (MEE, 1997).

Government ministries are responsible for the integration of the SEA Directive into Danish legislation.

Currently monitoring of environmental impacts is done through informal communication and the Minister for the Environment could issue specific rules.

There is an exemption of going through screening process when the projects are approved through legal act. However, the objectives stated in the EU Directive, like the public access to information, have to be achieved through the legal process.

Also, the SEA competence is mostly located at the regional level with only some exceptional cases in the local level. For example, some environmental permits for minor industries are located at local level. There is a smooth coordination between the local and regional councils. Moreover, the SEA process is not always the responsibility of regional council like the Ministry of Transport is responsible for the project relating to the sea, and in case of projects that require a ‘Country Planning Directive’ the responsibility is within the Ministry of Environment. The integration with the existing planning system and environmental permit system is ensured by stipulating in the relevant statutory orders that for project subject to an SEA the other permits may not be issued before the SEA permit is given.

7.2.1.4 Project Examples

Examples of Danish SEAs carried out following the introduction of the EU SEA Directive are “so far few” (Danish Ministry of Foreign Affairs, 2007). Below are some examples of SEA that have been produced prior to the introduction of the EU SEA Directive.

Example 1	North Jutland Regional Development Plan (1995-1997)
Description of the Study	This was the very first SEA to be carried out in Denmark and was carried out before the introduction of the EU SEA Directive. The project was divided into five parts: · reporting of international experience and experience from other case studies on relevance for the project · an environmental assessment of the existing regional North Jutland plan adopted in 1993 · the development of a method for SEA of regional plans based on the assessment of the 1993 plan · a trial run, a case study, on SEA as an integrated part of the revision of the 1993 plan in order to test the developed method · an evaluation of the experiences of the case study
Process of the Study	In time of high speed development of the North Jutland County, there was a need for a comprehensive regional business development plan. This study was conducted during the years 1995 to 1997. It was done in cooperation of the Planning Administration in North Jutland County, the Danish Ministry of Environment and Energy and the EIA Centre at Roskilde University, Denmark. The regional business development strategies take their starting point in the main growth opportunities in the regions and the strengths and weaknesses in the regional business structure. In the agency, the initiatives for future improvement of local growth opportunities is being developed and prioritised, and as part of this, also the development of the rural and more peripheral areas. The Regional Development Plan must relate to a wide range of different themes linked to the development of the region: · Business Development and Innovation · Tourism · Employment, Education and Qualificational Development · Culture, Press and Event Development · Landscape, Nature and Environment · Infrastructure and Transportation · Roles of the Cities · Rural Areas Business development and creation of new jobs is the top priority.
Outcome of the Study	The planners concluded that no new knowledge was produced through the SEA but the planning process became clearer. From the politicians point of view it was concluded that they got better information as basis for choices. NGO’s experience was that they should participate early in the process preferably already in the scooping stage. As a whole it seems that a better regional land use plan was produced. Lessons learnt were for example that SEA must be integrated through the whole planning process and that there should be an assessment of the planning objectives and strategies even if this is a difficult task. The question of the relation between the regional land use plan and the structural funds process was raised during the seminar. Every project in the structural funds programs is screened by the people working with the land use plan. But it also happens that the structural funds people come to ask for help with analysis of environmental impacts at terribly short timeframes. It was also decided that consultation should be carried out during the scoping process, rather than at later stages of the SEA process. It took 2 years to conduct the SEA in this plan. Normally it takes less than one year to conduct the SEA.

Example 2	Municipal Plan for Hillerød
Description of the Study	It is a new municipal plan for Hillerød which is located in North Zealand.
Process of the Study	This plan was initiated by inviting public proposals and ideas in November 1999. The final plan was adopted by the municipal council in October 2001. The reason for conducting the SEA in this plan was to relate the proposed Municipal Development Plan to the 1999 Municipal Environmental Plan. The proposed plan, which would develop 13 city areas, was assessed for its impact on eight environmental objectives that were taken from the Municipal Environmental Plan. Alternatives: · to concentrate housing and services within the city to reduce journeys within and outside the municipal area. · to construct housing and service developments in designated development areas on the periphery of the existing urban area The impacts of the alternatives on each environmental objective were assessed as positive, negative, neutral or not relevant. Each impact was evaluated both locally and regionally.
Outcome of the Study	The SEA affected decisions about the plan in four key ways: · More retail development was concentrated in the city area, thus contributing to a reduction in the number of motor vehicle-kilometres driven · new housing was designed to reduce the use of electricity and water and the creation of waste. Moreover, the need for transport was reduced as a result of concentration of new housing within the city · additional employment was concentrated around the railway station to contribute to the use of public transport and bicycles instead of private cars · a place for commuters to meet, to share vehicles and a commuter station were established to reduce the number of drivers commuting from Hillerød to the Greater Copenhagen area The SEA thus led to the negative impacts of the adopted plan being highlighted and addressed.

7.2.1.5 List of References

· OECD Environmental Performance Review Denmark 2007 , http://www.oecd.org/dataoecd/12/31/39577343.pdf

· Ministry of Foreign Affairs of Denmark, 2007,http://www.danidadevforum.um.dk/en/menu/Topics/EnvironmentalSustainability/ToolsAndReferences/Guidelines/StrategicEnvironmentalAssessment/

· Experience of Strategic Environmental Assessment in regional land use planning in North Jutland County in Denmark, http://www.nordregio.se/pdf/wp009experience.pdf

· Strategic Environmental Assessment at the Policy Level: Recent Progress, Current Status and Future Prospects, the Regional Environment Centre for Central and Eastern Europe, MINISTRY OF THE ENVIRONMENT, CZECH REPUBLIC, 2005, http://www.unece.org/env/eia/documents/PolicySEA/SEA%20of%20Policies%20volume.pdf

· Spatial Planning in Denmark, http://www.mim.dk/NR/rdonlyres/FD0A7E4B-4349-453F-A704-99FF51DCC6A2/0/COP15_EP_spatialplanning07.pdf

· The Copenhagen Finger Plan, after the Administrative Reform 2007, Ministry of the Environment, http://www.ymparisto.fi/download.asp?contentid=76407&lan=FI

· Spatial Planning in Denmark, 2007, Ministry of Environment, http://www.blst.dk/NR/rdonlyres/27A9A4B3-802E-46E9-A073-DC864F0D7509/50763/planlovenpengelsk2007.pdf

· Ministry of the Environment, Denmark, 2006 National Planning Report, 2006, http://www.sns.dk/udgivelser/2006/87-7279-728-2/pdf/87-7279-728-2.pdf

· Green Structure and Urban Planning, Spatial Planning in Denmark, 2002, Progress Report, http://www.map21ltd.com/COSTC11/dk-planning.htm#A2

7.2.2 Finland

7.2.2.1 Urban Development Policies and Actions

A. Regulatory mechanisms

Finland has reformed its land use planning system in 2000. The new system consists of three levels of land use plan, namely the regional land use plan, the local master plan and the local detailed plan, with a clear division of labour among them. The Land Use and Building Act set the framework of the overall planning legislation controlling mechanism and is the most powerful and statutory mechanism all over Finland. Under this Act, there are many other guidelines which can guide the planning procedure without the statutory power.

System of land use planning

In Finland, the land use planning system is hierarchical, from higher level plans to lower plans.

· Land use in municipalities is organized and steered by local master plans and local detailed plans.

· The local master plan indicates the general principles of land use in the municipality

· the local detailed plan indicates how land-areas within a municipality are used and built.

· Regional and local plans are drawn up through participatory planning procedures that local resident can influence the planning process through higher involvement.

Local authorities may draw up a joint master plan. Regional land use plans contain a general plan for land use for the entire region or for a specific sub-area therein. (Land Use and Building Act, 1999, Section 4)

Statutory mechanism

The functions of the competent ministry (e.g. Ministry of the Environment) include the general development and guidance of land use planning and building activities. The competent ministry promotes, steers and monitors regional planning.  While the regional environment centre promotes and steers the organization of land use planning and building activity within the areas covered by a local authority, the local authority shall take charge of land use planning and building guidance and control within its territory. If the local authority's population is greater than 6,000, a qualified planner must be available to manage the local authority's planning functions. (Land Use and Building Act, 1999, Section 20)

The most important legislation controlling land use, spatial planning and construction in Finland is contained in the Land Use and Building Act, which came into force in 2000.

The Land Use and Building Act aims:

· to organise land use and building to create the basis for high quality living environments,

· to promote ecologically, economically, socially and culturally sustainable developments,

· to ensure that everyone has the chance to participate in open planning processes,

· to guarantee the quality of openly publicised planning decisions and participatory processes, and

· to ensure that a wide range of planning expertise is available.

These general objectives are supplemented by more specific objectives relating to controls over land use planning and construction. More detailed regulations and controls on land use and construction are included in the Land Use and Building Decree.

The Land Use and Building Act stated that plans must be founded on sufficient studies and reports. When a plan is drawn up, the environmental impact of implementing the plan, including socio-economic, social, cultural and other impacts, must cover the entire area where the plan may be expected to have material impact. When a land use plan’s impact is investigated, the purpose of the plan, earlier investigations and other factors affecting the need for investigation must be considered. A municipality whose territory is affected by the material impact of a local master plan or a local detailed plan must undergo a sufficient degree investigation on the impact of the plan. A regional council whose administrative area is affected by the material impact of a plan must be similarly involved.

According to the Land Use and Building Act in Section 7, which stated that at least once each year, local authorities must draw up a review of all planning matters that are or will in the near future become pending in the local authority or the regional council and which are not of minor importance (planning review). The review contains a brief explanation in planning matters and the stage of processing reached and any such decisions and other actions which have an immediate influence on the basic premises, objectives, content and implementation of plans.

The Land Use and Building Act also form the basis for the maintenance and protection of Finland’s architectural heritage and cultural landscapes.

Other legislations protecting the built environment and landscapes can be found in the Building Protection Act and the Nature Conservation Act as well as statutes established in other administrative sectors (including the Church Act).

Administrative mechanism

The Land Use and Building Act empowers the national land use guidelines for instructing all land use decisions and land use planning in the country. The Finnish Government redefined national land use guidelines in 2000. The national land use guidelines outline Finland's present and future land use. The guidelines indicate which issues should be taken into account for all land use and land use planning throughout the country.  Regional planning, planning at the local level, and the activities of government authorities should promote the implementation of these guidelines.

The national land use guidelines have been grouped according to subject as follows:

· well-functioning regional structure,

· more coherent community structure and quality of living environment,

· cultural and natural heritage, recreation uses and natural resources,

· well-functioning communication networks and energy supply,

· special issues of the Helsinki region and

· aerial entities of outstanding interest as natural and cultural sites.

Finland’s National Building Code

The National Building Code contains regulations and guidelines that complement the legislation in the Land Use and Building Act. The regulations are binding and concern about the construction of new buildings. The regulations are applicable to renovation and alternation works only insofar as the type and extent of the measure and a possible change in use of building require.

The building regulations must be followed, but building guidelines are not obligatory, and other solutions may be used in construction as long as all the compulsory regulations are observed.

B. Overview of evaluation approach

Regulatory mechanisms

When a plan is being drawn up, a scheme covering public participation and interaction procedures and assessment of the plan's impact must be drawn. The initiation of the planning process must be publicized so that interested parties have the opportunity to obtain information on the principles of the planning and of the participation and assessment procedure. The publicity may also take place in connection with the publication of a planning review.

The local authority may negotiate with the regional environment centre on the adequacy and implementation of the participation and assessment scheme. Before the plan proposal is made available to the public, interested parties have the opportunity to propose negotiations to the regional environment centre on the adequacy of the participation and assessment scheme. If the scheme is clearly inadequate, the regional environment centre shall, without delay, arrange negotiations with the local authority to examine what additions are required.

The interested party making the proposal and, as necessary, authorities and organizations whose sphere of activities the matter concerns, shall be invited to attend the negotiations.

The plan proposal shall be presented in public. Members of the municipality and interested parties shall be provided with an opportunity to express their opinion on the matter. The local authority's reasoned opinion on the objection shall be made known to objectors.

When the regional plan is being drafted there shall be contact with the competent ministry and the regional environment centre. Negotiations shall be set up between the competent ministry, the regional environment centre and the regional council to clarify how national objectives and other key goals pertain to drawing up of the plan. Other plans which concern national or important regional land use objectives, or which are otherwise important in terms of land use, natural values, cultural environment or government authorities' implementing obligations shall be prepared in contact with the regional environment centre. Negotiations shall be set up between the regional environment council and the local authority to clarify how national objectives, and regional and other key goals pertain to drawing up such a plan.

The decision to approve a plan must be sent immediately to those members of the municipality and objectors who so requested, and at the same time provided their address, while the plan was available to the public. If a letter stating such a request has several signatories, only the first signatory need be notified of approval of the plan. The first signatory is responsible for making the information known to the other signatories.

Public participation:

A local master plan proposal shall be made available to the public in the municipalities in the plan. Members of the municipalities and other interested parties are entitled to enter objections to the proposal. Owners of land, titleholders or whose address is otherwise known to the local authority, shall be sent a written notification that the local master plan proposal is being made available to the public. If the party in question has accepted the local master plan proposal, no notification need be sent.

There is a comprehensive appeal system. Local residents or concerned parties can make an appeal at municipal levels from administrative courts to the Supreme Administrative Court. 

Planning permission for building developments is subject to hearings involving the owners and tenants of neighbouring properties. Neighbours must be duly notified of applications for planning permission and the timing of official surveys of sites to be developed. 

Figure 7.2.2.1.        Environmental administration in Finland

Source: Finnish environmental administration - www.vyh.fi/eng/orginfo/organisa/organisa.htm

7.2.2.2 Environmental Evaluation / SEA in Urban Development

A. Regulatory mechanisms

Statutory mechanism

Finland had established two systems for SEA. First, a general requirement to assess the environmental impact policies, plans and programmes is imposed on responsible authorities under the EIA Act. There is a detailed provision for SEA of land use plans under the Building and Planning Act (1999) and brief reference to the assessment of environmental impact in the Act on Regional Development (1993). Second, the environmental impact of legislative proposals is subject to assessment under a decision-in-principle of the Finnish Government (11 June 1998).

The legal obligation to investigate and assess environmental impact is also laid down in various other laws, decisions and directives, including the Building Act (370/1958, amended 469/1994), the Water Act (264/1961), the Forest Act (1093/1996), and the Nature Conservation Act (1096/1996), the Regional Development Act (1135/1993) and the Regional Development Decree (1315/1993), the Decision of the Council of State on the objective programmes under the Regional Development Act and on the general grounds for allocation of regional development financing (25.4.1996), and the Decree on the European Union’s Structural Funds (2081/1993).

Chapter 5 of the Finnish Act on EIA Procedure (468/1994) related to general investigation duty and states (section 24) that policies, plans and programmes “that may have a significant impact effect on the environment shall be investigated and assessed to a sufficient degree”. This provision requires all spheres of government to assess their own actions at this level. A subsequent Decree on EIA Procedure (268/1999) sets out the functions of various Finnish environmental authorities at the project level, but does not specifically address the role of the responsible authority with regard to policy, plan or programme. The Council of State issued Guidelines for this purpose (Finnish Ministry of the Environment, 1998).

SEA is particularly well developed for land use plans, reflecting the detailed procedure laid down in the Building and Planning Act (1999), and in transport sector. There have been applications at the policy level. For example, there will be an SEA of national land use objectives and another of guidelines for road management and development to 2015.

A separate SEA process applies to the preparation of bills and other proposals, such as government resolutions and ministry decisions. It requires all statutes to be appropriately assesses and monitored for their overall environmental impact by each ministry. Guidelines for EIA of legislative proposals were issued by the Council of State (Finnish Ministry of the Environment, 1998) and are intended to complement other guidelines relating to economic and business impacts. Specially, they are intended to promote and support comprehensive expert assessment of the environmental impacts of all new legislation and shall apply immediately. Each ministry is responsible for assessing its own legislation but, if necessary, may undertake a cooperative approach with other branches of the administration.

Another mechanism for regulating the environmental evaluation is by the statutory Finnish guidelines.

The Finnish guidelines have several principles and measures:

· establishing the need for EIA by reference to the different functions of legislation and their potential environmental impacts

· inclusion of a checklist to address the effects of a new law and a flow diagram illustrating the progression of EIA at different stages of the legislative process

· stipulation that the various alternatives and their environmental impact shall be examined broadly and methodically including the zero alternative

· obligations related to early communication with groups of citizens and parties who may be affected by the law and the authorities responsible for implementing it

· requirement to present the information on the positive and adverse effects of the law in the government bill concisely but comprehensively

· plan to monitor environmental impact of a law after it enters into force

Section 24 of the EIA Act stated that when an authority prepares a plan, programme or policy whose implementation is likely to have a significant impact on the environment, its impact must be investigated and assessed to the necessary extent. This applies to policy on taxation, payments and subsidies, and to plans, programmes and policies concerning the environment, energy, transport, industry, forestry and agriculture, for example. As stated in its preamble, the legal obligations of the EIA Act also apply to administrative and financial planning, and to regional development plans (Government proposal 319/1993vp, 9).

Council of State’s decision on committees (218/1988, amended 216/1990) separately stated that committee reports shall include an assessment of the social, administrative, economic, environmental and other impacts of each proposal.

In compliance with the Decree on the State Budget (1243/1992), the Ministry of Finance issues each year a regulation requiring an investigation into the environmental effects of the budgets and action plans proposed. Assessment of the environmental impact of Government proposals is required by the guidelines for drafting Government proposals (HELO guidelines, 1992). The Act on Regulations and Instructions Issued by the Authorities (1036/1996) requires that preparation of legislative proposals should have the investigations into the functional, administrative, economic, employment, environmental and other effects of the planned provisions. In connection with the Council of State’s programme for developing legislative procedures, the Ministry of the Environment is responsible for drafting a separate proposal for guidelines for environmental assessment in the preparation of legislative proposals.

Administrative mechanism

The Finnish national land use guidelines are one of the mechanisms that restrain the development project with non-legal binding power. The Guidelines laid down there include requirements on the quality of the living environment, economical and ecological development of community structures, the preservation of natural values and the built heritage, sparing utilization of natural resources, and functional communication networks.

B. Evaluation methodologies

Statutory mechanism

The Finnish EIA Act (Section 24) requires that an environmental assessment be made for all policies, plans and programmes that may have significant effects on the environment. The Finnish requirement to carry out environmental assessments of strategic actions is broader than that of the SEA Directive. The authority responsible for drafting the policy, plan and programme is responsible for determining the need for an assessment.

The SEA Directive does not specify the type of methods or approaches that could be used in an assessment of the issues. Finnish assessments have used a wide range of methods, from quantitative modelling to collection of qualitative information and expert opinions.

Basically, it can divide the assessment process into four stages. The first stage is the preliminary assessment stage. It has to undergo a checklist to determine whether the plan, policy and programme need the assessment or not. Preliminary screen can narrow down the projects need to be assessed.

Following the preliminary assessment stage, it comes to the scoping stage. The responsible ministry would define the scope for assessment. Scoping is a critical phase in all assessments, where this stage serves as a basis for both understanding the scope and boundaries of the assessment. The alternative actions that need to be assessed would also identify in this stage.

In the detailed assessment stage, there are many steps involved. The detailed can be referred to the flow chart below.

The EIA report should specify the following:

· The stages of preparatory work and environmental assessment, and the parties involved;

· key environmental problems related to the task at hand/environmental goals concerning the authorities;

· the main obstacles to solving environmental problems/attaining environmental targets (e.g. perceived conflict with previous practices);

· a description of how the main focus of policy has shifted, as compared with earlier plans, programmes and policies;

· how the new plan, programme or policy relates to existing documents drafted by the authorities, and to their prior environmental assessment;

· the preparation process and any factors restricting its scope;

· environmental impacts of alternatives

· outline of differing views on perceived impacts and the magnitude of impacts;

· prevention and mitigation of any harmful effects;

· the basic premises and methods used in the assessment, and any shortcomings or uncertainties in the data used;

· differences of opinion, both those that were resolved during environmental assessment and those remaining unresolved;

· recommendations for taking environmental aspects into consideration in implementing the plan, programme or policy; and

· recommendations for monitoring of environmental impact

After the publishing of the EIA report, the most prominent and distinctive feature is there should have the public review of the assessment. The public can voice out their opinions in this stage and the responsible authority should make reference to the opinions into the report. After undergoing the public review part, the environmental ministry would decide whether or not to implement the project.

In the final stage, the project is already implemented. The follow-up action would undergo monitoring and evaluation of the impacts of a project or plan for management of, and communication about, the environmental performance of that project or plan. 

The Checklist for determining the need for environmental assessment has incorporated the environmental protection and nature conservation, land use and transport, production and consumption, people and communities, management or likelihood of environmental hazards. There are many criteria that needed to be screened like the volume or type of emissions or waste, human health, living conditions, the volume of emissions from transport would be considered.

Administrative / non-statutory mechanism

Apart from the statutory mechanism in the SEA formulation, there is no other administrative / non-statutory mechanism in controlling the SEA formulation.

C. Process Flow Chart

Figure 7.2.2.2.        EIA flow chart

D. Summary Table

Table 7.2.2.1.                Summary Table for Finland

Urban Development Policy and Actions
Policy and Actions	Finnish EIA Act (Section 24)
Legislations / Guidance and Relevant Document *	Finnish EIA Act (Section 24), Building and Planning Act (1999)
Environmental Evaluations / SEA Status in Urban Development Policy and Actions
	Administrative	Statutory
Type of Assessment	N/A	Strategic Environmental Assessment
Requirement Mechanism	N/A	Statutory system
Legislations / Guidance and Relevant Document ^*	N/A	SEA Directive, The Finnish EIA Act,
Applications	N/A	Policies, plans and programmes

7.2.2.3 Analysis and Conclusion

Urban Planning Policies

Establishing working links among different government departments takes a longer time due to the separate traditions and planning paces in the sectors. The interagency collaboration between regional councils, regional environmental authorities, municipalities and the Finnish Road Administration is not a simple process.

The parliamentary committees have taken up transport policy, but strategic planning has developed on an ad hoc basis.

Environmental evaluation / SEA

In some cases arguments about the need to carry out an assessment delayed the initiation of the assessment. Other delay in this regard were caused by argument over whether or not an assessment can be made before a policy, while plan or programme is available, at least in draft form. Delays in the initiation of the assessment would affect the possibilities to use the assessment results.

For land use plans the question of timing has been solved at the level of legislation. The Land Use and Building Act require public participation and assessment scheme to be prepared at the beginning of the planning.

SEA appears to have led to a greater environmental awareness of those involved in SEA and plan making processes. Public participation has extended and there is a more transparent public decision-making under the requirements formulated in the Finnish constitution.

Finland provides Guideline lists for plans, programmes and policies whose implementation may be presumed to have a significant impact on the environment. There is also a checklist for determining the need for environmental assessment.

7.2.2.4 Project Examples

Example 1	Main Road network development plan Assessment of the Nordic Triangle
Description of the Study	A project, in which the National Road Administration (NRA) was closely involved, provides an example of environmental assessment within the framework of a long-term project programme. The Nordic Triangle transport projects in Finland had undergone the environmental assessment concerning different possible impacts in the area.
Process of the Study	In 1995, the Ministry of Transport and Communications formed a task force to assess the environmental impact of the Nordic Triangle transport projects in Finland. This was the first Finnish broad range transport corridor development impact assessment The task force was to study and assess traffic development, development alternatives and environmental impacts of the alternatives. (Finnish Ministry of Transport and Communications 1996). The task force formulated four road and railway investment alternatives, with different transport policy aims, and evaluated their most important positive and negative consequences. Starting with a traffic impact study, the evaluation looked at impacts on the national economy, regional and urban structure, the natural and cultural environment, well-being, groundwater protection, energy use, emissions and traffic safety. The time period studied extended to the year 2010. Transport infrastructure planning involves the analysis of all forms of transport in urban and semi-urban areas, as well as its impact on land use. Budget and action plans are the link between long-term goals and annual policy decisions, but their role in the overall planning process is somewhat ill-defined. It is therefore difficult to gauge their precise role from an environmental perspective. Recently, the drafting of budget and action plans has no connection with the assessment of transport policy and related public debate. In the first stage of assessing the environmental impact of the National Road Administration budget and action plans for 1997-2000, a rough outline was drawn up, indicating those strategic areas which lent themselves to assessment, and the manner in which year-to-year divergences from usual policy had affected their environmental impact. The budget and action plan was assessed alongside the Ministry of Transport and Communications objective programme for reducing the environmental hazards of transport. A table was drawn up on the basis of the objective programme, listing all key environmental targets related to road maintenance and transport. The next step was to evaluate whether the NRA’s strategic decisions and projects fell in line with the Ministry of Transport and Communications. Goals and conclusions were drawn as to which measures facilitate and which inhibit the attainment of those goals, plus the extent to which extraneous trends ameliorate the desired impact. The following impacts have been assessed: · Structural repercussions, impact on social policy · impact on the national economy · impact on regional structure · impact on urban structure · Direct environmental impact · diversity of the natural environment and cultural heritage · public amenity · protection of groundwater · energy consumption and resultant emissions · road safety and conveyance of hazardous substances. In assessing the environmental impact of the Nordic Triangle, the working group considered four alternatives which differed in respect of their emphasis on either road or rail transport. The working group involved in the environmental assessment of the Nordic Triangle first heard the opinions of various interest groups and authorities on transport policy. A public meeting was attended by various authorities and NGOs (combined turnout 72 people). The proposals put forward at the meeting and the reply of the working group were compiled and published as an annex to the environmental assessment report (Ministry of Transport and Communications 1996). In order to shed further light on the views expressed by the press, an extensive selection of articles written about the Nordic Triangle (369 in all) were analysed in detail. The ensuing discussion was summarized and published as part of the environmental assessment report.
Outcome of the Study	Four press releases were issued on the working group’s progress. Opinion differed on the following points: · trends in background variables and means of regulating demand for transport; · the goals of the project and its precise repercussions; · the consequences and importance of investing in transport; and · the precise content of the various alternatives Opinions on the assessment report were requested from 52 different groups. All agreed that environmental assessment was valuable, and the general hope was expressed that the assessment method would continue to be developed in future. The respondents were mostly satisfied with the arrangements concerning their participation, although many expressed concern as to how environmental assessment can be successfully integrated as a part of decision-making. The main perceived shortcoming was that the assessment was carried out separate from other planning for Nordic Triangle projects. In 1997-1998, a SEA was made for the Helsinki Metropolitan Area Transport System Plan. The assessment was conducted for the year 2020 and it examines the impacts of three different transport system alternatives on traffic and mobility, land use and environment as well as social impacts

Example 2	Assessment of the National Waste Plan
Description of the Study	It focuses on the community waste. The main objective is to assess the possible environmental impact over the plan.
Process of the Study	Different alternatives were identified by interviewing members of the Waste Commission (which acted as the steering committee) to establish their views on the targets, strategies and steering instruments proposed in the draft National Waste Plan. A set of scenarios was compiled, where Scenario 1 corresponded to the model proposed in the first draft version of the National Waste Plan, and the two others were alternatives put forward by members of the Waste Commission. Because opinion differed widely, particularly on the point of steering instruments, it was not possible to assess all conceivable combinations of targets, strategies and steering instruments. Rather, the scenarios were intended purely to reflect key divergences in the proposed policy lines. A brief summary of scenarios is given below (Saarikoski 1996): Scenario 1 Prevention of any further increase in the volume of waste, the target being to ensure that the 2005 level does not exceed that of 1994. Recovery of energy through at-source sorting of waste. Steering instruments the same as those set forth in the National Waste Plan. Scenario 2 The volume of waste rises 25%, energy recovery based on centralized sorting, fewer steering instruments than in Scenario 1. Scenario 3 Twenty per cent reduction in waste, recovery based on reuse of material resources, more steering instruments than in Scenario 1.
Outcome of the Study	For the assessment of the National Waste Plan, a Waste Commission made up of various interest groups acted as the steering committee. As a result time constraints, however, the committee was unable to collaborate as closely as in the case of the regional waste management strategy. The Waste Commission was offered opportunities to comment on the assessment procedure and the draft reports, and its members were also interviewed at the start of the assessment to help the formulation of the alternatives and the definition of assessment criteria (Saarikoski 1996).

7.2.2.5 List of References

· A Practical Guide to the Strategic Environmental Assessment Directive, 2005, http://www.ehsni.gov.uk/bm_sea_practicalguide.pdf

· Legislation on land use and building, http://www.ymparisto.fi/default.asp?contentid=65699&lan=en

· Finland’s National Land Use Guidelines, Finland Council of State, Ministry of the Environment Land Use Department, 2000, http://www.environment.fi/download.asp?contentid=18009&lan=en

· The Environmental Assessment of Plans, Programmes and Policies in Finland, Ministry of the Environment, Finland, 1999, http://www.ymparisto.fi/download.asp?contentid=19877&lan=EN

· Act on the Assessment of the Impacts of the Authorities’ Plans, Programmes and Policies on the Environment, 2005, Finland, 1999, http://www.ymparisto.fi/download.asp?contentid=44490&lan=en

· Act on Environmental Impact Assessment Procedure, Ministry of the Environment, Finland, 2006, http://www.ymparisto.fi/download.asp?contentid=84193&lan=en

7.2.3 France

7.2.3.1 Urban Development Policies and Actions

A. Regulatory mechanisms

Executive and decision-making competencies in France are shared out among the four institutional levels (State, regions, departments and municipalities); and municipalities are competent to town planning. The French urban planning processes are largely attached to the municipal level.

Urban Planning Agency is the main government agency responsible for planning.  It was established under the 1967 Land Use Planning Act and is now being set up in most large urban areas in France. Its major role is to provide municipal governments with technical support for planning and carrying out their urban project proposal. The Urban Planning Agency focused on producing planning studies, urban planning documents, encompass spatial planning, economic development, transportation issues, the environment and urban policies.  For the implementation of planning, it is carried out by the central government or by local governments.

The main national rules governing new development are called Les dispositions imperatives du règlement nationale d’urbanisme (RNU).  Whilst a small number of RNU have national authority and are applicable to all circumstances, where a local plan is in place, then the local rules take precedence. With the decentralisation laws of 1983 (which shared competences and decision power among states, regions, departments and municipalities), local authorities become major actors in development and spatial planning. For example, municipalities became solely responsible for their planning and land use documents. As a general rule, in the absence of local plan, the RNU forbids new building outside built-up areas, except those relating to changes to existing buildings or agricultural nature.

Yet, State involvement remains; either it is a partner or it plays a central role during a urban development process through two designated organisations the Délégation à l’aménagement du Territoire et à l’action régionale (DATAR) and the Comité Interministériel à l’Aménagement et au Développement du Territoire (CIADT).

The DATAR, created in 1963, plays a central role in state spatial development decisions. Concerned with the cohesion and the balanced and sustainable development of the national territory, the DATAR is responsible for coordinating sectoral decisions which affect spatial/territorial development and planning. The CIADT makes the decisions on the Ministries Council in the field of spatial planning. This committee regroups experts in their fields coming from the different ministries: Planning and building (Ministère de l’Equipement) and Environment.

Another set of national regulations are called Les directives paysages or Directives de protection et de mise en valeur des paysages. The regulations concern mainly on the volume and height of buildings and external aspects of the development. These two regulations can affect the determination of a planning application.

Regional Spatial Planning and Development Blueprints (Schemas regionaux d’amenagement et de developpement du territoire - SRADT) were conducted under the terms of the 1995 Spatial Planning and Development Act. These blueprints set the basic guidelines for sustainable regional development in the medium term. The blueprints aim at shaping the content of contracts between the central government and the regional governments. SRADT is elaborated and approved by the Regional Council after consulting the different “departments” forming the Region and the Regional Economic and Social Commission (Conseil Economique et Social Régionale, CESR). 

The SRADT defines the fundamental orientations of the region’s sustainable development and the targets in terms of:

· the locations of the major facilities, infrastructures and services of general interest,

· the development of economic projects,

· harmonious development of urban, suburban and rural areas,

· protection and conservation of the environment, sites, landscapes and natural heritage,

· rehabilitation of derelict areas, and

· incorporation of the interregional or cross-border dimension of planning

Under the SRADT, 3 documents are produced:

· A prospective plan at 20 years, based an exhaustive diagnosis of the region’s situation

· A regional Charter that defines the development strategy for the coming 10 years

· A serial of maps “specialising” the different projects

The Territorial Cohesion Blueprints were instituted by the Urban Solidarity and Renewal Act of 13 December 2000 (as amended by the Urban Planning and Housing Act of 2 July 2003). The Territorial Cohesion Blueprints set out the general guidelines for spatial planning, and, more specifically, for maintaining a balance between areas to be built up and natural, farming or forested areas. It also sets out the objectives for balancing housing, the social mix, public transport, as well as commercial and business facilities.

Before drawing up the Blueprint, a development strategy needs to be set out in a Spatial Planning and Sustainable Development Proposal by Public Corporations for Cooperation between the Communes for the area concerned. The Territorial Cohesion Blueprints are subject to public inquiries before being approved. The Blueprints are then reviewed at least every ten years.

Spatial Planning Directives 1995 are the other local planning documents drafted by the central government with an aim of striking a balance between development and conservation which is applicable to certain areas:

· where there are problems choosing suitable locations for major urban areas or transportation corridors that are subject to geographical constraints

· where there are strong population pressures, shortages of land or ecological risks

In local land use plans, the state takes part in their elaboration, having a special attention on ensuring that local plans meet sectoral policies or spatial strategies at the upper level.

Spatial Planning Directives summarises the central government’s spatial planning objectives and guidelines for the area concerned, with the aim of striking a balance between development and conservation. The Directives are drafted by central government staff and coordinated by the Prefectures in consultation with local partners.

The guidelines set out in the Spatial Planning Directive also apply to Territorial Cohesion Blueprints (SCOT) and Local Urban Planning Maps.

At a regional and county level the most significant planning regime is the Schémas de cohérence territoriale (SCOT). The purpose of the SCOT is to delineate the major spatial development policies relating to urban planning, housing, transportation and commercial facilities for the area under examination over the medium to long-term period.  They may be best approximated to a county level 'Structure Plan'. The whole process is carried out in a collaborative basis involving the various level of government in the region or the département (county). The plan is subject to a public enquiry but, once approved, is valid for a period of ten years.

The level of preparation of SCOTs is variable across the country as they were only introduced through a law in 2000. If a SCOT is not in place in an area, then the applicable regional/county plan will be the Schéma directeur d'aménagement et d'urbanisme (SDAU), the predecessor of the SCOT.

On the municipality level, the main local land use plan including the rules is the Local Urban Planning Maps. Placing sustainable development as the priority, the Local Urban Planning Maps defines the development strategy of a municipality with the consideration of all the issues including environmental ones and elaborate the local land use rules in coherence with this strategy.

The Local Urban Planning Maps must be compatible with the Territorial Cohesion Blueprints. They are more comprehensive than the previous zoning maps, which was replaced in 2000. They set the zoning rules for building and land use for a Commune or a group of Communes, defining urban zones, facilities zones, agricultural zones, etc. Same as the Territorial Cohesion Blueprints, the Local Urban Planning Maps are based on a Spatial Planning and Sustainable Development Proposal.

The purpose of the Local Urban Planning Maps is to determine a development plan for the commune (or the various communes that are party to the plan) and the general planning rules that will apply to the locality and to specific sites. The preparation of a Local Urban Planning Maps takes place in consultation with all the relevant statutory bodies and must be subject to a local public enquiry before it can be adopted. Once adopted, it has a legal and binding force.

Where a Local Urban Planning Map is in place, planning permission can be granted by the mairie (or inter-communal body), otherwise all planning applications would need to be determined by the county planning and highways department, called the Direction départementale d’equipement (DDE), in consultation with the mairie.  Notwithstanding this power, some smaller local councils are not able to offer a planning service so continue to rely on the DDE to determine applications.

The Local Urban Planning Maps establish planning zones for the area, the planning rules that will apply to new development, and information on major development constraints. This part of the plan will set out the general planning rules that will apply within each development area. In particular, it will set out rules on change of use, permitted height of buildings, building arrangement, any architectural requirements, and public utility services and requirements. It will also set out the maximum permitted density of development on a site for new and existing buildings. These rules are called the coefficient d’occupation des sols (COS).

B. Overview of evaluation approach

Statutory approach

Since the French planning system is directed by the local authority, the national level planning would have less influence over the local plan. The following is the local plan formulation.

The DDE, based in a prefecture level, consists a network of local offices throughout each county.

To begin the process, the DDE are obliged to confirm in writing receipt of application, which they will do with a formal receipt and registration number. The mairie are also obliged to place a notice of the planning application outside of the town hall.

If the application has been incorrectly submitted then they must write to the applicants, requesting new or correct information. The applicants then have to submit the additional information.

Once the planning authority has received a correctly completed application, they must make a decision within a specific timescale, which depends on the type or location of the project.

In the case of historic buildings or protected areas, the planning authority is obliged to consult with the Architectes des Bâtiments de France (ABF) who is located in each préfecture. The mairie is also entitled to consult with the ABF in other circumstances, if they deem it desirable to do so.

The ABF are entitled to be very prescriptive about any consent that may be granted. An unfavourable opinion by them will almost certainly result in refusal of the application, although the mairie can contest their view if they do not agree with it.

If a decision is not received within the allotted timescale, then the law states that consent is said to have been granted tacitly, although tacit consent does not operate in relation to protected sites or buildings.

If the application is refused, or conditions are imposed which the applicants find unacceptable, then the applicants have a right of appeal back to the planning authority, the préfet or the Tribunal Administratif.

Administrative / non-statutory approach

In the absence of a local plan, there is a presumption that only new development within or adjacent to existing development areas, and with access to water and electricity services, will be granted with planning permission for new buildings.  As a general rule, it would nevertheless be possible to obtain planning permission for enlargement, modification or change of use of existing buildings through the administrative / non-statutory plan, carte communale. The plan may not necessarily cover the whole area, but merely that to which priority is being given, or which may be particularly sensitive.  In the absence of detailed planning rules set out in a Local Urban Planning Map then the Règlement National d’Urbanisme (RNU) apply.

Whilst there are no particular procedural formalities for the preparation of a carte communale, the plan is prepared in consultation with departmental and regional officials, and is subject to a local public enquiry. The plan remains valid and in force until otherwise altered by the local council.

7.2.3.2 Environmental Evaluation / SEA in Urban Development

A. Regulatory mechanisms

The Ministry of Environment is responsible for environmental quality, the protection of nature and the prevention, reduction or elimination of any pollutants, nuisances and risks. The Roads and Motorways Engineering Department, and the Public Works Regional Engineering Centre, both of which come under the aegis of the Ministry of Public Works, Transport and Housing, have developed a SEA methodology.

Statutory mechanism

In France, environmental policy has been established since the 1970s. Until now, the environment is mostly taken into account through land-use plans and the environmental appraisal of programmes. There are several laws require the inclusion of environmental concerns.

Strategic Impact Assessment (SIA) is a legal requirement at policy level for proposed laws and at regional levels for Master and Zoning plans. SIAs were introduced in the 1990s and were applied to public participation for major transportation projects.

The French adopted an Environmental Code in 2000 to harmonize previous laws and requested that environmental assessments be undertaken for projects, programmes and plans, and particularly for planning documents. Ordinance No 2004-489 was issued in 2004 introducing the European SEA Directive in the Environmental Code, the French Environmental Law, which provides statutory requirement for SEA of plans and programmes.

SEA in France at policy level is governed by Strategic Impact Assessment which is a statutory requirement. For the Environmental Code, it provides statutory requirement for SEA of plans and programmes.

The new French law on land use plans (Solidarité et Renouvellement Urbain, December 13 2000) has also led to some progress toward SEA. Specifically:

· Local urbanization plans must now have a forward-looking focus which integrates sustainable development concerns and spatial planning, consistent with territorial coherence schemes (master plans)

· Diagnosis and strategic planning must take account of the interactions between sectoral decisions

The requirements of the EU SEA Directive are mentioned in the formal advice of Conseil Général des Ponts et Chaussées (Highways) on the so called "Rapport Chassande” (20 June 2000)

Administrative / non-statutory mechanism

There is no administrative / non-statutory mechanism in the French system.

B. Evaluation methodologies

Statutory mechanism

In France, monitoring and follow-up are not required in the SEA process.

A multi-modal approach to SEA is used for assessing different policies, plans and programmes.

Three types of environmental assessment are provided for in the context of State–Regions Planning Contracts (Contrats de plan État –Régions or CPER):

· An ex-ante assessment- a prior environmental assessment, to prepare for a decision, based on the precautionary principle;

· An accompanying assessment allowing for periodic review of the environmental effects of decisions following implementation;

· An ex-post assessment, offering the opportunity to take stock of the environmental consequences of implementing a plan or programme, and serving as a guide for future projects

For ex-post evaluation, the Ministry of Regional Development and the Environment has proposed a six-step outline procedure capturing the main principles.

The principal steps of the overall process:

· Environmental diagnosis (an environmental profile describing the state of the environment and listing political objectives at different scales – international conventions and protocols, European policies, national objectives, regional objectives, etc.)

· Compatibility analysis (by means of matrix) between the strategic action and the main reference objectives

· Assessment of the importance of the potential environmental impacts of the whole plan

· Evaluation of interactions between measures

· Public consultation - After being set up most of the territorial plans and all urban plans are subject to a public inquiry. The proceedings of this public inquiry are very precise: the plan has to be consulted for one month; an independent investigating commissioner collects and synthesizes the opinions about the plan, gives a positive or negative recommendation, which can be followed or not by the responsible authority.

Administrative / non-statutory mechanism

There is no administrative / non-statutory mechanism in the French system.

C. Process Flow Chart

Figure 7.2.3.1.        Stages in the environmental assessment

D. Summary Table

Table 7.2.3.1.                Summary Table for France

Urban Development Policy and Actions
Policy and Actions	Municipal Zoning Plans Plan local d'urbanisme (PLU) Consists of the PADD, which determines development targets for a sustainable development of the planning area, and the zoning (Zonage)
Legislations / Guidance and Relevant Document *	1995 Spatial Planning and Development Act, Urban Solidarity and Renewal Act, Territorial Cohesion Blueprints (SCOT), Local Urban Planning Maps
Environmental Evaluations / SEA Status in Urban Development Policy and Actions
	Administrative	Statutory
Type of Assessment	N/A	Strategic Impact Assessment
Requirement Mechanism	N/A	Statutory
Legislations / Guidance and Relevant Document *	N/A	Strategic Impact Assessment for policy level, Environmental Code for plans and programmes
Applications	N/A	Strategic Impact Assessment (SIA) for Policies level SEA for plans and programmes level

7.2.3.3 Analysis and Conclusion

Urban Planning Policies

France has adopted a hierarchical planning system with a clear hierarchy. The municipal level governments take the lead in urban planning while with national planning guideline as a supplement for the planning policy.

The municipal government is responsible for the implementation of the projects. The clear cut between the national and municipal government with distinctive role in the administration and setting guidelines would prevent the overlapping of governing the same regions.

The French planning-system is vertically structured; there is a compatibility link between the different plans on the differents scales.

The SRADT has no prescriptive value for local planning documents, but stress on the public consultation process., It is a prospective document that local planning documents should take into account. Furthermore, the European economic and social cohesion policy is coordinated with the orientations of the SRADT in relation to the structural funds.

Environmental evaluation / SEA

France began to transpose the fundamental elements of the SEA into national law in the area of spatial planning as early as 2000 (local land use planning, however, became a subject of SEA only in 2004 by the amendment of the Code de l'urbanisme).

7.2.3.4 Project Examples

Example 1	Northern Corridor
Description of the Study	Identification of route options for each mode Comparison of new infrastructure scenarios
Process of the Study	Criteria: Surface water – Hydrographic network and surface water Underground water – Potable water supply catchment and productivity Natural environment – Biotope conservation order, nature reserve, special protection zone, bird community interest zone, protected natural site, marsh, and heath, brush Vegetation – forested massif Noise – quiet zone Agriculture – specialized crops, fragile soil, field crops, mixed farming and pasture Heritage – areas of protected urban and industrial heritage and notable buildings, protection area and conservation area Human and industrial activities – existing urbanization, industrial and commercial zone, hazardous and industrial installation, contaminated site, airport, military land, main electricity line and landfill Landscape – notable and exceptional landscape The study encountered the following methodological issues: · Accounting for the effects of more than one transport mode in a corridor · Variability in the number of transportation elements to each scenario · Cumulative effects assessment · Variable levels of data and project alignment detail · Diversity of types of transportation elements · The twinning of certain infrastructure elements · Implementation schedule such that new infrastructure is not delivered simultaneously
Outcome of the Study	Display certain weaknesses that reflect the availability of different assessment techniques. The GIS approach is well suited to handling environmental issues that are capable of being mapped. However, relationships with matters of policy and social/community or health dimensions are not considered.

Example 2	The Franco-Spanish Highway project (The Somport Tunnel)
Description of the Study	The Franco-Spanish Highway project through the Pyrenees mountains and the cross border tunnel link on the ground -The Tunnel of Somport
Process of the Study	Since 1986, the idea of a Franco-Spanish tunnel link has been debated to permit to describe the French National Road (RN 134) as the European Main Road (E7). In 1989, the departmental Direction of Equipment of Pau published a booklet on the "modernization of the trunk road Pau-Zaragoza". The two towns are linked up by the National Road RN 134 in France and the N 330 in Spain which cross the Aspe valley, the Somport pass and the Canfranc valley. Parallel to this road and crossing the pass by a rail tunnel, there is a line, closed since 1972 between Oloron and Canfranc. The road project proposed to create a highway between Pau and Oloron, to widen and straighten the RN 134 in the Aspe valley, to bore the tunnel under the Somport pass and to straighten the Spanish road in two ways to Zaragoza. This project would increase the road traffic by three for the cars and and by ten for the lorries. This case relates the project's cross border tunnel link highway between France and Spain through the Pyrennees Mountains. The proposed 8.6 Kilometer (5.4 mile) tunnel through the Aspe Valley was presented as a vital element in the completion of the new highway, which is intended to link the southwestern French town of Pau with the northern Spanish city of Zaragoza. The project was subject to approval by a treaty between the French and Spanish governments which was later ratified by their respective national parliaments. This project has been first cancelled by the administrative court of Pau (December 1992) which declared that officials failed to examine both the direct and indirect impact of the tunnel on the surrounding region as required by EEC Directive of 1985.
Outcome of the Study	The project was also subject to approval by a treaty between the French and Spanish governments (25/04/1991) which was later ratified by their respective National Parliaments (for France, it is the Act of 21 December 1991). However may be, the tunnel of Somport is under construction but lots of problems and questions still exist: In 1999, when the tunnel will be operational, only 22.6 kilometer (49%) will be realized on the French side, 6.5 kilometer (14%) still under construction and 16.8 kilometer (37%) will not be realized or programmed... Due to time extension, the whole works will not be ended before 2012 or 2014. The last financial cost estimate (in 1997) increase the bill to 950 Million Francs (the initial cost was 450 Million francs)

7.2.3.5 List of References

· French Planning System,http://www.french-property.com/guides/france/building/planning/

· Environmental Code can be obtained from http://195.83.177.9/upl/pdf/code_40.pdf

· Strategic Environmental Assessment: A sourcebook and reference guide to international experience, Barry Dalal-Clayton and Barry Sadler, 2004, http://www.iied.org/Gov/spa/documents/SEAbook/Chapter3_Oct04.pdf,page70

· European Environment Agency, Implementation of strategic environmental assessment in the transport sector - Indicator assessment. ERM, 2000: Draft results of a survey on behalf of DG Environment, of the Member States’ use of Strategic Environmental Assessment (SEA) in relation to the transport sector. Environmental Resources Management (ERM), London, United Kingdom, 2000, unpublished. Study on behalf of the DG ENV. http://themes.eea.europa.eu/Sectors_and_activities/transport/indicators/integration/TERM38%2C2001/Implementation_of_SEA_TERM_2001.doc.pdf

· Barry Dalal-Clayton and Barry Sadler, 2004, http://www.iied.org/Gov/spa/documents/SEAbook/Chapter3_Oct04.pdf,page70

· Environmental Code can be obtained from http://195.83.177.9/upl/pdf/code_40.pdf

· Contrats de plans are general agreements between the Central Government and each Regional Government on co funding certain facilities.

· Macrory. R., PENELOPE, Somport Tunnel, http://www-penelope.drec.unilim.fr/penelope/cases/france/FRAcase.htm

· SEA applied to Multimodal Corridors. Methodology developed by France: The Case of the North Corridor, P.Scriabine (1999), SETRA, France, presented at OECD/ECMT Conference on SEA for Transport, Warsaw, October 1999, available on website: http://esteast.unep.ch/includes/community_file.asp?community=est-east&file=C8D2FDE1-35A3-416B-B711-EA5F765B58EC

7.2.4 The Netherlands

7.2.4.1 Urban Development Policies and Actions

A. Regulatory mechanisms

The limited land resource in the Netherlands forces the country to put much effort in conserving the environment. This has manifested itself in a strong land use planning system and in a very high and long-standing level of public interest in environmental protection.

Before 1965, there was a tradition of local regulation of the rapid urban expansion taking place between the end of the 19th century and World War II. The old regulations focused on building activities at the municipal level: housing, the provision of sanitary and transport infrastructure, and played an active land supply role. It encouraged rapid urban expansion. The expansion of the urban area leads to the reform in land use planning resulted in the Spatial Planning Act 1965. The planning system in the Netherlands is based on the Spatial Planning Act 1965 and the accompanying Decree of the Minister of Spatial Planning, Housing and Environmental Protection. The Spatial Planning Act constitutes of the basic framework for Dutch land use planning practice.

The Spatial Planning Act builds upon the concept of vertical coordination between the three major layers of government: the national (state), the provincial and the municipal levels. Basically, the spatial plan prepared at a higher administrative level for a larger-scale area sets the framework for detailed decisions regarding local areas.

At the national level, the Spatial Planning Act requires a statement of national planning policy to be prepared by the central government about every ten years since 1960. The statements are subjected to public consultation and approval by the parliament.  At the provincial level, the Spatial Planning Act requires the preparation of a regional plan covering the whole, or major parts, of a provincial area. These plans, which should be updated about ten years, are subject to public consultation and approved by the provincial representatives. The physical, economic and environmental proposals of different sectoral bodies are integrated into policy strategies and transformed into land use development proposals in the regional plans. These regional plans provide the framework for the approval of municipal plans and are indicative but not legally binding. Provincial authorities can either accept or reject municipal plans, while they can only give detailed directions to municipalities in extreme situations. Furthermore, the provincial plan serves as a framework for regional sectoral policy plans, like the plans for water, transport or landscape protection.

At the municipal level, the Spatial Planning Act requires two kinds of plans, namely the municipal structure plan and the detailed land use plan. The structure plan is non-obligatory which provides a long-term vision of the development of the municipal territory and serves as a means of communication with the local people. The detailed land use plan is the most important part in the planning system. It is the only plan that legally binds citizens, organizations and public bodies, thereby creating legal certainty for individuals concerning their interests, particularly their property rights. Also, the detailed land use plan is the basis of a system of permits for changing land uses, building activities, the avoidance of environmental nuisance and the protection of historic sites.

Based on the Spatial Planning Act, policy reports about the national and regional development are published regularly. These policy reports are prepared under the responsibility of the Ministry of Housing, Spatial Planning and Environment (VROM) and adopted and undersigned by the whole Cabinet. They set guidelines and principles for the regional development. The Ministry of VROM is also responsible for general environmental policy, setting standards for water quality and emission. The Ministry has to pass laws concerning air, soil and groundwater protection and to give advice to drinking water companies and sewage treatment organisations.

B. Overview of evaluation approach

For planning, the central government takes the responsibility in deciding and planning large and medium scale infrastructures including transport projects. Regional authorities have the major role for coordinating and supervising the local municipalities and preparing regional zoning plans for future development decisions.

At the lowest level, the municipal level, the municipal authorities are obliged to produce plans for urban area. Local municipalities are responsible to prepare and implement all the detailed land use and all construction plans within their territories. The procedure for requesting and granting building and development permits provides the basis for compensating others for possible loss of property value. Also, permit decisions are subject to an appeal procedure at various levels even up to the Council of State which is the highest national independent court.

At state level, there is a five step successive process in developing plans.

· In the first step, at the national level, the ministers of relevant departments such as the public works and water management, set their general policy framework for every 10 years.

· Second step is for listing the options of major infrastructures to be included in the policy framework whereas the list would be revised every year thereafter along with the budget prepared by the ministers.

· Third step is the assessment step. A multi disciplinary traffic, economic, financial and environmental assessment is carried out to guide the final decision for accept or not.

· The fourth is for the final decision which is given through the collaboration of relevant ministries.

· Final step is the inclusion of the given decisions in the provincial and local programs.

The implementation of the strategic principles takes place at the provincial level and local level by making concrete plans and specifying the guidelines. The organization and tasks of the 12 Provinces are governed by the Province Act. Provinces integrate the policies of different sectors of government, such as water management, environment, nature conservation, housing, physical planning and transport within their regional plans, called the streekplan. Provinces are authorized by the Spatial Planning Act to execute the spatial development strategies and they can decide the extent of their policy or their streekplan. The definitions of spatial development strategies are drawn up in the provincial plan (i.e. streekplan), which is not obligatory. Even without the obligation of drawing up a streekplan, all the Provinces prepare the streekplan.

The co-ordination with environmental and water management plans is required by law (Art.4a Spatial Planning Act, Art.4.9 sect.5 Wet milieubeheer and Art.7 sect.4 Wet op de Waterhuishouding). This co-ordination aims to ensure an interdisciplinary integration between all levels.

At municipal level the structure plan considers the future development for the area of a municipality or for a part of it. The structure plan is not obligatory but the provincial government can order it to be set up for a certain area and that certain issues have to be considered. The most important planning instrument at the municipal level is the local land use plan which is legally binding. This plan designates the land use and regulates the development in the area. The local land use plan has to be approved by the provincial executive.

7.2.4.2 Environmental Evaluation / SEA in Urban Development

A. Regulatory mechanisms

Statutory mechanism

As a member of the European Union, the Netherlands also need to adopt the European Directive 2001/42/EC (‘the SEA Directive) (European Commission (EC), 2001). The Environmental Management Act (EMA) was therefore revised in July 2006 to incorporate the requirements of the SEA Directive.  Unlike other European countries, the Dutch has already implemented two SEA systems for a period of time prior to the SEA Directive being put in effective.  They are the Strategic EIA and Environmental Test (E-Test). The Dutch ‘Strategic EIA’ is mandatory for certain spatial and sectoral plans, such as spatial plans on locations for housing and industrial area and sectoral plans such as waste, water and energy plans. An E-test is mandatory for new legislation with significant environmental consequences. Both E-Test and Strategic EIA follow the same principles, but are implemented separately and independent of each other. The E-Test was introduced in 1994 and was designed to assess the environmental impacts of legislation and regulations. Based on an administrative order the E-test is jointly carried out by the Ministry of Economy and Ministry of Environment. Both of them help to monitor and control the development projects in the Netherlands.

The development projects which may have a certain degree of spatial and environmental impacts, a Strategic EIA is often required under the legislation. The independent EIA Commission provides terms of reference for the Strategic EIA and publishes evaluations of the quality of the resulting report.

Strategic EIA and E-test are already implemented before the implementation of the SEA Directive in 2001. While in 2006, the EMA incorporated the SEA Directive with the two measures. The Environmental Management Act 1994 is the main Dutch law regarding environmental protection. Based on that law, the projects of a specific type and size under the current government regulations and that have been in effect since 1994 require Strategic EIAs. . The EIA Commission, which is an independent entity sponsored by the government, is responsible for approving the terms of reference of a Strategic EIA and evaluating the EIA report (namely Environmental Impact Statement-EIS). A committee of independent experts is assembled by the EIA Commission to perform these tasks, depending on the project type.

Every plan or project for which an Strategic EIA has been prepared in the Netherlands must be evaluated during or after implementation as stated in the Environmental Management Act (EMA) (s.7.39).

Administrative mechanism

Instead of just employing the statutory mechanism in the planning process, there is a mechanism which would help to monitor the planning process. The National Environmental Policy Plan (NEPP) 1989 is equivalent to a national strategy on sustainable development.

The NEPP is a national strategy for the environment, characterized by a management approach to manage environmental problems involving:

· adoption of quantified (measurable) targets and time frames;

· the integration of the environment into decision making by all sectors of society;

· clear identification of responsibility for actions;

· creativity in the design and use of policy instruments;

· a commitment to long-term reshaping of social and economic structures;

· recognition of the Netherlands' dependence on international cooperation and action.

B. Evaluation methodologies

Statutory mechanism

The competent authority, like the Ministry of Transport, Water Management and Public Works, is responsible for the Strategic EIA process which undertakes or approves a proposed activity. It determines if the proposed activity is subject to Strategic EIA, establishes the scope of an EIS, conducts a review on the EIS, decides whether or not permission for the proposed activity should be granted and monitors the environmental impacts of the proposed activity.

The EIA Commission has to make recommendations to the Minister of Environmental and the Minister of Agriculture, Nature Management and Fisheries with respect to applications for exemption from the obligation to draw up an EIS, and make recommendations to the competent authority with respect to environmental impact assessment.

According to the present EIA legislation, EIA Commission has a statutory role in the Dutch environmental assessment system. It advises the competent authority in the scoping stage (on guidelines for the environmental assessment) and in the review stage (on the quality and adequacy of the EIS).

The following steps are taken by the competent authority when undergoing Strategic EIA.

Screening

For each part of the country, regional spatial plans are already exist in the Netherlands. These are evaluated and revised on a regular basis. A usual cause for revision is that new residential, recreational or industrial developments must be allocated and new roads or water infrastructure must be built. If these future developments may exceed the threshold for EIA-projects or will be situated close to protected nature areas, a Strategic EIA must be carried out.

Scoping

The following criteria are applied:

1. all elements of the plan leading to projects exceeding the Strategic EIA thresholds

2. all elements leading to (individually or in combination with other developments) projects having significant effects for protected nature.

3. all decisions in the plan that are sufficiently concrete to be able to describe environmental impacts

4. all developments under the plan that are under jurisdiction of the government that decides on the plan

The Netherlands Strategic EIA process involves the competent authority publishing guidelines for the content of the assessment statement, after comments and advice from the public, environmental agencies and an independent expert committee.

EIS preparation

Environmental assessment is required for recording the assessment results but reporting on the preliminary review of the Strategic EIA is not required. Upon the receipt of the EIS, the competent authority is required to assess if the EIS meets the guidelines and legal requirements within 6 weeks from the submission.

The plan and the draft EIS have to be released to the public at the same time. Participants can submit their written responses on the plan and EIS to the competent authority, and voice their concerns at the hearing. Review by the independent NCEA is obliged in case the plan or programme is in or affects a nature area.

Consultation

The EIA Commission and the environmental government agencies will be consulted during the processes of scoping and review of the EIS. The consultation with them will be undertaken after the public consultation. The assessment by the EIA Commission will be mainly on the quality and completeness of the EIS.

Public participation will be taken in the phases of scoping and review of the EIS. During the period of the inspection of the environment report, anyone can provide comment on it and raise objections to the application of the proposed plans or programmes.

Post Consultation

In making the decision on the plans or programmes, the competent authority shall take into account the EIS and the comment provided by the public and the authorities. Written statement is required to explain how they have been considered.

Monitoring

A monitoring management plan is required to be part of the plan and programmes. With the cooperation of the project proponent, the competent authority is mandated to conduct post decision evaluation and the results shall be published.

Appeal system

There is no right to appeal against EIA Commission’s review findings. They are widely regarded as authoritative but they are sometimes challenged by proponents, by the competent authority or by the environmental groups, while the public still has the right to appeal to the court for the final EIS. The court then has the power to judge whether or not to accept the EIS approval.

Figure 7.2.4.1.        The EIA Procedure in the Netherlands

Source: VROM, 1994, http://www.vrom.nl/pagina.html?id=25089

E-test, which is treated as environmental protection scrutiny, is required for drafting laws and regulations. It is a qualitative appraisal, based on minimum steps and incorporates limited checks and balances. It is carried out using a short questionnaire and guidance from the Ministry of Housing, Spatial Planning and the Environment (VROM), which is then regarded as an ‘Environmental Protection Scrutiny (EPS)' process – with definition to any brief explanatory note on environmental assessment

The development projects in the urban area are also subject to the E-Test if it meets the criteria of the E-Test. E-Test was part of the wider Cabinet project to improve the quality of legislation and regulation and reduce their administrative and financial burden. Specific aim of the E-Test is to integrate environmental considerations in introduction of bills, general administrative orders, ministerial decrees and orders. The E-Test is a qualitative appraisal and only applies to ‘draft regulations that have substantial consequences for the environment’.

The minimum procedure of E-test follow 3 stages, they are screening and scoping, impact analysis and documentation and review and submission.

Phase 1 is the quick scan of proposed legislation which is used by the responsible ministry to substantiate the need for draft legislation, to identify potential significant effects and propose the tests to be carried out.

Phase 2 is the Impact analysis which is carried out in accordance with a written agreement on the information to be included in the explanatory memorandum.

Phase 3 is the review stage. The Proposed lLgislation Desk and Ministry of Justice and directed for comment to the Ministry of Environment.

Results of the E-Test by the responsible ministry (Ministry of Economy and Ministry of Environment) for a development project are documented in the Explanatory Note to the draft outcome of assessment. For the Strategic EIA, mandatory publication of a separate report on the assessment results with executive summary is required.

Non-statutory mechanism

The proponent can conduct a supplementary EIS during the reviewing stage for more information for the public.

C. Process Flow Chart

Figure 7.2.4.2.        Main steps in Strategic EIA

D. Summary Table

Table 7.2.4.1.                Summary Table for Netherland

Urban Development Policy and Actions
Policy and Actions	N/A
Legislations / Guidance and Relevant Document *	Spatial Planning Act 1965
Environmental Evaluations / SEA Status in Urban Development Policy and Actions
	Administrative	Statutory
Type of Assessment	Environmental Evaluation	Environmental Test (E-test), Strategic Environmental Impact Assessment
Requirement Mechanism	Administrative system	Statutory system
Legislations / Guidance and Relevant Document *	National Environmental Policy Plan	European Directive 2001/42/EC Official Gazette 1995, No.15 Environmental Management Act (1993, 1994, 2006)
Applications	Policies, plans and programme	Policy for E-test, plan and programme for Strategic Environmental Impact Assessment

7.2.4.3 Analysis and Conclusion

Urban Planning Policies

One of the points under local discussion is the adequacy of the power of provincial authorities to treat the municipalities, the level of cooperation between provincial and municipal authorities is significant for urban planning, especially transport, owing to the increasing importance of network society and economy with high mobility far beyond the city boundaries. The Netherlands has well experienced that the success of national policies depend on the collaboration of local authorities for implementation.

Environmental evaluation / SEA

The SEA follow-up procedures are well-developed and are recommendable for Hong Kong context. In current Hong Kong system, after the approval of the EIA, if it is the public works, it still needs to go through the Public Works Committee and the Finance Committee in the LegCo. While other projects which are not public run, they can start construction and there would have no follow-up procedure to monitor and evaluate the ongoing impacts on the neighbourhood.

The Strategic EIA procedure is project based. It has profound impact on decision making. The rather formalized Strategic EIA procedures with the provision of public consultation are established in the Netherlands. EIS appear to play a significant role in appeal procedures up to the level of the Council of State. While there is no tradition of Strategic EIA of the plans prepared under the Spatial Planning Act.

In the Netherlands, plans and programmes for which an assessment is mandatory, are listed. There is a well-developed decision hierarchy and tiering has tended to work well in the Netherlands, with Strategic EIA being able to reduce the number of project EIAs.

Strategic EIA and E-test are very different in concept. Strategic EIA sets out a comprehensive set of requirements to be integrated into plan preparation, while the E-test aims at introducing a minimum set. Strategic EIA ensures that the early stage of plan preparation is made public. The public is involved in both scoping and review of the EIS. An independent expert committee is asked for an advice on both the scope and the quality of the EIS. The Strategic EIA for specified plans and programmes follows a mandatory process, including examination of alternatives, public involvement in the scoping and review phases and review of the quality of the information by the independent Commission for Environmental Assessment (NCEA). The E-test ensures that an EIS is made. The report is reviewed by the Ministry of Environment and Justice jointly and the report is attached to the cabinet proposal.

There are the SEA elements that currently are required in Dutch strategic EIA, while they are not required under the SEA Directive. They are:

· publication of a starting note, so that everybody knows early in plan preparation that something is going on and can start preparing itself to get involved

· a round of public participation on the required content of the EIS

· mandatory independent expert advice on both scope and on the quality of the report in a later stage, and

· the obligation to always explain what the best plan would be from an environmental perspective.

In compared with the SEA Directive, the Dutch stress more on public engagement at the early stage of planning.

The EIA-based SEA system is based on legal requirements and clear guidance, with competences and responsibilities of various bodies involved in the process being well defined. It is an efficient system which leads to a better consideration of the environment in urban planning.

7.2.4.4 Project Examples

Example 1	Canal Link: New Opportunities for Inland Waterways across the North Sea http://www.canal-link.com/documents/canallinkfinalreport.pdf
Description of the Study	It aims to investigate how the region’s network of navigable waterways can be further developed, based on the cultural and environmental heritage of the waterways themselves. In particular the project focuses on the creation of:- · linear linkages between waterways, including extensions to the network and the use of the North Sea as a connection; and · horizontal linkages between waterways and local communities for the development of economic activity.
Process of the Study	The North Sea region has a large network of inland waterways connecting the sea with the hinterland. There is potential incompatibility and conflict between these various functions that need to be managed. For example boating on inland waters can have adverse environmental impacts. Steps need to be taken to minimise these effects, particularly in the light of new environmental legislation under the Water Framework Directive. In 2002 a number of local authorities and navigation authorities in the North Sea Region came together to look at how their waterways could be better developed for tourism and recreation based on cultural and environmental heritage. The project Canal Link was developed under the EU Interreg IIIB North Sea Region programme Canal Link followed on from an earlier project developed under the Interreg IIC programme called “Spatial Integration through Linking Waterways”, led by Province Drenthe in the Netherlands. Completion of this project leads to the implementation of a number of on-going waterway schemes. Local participation: · A distinctive feature of Canal Link is the large number of sub-partner organisations involved in the project. Some 55 organisations in the 6 partner countries participate in this way. This has been an important vehicle for involving a wide range of stakeholders in the project. Appraisal methods: · Economic impact assessment · Economic efficiency assessment Social impact assessment is carried out by a number of indicators. · Environmental assessment is mainly focus on waterway improvement. A study was undertaken to gain insight into the problems associated with the collection of waste water from pleasure boats in the North Sea Region member states and to invertigate solutions.
Outcome of the Study	The development of waterway links between the northern Netherlands and adjacent parts of Germany (the “Land of Peat and Honey” scheme) are now being implemented, following the feasibility studies undertaken through the Interreg IIC project. Similarly a pilot action on the Union Canal in Scotland to develop waterbased activities for children during the school holidays has evolved into much larger on-going scheme throughout the Lowlands canals in Scotland.

Example 2	SEA for the 2002 Dutch Waste Management Plan
Description of the Study	The National Waste Management Plan sets out the policy for waste management in the Netherlands. The National Waste Management Plan 2002-2012 came into force on 3 March 2003. The plan covers the period to 2006, with a look ahead to the period up to 2012.
Process of the Study	Waste Management Department is responsible for the preparation of the SEA. Purpose of SEA · To establish minimum standards for waste management processes (Standard = minimum environmental performance for processing techniques) · To compare environmental performance of different waste processing alternatives · Considered 26 different types of waste · Attracted great interest in the civil society Alternatives Alternatives for each type of waste treatment, example: oil waste · Waste Incinerator · Cement oven · Electric power plant · Destilation SEA Methodologies used: lifecycle analysis on the following environmental issues · Climate change · Acidification · Eutrofication · Toxicity · Use of resources · Use of space · Biodiversity Public participation · All larger national NGOs : Round tables on alternatives and impacts · National selected NGOs: Continuous consultation committee · Local NGO and local governments:Encouraged to send comments · In both comments: scope and review · Individual citizens: Written comments during scope and review Informative meetings Newsletters Results on public participation: High response from national NGOs: Increased scope on new alternatives: High response from local groups: local themes Low response from individual citizens
Outcome of the Study	Results · Best technology was selectedVery important positive effects of reuse of waste Also important: · Use of resources · Winter effect · Soil toxicity Decision-making based on: · Environmental effects · Costs · Health · Trust · Import/Export Lessons learned: · LCA is useful but not always true · Extensive public participation: · Enabled a large acceptance by the public · Increased the holistic focus on NGOs · SEA enabled EIA to be easier: · Developing methodologies · Comparing alternatives

7.2.4.5 List of References

· VRON, Ministry of Housing, Physical Planning and Environment (1994) Handleiding milieu-effectrapportage (Guidance on EIA), drafted by Van Haeren, J J F M and Gravendeel, J W (DHV) and Samkalden, D and Van Tilburg, R (Twijinstra Gudde), Lelystad, Koninklijke Vermande http://www.canal-link.com/documents/canallinkfinalreport.pdf

· United Nations, 2006, Strategic Environmental Assessment, Strategic Environmental Assessment (SEA): A Tool for Mainstreaming Environmental Sustainability into Development Planning , http://www.un.org/esa/sustdev/csd/csd14/lc/presentation/partidario.pdf

· Green Plan, the Resource Renewal Institute, 2003, http://greenplans.rri.org/resources/greenplanningarchives/netherlands/netherlands_1993_nepp_summ.html

· Ministry of Housing, Spatial Planning and the Environment, the Netherlands, 2004, Environmental Management Act, http://www.eel.nl/documents/EnvironmentalManagementActMay2004.pdf

· VROM, 1994, http://www.vrom.nl/pagina.html?id=25089

7.2.5 United Kingdom

7.2.5.1 Urban Development Policies and Actions

A. Regulatory mechanisms

In 2004, the Office of the Deputy Prime Minister promoted the Planning and Compulsory Purchase Act, which substantially reforms the town planning framework in UK.  The Planning and Compulsory Purchase Act covers many aspects in town planning, including regional function, local development, development plan, development control, Wales Spatial Plan, compulsory purchase and crown application of planning act.

The Planning and Compulsory Purchase Act abolished Structure Plans (1968) which has long been criticized for its inefficiency and imposed an unnecessary level of policy above the level of local district council. The Planning and Compulsory Purchase Act also replaced the Regional Planning Guidance with Regional Spatial Strategies (RSS) that is now the strategic level plan charged with informing Local Development Frameworks (LDFs). RSS is a statutory and legal document which provides a regional level planning framework for the regions of England, outside London where spatial planning is the responsibility of the Mayor. The Spatial Plan is not prepared for Scotland, Wales or Northern Ireland. Rather, Wales has a Wales Spatial Plan which is an equivalent to the Spatial Plan in some respects.

Under the Planning and Compulsory Purchase Act 2004, Sustainability Appraisal (SA) is mandatory for RSSs, development plan documents (DPDs) and supplementary planning documents (SPDs). Final guidance (SA Guidance) sets out the nature of SA and is designed to satisfy the requirements of both SA and SEA Directives through a single process. 

The SA guidance stresses that SA is an integral part of a good plan making and should not be seen as an individual activity. SA is also seen as taking a long-term view on the development of an area as stipulated in a plan, and takes social, economic and environmental considerations into the proposed plan. SA examines the condition or baseline of a place as it is today together with how it may change in the future. It also involves with the identification of key issues that could affect the sustainability of a place.

The primary legislation for planning in the UK is the Town and Country Planning Act 1990, as amended by the Planning and Compulsory Purchase Act 2004. These acts are enforced through the secondary legislation and guidance from the central government. As required by these acts, planning permission must be sought from the relevant authority (usually the Local Planning Authority (LPA)) before the development of any land. The authority will grant the permission, taking account of the development plan for the area concerned. If the development plan is not prescriptive, the LPA must take other material considerations, such as government policy, upon the approval on a development.

At local level, LPAs will prepare the local development frameworks which are made up of

· Local development plan documents, consisting of core strategy, proposal maps, area action plans and site-specific allocations of land;

· Supplementary planning documents; and

· Statement of community involvement.

Based on the above statutory documents, the Secretary of State for Communities and Local Government is responsible for coordinating the general planning procedures for the UK, including Scotland, Wales and Northern Ireland.

B. Overview of evaluation approach

In the UK, the principal body responsible for statutory planning is the Department for Communities and Local Government. It determines national policies on different aspects of planning, and the rules that govern the operation of the system on Local Government, housing, urban regeneration, planning and fire and rescue.

The Secretary of State for Communities and Local Government is responsible for the general steering and monitoring of the legislation. It has the power to request the responsible authority for the information and statement of decision in relation to the likelihood of the significant environmental impacts of a plan and programme.

In the UK, each country has its own distinct planning system with responsibility for town and country planning devolved to the Welsh Assembly, the Northern Ireland administration and the Scottish Parliament. The general planning procedure is initiated by a Plan or Programme Proponent (PP). The PP is responsible for the preparation and adoption of the plans or programmes. The PP is also responsible for deciding to conduct an environmental assessment if the plan is likely to create significant environmental effects (the scope of EIA and SEA will be discussed in the later part).

Planning Application Procedure

· The departments or agencies will submit a planning application to the Secretary of State for Communities and Local Government.

· The Secretary of State for Communities and Local Government would send out a series of consultation letters to a range of Statutory Consultees, such as Department of Health, Department of Transport, and English Heritage Department, depending upon the individual proposal.

· After these Consultees received the consultant letters, these Consultees are required to respond within 21 days with their comments on the applications.

· The local council will be notified for the application and will consider the application at one of their regular meeting. They will formally provide their comments and stating whether they approve or not.

· Some local councils require the PP to post a public notice on the actual project site for a period of 21 days, or place an advert in the local paper. Other councils notify every listed inhabitants near the application site by letter based on their public address database.

· Planning applications are often determined by the Local Planning Authority (LPA).

Planning Appeal

If the planning application is rejected, the PP has the right to appeal through a planning inspector who will hear the appeal in the name of the Secretary of State. The appeal may involve a public inquiry, a more informal meeting or written representations. Nevertheless, the appeal is mainly a matter between the LPA and the PP. The LPA has an incentive to justify its decision to reject the original application. Only the person who made the application for planning permission can appeal. Appeals are considered by a planning inspector, and appointed by the Secretary of State.

Final decision

The Local Council can grant a planning permission without conditions, planning permission with conditions or refuse a planning permission.

7.2.5.2 Environmental Evaluation / SEA in Urban Development

A. Regulatory mechanisms

Statutory mechanism

The UK has a statutory system to carry out Strategic Environmental Assessment (SEA) for certain land use plans and major proposals. The principle governing directive is the European Directive 2001/42/EC (the SEA Directive), which was transposed into the UK law by:

· The Environmental Assessment of Plans and Programmes Regulations 2004 – these regulations apply to any plan or programme which relates either solely to the whole or any part of England or to England and other parts of the UK.

· The Environmental Assessment of Plans and Programmes (Scotland) Regulations 2004 – these regulations apply to plans or programmes which relate solely to the whole or any part of Scotland.

· The Environmental Assessment of Plans and Programmes (Wales) Regulations 2004 - these regulations apply to plans or programmes which relate solely to the whole or any part of Wales.

· The Environmental Assessment of Plans and Programmes Regulations (Northern Ireland) 2004 – these regulations apply to plans or programmes which relate solely to the whole or any part of Northern Ireland.

These regulations closely follow the requirements of the SEA Directive, but they specify the different environmental authorities which must be consulted in each administration, and make provisions on the minimum times for consultation. In Scotland, the Environmental Assessment (Scotland) Act 2005 widens the range of strategic actions to which SEA applies beyond those in the Directive.

A formal environmental assessment of certain plans and programmes which are likely to have significant effects on the environment is required under the SEA Directive. Authorities which prepare and/or adopt such a plan or programme must prepare a report on its likely significant environmental effects, consult environmental authorities and the public, and take the report and the results of the consultation into account during the preparation process and before the plan or programme is adopted. They must also make information available on the plan or programme as adopted and how the environmental assessment was taken into account. 

Policy Planning Guidance Note 12:2, Development Plans and Regional Planning Guidance (DoE, 1992) states the role of SEA in the preparation of development plans. It stated that plans and programs are subject to preparation or adoption by an authority at national, regional or local level. The Guidance required planning authorities (local level) to consider the environmental implications of their development plans. A number of local authorities began to carry out SAs of their development plans and the Department of Environment prepared Environmental Appraisal of Development Plans: A Good Practice Guide (DoE, 1993). It includes the plans and programmes in the local districts with the scope of economic, social and environmental aspects.

In addition, as mentioned before under the Act, a SA is required for a RSS revision, for a new or revised Development Plan Document (DPD), or Supplementary Planning Document (SPD). It is not required for other documents, including the Statement of Public Participation, the Project Plan and the Annual Monitoring Report. It is not needed for other documents in the Local Development Framework, including the Statement of Community Involvement, the Local Development Scheme, Annual Monitoring Reports and Local Development Orders.

The SA focuses on the significant sustainability effects of the RSS revision, DPD or SPD, and considers alternatives that take into account the objectives and the geographical scope of the document. The Regional Planning Body (RPB) and Local Planning Authority (LPA) are responsible to make sure a SA report has been carried out in accordance with the SEA Directive, the Act and the Regulations.

Administrative mechanism

The environmental appraisal of government policies, including urban development, is carried out under administrative guidelines and were adopted in England, Wales and Northern Ireland. These processes operate in an independent way and are not affected by the regulations that give effect to the SEA Directive.

This process is part of a larger framework for policy appraisal, which is centered on economic benefit-cost analysis. It is an appraisal of the effects on the environment resulting from a policy or programme. Environmental appraisal is neither a formal nor rigid system. Rather, it is a common sense approach to policy making and programmes establishment which involves urban development to ensure that significant direct and indirect impacts on the environment are properly considered.

Environmental appraisal at the policy level within the central government has been merged into the two larger framework including:

· Integrated Policy Appraisal which is a methodology established as part of White Paper on Modernizing Government; and

· Regulatory Impact Assessment which is a more formalised procedure which applied to major proposals as well as legislation. 

The national policies appraisal is carried out in national planning. It includes not only the environmental elements, but also the general economic and other elements. This appraisal is intended to:

· allow comparison of national policy scenarios and regional packages of capacity enhancements using a consistent set of criteria. These packages cover the developments which would be required to meet forecast levels of demand and likely route networks; and

· provide decision-makers and interested parties with information on the nature and scale of the impact of the developments implied by different policy scenarios.

B. Evaluation methodologies

Statutory mechanism

Figure 7.2.5.1.        Tiering of environmental assessment in the UK

Before submitting planning application

The department or agency, before making a planning application, can ask Local Planning Authority (LPA) for its formal opinion on the information to be included in an environmental statement. The department or agency can also request for scoping opinion after the screening process. The LPA shall provide an opinion to the department or agency within 5 weeks. If the LPA fails to provide the scoping opinion, the department or agency can ask for direction from the Secretary of State.

Assessment stage (Scoping and screening)

Responsible authority must carry out a screening process to determine whether the proposed plans or programmes are likely to have significant environmental effects, and hence whether SEA is required. The responsible authority must make its conclusions on a determination available to the public, including reasons for not requiring a SEA. The SEA regulations also detail publicity requirements for determinations, and make provision for a direction by the Secretary of State or devolved Ministers. When forming a view on whether SEA is needed in these cases, Responsible Authorities must seek advises from the Statutory Consultees (such as Department of Transport, Department of Health).

In the assessment stage, the department or agency can consult the consultation bodies (such as Department of Health, Department of Transport) and the LPA to obtain local and specific information and the department or agency can consider consulting non-statutory bodies and public if it is necessary.

The SEA regulations stipulate that an environmental assessment is required for a plan or programme which:

· is prepared for agriculture, forestry, fisheries, energy, industry, transport, waste management, water management, telecommunications, tourism, town and country planning or land use, and

· sets the framework for future development consent of projects and certain public and private projects on the environment

· is likely to have significant environmental effects

Submission of Environmental Report

Environmental report is required for recording the assessment results. The environmental report can be submitted with the planning application to the LPA or after an application for a planning permission.

The SEA regulations require prediction and evaluation of impacts. The environmental report must identify, describe and evaluate the likely significant effects on the environment of implementing the plan. (Regulation 12(2))  Also, the potential effects of the preferred options should be quantified where possible, or a subjective judgement made where this is not possible, with reference to the baseline situation. (ODPM, 2004, P.59) The mitigation measures envisaged to prevent, reduce and as fully as possible, offset any significant adverse effects on the environment of implementing the plan must be specified in environmental reports. The measures envisaged concerning monitoring should also be described. Once the changes to the sustainability baseline have been identified, they should be described in terms of their magnitude, their geographical scale, the time period over which they will occur and so on.

Public Consultation

Environmental reports are made available for review. The consultation bodies and the public consultees (affected parties) must be notified about the availability of the draft plan and its accompanying environmental report, and be given sufficient time to express their views (Regulations 13 (2), (3)). If significance changes are made to the preferred options in the light of public participation, these changes must be assessed and the environmental reports modified (ODPM, 2004, P.61)

The LPA must prepare a final statement which includes an explanation of how the environmental report has been taken into account, how the opinions of the consultation bodies, of the public consultees, of the pubic generally, and of any transboundary consultations have been taken into account. (Regulation 16(4))

The LPA must include the measures that are to be taken to monitor the significant environmental effect of the implementation of the plan in its final statement (Regulation 16(4) (f)).

The significance environmental effects of the implementation of land use plans must be monitored by the responsible authority to identify unforeseen adverse effects and take appropriate action (Regulation17). 

The environmental report must describe the measures envisaged concerning monitoring (Schedule 2).

Sustainability Appraisal

Sustainability Appraisal (SA) in the planning system of UK has a broader coverage. Social, economic and environmental impacts are assessed. The coverage of the UK SEA system in the environmental assessment regulations includes local plans, unitary development plans, structure plans, mineral and waste local plans, regional planning guidance, the Spatial Development Strategy for London, local development documents, and regional spatial strategies.

Five stages in conducting SA:

1. Setting the context and objectives, establishing the baseline and deciding on the scope

2. Developing and refining options and assessing effects

3. Preparing the Sustainability Appraisal Report

4. Consulting on the draft RSS revision and the Sustainability Appraisal Report

5. Monitoring the significant effects of implementing the RSS revision

The Environmental Assessment of Plans and Programmes Regulations, except the Scotland’s assessment, apply to only plans and programmes but not policies. For policy, there is an administrative policy appraisal.

Scotland’s Assessment

Scotland’s assessment is different from that of England, North Ireland and Wales. The overall process of Scotland’s assessment is:

· Screening –responsible authority prepares a summary to determine whether the proposed plan/programme is likely to have significant environmental effects and whether an SEA is required

· Scoping – this enables the coverage and level of detail of the Environmental Report to be determined in conjunction with the statutory consultees: the Scottish Environment Protection Agency Scottish Natural Heritage and Scottish Ministers (Historic Scotland)

· Environmental Report – it details the anticipated environmental impacts of the plan/programme and any proposed amendments to the plan/programme; and the proposals for monitoring the environmental impacts of the plan/programme

· Monitoring – a stage being undertaken during implementation of the plan/programme and serves to identify the level of monitoring required and, should adverse impacts be identified, any remediation proposals.

Also, Scotland application in SEA is strategy, plan and program, in comparing with other three regions (England, North Ireland and Wales) which have plan and program only. In 2006, Environmental Assessment of Plans and Programmes (Scotland) Regulations 2004 has been replaced by the Environmental Assessment (Scotland) Act 2005, which is a legislation relevant for those strategies, plans or programmes, to fully integrate SEA in Scottish legislations. The Act requires strategy, plan or program to conduct an environmental assessment if it is related solely to the whole or any part of Scotland.

The following table shows the differences among the England, Wales, Scotland and North Ireland SEA systems in policy, programme and plan level.

Table 7.2.5.1                 Summary Table for England, Wales, Scotland and North Ireland

Regions	Policy		Programme		Plan
	Administrative	Statutory	Administrative	Statutory	Administrative	Statutory
England	ü		ü	ü		ü
Wales	ü		ü	ü		ü
Scotland	ü		ü	ü		ü
North Ireland	ü		ü	ü		ü

Administrative / non-statutory mechanism

The Integrated Policy Appraisal process involved the following basic steps : (DoE (1991) Policy Appraisal and the Environment. The Stationary Office, .London)

· list the objectives of the proposal and summarize the policy issue, identifying possible trade-offs and constraints;

· specify the range of options for achieving the objectives, including the ‘do nothing’ option;

· identify and list all impacts on the environment and consider mitigation measures to offset them;

· assess the significance of the impacts in relation to other costs and benefits;

· use an appropriate method to value costs and benefits, including those based on monetary values, ranking or physical quantities;

· state the preferred option with reasons for doing so; and

· monitor and evaluate the results, making appropriate arrangements for doing so as early as possible

C. Process Flow Chart

The statutory SEA process flow chart for a designated project is presented in Figure 7.2.5.3.

Figure 7.2.5.2.        Application of the SEA Directive to plans and programmes

Source: A Practical Guide to the Strategic Environmental Assessment Directive, 2005 - http://www.ehsni.gov.uk/bm_sea_practicalguide.pdf

Figure 7.2.5.3.        Stages in the SEA Process

Source: A Practical Guide to the Strategic Environmental Assessment Directive, 2005 - http://www.ehsni.gov.uk/bm_sea_practicalguide.pdf

Figure 7.2.5.4.        Approval of SA report

Source: Office of the Deputy Prime Minister (2004) Sustainability Appraisal of Regional Spatial Strategies and Local Development Frameworks, Consultation Paper, ODPM, London, p.20  - http://www.unece.org/env/eia/documents/SEAguides/UK%20Sustainability%20Appraisal%20for%20Regional%20Strategies%20consultation%20paper.pdf

Figure 7.2.5.5.        Relationship between SEA tasks

Source: Office of the Deputy Prime Minister (2004) Sustainability Appraisal of Regional Spatial Strategies and Local Development Frameworks, Consultation Paper, ODPM, London - http://www.unece.org/env/eia/documents/SEAguides/UK%20Sustainability%20Appraisal%20for%20Regional%20Strategies%20consultation%20paper.pdf

D. Summary Table

Table 7.2.5.2.                Summary Table for England, North Ireland and Wales

Urban Development Policy and Actions
Policy and Actions	Regional Spatial Strategies, Spatial Plan (for England only), Wales Spatial Plan
Legislations / Guidance and Relevant Document *	Planning and Compulsory Purchase Act , SEA Directive, Draft Planning Policy Statement 11 (Sustainability Appraisal) and Planning and Policy Guidance 12 (Policy Appraisal), Development Plans and Regional Planning Guidance
Environmental Evaluations / SEA Status in Urban Development Policy and Actions
	Administrative	Statutory
Type of Assessment	Strategic Environmental Assessment	Strategic Environmental Assessment
Requirement Mechanism	Administrative system	Statutory system
Legislations / Guidance and Relevant Document ^*	Environmental Appraisal of Development Plans: A Good Practice Guide (DoE, 1993)	European Directive 2001/42/EC, Environmental Assessment for Plans and Programmes Regulations (2004), Environmental Assessment (Scotland) Act 2005, Environmental Assessment of Plans and Programmes (Scotland) Regulations 2004, Environmental Assessment of Plans and Programmes (Wales) Regulations 2004, Environmental Assessment of Plans and Programmes Regulations (Northern Ireland) 2004, Policy Planning Guidance Note 12:2,  Development Plans and Regional Planning Guidance (DoE, 1992)
Applications	Policies and programmes	Plans and programmes

Table 7.2.5.3.                Summary Table for Scotland

Urban Development Policy and Actions
Policy and Actions	N/A
Legislations / Guidance and Relevant Document *	Planning and Compulsory Purchase Act, SEA Directive, Draft Planning Policy Statement 11 (Sustainability Appraisal) and Planning and Policy Guidance 12 (Policy Appraisal), Development Plans and Regional Planning Guidance
Environmental Evaluations / SEA Status in Urban Development Policy and Actions
	Administrative	Statutory
Type of Assessment	N/A	Strategic Environmental Assessment
Requirement Mechanism	N/A	Statutory system
Legislations / Guidance and Relevant Document ^*	N/A	European Directive 2001/42/EC , Environmental Assessment (Scotland) Act 2005, Environmental Assessment of Plans and Programmes (Scotland) Regulations 2004, Policy Planning Guidance Note 12:2
Applications	N/A	Strategy. plans and programmes

7.2.5.3 Analysis and Conclusion

Urban Planning Policies

The Planning and Compulsory Purchase Act substantially reforms the town planning framework in UK.  Institutional reform like the introduction of regional assemblies and the production of statutory regional spatial strategies in England, can provide vehicles for the pursuit of a more holistic approach with more integration of the environmental, social and economic dimensions of development.

The voluntary approach for conducting the Environmental Appraisal by the department and agency can ensure more flexible planning procedures for different projects. 

Environmental evaluation / SEA

The UK planning system provides an opportunity for SEA to be further developed. It shows a widening both in activity scope from project focus of EIA to strategic plan and programme, higher-tier focus of SEA/SA, and in content scope from the primarily bio-physical focus of early EIA activity to more holistic approaches – for EIA, to some extent for SEA, and for SA. From another perspective, SEA/SA can provide a more proactive strategic approach. Practice is much more limited than for EIA, but the SEA Directive and the introduction of UK SEA and SA guidance should accelerate good practice.

In the existing regulation, it only covers decisions made under Town and Country Planning Legislation. However, the SEA Directive requires that all types of developments having significant impacts on the environment should go through the EIA process. Therefore there are separate pieces of legislation (and some non-legislative processes) covering EIA for other types of developments including power stations, highways, water resources, land drainage, forestry, pipelines, harbour works and many others.

There has been a tendency of shifting towards SA, as a comprehensive method of capturing and assessing not only the environmental, but also the economic and social implications of plans. This has raised questions about whether environmental issues are being marginalized. The SEA’s objectives in environmental protection maybe distorted.

For some time, non-mandatory policy appraisal procedures have been used in central government policy formation in the UK. No single or integrated appraisal procedure exists. Instead, there is a variety of appraisal procedures that are used depending just on the specific context. There is an attempt made to devise and then test an Integrated Policy Appraisal procedure for eventual adoption by government departments.

7.2.5.4 Project Examples

Example 1	The RSS for the South East of England (the South East Plan)
Description of the Study	The East of England Plan or 'RSS', which was published in May 2008, sets out the regional strategy for planning and development in the East of England up to the year 2021. It covers economic development, housing, the environment, transport, waste management, culture, sport and recreation, mineral extraction and more.
Process of the Study	The Plan is prepared for a region which is under a persistent high rate of population growth to identify the benefits and problems arise from the policies implementation. The SA of the Plan started in 2002, and a SA report was completed in late 2004. The long process has produced a long report with 138 sustainability indicators and 124 policies assessed. The SA for the South East region adopted an integrated approach which not only brought together SA and SEA, but also included health impact assessment (HIA) - to consider the potential impacts of the policies on people’s health and well-being and on health inequalities. It aims at providing an efficient and clear process, with a factual base that covered a wide number of areas and ensured equal attention for the different aspects of sustainability. The SA considered a range of policy options derived from three different annual rates of housing growth and two spatial options – continuation of existing policies, and a sharper focus on sub-regions with particular economic potential and/or regeneration needs. The assessment framework considered the options against a list of 25 regional sustainability objectives which were derived from the regional sustainable development framework and the integrated regional framework. In general, the SA identified some of the major impacts of the Plan and the vital importance of appropriate infrastructure investment, particularly in the need of public transportation.
Outcome of the Study	Eventually, the Plan is approved in 2008. It is a comprehensive plan which successfully incorporates many sustainability factors. The plan improves efficiency in land use through the reuse of previously developed land and existing buildings, including reuse of materials from buildings, and encourage urban renaissance. It also ensures high and stable levels of employment so everyone can benefit from the economic growth of the region. Although the Plan recognizes the importance of reducing poverty and social exclusion and close the gap between the most deprived areas in the South East and the rest of the region, there is little emphasis on these issues in the economic development policies, and none of the spatial options seek to focus development in such a way that deprived communities within the region would particularly benefit. In broader terms, the Plan appears to be based on an assumption that, by supporting economic growth across the South East as a whole, deprived communities within the region will naturally also be benefited. This assumption is not necessarily true and, moreover, a continuation of current economic growth patterns within the region will exacerbate, rather than reduce the inequalities in health (of the general public (SEERA 2004).

Example 2	SEA of Torbay Local Transport Plan (LTP) 2006 – 2011
Description of the Study	LTP is a long-term strategy for transport in Torbay over the period 2006 to 2011. It aims at improving the regional air quality, traffic congestion, road safety and accessibility. In addition, it contains objectives to improve the quality of life in Torbay.
Process of the Study	There is a poor external accessibility to Torbay, restricted opportunities for locating new development in the existing urban areas, constrained highway network and limited accessibility to alternative transport modes, poor access opportunities  for those without private vehicles, and population with retired people at above-averaged adds significantly to local transport needs and influences the traffic capacity of the area. The poor external accessibility to Torbay sets out the transportation policies and strategies for the programming and delivery of a sustainable transportation network for Torbay.  Key aspects of these policies and strategies are to encourage more sustainable methods of travel by encouraging walking, cycling and use of public transport while maintaining and improving the quality of the highway network.  Sustainable transport concept is also promoted. There are two Torbay Local Traffic Plans and only the Second Plan has undergone SEA. The Government’s assessment was made considering 6 basic criteria: · Context; · Analysis; · Maximising Value from Resources; · Involvement; · Performance Management; and · Priorities. Main Concerns in the Evaluation Two alternatives, the “LTP Strategy” and the “Do Nothing” option in the Second Plan were evaluated against SEA objectives including: · Biodiversity (Conserve nature) · Population (Improve accessibility; reduce crime) · Human health (reduce effect of noise; ensure healthy community and reduce health inequalities) · Soil (Protect from soil erosion and contamination) · Water (Improve water quality and quantity) · Air and climatic factors (reduce transport emission and risk of flooding) · Economic (encourage regeneration and economic prosperity) · Cultural heritage (protect conservation areas and historic environment) · Landscape (protect landscape) The SEA Directive requires authorities to identify the public affected by or likely to be affected by, or have an interest in, a plan including relevant non-governmental organisations. After consultation with the public, the authorities revised the plan and scope of study and conducted the final SEA.
Outcome of the Study	It was considered that although all of these areas had been addressed, presentation, clarity of information and context were the main areas that required attention. The final Second LTP submission was made in late March 2006 following the full approval of Torbay Council earlier in April 2006.  (http://www.torbay.gov.uk/index/transport-streets/transport/transportpolicy/transportplan.htm) The LTP Strategy offers a substantially better option than the Do Nothing option, in terms of meeting the SEA objectives. The LTP Strategy performs well against many of the SEA objectives, unlike the Do Nothing option, in particular: · improving air quality, and · supporting conservation of heritage resources

7.2.5.5 List of References

· Scottish Executive (2003a) Environmental Assessment of Development Plans: Interim Planning Advice, Scottish Executive, Edinburgh, http://www.scotland.gov.uk/Publications/2003/08/18048/25563

· Community and Local Government, UK, 2007, SEA, http://www.communities.gov.uk/planningandbuilding/planning/sustainabilityenvironmental/strategicenvironmentalassessment/

· Office of the Deputy Prime Minister, 2004, Sustainability Appraisal of Regional Spatial Strategies and Local Development Frameworks, Consultation Paper, ODPM, London, http://www.unece.org/env/eia/documents/SEAguides/UK%20Sustainability%20Appraisal%20for%20Regional%20Strategies%20consultation%20paper.pdf

· Office of the Deputy Prime Minister, 2005, Sustainability Appraisal of Regional Spatial Strategies and Local Development Document, http://www.caerphilly.gov.uk/pdf/Environment_Planning/LDP-Examination-Documents/UK22.pdf

· SEERA 2004, Sustainability appraisal of the consultation draft South East Plan March 2006: non-technical summary. Guildford: South East England Regional Assembly , http://www.southeast-ra.gov.uk/southeastplan/plan/view_plan.html

· UK Crown government, 2004, The Environmental Assessment of Plans and Programmes Regulations 2004, http://www.opsi.gov.uk/SI/si2004/20041633.htm

· Department of Business, Enterprise, and Regulatory Reform, UK,2007,  http://www.offshore-sea.org.uk/site/scripts/documents_info.php?documentID=5&pageNumber=2

· A Practical Guide to the Strategic Environmental Assessment Directive, 2005, http://www.ehsni.gov.uk/bm_sea_practicalguide.pdf

· Torbay Council, 2006, Local Transport Plan, 2006-2011, Strategic Environmental Assessment, Environmental Statement, http://www.torbay.gov.uk/ltp_environmental_statementapril2006.pdf

· Torbay Council, 2006, Local Transport Plan, 2006-2011, Strategic Environmental Assessment, Environmental Statement , SEA Report, pg 37, 77, http://www.torbay.gov.uk/ltp-sea-env-report.pdf

· UK Government, Planning Portal, http://www.planningportal.gov.uk/england/genpub/en/1115314175501.html

7.2.6 Austria

7.2.6.1 Urban Development Policies and Actions

A. Regulatory mechanisms

Austria is a federal state. There are four main levels of decision-making in Austrian spatial/land use planning, including national, state/Lander (which has the main responsibility for spatial planning), district/regional and municipal levels at which spatial/land use plans are prepared in correspondence to democratically elected bodies.  A hierarchical land use planning principle is in place, that is, land use planning works in a top-down manner of decision-making.

In Austria, the competence for state urban planning lies with the local authorities and provinces. The legislative and executive competences are split between the federal and the provincial level. Mining matters and water management are the responsibilities of the federal government whereas spatial planning and nature conservation are the responsibilities of the provinces.

In federal level, the federal government does not have any power to control the urban planning while the political responsibility for urban planning at the local level rests with either the city / town councillor or in smaller municipalities with the mayor.

Table 7.2.6.1. shows at different planning levels there would have different spatial or land use planning instruments.

Table 7.2.6.1.                Spatial/Land use Planning Instrument at Different Planning Level

Planning level	Spatial/land use planning instrument
National State District (region) Municipal (local)	National spatial planning concept State spatial planning programme Regional spatial planning programme · Local development concept · Land use/zoning plan · Building (regulation) plan

B. Overview of evaluation approach

In general, the Austrian planning system is of different types in different states.

The general planning procedures in Austria can be summarized as:

· Planning permission. The requirements vary as every Austrian province has its buildings and landscape protection law. In some provinces, a simple notification of the planning authority suffices, while in some provinces a formal building permit has to be obtained with requirement of submitting some documentations with possible impact to the environment.

· Approval period. It also depends on different applicable laws. Overall the acquisition time is around 16 months, including the time to obtain the permission.

· Planning appeal. Once an approval decision is issued by the administrative body, every adjoining owner has the right to appeal against this decision. The project proponent has the same right to appeal in case of a decision to refuse permission. As a general rule, every administrative authority in Austria has to decide within 6 months. If there is no decision made within that period of time, the applicant can appeal against such delay to the superior administrative body (which also needs to decide within 6 months).

· Public consultation. The affected people have the right to object to a site only when building permissions have to be obtained, except in the case of health or telecommunication objections. The project proponents need to exhibit the plan to the affected people

7.2.6.2 Environmental Evaluation / SEA in Urban Development

A. Regulatory mechanisms

Statutory mechanism

 As an EU member, Austria is obliged to adopt the requirement of the EU Directive 2001/42/EC (SEA Directive) by bringing into force of laws, regulations and administrative provisions necessary to comply with the Directive.

Since 2004, Austria has started to transpose the requirements of the SEA Directive into its legal system. The requirements have also been implemented within the framework of various material laws at federal and provincial levels. Until mid 2006, Austria has transposed partly, with national legislation in place for certain sectors at federal level and with all the nine Austrian provinces, except Burgenland, having transposed the SEA Directive.

At the federal level, legal documents including:

· Federal Act on Waste Management (waste management regarding federal competencies);

· Federal Act on Strategic Assessment into the Transport Sector (transport regarding federal competencies);

· Federal Act on Environmental Noise (noise issues regarding federal competencies);

· Federal Act on Water Management (water management issues regarding federal competencies).

There was also guidance on how to conduct SEA within local land use planning published by certain provincial governments. These include Lower Austria and Styria.

In mid 2006, legal documents and also the land use planning guidance mentioned above were transposing the SEA Directive into Austria included both Federal level and Lander level.

As mentioned above, the legislative and executive competences are split between the federal and the provincial level, implementation of the SEA Directive involves execute agencies both at federal and provincial level. They are:

· Federal Ministry of Agriculture and Forestry, Environment and Water Management

· Federal Ministry of Transport, Innovation and Technology

· Relevant departments of the nine administrations of the provincial governments

Administrative mechanism

In order to support provincial governments implementing the SEA application for land use plans in a more homogeneous way, two guidance documents have been published. One is dealing with process and implementation issues, Proposals of the Provincial experts for implementing the SEA Directive (Vorschläge 2003), the other focuses on methodological issues, Paper on Methodology for implementing the SEA Directive into Austria’s spatial planning practice (Methodenpapier 2004). Both of them are not legal binding, but a good source of advice for the provincial government to follow.

Plans and programmes which might be concerned by the SEA Directive have been identified by means of the study “Possibilities of integrating Strategic Environmental Assessment” in nominal and functional spatial planning, commissioned by the Federal Ministry of Agriculture, Forestry, Environment and Water Management. For this purpose pilot projects were initiated by the Federal Ministry of Agriculture, Forestry, Environment and Water Management, e.g. SEA for the regional programme Tennengau in order to gain first practical experience. Proposals for the implementation were discussed and information on SEA was passed on within the framework of various working groups and workshops.

B. Evaluation methodologies

Statutory mechanism

Screening

Screening is usually done by the project proponent, resulting in a formal screening report. The feasibility and accuracy of supporting project documentation is reviewed by the project consultants. Correction of any uncertainties and/or technical deficiencies is undertaken through negotiation with the project proponent.

Scoping

Scoping analysis and report preparation is in most cases conducted by the principle consultant in collaboration with the project proponent. As part of scoping, training activities (supported by the Ministry) are typically undertaken to improve the analytical capacity and scoping process. Following the process of Scoping, the responsible country desk officer in the environmental ministry determines which future investigations are necessary.

Round-table approach

To facilitate public participation process, the SEA team is formed. The SEA team included representatives of local/national planning, environmental and other authorities, external waste management experts and interested environmental NGOs. In this approach, team members act as equal partners throughout the process, from defining objectives of the SEA report to preparing the SEA report, and share responsibility for the results. The team tries to reach consensus on a plan/programme which integrates the environmental aspects, combining elements of SEA and mediation. Consensus may be reached on different plans.

Several public forums on SEA are organised and continuous media information was provided. The SEA round table approach goes beyond the requirements of the EU SEA Directive. It means more proactive participation than mere consultation and provision of information, and provides possibilities to contribute to the whole SEA process and to influence its results. The experience to date have been promising, providing opportunities to reconcile the interests concerned and to strengthen the implementation of a final plan when supported by all interest groups concerned.

In Austria, there is currently no defined SEA procedure for assessing environmental impacts of certain plans, policies and programmes. Several pilot studies were imitated to facilitate the implementation.

Austria is on its way to fully transpose the requirements of the SEA Directive.

Public participation is the key element in SEA process in urban planning. An important aim of SEA was to optimize the involvement of stakeholders, including the following:

· The competent authority that prepares and/or adopts a plan or programme

· Environmental departments of different administrative levels

· Other sectoral departments of different administrative levels

· The qualified public and the general public.

Experts were involved in moderating and steering the public participation process.

The SEA training workshops and meetings have been organised, and SEA working groups meet regularly (e.g. a federal group on SEA and transport, and a provincial group on SEA implementation). A handbook has been prepared illustrating different aspects of the diverse Austrian SEA activities. Finally, the Ministry of Environment has commissioned a study to explore the potential of sustainability impact assessment at the level of policies and legislation.

Monitoring

A monitoring group was established with responsibility for continuous monitoring. This monitoring group consists of representatives of the planning authority, the environmental authority, the environmental ombudsman (speaking on behalf of the environment) and one environmental NGO. Within a period of time they prepare a monitoring report, following a monitoring checklist prepared by the SEA team during the last meeting. The monitoring report is forwarded to the SEA team.

Administrative mechanism

As mentioned above, the Vorschläge 2003 and the Methodenpapier 2004 are the two documents which help the provincial government implement the SEA application for land use plans in a more homogeneous way. The real practice is depends on the individual province.

C. Process Flow Chart

1) Screening

2) Scoping

3) Preparing the environmental report

4) Public participation (SEA round table)

5) Consultation with environmental and health authorities

6) Decision making

7) Monitoring

Figure 7.2.6.1.        Process flow chart for SEA for plans

D. Summary Table

Table 7.2.6.2.                Summary Table for Austria

Urban Development Policy and Actions
Policy and Actions	The national spatial planning concept
Legislations / Guidance and Relevant Document  *	No general planning law over the country, different provinces have different planning law, like Spatial Planning Act in Vienna
Environmental Evaluations / SEA Status in Urban Development Policy and Actions
	Administrative	Statutory
Type of Assessment	Strategic Environmental Assessment	Strategic Environmental Assessment
Requirement Mechanism	Statutory for federal level and Administrative for Lander level	Statutory for federal level and Administrative for Lander level
Legislations / Guidance and Relevant Document *	Federal Act on strategic assessment	Federal Act on strategic assessment
Applications	Policy, plan and programme	Policy, plan and programme

7.2.6.3 Analysis and Conclusion

Urban Planning Policies

In Austria, as it follows the federal system, the competence in urban planning rest with the provincial governments which adopt different urban planning system in their respective states. This kind of system can ensure autonomous planning in different places. The national spatial planning concept provides guidance for relevant spatial planning measures carried out at federal, state and local levels. The national spatial planning concept is based on unanimity agreement and is of a non-binding nature.

Spatial planning at provincial level, and planning and zoning at municipal level need to incorporate with nature conservation objectives in a systematically way.

Environmental evaluation / SEA

As an EU member, Austria has to transpose the requirements of the EU Directive 2001/42/EC by bringing into force of laws, regulations and administrative provisions necessary to comply with the Directive.

A round table process was used to facilitate effective stakeholder involvement.

In Austria, there is currently no defined SEA procedure for assessing environmental impacts of certain plans, policies and programmes. Several pilot studies were imitated to facilitate the implementation.

In the legislative level, the Austrian Government amended the Water management Act and the province of Salzburg amended its Spatial Planning Act are the only two pieces of the Austrian legislation reached the deadline of the SEA Directive and came into force before July 2004.

Policies, plans and programmes are not systematically subject to an explicit environmental evaluation, but there are a number of planning instruments that allow environmental considerations to be taken into account in various sectors like energy, transport, tourism, water resources, waste management, land use planning and forestry.

Open and transparent dialogue between all concerned parties involved in the SEA process helps to avoid misunderstandings, raising acceptance of the outcomes of the SEA. Consequently, environmental implications of plans and programmes can be more easily understood. The SEA round table approach proved to be a successful concept for involving authorities and stakeholders. The SEA round tables in the studies gave plenty of opportunities for engaging with the SEA process.

The two supporting documents, the Vorschläge 2003 and the Methodenpapier 2004, help the provincial government implement the SEA application for land use plans in a more homogeneous way. The real practice is still depends on the individual province.

7.2.6.4 Project Examples

Example 1	Land use plan revision in the municipality of Weiz
Description of the Study	The existing urban plan of Weiz was to be revised and 27 areas with present and potential claims for new developments were identified.
Process of the Study	In order to support effective and efficient decisions on their best use, a decision was made to revise the land use plan and to conduct a voluntary SEA. The municipality of Weiz was responsible for the preparation of both urban plan revision and SEA, with the latter being sponsored by the Federal Ministry of Environment, Youth and Family. The time horizon of the plan was five years (2000-2005). The SEA process was conducted by the city council of the municipality of Weiz. The Styrian Environment Ministry was included in the SEA scoping exercise. Public participation was involved in both plan making and SEA. An interdisciplinary team, consisting of air, noise, climate, nature protection and spatial planning experts was present at a total of three SEA scoping meetings. The main conventional SEA stages were covered, including screening, scoping, report preparation, review, consultations and public participation. Only monitoring was not considered in this pilot SEA. Public participation for the plan and the SEA were integrated and conducted according to the requirements of the Austrian Spatial Planning Act in provincial level. Information on plan revision and SEA was mainly given to the public through the City Gazette distributed to every household free of charge. A non-technical summary of the SEA was distributed to the general public in this way. Evaluation was conducted using a scoring system.
Outcome of the Study	The environmental report consists of eight chapters including aims, methodology and approach taken. Overall, the SEA can be considered a successful case. The process was perceived positively and had a positive impact on a more environmentally sustainable revised urban plan. The state government (Styrian) approved both the urban plan and SEA.

Example 2	Pilot SEA for Vienna’s waste management plan
Description of the Study	Vienna waste management plan in 1999 is a plan to set the direction of future waste management policy.
Process of the Study	In the past decade, Vienna has experienced growing volumes of waste, higher standards for waste disposal in landfill legislation, and bottlenecks in the city’s waste treatment facilities. Facing these problems, the Environmental Commission of Vienna (a kind of environmental ombudsman) called for an SEA to help in preparing a waste management plan that would resolve these problems by 2010. The waste management authority decided to engage a wide range of stakeholders in the SEA process. The Commission required that ecological, economic and social aspects be taken into account from the outset. They have set the following questions: · Which waste minimization and waste recycling and treatment measures will solve the root problem? · Does Vienna need additional waste treatment facilities to cope with the waste generated until 2010? · Which treatment technologies are best suited to the specific local circumstances? · How can the capacity of the existing facilities be optimized? · What treatment capacities should newly built facilities comprise? The indicators for impact prediction are: · Percentage of reuse or recycling · Volume and method of dumping · Net energy production · Costs · Space occupation · Acceptance of measures by the public The stakeholders have been invited in participating the round-table meeting.  They formed an SEA ream. The team worked together from the very beginning and was responsible for the planning and the SEA results. They came to a consensus in nearly all aspects on the best solution for the Viennese Waste Management Plan.
Outcome of the Study	The SEA commenced in 1999 and adopted a participatory “round table” stakeholder’s team approach. A political decision on the plan was taken by City Council in December 2001, following the recommendations of the “round-table” team. By 2003, some of the proposed measures had already been implemented: establishment of a strategy group for waste avoidance; selection of sites for the recommended new incineration plant and the new fermentation plant; and initiation of project EIAs for these two new installations.

7.2.6.5 List of References

· Andreas Sommer, 2005, Strategic Environmental Assessment: from scoping to monitoring, http://www.sea-info.net/files/general/From_scoping_to_monitoring.pdf

· European Environmental Bureau, 2003, Strategic Environmental Assessment Making a Difference, http://www.eeb.org/activities/SEA/SEA-report.pdf

· Canadian International Development Agency, 2004, Summary of Environmental Assessment: Policies and Procedures for Development – Assistance Activities, Austria, http://www.acdi-cida.gc.ca/INET/IMAGES.NSF/vLUImages/ea%20summaries/$file/Aust.pdf

7.2.7 Germany

7.2.7.1 Urban Development Policies and Actions

Germany is a federal state with strong self local government.  The mode of governance is hierarchy. Strategic and development planning are absent from national policy. There are some approaches to urban development on the local level.

A. Regulatory mechanisms

In Germany, the statutory Building Code deals with two kinds of plans at the local level, both these plans fall under the categories “town and country planning” and “land use” mentioned in Art. 3 para 2 of the SEA Directive for environmental evaluation:

· The zoning plan (Flächennutzungsplan) which covers the whole area of the town or city, gives an outline of the future land use, and binds public authorities, and

· The building scheme (Bebauungsplan) which is prepared in most cases for a particular area of the municipality, sets out the land use in details, and is legally binding for everyone.

There are four main levels of public decision making in land use planning. These match the levels of the democratically elected bodies in the Federal Republic of Germany, that is, the federal, state (Land), county (Kreis), and local levels. Also, regions are formed by cooperating counties and unitary cities. The local council is responsible for the decision making There is neither a top-down nor bottom-up approach to land use decision making. Land use decisions at all administrative levels need to take the policies, plans and programmes prepared at other levels into account.

Spatial planning in Germany consists of 3 main levels:

· spatial structure of the federal territory

· country planning of the federal states

· planning of municipalities

The standards of the spatial structure and of the country planning are set up on each other while municipalities have to consider the basic principles and take care of the binding goals of the spatial structure programme and the country planning.

Table 7.2.7.1.                The competency regarding spatial planning of various levels of government

Level	Decision making
Bund (Federation)	Legislation for federal spatial planning (Raumordnung), including material principles Legislation for local planning
Bundesland ( Federal State )	Legislation for state spatial planning (Landesplanung), including sub-regional planning (Regionalplanung) Establishment of State Development Programme (Landesentwicklungsprogramm) Legislation on State Building Code (Landesbauordnung)
Region (Sub-Region)	Establishment of sub-regional State Development Programme (Regional plan), coordinating state and local development goals
Municipal council	Establishment of land use plan (Flächennutzungsplan) indicating the intended spatial development for the community Fixes in statute (Satzung) as legally binding local plans (Bebauungspläne) for limited areas to be evolved from land-use plan

Table 7.2.7.2.                The competency and planning instruments regarding urban planning of various levels of government, International Society of City and Regional Planners

	Level	Responsible body	Planning instruments	Description
1	Federation	Federal Ministry of Transport, Building and Urban Affairs	Legislation: Federal Building Code Spatial Organisation Act Federal Town Planning Act Land Use Ordinances Map sign Ordinances Special Provisions for development and urban renewal	Basic goals of principles of countries spatial organisation taking account of European Union spatial policy and setting a framework for the states Legal regulations affecting local plan: types of plans, range of potential contents, procedures and Citizen participation
2	Federal States	Ministries of State Parliament	State Planning Act State Development Programme Design Guide Ordinance State Building Code Approval of Local Planning Administrative building law	Laws for regional and sub-regional planning General guidelines for sub-regional and local planning
3	Community	Local Authorities Council Development control office	General Land Use Plan Detailed Development Plan	Preparatory plan made for the entire area of the community, fixing the main lines in future urban development Obligations only for the public authorities involved in its preparation Legal Statute. Local statute to which all building and development have to conform. Regulations: intensity and kind of land use, public and private spaces, building masses, etc.

Federal Ministry of Transport, Building and Urban Affairs	Spatial Structure for Federal Territory	Federal Republic of Germany
Highest State Planning Department	Regional/country development plan	Federal States
Regional Planning Alliance	Regional plan	Region
Building/Planning Department	Urban Development Programme Local Land Use Plan	Municipality
Building Owner, Architect, Planner	Floor plan, construction plan	Object, building

Source: Description of the German Spatial Planning System, http://ewa.bafg.de/servlet/is/13222/?lang=en

Urban planning considers all building and development issues of municipalities (communities, towns, cities). It includes plans and designs with different legal liabilities of different planning levels at different scales of urban development of the whole city to the single building.

For planning law, there are two binding bodies of law: administrative building law and planning law. The administrative building law is a matter of the federal states of Germany and is called Landesbauordnung (e.g. state planning law of Baden-Württemberg). It is regulating everything concerning the building action. The planning law is a matter of the Federal German Republic and deals with all issues of how to implement the building action into the surrounding. It is named German Building Code.

Building law in Germany distinguishes between two different bodies of law, urban planning and planning permission for the concrete individual building project. Urban planning law is based on the Building Code. The core element of urban planning law is the local authority's obligation, set out in the Federal Building Code, to draw up urban development plans on their own responsibility. While the land-use plan as the preparatory plan for the entire local authority area only has binding force for the authorities themselves. The local authorities lay down concrete binding determinations for the land use of specific areas in their local plans. A particular feature of German urban planning law is that the determinations laid down in local plans give the citizen constitutionally enforceable rights with regard to the permissibility of land use The procedure which the local authorities have to follow in drawing up their plans, i.e. the planning process, and the permissible material planning content are also laid down in the Federal Building Code for the country as a whole.

At state level, the detailed regulations governing the granting of planning permission for specific building projects are adopted by the federal states (Länder) in their respective state building codes. This applies in particular to the procedure for granting planning permission. In addition, there are also material requirements to be met when carrying out specific projects with a view to avoiding building-related hazards.

At local level, to ensure the compliance of local plans, state administration and dependent regional authorities have the prerogative to approve land use plans drawn up by local authorities. The states also engage in the coordination and approval of public and private infrastructure of some spatial relevance.

At municipal level, central planning competences in Germany lie with over 16000 municipalities. On the local level several kinds and tiers of planning exist. Although there is no legal obligation, most municipalities engage in strategic planning concerning the spatial and functional development of the town.

B. Overview of evaluation approach

The following points are the main requirements in all planning levels:

· Requirement 1: The procedure normally begins when the licensing authority and the developer discuss the probable scope of examination; other authorities, experts and third parties may also be invited to contribute. The licensing authority will then inform the developer on the probable scope of the assessment, as well as on the type and scope of the documents that the developer is to be provided.

· Requirement 2: The developer compiles the necessary documentation and presents the results to the licensing authority as a summarised description of the effects on the environment.

· Requirement 3: The licensing authority will then ask other authorities to express their opinion, make provisions for public consultation whereby the developer's documents must be made accessible to the public, and will allow the authorities of other countries to participate, should the project have cross-border effects.

· Requirement 4: The licensing authority will put together a summarised report on the foreseeable effects of the project on the environment and other matters like economic and social effects on the basis of the information supplied by the developer, the opinions of the other authorities (both domestic and foreign) and objections made by the public.

· Requirement 5: The licensing authority will then assess the effects on the environment based on the summarised description of the effects on the environment and other matters.  Steps 4 and 5 should normally be contained in a single document, labelled "Environmental Impact Assessment."

· Requirement 6: Taken into consideration the assessment, the licensing authority decides whether to grant the project approval or not. The decision and the grounds upon which the decision was made must be made accessible to those affected by the project as well as those who raised objections. If the licensing authority does not grant the project approval, then it must inform persons concerned thereof.

The regional planning works on two levels:

The state planning is administered by the Federal State authorities, which is usually the ministry responsible for development and the environment. It has the obligation to observe certain general principles laid down in Federal law. The regional planning is for smaller areas as an intermediate level suitable for transforming the general goals of state planning into a spatial pattern which sets a framework for local planning.

At a local level the spatial development plans of the regional policy of a land government and the sub-regional policy serve as instructions for the master plan of land use. The local level is the most important level for the implementation of the requirements of the regional policy. The communities in Germany are self governing with extended planning powers.

At the same time their plans have to conform to the aims and orders of the regional policy. The preparatory land use plan has to be developed from the regional plan and it has to be approved by the superior authority. That guarantees the cooperation and assimilation between the sub-regional level and the local level. Coordination and agreement is required between the various planning levels. The guidelines and plans of each higher administrative level have to be considered. This ensures that plans are not contradictory and that visions and principles are put into concrete terms from level to level.

The Federal Ministry of Transport, Building and Urban Affairs and its authorities are responsible for questions of principle in spatial development, for the framework legislation and for international cooperation.

7.2.7.2 Environmental Evaluation / SEA in Urban Development

A. Regulatory mechanisms

Statutory mechanism

German political system is of federal structure. Under the Federal Constitution, the federation is not entitled to transpose all the requirements of the SEA Directive into national law. The 16 Lander (federal states) will have to develop their own legal provisions, since the federal acts only constituted a framework. There were bills in most of the federal states. Draft guidelines have been released for planning. For spatial/land use planning, there are some guidelines including:

· Guidance on how to adapt the Federal Construction Act with new EU Directives

· Recommendations of the Federal Ministry for the Environment, Nature Protection and Nuclear Safety for direct implementation of the SEA Directive through the Lander

· The Environmental Report in Practice covering statutory local land use plans and master plans

The detailed regulations governing the granting of planning permission for specific building projects are adopted by the federal states in their respective state building codes. This applies in particular to the procedure for granting planning permission. In addition, there are also material requirements to be met when carrying out specific projects with a view to avoiding building-related hazards.

Municipalities are obliged to formulate two types of statutory land use plans. The preparatory land use plan constitutes a framework instrument, while the binding land-use plan serves as a regulatory instrument. The preparatory land-use plan covers the entire area of the municipality and indicates “the intended development of the community”. It is legally binding for all public institutions, private actors are neither bound by it nor can they deduce any claims for building permissions on its grounds.

The binding land use plan, on the other hand, is much more detailed, defining functions and intensity of use, basic urban design principles and the allocation of public infrastructure. Environmental aspects are becoming increasingly important in urban design Germany in recent year.

Federal law obliges municipalities to address a considerable number of concerns, like socially just housing provision, economic development, environmental protection, interests of the public and private land owners) when engaging in statutory land use planning. Local planning authorities are obliged to discuss drafts of land use plans with the public at an early stage. Private and public actors may raise suggestions and objections which need to be taken into account before the final version of the preparatory and binding land use plans are enacted as legal documents. Citizens and other actors affected by a binding land-use plan may demand its re-examination by the courts.

The EU Directive 2001/42/EC was implemented by two legal acts into the German federal laws:

· Concerning specific provisions on urban land use planning, regional and spatial planning by law of the 24 June 2004 that inter alia amended the Federal Building Code and entered into force on the 20 July 2004;

· Concerning the implementation of the SEA Directive 2001/42 in general by law of the 25 June 2005, that inter alia amended the Federal EIA Act and entered into force on the 29 June 2005.

The legal acts in the German federal law provide statutory requirement that SEA has to be implemented for plans and programmes, but excluding policies.

The Länder have adopted their own acts on EIA (which were necessary for particular kinds of projects mentioned in the EIA Directive, such as Land highways, cable railways, specific agricultural projects, etc.), but in substance these are fairly similar to the Federal EIA Act.

Administrative mechanism

At regional and local level, the municipal government carries out their own SEA process under their own administrative procedures. It is not legal binding and applied to different regions with different regulations.

B. Evaluation methodologies

Statutory mechanism

Step 1: Screening and scoping

Under German Federal EIA Act, SEA is required in the following cases:

· Transport plans at federal level;

· Extension plans for airports;

· Flood protection plans

· Programs of measures according to the Water Framework Directive;

· Spatial planning and regional planning;

· Federal Spatial plans for the German exclusive economic zones of the North Sea and the Baltic Sea;

· Determination of special suitable areas for offshore wind farms;

· Urban land use plans (preparatory land use plans and legally binding land use plan); and

· Landscape plans.

The Building Code makes SEA mandatory basically for all zoning plans and building schemes. The only exception are specific plans not affecting the outline of planning as it already exists, i.e. plans only laying down the status quo. For these, an SEA is not necessary.

SEA is required for the following plans or programmes if they set the framework for future development consent for projects:

· Noise action plans;

· Air quality improvement plans;

· Waste management concepts prepared by authorities; and

· Waste management plans.

The exemption of SEA would only in those urban land use plans of:

· Amendments of these plans have no influence on the principal features of the existing plan or if;

· Building schemes only describe the status quo of existing land use patterns.

Usually screening is carried out in close relation with scoping to identify possible environmental effects and to determine the nature and extent of investigation required and to take into account the principles of ecological sustainability.

Step 2: Public participation

Under Art.6 para 4 of the SEA Directive, member states “shall identify the public for the purposes of public participation”. The draft plan or programme, the environmental report, and other information will have to be laid open for inspection by the general public, while the public whose interests will be concerned by the plan or programme may submit their opinions. Furthermore, everyone is entitled not only to inspect the draft plan and programme documents, but also to comment on them. These provisions give each individual the right to participate in the process. The Building Code make SEA requires that an appropriate time, at least one month, must be granted for the comments in the SEA procedure.

Step 3: Reporting

Under the Federal  Building Code, the environmental report will be prepared, first, in a draft form for public inspection as well as for the participation of other authorities and, if relevant, other countries whose environment may be affected by the plan. After these procedural steps have been completed, the planning authority will have to revise, and possibly modify or supplement, the report. This will then be included in the reasons and considerations on which the proposed plan is based. Thus it will be subject to the final decision on the plan by the municipality, finally it will then have to be reconsidered and, if necessary, amended once again before it is made available to the public, the involved authorities and the other affected countries.

Step 4: Decision making

Under the Federal EIA Act, the competent authority will, in EIA cases, have to take the environmental impacts of the project into account in two steps:

· To prepare a summary of the environmental impacts based on the information submitted by the proponent and the comments received from the public and from other authorities

· To evaluate these impacts using the yardstick of the relevant environmental legislation like the Federal Imissions Control Act or the Water Act of the respective land

Step 5: Monitoring

After some years of operation or implementation,  actual impacts are summarised and compared with forecasts in the final evaluation report.

Administrative mechanism

SEA process is administered by 16 Federal States’ own law. It is statutory for federal level while administrative for federal state level. SEA reports are also focused on plans and programmes with no assessment on policy level.

C. Process Flow Chart

Figure 7.2.7.1.        SEA flow chart

D. Summary Table

Table 7.2.7.3.                Summary Table for Germany

Urban Development Policy and Actions
Policy and Actions	N/A
Legislations / Guidance and Relevant Document  *	Federal Spatial Planning Act 2004, Federal Building Code 2004, Federal Construction Law 2004 and 16 Federal States’ own law, Federal Building Code Spatial Organization Act Federal Town Planning Act Land Use Ordinances Map sign Ordinances Special Provisions for development and urban renewal
Environmental Evaluations / SEA Status in Urban Development Policy and Actions
	Administrative	Statutory
Type of Assessment	Strategic Environmental Assessment	Strategic Environmental Assessment
Requirement Mechanism	Statutory for federal level and Administrative for federal state level	Statutory for federal level and Administrative for federal state level
Legislations / Guidance and Relevant Document *	16 Federal States’ own law	Federal EIA Act (UVPG - Umweltverträglichkeitsprüfung 2005)
Applications	Plans and programmes	Plans and programmes

7.2.7.3 Analysis and Conclusion

Urban Planning Policies

In land use planning, Germany has been particularly  follow to the formal landscape panning system, based on the Federal Environmental Protection Act of 1976 (last amended 2002) and to EIA-based assessments of master plans for smaller areas like municipality.

Government and administration in Germany are organised in a federal structure consisting of the national level, the states and local authorities.

Environmental evaluation / SEA

In certain states, local land use plans have started to deal explicitly with the potential impacts of those changes and developments they propose through landscape plans. Essential elements of SEA in Germany have already met the requirements of the European SEA Directive to a greater extent than statutory and formally applied assessment types currently practised and presented, environmental objectives are set, professional consultation and participation are conducted, impacts are appraised and potential mitigation and compensation measures are set. However, the local land use plans were given insufficient consideration to different development alternatives.

Due to the fact that policies are not covered by the SEA Directive, strategic plans prepared at the state level do not include an assessment of their environmental impacts. This means that important strategic decisions will continue to be made without assessing their impacts and without sufficiently wide participation.

7.2.7.4 Project Examples

Example 1	Federal Transport Infrastructure Plan 2003
Description of the Study	The last Federal Transport Infrastructure Plan was updated in 1992 and the government was expected to present a new Federal Transport Infrastructure Plan in 2003.
Process of the Study	Facing the high demand of different transport infrastructure and enhancing the international competitiveness of Germany, the Federal Ministry of Transport, Building and Housing initiated this report to assess the possible impact of the Federal Transport Infrastructure Plan 2003. Evaluation methodology Macroeconomic evaluation based on uniform standards was conducted to determine the necessity and degree of priority, of planned rail, road and waterway projects. All upgrading and new construction projects defined for the Federal Transport Infrastructure Project 2003 have been subjected to a uniform evaluation based on benefit-cost analysis, environmental protection and nature conservation, and regional planning (including urban development) An environmental risk assessment, with a Habitats Directive assessment, augments the evaluation procedure by adding the qualitative appraisal of spatially related environmental risks and possible conflicts of the project under consideration if environmental impacts have not already been monetized as part of the benefit-cost analysis. Consultation Negotiations took place when there is a need for consensus because the Parliament of the Länder, the Bundesrat, must agree on the proposed Federal Transport Infrastructure Plan. Associations and NGOs are informed about the draft plan and they give their opinions.
Outcome of the Study	At its meeting on 2 July 2003, the Federal Cabinet adopted the Federal Transport Infrastructure Plan 2003. The Federal Transport Infrastructure Plan 2003 lays foundations for the future of mobility in Germany. It thus points the way forward to a transport system that meets the requirements of the 21^st century. The task of transport policymakers is to strengthen the transport system as a whole. It aims at strengthening German transport infrastructure in Europe as the infrastructure enlarges, constructing efficient transport infrastructure in the new federal states. Finally, the Federal Cabinet decided on the Federal Transport Infrastructure Plan and developed drafts of the Transport Infrastructure Extension Acts which have to be approved by the Parliament.

Example 2	Municipality of Ketzin in Brandenburg land use Plan
Description of the Study	Ketzin is part of core development area around Berlin and lies between the two urban centres of Potsdam and Nauen. A stagnant population and economy are expected for the foreseeable future as there are currently no major development pressures.
Process of the Study	Statutory local land use plans were prepared for the five administrative areas of the municipality of Ketzin. Their overall goal was to create the basis for positive future economic, social and environmental development. The landscape plan/SEA under consideration covered the whole area of Ketzin, and it was prepared in parallel with the five separate land use plan. It involved the formulation of the environmental development objectives for these plans and the assessments of the potential environmental impacts of anticipated land use changes. The planning authority of Ketzin was responsible for both the preparation of the local land use plans and the landscape plan for SEA. Documentation was prepared by a consultant. SEA is confirmed by the State Environment Agency. In the SEA process, various suggestions for future land use were assessed. Alternatives sites were compared and evaluated.
Outcome of the Study	The Plan finally adopted. Factors that were crucial for the overall success of the SEA particularly include the widespread consultations with various stakeholders throughout the SEA process led to the landscape plan being perceived very positively. Finally, the existence of formal and transparent plan making and SEA procedures, as well as the checks made and the support given by the state agencies were important.

7.2.7.5 List of References

· Nature-oriented flood damage prevention, 2008, Planning System of Germany, http://ewa.bafg.de/servlet/is/13219/?lang=en

· Committee on Spatial Development in the Baltic Sea region Vision and Strategies 2010 around the Baltic, Compendium of Spatial Planning Systems in the Baltic Sea Region: Germany, http://vasab.leontief.net/countries/germany1.htm#2

· Federal Ministry of Transport, Building and Housing, 2003, Federal Transport Infrastructure Plan 2003, http://www.bmvbs.de/Anlage/original_17121/Federal-Transport-Infrastructure-Plan-2003.pdf

· PlanNet Europe, 2002, Implementation of the Strategic Environmental Assessment (SEA) in the Member States of the European Union, http://www.difu.de/projektforen/plannet/eng/2002/reports/germany.shtml

7.2.8 Norway

7.2.8.1 Urban Development Policies and Actions

The main legal framework for spatial planning in Norway is included in the Planning and Building Act (Act No.77 of 14 June 1985, latest amended in 2005). The Planning and Building Act describes the County Plan as a comprehensive plan for the coordination of national, county and municipal planning in connection with the utilization of natural resources in a county, and other questions of common interests for the simulation of economic growth and welfare in the county. The professional content of the plan is summarised in the Act, and is fairly extensive.

A. Regulatory mechanisms

The Planning and Building Act regulates the scopes and tasks of the whole administrative levels in the planning system. It defines three levels of planning (national, regional and local), ways of preparing spatial plans at each level, consultation and public participation process. The Planning and Building Act has the provisions on the ability to render administrative decisions in the form of legally binding plans that impose restrictions on the use of land.

Norway is divided into counties and municipalities. On the county level the administrative unit is called County Municipality. Both the County Municipalities and the Municipalities have public elected bodies that have the power to decide on the policy within each county or municipality.

At the county level, the County Council, the County Governor and the national expert authorities all have their important roles in the planning process.

 The County Municipality is responsible for preparing the County Plan. This is a general plan for the county, dealing with natural resources, development and protective measure in the county. It is intended that the county planning shall coordinate the main feature of national activities in the county. The County Council, which is a publicly elected body, is responsible for ensuring that this intention is carried out, and for the organisation of the work involved. The County Plans affect both the municipalities and the State. A County Plan is not legally binding while the plans are guidelines that the municipalities must act within.

The municipalities have the authority to approve legally binding plans if the county municipality and the national expert authorities have had no objections to the draft plan or if it has been altered because of the objections.

In relation to local planning, the central authorities take the advisory function. As the local planning must be carried out within national goals and guidelines, the central authorities must set up the political platform of the planning.

 The municipalities are required to ensure that comprehensive plans are continually prepared. Such a comprehensive plan is called a Municipal Master Plan, which is the responsibility of the public elected Municipal Council.

The Municipal Master Plan shall coordinate the physical, economic, social and cultural planning in the municipality. It shall consist of a long-term part and a short-term part.

The long-term part comprises:

· goals for the development in the municipality, guidelines for sector planning and a land-use plan for the management of land and other natural resources. The land-use plan is legally binding.

The short-term part comprises:

· an integrated programme of action for sector activity in the next few years.

The Municipal Zoning Plan is implemented by the municipal government to supervise the land use in the city.

B. Overview of evaluation approach

In national level, the King is responsible for and directs planning activity. The Environmental ministry has the main administrative responsibility for the national authorities’ planning functions and work to ensure that the decisions made at the national level are followed up in county and municipal planning.

In county level, the County Council is responsible for and will administer work on county master plans.  The County Governor is responsible for administering the tasks of the county.

The municipal government is responsible for the evaluation of the plans, programmes and policies in relation to the urban planning process. The head of the municipal administration shall be responsible for the municipality’s planning functions. Public bodies with tasks concerning use of resources, protection and conservation, physical development, or social and cultural development within the area covered by the municipality will give the municipality necessary assistance in planning activity.

As the Planning and Building Act has defined the distribution of planning functions between the municipal, county and national authorities, in case of any doubt about the definition or it is impossible to reach agreement, the matter will be decided by the King.

No matter of municipal zoning plan and municipal master plan, they follow a similar procedure. The draft of the zoning or master plan should be consulted with state bodies and county authorities, as well as with interested local groups and organizations. After first political decision about the adoption of the project is taken by the municipal council, they shall be made available for the public. The information about public inspection should be announced in two newspapers. Inspection lasts 30 days and everyone can express opinion about the inspected plan in a written form. After public hearing, planners have the responsibility for deciding which opinion should be taken into account.

7.2.8.2 Environmental Evaluation / SEA in Urban Development

A. Regulatory mechanisms

Statutory mechanism

A government Administrative Order 1994 (Utrediningsinstruksen) states that documents presented to parliament and to the cabinet shall be subject to environmental assessment of their significant environmental effects. Each sectoral department have the responsibility to assess and present the environmental impacts. This requirement can be applied to policies, plans and programmes.

Specifically, the Planning and Building Act and the Regulations on Environmental Impact Assessment provide the legal framework for environmental evaluation of plans and programmes. The Regulations on Environmental Impact Assessment are drawn up in accordance to the requirements of the EU’s SEA Directive and EIA Directives.

In 1990, the first general legislation on environmental impact assessment was adopted by the Norwegian Parliament as part of the Planning and Building Act. As the Norwegian provisions has put stronger emphasis on the participation of the public and authorities concerned in the early stages of the procedures, it has been planned to include provisions on SEA in the Planning and Building Act and other relevant legislation, based on the SEA Directive (2001/42/EU) on Environmental Assessment of Certain Plans or Programmes and the United Nations Economic Commission for Europe Protocol on Strategic Environmental Assessment. Since 1 April 2005, the SEA Directive has been implemented in Norway by the amendment of the Planning and Building Act.

Also, environmental assessment for policies is governed by the “Instructions for consequence assessment, submission and review procedures in connection with official studies, regulations, positions and reports to the Storting”. It describes the arrangements and procedures that are in place for this purpose and summarises recent experience with their implementation. SEA at this level forms part of a larger process of assessment of policy and legislation, which has been applied in Norway for several years. The “Instructions for consequence assessment, submission and review procedures in connection with official studies, regulations, positions and reports to the Storting” has been laid down by Royal Decree of February 2000 and came into force on March 2000. The Ministry of Environment has issued a “Guideline on Environmental Assessment in Accordance with the Instructions for Official Studies and Reports” for all the EIA projects in the municipal level to follow.

Administrative mechanism

At regional and local level, the municipal government carries out the SEA process under the SEA and Environmental Assessment lay down by the national government as guidance. Municipal government has the administrative power to carry out their own planning and SEA. Statutorily, the municipal government has to carry out SEA process under the Planning and Building Act while administratively, they can carry it by their respective own laws, own guidelines and regulations. Different municipal governments have their own SEA process.

B. Evaluation methodologies

Statutory mechanism

Assessment processes for SEA for plans and programmes:

Step 1: Screening and scoping

Screening process is defined in the Regulations on Environmental Impact Assessment. Section 3 of the Regulations on Environmental Impact Assessment provides list of plans and projects that are subject to environmental assessment if they may have significant impacts on the environment, natural resources or community against the criteria provided in section 4.

For plans that are subject to assessment, they should:

· Be located in or are in conflict with areas with particularly valuable landscapes, natural environments, cultural monuments or cultural environments that are protected or preserved;

· Be located in or are not in conflict with important natural areas on which there has been no encroachment, or pose a threat to directly endangered or vulnerable species and their habitats or to other areas of particular importance for biological diversity;

· Result in a significant increase in the number of persons who are exposed to high levels of air pollution or noise, or may lead to significant pollution of soil, water and sediments, or entail a risk of serious accidents, radiation, landslides and flooding.

Zoning plans, including roads, railway lines, tram and underground lines, cable cars for the carriage of persons, landing places, ports and harbour installations and inland waterways would be an example for plans that are subject to assessment.

Prior to the environmental assessment, scoping is required in the assessment process. The plan or project proponent is required to draw up a proposal for the planning or assessment programme. The proposal for the planning or assessment programme shall describe the issues that are expected to be elucidated, the alternatives will be considered, the assessment proposed for incorporation in the proposed plan, the methods will be utilised and any particular groups who are presumed to be specially concerned.

Step 2: Environmental reporting

Environmental reporting is required for recording the assessment results. Proposed plans or applications and the environmental report shall normally be submitted as a single, coherent document.

Step 3: Consultation

· with Authorities

Consultation with the concerned authorities is undertaken in the following requirements:

· Proposed planning or assessment programmes and the consultation period should not be less than six weeks. On the basis of the proposed planning or assessment programmes and the comments thereon from the consulted parties, the competent authority shall prescribe a programme for the planning or assessment work and send a copy of the prescribed programme to those who have submitted comments on the proposed programmes, and

· Proposed plans or applications with an environmental impact assessment and the consultation period shall not be less than six weeks.

· with public

· Public consultation is undertaken at the same process as the consultation with the authorities, and the decisions on the proposed plans shall be announced publicly.

· During the consultation process, the plans or projects proponents shall circulate the relevant information to special interest organisations in relation to the proposed plans or projects apart from the public inspection.

Step 4: Post consultation

The planning authority or the licensing authority shall take into account the environmental impact assessment and the comments thereon in making the decisions for the proposed plans, and its consideration shall be presented in documents.

Step 5: Monitoring

The SEA report shall include an evaluation of the need for, and possibly, proposals for monitoring the project. With a view to monitoring and mitigating significant negative effects, the planning or licensing authority may decide that an environmental follow-up programme shall be prepared.

Assessment processes for SEA for policies:

Environmental assessment is most likely to be needed within defined policy areas, such as energy, transport, agriculture and fisheries.

Step 1: Evaluating the need for environmental assessment (preliminary assessment)

Step 2: The Ministry of the Environment recommends a checklist for responsible body to evaluate the need to study the environmental consequences of the matter.

Step 3: Submission of the preliminary assessment to the Ministry of the Environment before the EA Report is initiated

Step 4: Submission of the EA Report to the Ministry of the Environment once completed but before the circulation for public review

Step 5: Public review

Administrative mechanism

The municipal government should follow the same procedures as the SEA statutory mechanism over programmes and plans and environmental assessment over policies. Basically, the municipal government should follow the statutory SEA process while practically they have their own administrative procedure in their own municipalities. Different municipal governments have their own SEA system. The national statutory process of SEA is institutionalised into the local or municipal level depending on the municipal government own system.

C. Process Flow Chart

Figure 7.2.8.1.        Process flow chart for Spatial Planning Procedure at Municipal Level

Figure 7.2.8.2.        Process flow chart for EA for policies and SEA for plans and programmes

D. Summary Table

Table 7.2.8.1.                Summary Table for Norway

Urban Development Policy and Actions
Policy and Actions	N/A
Legislations / Guidance and Relevant Document *	The Planning and Building Act 1985 (amended in 2005)
Environmental Evaluations / SEA Status in Urban Development Policy and Actions
	Administrative	Statutory
Type of Assessment	Environmental Assessment for policy. Strategic Environmental Assessment for plan and programme	Environmental Assessment for policy. Strategic Environmental Assessment for plan and programme
Requirement Mechanism	Administrative mechanism	Statutory mechanism
Legislations / Guidance and Relevant Document *	Guideline on Environmental Assessment in Accordance with the Instructions for Official Studies and Reports Different municipal government’s own laws, systems and regulations.	Administrative Order 1994 Environmental Assessment – Instructions for consequence assessment, submission and review procedures in connection with official studies, regulations, positions and reports to the Storting Strategic Environmental Assessment – Planning and Building Act, Regulations on Environmental Impact Assessment
Applications	For both administrative and statutory applications, EA applies to policy while SEA applies to plans and programme

7.2.8.3 Analysis and Conclusion

Urban Planning Policies

Organization of planning policy in Norway is based on planning legislation. There is introduced planning procedure in national jurisdiction in Norway.

Basic assumptions of planning acts as well as system of education of professional planners were identified. Spatial planning is divided into national, regional and local level. Planning documents are carried out on all levels, and they are related to each other.

Norway has a “top-down” planning system. Municipalities in Norway need to follow national and county plans.

Environmental evaluation / SEA

In Norway, the formal provision of the environmental assessment for official studies, regulations, propositions and reports to Parliament (the Storting) is made via the “Instructions for consequence assessment, submission and review procedures in connection with official studies, regulations, positions and reports to the Storting”. It describes the arrangements and procedures that are in place for this purpose and summarises recent experience with their implementation. SEA at this level forms part of a large process of assessment of policy and legislation.

Norway has its statutory SEA-like instrument for policy level. Formal provision of SEA for policy and legislation is also given in the “Instructions for consequence assessment, submission and review procedures in connection with official studies, regulations, propositions and reports to the Storting” issued by Royal Decree while for programmes and plans such as land-use plans, only pilot or voluntary SEAs have been carried out.

7.2.8.4 Project Examples

There is not enough information on the example of SEA in Norway. Only one example can be found.

Example 1	Norwegian Road and Road Transport Plan 1997
Description of the Study	Norwegian Road and Road Transport Plan’s planning started in 1989; a final project report was presented in 1996. Based on a 1991 motorway project EIA program proposal of the road administration, it was decided to include rail and public transport in the assessment. The new assessment programs were adopted in 1993, for the Road Administration and in 1994, for the Rail Administration. Phase 1 of the shared impact assessment was adopted in 1995. The second phase, including development of master plans for the alignments, ended in 1997 for rail and in 1999 for road connections. In all, five separate official hearing and adoption processes took place, showing the need for a co-ordinated assessment process from the beginning. The plan is based on development of four strategies, a mobility strategy, an environmental strategy, a transport safety strategy and a regional policy strategy.
Process of the Study	The Norwegian Public Roads Administration developed the proposals on which the Ministry of Transport and Communications conducted a detailed report of the Norwegian Road and Road Transport Plan. The key indicators for the environmental strategy are: · reduction in noise exposure · reduction in air pollution exposure with regards to NOx and PM10 · reduction of number of km of trunk roads in significant conflict with landscape qualities and the natural and cultural environment
Outcome of the Study	In 2001 the Storting approved the National Transport Plan. The experience gained through this process has become the basis for the National Transport Plan 2002-2011, which included all modes of transport. During the 2004 parliament treatment of the Norwegian Road and Road Transport Plan, the Parliament committee for communications confirmed that it will continue to place emphasis on long term planning.

7.2.8.5 List of References

· Ministry of the Environment, http://odin.dep.no/md/english/bn.html

· Regulations on Environmental Impact Assessment, 1 April 2005, http://regjeringen.no/en/dep/md/documents-and-publications/acts-and-regulations/regulations/2005/regulations-on-environmental- impact-asse-2.html?id=512075

· The Planning and Building Act, http://www.ub.uio.no/ujur/ulovdata/lov-19850614-077-eng.pdf

· Ministry of Environment Forest and Nature Agency, Spatial Planning Department Denmark, 2004, Regional Planning in Finland, Iceland, Norway and Sweden, http://www.lpa.dk/topmenuen/Publikationer/Andre_sprog/2004/regional_planning_in%20Nordic_UK.pdf

· European Cooperation in the Field of Scientific and Technical Research, Green Structure and Urban Planning, 2000, http://www.map21ltd.com/COSTC11/norge.htm

· Norwegian Public Roads Administration, http://www.ptl.fi/NVFnorden/priv/nvf13/BRA/Billehaug.pdf

· A.H. Jansson, 1999, Strategic Environmental Assessment for Transport in Four Nordic Countries, Proceedings from the Third Nordic EIA/SEA Conference , 22-23, November, 1999, http://www.nordregio.se/Files/r003jansson.PDF

7.2.9 Portugal

7.2.9.1 Urban Development Policies and Actions

A. Regulatory mechanisms

According to the Portuguese Constitution, spatial planning aims to ensure the adequate location of activities, a balanced social and economic development and the enhancement of the landscape, which is an essential responsibility of the State. It should be carried out with citizen participation, in a framework of sustainable development.

The basis for the present spatial and urban planning policy was established in August 1998, with the approval by Parliament, of Law 48/98 (Portuguese Land Use Planning Act 1998). The Portuguese Land Use Planning Act 1998 defines the framework for the spatial and urban planning policy, establishes a territorial management system and regulates, in the framework of this policy, the vertical and horizontal inter-relationships between the different levels and sectors of public administration, and calls for citizen, social and economic sectors participation.

The Portuguese Land Use Planning Act 1998 provides the basis for land use planning and urban development policy in Portugal. It defines policy objectives, key land use planning principles and the land use planning system. The land use planning system is a hierarchical structure with national, regional and municipal levels. Four types of planning instrument are defined: those of a strategic nature; sectoral policies having spatial definition; those of a special nature; and those of a planning and regulatory nature.

The Land Use Planning Act 1998 regulations established the requirements for the different plans prepared under the land use planning system. They describe:

· the concept and general objectives of the different plans,

· the institutional responsibilities for formulating the plans,

· the contents of the plans,

· the institutional consultation and review process prior to plan approval,

· the requirements for public involvement, and

· the mechanism for approval of the plans.

In the existing regulations, there is no technical methodology for land use plan preparation. Also, there is no formal guidance about suggested planning methodologies in Portugal. There are no regulations relating to processes and procedures for plan monitoring, quality control or follow-up of plan implementation. The process of plan formulation prior to submission to the formal approval procedures is not standardized. Consequently, current planning practice complies with the planning regulations on approval requirements and procedures, but does not employ uniform planning methodologies.

The Portuguese Land Use Planning Act 1998 organizes, in a coordinated interaction framework, the territorial management system in 3 levels and 4 types of functions.

B. Overview of evaluation approach

The Directorate General for Spatial Planning and Urban Development is the department of central administration responsible for the preparation, implementation and assessment of the spatial and urban planning policy. The Directorate General for Spatial Planning and Urban Development is specifically responsible for promoting the preparation, monitoring, revision and assessment of the national spatial policy programme, as well as for guaranteeing, in cooperation with the competent authorities, the coordination between the spatial and urban planning policy and the sectoral policies with territorial impacts, for participating in the preparation and monitoring of all the territorial management system.

7.2.9.2 Environmental Evaluation / SEA in Urban Development

A. Regulatory mechanisms

Statutory mechanism

 There has no statutory mechanism for SEA in Portugal.

Administrative mechanism

Current SEA practice is basically non-existent. Only a handful of SEAs have been undertaken in Portugal and there was neither any public involvement nor any review by public authorities in these assessments. Most of these SEAs were either environmental baseline studies that formed part of planning design proposals, or involved the assessment of very large projects in which the project perspective was maintained only at the cost of correspondingly large and complex studies.

There is no formal legislation regarding the SEA of land use plans, or any other form of SEA, responsibilities regarding the promotion and development of SEA have been allocated to the agencies of the ministry responsible for land use planning and the environment. These include the Institute of the Environment, which is the EIA national authority. The Directorate-General for Land Use Planning and Urban Development is the national authority for land use planning, and the various regional commissions for development coordination that administer national environmental and land use planning responsibilities at regional level.

The only guidance available in Portugal was on strategic impact assessment of land-use/spatial plans (regional, inter-municipal, municipal, urban plans, coastal areas plans, natural protected areas plans and water reservoir plans). This guidance was issued in 2003 by the National Directorate General for Land Use Planning and Urban Development.

The Guidance sets out a technical methodology for strategic impact assessment to be used during the planning process as part of the conception, preparation, discussion, approval and implementation of spatial plans in Portugal. It applies to regional special, inter-municipal, and municipal master plans as defined in the Spatial Planning Act and regulations. (Law n.48/98 of 11^th August, and Decree-Law n. 380/99, of 22 September 1999) The strategic impact assessment methodology is designated to be used in close articulation with the planning methodology, to fit to the sequence and nature of planning activities and functions that are normally part of a plan development process.

The legislation that would transpose the SEA Directive was still under preparation in until now.

B. Evaluation methodologies

Statutory mechanism

No statutory SEA is present in Portugal. At national level, integration of environmental concerns into strategic decision-making occurs mainly through the National Council for Environment and Sustainable Development. Concerning SEA, Portugal is one of the only three EU members having no SEA legislation in place. There is no local level SEA requirement.

Administrative mechanism

There is no legal requirement for SEA in Portugal. Portugal only requires administrative process for SEA.  Portugal is one of the states in EU which have no SEA legislation in place.

The existing EIA legislation is exclusively applied to projects. Elements of environmental evaluation are incorporated into regional and local land use planning, in the preparation of a national energy plan and a national system for industrial waste management.

Participation

Every citizen as well as associations representing the economic, social, cultural and environmental interests, have the right to participate in the procedures of preparation, amendment, review, implementation and assessment of the different plans, by presenting suggestions and demands of information in relation to all of the above mentioned procedures. The public bodies responsible for the preparation, amendment, review, implementation and assessment of the different plans have to make public, namely through the media, the decision to start the procedures mentioned above, the end of each of those procedures and the documents to be submitted to public consultation, the opening and timetable for the consultation, the conclusions of public consultation, the means of implementation, the beginning and the conclusions of the plan’s assessment. Results of public consultation have to be considered in the final draft proposals submitted for approval.

C. Process Flow Chart

NIL

D. Summary Table

Table 7.2.9.1.                Summary Table for Portugal

Urban Development Policy and Actions
Policy and Actions	N/A
Legislations / Guidance and Relevant Document  *	Land Use Planning Act 1998
Environmental Evaluations / SEA Status in Urban Development Policy and Actions
	Administrative	Statutory
Type of Assessment	Strategic Impact Assessment	N/A
Requirement Mechanism	Administrative system	N/A
Legislations / Guidance and Relevant Document *	Guidance on SIA of land-use/spatial plans National Directorate General for Land-Use Planning & Urban Development (2003)	N/A
Applications	Plans and programmes	N/A

7.2.9.3 Analysis and Conclusion

Urban Planning Policies

In general, current planning practice complies with the planning regulations on approval requirements and procedures.

Environmental evaluation / SEA

Strategic environmental assessment is still an emerging practice in Portugal. Resistance to its adoption and difficulties with implementation relate more to the characteristics of development decisions, and to the existing institutional context, than to the social and political acceptance of the SEA concept.

Regional and inter-municipal plans will fall under the scope of the SEA Directive if these land use plans provide the context for subsequent projects. SEA will eventually play a crucial role in this type of planning by improving the overall quality of plans and helping to integrate environmental concerns within the land use planning framework.

The absence of formal requirements for SEA, and of SEA practice, has prevented a thorough assessment of the Portuguese SEA system, process and outcome. The content of this chapter has, therefore, necessarily been limited to the contextual issues associated with the implementation of SEA in Portugal.

7.2.9.4 Project Examples

There are as yet no examples of formal SEAs of land use plans in Portugal. In the absence of legislation, guidance for the SEA of land use plans was developed by the national authority for land use planning and formally adopted in late 2003.

7.2.9.5 List of References

· Barry Dalal-Clayton and Barry Sadler, 2004, Strategic Environmental Assessment: A sourcebook and reference guide to international experience, http://www.iied.org/Gov/spa/documents/SEAbook/Chapter3_Oct04.pdf, page 99

· Building Environmental Assessment Consensus on the trans-European transport network (BEACON), July 2004, Report on methodological approaches to SEA, including draft version of D5.1, http://www.transport-sea.net/filecount.phtml?file=D_2_1.doc&PHPSESSID=39b7a60cac4907leed204092d2aeb8, Page 55-57

· Council of Europe, Directorate of Culture, Cultural and Natural, Portugal, Heritagehttp://www.coe.int/t/dg4/cultureheritage/Source/Policies/CEMAT/Compendium%20P_en.pdf

7.2.10 Spain

7.2.10.1 Urban Development Policies and Actions

A. Regulatory mechanisms

The national constitutions determine the distribution of urban planning powers. Spain is undergoing in the period of decentralization. Urban planning competencies belong to the regional level (Autonomous Communities).

There is no standard urban system in Spain. After 1978 when the new Spanish Constitution was approved, the urban competencies were transferred to the Autonomous Communities. There are 17 Autonomous Communities in Spain. Almost all of them have their own urban legislation. Even in those Autonomous Communities with regulations of their own about land use planning, such regulation arises from the State legislation.

The general legislation applicable in all the Spanish territory is the "Ley sobre Régimen de suelo y Valoraciones " (Land use planning and Appraisal Law), approved in 1998, therefore after the approval of the Constitution, while this Law, due to the State not having competences to legislate in relation to urban subjects, only regulates as its name indicates, other aspects not related to urban land use. This law is applicable to those Autonomous Communities without a legislation of their own.   

There are four types of plans in Spain, namely regional plans, master plans, partial plans and special plans. Only the municipal master plans are the main instruments and the whole planning for the township. Its scope includes the complete surface of the municipality, and it is carried out by the Town Council itself, or by a private planner commissioned for it by the Council. When the Master Plan refers to Metropolitan areas, its scope covers the main city that constitutes the focus of the urban agglomeration as well as the rest of councils integrated within the Metropolitan area.

B. Overview of evaluation approach

The Autonomous Communities have full powers to design urban policies, with the legislative capacity to approve their own urban laws. Town councils at a local level also participate in the design and implementation of urban policies.

In Spain although only Madrid, Barcelona, Valencia, Seville and Bilbao, are considered Metropolitan areas, while the Central Area of Asturias, Málaga and the Bay of Cádiz are considered urban agglomerations, at present only Barcelona has a real Metropolitan Master Plan (27 councils). The Master Plan of Madrid includes only Madrid and the former councils incorporated to the capital some years ago.

The Master Plan is an integral Plan that establishes:

· The Land Classification (Urban, Land to develop, and Land not to develop).

· The regulation of the uses of the land and the intensities of the edification.

· The general and organisational structure of the territory (System of communications). 

· The General System of open spaces (parks and green spaces), and community services (educational, cultural, health assistance, sports, churches, cemeteries, etc).

· The programming for the development of the Plan.

7.2.10.2 Environmental Evaluation / SEA in Urban Development

A. Regulatory mechanisms

Statutory mechanism

Strategic environmental assessment of plans and programmes was introduced in Spain’s national legislation after the EU SEA Directive (2001/42/EC) was transposed by SEA Law 9/2006, 28 April in 2006.

There were no guidelines at the national level. Different regions have their own guidelines and laws. Regional laws included:

· Law 1989 of 3 March, Valencia.

· Law 1989 of 20 March, Cantabria.

· Law 1990 of 23 July, Canarias

· Law 1994 of 18 May, Andalucía.

· Law 1998 of 27 February, Basque Country.

· Legal Decree 2000 of May 18, Castilla y Leon.

· Law 1999 of 8 April, Cataluña.

Due to the lack of English documents, the above regional laws details cannot be analyzed.

Administrative mechanism

The Ministry of the Environment is responsible for approving projects with environmental significance that have been presented and assessed by the central government. Projects are generally not rejected outright, but more stringent conditions or modifications may be imposed. 

Environmental impact assessment (EIA) of projects has become routine with the transposition of relevant EU Directives in Spain’s national legislation. Each of the 17 Spanish autonomous communities can define their own environmental impact assessment legislation.

B. Evaluation methodologies

Statutory mechanism

Each region has its own legislation in environmental assessment. No standard guideline from the national government.

Administrative mechanism

There is an absence of English documents for EIA procedures. Each region has its own EIA procedures.

Although it is required by the 1978 Constitution, the 1997 Government Act and more specific legislation on EIA, public participation is not common in Spain in environmental policymaking at the national level. Even when NGOs and other stakeholders have taken part in consultation processes related to the environment in an official capacity, their role has been limited. There is no formal mechanism by the government for the public to express their view. The government would simply go through the planning process without considering the concern from the public.

C. Process Flow Chart

NIL

D. Summary Table

Table 7.2.10.1.              Summary Table for Spain

Urban Development Policy and Actions
Policy and Actions	N/A
Legislations / Guidance and Relevant Document  *	Land use planning and Appraisal Law 1998
Environmental Evaluations / SEA Status in Urban Development Policy and Actions
	Administrative	Statutory
Type of Assessment	Environmental Impact Assessment	N/A
Requirement Mechanism	Administrative	N/A
Legislations / Guidance and Relevant Document ^*	A total of 17 states have their own legislations, 1997 Government Act, EU SEA Directive (2001/42)	SEA Law 9/2006
Applications	Plans and programmes	N/A

7.2.10.3 Analysis and Conclusion

Urban Planning Policies

The profound changes that have taken place in Spain over the last two decades have brought transformations in the structure of the urban planning policies. Urban planning competencies belong to the regional level with no standard guideline in the national level.

Environmental evaluation / SEA

The SEA Directive was transposed by the SEA Law 9/2006 in April 2006. Regional laws that include certain SEA requirements have been in place since the late 1980s/early 1990s in Valencia, Cantabria, Canarias, Andalucía, the Basque Country, Castile and León and Cataluña.

There were no guidelines at the national level. At the regional level, however, the Basques Country had released two guidance documents. In addition, there were also ENPLAN Guidelines with case studies from Cataluña, Andalucía, Baleares and Murcia.

Although it is required by the 1978 Constitution, the 1997 Government Act and more specific legislation (e.g. on EIA, water planning, waste management), Spain does not have a strong tradition of public participation in environmental policymaking at the national level. Even when NGOs and other stakeholders have taken part in consultation processes related to the environment in an official capacity, their role has been limited. Major environmental NGOs and trade unions have indicated that they are not consulted or that, if they are, their views are not sufficiently considered. Public participation should increase with the transposition of the EU Directives on Strategic Environmental Assessment (2001/42/EC) and on public participation (2003/35/EC).

NGOs have criticised some major projects of national importance for the quality of the assessment or procedural aspects (e.g. lack of public participation). Regional administrations and municipalities are responsible for projects in their area of responsibilities. The division of responsibilities between the central and regional governments has been a source of some conflict due to lack of clarity concerning these responsibilities, and because central and regional administrations have different criteria and values for assessing projects.

7.2.10.4 Project Examples

There is no SEA example in the Spain as there is still no real SEA practice in Spain.

7.2.10.5 List of References

· ENPLAN Guidelines, http://www.carm.es/siga/europa/interreg/enplan.htm

· Green Structure and Urban Planning, Spatial Planning in Spain, http://www.greenstructureplanning.eu/COSTC11/spain.htm

· OECD, 2004, The OECD Environment Programme, Environmental Performance Review, Executive  Summary, http://www.oecd.org/dataoecd/39/31/33843571.pdf

· Strategic Environmental Assessment in Urban and Spatial Planning, http://www.eukn.org/belgium/themes/Urban_Policy/Urban_environment/in04_cytet149-150_evaluacion-ambientalEN_2335.html

· Biodiversity in Strategic Environmental Assessment, Quality of National Transposition and Application of the Strategic Environmental Assessment (SEA) Directive, http://www.eeb.org/activities/biodiversity/Final-SEA-report-271205.pdf

7.3 North America

7.3.1 Canada

7.3.1.1 Urban Development Policies and Actions

A. Regulatory mechanisms

In the national level, the land in Canada is managed by the Ministry of Natural Resources on behalf of the people of the provincial and territorial governments. These public lands are often referred to as “Crown lands”, to distinguish them from public lands owned by non-government agencies.

The Ministry of Natural Resources carries out Crown land use planning under the authority of the Public Lands Act while all unoccupied Crown lands are under the provinces control. Land use planning determines where specific land use designations apply (e.g., provincial parks, conservation reserves, enhanced management areas) and establishes broad policies for the land uses that can occur. Planning can occur at scales ranging from the development of large regional plans to site-specific land use amendments. Land use planning decisions are made through an open public process and are documented in the Crown Land Use Policy Atlas and/or local planning documents.

In the federal government level, it is strategy oriented, broad-scale processes set direction for most areas or resources within federal jurisdiction with comprehensive land use systems in north under devolved responsibilities. The key aspects and characteristics in this level are land and resource use plans for major areas of federal jurisdiction (other than north) take form of policy frameworks within which planning, management and implementation take place. Transfer of title and rights to native peoples and devolution of responsibilities to territorial governments in north have created multiple land use planning systems.

In the municipal level, it is rather complicated. Different municipal governments have different structure of administrative systems and planning systems. Actually in the local government level, there are several different types of local government, ranging from municipalities, to regional governments, to specialized agencies, boards and commissions. Different types of local governments have their own planning system and procedures. For an example, the Province of Ontario’s municipal planning is governed by the Planning Act. The Planning Act established procedures and authority for making decisions about land-use change on private and municipal lands.

In the provincial and territorial government level, it is resource based with regional scale approach to public land allocation and management which processes differ by province or territory. The key aspects and characteristics are the provinces or territories have planning processes, systems that apply to land and resource use, development. Generally, there has been a shift from single use resource management toward more integrated, strategic level approaches to sustainable land and resource use planning in most of the provincial and municipal level governments. These differ but emphasize on zoning to allocate land uses and intensities in relation to resource potentials, public consultation on protection of environmental values and permitted activities. Several provinces or territories have sustainable development strategies or equivalent processes that guide land and resource planning.

In Canada, there is a constitutional separation of powers between the national and provincial governments. Also, there is devolution of planning authority to municipal governments. Unlike many other countries, Canada has no national planning system. Even when the government of Canada promotes a national policy measure, its implementation depends on the willing collaboration of provinces and municipalities. Also, planning is not a constitutional obligation. Rather, it is up to each provincial government to decide whether it wishes to have a planning system, and then to determine its scope and powers.

For each level of government, the land use planning systems can be broadly differentiated with respect to types of plans prepared, instruments used scales of application and relationship to SEA and EIA.  As there is no uniform planning system, there are literally hundreds of planning jurisdictions, exercising various kinds of authority and often overlapping in confusing ways. Planning jurisdiction is fragmented within the country as well as within the province, which not only contributes to the variability in physical outcomes but is a major source of conflict in the planning process, especially in metropolitan areas where several jurisdictions have to coexist in a close and often competitive political relationship.

Cabinet Directive on the Environmental Assessment of Policy, Plan and Program Proposals requires the proposal submit to an individual minister or Cabinet for approval.

The Planning Act is administered by the Ministry of Municipal Affairs and Housing (MMAH). MMAH is the lead provincial ministry for municipal planning and it provides a one window planning service on behalf of the province. The Provincial Policy Statement, issued under the Planning Act, provides policy direction on matters of provincial interest related to land use planning..

Other cities like the City of Niagara Falls have other sets of planning procedures. It has four Zoning By-Laws which regulate land uses and prescribe development standards. The By-law consists of a map and regulations which provide minimum and maximum requirements. The City of Niagara Falls Official Plan was approved October 6, 1993. It sets out the long-range direction for land use planning in the entire City.

B. Overview of evaluation approach

As mentioned above, the Canadian planning system varies in different places. There are no standard evaluation methodologies within the country, not to mention standard legislative procedures. A common approach adopted by the various levels of government is discussed as follows.

A department or agency would be the chief player in the planning process.  They can determine whether there should have any preliminary assessment during the initial planning stage. They can also determine when or how to engage the public.  They can simply go through all the procedures without consulting the public, though the Cabinet Directive strongly recommends the department and agency to involve the public.

As there is no planning department to act as the mediator in the planning process, the stakeholders (related departments in the plan, policy or programme) would co-operate with each other on an ad hoc basis. No regulation requires them to form a project team or public meeting to better coordination.

In some provinces like Ontario, there is a Planning Act to control the plan. The Planning Act established procedures and authority for making decisions about land-use change on private and municipal lands. 

In the local or municipal level, development control is another tool for the government in intervening in the land use. Zoning is one of the tools. Development control in Canada follows a “one window” approach in which the concern authority is both a reviewing authority of a development proposal, and also the coordinator of consultation and review by other relevant government agencies. All the decisions may need to be channelled through the concerned authority to the municipal council.

7.3.1.2 Environmental Evaluation / SEA in Urban Development

A. Regulatory mechanisms

Concerning SEA, the Cabinet Directive (1990 and updated in 2004) is an administrative order that requires SEA on certain policy, plan and programme proposals.

There are four areas of policy to consider with regard to SEAs for urban planning in Canada.

· The Federal Government’s commitment to sustainable development by way of the Auditor General Act requires the completion of SEA. Under the Act, the Commissioner for Environmental and Sustainable Development will hold departments accountable for carrying their policy, plans and programs in a green way and will review progress in implementing the strategies.

· The Cabinet Directive on SEA requires departments to complete SEAs.

· Regulatory impact assessment obligations by way of the Canadian Environmental Assessment Act.

· Each department’s commitment to develop environmentally sound policy, plan and programme proposals.

The Canadian Environmental Assessment Agency published guidelines on implementing the Cabinet Directive. Ministers expect the SEA to consider the scope and nature of the likely environmental effects, the need for mitigation to reduce or eliminate adverse effects, and the likely importance of any adverse environmental effects, taking mitigation into account.

Canadian SEA practice is different from all other countries that experiences come almost entirely from federal cabinet decision processes (based on the 1999 Cabinet Directive on Environmental Assessment of Policy, Plan and Programme Proposals). Practice follows The Environmental Assessment Process for Policy and Programme Proposals guidance issued by the Federal Environmental Assessment Review office, which later became the Canadian Environmental Assessment Agency. The most distinctive feature in cabinet SEA is it is not legal basis.

Statutory mechanism

No statutory SEA system is applied in the country.

Administrative mechanism

The Cabinet Directive requires, by matter of policy, the consideration of environmental factors within all federal government departments of all policy and program initiatives submitted to Cabinet for consideration. It can ensure that environmental consideration can be integrated during the decision making process.

Cabinet Directive is a guidance to ensure that policies, plans and programs that are likely to have environmental effects are thoroughly assessed before decisions are sought. This approach was taken to ensure broad and comprehensive coverage of federal policy-making.

Unless the project is prescribed in the Exclusion List Regulations, all projects are required to undertake an appropriate degree of environmental assessment whenever a federal authority has a specified decision-making responsibility in relation to a project.

A Strategic Environmental Assessment would be conducted under the following situation:

· the proposal is submitted to an individual minister or Cabinet for approval; and

· implementation of the proposal may result in important environmental effects, either positive or negative.

Also, departments and agencies are encouraged to conduct strategic environmental assessments for other policy, plan or program proposals when circumstances warrant.

The objective stated in the Cabinet Directive is to systemically integrate environmental considerations into the planning and decision-making process. The environmental information derived from an examination of proposed policy or programmes initiatives is intended to support decision-making in the same way that other factors (economic, social and cultural) are now considered in evaluating proposals.

Federal authority such as ministers, departments, departmental corporations and agencies of the government are required to ensure an EIA is conducted as soon as possible in the early stages of a project by the department or agency. If an EIA is required for a project, the department or agency is required to perform the following responsibilities:

· determine the scope of the assessment

· review the environmental assessment report

Review Panel

A review panel is a group of experts selected on the basis of their knowledge and expertise and appointed by the Minister of the Environment. The Minister also appoints one of the panel members as chairperson.

A review panel is appointed to review and assess, in an impartial and objective manner, a project with likely adverse environmental effects. A review panel may also be appointed in cases where public concerns warrant it. Such projects may be referred by the responsible authority to the Minister of the Environment for assessment by a review panel. Only the Minister of the Environment may order an assessment by a review panel.

A review panel submits its recommendations to the Minister of the Environment and to the responsible authority.

Review panels have the unique capacity to encourage an open discussion and exchange of views. They also inform and involve large numbers of interested groups and members of the public by allowing individuals to present evidence, concerns and recommendations at public hearings. A panel allows the proponent to present the project to the public and explain the projected environmental effects, and provides opportunities for the public to hear the views of government experts about the project.

B. Evaluation methodologies

Statutory mechanism

No statutory SEA system is applied in the country.

Administrative mechanism

Preliminary scan

The first step is to conduct a preliminary scan, which should occur as early as in the development of a proposal and should determine important environmental considerations are likely to arise from implementation of a proposed policy, plan or program. During this stage, the focus is on identifying strategic considerations at a relatively general or conceptual level, rather than evaluating quantitative, detailed environmental impacts, as would be required in a project-level assessment.

Scoping

No scoping process is required in the Cabinet Directive.

The Cabinet Directive suggests the level of effort committed to the assessment should be commensurate with the level of environmental impacts anticipated from implementation of the proposed policy, plan or programme.

Some factors can be used in determining the level of effort committed to assessment:

· frequency and duration

· location and magnitude

· timing

· risk

· irreversibility

· cumulative nature

The Comprehensive Study List Regulations prescribe the projects and classes of projects for which a comprehensive study is required. Large-scale and environmentally sensitive projects usually undergo a comprehensive study.

Detailed analysis

If additional analysis is required, the Cabinet Directive states that SEA should address the following considerations (CEAA, 2004, Sections 2.3.2, 2.3.2)

· Describe scope and nature of potential effects from implementing proposal

· Consider need for mitigation measures to reduce or eliminate these effects

· Describe scope and nature of residual effects in short and long term

· Consider follow-up measures to monitor effects on environment or to ensure implementation supports government sustainable development goals

· Identify concerns of affected and interested parties for decision makers

Assessment

In general, the Director shall evaluate the adequacy of the EIA Report based on the following consideration:

· Early integration – Consideration of environmental effects should begin early in the conceptual or planning stages of the proposal, before irreversible decisions are made.

· Examine alternatives – Evaluate and compare different options for the policy, plan or programme. The comparison will help identify how modifications or changes to the policy, plan, or programme can reduce environmental risk.

· Flexibility – The guidelines set out by the Canadian Environmental Assessment Agency are advisory, not prescriptive. Departments and Agencies are encouraged to adopt and refine analytical methodologies and decision-making tools appropriate to their circumstances.

· Self-assessment – Departments are responsible for applying SEAs and determining how their SEAs should be conducted, how they carry them out and how they report their own results.

· Appropriate level of analysis – The scope of the analysis of potential environmental effects should be commensurate with the level of anticipated effects.

· Accountability – Strategic environmental assessment should be part of an open and accountable decision-making process within the Federal Government. Accountability should be promoted through the involvement of affected individuals and organizations, when appropriate, and through documentation and reporting mechanisms.

· Use of existing mechanisms – In conducting an SEA, Departments and Agencies should use existing mechanisms to conduct any analysis of environmental effects, involve the public if required, evaluate performance and report the results. Such mechanisms shall also be used to report statements of environmental effects. (Environment Canada, 2000)

The department or agency can permit the project to be carried out after the screening findings if it considers the project is not likely to cause significant environmental impacts, otherwise, it may determine not to allow the carry out of the project or refer to the mediation or review panel for further review. Upon the considerations of the comprehensive study report and public comment, the Minister of the Environmental will issue an environmental assessment decision statement to the department or agency which includes the Minister’s opinion about the significance of the environmental effects of the project and any mitigation measures or follow-up programme for the PP to take action.

The assessment report by the mediation and review panel will be submitted to the department or agency and the Minister of the Environment. Upon the approval from the Governor in council, the department or agency can permit the project to be carried.

Review

Once a review panel has completed the public hearings and its analysis, it must prepare an environmental assessment report which summarizes its rationale, conclusions and recommendations, and includes a summary of comments received from the public. This report is submitted to the responsible authority and the Minister of the Environment who then makes it public.

The responsible authority must take the review panel’s report into consideration before making any decision with regard to the project. It must also respond to the report, with the approval of Cabinet.

Public Consultation

The Cabinet Directive does not provide any specific procedure for public consultation but it does suggest the SEA should indicate concerns about the potential environmental impacts among those likely to be most affected and among those stakeholders (those with an interest in the policy) and the public.

The Cabinet Directive suggests the public involvement in the environmental assessment should be commensurate with public involvement on the overall development of the policy, plan or programme proposal itself and make use of any public involvement activities that may be under way as part of the proposal.

Monitoring and Audit

There are several checks and balances built into the process for submitting policy, plan and program proposals to Ministers or Cabinet for decision. Cabinet documents must contain specific information to account for environmental considerations, where necessary. Their development is monitored by the Cabinet secretariat, the Privy Council Office, to ensure that appropriate analysis is conducted and a balanced submission is made to Cabinet. In addition, Cabinet documents are subject to broad interdepartmental consultation, which allow officials from Environment Canada (which is a line ministry) and the Canadian Environmental Assessment Agency to flag possible concerns with respect to environmental assessment. (SEA at the policy level Canada)

Treasury Board Submissions relating to fiscal decisions follow a broadly similar process. In this case, they are subject to review by the Treasury Board Secretariat, which is responsible for ensuring thorough analysis and for identifying any potential problems with submissions. This includes any environmental concerns.

Regulatory proposals are also subject to the Cabinet Directive. A specific secretariat of the Privy Council Office is responsible for overseeing these submissions and for working with departments to ensure thorough economic, social and environmental analysis. Unlike Memorandums to Cabinet and Treasury Board submissions, regulatory proposals must be published for comment prior to being submitted for decision.

The mandate of the Commissioner for Environment and Sustainable Development provides a final ‘check and balance’.

The Commissioner audits the environmental performance of federal organizations and reports to Parliament and the public once a year. The most recent report includes the first comprehensive review of the implementation of the Cabinet Directive.

C. Process Flow Chart

Figure 7.3.1.1.        Preliminary scan for the initiation of SEA

Source: Environment Canada, 2000, Strategic Environmental Assessments at Environment Canada: How to Conduct Environmental Assessments of Policy, Plan, and Program proposals: CIDA handbook 2004. Prepared by the Environmental Assessment Branch - http://www.acdi-cida.gc.ca/CIDAWEB/acdicida.nsf/En/EMA-218131145-PHA

Figure 7.3.1.2.        The SEA Process at Canadian International Development Agency

Source: Strategic Environmental Assessment of Policy, Plan, and Program Proposals: Canadian International Development Agency Handbook, 2004 - http://www.acdi-cida.gc.ca/CIDAWEB/acdicida.nsf/En/JUD-4713514-N2T

Figure 7.3.1.3.        The SEA Process at Canadian International Development Agency

Source: Environment Canada, 2000, Strategic Environmental Assessments at Environment Canada: How to Conduct Environmental Assessments of Policy, Plan, and Program proposals: CIDA handbook 2004.. Prepared by the Environmental Assessment Branch - http://www.acdi-cida.gc.ca/CIDAWEB/acdicida.nsf/En/EMA-218131145-PHA

D. Summary Table

Table 7.3.1.1.                Summary Table for Canada

Urban Development Policy and Actions
Policy and Actions	N/A
Legislations / Guidance and Relevant Document *	Public Lands Act, Cabinet Directive (1999), Crown Land Use Policy Atlas
Environmental Evaluations / SEA Status in Urban Development Policy and Actions
	Administrative	Statutory
Type of Assessment	Strategic Environmental Assessment	N/A
Requirement Mechanism	Administrative	N/A
Legislations / Guidance and Relevant Document *	Cabinet Directive (1999)	N/A
Applications	Policies, plans and programs	N/A

7.3.1.3 Analysis and Conclusion

Urban Planning Policies

In Canada, under different tiers of political system in different cities and provinces, there is no single planning procedure in the planning process. There has no single department coordinating the whole planning process, like the PlanD in Hong Kong. The department or agency has to take the lead in going through the whole planning process. Much decision power is rested in the hand of the department or agency. The department or agency can determine whether or not to conduct the preliminary scan and sometimes it would lead to the public participation in a weak position. To engage the public in the early stage would have a greater chance to gain public support.

The provinces hold title to all unoccupied Crown lands and most natural resources within their boundaries and offshore waters, while territorial lands fall under federal control. Also, these two levels of government have overlapping webs of legislative power relating to these areas and the environment, which are further extended in the devolution of responsibilities from the federal to the territorial governments.

Formal provision for the SEA of policy, plans and programmes is made primarily at the federal level, where direct jurisdiction over land and resources is restricted to protected areas, the offshore zone and the north. Major responsibility for land use planning rests with ten provinces and three territories, some of which incorporate SEA elements informally in their decision making processes.

A complex regime for land use and resource planning has evolved as a result of the jurisdictional division of powers and responsibilities in Canada. The provinces hold title to all unoccupied public lands and most natural resources within their boundaries and offshore waters, whereas territorial lands fall under federal control. Both levels of government also have overlapping webs of legislative power relating to these areas and the environment, which are further extended in the devolution of responsibilities from the federal to the territorial governments. In addition, a third tier of land use planning was established through early delegation of powers to urban and rural municipalities and, more recently, to native governments under comprehensive claims agreements covering areas of traditional use.

In the federal government level, it is strategy oriented, broad-scale processes set direction for most areas or resources within federal jurisdiction with comprehensive land use systems in north under devolved responsibilities. The key aspects and characteristics in this level are land and resource use plans for major areas of federal jurisdiction (other than north) take form of policy frameworks within which planning, management and implementation take place. Transfer of title and rights to native peoples and devolution of responsibilities to territorial governments in north have created multiple land use planning systems.

In the provincial and territorial government level, it is resource based with regional scale approach to public land allocation and management which processes differ by province or territory. The key aspects and characteristics are the provinces or territories have planning processes, systems that apply to land and resource use, development. Generally, there has been a shift from single use resource management toward more integrated, strategic level approaches to sustainable land and resource use planning. These differ but emphasize on zoning to allocate land uses and intensities in relation to resource potentials, public consultation on protection of environmental values and permitted activities. Several provinces or territories have sustainable development strategies or equivalent processes that guide land and resource planning.

In the municipal government and regional authorities, it has detailed land use plans at local scales, some regional plans or growth strategies link municipal plans to provincial policies and actions. The key aspects and characteristics are enabling legislation, planning practice vary widely. Standard planning frameworks or instruments commonly used to ensure orderly pattern of land use, development of services. Many urban plans do not integrate environmental protection or sustainable development objectives. These issues are addressed in regional plans and, in individual cities and communities, through separate processes. Some activities are innovative and include climate change and ecological footprint offsets.

Urban planning in Canada is primarily a municipal government responsibility carried out under powers delegated by the provincial government. In the Canadian constitutional system, municipalities are “creatures of the provinces” – they exist by provincial fiat. Provincial governments establish legislation, such as the Planning Act or Municipal Act, which regulates and guides municipal planning decisions. Each province and territory has its own planning legislation. However, municipal governments generally set the policy context for local land use planning and development to occur, ensuring conformity with provincial policies and legislation. (H. Peter Oberlander, O.C., 2007, the Planning City, Vancouver Working Group Discussion Paper, http://www.wd.gc.ca/9730_ENG_ASP.asp)

The Canadian government believes that planning is treated best as a local responsibility, as something that urban communities should do for themselves. To a certain extent, municipal governments have a great deal of freedom over the exercise of their planning duties, especially in terms of setting their own development goals and policies. Nevertheless, no matter how great their autonomy under planning legislation, they always remain subject to the superior authority of their provincial governments, which may apply controls of their own over aspects of urban development. They may set limits on concentrations of potentially hazardous industries. Provinces also have financial power, which they exercise in direct spending on their own public works projects and indirect spending in the form of grants to municipalities.

Environmental evaluation / SEA

Canada has its success with respect to SEA implementation. It made significant advances in the development of SEA principles, especially with respect to the nation’s commitment to sustainability.

There is no legislative basis for SEA in Canada, mainly because of cabinet decision-making processes are not regulated. Currently most sector and land use plans and programmes that are not cabinet submissions are not subject to SEA.  The cabinet SEA process is organized in a flexible manner. Public and stakeholder opinions are taken into account through political lobbying.

Due to the unregulated nature of the cabinet SEA, there are various ways for conducting the SEA process. All those SEA-related enforcement are largely relied on those federal departments or agencies. The Commissioner of Environment and Sustainable Development is supposed to oversee SEA processes and monitor performance of the SEA system on an annual basis. The Commissioner is also supposed to monitor the general federal government’s environmental performance.

In analyzing environmental effects, the SEA regulation in Canada requires the SEA to address the scope and nature of potential effects, the need for mitigation or opportunities for enhancement, the scope and nature of residual effects, the follow-up measures and the consideration of the public and stakeholder concerns. It is quite a comprehensive approach for making sure that the SEA can incorporate as much relevant information as possible.

However, in the existing system of SEA, it still processes some limitations. The provision for SEA is made under administrative Cabinet Directive. It cannot secure all the plans are being evaluated.

Terms of reference for undertaking SEA fall to the proponent’s discretion. The project proponent has the controlling role in the whole process of the project. Also, SEA process applied separately from project EA. There is no formal approach to tiering, but potential linkages addressed in preliminary scan.

Most departments had not developed guidelines or directives on SEA.

The relationship between SEA and land use planning in Canada takes a number of forms and plays out at different levels. It encompasses formal and informal approaches to SEA, although none is strictly comparable with the procedural framework laid down in the European Directive or in US federal and Californian legislation.

Resource and wild lands cover the vast majority of the country and nearly all the tundra, taiga etc.

The Canadian ecumene comprises the main area of urban and rural settlement, located adjacent to the US border and extending northward as contiguous area only in the prairie agricultural belt. Over three-quarters of the Canadian population is urban and approximately one-third is concentrated in the three rapidly growing metropolitan regions of Toronto, Montreal and Vancouver, where land use planning, urban liveability and sustainability issues reach their highest intensity.

7.3.1.4 Project Examples

Example 1	British Columbia offshore oil and gas development
Description of the Study	It focuses on long-standing issues of resource use and the management of marine waters off the coast of British Columbia (BC). To examine the broad environmental and socio economic impacts related to offshore oil and gas development with reference to the federal moratorium in place in the Queen Charlotte Basin. In November 2002, the Government made a commitment in its energy policy to address scientifically sound and environmentally responsible offshore oil and gas development.
Process of the Study	On October 19, 2001 the British Columbia Minister of Energy and Mines appointed this panel, which is a group of experts selected on the basis of their knowledge and expertise and appointed by the Minister of the Environment, to advise on four particular matters: i) “the scientific and technological considerations relevant to offshore oil and gas exploration, development and production; ii) “further research or studies that should be undertaken to advance the “state of knowledge” on these considerations; iii) “any specific government actions that should be taken prior to a decision on whether or not to remove the current provincial moratorium; and iv) “any specific conditions or parameters that should be established as part of a government decision to remove the moratorium.” Over a period of two months—November through December 2001—the Task Force travelled to nine coastal and northern communities to listen to the views of residents, communities and First Nations. In that time, the Task Force heard from over 200 individuals and groups and received some 130 written submissions. In 2001, the Government of British Columbia appointed a caucus subcommittee to look into offshore oil and gas. The mandate of the Offshore Oil and Gas Task Force was to solicit the viewpoints of individuals and groups most affected by potential changes to the provincial moratorium on offshore drilling. The aim of the SEA: · to identify science gaps related to possible oil and gas activity, offshore BC (Science review) · to hear the views of the public regarding whether or not the federal moratorium should be lifted for selected areas (public hearings) · to consult with First Nations to ensure that issues of unique interest to First Nations are fully explored (First Nations engagement)
Outcome of the Study	The project is not yet finish. · The expert panel enumerated the gaps to be filled prior to each phase of development if the moratorium was lifted and concluded that ‘providing an adequate regulatory regime is put in place, there are no science gaps that need to be filled before lifting the moratorium. (Royal Society of Canada, 2004,p.xix) · the public review panel reported largely on participant inputs and opinion and offered little comment on the substantive issues (Priddle et al. 2004). Such an interpretation represents a minimalist role for an EA panel (not described its function in previous box) as understood in Canada, significantly reducing its policy evaluation and advisory function. The First Nations facilitator (Brooks, 2004) emphasized the resource use and access rights of indigenous peoples, the risk to their traditional livelihoods from offshore oil and gas development, and the need for their consent and participation in any future activities.

Example 2	Overview of Activities in the Magdalen Islands sector
Description of the Study	Four organizations received funding under the Community Interaction program during Phase III to carry out nine projects in dune and lagoon environments: four physical improvement projects, four studies (feasibility, fact-finding and planning), and one land acquisition and stewardship project. Although carrying out physical improvement projects considerably improved and protected some environments, raising users’ awareness of the quality, fragility and protection of the environment still appears to be necessary. The purpose of the studies was to provide residents with better tools so that they can take charge of their environment. Overall, Magdalen Islanders seem to demonstrate a strong interest in preserving the environment; their involvement in existing committees is proof of this. Environmental organizations nevertheless need sustained technical and financial support.
Process of the Study	The Magdalen Islands sector covers more than 31,600 km², but only 202 km² of land. Nearly a third of the area consists of dunes (i.e. mounds of sand formed by wind) and beaches. Dunes provide important wildlife habitat, such as ponds, freshwater marshes and bogs. Inland areas also rely on dunes for protection against silting and marine encroachment. Lagoons, which are also found in the territory, are shallow pools of water that remain linked to the marine environment via tidal inlets despite being cut off by offshore bars and are ideal for a multitude of activities, including aquaculture. Richly diverse environments develop alongside lagoons, such as saltwater grass beds and seagrass beds. Recreational tourism and aquacultural activities are directly related to the physical environment. The Magdalen Islands landscape is justifiably one of the region’s tourist attractions, drawing many visitors in summer. The high number of visitors and activities already practised by locals threaten habitat that has become fragile as a result of the numerous human-induced degradations. The need to protect these environments is increasingly urgent and is supported by locals. Public consultations served as a springboard for joint action among stakeholders in various spheres of activity. The residents and organizations concerned shared their thoughts on the environmental issues facing the Magdalen Islands. The priorities raised were grouped into five categories: habitat protection and conservation; recreational tourism and land development; fishing and aquaculture; human health (wastewater, shellfish consumption); and awareness-raising and environmental education.
Outcome of the Study	Financial results The Community Interaction program accounted for 52% of financial contributions for projects. Financial partners contributed 18% of the total value, and their contributions in kind accounted for 30%. For every dollar allocated by Community Interaction, approximately $0.90 was invested by partners. However, most of the projects consisted of studies, for which government contributions could cover up to 70% of the total project value, up to a maximum of $30,000. The main funding partners were the Government of Canada, accounting for 33% of financial contributions, and non-governmental organizations, which accounted for 26% of financial contributions and 40% of contributions in kind. Social achievements The nine projects created a few jobs that had a major impact on Magdalen Islanders, most of whom earn their living from tourism. Numerous partnerships that proved to be worthwhile were also formed. Environmental achievements The acquisition of a threatened environment helped protect 14 hectares of a geological and geomorphic site. Environmental objectives corresponding to the regional issues identified by residents were met thanks to the initiatives and studies.

7.3.1.5 List of References

· Environment Canada, 2000, Strategic Environmental Assessments at Environment Canada: How to Conduct Environmental Assessments of Policy, Plan, and Program proposals: CIDA handbook 2004. Prepared by the Environmental Assessment Branch, http://www.acdi-cida.gc.ca/CIDAWEB/acdicida.nsf/En/EMA-218131145-PHA

· Strategic Environmental Assessment of Policy, Plan, and Program Proposals: Canadian International Development Agency (CIDA) Handbook, [Last Updated: 2007-05-15], http://www.acdi-cida.gc.ca/CIDAWEB/acdicida.nsf/En/JUD-4713514-N2T

· Canadian Environmental Assessment Agency, [Last Updated: 2006-02-02], Strategic Environmental Assessment; the Cabinet Directive on the Environmental Assessment of Policy, Plan and Program Proposals: Guidelines for Implementing the Cabinet Directive, CEAA, Hull, Quebec, http://www.acee-ceaa.gc.ca/016/directive_e.htm

· Ontario Ministry of Natural Resources, http://www.mnr.gov.on.ca/en/index.html

· Priddle, R., Scott, D. and Valiela, D. (2004), Royal Society of Canada (2004) Report of the Expert Panel on Science Issues Related to Oil and Gas Activities, offshore British Columbia, RSC, Ottawa, http://www.rsc.ca//files/publications/expert_panels/BC_offshore/fullreportEN.pdf

· Brooks, C.A. (2004) Rights, Risks and Respect: a First Nations Perspective on the Lifting of the Federal Moratorium on Oil and Gas Exploration in the Queen Charlotte Basin of British Columbia, Natural Resources Canada, Ottawa, http://www.offshoreoilandgas.gov.bc.ca/offshore-oil-and-gas-in-bc/chronology.htm

· St Lawrence Vision 2000, 2005, Overview of Activities in the Magdalen Islands sector http://slv2000.qc.ca/plan_action/phase3/implication_communautaire/programme_interactions/bilan_98_03/iles_madeleine_a.htm#top

· Government of British Columbia , British Columbia Offshore Hydrocarbon Development, http://www.offshoreoilandgas.gov.bc.ca/reports/scientific-review-panel/document1.pdf

· Government of British Columbia, Report of the Scientific Review Panel, 2008, http://www.offshoreoilandgas.gov.bc.ca/reports/scientific-review-panel/

· Government of Ontario, Ministry of Natural Resources, 2008, http://www.mnr.gov.on.ca/en/index.html

· Ontario Planning and Development Act, 1994,  http://www.e-laws.gov.on.ca/html/statutes/english/elaws_statutes_94o23_e.htm

· Government of Canada, Privy Council Office, Canadian Environmental Assessment Agency, Strategic Environmental Assessment, The Cabinet Directive on the Environmental Assessment of Policy, Plan and Program Proposals , Guidelines for implementing the Cabinet Directive, http://www.acee-ceaa.gc.ca/016/CEAA-StrategicFinal_e.pdf

· The Cabinet Directive on the Environmental Assessment of Policy, Plan and Program Proposals , Canadian Environmental Assessment Agency, [Last Updated: 2006-02-02], http://www.ceaa-acee.gc.ca/016/directive_e.htm

· Canadian Environmental Assessment Agency, [Last Updated: 2007-03-16], review panel,  http://www.acee-ceaa.gc.ca/010/basics_e.htm#panel

7.3.2 USA

7.3.2.1 Urban Development Policies and Actions

A. Regulatory mechanisms

American land use controls are basically a local administrative activity. Most of the US local governments are not required to operate any systems of land use control.

The highest level of authority is the court. However, it is not the coordinating authority. The court’s role is to ensure that local governments operate in a correct legal and constitutional manner. In the land use planning context, the federal government has little role to play.

In the US, planning has remained as one of the responsibilities of the state government. The power to make plans and regulate land use has been a role for the state government to undertake. One should note that the federal government does not conduct tasks such as making a nationwide plan.

The federal government controls the land over the states in three areas:

· in the metropolitan areas with facilities of military bases and federal buildings

· environmental area

· area which the federal government provide funding to promote planning policies like the interstate highway

Although the state government has the power to plan and control land in the US, the state government mostly would pass this power to the local government.

At the municipal, city or local level, the only development control tool in the US is zoning. The local government, in the purpose of protecting the public interest, can apply certain limitations to the use and development of private land without the need to compensate for the owners’ loss due to the limitations. Under the condition that the limitations are too stringent and the land loses its development possibility, the local government control power has been exceeded and the government must pay reasonable compensation.

Zoning ordinances are laws enacted by the municipal councils, which delineate zones for the entire municipality and specify the uses that are permitted within each zone. Zoning generally would be divided in three categories, namely residential, commercial and industrial. Other categories include rural, recreational, environmental protection, institutional, open space, community, and mixed uses.

In USA, zoning authority is based on “police power”, and the interpretation of the scope of this power is in the hands of the courts. The substance and procedure of zoning are subjected to countless legal battles both at the local and state levels. In settling disputes, courts in the US base their decisions on precedence, but the US is a huge country with vastly different patterns and history of urban growth and management styles. Since court decisions are often based on specific circumstances of the site or issue involved, the appropriateness of precedence is often challenged and decisions appealed, involving much time and cost.

Except Houston, all the cities have zoning ordinances.

The diagram below shows an example in US zoning:

Figure 7.3.2.1.        US Zoning Example

Source: New York City, Zoning - http://www.nyc.gov/html/dcp/html/landusefacts/landusefactshome.shtml

B. Overview of evaluation approach

By comparing different cities in the USA, there is a general approach in the evaluation of an urban development. The sequence is likely to like that:

Most of the cities adopt the zoning ordinance to control the development of their administrative area. The regulations of the zoning ordinance in different states generally apply to all development, public or private, within the corporate limits of the city or state, unless otherwise expressly exempted or provided in this zoning ordinance.

If the building authority is satisfied that the structure would meet all relevant provisions of the zoning resolution and the building code, a building permit is issued and construction may begin. No action is required from the planning authority.

If the building authority is not satisfied with the proposed development, then the development cannot be proceeded without a review and approval from the planning authority. These actions may involve with the review and approval of zoning text or zoning map amendments in order for a development to proceed at a location or in a manner that zoning presently prohibits. Some aspects of the planned development may require a special permit or an authorization from the planning authority. When the development in accordance with zoning would present an economic hardship or practical difficulties, a property owner may request an appeal from the planning authority.

All discretionary actions must be assessed for potential environmental impacts in accordance with relevant city’s procedures. Zoning map amendments and planning authority special permits are also subject to the public review process.  Zoning text amendments are subject to a similar procedure.

Planning procedure:

· After a planning application is submitted, the planning authority is responsible for certifying that the application is complete, and ready for public review.

·  If the particular application is subject to environmental review, a negative declaration (completion of the City Environmental Quality Review process and allowing for certification of the uniform land use review procedure application once it is completed) or a conditional negative declaration (when a private applicant agrees to mitigate impacts as part of the project) or a notice of completion of a draft Environmental Impact Statement must be issued before an application can be certified.

· The community board in that city is then required to hold a public hearing, and adopts and submits a written recommendation to the planning authority, and the applicant. Within a specified period, the applicant shall submit a written recommendation to the planning authority.

· Planning authority must hold a public hearing and approve with or without modifications, or disapprove the application. The planning authority then files copies of its decision with the city council. Disapproved applications for urban renewal plans are subject to the city council review. The city council does not automatically review all actions that are approved by the planning authority.

· If the city council’s decision is to approve an application with a modification, the city council needs to refer the proposed modification to the planning authority. The planning authority must then determine if the proposed modification requires additional environmental review.

· If no additional review is needed, the city council will normally adopt the application with the modification, otherwise, the city council will reject the application. Mayoral approval is not required. A decision by the city council to approve or disapprove a land use application is considered to be final unless the Mayor elects to veto a city council action.

The diagram below is the uniform land use review procedure in one of the cities in USA.

Figure 7.3.2.2.        Uniform Land Use Review Procedure of New York City

Source: New York City government - http://www.nyc.gov/html/dcp/pdf/luproc/lur.pdf

7.3.2.2 Environmental Evaluation / SEA in Urban Development

A. Regulatory mechanisms

Statutory mechanism

At national level, the National Environmental Policy Act of 1969 (NEPA) aims at declaring a national policy which will encourage productive and enjoyable harmony between man and his environment; to promote efforts which will prevent or eliminate damage to the environment and biosphere and stimulate the health and welfare of man; to enrich the understanding of the ecological systems and natural resources important to the Nation; and to establish a Council on Environmental Quality.

The NEPA requires the environment be considered at every level of federal decision-making. The NEPA stated that the federal agencies should integrate environmental values into their decision-making processes by considering environmental impacts of their proposed actions and reasonable alternatives to those actions, including in the urban development process. It can be said that both EIA and SEA started with NEPA in 1969.

Two main provisions of NEPA:

· it outlines procedural requirements for federal agencies when taking major actions that may significantly affect the human environment

· it created the Council on Environmental Quality

All United States government agencies are required to comply with NEPA such as the United States Forest Service, the Bureau of Land Management, the United Sates Park Service, United Sates Fish and Wildlife and the Department of Energy. Also, all documents produced under NEPA are considered public documents, which mean that they must be accessible and available to the general public.

NEPA does not address non-federal actions even if such action affects several states. Non-federal initiatives in the US that impact several states may only be addressed through other environmental legislation such as the Clean Water Act or Clean Air Act.

Each environmental report must include a discussion on environmental impacts, unavoidable environmental impacts, alternatives, relationship of short term to long term productivity, and any irreversible resources.

At the highest level, the Council of Environmental Quality is involved in the environmental planning of USA under Section 201 42 USC §4341. Since July 1, 1970, the President, with the support of the Council of Environmental Quality, shall transmit to the Congress of the State, an Environmental Quality Report annually, which shall set forth:

· the status and condition of the major natural, manmade, or altered environmental classes of the Nation, including, but not limited to, the air, the aquatic, including marine, estuarine, and fresh water, and the terrestrial environment, including, but not limited to, the forest, dryland, wetland, range, urban, suburban an rural environment;

· current and foreseeable trends in the quality, management and utilization of such environments and the effects of those trends on the social, economic, and other requirements of the Nation;

· the adequacy of available natural resources for fulfilling human and economic requirements of the Nation in the light of expected population pressures;

· a review of the programs and activities (including regulatory activities) of the Federal Government, the State and local governments, and nongovernmental entities or individuals with particular reference to their effect on the environment and on the conservation, development and utilization of natural resources; and

· a program for remedying the deficiencies of existing programs and activities, together with recommendations for legislation.

The duty and function of the Council of Environmental Quality are to assist and advise the President in the preparation of the Environmental Quality Report. The Council of Environmental Quality also needs to gather timely and authoritative information concerning the conditions and trends in the quality of the environment both current and prospective, to analyze and interpret such information for the purpose of determining whether such conditions and trends are interfering, or are likely to interfere, with the achievement of the policy, and to compile and submit to the President’s studies relating to such conditions and trends. 

The Council of Environmental Quality is also responsible for reviewing and appraising the various programs and activities of the Federal Government in the light of the policy set forth in the NEPA for the purpose of determining the extent to which such programs and activities are contributing to the achievement of such policy, and to make recommendations to the President with respect thereto.

It is the duty for the Council of Environmental Quality to develop and recommend to the President on the national policies to foster and promote the improvement of environmental quality to meet the conservation, social, economic, health, and other requirements and goals of the Nation. The Council also need to conduct investigations, studies, surveys, research, and analyses relating to ecological systems and environmental quality. Moreover, the Council of Environmental Quality is responsible to document and define changes in the natural environment, including the plant and animal systems, and to accumulate necessary data and other information for a continuing analysis of these changes or trends and an interpretation of their underlying causes.

Furthermore, the Council of Environmental Quality needs to report at least once a year to the President on the state and condition of the environment; and to make and furnish such studies, reports thereon, and recommendations with respect to matters of policy and legislation as the President may request

The City Environmental Quality Review

Pursuant to state law, the City Environmental Quality Review process identifies and assesses the potential environmental impacts of discretionary actions, except for minor exemptions, that are proposed by public or private applicants and funded or approved by a city agency. A discretionary action, such as a zoning map amendment, cannot begin public review until a “conditional negative declaration” or “negative declaration” has been issued, stating that no significant environmental impacts have been identified or, if any potential impacts have been identified, a draft environmental impact statement has been completed, evaluating the significance of identified impacts and proposing appropriate mitigation.

A letter “E” on a zoning map indicates a site where environmental requirements must be satisfied before a building permit may be issued for any development, enlargement or change of use.

Administrative / non-statutory mechanism

There is no administrative / non-statutory mechanism of SEA.

B. Evaluation methodologies

Statutory mechanism

The overall process for NEPA and EIS is described as follow.

First, an agency will see if a major action is already governed under the NEPA scope. For instance, the action may already be encompassed under an Environmental Assessment (EA) or an Environmental Impact Statement (EIS).

If the action is covered under a NEPA document, then the proponent should review the action to see if there are any substantial changes or new information. If so, then a supplemental EIS should be prepared.

The second step is to determine if a categorical exclusion applies. A categorical exclusion is a previously determined finding that the action will result in no significant impact. For instance, trail reconstruction in a popular area, such as the Grand Canyon, may fall within a categorical exclusion because the trail is used so often and is often maintained.

The third step in the NEPA procedures is to determine if a significant environmental impact will occur. Significant impact is evaluated by considering both context and intensity. An evaluation of context considers “society as a whole, the affected region, the affected interests, and the locality” (Id. 1508.27(2)).

If the agency is certain that there will likely be a significant environmental impact, then they must prepare an Environmental Impact Statement (EIS). An EIS is a “detailed written statement concerning the environmental impacts of the proposed action and any adverse environmental effects which cannot be avoided” (42 USC 4332 (2) (C)). If the agency is uncertain as to the impact, then they must prepare an Environmental Assessment (EA). An EA is a “concise public document that serves to briefly provide sufficient evidence and analysis for determining whether to prepare an environmental impact statement or a finding of no significant impact” (40 CFR 1508.9 (a) (1)). An EA is a briefer version of an EIS. It is a preliminary environmental review to identify the presence of significant environmental impacts. It should be noted that public involvement and scoping is not required to be incorporated into the EA, while public comments must be addressed in an EIS. (40 CFR 1503.4).

Content of EA and EIS include title page, glossary, executive summary, purpose and need for the proposed action, description of the affected environment, description and analysis of environmental impacts of the proposed action and reasonable alternatives, applicable environmental permits and regulator requirements that would need to be obtained; list of agencies and persons consulted, list of preparers, and references.

Upon an EA being completed, the agency may decide that there are significant environmental impacts and thus complete an EIS. For this more formal review process, an EIS identifies environmental consequences and alternatives for pursuing a proposal. An EIS also includes adverse environmental effects that cannot be avoided.

Two main results ensure:

· a finding of significant impact, which then requires mitigation or a decision to not go forth with the action. Or

· a finding of no significant impact (FONSI).

A FONSI may be challenged under the Administrative Procedure Act (APA). The agency must prepare a Record of Decision (ROD), stating the decision, alternatives, and mitigation methods, and the ROD is published in the Federal Register (40 CFR 1505.2). If a FONSI is found, an agency may proceed with the action unless complaints from the public lead the agency to voluntarily hold off, or the agency may be forced to discontinue any action upon the issuance of an injunction pending a legal challenge to the FONSI. A court may rule that the agency’s FONSI is “arbitrary and capricious, an abuse of discretion, or not in accordance with law” (APA 5 USC 706 (2) (A)). The procedure requires attention to detail, consideration of the environment at every step, and a resulting document that is available to the public. No matter what the outcome, NEPA, similar to the SEA Directive (European Union), requires evaluation of significant environmental impacts and public participation in decisions that effect the environment.

Administrative / non-statutory mechanism

There is no administrative / non-statutory mechanism of SEA.

C. Process Flow Chart

Figure 7.3.2.3.        Main steps in the US federal EIS process

Figure 7.3.2.4.        Typical Decision-making Process

D. Summary Table

Table 7.3.2.1.                Summary Table for USA

Urban Development Policy and Actions
Policy and Actions	City Environmental Quality Review
Legislations / Guidance and Relevant Document *	National Environmental Policy Act of 1969 and its amendments
Environmental Evaluations / SEA Status in Urban Development Policy and Actions
	Administrative	Statutory
Type of Assessment	N/A	Environmental Impact Assessment
Requirement Mechanism	N/A	Statutory system
Legislations / Guidance and Relevant Document *	N/A	National Environmental Policy Act
Applications	N/A	Policies, plans and programmes

7.3.2.3 Analysis and Conclusion

Urban Planning Policies

The most striking feature of the American planning process is that it lacks the feature of “system”. There is little interlocking relationship between the various institutions that operate in the field. It is a form of “separation of power”.

Zoning is the only tool that use in the US to control the development in urban area. The federal nature governing system force the national control mechanism cannot fully enforce in the national context. While zoning is an effective tool in controlling development, which at least ensures that, the land is under the control by the government.

Environmental evaluation / SEA

One should note that the US balances federalism with states’ rights, NEPA only address federal actions. Thus, major actions by state agencies are governed at the discretion of state legislatures. When comparing with EC Directive, NEPA’s reach is less extensive as every Member States’ agreed to abide by the rules whereas the states in the US are under no such obligation.

Unlike the SEA Directive, the NEPA’s guidelines do not list specific areas of applicability. While NEPA’s procedural regulations apply to more than just plans and programmes. Federal proposals, permits, funding, and policies may also trigger the procedures. In the US, all actions are dealt with on a case-by-case basis.

The US has a federal system of government, with a national government and 50 separate state governments. According to the restrictions in the US Constitution, states are free to adopt their own legislation regulating the environment. Consequently, each state has a different approach to land use planning. There are only 16 states have chosen to adopt state legislation modeled upon NEPA. Therefore, since NEPA only applies to federal actions, most states like California have no requirement for the EIA of either projects or plans.

7.3.2.4 Project Examples

Example 1	National Park Service Yosemite Valley Plan and EIS
Description of the Study	The National Park Service prepared a Yosemite Valley Plan in 2000 to help in achieving to restore Yosemite Valley’s natural processes.
Process of the Study	The popularity of Yosemite with both US and international visitors, and its proximity to California, has brought overcrowding and significant impacts to the park’s unique natural resources. Thus, National Park Service decided to prepare a management plan for the Yosemite Valley. Process: Due to the high environmental significance of the Yosemite Valley, an EIS was prepared for the Yosemite Valley Plan, which acted as a supplement to the EIS prepared for the General Management Plan of Yosemite Valley. This Yosemite Valley Plan is a comprehensive document that presents and analyses four action alternatives and a ‘no action’ alternative for managing natural and cultural resources, facilities and visitor experiences in Yosemite Valley. The Final Yosemite Valley Plan was prepared in compliance with the Council on Environmental Quality (1978) NEPA regulations, and also the National Park Service’s NEPA procedures. A draft EIS was released for public comment and review in 2000. Public review: During the public comment period on the draft Yosemite Valley Plan, National Park Service held 14 formal public meetings throughout California. As a result of the extensive public involvement process, the final plan of Supplemental Environmental Statement contained goals and objectives for the future of the plan and more than 250 specific proposed actions for improving the Yosemite Valley.
Outcome of the Study	The Final Yosemite Valley Plan provides a framework to restore degraded areas and reduces development within the Merced River ecosystem. It also reduces the use of automobiles and relocates much of the remaining parking to areas outside of Yosemite Valley.

Example 2	California High-Speed Train Final Program EIR/EIS (2005)
Description of the Study	Department of Transportation proposed a high-speed train (HST) system to provide a reliable mode of travel, which links the major metropolitan areas of the state and delivers predictable and consistent travel times. The HST system provides an interface with commercial airports, mass transit, and the highway network and to relieve capacity constraints of existing transportation system (Vol.1, summary, pgS-2) In compliance with the CEQA and NEPA, Environment Impact Report / Environmental Impact Statement (EIR/EIS) were produced in 2005. Environmental Impact Report (EIR) satisfies the City Environmental Quality Review (CEQA); Environmental Impact Statement (EIS) satisfies NEPA. Typically in California if an EIS is prepared, it would be prepared as a combined EIR/EIS.
Process of the Study	Main concerns in the evaluation of the railway: Analyzes proposed HST Alternative and compares it with a No Project/No Action Alternative and a Modal Alternative (potential improvements to the highways and airports serving the same intercity travel demand as the HST Alternative) (Vol1, summary, pgS-1) The development of the HST Alternative involved consideration of range of potential HST technologies, corridors, and alignment and station options within the corridors. (Vol.1, summary, pgS-4) The evaluation also considered factors below: · Travel time · Reliability · Safety · Connectivity · Sustainable capacity · Passenger cost Process: · Distribute Draft EIS for public & agency comment · Review public & agency comments for fatal flaws or analysis concerns (revise as needed) · Review and compare pros and cons among the 3 alternatives by: Environmental factors Cost and operations Economic growth and related impacts Enumerate relative rankings of the above factors and review against agency and public comments. The preferred alternative was eventually identified. · Possible Designated Projects / Alternative preferred Among the 3 considered Alternatives, the High-speed Train Alternative is preferred. Environmental Measures including Follow-up Measures / Possible Alternative Options and their Environmental Issues Noise barrier mitigation is shown to be effective for receivers close to the tracks. (Vol.1, Ch3, pg3.4-5) Implementation of using tighter diesel truck standards, which is expected to produce an overall reduction of 98% from uncontrolled engine emissions. Avoid or minimize footprint in floodplains (Vol.1, Ch7, pg7-11) Environmental Issues / Constraints Emissions of PM10 (i.e. Particulate matter 10 microns in diameter or less) are expected to increase statewide, due to increased emissions from area-wide sources and future industrial growth. (Vol.1, Ch3, part 1, pg3.3-16) Have potentially significant unavoidable environmental impacts on resources, including noise, biology, wetlands, and farmlands (Vol.1, summary, pg S-10) Indirect energy consumption by constructing HST (Vol.1, Ch3, part1, pg3.5-18) Noise increase due to additional high-speed train frequencies (Vol.1, Ch7, pg7-9) Direct / Indirect Environmental Impact Environmental Impact addressed by EIR/EIS: Air Quality (concerns about CO2, CO, NOx and Total organic gases (TOG) emissions; use vehicle miles travelled (VMT)b as a measure on on-road pollutant burdens) (Vol.3 Part 1, pg3.3-4&5) Energy Use (including transportation-related (direct) energy and construction-related (indirect) energy) (Vol.3 Part 1, pg.3.5-2 – 3.5.4) Noise and Vibration (discuss noise impacts from airplanes, automobiles on intercity highways and proposed HST system) (Vol.3 Part 1, pg.3.4-1) Biological Resources and Wetlands (includes sensitive plant communities and special-status species, marine and anadromous fish habitat, riparian corridors, wildlife habitats, wildlife movement corridors, wetlands, and waters) (Vol. 3 Part3, pg.3.15-1) Hydrology and Water Resources (address three types of sources – floodplains, surface water, and groundwater) (Vol.3 Part3, pg.3.14-1) Visual Quality (impacts of addition or removal of infrastructure on landscape) (Vol.3 Part 2, pg.3.9-1)
Outcome of the Study	Department of Transportation concluded that the High Speed Train Alternative (which operate speeds over 200 mph or 322 kph) is the preferred system, which meet the need for a safe and reliable mode of travel that would link the major metropolitan areas of the state and deliver predictable, consistent travel times sustainable over time. (Vol.1, summary, pg S-9) The statewide high-speed train system is likely to have more than 20 stations. Although it would have potentially significant environmental impacts on resources, including noise, biology, wetlands, and farmlands, it would have benefits in energy savings, reduced air emissions, and less adverse impacts during construction. Energy/Resource Consumption Reduction in energy consumption compared to No Project Alternative, by a sharp reduction in energy consumption per passenger mile (Vol.1, Ch.3, part1 pg3.5-14,3.5-16) Environmental Outcomes / Gains Reduction in air pollutants (carbon monoxide, NOx, TOG) due to implementation of stringent standards, control measures, and state-of-the-art emission control technologies. (Vol. 1, Ch 3, pg3.5-15) Reduction in both VMT and estimated on-road mobile source emission (carbon monoxide and carbon dioxide) (Vol.1, Ch3, pg3.3-19) Vibration levels associated with the HST are relatively lower resulted from the use of new track construction and smooth track and wheel surfaces (Vol.1 Ch3, pg3.4-11)

7.3.2.5 List of References

· New York City, Uniform Land Use Review Procedure, http://www.nyc.gov/html/dcp/html/luproc/ulpro.shtml

· New York City, Uniform Land Use Review Procedure, http://www.nyc.gov/html/dcp/pdf/luproc/lur.pdf

· OECD Environmental Performance Preview United States, 2005, http://www.oecd.org/dataoecd/6/28/35919474.pdf

· New York City, Department of City Planning, 2008, http://www.nyc.gov/html/dcp/html/landusefacts/landusefactshome.shtml

· Department of Transportation, California, 2007, High Speed Train,http://www.fra.dot.gov/us/content/1187

· United States Department of the Interior, 2000, Final Yosemite Plan, Yosemite National Park, http://www.nps.gov/archive/yose/planning/yvp/seis/index.html

7.4 Oceania

7.4.1 Australia

7.4.1.1 Urban Development Policies and Actions

A. Regulatory mechanisms

At national level of Australia government, there is an absence of legislation regarding urban development policies in the Commonwealth Law, except that of the national capital, Canberra, which is governed by National Capital Development Commission Act 1975. But in administration perspective, there is a National Charter of Integrated Land Use and Transport Planning, which was endorsed in 2003 nationally by both Ministers for Transport and Ministers for Planning. All states, territories, and the Commonwealth Government have collaborated to develop the National Charter. The objective of the National Charter is to achieve greater integration of land use planning and transport planning across agencies, jurisdictions, and levels of government to facilitate effective and sustainable urban and regional development across Australia. The National Charter does this by identifying national aims, a range of measures available to pursue them, and by highlighting the need for coordination of land use and transport planning at and between each level of government.

Below that is the state and territory level, each has their own sets of legislation. An example of the urban planning system in the states New South Wales, South Australia and West Australia are illustrated below.

In New South Wales, the Environmental Planning and Assessment Act 1979 was constituted to encourage proper management, development and conservation of natural and artificial resources, as well as promoting a better environment. It also promotes the sharing of the responsibility for environmental planning between the different levels of government in the state, and provides increased opportunity for public involvement and participation in environmental planning and assessment. Under the Act, state environmental planning policies, regional and local environmental plans are produced by state authority and exhibit for public inspection.

The State Government of the South Australia incorporated planning laws and strategies in regional planning. On local level, development plans with detailed zones, maps and written rules are applied. The two documents, which provide the legislative framework in establishing the planning and development system and setting out its statutory procedures, are the Development Act 1993 and the associated Development Regulations 1993. The Development Act is the core legislation enacted by the South Australian State Parliament in establishing the planning and development system framework and many processes required under the framework (including processes for assessing development applications). The Development Regulations provide framework details and are updated from time to time by the Governor (on the advice of the Minister for Urban Development and Planning).

In Western Australia, the Planning and Development Act 2005 brings together three separate planning Acts - the Western Australian Planning Commission Act 1985, the Metropolitan Region Town Planning Scheme Act 1959 and the Town Planning and Development Act 1928 into one consolidated Act, in a rewritten form. The new Act simplifies planning processes and makes them more accessible to users, providing greater consistency and certainty in planning decision-making. It provides an efficient and effective land use planning system in Western Australia, and promotes the sustainable use and development of land.

B. Overview of evaluation approach

Under different policies, actions, legislations and strategic plans of different states, the urban planning practice may vary among the states. However, the general principles are quite similar.

Specified actions relating to urban development may require consent or permit under the state’s regulations. Applications of development within the scope of regulations should be submitted to the concerned agency. The agency would identify key social, environmental and economic issues for further detailed assessment and also issue formal guidelines for the study. The approaches of assessments required may vary under each system. Public involvement may be introduced at this stage to review the application proposal.

The applicant will then prepare an assessment document according to the requirement and/or comments from the agencies and the public.  When it is completed, the document will be subjected to consultation with expertise as well as the public.

The application proposal and assessment report are then reviewed, usually to the Minister of the concerning department. The proposal may need to be refined in response to the assessment report.  Based on the assessment report and other documentation, the Minister of the concerning department will make a decision on the approval of the final proposal.  Approval or rejection, or approval with conditions may be possible decisions.  Some states allow an appeal from applicants, while some do not. A consent or permit will then be issued to the applicant with or without an expiry date. The applicant may carry out the proposed action according to the approved conditions.

7.4.1.2 Environmental Evaluation / SEA in Urban Development

A. Regulatory mechanisms

Statutory mechanism

The National Strategy for Ecologically Sustainable Development (NSESD) (1992) in Australia is recognized as an administrative Environmental Protection Scrutiny (EPS) tool as it aims at incorporating ecological considerations into the policies and programmes of the Australian government. The National Forest Policy Statement (NFPS) 1992 introduced the Comprehensive Regional Assessment (CRA) as a SEA tool for forest-use development. The two legislations are still currently enacting. Later on, SEA became statutory under the Environment Protection and Biodiversity Conservation Act 1999 (EPBC Act).

The Environment Protection and Biodiversity Conservation Act 1999 (EPBC Act) is an Act of the Parliament of Australia that provides a framework for protection of the Australian environment, including its biodiversity and its natural and culturally significant places. Enacted on 17 July 2000, it established a range of processes to help protect and promote the recovery of threatened species and ecological communities, and preserve significant places from decline. The EPBC Act established the use of Environment Protection and Biodiversity Conservation Regulations, which have provided for the issuing of approvals and permits for a range of activities on Commonwealth land and land affecting the Commonwealth.

Under Part 10 section 146 of the EPBC Act, an SEA-type process is required for policies, plans and programmes. The Minister may agree to conduct a strategic assessment of actions that may be carried out under a proposed policy, program or plan. This will allow for the early assessment of the cumulative impacts of relevant actions under that policy, program or plan. Key stages of the environmental assessment includes:

· Refer an action;

· Decision on one’s referral;

· Decision on assessment approach;

· Decision whether to approve; and

· Approved action – post approval.

Under the Commonwealth Law constituted by the Federal government of Australia, the EPBC Act replaced a number of Federal statues, which includes the Environment Protection (Impact of Proposals) Act (the EPIP Act, 1974). EIA provision and procedure constitute an important part of the new Act and provide for a strengthened role for the Federal government in matters of national environmental significance. For urban development that involves the following seven matters of national environmental significance, strategic assessment shall be required under the EPBC Act:

· world heritage sites

· national heritage places

· wetlands of international importance (often called ‘Ramsar’ wetlands after the international treaty under which such wetlands are listed)

· nationally threatened species and ecological communities

· migratory species

· Commonwealth marine areas

· nuclear actions

The EPBC Act confers jurisdiction over actions that have a significant environmental impact on Commonwealth land, which means land owned or leased by the Commonwealth or a Commonwealth agency, or that are carried out by a Commonwealth agency (even if that significant impact is not on one of the seven matters of ‘national environmental significance’).

Below the national level are the state and territory levels, each have their own state constitution. For example the Environmental Planning and Assessment Act 1979 in New South Wales, the Development Act 1993 in South Australia and, as well as the Planning Development Act 2005 in Western Australia. In case a Commonwealth law and a state law do not agree with one another, the Commonwealth law is followed.

EPBC Act policy statements provide guidance on the practical application of the EPBC Act, which is mandatory to follow. They assist persons to decide whether or not to submit a referral to the Australian Government Department of the Environment and Heritage under the EPBC Act. The policy statement includes: (i) Significant impact guidelines, (ii) Industry (includes urban development yet in preparation), (iii) Nationally threatened species and ecological communities, and (iv) EPBC Act practices and procedures.

Administrative mechanism

The state level produces their own guidelines or administrative system in SEA on urban development. For example, South Australia’s Strategic Plan (SASP) was launched by the Government of South Australia in March 2004. The plan outlined a medium to long-term course on multiple disciplines including sustainable water supply, infrastructure, etc, for the whole of South Australia. SASP has two major roles. Firstly, it is a means of tracking progress statewide, with the targets acting as points of reference that can be assessed periodically. Secondly, it provides a framework for the planning activities of the South Australian Government, business and the entire South Australian community. The SASP Audit Committee, acting as a monitoring agency, is an independent body in providing advices and recommendations to the Executive Committee of Cabinet on the appropriate indicators and data sources to use when measuring progress against the targets and/or the baseline.

B. Evaluation methodologies

Statutory mechanism

The process flow chart for Environmental Assessment conducted in Australia is presented in Figure.7.4.1.1. Overall stages for Strategic Assessment conducted in Australia include:

1. Screening

2. Scoping

The Minister decides whether assessment is requited and the level of assessment approval required. The Minster has up to 20 business days to process the referral and decide if approval is necessary.  This also includes a mandatory 10-day public comment period.

The Minister prepares written guidelines for the scope of the assessment. The Minister should choose from the assessment approaches stated below for assessing the relevant impacts of an action:

· An accredited assessment process

· An assessment on preliminary documentation

· A public environment report (PER)

· An environmental impact statement (EIS)

· A public inquiry

3. Preparing the Environmental Assessment Report

The proponent prepares the report based on Minister’s guidelines and public consultation’s comments.

4. Consultation with Authority and Public

The Minister seeks reviews of relevant Commonwealth Ministers on Referred proposal, Selection of the assessment approach, and the decision on the approval of an action after the submission of the environmental statement. Consideration of economic and social matters and relevant environmental impacts advised by other Ministers will also be taken into account.

The public is invited to comment on referred proposal, Drafting of guidelines for the PER and EIS if applicable, and In inquiry (by the commissioner).

5. Post Consultation

The Minister decides whether or not to grant an approval to the proposed actions taking considerations of the comments on the principles set out in Part 9 of Chapter 4 of the EPBC Act. The Minister should make a decision on the action-taking approval within 30 business days of receiving an environmental statement, or within 40 business days of receiving a report from a commission of inquiry for assessment by public inquiry. The Minister should notify relevant Ministers about the decision and has it published for public access.

Administrative / non-statutory mechanism

Apart from the statutory mechanism in the EPBC Act, there is no other administrative / non-statutory mechanism in controlling the SEA formulation.

C. Process Flow Chart

Figure 7.4.1.1.        EPBC Act Environment Assessment Process – Assessment / Decision whether to approve

Source: EPBC Act, Environmental Assessment Process, http://www.environment.gov.au/epbc/publications/flowcharts.html

Figure 7.4.1.2.        EPBC Act Environment Assessment Process – Referral

Source: EPBC Act, Referral process, http://www.environment.gov.au/epbc/publications/flowcharts.html

D. Summary Table

Table 7.4.1.1.                Summary Table for Australia

Urban Development Policy and Actions
Policy and Actions	National Charter of Integrated Land Use and Transport Planning
Legislations / Guidance and Relevant Document  *	N/A
Environmental Evaluations / SEA Status in Urban Development Policy and Actions
	Administrative	Statutory
Type of Assessment	N/A	Strategic Assessment
Requirement Mechanism	N/A	Statutory
Legislations / Guidance and Relevant Document ^*	N/A	Environment Protection and Biodiversity Conservation Act (EPBC, 1999)
Applications	N/A	Policy, plan and programme

7.4.1.3 Analysis and Conclusion

Urban Planning Policies

In the Federal level, though there is the National Charter of Integrated Land Use and Transport Planning, the Commonwealth Law lacks urban planning policy. Below that, the state and territory levels are required to constitute their law on urban planning within their territory. The details of urban planning practice may vary among the states, though the principles are similar.

Examples include the Environmental Planning and Assessment Act 1979 by New South Wales, the Development Act 1993 by the State Government of South Australia; and the Planning and Development Act 2005 by Western Australia. Under which plans on urban development are rules are regulated under these legislations.

Environmental evaluation / SEA

The scope of the EPBC Act is quite restricted as it focused on the natural resources and fisheries, that it puts least emphasis on urban development policies, plans or programmes. Also, section 146 of the EPBC leaves too much discretion to the Minister and thereby lacks much of the certainty and transparency that a legal framework should bring.

A number of Australian States take a strategic approach to development proposals and various incorporate elements of SEA. For example, the South Australia’s Strategic Plan, an informal SEA enacted by the South Australian State Parliament to establish the planning and development system framework and many of the processes required to be followed. There is a number of other planning and policy-making processes at the state and federal levels that are analogous to SEA, thus creating differences between the states across the country.

7.4.1.4 Project Examples

Example 1	Domestic and international airport at Badgerys Creek in western Sydney
Description of the Study	In 1997, a feasibility study on constructing a second airport in Sydney was carried out. It examines the possibilities of expanding current airport and building a new airport at selected alternative sites. A strategic impact study of a second Sydney airport was conducted and an environmental impact statement (EIS) was issued. Three options of the design of the airport were assessed. Option A: The airport developed within Commonwealth land with two parallel runways constructed on an north-east to south-west alignment; Option B: identical runway alignment to Option A, but a greater distance between the parallel runways, an expanded land area, and also a cross wind runway; Option C: two main parallel runways on a north to south alignment in addition to a cross wind runway; an expanded land area, above that already owned by the Commonwealth. Three air traffic scenarios were used to assess the potential impacts.
Process of the Study	Since the building of a second airport would affect the vicinity in a variety of aspects, based on Environment Protection (Impact of Proposals) Act 1974, the study was carried out. Guidelines are prepared by Environment Australia following public review. A Draft EIS is prepared on the basis of the Guidelines. In the EIS, a number of alternative options were considered for providing increased airport capacity to meet the forecast growth in passengers and aircraft movements in Sydney. The probable design, staging, construction and operation of each option were considered in the EIS. The potential impacts of the airport options on metropolitan, regional and local planning, and on existing and future land uses were examined. Environmental impacts: Aircraft noise (Disturbance to sleep and communication) Impacts other than noise: land use planning, meteorology, air quality, water, health, flora and fauna, hazards and risks, cultural heritage, land aviation, visual and landscape, social, and cumulative impacts. Cost estimates were provided for airport construction, infrastructure, airport operation, planning and land use impacts, noise impacts, physical and biological impacts, social impacts and economic impacts of the proposal. However, not all costs could be quantified during the preparation of this EIS. Further studies were undertaken about potential effects of aircraft noise, meteorological conditions, air quality, geology and soils, flora and fauna, hazards and risks, Aboriginal and non-Aboriginal culture heritage, socioeconomic, visual and landscape impacts. The cumulative impacts of the proposal and the likely environmental implications of the potential future expansion of the airport were also examined. The Draft EIS is released for public review. A Supplement is prepared, which is the proponent's response to the comments received on the Draft EIS. Three aspects, aircraft noise, air quality and flora and fauna are thoroughly analysed.
Outcome of the Study	In the long-term, new airport facilities will be required if the expected demand for air travel to and from Sydney is to be met. The assessment of many environmental issues did not allow a clear distinction to be made between the options. There are significant difference in terms of overall cumulative impacts between options for the impacts on airport sites, aircraft noise, air quality, flora and fauna, hazards and risks, airport operations and costs. No options were selected. The review of potential alternative sites confirmed that Badgerys Creek remains the most feasible site for a second major airport.

Example 2	Foundry Expansion by Bradken Resources Pty Ltd at Kilburn
Description of the Study	Bradken Resources has been operating a foundry at Cromwell Road Kilburn since 1949. The company is a major supplier of metal products primarily to the mining industry. The company wishes to expand its operations primarily to supply growth in mining in the South Australia state and other heavy engineering projects. The proposal is to be sited at the existing Bradken Resources foundry and involves upgrade of existing buildings and equipment, including a new melting furnace and expanded heat treatment. The projected was declared as a major development of the state.
Process of the Study	Under section 46 of the Development Act 1993, the Minister for Urban Development and Planning declared the proposed project a Major Development in January 2006 as he or she believes such a declaration is necessary for proper assessment of the development. It is because of the project’s economic importance, the scale of investment and additional employment, potential social impact on the adjacent community as a result of truck movements, and environmental impacts relating to air emission. This proposal was released for public consultation also. The Minister for Urban Development and Planning varied the declaration to exclude a number of elements from the proposed Major Development and it was published as an Issues Paper on April 2006 for public inspection. Considering the Issues Paper, guidelines released by Major Development Panel and the comment from public; the applicant prepare a Public Environmental Report (PER) on February 2007 for public comment. The project proponent response to public and agency comment on the PER and the document was released on December 2007. Amendments were made and special emphasis was put on environmental issues relating to air quality, noise, stormwater management, groundwater, soil quality, greenhouse gas emissions and energy efficiency. Risk/hazard management was one of the most important issues too.
Outcome of the Study	The final assessment report was examined by the Minister and development approval was granted with conditions.

7.4.1.5 List of References

· Barry Dalal-Clayton and Barry Sadler, 2004, Strategic Environmental Assessment: A sourcebook and reference guide to international experience, Earthscan OECD UNEP IIED, p.49’

· Strategic Environmental Assessment: A sourcebook and reference guide to international experience, 2004, http://www.iied.org/Gov/spa/documents/SEAbook/TitleContents_Oct04.pdf

· South Australian’s Strategic Plan 2007 - http://www.saplan.org.au/images/pdf/South_Australia_Strategic_Plan_2007.pdf

· South Australian’s Strategic Plan - http://www.saplan.org.au/component/option,com_frontpage/Itemid,1/

· Environment Protection and Biodiversity Conservation Act - http://www.environment.gov.au/epbc/index.html

· Commonwealth of Australia Law - http://www.comlaw.gov.au/comlaw/comlaw.nsf/preview/sitemap?OpenDocument

· Government of South Australia – Planning SA - http://www.planning.sa.gov.au/index.cfm?objectId=BE2EB8B0-96B8-CC2B-6E1A9A27D634F9E5

· Department for Planning and Infrastructure – Government of Western Australia - http://www.dpi.wa.gov.au/cityregionalplanning/1688.asp

· Western Australian Planning Commission - http://www.wapc.wa.gov.au/Publications/State+planning+policies/default.aspx

· NSW legislation website - http://www.legislation.nsw.gov.au/viewtop/inforce/act+203+1979+FIRST+0+N/

· Foundry Expansion by Bradken Resources Pty Ltd at Kilburn - http://www.planning.sa.gov.au/index.cfm?objectId=28C64FF2-96B8-CC2B-669F4902C1452F56

· National Charter of Integrated Land Use and Transport Planning - http://www.atcouncil.gov.au/documents/ILUTP_charter.aspx

7.4.2 New Zealand

7.4.2.1 Urban Development Policies and Actions

A. Regulatory mechanisms

The Town and Country Planning Act 1977 was the major urban development legislation in New Zealand before the Resource Management Act (RMA) was enacted. RMA is the core environmental legislation which emphasized and integrated approaches to policy, planning and assessment of issues concerning the use of land and resources. Part 3 of the RMA outlines the duties and restrictions under the Act, which includes Land, Water, Discharges, Noise, etc.

The RMA states that regional, city and district councils, as well as unitary authorities have to prepare plans to help them manage the environment in their area, meaning that they should prepare district and regional plans.  A total of 85 councils of different levels are involved. Part 5 of the RMA outlines the details of standards, policy statements, and plans at the national, regional and district level. The central government may also issue national policy statements or set national environmental standards. Regional policy statements set the basic direction for environmental management in the region according to RMA, Part 5. Regional plans tend to concentrate on particular parts of the environment, like the coast, soil, a river or the air. District plans concern the use and development of land and contaminated land and set out the policies and rules a council will use to manage the use of land in its area. Specific activity to be carried out in the area may need to get a resource consent form the consent authority (district/city or regional council).

Other than the RMA, there are some programmes which are related to urban planning in the country. For example, the New Zealand Urban Design Protocol is a part of the Government’s Sustainable Development Programme of Action launched in 2003. Though it has no force in law, it is a voluntary commitment by central and local government, property developers and investors, design professionals, educational institutes and other groups. It aims to signal the Government’s commitment to quality urban design, to improve the exchange of learning and information, and to initiate a programme of action to result in quality urban design.

B. Overview of evaluation approach

Under the RMA, a person may apply for the resource consent, which gives a person or organization permission to use or develop a natural or physical resource, and/or carry out an activity that affects the environment in some way for a stated period. There are five types of resource consent: Land use consent, Subdivision consent, Water permit, Discharge permit, and Coastal permit.

Resource consents replace the much different permission granted under previous law. All applications for consents follow the same procedures, which begin with preparing an Assessment of Environmental Effect (AEE).  Applicant needs to see what type and category of consent is needed, and also to work out what impacts the proposal is likely to have on the environment and submit this to the consent authority. The applicant may also have to explain what consultation has taken place with any persons who may be affected by the proposal. Some of the applications will require public notification. This gives the community a chance to consider the application and to make a submission if they wish.

The RMA encourages public to get involved and provides a number of opportunities to reflect opinion to the council or resource consent applicants. People are welcomed to make comments on policy statements, proposed plans and plan changes put out by a council, in which the council has to consider all the submissions it gets. Also, councils normally hold public hearings for public to speak out their comments, which the applicant should consider the comments from public before issuing the final report. The plan only becomes fully operative when everybody’s comments have been dealt with.

For approved applications, the council may specifies conditions, aiming to reduce environmental effects of the activity, that applicants should be considered. Also, the council may need to monitor the environmental effects of the activity, for those cases that the actual conditions are likely to be worse than predicted.  The resource consent may possess an expiry date, applicants that request for an extension will need to apply at least six months before the expiry date.

For declined applications, applicants may formally object to the council or lodge an appeal with the Environment Court, which is made up of Environmental Judges and Environment Commissioners. Commissioners have knowledge and experience in areas such as local government, resource management, environmental science, environmental treaties, etc. The court will confirm or overturn the council’s decision. 

7.4.2.2 Environmental Evaluation / SEA in Urban Development

A. Regulatory mechanisms

Statutory mechanism

In New Zealand, SEA is not formally instituted as a separate, dedicated procedure.  Rather, its characteristics are reflected in a number of laws and policies. The Resource Management Act (RMA), 1991, implements SEA principles and features in its framework, which are widely recognised and specifically represented in certain requirements of the Act. There are three dimensions of the RMA embody or reflect the key characteristics of SEA as applied internationally:

· general principles, functions and duties that have the single purpose of promoting sustainable resources management – this approximates to, yet not exactly the same as, environmental sustainability;

· an effects-based framework and approach to policy-making, planning and approval of resource consents which corresponds to or incorporates elements of SEA, as well as synonymous with EIA; and

· specified requirements for analysis of policies and plans that are analogous to an SEA of a policy, plan or strategic document (particularly as required by Section 32 (s32) of the Act).

The sustainable mandate of the RMA is set out in broad, encompassing terms in the statement of purpose in Section 5. It is frequently referenced in international literature as a statement of purpose and philosophy as follow (s 5):

“The purpose of this Act is to promote the sustainable management of natural and physical resources. In this Act, “sustainable management” means managing the use, development and protection of natural and physical resources in a way, or at a rate, which enables people and communities to provide for their social, economic and cultural well-being and for their health and safety while:

· sustaining the potential of natural and physical resources (excluding minerals) to meet the reasonably foreseeable needs of future generations;

· safeguarding the life supporting capacity of air, water, soil and ecosystems; and

· avoiding, remedying or mitigating any adverse effects of activities on the environment”

The central government has discretion to prepare national environmental standards (s 43 and s 44) and national policy statements (s 24), except for the National Coastal Policy Statement (1994) which is mandatory under s 57 and at least one policy statement shall be prepared at all time. For other environmental standards, the effects based approach and framework must be implemented by agencies and authorities with formal responsibilities under the RMA, yet no standards or statements were issued during the first 12 years of RMA implementation. For example, until 2003, the government proposed National Environmental Standards for Air Quality and a National Policy Statement on Indigeneous Biodiversity in the Resource Management Amendment Act 2003 and 2005.

RMA gives most of the responsibility for managing resources and their use to local authorities. The main responsibility of the regional councils includes managing water and the beds of water bodies, controlling the discharge of contaminants, and land use effects of regional significance. Territorial authorities have the main responsibility for the control of land use, including subdivision, and for the control of the surface of rivers and lakes. Also, they must prepare district plans.

Section 32 of RMA prescribes the duties of a Minister or local authority to evaluate the objectives and policies of a proposed standards, policy statement or plans and to prepare a report on the findings, acting as a SEA equivalent instrument. The Minster should test the appropriateness according to a s 32 analysis, so as to weighing up alternative objectives, as well as being satisfies that the objective chosen can best be achieved through the Act.

Administrative mechanism

Beyond the RMA, SEA is not formally applied to policy and plan-making, although elements of this approach can be found in a variety of arrangements and instruments that require environmental matters to be addressed strategically. For example, the Environmental Act (1986), states that the Parliamentary Commissioner for the Environment functions as an independent ombudsman with wide powers of investigation in respect of environmental policies and administration (including RMA performance).

B. Evaluation methodologies

Statutory mechanism

RMA requires the councils of all levels to prepare plans with public consultation. Also, applications of development may require to go through a SEA process, including the Assessment of Environmental Effects (AEE), so as to acquire a resource consent. The mechanism is shown as follow:

(i) Scoping

Local authorities are required to produce plans setting out how resources (e.g. water, air, land and the coast) can be used. Regional councils are responsible for the regional plans while the territorial authorities are responsible for the district plans. The district plan should agree with the regional plan and at least one district plan for each district should be prepared at all time. The regional and district plans have the functions of showing the resources that need to be protected within the community and the rules with which to comply before resources can be used; giving guidance on how nuisances, such as noise and odour, need to be controlled; and setting out whether resource consent is required for a particular activity or whether it is permitted to be carried out without resource consent.

(ii) Consultation

During the preparation of a proposed regional or district plans, the local authority is required to consult: the Minster for the Environment; those other Minsters of the Crown who may be affected by the policy statement or plan; the indigenous people (i.e. Maori) of the area who may be so affected, through authorities; and the board of any foreshore and seabed reserve in the area.

The proposed regional or district plans will be publicly notified and the members of the persons who have made submission to express opinions. The decision will be publicly notified.

(iii) Preparation of an Assessment of Environmental Effect (AEE) (Process flowchart shown in Figure 7.4.2.1.)

Applicant who wishes to carry out an activity which require a resource consent should prepare an AEE. First, identify the activity for which consent is sought. Second, conduct a site inspection. Third, talk to the regional and/or district council about the activity. Fourth, identify the effects of the activity. Fifth, rank and address the effects, which may need to seek specialist advice. Sixth, for complex applications, pre-application meeting(s) are required. Seventh, the applicant should re-evaluate the proposal. Lastly, the applicant can finalise the AEE, which should include obtaining affected parties’ approval, and then lodge the application formally. There is a potential for consultation at any stage of the process.

(iv) Processing Resource Consent (Process flowchart shown in Figure 7.4.2.2.)

After the application is launched, it is subjected to council’s decision on approval and or public consultation. Further information may be needed from applicants. The application may be approved, rejected, or approved with conditions. If the applicants wish to launch an appeal, he should submit applications to the Environmental Court or the High Court after further rejection.

Administrative mechanism

Other than the RMA, SEA is not formally applied to policy and plan-making. The SEA elements can be found in a variety of arrangements and instruments that require environmental matters to be addressed strategically.

C. Process Flow Chart

Figure 7.4.2.1.        Steps for preparing an Assessment of Environmental Effect (AEE)

Source: A Guide to Preparing a Basic Assessment of Environmental Effects -http://www.mfe.govt.nz/publications/rma/aee-guide-aug06/aee-guide-aug06.pdf

Figure 7.4.2.2.        Processing resource consents – stages and timeframes

Notes:

1. Council may return the application if the AEE is incomplete or if there is insufficient information required by regulations (s.88(3)).

2. An applicant who received a request for further information must, within 15 working days of the date of request, either provide the information, or tell the council in writing that they either agree or refuse to provide the information. If they agree to provide the information, the council will let them know a reasonable timeframe within which they will have to provide the information. However, if the applicant does not object to, or subsequently appeal against the request for further information, they must provide the information no later than 10 working days before the hearing of an application (ss.92 and 92A).

Source: A Guide to Preparing a Basic Assessment of Environmental Effects -http://www.mfe.govt.nz/publications/rma/aee-guide-aug06/aee-guide-aug06.pdf

D. Summary Table

Table 7.4.2.1.                Summary Table for New Zealand

Urban Development Policy and Actions
Policy and Actions	Sustainable Development Programme of Action, New Zealand Urban Design Protocol
Legislations / Guidance and Relevant Document *	Resource Management Act of 1991 and its amendments
Environmental Evaluations / SEA Status in Urban Development Policy and Actions
	Administrative	Statutory
Type of Assessment	N/A	Assessment of  Environmental Effects
Requirement Mechanism	N/A	Statutory system
Legislations / Guidance and Relevant Document ^*	N/A	Environmental Act, Resource Management Act
Applications	N/A	Policies, plans and programmes

7.4.2.3 Analysis and Conclusion

Urban Planning Policies

The Resource Management Act (RMA) is the first and foremost means of planning how the people of New Zealand are going to use, develop or protect natural and physical resources. It replaces more than 20 major statutes, in which the natural and physical resources were governed under various laws that are often conflicting, overlapping or inconsistent.

RMA listed the roles and responsibilities of national, regional, and district government on urban planning, and it values public involvement at various levels. Guidelines are clearly listed for applicants about the application, consultation, as well as appealing process. The process is interactive and transparent which allows smooth urban development.

Other than statutory system, administrative systems like the New Zealand Urban Design Protocol receives high recognition among local government, property developers and investors, design professionals, etc. With various means of public consultation processes, people are willing to follow the central government’s vision on sustainable city development.

Environmental evaluation / SEA

Though RMA was not intended to provide a general mandate for SEA, this potential has been perceived and promoted since its implementation. It displays environmental and sustainability dimensions that are of interest internationally.

RMA gives most of the responsibility for managing resources and their use to local authorities, including preparation of district plans.  This allows local government and citizens to actively involve in the environmental studies.

7.4.2.4 Project Examples

Example 1	Auckland’s Regional Growth Strategy 2050
Description of the Study	The Greater Auckland Region is the major growth area of the country with a population of more than one million. The political and administrative geography of the region is relatively complex by New Zealand standards. In accordance with the provisions of Resource Management Act, four city and three district councils are responsible for controlling land use, and the Auckland Regional Council is responsible for preparing a regional policy statement to guide planning and management of the natural and physical resources of the area. However, there is no agency responsible for coordinating land and infrastructure development and thus environmental and social impacts from urban sprawl and traffic pressures continue to intensify. In the late 1990s, the Auckland Regional Growth Forum was established as a collaborative body to address these issues. A particular emphasis was given to developing a long-term vision and sustainable growth strategy for the region to 2050. It aims to improve liveability, protect the environment and get the right infrastructure in place. It is the first strategy of its kind in New Zealand, which SEA principles were involved.
Process of the Study	The strategy was developed over three to four years and incorporated both a strong technical basis and extensive public consultation. A growth concept of Auckland 2050 was implemented, that studies and reports on various disciplines were produced. Reports on environmental, as well as national and physical resource constraints, transport capacities, physical infrastructure, social infrastructure, growth management techniques, employment location, intensification, and rural issues were prepared. The current progress evaluation, future directions, and proposed actions and work programme were examined. Two phases of public consultation were involved: first stage involved preliminary consultation with stakeholder groups and the wider public which helped to establish the draft strategy, and was then released for a second round of consultation.
Outcome of the Study	In 2007, the first full progress appraisal of the Regional Growth Strategy was completed. The Auckland Sustainability Framework has reinforced the importance of the core principles of the Growth Strategy – a more compact settlement pattern with a diverse range of service and facilities connected by high quality passenger transport. Significant progress on development of supporting strategies and plans, legislative and governance changes, a strong market for more intensive urban living had been made. Also, a range of actions were recommended including to develop and trial new approaches to encourage quality residential and business intensification and large-scale urban transformation.

Example 2	Waikato Regional Plan
Description of the Study	The Waikato Regional Plan has been developed by the Waikato Regional council under the RMA, 1991, and is intended to provide direction regarding the use, development and protection of natural and physical resources in the Waikato Region. The plan involved a strategic planning on the Waikato Region on matters of water, river and lake beds, land and soil, air, and geothermal resources. These five modules were deeply investigated in the mid-1990s and the process lasted for several years which documents and reports on the study were released for public consultation.  Reviews were made throughout the process.
Process of the Study	The plan does not address all resource management issues in the region and is subjected to review in response issues arising. The proposed Plan contains five modules covering water, river and lake beds, land and soil, air, and geothermal resources. A chapter with detailed issue statement, objective, related policies and guidelines, implantation methods, environmental results anticipated, monitoring options and other related environmental issues were addressed in each module. Through details literature review, site inspection and consultation with expertise, the findings are put under the section “environmental results anticipated”. It describes the environmental results anticipated as a result of managing the issue in accordance with the objective and policies discussed. Environmental results anticipated are the results or outcomes expected for the environment, which occur as a consequence of implementing a given policy or method. The Waikato Regional Plan has been developed in an open consultative manner. The development process has involved the publication of a Draft Issues and Directions document in October 1996, and Outline Plan in 1997, and a Consultative Draft Plan in December 1997. These documents were produced to enable people with an interest in the management of the natural and physical resources of the Waikato Region to express their views on, and contribute to, the directions being taken.
Outcome of the Study	After the intensive study, consultation process, and review, the Waikato Regional Plan became operative in part on 28 September 2007. Since a few modules have not fully completed the first schedule set by the plan, they were not become operative and remain subject to variations. They include the Geothermal module, Lake Taupo catchment, Water allocation, and Minor variation and geothermal maps. The plan is published for open inspection. Even after the operation of the plan, public feedback is encouraged and the plan is subjected to further changes.

7.4.2.5 List of References

· Barry Dalal-Clayton and Barry Sadler, 2004, Strategic Environmental Assessment: A sourcebook and reference guide to international experience, Earthscan OECD UNEP IIED, p.79-80,83-84’

· Resource Management Amendment Act 2005 http://www.legislation.govt.nz/act/public/2005/0087/latest/DLM359902.html

· A Guide to Preparing a Basic Assessment of Environmental Effects http://www.mfe.govt.nz/publications/rma/aee-guide-aug06/aee-guide-aug06.pdf

· New Zealand’s Resource Management Act (1991) http://www.unescap.org/drpad/vc/conference/bg_nz_125_nzr.htm

· An Everyday Guide to the Resource Management Act Series http://www.mfe.govt.nz/publications/rma/everyday/index.html

· Auckland Regional Council, Regional Growth Strategy http://www.arc.govt.nz/plans/regional-strategies/regional-growth-strategy.cfm

· Environment Waikato Land and Soil http://www.ew.govt.nz/enviroinfo/land/index.htm

7.5 Development Co-operations

7.5.1 World Bank

7.5.1.1 Urban Development Policies and Actions

A. Regulatory mechanisms

The World Bank (herein after “the Bank”) has an urban mission and overall strategy objectives, “To promote sustainable cities and towns that fulfil the promise of development for their inhabitants – in particular, by improving the lives of the poor and promoting equity – while contributing to the progress of the entire country.” The Bank’s corporate strategy for urban development addresses the livability, competitiveness, good governance and management, and bankability commitment. Urban Development Unit of the Bank either acts as a leader or a partner in the financing activity. The Bank would intervene selectively in support of cities, e g. it would help clients establish appropriate policies.

In practice, Bank projects and activities are governed by Operational Policies (OPs), which are designed to ensure that they are economically, financially, socially and environmentally sound. Internally, World Bank also developed Bank Procedures (BPs) to explain how Bank staff should carry out the policies set out in the OPs.

There is no specific Operational Policy for urban development; however World Bank has Operational Policy/Bank Procedure (OP/BP) 8.60 on Development Policy Lending (DPL) for development policy lending assessment, which has been in place since August 2004. This policy applies uniformly to all development policy lending, replacing the previous different types of lending guidelines and policies. Thus, urban development policy of borrower country that is covered by the DPL should follow OP /BP 8.60. This policy aims to help a borrower achieve sustainable reductions in poverty through a program of policy and institutional actions that promote growth and enhance the well-being and increase the incomes of poor people. This policy provides uniform treatment of environmental, social and poverty aspects. Under this policy, the Bank is required to determine whether specific country policies supported by the operation are likely to have significant effects.

In addition, the World Bank developed environmental and social safeguard policies in late 90’s, which aims to prevent and mitigate undue harm to people and their environment in the development process. These policies provide guidelines for bank and borrower staffs in the identification, preparation, and implementation of programs and projects. Thus urban development project lending should also follow these safeguard policies. Safeguard policies include environmental assessments and specific safeguard policies designed to address natural habitats, forests, pest management, cultural property, involuntary resettlement, indigenous peoples, safety of dams, projects on international waterways and projects in disputed areas.

B. Overview of evaluation approach

For urban development policy loans issued by World Bank, OP/BP 8.60 is adopted and the general evaluation approach is summarized as follow:

For each development policy operation proposed for Bank financing, the Bank prepares a programme document that describes and appraises the operation. The programme documentation describes the main pieces of analytical work used in preparing the operation and shows how they are linked to the proposed DPL operation.

The Bank advises borrowing countries to consult with, and engage the participation of, key stakeholders in the country in the process of formulating the country’s development strategies. Bank staff describe in the programme document the country’s arrangements for consultation and participation relevant to the operation, and the outcomes of the participatory process adopted in formulating the country’s development strategy.

Relevant analytic work conducted by the Bank, particularly on poverty and social impacts and on environmental aspects (including natural resources aspects), is made available to the public as part of the consultation process in line with the Bank’s disclosure policy.

The programme document is available to the public after the operation has been approved by the Executive Directors. In addition, the letter of development policy (in which the borrowing government details the measures that will be adopted to implement the policy and the institutional reforms to be undertaken) is available to the public after the Executive Directors’ approval, unless they decide otherwise.

The borrower is responsible for managing operational risks affecting the development effectiveness of the development policy operation. The Bank independently identifies the financial and non-financial risks (including environmental risks) associated with the programme, and ensures that the operation contains appropriate mitigation measures and monitorable indicators to track high probability risks.

For the safeguard policies adopted in the urban development lending projects, they will undergo environmental and social assessment process as described in OP 4.01. Please refer to the section 4.5.1.2B for detailed evaluation approaches.

7.5.1.2 Environmental Evaluation / SEA in Urban Development

A. Regulatory mechanisms

Statutory mechanism

There is no statutory mechanism of SEA.

Administrative mechanism

There is no Bank requirement for SEAs in the context of land use planning in client countries. However, SEAs, or more specifically, regional environmental assessments (REAs), are required in the context of compliance with Bank policies and as part of the Bank’s technical assistance to clients.

As mentioned in the previous section, the Bank introduced the safeguard policies (including an Environmental Assessment (EA) policy). EA policy was named as Operational Directive (OD) 4.01 in 1989. This policy was converted in 1999 into a new format: the Operational Policy/Bank Procedure (OP/BP 4.01). It was recently further updated in March 2007 to reflect issuance of a new policy. The OP/BP 4.01 states the administrative requirement for the Borrower to conduct sectoral and regional EA for a strategy, policy, plan, programme or a series of projects for a specific region/sector. The World Bank Environment Strategy, adopted in 2001, also recognized SEA as a key means of integrating environment into the sectoral decision-making and planning process at early stages and made a strong commitment to promote the use of SEA as a tool for sustainable development. In August 2004, the updated Development Policy Lending, OP/BP 8.60, also emphasizes upstream analytical work – such as SEA. 

While sectoral EA shall address issues early in the process of project level decision-making; regional EA (e.g. for an urban area, a river basin, a coastal zone, or a province) are more comprehensive in terms of the physical area to be assessed, the time frame to be considered and the analytical content.

Addressing the safeguard policies, the EAs take into account:

· natural environment (including air, water and land);

· human health and safety;

· social aspects (including involuntary resettlement, physical cultural resources and indigenous peoples); and

· transboundary and global environmental aspects (including climate change, ozone-depleting substances, adverse impacts on biodiversity).

At policy perspective, the OP/BP 8.60 – Development Policy Lending sets out the environmental provisions for development policy lending which helps to promote borrower country’s growth and efficient resource allocation (i.e. can include urban development policy).

World Bank also developed Environmental Assessment Sourcebook and Updates to provide specific EA information and common ground for discussion among those involved: EA professionals, the Bank, and borrowing governments.

B. Evaluation methodologies

Statutory mechanism

There is no statutory mechanism of SEA.

Administrative mechanism

The Bank followed comprehensive environmental assessment procedures as stated in OP 4.01 when making lending decision. The general EA sequence is described as follow:

Environmental screening

Based on the type, location, sensitivity, and scale of the proposed project, as well as the nature and magnitude of its potential impacts, a task team (TT) of the Bank assigns the proposed project to one of four categories:

· Category A: likely to have significant adverse environmental impacts that are sensitive, diverse, or unprecedented.  These impacts may affect an area broader than the sites or facilities subject to physical works.  Borrowers are required to conduct an environmental assessment (EA) in the form of sectoral or regional EA.

· Category B: likely to have potential adverse environmental impacts but are less adverse than those of Category A. These impacts are site-specific. Borrowers are required to conduct an EA in the forms of Project Appraisal Document and Project Information Document, in which the scope of EA is narrower than that of Category A.

· Category C: likely to have minimal or no adverse environmental impacts. No further EA action is required.

· Category FI: Involves investment of Bank funds through a financial intermediary, in subprojects that may result in adverse environmental impacts.

Project may be reclassified if the project is modified or new information becomes available during project preparation.

EA Preparation

The TT discusses with the borrower the scope of the EA and the procedures, schedule, and outline for any EA report required. TT also assists borrower to develop terms of reference (TORs) for the EA. The EA for a proposed Bank-financed operation is the responsibility of the borrower except for Category A projects in which it is the independent EA experts not affiliated with the project to carry out the EA.

Depending on the types of the projects, a range of instruments can be used to fulfil the requirements of environmental assessments. They include environmental impact assessment (EIA), regional or sectoral environmental assessment, environmental audit, hazard or risk assessment, and environmental management plan (EMP). Environmental assessment applies one or more of these instruments, or elements of them, as appropriate.

The EAs evaluate project’s potential environmental risks and impacts in its area of influence; examines project alternatives; identifies ways of improving project selection, location, planning, design, and implementation by preventing, minimizing, mitigating, or compensating adverse environmental impacts and enhancing positive impacts; and includes the process of mitigating and managing adverse environmental impacts throughout project implementation.  Whenever feasible, the Bank prefers preventive measures to mitigatory or compensatory measures.

Environmental reporting is required and the details vary, which depend on the types of assessment instruments. The standard for the content of an Environmental Assessment Report for a Category A Project is provided in the OP 4.01-Annex B.

Review and Disclosure

For all Category A and B projects proposed for financing, the borrower shall consult project affected groups and local non-government organisations (NGOs) about the project’s environmental aspects and takes their views into account and as early as possible. For Category A projects, the borrower consults these groups at least twice: (a) shortly after environmental screening and before the terms of reference for the EA are finalized; and (b) once a draft EA report is prepared. In addition, the borrower shall consult such groups throughout project implementation as necessary to address EA-related issues that affect them. The draft EA report should be available at a publicly accessible place.

For Category A projects that are highly risky or contentious or that involve serious and multidimensional environmental concerns, the borrower should normally also engage an advisory panel of independent, internationally recognized environmental specialists to advise on all aspects of the project relevant to the EA 

Implementation

During project implementation, the borrower reports on (a) compliance with measures agreed with the Bank on the basis of the findings and results of the EA, including implementation of any EMP; (b) the status of mitigatory measures; and (c) the findings of monitoring programs.

Supervision and Evaluation

Based on the findings and recommendations of the EA, the Bank evaluates the EA Report, mitigation plan of the project and the institutional capacity.

C. Process Flow Chart

Figure 7.5.1.1.        Overall process flowchart for Environmental Assessment

D. Summary Table

Table 7.5.1.1.                Summary Table for World Bank

Urban Development Policy and Actions
Policy and Actions	Operational Policy / Bank Procedure (OP/BP 8.60) Safeguard policies: OP/BP 4.01, OP 4.04, OP/BP 4.36, OP 4.09, OP/BP 4.11, OP 4.12, OP/BP 4.10, OP 4.37, OP/BP 7.50, OP/BP 7.60
Legislations / Guidance and Relevant Document *	Operational Policy / Bank Procedure (OP/BP 8.60) Safeguard policies: OP/BP 4.01, OP 4.04, OP/BP 4.36, OP 4.09, OP/BP 4.11, OP 4.12, OP/BP 4.10, OP 4.37, OP/BP 7.50, OP/BP 7.60, Good Practice Notes for Development Policy Lending
Environmental Evaluations / SEA Status in Urban Development Policy and Actions
		Administrative	Statutory
Type of Assessment		Strategic Environmental Assessment	N/A
Requirement Mechanism		Administrative	N/A
Legislations / Guidance and Relevant Document ^*		Operational Policy / Bank Procedure (OP/BP 4.01); Operational Policy / Bank Procedure (OP/BP 8.60)	N/A
Applications		Policy, plan and programme	N/A

7.5.1.3 Analysis and Conclusion

Urban Planning Policies

Although there is no specific Operational Policy in World Bank for urban development, World Bank has developed safeguard policies and Operational Policy/Bank Procedure (OP/BP) 8.60 on Development Policy Lending (DPL) that administratively govern the general lending assessment for sectoral, regional programmes and plans as well as development policy.  Thus, the financial support on urban development projects, plans and policy needs to go through detailed financial and non-financial (environmental and social aspects) assessment and evaluation.

Unlike a country or city, the World Bank is an institution providing loans to borrowers to improve their regional environment and reduce poverty. Therefore, only administrative mechanism is adopted rather than statutory or administrative mechanism.

Environmental evaluation / SEA

For the SEA system of the Bank, it is an administrative requirement for the borrowers of the Bank to conduct environmental assessment for policies, plans and programmes under the OP/BP 4.01. All sectors and regional projects, including urban development, should follow the procedures stated in the OP/BP/4.01. Generally, a preliminary screening process should be conducted for a proposal to identify which category it refers to, and to decide the following decision-making process. Four categories for an initiated proposal, namely Category A, B, C and F1, are clearly defined. Category A and B refer to those proposals that are likely to have significant and less significant adverse environmental impacts respectively. An environmental assessment should be conducted for both categories, but a more in-depth analysis should be carried out for Category A.

7.5.1.4 Project Examples

Example 1	Malawi: Community-Based Rural Land Development Project
Description of the Study	In April 2004, the World Bank approved a community-based rural land development project in Malawi. The project objective is to increase the incomes of between 15,000 and 20,000 poor rural families by implementing a decentralized, community-based and voluntary approach to land reform in four pilot districts (Machinga, Mangochi, Mulanje, and Thyo) in southern Malawi. The estimated total project cost is US$28.75 million equivalent, of which the Bank would finance approximately US$24.0 million. Government and the beneficiary communities would contribute the remaining US$4.8 million. This project will last for five years. Components: · Land acquisition and farm development · Land administration (transaction, titling, and registration) · Capacity building · Program management, and monitoring and evaluation
Process of the Study	Poverty in Malawi is severe and deep: about 60 percent of the population lives below the poverty line. Agriculture provides 85 percent of employment, but land distribution is sharply unequal together with land degradation and rural tensions.  A land reform project was then initiated by Government of Malawi. Learned from pass experience, World Bank obtained considerable experience in implementing this decentralized, community-based and voluntary approach of land reform funding. The approach to land reform under the project includes: voluntary acquisition of lands by communities; on-farm development, including the purchase of necessary advisory services and basic inputs; and land administration (regularization, titling, and registration of property rights in land). Before the preparation, World Bank evaluated the project and classified the project to Category B (i.e. partial environmental assessment was needed). Based on their evaluation, the project does not present any major safeguard issues, as the net social and environmental effect of the project is expected to be positive. With the scale and nature of the project, the only safeguard policies triggered are Environmental Assessment OP 4.01 and Pest Management OP 4.09. Environmental assessment was performed because of the identified potential environmental issues. Some of the negative impacts identified during the EA were: Loss of vegetation and biodiversity in the areas where settlements will be made; water sources pollution by chemical runoff. To comply with Environmental Assessment (OP 4.01), an Environmental Management Plan was implemented and funded as part of the project, which included: · an Environmental and Social Screening and Review Process; · a Pest Management Plan ; · Monitoring and Evaluation ; and · institutional strengthening to undertake long-term development and regional planning and handle an increased number of disputes. At the same time, PMP is incorporated to the EMP in order to comply with OP 4.09. Public Consultation Key stakeholders, including poor rural communities, estate owners, NGOs, technical officers, were and will be consulted from the very beginning of the project, during the preparation, implementation and evaluation of the project. For example, the Integrated Safeguards Data Sheet, which identified key issues under the World Bank’s safeguard policies for environmental and social issues as well as associated mitigation measures, was made available publicly. The SEA (including consultations) was also reviewed by the Bank in November 2003 and exhibited for public review. After the preparation phase, the Bank reviewed the financial and non-financial aspects (environmental and social aspects) of the project, and prepared the Project Appraisal Document in March 2004.
Outcome of the Study	By year 2007, livelihood for households resettled under the project has improved significantly as people were able to grown and harvest more crops than previously. It is targeted that by the end of the project, some 15,000 poor rural families would have increased their incomes in four pilot districts in the southern part of Malawi through the implementation of a decentralized, community-based and voluntary approach to land reform. The project is to be ended by 2009.

Example 2	Cambodia: Land Allocation for Social and Economic Development
Description of the Study	Because of the considerable pressure on access to land, the Land Allocation for Social and Economic Development (LASED) Project supports the implementation of the Royal Government of Cambodia’s Social Land Concessions (SLC) Program by distributing land and providng support services and infrastructure to improve the livelihoods of the landless and land-poor. It will be implemented in three project provinces: Kratic, Kampong Cham, and Kampong Thom of Cambodia. The estimated total project cost is US$13 million equivalent, of which the Bank would finance approximately US$11.50 million. Government and BMZ of Germany would contribute the remaining US$1.5 million. The project aims to improve the process for identification and use of state lands transferred to eligible, poor and formerly landless or land-poor recipients selected through a transparent and well-targeted process. It has four main components · Commune-based Social Land Concession (SLC) planning and land allocation; · Rural development services and investments in SLC areas; · Sustainable and transparent program development for SLCs; and · Project administration.
Process of the Study	Before the preparation phase of the project, World Bank assessed the project and classified the project as a Category B project (i.e. partial environmental assessment was needed) based on the expected nature and scale of its potential for impacts from the development of land for agricultural use.  The safeguard issues and impacts associated with the proposed project were identified. Environmental Assessment and application of safeguards principles have taken a slightly different approach compared to normal World Bank projects. Instead of assessing the overall design for its impacts and then planning mitigation and monitoring, the project’s environmental assessment will be integrated into the commune level planning approach for each SLC, so that procedures for planning of land use, carrying capacity and land development for livelihoods all contribute to sustainable land use while minimizing negative environmental impacts. EA and Environmental Management Plan (EMP) were developed and the primary issues of concern with respect to the environmental and socio-cultural issues are summarized in EA-EMP exhibited on December 2007: · loss of or damage to functional forests, critical habitats and wildlife corridors in and around SLC areas; · poor site selection or inappropriate and/or over-intensive land use degrading soil and water resources and leading to potential abandonment of the site; · unexploded ordnance (UXO) and landmines; · destruction of cultural heritage sites or monuments; · poor social planning for indigenous communities and other vulnerable groups; and · direct and indirect impacts from rural infrastructure investments. However, the assessment concludes that the potential negative impacts are localized and site specific, which are able to be mitigated and managed and are balanced by significant positive impacts both from the Land Allocation for Social and Economic Development Project as a whole and from individual activities. Along the 2 years preparation, the LASED Project has undergone the standard notification processes including being publicly posted on the World Bank website. In addition, meetings and workshops with different stakeholders and interested parties have been held. The Integrated Safeguards Data Sheet, which identified key issues under the World Bank’s safeguard policies for environmental and social issues as well as associated mitigation measures, was also made available publicly in March 2008. The project is being prepared for approval during Financial Year 2008 and implementation would start in Financial Year 2009.
Outcome of the Study	The project is to be ended by June 2013. By then, the project is expected to assist an estimated 3,000 landless households in 20 communes in establishing sustainable rural livelihoods.

7.5.1.5 List of References

· Cities in Transition: A Strategic View of Urban and Local Government Issues (2000), http://web.worldbank.org/WBSITE/EXTERNAL/TOPICS/EXTURBANDEVELOPMENT/0,,contentMDK:20158153~isCURL:Y~menuPK:337186~pagePK:148956~piPK:216618~theSitePK:337178,00.html

· OP 8.60 Development Policy Lending (2004), http://go.worldbank.org/G5W42NDMO0

· OP 4.01 – Environmental Assessment http://go.worldbank.org/K7F3DCUDD0

· OP 4.01 (Chinese) – Environmental Assessment http://wbln0018.worldbank.org/html/eswwebsite.nsf/BillboardPictures/OP401Chinese/$FILE/OP401Chinese.pdf

· Regional Environmental Assessment (1996), http://siteresources.worldbank.org/INTSAFEPOL/1142947-1116495579739/20507383/Update15RegionalEnvironmentalAssessmentJune1996.pdf

· Environment Strategy Document (2001), http://web.worldbank.org/WBSITE/EXTERNAL/TOPICS/ENVIRONMENT/0,,contentMDK:20123152~menuPK:281634~pagePK:148956~piPK:216618~theSitePK:244381,00.html

· Safeguard Policies http://go.worldbank.org/WTA1ODE7T0

· Malawi: Community-Based Rural Land Development Project, Project ID: P075247 (2004-ongoing) http://web.worldbank.org/external/projects/main?pagePK=64283627&piPK=64290415&theSitePK=40941&menuPK=228424&Projectid=P075247

· Cambodia: Land Allocation for Social and Economic Development, Project ID: P084787 (2007-ongoing) http://web.worldbank.org/external/projects/main?pagePK=64312881&piPK=64302848&theSitePK=40941&Projectid=P084787

7.5.2 Asian Development Bank

7.5.2.1 Urban Development Policies and Actions

A. Regulatory mechanisms

Over the past 50 years, the vibrant economic growth in Asia entails exponential increase in the level of urbanization in the region. By 2020, Asia will achieve over 50% of urbanization.

The high level of urbanization in Asia presents a mounting challenge as urbanization outpaces housing and service provisions. This leads to the formulation of the Asian Development Bank (ADB)’s Urban Sector Strategy in 1999. It aims to provide both a framework for specific developing member countries (DMC) urban strategies and a guide for ADB action in the sector. This strategy highlights four operational objectives, namely (i) maximizing the economic efficiency of urban areas, (ii) reducing urban poverty, (iii) improving quality of life, and (iv)achieving more sustainable forms of urban development.

These objectives are to be achieved through (i) promoting good urban governance, (ii) improving urban management, (iii) mobilizing financial resources, (iv) reducing urban poverty, and (iv) addressing urban development subsectors (integrated urban development projects; water supply, sanitation, and solid waste management; and transport and housing).

In practice, ADB projects and activities are governed by operational policies grouped under the Operations Manuals (OM). ADB's operational policies known as Bank Policies are short, focused statements that follow from the Agreement Establishing the Asian Development Bank (the Charter), the Regulations of the Asian Development Fund, the Regulations of Ordinary and Special Operations, and operational policies adopted by the Board of Directors. There is no specific Bank Policy administrating urban development. The OM also includes Operational Procedures (OPs) that spell out procedural requirements and guidance on the implementation of policies. There are multiple OM sections that operationalizes the Urban Sector Strategy, like Governance, Poverty Reduction and anti-corruption. Therefore, the relevant ADB’s urban development projects are in aligned with the Urban Sector Strategy.

B. Overview of evaluation approach

For all loan-financed projects assisted by ADB (including urban development projects), ADB adopted the Operations Manual (OM) Section 22: Project Performance Management System (PPMS), issued in 2002. The general evaluation approach is summarized as follow:

The PPMS includes five components (i) project (logical) framework (ii) project performance report; (iii) project completion report (iv) project performance audit report, and in a limited number of cases, impact evaluation studies; and (v) borrower monitoring and evaluation (at central, and at executing and implementing agency levels).

The project framework serves the function of improving projects quality at entry by (i) identifying key stakeholders and their interest, (ii) analyzing the problems in terms of causes and effects, (iii) specifying objectives in terms of means and ends, (iv) assessing alternative approaches and (v) selecting a preferred option. Besides, it also lays the basis for the rest of the stages of PPMS.

Governed by OM 22, the division or resident mission for all ADB’s projects is the coordinator of ADB activities in different countries, which prepares the Project Performance Report which records the implementation progress and progress on achieving development targets. Regional departments hold meetings at least quarterly to review the overall performance of projects. Operational vice presidents examine the status of the ongoing region wide and countrywide operational programs and portfolios in the Operations Review Meetings, held at least quarterly. Lastly, the Management Committee discusses the findings of the Operations Review Meetings each quarter.

Project Completion Reports are prepared by the executing agency and ADB separately. Within these two corporations, those who are responsible for executing and supervising the projects make an assessment of achievement against targets and use the indicators established in the project framework. Project Completion Reports identify lessons learnt and make recommendations for follow-up actions by governments or ADB. All Project Completion Reports have to be finished within 12-24 months after project/program completion. For private sector operations, the Project Completion Reports need to be finished after at least 18 months of revenue generation and receipt of audited financial statements for a 12 month period for investment operations. The findings also contribute to the country strategy and program (CSP) development. CSP serves as a basis for monitoring country environmental performance and facilitates downstream environmental assessment of individual ADB-financed projects.

Project performance audit reports contain independent evaluations of a sample of projects by the Operations Evaluation Department, generally 3 to 5 years after completion when the impacts of the development projects should be evident. The findings are fed back to the CSP development and new projects formulations.

Monitoring and evaluation of ADB-assisted projects by central departments, executing and implementing agencies provide inputs for the Project Performance Report, the Project Completion Report and Project performance audit report.

7.5.2.2 Environmental Evaluation / SEA in Urban Development

A. Regulatory mechanisms

Statutory mechanism

There is no statutory mechanism for SEA in urban development in ADB.

Administrative mechanism

ADB does not have any specific requirements of SEAs for urban planning in DMCs. The Environmental Policy sets the overall environmental agenda encompassing all ADB operations.

Grounded in Asian Development Bank’s Poverty Reduction Strategy and Long-Term Strategic Framework 2001-2015, the ADB’s Environmental Policy was enacted in 2002 to recognize environmental sustainability as the pre-requisite for poverty eradication and economic growth. The policy incorporates environmental concerns into all ADB operations in all DMCs. ADB requires  (i) environmental analysis for country strategy and programming; (ii) environmental assessment of project loans, program loans, sector loans, development program loans, financial intermediation loans, and private sector investment loans; (iii) monitoring and evaluation of compliance with environmental requirements of loans; and (iv) implementation of procedures for environmentally responsible procurement (for ADB operations). All the general requirements for Environmental Assessment (EA) are provided in the Environmental Policy and Operations Manual (OM) 20: Environmental Considerations in ADB Operations and Environmental Assessment Guidelines.

Country Environmental Analysis

As a core part of analysis for country strategy and program (CSP), a Country Environmental Analysis is prepared periodically to highlight the most pressing environmental issues to a DMC’s development strategy and ADB’s role in helping to remove the environmental impacts of those issues.

According to the Environmental Assessment Guideline Part IV, a Country Environmental Analysis should include:

· Description of the role of environment and natural resources in the economy

· Identification of environmental issues, problems, constraints and opportunities that are directly relevant to DMCs development strategy;

· Institutional analysis for environment and natural resource management;

· Review of country’s record in environmental matters:

· Environmental indicators and monitoring requirements;

· An overview ADB sectoral strategies and work programs, and links between ADB strategies and work program with the Government, bilateral and multilateral funding agencies operating in the country;

· Needs for technical or financial support for priority and unfunded environmental projects, if any;

· Assessment of environmental consequences of CSP; and

· Conclusions on environmental benefits and adverse implication of CSP; and

· Recommendations to ensure environmental sustainability of CSP

B. Evaluation methodologies

Administrative mechanism

Environmental Requirements in Project Preparation Technical Assistance and Loan:

ADB follows the stated procedure in the Environmental Assessment Guideline for all loans and investments projects. ADB’s EA process starts as soon as potential projects for ADB financing are identified, and covers all components financed by ADB, co-financiers or the Government. The procedure is described as followed:

Classification

In order to determine environmental assessment requirement, all loans and investments are classified according to their environmental categories.

The regional department used the Rapid Environmental Assessment (REA) which includes sector-specific checklists based on the ADB’s past knowledge and experience. These checklists address issues about (i) the sensitivity and vulnerability of environmental resources in project area, and (ii) the potential for the project to cause significant adverse environmental impacts. There are 4 categories in total.

Category A: Projects with potential for significant adverse environmental impacts. An environmental impact assessment (EIA) is required to address significant impacts.

Category B: Projects judged to have some adverse environmental impacts, but of lesser degree and/or significant than those of category A projects. An initial environmental examination (IEE) is required to determine whether or not significant environmental impacts warranting an EIA are likely. If an EIA is not needed, the IEE is regarded as the final environmental assessment report.

Category C: Projects unlikely to have adverse environmental impacts. No EIA or IEE is required, although environmental implications are still reviewed.

Category FI: Projects are classified as category FI if they involve a credit line through a financial intermediary or an equity investment in a financial intermediary. The financial intermediary must apply an environmental management system, unless all subprojects will result in insignificant impacts. Environmental assessment of financial intermediation and equity investments is required. A due diligence assessment of financial intermediary and its environmental management system is required, except in where subprojects involve small loans only with insignificant environmental impacts. Projects that will involve small loans, generally microfinance project, will be treated as category C.

Environmental assessment of Category F1 is similar to that for sector loans and the requirement for public  involvement, information disclosure, and in some cases, clearances by ADB apply.

The environmental category is based on the most sensitive component. If one part of the project is likely to cause significant adverse environmental impacts, then the project will be classified as category A regardless of the categories of the other parts of the project.

Categorization required the concurrence of regional department director, the Environment and Social Safeguard Division of the Regional and Sustainable Development Department and finally the chief compliance officer. Since categorization is an ongoing process, the environmental category can be changed with the approval of the chief compliance officer.

Scoping

In many projects, project preparation is assisted by Project Preparation Technical Assistance Fact-finding Mission of ADB. The Mission assesses the environmental policy, management system, and capacity of the executing agency and determines the need for any institutional strengthening. When appropriate, the Mission discloses the project information in order to solicit view and concerns of the affected groups and local NGOs.

The findings of the mission helped to prepare the draft Terms of Reference (TOF) which defines the scope of the environmental assessment should be carried out by the Borrower. The final TOR for the EIA/ IEE should be discussed with or agreed by the executing agency, and the national environmental agency.

Environmental Assessment (EA) Reporting

The Borrower prepares EIA reports for category A projects and IEE reports for category B projects. They also prepare the summary EIA (SEIA) or summary IEE (SIEE) for illustrating the main findings of EIA and IEE respectively.

Format of environmental assessment report for program loans varies, depending on the lending modality. However, all include a matrix describing the environmental consequences and mitigation measures for the stated policy actions in the loans. For sector loans, the report will include a description of the institutional arrangements and process to be followed for environmental assessment of subprojects to be approved during implementation.

For category A and B projects, the development of Environmental Management Plans and Loan Covenants are part of the environmental assessment process. Environmental Management Plans outline specific mitigation measures, environmental monitoring requirements and related institutional arrangements, including budget requirements. Loan covenants include specific environmental covenants that describe environmental requirements, including the Environmental Management Plans. For category FI projects, the environmental assessment report will include a description of the environmental management system to be applied by the financial intermediary.

Public Consultation

Public consultation is compulsory in the EA process. Environment Assessment Guideline Part X provides guidance for consulting affected stakeholders and providing access to information.

For category A and category B projects, borrowers must consult with groups affected by the proposed projects and local nongovernment organizations. The consultation should take place as early as possible in the project cycle so that the views of affected groups can be taken into account in the design of the project and the mitigation measures. The consultation process will continue during project implementation so as to respond to any environmental issues arise.

For category A projects, the Borrower will ensure that consultation takes place at least twice: (i) once during the early stages of EIA field work; and (ii) once when the draft EIA is available, and prior to loan appraisal by ADB. The consultation process needed to be documented in the EIA and SEIA reports.

For category C projects, no public consultation will take place as no EA is required. For category F1 project, same public consultation requirement of category A and category B projects apply, depending on the extent of environmental impacts.

If public consultation has been completed prior to ADB involvement, then ADB and other sponsors will agree on a supplemental public consultation and disclosure program to meet the requirements of OM Section 20.

Information Disclosure

Environmental Assessment Reports for ADB projects can be accessed by interested parties and the general public. The SIEE and SEIA reports are required to be circulated worldwide, through the depository library system and on the ADB website. While the full EIA or IEE reports are made available upon requests. ADB’s “120 day rule” expects the SEIA and the SIEE to be available to the general public at least 120 days before ADB’s Board of Directors considers the loan, or in relevant cases, before approval of significant changes in project scope or subprojects. This rule is applied to all public and private sector loans.

To facilitate public consultation, the Borrower will provide information on the project’s environmental issue in a form and language(s) accessible to those being consulted.

Implementation and Supervision

Project implementation commences after the loan is declared effective, and includes the preparation of detailed engineering designs and tender documents, construction of project facilities or physical development of construction sites, and testing and commissioning of project facilities and procurement materials.

For category A and category B projects, environmental covenants should be observed and be checked during the Inception Mission. Also, the findings and recommendations from environmental assessment should be incorporated into the project administration memorandum, (a document that contains project data and information project data and information that allows the Borrower, executing agency implementing agency, and ADB to monitor project implementation and evaluate project impact) detailed engineering designs, and tender documents.

The Environmental Management Plan’s effectiveness is constantly monitored and evaluated by ADB; any deficiencies are corrected in a timely manner. During the review missions, the ADB reviews executing agency’s progress and performance of the Environmental Management Plan. If necessary, an independent panel is created to undertake the review missions. During the midterm review mission, a major review of project environmental performance is conducted.

Completion and Post-Evaluation

The responsible regional department documents the actual environmental impacts of the project and the success of the Environmental Management Plan properly in a Project/Program Completion Report.

The report includes:

· a concise history of the environmental aspects of the project to completion,

· an evaluation of the implementation of the Environmental Management Plan and environmental loan covenants

· an assessment of the performance of the executing agency

For selected projects, the ADB’s Operation Evaluation Department will prepare project/program performance audit reports to analyze the effectiveness of the Environmental Management Plan to achieve its intended target. ADB Operation Evaluation Department will only conduct independent evaluation for a selection of completed public and private sector projects/program for which Project Completion Reports are available and chosen using stratified random sampling.   The Operation Evaluation Department will also assess the project/program completion report of its adequacy and integrity.

C. Process Flow Chart

Figure 7.5.2.1.        Process flow chart for EIA for plans

D. Summary Table

Table 7.5.2.1.                Summary Table for Asian Development Bank

Urban Development Policy and Actions
Policy and Actions	Urban Sector Strategy Bank Policy
Legislations / Guidance and Relevant Document  *	Operational Procedures (OP) Operations Manual (OM) Section 22: Project Performance Management System (PPMS)
Environmental Evaluations / SEA Status in Urban Development Policy and Actions
	Administrative	Statutory
Type of Assessment	Strategic Environmental assessments	N/A
Requirement Mechanism	Administrative Mechanisms	N/A
Legislations / Guidance and Relevant Document *	Environmental Policy Operations Manual (OM) Section 20: Environmental Considerations in ADB Operations Environmental Assessment Guidelines	N/A
Applications	All loans and investments projects	N/A

7.5.2.3 Analysis and Conclusion

Urban Planning Policies

The urban sector, unlike other traditional sectors, cross cuts multiple development objectives like poverty reduction, quality of life, gender and development, and urban governance. One urban development operation can touch upon a lot of ADB’s Operations Manual sections. Therefore, Asian Development Bank does not have an encompassing policy to govern urban development projects. However, ADB adopts a comprehensive Project Performance Management system (PPMS) to evaluate and monitor project progress. This system involves constant checking on project implementation progress and achievement assessment. After the project is completed, both ADB and executing agency have to hand in the Project completion report. And the Operations Evaluation Department conducts independent evaluations on a sample of urban development project.

Different from a country, Asian Developing Bank is an international institution which provides loans, technical assistance, grants, advice, and knowledge to borrowers to its member countries to reduce poverty and improve the quality of life of their people. Therefore, only administrative mechanism is adopted rather than statutory or non-statutory mechanism.

Environmental evaluation / SEA

Under the Environmental Policy and Operations Manual (OM) Section 20: Environmental Considerations in ADB Operations, ADB integrates environmental considerations across all its operations. The significance of the environmental concerns in ADB activities is illustrated by Country Environmental Analysis and Environmental Assessment (EA) for all types of loans and investments.

The Country Environmental Analysis facilitates developing member countries (DMC) in making decision on environmental constraints, needs, and opportunities in the country. EA for all types of loans and investments follow the procedures stated in the Environmental Assessment Guidelines. First, all loans and investments projects are classified into four categories, namely Category A, B, C and F1 according to their most sensitive components. Category A projects refer to projects that are likely to have adverse environmental impacts while category B refer to projects that are judged to have some adverse environmental impacts, but of less significance than those for category A projects. Environmental assessment reporting, preceded by scoping, should be conducted for both categories, but a more in-depth analysis should be carried out for Category A. The entire environmental assessment process features public consultation and information disclosure.

During project implementation, the effectiveness of Environmental Management Plan, a product of Environment Assessment, is constantly monitored and evaluated by ADB and the executing agency. After the project’s completion, a Project/Program Completion Report is prepared to document the entire process of the project, evaluate the Environmental Management Plan and assess the executing agency by the ADB responsible regional department.

7.5.2.4 Project Examples

Example 1	Environmental Assessment Report- Kingdom of Tonga: Integrated Urban Development Project
Description of the Study	The overall objective of the Integrated Urban Development Sector Project (IUDSP) is to improve rundown infrastructure assets identified during the IUDSP consultation process. All of the subprojects, locating in urban areas surrounding Nuku’alofa, involve minor civil work. This project is estimated to cost US$14.68 million, of which ADB will finance $11.32 million. Ministry of Work in the Kingdom of Tonga is the executing agency and a project management, design and supervision consultant through a project management unit (PMU) within the ministry will undertake the project. Project was commenced in December 2007 and will continue for 3 years. There are seven core subprojects in the IUDSP: Drainage Work: · Central District Drainage System Cleaning and Repair · Sopu Drainage Channel · Road Rehabilitation Work · Taufa’ajau Road Upgrade · Alaivahamma’o Road Upgrade · Vaha’akolo Road Upgrade · Popua and Sopu Roads · Ground Water Monitoring · Installation of monitoring wells
Process of the Study	Before the preparation, ADB categorized IUDSP as category B (i.e. judged to have some adverse environmental impacts, but of lesser degree than category A). ADB requires the Ministry of Work to prepare an initial environmental examination (IEE). Environmental Management and Monitoring Plan All of the subprojects are assessed in accordance with the Kingdom of Tonga’s environmental laws and regulations and ADB’s environmental assessment guidelines. The major environmental impact of the project is the intrusion of environmentally sensitive areas and lagoons in the low-lying area of Nuku’alofa. Therefore, a series of mitigation measures have been identified in the Environmental Management and Monitoring Plan. Major mitigation measures during construction: · avoid major construction in the environmentally lagoon and foreshore areas · excavate and remove road sub-base and incompetent channel material to approved waste material dump sites · supervise haulage of construction materials so dust and community road safety risk are minimized · develop a quarry plan Mitigation measures during Operation · Adopt a regular maintenance schedule for cleaning the road drainage system (including grass cutting, pothole patching and shoulder repairs) Public Consultation and Information Disclosure Extensive public consultation was held throughout the assessment process. Private sector, nongovernment organizations, the church, women’s and youth groups and the broader community were able to express their ideas. This results in overall strong public support for and agreement about the Project. Monitoring Since there was no environmental management unit or environment officer within the Ministry of Work before the Project, an environment and social unit within the Ministry was established to be responsible for environmental compliance requirements.
Outcome of the Study	The IUDSP is classified as category B. Initial environmental assessment concluded that the Project will not result in any direct or indirect significant adverse environmental impacts. Since all impacts can be satisfactorily mitigated and an environmental management and monitoring plan which contains substantial mitigation measures has been prepared  therefore, a full environmental impact assessment is not warranted. An environmental assessment review framework has been prepared to guide the implementation of the subsequent subprojects under the sector project.

Example 2	A Strategic Environmental Assessment of Fiji’s Tourism Development Plan
Description of the Study	The ADB, in cooperation with the Government of New Zealand, formulates the Pacific Regional Environmental Strategy in 2003. The Strategy reviews major environmental challenges in the region and guides future ADB assistance in Asia Pacific. Since tourism is the fastest growing industry in Fiji and a mid-term review of the Tourism Development Plan (herein after ‘plan’) was planned for 2003, ADB decided to form a partnership with the World Wide Fund for Nature-South Pacific Programme to conduct a ‘Strategic Environmental Assessment (SEA) of Fiji’s Tourism Development Plan’. The assessment was carried out in March and April 2003.
Process of the Study	The project team is formed by a team leader, SEA expert Roger Levett (Levett-Therivel consultants), a socio-economist Richard McNally (World Wide Fund) and a tourism specialist Manoa Malani (Ministry of Tourism). The team was responsible for compiling relevant data and information, conducting public meetings and relevant consultation; and writing the SEA reports. This project uses the European Union Directive 2001 as the basis of the SEA even though the Directive has no legal force in Fiji, but it provides a framework for what SEA is and how it should be done. The dialogue among stakeholders is critical to the success of SEA. Hence, a consultation strategy was devised early on to ensure that stakeholders could participate in the assessment in an effective way. An important part of the consultation strategy is the formation of an Advisory Group. This group, formed by representatives from World Wide Fund for Nature-South Pacific Programme, the Tourism Industry, the Ministry of Tourism and Transport, the Ministry of Local Government, Housing and Environment, and the Fiji Visitors Bureau, reviews the major activities of the project team and give due guidance. This group ensures transparent participation of the entire tourism sector. SEA Stages: · Identify relevant plans and programmes and their relation to Fiji’s Tourism Development Plan · Devise draft SEA objectives, indicators and targets; collect baseline data, including data on likely trends, issues and constraints · Identify (more sustainable) options for dealing with the plan issues · Prepare Scoping Report; Consult relevant stakeholders · Assess the plan options’ effect against the SEA objectives, and their consistency with other relevant plans and programmes; choose preferred option; propose mitigation measures · Screen the policies and proposals of the chosen plan; assess their effect on the SEA objectives; propose mitigation measures including links to EIA · Propose SEA monitoring · Prepare the Environmental Report to accompany the draft plan; Consult relevant stakeholders · Take consultation results into account
Outcome of the Study	The SEA provides the environmental and social elements of the mid-term review and the results of the assessment are integrated into the Tourism Plan as well as into other national and sector development policy, plans and programs.

7.5.2.5 List of References

· Operation Manual Section 20: Environmental Considerations in ADB Operations , http://www.adb.org/documents/manuals/operations/om20.asp

· Operation Manual Section 22: Project Performance Management System, http://www.adb.org/documents/manuals/operations/om22.asp

· Environmental Assessment Guideline, http://www.adb.org/Documents/Guidelines/Environmental_Assessment/Environmental_Assessment_Guidelines.pdf

· Urban Sector Strategy, http://www.adb.org/Documents/Policies/Urban_Sector/urban0000.asp?p=policies

· Environmental Assessment Report: Kingdom of Tonga: Integrated Urban Development Sector Project , http://aid.dfat.gov.au/countries/pacific/tonga/Documents/nukualofa-urban-development-project-report-and-recommendations.pdf

· Strategic Environmental Assessment of Fiji’s Tourism Development Plan, http://www.adb.org/projects/pres/pres_case_05.pdf

7.5.3 Inter-American Development Bank

7.5.3.1 Urban Development Policies and Actions

A. Regulatory mechanisms

The Inter-American Development Bank (IADB) aims to promote economic growth and achieve high level of human development in its member countries in the Latin American and Caribbean region. Urban Development is one of the topic areas that IADB dedicates to work on. Urban Development is divided into 7 areas, namely Heritage Preservation, Housing & Mortgage Finance, Municipal Development & Public Property, Neighbourhood Upgrading, Public Spaces, Sub-national Development, Tourism and Urban Infrastructure. All the Urban Development policies and actions are governed by Urban and Housing Development Sectoral Operational Policies.

The Urban population in Latin America and Caribbean region undergoes exponential growth, with the problem of overcrowding and concentrated economic activity. The region is also strained by the growing demand for economic infrastructure and social service. Therefore, IADB provides loans and technical assistance operations to projects that contribute to developing the capacity of the member countries to respond to the challenge of rapid urbanization. 

In order to be eligible for loans and technical cooperation from IADB, urban development projects, may be sectoral or multi-sectoral, have to belong to the following fields of activity or combination thereof:

· Provision of Infrastructure

· Generation of income and productive employment

· Strengthening of urban development institutions and instruments

Urban development is by nature multi-sectoral. It includes economically productive and social aspects, as well as those relating to institutional organization and the provision of basic services. Therefore, Urban and Housing Development Sectoral Operational Policies is complemented by other Bank policies, particularly by the sectoral operational policies on industrial development, transport, and social infrastructure, which contain specific criteria to guide the Bank’s action in these respective sectors. Apart from that, urban development is administrated according to the Bank’s General Operational policies which regulate the terms and conditions that are common to all Bank's operation. For instance, all projects need to refer to the General Operational policies for eligibility criteria, forms of bank financing and assistance for the mobilization of financial resources and guarantees from borrowers. While the financial aspect of urban development is administrated according to the Financial Operational policies which establish the sources of financing for loans, the purpose and use of each of the Bank's funds, and the terms and conditions for operations in each case.

B. Overview of evaluation approach

The IADB has a number of committees and mechanisms to ensure sufficient oversight for its project both before approval and during implementation. They include mechanisms for financial and administrative oversight, as well as review of environmental and social impacts.

Several management committees serve as checkpoints in the IADB’s project approval process. Among them are the Management Review Committee, which reviews all documents for a particular project or programming exercise and clears the operation for review by the Loan Committee and the Loan Committee, which reviews project profiles, loan proposals and project preparation facility operations.

Mechanism for administrative and financial oversight:

IADB generally requires external audits of financial statements for project executing entities and the projects themselves throughout the execution period of the project, until all project funds have been disbursed.

Audits are conducted to verify that resources were received from various sources (IADB funds, local counterpart, and other financing); that those resources were used appropriately, in accordance with the chart of accounts approved by IADB for project execution; that the project executing agency complied with financial contractual clauses; and that appropriate internal control procedures were in place.

For loans to the private sector, the Bank normally requires the presentation of audited financial statements during the life of the loan.

The Bank’s Disbursements and External Audit Office oversees compliance with the IADB’s external audit requirements.

Mechanism for Environmental and Social oversight:

IADB observes the environmental and social impacts of IADB-financed operations at every stage during the project cycle.

The IDB reviews the environmental, social and cultural viability of Bank operations and ensures that appropriate preventive or corrective measures are incorporated, where necessary. It focuses on the following issues:

· The Adequacy of environmental and sociocultural protection, mitigation and enhancement measures.

· The Regulatory and management frameworks for environmental and social issues.

· Rights of Indigenous, Afro-descendant and vulnerable groups, and community development issues.

· Involuntary resettlement.

· Consultation and participation requirements.

· Gender considerations.

· Occupational safety and health issues.

The Office of Evaluation and Oversight (OVE), independent of IADB’s management, is responsible for conducting evaluations for IADB operations and overseeing the Bank's internal monitoring and evaluation system, processes and instruments. Thus, urban development policies and actions are evaluated by OVE.

Urban Development can be evaluated under Country Program, policy and instrument, sector and thematic, or Ex-post Performance and Sustainability Assessments. 

Country Program Evaluation (CPE)

CPE reviews the recent historical experience of the Bank with an individual country in order to improve the planning and goal-setting capacity of the Bank, as well as to evaluate progress towards achieving country program objectives. Working from the conclusions of the Organization for Economic Co-operation and Development, Development Assistance Committee Working Group on Aid Evaluation and Evaluation Cooperation Group of the Multilateral Development Bank, OVE prepared the Protocol on Conduct on Country Program Evaluations. In the Protocol, IADB stipulates the 4-steps methodology for CPE.

1. Scoping

CPEs are intended to cover the full content of the Bank’s program of engagement with the country over the relevant time period, which will usually cover two to three programming cycles.  It should address not only loans and technical assistance activities, but also non-financial products such as research, policy dialogue, and the processes used in addressing issues in the execution of the program. CPE should take no more than 9 months from start to finish.

2. Data collection

CPEs should be based primarily upon review of relevant IADB documents, such as loans, country reports, programming mission reports and portfolio review exercises. This will be complemented by a literature review focusing on published research on the country concerned and a review of all official government documents related to developing planning and policy. First hand information like interviews with Bank and country officials, focus group interviews and informal questionnaires will be collected as well.

3. Reporting

The CPE should be around 25 pages, with supporting data and analysis contained in annexes. The report should have four major chapters, the first two dealing with diagnosis and programming, the third dealing with program execution, and the fourth addressing the issue of results achieved.

4. Evaluation Execution

All CPEs should be initiated with a round of consultations between OVE, Bank Management and country officials. The CPE first draft prepared by OVE will be reviewed by both Management and the country evaluation coordinator. After that, OVE will incorporate the comments on lessons for the future and produce the second draft. The second draft will be sent to both Bank Management and country authorities. The final CPE will be sent to the Board of Executive Directors together with official review of both Bank Management and country authorities.

Policy and Instrument Evaluation

OVE evaluates IADB policies and instruments on a periodic basis to determine their relevance and effectiveness. Policy evaluations may be ex-post or in-process evaluations of a sample of Bank projects relating to an explicit Bank policy. They address both the results of the projects and the value of the strategic approach being implemented by the Bank. Policy and instrument evaluations may also examine the Bank’s non-financial development activities as well as corporate issues.

Sector and thematic Evaluation

Like policy evaluations, sector and thematic evaluations are conducted on a sample of projects in a particular sector, such as the urban and housing development, or relating to a specific theme of Bank lending where there is a high probability of learning lessons relevant for the design of future operations.

Ex-post Performance and Sustainability Assessments

Ex-post Performance and Sustainability Assessments are designed to evaluate project performance and assess sustainability two to three years after Bank support ends. These assessments allow IADB to evaluate the models underlying project design and determine whether to replicate interventions of evaluated themes in other countries.

Provide details about the operational policies, so that readers would know how IADB makes the judgement of providing loans and technical assistance operations to projects. Highlight what areas will they evaluate the importance of a project, as well as the process of evaluation.

7.5.3.2   Environmental Evaluation / SEA in Urban Development

A. Regulatory mechanisms

Statutory mechanism

 There is no statutory mechanism for SEA in urban development in IADB.

Administrative mechanism

IADB, being the first Multilateral Development Bank to adopt an Environment Policy in 1979, has been actively promoting environmental quality and sustainable development in the region. In 2003, the Board of Executive Directors endorsed the new Environment Strategy which steers the institution towards enhancing sustainability outcomes, particularly by mainstreaming environment as a cross-cutting dimension of social and sustainable development. Thus, the Environment Strategy provides the framework and endorsement for using SEA in Bank projects.

The Environment and Safeguards Compliance Policy, issued on January 2006, provides the necessary directives to put the Environment Strategy into operation and reinforce key priorities stated in the Strategy and the Eighth Replenishment which outlines the four main priorities for IADB operations. The main priorities are : poverty reduction and social equity, environmentally sustainable growth, modernization of the state and regional integration . The specific objectives of the Policy are: (i) to enhance long-term development benefits to its members countries by integrating environmental sustainability outcomes in all Bank operations and activities and strengthening environmental management capacities in its borrowing member countries; (ii) to ensure that all Bank operations and activities are environmentally sustainable as defined in this Policy, and (iii) to foster corporate environmental responsibility within the Bank. The Bank will act to achieve these objectives by adopting measures to mainstream the environment into overall economic and social development, and to safeguard the environment in all Bank activities.

This policy applies to all financial and non-financial products of the IADB and Multilateral Investment Fund (part of the IADB and promotes private sector growth through grants and investments), public and private sector operations, as well as environmental aspects of the Bank’s project procurement practices and management of its own facilities. Therefore, urban development conducted by IADB will also be governed by this policy.

Conditional Credit Line for Investment Projects (CCLIP) is a new lending instrument approved by the Board in 2003 in response to the mandate of the Eight Replenishment that all operations of IADB must be environmentally and socially sustainable. CCLIP Environmental Procedures and SEA guidance, approved in 2004, provides guidelines for preparation of SEA adapted to the characteristics of CCLIP. Urban development projects can apply for funding through CCLIP.

B. Evaluation methodologies

Administrative mechanism

All IADB-financed operations will be screened and classified according to their potential environmental benefits.

Screening and Classification

l Any operation that is likely to cause significant negative environmental and associated social impacts, or have found implications affecting natural resources, will be classified as Category A. These operations will require an environmental assessment, normally an EIA for investment operations, or other environmental assessments such as a SEA for programs and other financial operations that involve plans and policies.

l Operations that are likely to cause mostly local and short-term negative environmental and associated social impacts and for which effective mitigation measures are readily available will be classified as category B. These operations will normally be required to conduct an environmental and/or social analysis, according to and focusing on, the specific issues identified in the screening process, and an environmental and social management plan (ESMP).

l Operations that are likely to cause minimal or no negative environmental and associated social impacts will be classified as Category C. These operations do not require an environmental or social analysis beyond the screening and classification process.

Environmental Assessment Requirement

Borrowers will be responsible for preparing environmental assessments and associated management plans and their implementation. In the Environment and Safeguards Compliance Policy, specified standards for EIA, SEA and ESMP are defined.

The EIA process includes, as a minimum:

· screening and scoping for impacts;

· timely and adequate consultation and information dissemination process; and

· examination of alternatives including a no project scenario

An EIA report must be prepared with its ESMP and disclosed to the public prior to the analysis mission, consistent with the Disclosure of Information Policy.

The SEA process includes:

· identifying the main environmental risks and opportunities of policies, plans or programs

· engaging early-on governments and potential affected parties in the identification and analysis of strategic issues, actions, development objectives

· defining and agreeing on a sequence of actions to address systematically and strategically environmental issues and priority actions, summarized in a SEA action plan for adequate monitoring and follow up; and

· collecting adequate environmental information for decision making

The ESMP must include:

· a presentation of the key direct and indirect impacts and risks of proposed operation;

· the design of the proposed social/environmental measures to avoid, minimize, compensate and/or mitigate the key direct and indirect impacts and risks;

· the institutional responsibilities to implement these measures, including, where necessary, institutional development, capacity building and training;

· the schedule and budget allocated for the implementation and management of such measures; the consultation or participation program agreed for the operation,

· the framework for the monitoring of social and environmental impacts and risks throughout the execution of the operation, including clearly defined indicators, monitoring schedules, responsibilities and costs.

The ESMP should be ready for and reviewed during the analysis or due diligence mission.

Methodology of SEA for the CCLIP

The methodology for SEA is based on a six-step process.

Step 1: Understanding the Credit Line proposal

· Understand the objectives of the credit line and the scope and nature of individual loan operations to be financed under the credit-line

· Analyze past performance of previous similar operations

· Compare the proposed investments with past experience

· Identify expected environmental and social risks and opportunities, sectoral links and potential challenges for the investment

Step 2: Setting the context for SEA

· Review the relevant Bank policy framework, and national, legal and permit requirements (on environmental, socio-cultural and sustainability issues) for the CCLIP, considering the objectives of the credit line and the investment to be financed under the credit line (nature and scope)

· Establish the objectives of the SEA for the credit line

· Estimate information needs, sources, availabilities for the SEA

· Identify relevant stakeholders

· Consider institutional framework and responsibilities, needs and timing for key stakeholders’ participation, timing of credit line preparation related to the individual loan operations and required SEA inputs (Rewrite for grammar)

Step 3: Defining a participatory approach

· Assess the need for, and the scope of information, consultation and participation needs

· Establish mechanisms that will enhance communication capacities adapted to the characteristics of the identified stakeholders

Step 4: Scoping major issues and alternatives

· Identify past environmental and social impacts or problems based on previous similar operations executed by the executing agency

· Check for public and institutional major concerns, conduct consultations as appropriate

· Identify major potential environmental and social outcomes including possible direct, indirect and cumulative impacts

· Identify the expected environmental and social outcomes and related indicators for good environmental and social performance

· Consider scenarios by types of planned initiatives, and develop possible alternatives that meet the objectives of the CCLIP proposal

Step 5: Assessing environmental and social outcomes and benefits

· Establish adequate environmental and social assessment criteria by type of investment to be financed under the credit line

· Consult and interact with the appropriate and relevant stakeholders

· Assess impacts and opportunities of the different alternative scenarios, with reference to a preferred scenario

· Assess the proposed CCLIP, consider the problems identified, the expected opportunities and the added-value, identify the risks for potential environmental and social impacts and cumulative impacts

· Identify forms of improvement of the proposal that overcome identified problems and enhance opportunities

Step 6: Establishing a program for subsequent action

· Present the key direct and indirect social/environmental impacts or risks for each type of investment financed under the credit line

· Present the general social/environmental processes or measures to avoid, minimize and mitigate the key direct and indirect impacts or risks identified above

· Establish the institutional responsibilities to implement these measures

· Establish the general schedule and budget proposed for the implementation and management of social/environmental measures under the individual loan operations

· Establish the consultation or participation efforts needed and the information disclosure requirements for the individual loan operation, as required

· Establish the framework for the monitoring of social and environmental impacts throughout the execution of the individual loan operations, including clearly defined performance indicators, monitoring schedules, responsibilities and costs, to be further detailed for each individual loan operation

· Establish feedback mechanisms: use indicators to assess performance, including the institutional performance of the executing agency

Consultations

Consultation with affected parties and consideration of their views are required for category A and B operations. For category A operations, consultations will be conducted at least twice per year during project preparation, during the scoping phase of the environmental assessment or due diligence process, and during the review of the assessment reports. For category B operations, affected parties must be consulted at least once, preferably during the preparation or review of the ESMP, as agreed with the borrower.

Supervision and Compliance

IADB will monitor the executing agency/ borrower’s compliance with all safeguard requirements stipulated in the loan agreement and project operating or credit regulations for all categories projects. Compliance with safeguard commitments and identification of unexpected safeguard issues will be analyzed, reviewed and reported as part of the Bank’s administration and portfolio review missions. Category A projects will be reviewed at least annually. Whenever ex-post evaluations are conducted, these will evaluate the sustainability outcomes of an operation.

C. Process Flow Chart

Figure 7.5.3.1.        Process flow chart for SEA

D. Summary Table

Table 7.5.3.1.                Summary Table for Inter-American Development Bank

Urban Development Policy and Actions
Policy and Actions	Urban and Housing Development sectoral operational policies
Legislations / Guidance and Relevant Document  *	General Operational policies Financial Operational policies
Environmental Evaluations / SEA Status in Urban Development Policy and Actions
	Administrative	Statutory
Type of Assessment	SEA	N/A
Requirement Mechanism	Administrative mechanism	N/A
Legislations / Guidance and Relevant Document *	Environment Strategy Environment and Safeguards Compliance Policy Conditional Credit Line for Investment Projects	N/A
Applications	Policy, plans and programmes	N/A

7.5.3.3 Analysis and Conclusion

Urban Planning Policies

Urban development and housing is one of the areas that the Inter-American Development Bank focuses on to promote economic growth and development in the Latin American and Caribbean region. The region is experiencing rapid urbanization and suffers from the associated problems of overcrowding and inadequate economic structure and social service. IADB provides loans and technical assistance to projects that provide infrastructure, generate income and jobs and strengthen urban institutions. Urban development is by-nature multi-sectoral. Not only is it governed by Urban and Housing Development sectoral operational policies, it is also governed by sectoral operational policies on industrial development, transport, and social infrastructure. Same as all the other IADB operations, urban development projects are evaluated by the Office of Oversight and Evaluation and can be evaluated under Country Program, policy and instrument, sector and thematic, or Ex-post Performance and Sustainability Assessments. 

Unlike a country, IADB is an international institution which provides loans, technical assistance, grants, advice, and knowledge to borrowers to its member countries. Therefore, only administrative mechanism is adopted rather than statutory or non-statutory mechanism.

Environmental evaluation / SEA

In 2003, the new Environment Strategy mandated IADB to ensure sustainability through environmental mainstreaming and environmental safeguard. The Environment and Safeguards Compliance Policy, issued in January 2006, provides directives to put the Strategy into action. The Policy required all IADB-financed operations to be screened and classified according to their potential environmental benefits. Operations are classified into 3 categories, category A for operations that are likely to cause significant negative impact to the environment, category B for operations that are likely to cause mostly local and short-term environmental impact, category C for operations that are likely to cause minimal or no negative environmental and associated social impacts. Category A operations normally require an EIA for investment operations, or other environmental impact assessments such as an SEA while category B requires an environmental and/or social analysis and an environmental and social management plan.

The CCLIP Environmental Procedures and SEA guidance outlines a 6 step process for SEA. The process includes understanding the credit line proposal, setting the context for SEA, defining a participatory approach, scoping major issues and alternatives, assessing environmental and social outcomes and benefits and establishing a program for subsequent action. Consultations with stakeholders are required throughout the SEA process and other environmental assessment process. Operations will be periodically reviewed with respect to compliance with safeguard requirements.

7.5.3.4 Project Examples

Example 1	Strategic Environmental Studies for Guyana and Suriname
Description of the Study	Guyana and Suriname are small Caribbean economies, located on the north-eastern shore of the South American continent. They both rely primarily on agriculture and commodity exports. The two nations share the same environmental concerns of deforestation, mining-related pollution of water especially by mercury and sediments, sanitation and disposal of solid and liquid wastes, water pollution, and excessive use of agricultural chemicals, over-fishing and degradation of the coastal zone. Although IADB has supported the Environmental Protection Agency in Guyana and the Suriname National Institute for Environment and Development, the two countries lack a regulatory operational framework for environmental management. The goal of this technical cooperation is to contribute to the environmental management of Guyana and Suriname through the development of strategic environmental studies that contribute to the sustainability of the infrastructure programs in preparation and the establishment of a framework for IADB operations in the two countries. One of the components of this technical cooperation is the preparation of a strategic environmental impact assessment for the planned infrastructure projects, particularly those related to the Integracion de la Infrastructural Regional Sudamericanna. The project is approved on 11 Oct 2006.
Process of the Study	The preparation of the SEA focused on planned infrastructure projects for Guyana and Suriname involved: 1. Identification and analysis of the major development initiatives in both countries focusing primarily on the Integracion de la Infrastructural Regional Sudamericanna 2. Assessment of the state of the socio-cultural and biophysical environment in Guyana and Suriname related to these development initiatives as described previously 3. Completion of a screening, scoping and impact analysis 4. Completion of a representative public consultation of the potential affected population 5. Identification of the potential environmental and social impacts, including impacts on biodiversity, indigenous populations and fragile ecosystems, and institutional constraints, including planning and decision making limitation 6. Design and prioritization of the specific measures necessary to mitigate the identified social and environmental impacts and the respective monitoring plan and baseline
Outcome of the Study	The findings are incorporated into an action plan that includes management alternatives and a monitoring plan with baseline and mitigation measures to achieve the program’s sustainability.

Example 2	Strategic Environmental Assessment of the Northern Corridor La Paz-Guayaramerín
Description of the Study	The new government of Bolivia aims to create jobs in the country. One of the backbone programs to create jobs is the ‘Victor Paz Estenssoro highway’ which will eventually link Brazil’s Matto Grosso and Peru towards the North with Argentina towards the South, and will also connect the department capitals of La Paz, Beni, Pando, Oruro and Tarija. And the Northern Corridor from La Paz to Guayaramerín and Cobija is a major section of this highway. The Corridor crosses area that is characterized by extreme topographical conditions, with a great diversity in climate and geography, and with the presence of numerous indigenous and ethnical minority communities.  An SEA is to ensure sustainable development for the Northern Corridor. This project is approved on 26 Nov 2003 and the total cost is USD 1,100,000. In order to maximize Bolivia’s involvement, the executing agency will be the Servicio Nacional de Caminos. It will be responsible for the coordination and execution of the Program, so that it will provide follow-up to the study, verify compliance with the work program, evaluate and recommend to IADB the approval or rejection, from a technical standpoint, of partial and final reports. The SEA will be carried out by a firm specialized in environmental management and planning to be contracted through an international bidding process.
Process of the Study	The SEA consists of five stages: 1. Defining scope and retrieval of existing baseline information 2. Identifying and evaluating impacts which  include an ample consultation process and collection of any additional information required 3. Preparing detailed reports for the SEA of the direct and indirect areas of influence of the project 4. Preparing strategic social and environmental management plans 5. Consultation and review of results and presentation of final reports Interaction with the different stakeholder groups is to be held throughout the study as necessary.
Outcome of the Study	The study has been carried out since 2003.

7.5.3.5 List of References

· Environment Strategy documents, http://idbdocs.iadb.org/wsdocs/getdocument.aspx?docnum=354272

· Urban and Housing Development, Sectoral Operational Policies, http://www.iadb.org/en/about-us/urban-and-housing-development,6228.html

· Environment and Safeguards compliance policy, IADB, http://idbdocs.iadb.org/wsdocs/getDocument.aspx?DOCNUM=665902

· Urban Development, http://www.iadb.org/topics/Home.cfm?topicID=DU&parid=2&language=English

· Urban Development, Social Development and Public Governance, http://www.iadb.org//sds/SOC/site_15_e.htm

· Office of Evaluation and Oversight, http://www.iadb.org/ove/Default.aspx?Action=WUCPublicationHighlights@aboutUs

· General Operational Policies , http://www.iadb.org/exr/pic/VII/operational_policies.cfm?language=English

· Protocol on the Conduct of Country Program Evaluations, http://enet.iadb.org/idbdocswebservices/idbdocsInternet/IADBPublicDoc.aspx?DOCNUM=412391

· Strategic Environmental Studies for Guyana and Suriname, http://www.iadb.org/projects/Project.cfm?project=RS-T1239&Language=English

· Strategic Environmental Assessment of the Northern Corridor La Paz-Guayaramerín, http://www.iadb.org/projects/Project.cfm?project=TC0210054&Language=English

· Conditional Credit Line for Investment Projects,  http://www.iadb.org/sds/doc/CCLIP_Env_Procedures.pdf

7.5.4 United Nations Development Programme

7.5.4.1 Urban Development Policies and Actions

A. Regulatory mechanisms

United Nations Development Programme, as the United Nation’s global development network, dedicates to help countries build and share solutions to the challenges of: 1. Democratic Governance 2. Poverty Reduction 3. Crisis Prevention and Recovery 4. Environment and Energy 5. HIV/AIDS. Urban/rural development is considered as a means to achieve democratic governance. In practise, urban/rural development, together with decentralization and local governance, is encompassed by the framework of decentralised governance for development.

Over the past decade, UNDP increasingly supports operations related to decentralised governance for development. UNDP supports at least 300 urban targeted initiatives at the global, national and city levels at total cost of over $400 million. One example would be the Local Initiative Facility for Urban Environment, which is a UNDP global flagship programme to promote local-local dialogue, improve the living conditions of the urban poor and influence policies for participatory local governance.

Even though UNDP recognizes the importance of urban development, there is no comprehensive system to govern urban development policies and actions.

In “Decentralized Governance for Development: A Combined Practice note on Decentralization, Local Governance, and Urban/Rural Development”, UNDP areas of work in urban development includes:

· Capacity development

1. Support to reform and restructuring of local authorities and decentralization
2. Improvement of revenue generation and financial management
3. Community, household, women’s empowering to participate in decision-making

· Public sector management and urban planning

1. Reform of land use legislation for enhanced local tax base and pro-poor approaches
2. Integration of macro and micro strategies
3. Strengthening of urban-rural relations

· Sustainable livelihoods

1. Reducing institutional barriers to informal sector activities
2. Promotion of linkages between formal and informal sector activities
3. Reducing gender inequality in access to credit, housing and basic services
4. Promotion of income generation activities

· Living environment

1. Implementation of Local Agenda 21
2. Resource conservation and recycling
3. Promotion of renewable energy
4. Improvement of basic services
5. Local consultations on environmental development in slum areas

In the area of decentralized governance for development, UNDP is considered as an honest broker and a reliable partner regarding its strong commitment to human development philosophy and human rights principles, expertise and knowledge networks. It also takes up the role of facilitator, supporting dialogue at national and local levels as a crucial step towards policy formulation. In general, UNDP acts as a topnotch adviser to governments in developing policy options.

B. Overview of evaluation approach

There is no specific evaluation approach designed for urban planning policies and actions in UNDP. All the programmes and projects (including urban development projects and programmes) undertaken by the UNDP must be monitored and systematically reported according to “Results-oriented Monitoring and Evaluation: A Handbook for Programme Managers” which was revised and approved by UNDP Executive Committee on 6 June 1997. UNDP believes that monitoring and evaluation must be continuously strengthened to enable (a) greater accountability in the use of resources, (b) a clearer basis for decision-making and (c) more practical lessons from experience to guide future development interventions. Monitoring and evaluation must be results-oriented and provide assessments of the relevance, performance and success of UNDP development interventions.

Although all UNDP’s projects and programmes are monitored, not all of them are evaluated. Evaluation of programmes and projects will be undertaken selectively based on the following set of criteria:

For mandatory evaluation

· Scale of resources: large scale programmes and project, i.e. those with budgets of $1 million or more

· Duration of technical cooperation: technical cooperation (channelled through various programmes and projects) that has been provided to a particular institution for ten years or more

For non-mandatory evaluation

· Nature of development intervention: innovative and strategic programmes and projects.

The Office of Evaluation and Strategic Planning is responsible for monitoring and reporting on the compliance rate for mandatory evaluations to the Administrator who then reports it, as part of the annual report, to the Executive Board.

Monitoring mechanism:

Programme and project managers and other stakeholders can adopt a variety of means to monitor a programme or project. There are five means suggested.

· Work Plans

The work plans should describe in detail the delivery of inputs, the activities to be conducts, and the expected results. They should also clearly indicate schedules and the persons and/or institutions responsible for providing the inputs and producing results. The works plans should serve as the basis for monitoring the progress of programme or project implementation.

· Field Visits

The visit must focus on interaction with target groups to obtain their views on how the programme or project is affecting them (directly or indirectly, positively or negatively) and their proposed solutions to perceived problems.

· Stakeholder Meetings

The objective of stakeholder meetings is conducted to involve the major stakeholders in addressing issues that pertain to the programmes or projects, thereby creating a sense of ownership. The Government plays a key role in identifying the stakeholders.

· Systematic Reporting during Implementation

The executing agency (the Government or United Nations specialized agency) must submit an annual report to UNDP on the relevance, performance and likelihood of success of the programme or project. These annual reports must feed into the annual and triennial reviews of the country cooperation framework.

· Terminal Reports

Upon completion of a programme or project, the executing agency must prepare a terminal report that focuses on the relevance and performance of the programme or project, the likelihood of its success and the initial lessons learned in terms of best and worst practises. In addition, recommendations for follow-up actions by appropriate institutions where necessary.

Evaluation mechanism:

The guidelines draw reference to different types of evaluations and they can be classified by agent, timing and scope. By agent, evaluation can be classified as internal or self-evaluation and external or independent evaluation. By Timing, evaluation can be conducted at the mid-point or at the end of programme or project implementation or two years or more after the completion of the programme or project. By scope, evaluation can be done on a single project, a cluster of projects or programmes addressing a particular theme, projects or programmes dealing with particular policy issues, or activities that are under the same management or fund such as the Global Environment Facility.

Country Portfolio Evaluation

A country portfolio evaluation is an assessment of the portfolio of development interventions supported by UNDP and the funds in association with UNDP in a particular country in any given five-year period. The portfolio should include programmes, projects, advocacy and other development-related activities, which aims to evaluate that all the development interventions supported by UNDP and the funds.

A country portfolio evaluation may be initiated by UNDP country office, a regional bureau, the Office of Evaluation and Strategic Planning and/or funds associated with UNDP, or it can be conducted as a joint evaluation by UNDP and the funds concerned. The evaluation may be undertaken in any year since it is not confined or linked to a specific programming period.

Regardless of who initiated the evaluation, the UNDP country office must be involved in its planning and organization and must consult the Government during the process. The evaluation itself must be conducted by a team of independent consultants.

7.5.4.2 Environmental Evaluation / SEA in Urban Development

A. Regulatory mechanisms

Administrative mechanism

UNDP assists countries to achieve the Millennium Development Goals (MDG) adopted in 2000. The Millennium Declaration reaffirms support for the principles of sustainable development, including those set out in Agenda 21 and agreed upon at the United Nations Conference on Environment and Development. MDG 7: Ensure Environmental Sustainability and Target 9 of MDG: to "integrate the principles of sustainable development into country policies and programmes, and reverse the loss of environmental resources" provides the impetus for introducing SEA into UNDP. UNDP identifies environmental mainstreaming and SEA as two of the three priory areas in sustainable development. Accordingly, energy and environment is implemented as one of the five practice area in UNDP. 

In 2004, UNDP’s Energy and Environment Group published the “UNDP Environmental Mainstreaming Strategy” which applies to all UNDP’s plans, projects and programmes.  According to the Strategy, Environmental mainstreaming is the integration of environmental considerations into UNDP’s policies, programming and operations to ensure the coherence and sustainability of UNDP’s mission and practices.

UNDP’s environmental mainstreaming approach involves integrating sustainability objectives into poverty reduction practices, building internal and external capacities, promoting regional environmental strategies, enhancing environmental soundness and sustainability of UNDP policies, programmes and operational processes, and improving the quality of environment programmes in achieving broader socioeconomic and human development goals. It goes far beyond the mere application of the conventional Environmental Impact Assessment (EIA) to each project, and is regarded as a key component of an institution’s broader environmental strategy. SEA is one of the important tools to achieve environmental mainstreaming as it influences policies and programmes at the earliest stage and build a traceable chain of evaluation and decision making.

However, UNDP does not require its country partners to conduct environmental assessments or SEA. It assists country partners in applying SEA voluntarily to improve the quality of the poverty reduction strategy process and drawing lessons from these experiences.

UNDP hosts the Strategic Environmental Assessment Network Website, which provides experts and practitioners with the opportunity to engage in dialogue and to further refine developments in SEA processes. Furthermore, UNDP is part of the OECD DAC ENVIRONET Task Team on SEA- a group of international experts which aims to engage in dialogue, exchange experiences and share resources. The Task Team produces the new OECD Guidance and Reference series “Apply Strategic Environmental Assessment: Good Practice Guidance for Development Cooperation". The guidance provides recommendations and a framework for the application of SEA to development co-operation based on emerging good practice.

B. Evaluation methodologies

Administrative mechanism

Chapter 4 of “Apply Strategic Environmental Assessment: Good Practice Guidance for Development Cooperation” sets out guiding principles and key generic steps for SEA as they have emerged from practice. The guidance emphasises the importance of institutional and government assessment and strengthening for SEA given that SEA is a continuous process.

The Guidance outlines 4 stages to implement SEA.

Stage 1: Establishing the context for SEA

· Review the need for the SEA, and initiate preparatory tasks

An early step in this SEA process is “screening”: to decide whether an SEA is appropriate and relevant in relation to the development of a policy, plan and programme (PPP) in the area under consideration.

· Identify interested and affected stakeholders and plan their involvement

A successful SEA requires the contributions of civil society, including the private sector and relevant stakeholders that will be affected by the proposed PPP to the strategic decision making. Thus, screening should include careful stakeholder analysis to identify stakeholders and prepare a communication plan to be used throughout the SEA. It is important to identify and engage those stakeholders who are the most exposed to environmental degradation. In general, the poor and vulnerable sections of the population are most affected by environmental change. To ensure all relevant knowledge is drawn on, both women and men should be included in this process.

Stage 2: Implementing the SEA

· Determine the scope of the SEA

A scoping process should establish the content of the SEA and the relevant criteria for assessment, pragmatically assessing how much can be achieved given the time-scale, available resources, and existing knowledge about key issues. The SEA should actively engage key stakeholders to identify significant issues associated with the proposal and the main alternatives. Based on these issues, the objectives of the SEA, decision criteria and suitable indicators’ of desired outcomes should be identified. Scoping may also recommend alternatives to be considered, suitable methods for analyses of key issues and sources of relevant data.

Scoping procedures and methods, such as matrices, overlays, and case comparisons, can be used to establish cause-effect links between different specific plans or programmes or to identify the environmental implications of more general policies or strategies.

· Establish participatory approaches to bring in relevant stakeholders (as part of the Scoping Process)

Public consultation processes will have to seek the best means to ensure that stakeholder groups identified as most affected by the proposed PPP can participate effectively and their viewpoints are given proper consideration. The identified stakeholder groups may be politically and or socially marginalised and have little or no prior experience in providing input to decision making. Thus, reaching stakeholders who may not have access to the internet, lack access to public libraries, speak a different language, are illiterate, have cultural differences or other characteristics that need to be taken into consideration when planning for their engagement is involved.

· Collect baseline information

SEA is based on a thorough understanding of the potentially affected environment and social systems. Research on ecological systems and services, their resilience and vulnerability, and significances for human well-being should be done. Existing environmental protection measures and/or objectives set out in international, national or regional legislative instruments should also be reviewed. The baseline data should resonate with the objectives and indicators identified earlier. In all cases, the counterfactual (or no-change scenario) should be specified in terms of the chosen indicators.

· Analyze the potential effects of the proposals and any alternatives

There is no single best method for impact analysis. Approaches should be selected that are appropriate to the issues at stake. The identification and evaluation of suitable options may be assisted by future “scenario building” and “back-casting methodologies”.

· Identify measures to enhance opportunities and mitigate adverse impacts

It is vital to focus on realising the positive opportunities of the planned activities and minimising any negative risks as this can generally enhance achievement of the MDGs and other development challenges. A mitigation hierarchy should be followed for identified negative impacts: first avoid; second reduce; and third offset adverse impacts- using appropriate measures.

Once mitigation has been taken into account, the significance of residual adverse impacts can be evaluated. This is an important measure of the environmental objectives and criteria.

· Draft report on the findings of the SEA

The report must be presented in an understandable format and appropriate language(s). This will often require short summaries and graphic presentations rather than a long report. A succinct, non-technical summary should be included for explaining the findings to civil society, which needs to be well-informed in order to submit comments.

· Provide an independent evaluation/ review (quality control check) on the SEA

In order to ensure the credibility of the assessment in the eyes of all stakeholders, an independent quality assurance might be warrant. Options to consider include:

· An independent review of SEA by experts or academics

· Internal audits by the Ministry of Environment, “sounding boards” or steering committee consisting of representatives of key stakeholders

· An independent expert commission

· Public engagement in reviewing the draft SEA report

The draft SEA report is a key stage and should be publicly available for a period of time agreed during the scoping stage. Focused meetings are preferred to ensure adequate time for comment, rather than larger meetings where few people have the opportunity to speak.

· Prepare final SEA report

Typically, this would include sections/chapters on:

· The key impacts for each alternative

· Stakeholder concerns including areas of agreement and disagreement, and recommendations for keeping stakeholders informed about implementation of recommendations

· The enhancement and mitigation measures proposed

· The rationale for suggesting any preferred option and accepting any significant trade-offs

· The proposed plan for implementation (including monitoring)

· The benefits that are anticipated and any outstanding issues that need to be resolved

· Guidance to focus and streamline any required subsequent SEA or EIA process for subsidiary, more specific undertakings such as local plans, more specific programmes and particular projects

Stage 3: Informing and influencing decision making

· Making recommendations to decision makers

The SEA team needs to address all the options open to decision makers, what the likely effects of choices are, and what the consequences would be if they failed to reach a decision when they make recommendations to decision makers. A clear, understandable and concise Briefing Note or Issues Paper can help to ensure that decision makers are fully aware of key environmental issues linked to the PPP.

Stage 4: Monitoring and evaluation

· Monitoring decisions taken on the PPP and the results of their implementation

Information tracking systems can be used to monitor and check progress of the PPP. Monitoring of cumulative effects may be appropriate for initiatives that will initiate regional-scale change in critical natural assets.

· Evaluation of monitoring results and feed back in PPP renewal

C. Process Flow Chart

Figure 7.5.4.1. Process flow chart for SEA

Source: Figure 4.2 Basic Stages in SEA, http://www.oecd.org/dataoecd/4/21/37353858.pdf

D. Summary Table

Table 7.5.4.1.                Summary Table for United Nations Development Programme

Urban Development Policy and Actions
Policy and Actions	Local Initiative Facility for Urban Environment
Legislations / Guidance and Relevant Document  *	Results-oriented Monitoring and Evaluation: A Handbook for Programme Managers Decentralized Governance for Development: A Combined Practice note on Decentralization, Local Governance, and Urban/Rural Development
Environmental Evaluations / SEA Status in Urban Development Policy and Actions
	Administrative	Statutory
Type of Assessment	SEA	N/A
Requirement Mechanism	Administrative	N/A
Legislations / Guidance and Relevant Document *	UNDP Environmental Mainstreaming Strategy Apply Strategic Environmental Assessment: Good Practice Guidance for Development Cooperation	N/A
Applications	Policy, plans and programmes	N/A

7.5.4.3 Analysis and Conclusion

Urban Planning Policies

United Nations Development Programme assists countries to work on solutions for development challenges. UNDP structures its efforts mainly in five practice areas, namely Democratic Governance, Poverty Reduction, Crisis Prevention and Recovery, Environment and Energy and HIV/AIDS. The UNDP recognizes the significance of urban/rural development to achieve democratic governance. Therefore, urban/rural development is encompassed under the framework of decentralised governance for development. Even though the importance of urban/rural development is understood, there is no specific mechanism to govern urban planning policies and actions in UNDP. Evaluation of urban development projects and programmes is conducted according to “Results-oriented Monitoring and Evaluation: A Handbook for Programme Managers”.

Environmental evaluation / SEA

The Millennium Development Goals highlights sustainable development as a valuable means to ensure economic development and achieve poverty reduction.  One of the ways to attain sustainable development is to “integrate the principles of sustainable development into country policies and programmes, and reverse the loss of environmental resources”. This gives rise to the UNDP Environmental Mainstreaming Strategy in 2004. UNDP identifies SEA as a good way to realize environmental mainstreaming and works as part of the OECD DAC ENVIRONET Task Team on SEA to draw up the SEA guideline “Apply Strategic Environmental Assessment: Good Practice Guidance for Development Cooperation”. The Guideline proposes 4 stages for SEA. The first stage is to establish the context for the SEA which includes reviewing the need for the SEA and initiating preparatory tasks. The second stage is implementation and this stage includes scoping, collecting baseline data, identifying the alternatives and how to enhance opportunities and mitigate impacts, quality assurance and reporting. The third stage is informing and influencing decision making by making recommendations to policy makers. The last stage is monitoring and evaluation. The SEA process pays special attention to public consultation and the guidelines specifies the need to reach to stakeholders who are poor, illiterate, politically and socially marginalised because they are likely to take the blunt of environmental pressure.

UNDP does not require its country partners to conduct environmental assessments or SEA. It assists country partners in applying SEA when need arises.

7.5.4.4 Project Examples

There is not enough information on the SEA example in UNDP. Only one example can be found.

Example 1	Strategic Environmental Assessment of the Yerevan City Master Plan
Description of the Study	Strategic Environmental Assessment of the Yerevan City Master Plan is conducted in Armenia within the framework of “Pilot SEA Project as the Capacity Building Tool for SEA Protocol Implementation in Armenia” implemented by UNDP Bratislava Regional Centre for Europe & the Common Wealth of Independent States and, Regional Environmental Centre for Central and Eastern Europe. It aims at forecasting possible impacts on environment and human health during implementation of Yerevan City Master Plan, preventing, mitigating and excluding negative impacts. There is no specific legal or methodological document regulating SEA in Armenia. However, SEA is indirectly and partially regulated by the Republic of Armenia Law on “Environmental Impact Assessment” (1995).
Process of the Study	Scope: The scope of SEA is based on the specifications of Yerevan City Master Plan. Methodology: The methodology of SEA is based on provisions of the SEA Protocol, methodology for SEA of National Development Plan and Regional Development Concepts of Czech Republic (due to certain similarities of assessment objects), materials of “SEA Manual” being developed by Regional Environment Centre of Central and Eastern Europe with support of the UNDP, and a number of provisions of the draft Republic of Armenia Law on State on Environmental Expertise. SEA: In the framework of the SEA methodology, the following steps were implemented: · Review of relevant strategic documents and identification of key environmental (including health) objectives based on the relevant international and national legislation · Selection of indicators for characterizing the reference environmental objectives · Assessment of coverage of environment (including human health) related issues of the concept of the Master Plan and development of recommendations · Assessment of links between the reference environmental objectives and priorities of the master plan · Assessment of environmental (including human health) impact resulting from the implementation of suggested courses of activities of the draft master plan based on the selected environmental (including human health) objectives, consideration of alternatives (if any) and development of recommendations · Assessment of the monitoring plan, whether it provides for a realistic monitoring and analysis of key environmental (including health) impacts and development of recommendations · Modifications to the Master Plan by the Master Plan Drafting Group or justification of rejected recommendations · Development of the SEA report, discussions with stakeholders and public, summary of opinions and consideration in the final report · Finalization of the SEA report and submission to the Master Plan Drafting Group, Yerevan Mayor’s Office and Ministry of Nature Protection Stakeholder involvement: Expert Involvement Expert hearings have been organized with involvement of relevant specialists from all interested governmental and non-governmental organizations. The first discussion was held for scoping of the SEA, while the second discussion was devoted to the issue of green areas of Yerevan city, which within the SEA process have been identified as the most sensitive area for negative impacts. The purpose of the third discussion was to receive comments and recommendations of state entities about the SEA report of the Yerevan Master Plan. Public discussions The public was notified about the Yerevan Master Plan and its SEA report through newspapers and electronic networks. Thirty days after notification, a public hearing was organized in cooperation with the Yerevan Municipality.
Outcome of the Study	The SEA report was produced in November 2005. The report documented the possible environmental consequences with and without the implementation of the Yerevan City Master Plan. A list of recommendations was given on the implementation of the Master Plan in order to achieve the plan’s objectives.

7.5.4.5 List of References

· United Nations Development Programme, http://www.undp.org/

· Strategic Environmental Assessment Network, http://www.seataskteam.net/index.cfm?module=Forums&page=ForumDetails&ForumID=237

· Apply Strategic Environmental Assessment: Good Practice Guidance for Development Cooperation, http://www.oecd.org/dataoecd/4/21/37353858.pdf

· Report on the Strategic Environmental Assessment of the Yerevan City Master Plan, http://www.unece.org/env/eia/documents/SEA%20CBNA/Armenia_SEA_Yerevan_en.pdf

· Strategic Environmental Assessment of 2006-2010 National Tourism Development Programme of the Republic of Belarus, http://www.unece.org/env/eia/documents/SEA%20CBNA/Belarus_SEA_tourism_en.pdf

· UNDP Environmental Mainstreaming Strategy, www.undp.org/fssd/docs/envmainstrat.doc

· Decentralized Governance for Development: A Combined Practice note on Decentralization, Local Governance, and Urban/Rural Development, http://www.undp.org/governance/docs/DLGUD_PN_English.pdf

· UNDP’s Local Initiative Facility for Urban Environment (LIFE), http://www.undp.org/governance/programmes/life/index.htm

· Results-oriented Monitoring and Evaluation: A Handbook for Programme Managers, Office of Evaluation and Strategic Planning, http://www.undp.org/eo/documents/mae-toc.htm

7.5.5 United Nations Environment Programme

7.5.5.1 Urban Development Policies and Actions

A. Regulatory mechanisms

The United Nations Environment Programme (UNEP), headquartered in Nairobi Kenya, acts as the environmental co-ordinator for the United Nations.

The Urban Environment Unit in the UNEP aims to integrate the urban dimension into the UNEP’s work, emphasising environmental issues that have both a local and an international dimension. There are 7 key urban development programmes operated by the UNEP that highlights its work; they include Partnership for Clean Fuels, and Vehicles, Local-global linkages, Cities Alliance, Sustainable Cities Programme, Cooperation with the United Nations Human Settlement Programme, GEO Cities, and Eco-housing. Details for some of the programmes are given below:

· Partnership for Clean Fuels and Vehicles (PCFV) - UNEP takes up the leading role in PCFV to promote better air quality and clean fuels and vehicles in developing countries, cooperating with over 80 organisations from the private sector (both oil industry and vehicles industry), governments, non-governmental organizations and international organisations. PCFV’s focus is on the phase out of leaded gasoline worldwide, the reduction of sulphur in fuels and the introduction of clean vehicles technologies and clean vehicles.

· Local-global linkages - UNEP recognizes the role of cities in worsening the global environment. This is illustrated by the four focus areas of the Urban Environment Unit, namely urban air pollution, urban biodiversity, cities and climate change, and cities and coastal area. In order to encourage cities’ effort to tackle global environmental issues, UNEP is developing a Cities and Climate Change Campaign and has launched the Global Alliance on Cities and Biodiversity.

· Cities Alliance – The Cities Alliance is a global coalition committed to poverty reduction in cities in developing countries. The UNEP contributes by strengthening the environmental element in the Cities Alliance, providing environmental support and advice to promote environmental considerations in proposals and developing projects with environmental elements.

· Cooperation with the United Nations Human Settlements Programme (UN-HABITAT) – The Partnership Framework 2008-2013 between the two UN agencies aims to mainstream environmental considerations into local, national and global urban policy making, incorporate urban perspectives into environmental policy making at local, national and global level and to highlight the local-global linkages in environmental issues.

· Sustainable Cities Programme – Sustainable Cities Programme is a joint programme with UN-HABITAT to introduce the urban Environmental Management and Planning approaches. UNEP prepares tools, publications and workshops on Environmental Planning and Management and various urban environmental issues such as air quality and climate change.

· GEO Cities – GEO Cities is a programme which adopts the GEO Cities assessment methodology to guide cities in conducting Integrated Environmental Assessments. The methodology is designed to analyse the state of the local environment and the impacts of cities on the local, national and global environment.

· Eco Housing – Eco housing is a concept that relates sustainability principles to the entire lifecycle of a housing project. The concept applies environmentally friendly approaches to the design, site assessment, material selection, energy management, water management and waste management to the household and community level.

B. Overview of evaluation approach

There is no specific evaluation approach for urban development policies and actions in UNEP. All evaluations for UNEP’s work are conducted within the framework of an annual plan prepared by Evaluation and Oversight Unit (EOU) in consultation with UNEP Senior Management and Programme/project Managers. And the Programme Coordination and Management Unit prepared “UNEP project manual: formulation, approval, monitoring and evaluation 2005” to assist and guide project managers, programme officers and fund management officers to formulate high-quality projects and activities and conduct evaluations.

The evaluation process consists of a few stages, namely planning and budgeting, data collection and analysis, reporting and implementation of recommendations as well as follow-up of implementation of recommendations. The entire process employs broad-based participatory methodology for in-depth evaluation. 

Planning

The first step of planning is to determine which type of evaluation should be undertaken. The nature and scope of project evaluation itself is determined by the Terms of Reference, which is drawn by the implementing agency and EOU. Generally, EOU picks the consultant unit which will conduct the evaluation while the programme/project manager suggests potential candidates.

Reporting

Once the draft report is ready, the report is submitted by the evaluator to EOU, the corresponding Programme/project officer and his/hers supervisor for initial review.

 After two rounds of review, EOU finalizes the report and sends it for editing.

Follow up

Implementation plans are drawn to ensure that recommendations made in evaluations are implemented.

There are 4 steps involved in implementation and follow up of evaluation:

· EOU prepares the project implementation plan indicating the findings and recommendations stated in the evaluation report and sends it to the programme/project manager for completion

· The programme/project manager indicates whether the recommendation is accepted or not, whether any action has already been taken to implement it, what actions will be taken and the corresponding deadline as well as the responsibility for implementation.

· EOU reviews the implementation plan and checks whether the recommendations have been addressed comprehensively and sends comments back, if needed.

· EOU monitors the progress made in completing the implementation plan every 6 months and reports to the Deputy Executive Director.

All programmes and projects must develop performance indicators which can be used to measure outcomes of programmes and projects. And the indicators should be able to address (1) Appropriateness and Relevance, (2) Effectiveness and Efficiency, (3) Extent of collaboration with other partners, (4) Extent of the efficacy of structure and management that supported the implementation of the programme, project, (5) Effectiveness of financial utilization, and (6) Sustainability. “UNEP project manual: formulation, approval, monitoring and evaluation 2005” provides guidelines on evaluation indicators.

Self-evaluations are conducted annually following a standard reporting structure and are not considered part of the evaluation process.

7.5.5.2 Environmental Evaluation / SEA in Urban Development

A. Regulatory mechanisms

Statutory mechanism

There is no statutory mechanism for Environmental Evaluation/ SEA in urban development in UNEP.

Administrative mechanism

UNEP does not require its country partners to conduct SEA or EIA. It provides assistance and guidance for developing and transitional countries in conducting environmental assessment. In 2004, it issued a guiding document called ‘”Environmental Impact Assessment and Strategic Environmental Assessment: Towards an Integrated Approach” which provides resources for those involved in EIA and SEA. After consulting a substantial amount of literature on SEA, UNEP recommended the framework for SEA proposed by Sadler B. for the Proceedings of International Workshop on Public Participation and Health Aspects in Strategic Environmental Assessment in the guiding document.

The Plan of Implementation agreed at World Summit on Sustainable Development in September 2002 emphasises the importance of taking a “holistic and inter-sector approach to implement sustainable development”. The increasing interest in integrative approaches to impact assessment and planning prompts UNEP to undertake a programme to integrate assessment with planning for sustainable development. Integrated assessment is being strongly promoted by UNEP as it assesses environmental, economic and social effects together to inform decision-making in support of sustainable development.

As part of the programme, UNEP prepares Strategic and Integrated Planning which serves as a prototype in which assessment serves as an integral part of pro-active approach to address sustainable development. Strategic and Integrated Planning is based on experience and recent thinking on EIA/SEA and integrated planning approaches. Currently, UNEP has developed Integrated Coastal Area and River Basin Management approach and a manual on integrated assessment of trade-related policies. How EIA/SEA should play a role in integrated assessment is still open to debate, but it is expected that EIA/SEA will advance and provide important input to integrated assessment.

B. Evaluation methodologies

Administrative mechanism

There are 12 steps in the SEA approach recommended by UNEP.

Proposal

Before SEA is initiated, the responsible agency defines the need, purpose and objectives to be achieved for a proposed policy, bill, plan or programme. The SEA process must be objectives-led in order to fully evaluate the environmental impacts of a proposal.

Screening

Screening is to determine if an SEA is required and at what level of detail. In some country, some proposal might be required of SEA by legislation or guidelines. Unless specified, screening applies to all proposals to determine which ones have potentially significant environmental effects and warrant full assessment.

Scoping

Scoping identifies the important issues and impacts that need to examine in the proposal. Modified EIA methods, such as matrices, overlays, and case comparisons can be used to scope the environmental dimensions of specific plans and programs. Where environmental considerations are generalised and less immediate, appraisal methods, such as environmental scanning to clarify the implications, and/or issue tracking to stage when key impacts become clarified, can be used.

Assembling environmental information

SEA is carried out against a baseline or profile, typically a description or characterisation of the affected environment. Useful sources of background information include state of the environment reports and country environmental profiles. For plans and programmes with a spatial dimension, the baseline can be recorded as environmental stock and critical natural assets. Key indicators are used to measure change in terms of global sustainability, natural resource management and local environmental quality.

Consideration of alternatives

Formulation of alternatives is central to integrating environment considerations into sector policy and plan-making in the SEA process. A first step is to identify the range of alternative that meet the objectives of the proposal, and summarize their economic, social and environmental aspects. The alternatives should include a do nothing alternative and best practicable environmental option. Where potentially a large number of alternatives are open, methods used to systematically compare them include environmental benefit-cost analysis and multi-criteria evaluation. Objectives led SEA is critical for this purpose, and can empower risk and benefit negotiation.

Impact analysis

Usually there is greater uncertainty during the SEA process compared to EIA. Often, the relationship of policy-level proposals to environmental effects is indirect or difficult to locate in time or space, mediated by intervening factors. Indicator-based methods can show ‘direction of movement’ for an impact, e.g. increase in habitat loss. Projection methods that are used to deal with uncertainty include trend extrapolation and scenario development. For plans and programmes that initiate projects, environmental impacts are more readily identified and predicted. EIA methods that are used with varying modification include impact matrices, Geographic Information System and comparative risk assessment. No single method is likely to cover the whole range of impacts.

Weighing the importance of the residual impacts

To determine significance, predicted and residual impacts (that cannot be mitigated) are evaluated against selected environmental criteria and objectives. As in EIA, this test gives decision makers a key to determine environmental acceptability of a proposal. If appropriate, a balance sheet of gains and losses from a proposal also can be drawn up, e.g. in monetary or descriptive terms, to show their distribution among groups, and/or illustrate the range of uncertainty. If major policy options or critical outcomes are at stake, sensitivity analysis can be used to test the effect of changed assumptions and the robustness of assessment. Alternatively, this test can be based on expert judgment and case comparison with similar actions

Identifying mitigation measures

This process is to identify measures to first avoid, then reduce, and next offset adverse impacts according to the impacts’ significance and specificity. A precautionary approach should be taken when information is incomplete but analysis indicates the risk or possibility of large-scale, serious or irreversible environmental change. This may entail not going ahead with certain proposals or replacing them with no regrets alternatives. For low-threat situations, standard mitigations measures can be used to minimize an impact to “as low as reasonably practicable”, e.g. using “best available technology not entailing excessive cost” or contingency policies and plans to cope with low probability but highly damaging risks.

Reporting

An SEA report which describes the environmental impacts of the proposal and how they are to be addressed should be prepared. Typically, a separate SEA report or statement must be prepared and made available to the public. Depending on the context, a report can be an environmental paragraph in a policy memorandum, a section or chapter in a plan or strategy, or a separate document or annex ranging from a few to several hundred pages.

Review of quality

Prior to submission, an SEA report should be reviewed to ensure it provides the information necessary for decision-making. Review procedure can be formal or informal, internal or external, conducted by the competent authority, environmental agency or an independent body. Provision for public comment on an SEA report usually promotes transparency. Use of methods can range from spot check to comprehensive quality audit

Decision-making

A proposal can be approved, rejected or modified. When doing so, the decision-making body has a duty or obligation to take account of the results of an SEA, including public consultation. Reasons for decision should be issued, specifying the terms of approval and any follow up requirements.

Monitoring

Monitoring the implementation of a policy, bill or plan can be a simple check to see if environmental objectives are being met, or a systematic programme to measure its impact. Information tracking system can be used to monitor issues and progress, and to focus and streamline any subsequent SEA or EIA process. Cumulative effects monitoring may be appropriate for plans and programmes that will initiate regional-scale change in environmental stock or critical natural assets.

C. Process Flow Chart

Figure 7.5.5.1.        Process flow chart for SEA

D. Summary Table

Table 7.5.5.1.                Summary Table for United Nations Environmental Programme

Urban Development Policy and Actions
Policy and Actions	N/A
Legislations / Guidance and Relevant Document  *	N/A
Environmental Evaluations / SEA Status in Urban Development Policy and Actions
	Administrative	Statutory
Type of Assessment	SEA	N/A
Requirement Mechanism	Administrative	N/A
Legislations / Guidance and Relevant Document *	Environmental Impact Assessment and Strategic Environmental Assessment: Towards and Integrated Approach	N/A
Applications	Policy, plans and programmes	N/A

7.5.5.3 Analysis and Conclusion

Urban Planning Policies

United Nations Environment Programme is the coordinating environmental organizations in the United Nations system. Recognizing the contribution of urban areas to local and global environmental problems, UNEP set up the Urban Environment Unit to integrate urban considerations into UNEP’s work. There are 7 key programmes operated by the UNEP that highlights its work; they include Partnership for Clean Fuels, and Vehicles, Local-global linkages, Cities Alliance, Sustainable Cities Programme, Cooperation with the United Nations Human Settlements Programme, GEO Cities, and Eco-housing. It is worth noting of UNEP’s endeavours to bring environmental issues of both local and global significance to people’s attention and its cooperation with UN-HABITAT in the areas of sustainable urban planning and management.

Environmental evaluation / SEA

United Nations Environment Programme does not require its country partners to practise EIA/SEA. However, it provides technical assistances and guidance to parties who are involved in EIA/SEA. In order to respond to the increasing demands for information on and training in SEA from developing and transitional countries, UNEP formulated guidelines. In 2004, UNEP published the “”Environmental Impact Assessment and Strategic Environmental Assessment: Towards and Integrated Approach” which provides information and guidance on EIA, SEA and integrative approaches to impact assessment and planning. According to the guidance, SEA include several stages, namely proposal preparation, screening, scoping, assembling environmental information, consideration of alternatives, impact analysis, weighing the importance of residual impacts, identifying mitigation measures, reporting, review of quality, decision making and monitoring.

7.5.5.4 Project Examples

Example 1	Environmental assessment of the areas disengaged by Israel in the Gaza Strip
Description of the Study	From 1970, Israel established a number of settlements in the Gaza Strip. In September 2005, Israel formally disengaged these settlements. As a part of its response to the Israeli disengagement plan, the Palestinian Environment Quality Authority requested UNEP to assist with a systematic environmental assessment of settlements after the disengagement. UNEP developed a comprehensive assessment plan, conducted background research and initiated remote sensing analysis in June 2005. The field work was started in December 2005. UNEP aims to create an environmental baseline for the disengaged settlements and identify from an environmental perspective, any areas of concern or interest to be considered during settlement.
Process of the Study	Within each of the settlements, the environmental assessment process involves the following steps: · Mapping out potential areas of environmental concern by using background research and remote sensing analyses · Visiting the locations and undertaking fieldwork, including sampling, to assess the environmental situation and in particular to identify areas of environmental concern · Identifying potential areas of immediate concern from a public health perspective · Providing recommendations for follow-up activities, especially in the case of areas of immediate concern · Providing environmental information that may be used for planning purposes by the Palestinian Authority
Outcome of the Study	In the environmental assessment, UNEP concluded that the Israeli residential settlements in Gaza have remained in an environmentally acceptable condition. The removal and disposal of rubble remains a major issue in the Gaza strip and a memorandum has been signed between the Government of Israel and UNDP to carry out this task. The Erez Industrial Estate requires a further assessment prior to clean-up. UNEP advised that strategic decisions on former waste disposal sites must be made in order to assess the overall solid waste management In order to ensure substantial improvements in the waste management sector, a Waste Management Strategy for the Gaza Strip should be developed. A monitoring system for groundwater in the Gaza Strip, including the wells in the disengaged areas, should be established.  Now, UNEP is preparing an environmental information system integrating all the information collected during the environmental assessment for the viewing of various UN agencies, donors and other interested organizations.

Example 2	Sudan Post-Conflict Environmental Assessment
Description of the Study	On 9 January 2005, the Sudanese government and the Sudan People’s Liberation Movement signed the historic Comprehensive Peace Agreement to put an end to more than two decades of civil war. The Government of Southern Sudan and the Government of National Unity requested UNEP to conduct an environmental assessment of the country in order to evaluate the state of Sudan’s environment and identify the key environmental challenges ahead. With peace and a fast-growing economy fuelled by its emerging oil industry, Sudan’s development is still hindered by critical environmental issues, including land degradation, deforestation and the impacts of climate change. The goal of the UNEP post-conflict environmental assessment for Sudan is to develop a solid technical basis for medium term (1-5 years) corrective action in the field of environmental protection and sustainable development.
Process of the Study	UNEP’s assessment covers all states of the Republic of Sudan and includes six cross-cutting topics, namely capacity building, engagement with local partners, livelihoods and food security, gender, peace building and aid effectiveness. Commenced in late 2005, the assessment process is composed of the following major components: · an initial appraisal and scoping study · consultation · desk studies · fieldwork · remote sensing · analysis · development of the recommendations and reporting The assessment team was comprised of a core UNEP team and a large number of national and international partners who collaborated in a range of roles. Consultation with local and international stakeholders was conducted throughout the assessment process, with the total number of interviewees estimated to be over two thousand. Parties consulted include representatives of federal, state and local governments, NGOs, academic and research institutions, international agencies, community leaders, farmers, pastoralists, foresters and businesspeople.
Outcome of the Study	The assessment identified a number of critical environmental issues that are closely linked to the country’s social and political challenges. Some of the major findings are: · Strong linkage between environment and conflict, such as the Darfur crisis · Population displacement creates significant environmental impacts in Sudan · Desertification and regional climate change contribute to poverty and conflict · Uncontrolled urban sprawl, chronic solid waste management problems and the lack of wastewater treatment are the major threats facing Sudan’s urban centres · The Sudanese marine and coastal condition is in relatively good condition but is under threat from the economic and shipping boom UNEP listed out 85 detailed recommendations which cost USD 120 million with expenditure spread over five years. Some of these include: · Invest in environmental management to support lasting peace in Darfur, and to avoid local conflict over natural resources elsewhere in Sudan · Build capacity at all levels of government and improve legislation to ensure that reconstruction and economic development do not intensify environmental pressures and threaten the livelihoods of present and future generations · National and regional government should assume increasing responsibility for investment in the environment and sustainable development · All UN relief and development projects in Sudan should integrate environmental considerations in order to improve the effectiveness of the UN country programme UNEP plans to establish a Sudan country programme for the period at least 2007-2009 and assists the Government of Sudan and international partners in the implementation of these recommendations.

7.5.5.5 List of References

· Environmental Impact Assessment and Strategic Environmental Assessment: Towards an Integrated Approach, http://www.unep.ch/etb/publications/EnvImpAss/textONUBr.pdf

· UNEP’s Manual on Integrated Assessment: Maximizing the net development gains of trade-related policies’, http://www.unep.ch/etb/publications/etbBriefs/UNEPAssess.pdf

· Guidelines on Evaluation Indicators, Evaluation and Oversight Unit, UNEP, http://www.unep.org/eou/Evaluation/Guidelines/index.asp

· UNEP project manual: formulation, approval, monitoring and evaluation 2005, Programme Coordination and Management Unit, http://www.unep.org/pcmu/project_manual/chapters.asp

· Urban Environment Unit, UNEP, http://www.unep.org/urban_environment/About/index.asp

· Environmental Assessment of Area disengaged by Israel in the Gaza Strip, Division of Early Warning and Assessment, UNEP, http://postconflict.unep.ch/publications/UNEP_Gaza_web.pdf

· Sudan Post-Conflict Environmental Assessment, Division of Early Warning and Assessment, UNEP, http://postconflict.unep.ch/publications/UNEP_Sudan.pdf

· UNEP’s contribution to the Cities Alliance , http://www.unep.org/urban_environment/PDFs/CA_Strategy_final_external_version_13.7.05.pdf

· Partnership Framework 2008-2013, UNEP and UN-HABITAT, http://www.unep.org/urban_environment/PDFs/UEFrameworkfinal.pdf

7.6 Africa

7.6.1 South Africa

7.6.1.1 Urban Development Policies and Actions

A. Regulatory mechanisms

Segregationist policies during the apartheid resulted in unequal land distribution and development, extreme land shortages and insecurity of tenure. Black African were forced to leave their land and moved to overcrowded and impoverished reserves, homelands and townships. Thus, South Africa’s land policies in the post-apartheid period aims to redress the racial imbalance in land distribution, undo the past injustice and strengthen the poor. In South Africa, Department of Land Affairs is the executing authority dealing with land use and planning.

Due to the complex land use background in South Africa, the country operates under fragmented, unequal and incoherent spatial planning and land use management legislation, which often stifles land and economic development. The White Paper on South Africa Land Policy (released in 1997) adequately addressed the central thrust of land policy – the land reform programme for the first time. The land reform programme consists of three major elements, namely land restitution, land redistribution and tenure reform. And these three elements cover both urban and rural areas. Access to land is a prerequisite for a successful urban development programme. Therefore, land policy is closely related to urban development.

Land use scheme

In April 2008, the South Africa government released the Land Use Management Bill which acts as the umbrella legislation of land use to provide for a uniform, effective, efficient and integrated regulatory framework for land use and land use management in the country. This Bill is going to replace the Development Facilitation Act and other existing national land use planning legislation once it becomes law.

The Bill requires the executive authority of a municipality to adopt a land use scheme for the whole municipality. The land use scheme of a municipality must

l Give effect to the integrated development plan of such municipality;

l Take into account the purpose for which a piece of land was lawfully used immediately before adoption of such scheme

l Be aligned with the land use schemes of adjoining municipalities; and

l Be in accordance with, and give effect to, the Municipal Systems Act, the National Environmental Management Act (NEMA), 1998 (Act No. 107 of 1998) and all other national and provincial legislation applicable in such municipality.

Integrated development plan

Apart from the land use scheme, urban development is also guided by the integrated development plans in the municipal level. According to the Local Government: Municipal Systems Act, 2000, each municipal council must, within a prescribed period after the start of its elected term, adopt a single, inclusive strategic plan for the development of the municipality. An integrated development plan is the principal strategic planning instrument which guides and informs all planning and development in the municipality. Thus, urban planning is also included in the integrated development plan.

Urban Development Framework

In 1997, the Department of Housing sets up the Urban Development Framework to promote a consistent urban development policy approach, to guide development policies, strategic and actions of all stakeholders in the urban development process and to steer them towards the achievement of a collective vision.  This leads to the formation of the ‘Urban Vision towards 2020’. The Urban Vision promises a desired future for South Africa’s cities and towns and improves their role as centres of economic, environmental and social development. The urban development framework outlines a tangible programme that requires all sectors of society to participate in. The urban development programme contains four focuses, namely integrating the city, improving housing and infrastructure, building habitable and safe communities and promoting urban economic development.

B. Overview of evaluation approach

Land use scheme

The Land Use Management Bill contains no provisions for an evaluation system of formulating land use scheme. It is only stated that a municipality must conduct consultation before adopting a land use scheme. However, an evaluation system is in place to evaluate and monitor any change or amendment to the land use scheme.

The Land Use Management Bill requires the executive authority of a municipality to establish one or more Municipal Land Use Committees to be a Land Use Regulator within the jurisdiction of that municipality. The Land Use Regulator has the jurisdiction to change the use, form or function of land; remove, amend or suspend a restrictive condition upon application.

When considering an application, a Land Use Regulator, in addition to any procedure that may be prescribed, must adopt an administratively fair procedure, including (i) inviting affected persons to participate and make representations; and (ii) acquiring information by way of written statements or statements recorded in writing. A Land Use Regulator may conduct an investigation and/or hold a public hearing into any matter relevant to an application being considered.

An application may be approved in whole or in part, or rejected. An appeal against a decision of the Municipal Land Use Committee may be made to and must be lodged with the Provincial Land Use Tribunal which has the jurisdiction over disputable land use issues in respect of the province in which it is established.

Integrated development plan

The executive committee or executive mayor of a municipality or if the municipality does not have an executive committee or executive mayor, a committee of councillor adopted by the municipal council must manage the drafting of the municipality’s integrated development plan. According to the Local Government: Municipal Systems Act, 2000, the drafting process of the integrated development plan must

l be in accordance with a predetermined timeframes for the different steps;

l through appropriate mechanisms, processes and procedures established in terms of Municipal Systems Act, 2000, Chapter 4: Community Participation allow for-

1. the local community to be considered on its development needs and priorities;

2. the local community to be consulted on its development needs and priorities

3. organs of state, including traditional authorities and other role players to be identified and consulted on the drafting of the integrated development plan;

l provide for the identification of all plans and planning requirements binding on the municipality in terms of national and provincial legislation; and

l be consistent with any other matters that maybe be prescribed by regulation

The member of Provincial Executive Council for local government in the province may, subject to any other law regulating provincial supervision of local government, monitor, assist, promotes coordination among different municipalities and settle disputes at different stages of the planning process.

The municipal manager of a municipality must submit a copy of the integrated development plan as adopted by the council of municipality, and any subsequent amendment to the plan, to the member of Provincial Executive Council for local government in the province within 10 days of the adoption or amendment of the plan for approval.

A municipality must establish a performance management system that is commensurate with its resources; best suited to its circumstances; and in line with the priorities, objectives, indicators and targets contained in its integrated development plan. There should be mechanisms to monitor and review its performance management system.

Annual review
A municipal council must review its integrated development plan annually in accordance with its performance measurements and produce an annual report each financial year.

The member of Provincial Executive Council for local government must annually compile and submit to the provincial legislatures and the national Minister responsible for local government a consolidated report on the performance of municipalities, so that the integrated development plan will be evaluated. 

Urban development framework

The Department of Housing does mention about the government’s intention to initiate a consultative round table of stakeholders to develop guidelines for monitoring and evaluation of the framework. However, there is currently no evaluation system in place.

7.6.1.2. Environmental Evaluation / SEA in Urban Development

A. Regulatory mechanisms

Statutory mechanism

The NEMA is a framework law, providing overarching principles that apply to all state activities. Integrated Environmental Management (IEM) is a key instrument of the NEMA. IEM is the umbrella vehicle for the integration of environmental assessment and management principles into environmental decision making. It includes the use of several environmental assessment and management tools that are appropriate for the various levels of decision making. EIA and SEA are tools used in IEM.

NEMA Chapter 5: IEM states that “the potential impact on the environment, socio-economic conditions and the cultural heritage of activities that require authorisation or permission by law and which may significantly affect the environment, must be considered”.  Since the land use scheme is prescribed by the Land Use Management Bill while the integrated development plan is prescribed by the Local Government: Municipal Systems Act, 2000, these two land use instruments are subjected to the regulation of NEMA.

In 2004, NEMA Chapter 5: IEM is amended to regulate procedures and criteria for the submission, processing, consideration and decision of applications for environmental authorisation of activities and for matters pertaining thereto. It also seeks to enable the system of EIA and related management tools to be regulated in terms of NEMA, rather than under the Environment Conservation Act, 1989. The amendment stipulates that application for environmental authorisation is needed for the activities stated in NEMA, Chapter 5. If the competent authority requires a scoping report and an EIA after considering the application, the Environmental Assessment Practitioner who is responsible for the application must compile such report for the competent authority to consider the application. 

At present, there is no codified SEA legislation within South Africa.

Administrative mechanism

The NEMA Amendment Act 2004 makes provision for the promulgation of SEA regulations but does not provide sufficient detail to guide SEA application.

According to the Municipal Systems Act No. 32 of 2000 and the Municipal Planning and Performance Management Regulations of 2001, the integrated development plan of each municipality must include a spatial development framework.  And a spatial development framework must include a strategic assessment of the environmental impact of the spatial development framework. Therefore, SEA of urban development will be conducted under the spatial development framework.

SEA practice in South Africa has increased steadily since the early 1990s. SEA practice tends to be varied, flexible and responsive to the different decision making contexts in which it is applied. Despite the provision for the process in planning process policy and legislation, most SEAs have been undertaken voluntarily.

B. Evaluation methodologies

Statutory mechanism

NEMA as amended, proposes guidelines for the implementation of EIA in South Africa. In 2006, the Department of Environmental Affairs and Tourism produced the “General Guide to the Environmental Impact Assessment regulations, 2006”.

All applications for environmental authorisation must be supported by an assessment. The Regulations provided for two types of assessment processes, i.e. the basic assessment process and the scoping and the EIA process. The purpose of basic assessment is to provide a mechanism for a complete but concise assessment of activities. A scoping and EIA process is reserved for activities which have the potential to result in significant impacts.

The scoping and EIA process involves three broad phases, namely submission of an application form, scoping and EIA.

Submission of application

An applicant whose activity requires environmental authorisation must file an application to the competent authority. An application form, which can be obtained from the competent authority, must be completed and submitted to the competent authority before scoping is undertaken.

Scoping

During Scoping, the issues, potential impacts and potential alternatives are identified. Public consultation is conducted. The scoping report, which must include a plan of study for EIA, must be submitted to the competent authority for approval before any proceedings of EIA.

EIA

Once the competent authority accepts the scoping report and the plan of study for EIA, the Environmental Assessment Practitioners must proceed with the EIA. The purpose of the EIA is to:

l Address issues that have been raised during the scoping phase

l Assess alternatives to the proposed activity in a comparative manner

l Assess all identified impacts and determine the significance of each impact; and

l Formulate mitigation measures

Public participation is an essential part of the EIA process and will be conducted in accordance with the plan of study for EIA. After the different aspect of the assessment have been undertaken, including any specialist studies and specialized processes, an EIA report which includes a draft environmental management plan, is compiled.

Consideration of EIA report

The consideration of EIA report comes in two phases. In the first phase, the competent authority, after receipt of the EIA report, will make a decision to accept, reject, request amendments to be made for the report or refer the report for specialist review.

In the second phase, the competent authority will make a decision to grant all or part of the application or refuse all or part of the application.

Appeal

Any affected person may appeal a decision of the competent authority to the Minister, where the national Department of Environmental Affairs and Tourism is the competent authority, or to the member of Provincial Executive Council, where the provincial department of environment is the competent authority.

Administrative mechanism

Cooperating with the Council for Scientific and Industrial Research, the Department of Environmental Affairs and Tourism issued the “Guideline Document: Strategic Environmental Assessment in South Africa” In 2000.

According to the South African principles for SEA contained in the Guideline Document, SEA:

· is driven by the concept of sustainability

· identifies the opportunities and constraints which the environment places on the development of plans and programmes

· sets the levels of environmental quality or limits of acceptable change

· is a flexible process which is adaptable to the planning and sectoral development cycle

· is a strategic process, which begins with the conceptualization of the plan or programmes

· part of a tiered approach to environmental assessment and management

· has a scope defined within the wider context of environmental assessment and management

· is a participative process

· is set within the context of alternative scenarios

· includes the concepts of precaution and continuous improvement

The methodology of SEA described in the Guideline Document includes the following key elements:

· Identify broad plan and programme alternatives

· Scoping

· Situation Assessment

· Formulate sustainability parameters for the development of the plan or programme

· Develop and assess alternative plans and programmes;

· Decision making

· Develop a plan for monitoring and auditing; and

· implementation

C. Process Flow Chart

Figure 7.6.1.1.              Process flow chart for EIA

Figure 7.6.1.2.        Process flow chart for SEA

D. Summary Table

Table 7.6.1.1.                Summary Table for South Africa

Urban Development Policy and Actions
Policy and Actions	Land Reform Programme Urban Development Framework, 1997
Legislations / Guidance and Relevant Document  *	Land Use Management Bill, 2008 Local Government: Municipal Systems Act, 2000
Environmental Evaluations / SEA Status in Urban Development Policy and Actions
	Administrative	Statutory
Type of Assessment	SEA	EIA
Requirement Mechanism	Non-statutory	Statutory
Legislations / Guidance and Relevant Document *	Guideline Document: Strategic Environmental Assessment in South Africa	General Guide to the Environmental Impact Assessment regulations, 2006
Applications	Policy, plans and programmes	Policy, plans and programmes

7.6.1.3. Analysis and Conclusion

Urban Planning Policies

The segregationist policies in South Africa in the colonial times and during the apartheid caused unequal land distribution and development. The White Paper on South Africa Land Policy (released in 1997) first stipulates the land reform programme, which consists of three major elements, namely land restitution, land redistribution and tenure reform. The land reform programme underlies in all land use policy.

On April 2008, the South Africa government released the Land Use Management Bill to act as the umbrella legislation of land use in the country. The Land Use Management Bill requires all municipalities to adopt a land use scheme which has to give effect to the integrated development plan of such a municipality. An integrated development plan is the principal strategic planning instrument which guides and informs all planning and development, and all decisions with regard to planning, management and development, in the municipality. Thus, urban planning falls under both the land use scheme and the integrated development plan.

The urban development framework, proposed by the Department of Housing in 1997, suggests a consistent urban development policy approach to steer the nation to achieve the Urban Vision. This framework does not have any statutory status, thus does not legally bind to any plan, policy and programme.

Environmental evaluation / SEA

The National Environmental Management Act, 1998 provides overarching principles for all state activities that cause impact on the environment and promotes integrated environmental management. Integrated environmental management is the key instrument of NEMA as it integrates environmental assessment and management principles into environmental decision making. The NEMA stipulates that all state activities which require authorisation or permission by law and which may significantly affect the environment need to produce either a basic assessment or a scoping report and an EIA. Scoping report and EIA are reserved for activities that will cause significant environmental impact. An EIA will address issues that have been raised during the scoping phase and assess alternatives to the proposed activity in a comparative manner. It will also access all identified impacts and formulate mitigation measures. The Department of Environmental Affairs and Tourism issued the “General Guide to the Environmental Impact Assessment regulations, 2006” to assist EIA in South Africa.

SEA in South Africa operates in an administrative mechanism as there is not legislation concerning SEA. The NEMA Amendment Act 2004 provides the promulgation of SEA but is not sufficient to act as guidance. According to the Municipal Systems Act No. 32 of 2000 and the Municipal Planning and Performance Management Regulations of 2001, SEA is made part of the integrated development plan as SEA is required for spatial development framework. A generic SEA guidance titled “Guideline Document: Strategic Environmental Assessment in South Africa” is produced by the Department of Environmental Affairs and Tourism, in cooperation with the Council for Scientific and Industrial Research, in 2000. 

7.6.1.4. Project Examples

Example 1	Durban South Basin Strategic Environmental Assessment
Description of the Study	The South Industrial Basin is the economic heartland of the Durban Metropolitan Area. It contributes over 40% of Durban's gross geographic product and occupies over 50% of the industrial land in the city. The South Industrial Basin is environmentally degraded as it has serious problem of air pollution, waste disposal and loss of important natural resources. Not only does the development in the region undermine the quality of life of residential communities, it also negatively affects the competitiveness of the business environment. The close interface between residential and industrial activities in the area has also created tensions between residential communities, local government and industry regarding future development in the area. In order to combat those problems, Strategic Environmental Assessment (SEA) was commissioned for the Durban South Basin area in1997.
Process of the Study	The SEA methodology: · Produce a baseline assessment of the Durban South Basin identifying opportunities and constraints for future development · Identify key strategic development criteria · Evaluate the impacts of different types of potential development (petrochemical, port, mixed use, light industry) · Develop a policy planning framework for sustainable development Under the local Agenda 21 programme, public engagement has been pursued throughout the process of SEA. This includes a schools education programme aimed at familiarising young people in the area with the project and a field worker development programme for a limited number of individuals from residential sectors within the study area.
Outcome of the Study	The SEA proposes sustainable development guidelines and management programmes to address current environmental problems and to guide future development. One of the recommendations is to improve disaster management of the region. In 1999, a project under the Awareness and Preparedness for Emergencies and the Local Level of the United Nations Environmental Programme was launched in October 1999 as a Phase 3 Local Agenda 21 programme.

Example 2	Strategic Environmental Assessment for uMhlathuze Municipality, South Africa
Description of the Study	Located approximately 200km north of Durban on the east coast of South Africa, the uMhlathuze Municipality was formed in 2002, incorporating Richards Bay and Empangeni as well as the surrounding rural and tribal areas. The population figure for the area is approximately 300 000. uMhlathuze Municipality is associated with coal export and heavy industry such as aluminium smelting. Under the spatial planning framework, the SEA was conducted as part of the municipal integrated development planning process.
Process of the Study	The SEA consultants worked closely with the planning consultants. The steps  of the SEA were: Integrated development planning Phase 1: analysis · Status quo analysis and preparation of state of the environment reporting · Identification of key environmental and development issues Integrated development planning Phase 2: strategies · Formulation of a vision for the municipality · Development of criteria for selecting indicators Integrated development planning  Phase 3: projects · Development of biophysical and socioeconomic indicators for the ongoing planning, assessment and management of activities in the municipality · Preparation of a strategic environmental management plan, which provided a synthesis of the environmental opportunities and constraints to development, and a framework for environmental decision making. The strategic environmental management plan included: an environmental policy, an environmental management strategy, indicators, environmental management cooperation agreements, environmental education and environmental management and assessment tools for environmental decision making
Outcome of the Study	The SEA puts forward specific proposals for the protection of environmental assets and guidelines to ensure sustainable development.

7.6.1.5. List of References

· National Environment Management Act, http://www.info.gov.za/gazette/acts/1998/a107-98.pdf

· Land Use Management Bill, http://www.info.gov.za/view/DownloadFileAction?id=82208

· National Environment Management Act Second Amendment, http://www.environment.gov.za/EIM%20WEBSITE/docs/NEMA%20Second%20Amendment%20Bill%20B56B-2003.pdf

· Local Government: Municipal Management Act, http://www.info.gov.za/view/DownloadFileAction?id=68199

· White Paper on South Africa Land Policy, http://land.pwv.gov.za/White%20Paper/white4.htm#Strategic%20goals%20and%20vision%20of%20land%20policy

· Strategic Environmental Assessment, Integrated Environmental Management Information series, http://www.environment.gov.za/documents/publications/2005Jan7/Book5.pdf

· Durban South Basin Strategic Environmental Assessment, http://www.ceroi.net/reports/durban/response/envman/sdbnsea.htm

· uMhlathuze Local Municipality, Process Plan for the Integrated Development Plan Process, http://devplan.kzntl.gov.za/Municipal/IDPs/uMhlathuze/Process%20Plan/Process%20Plan%20114.pdf

· uMhlathuze Municipality IDP Review 2005/2006 Development Strategies and implementation, http://www.richemp.org.za/TulipuMhlathuzeInternet/repository/IDP/IDP2005/343259-1.pdf

· Linkages between SEA and other assessment or planning tools, http://www.iaia.org/non_members/conference/SEA%20Prague/p%2059-82%20Stream%20C.pdf

· General Guidelines to the Environmental Impact Assessment Regulations, http://www.info.gov.za/view/DownloadFileAction?id=58606

8 List of Reference Materials and Internet Resources

8.1 Asia Pacific

8.1.1 Hong Kong

· Hong Kong: The Fact – Town Planning, (September 2007) http://www.gov.hk/en/about/abouthk/factsheets/docs/town_planning.pdf

· Town Planning Ordinance (Chapter 131), http://www.legislation.gov.hk/blis_ind.nsf/CurAllEngDoc?OpenView&Start=117&Count=30&Expand=131#131

· Hong Kong Planning Standards and Guidelines – Chapter 9, http://www.pland.gov.hk/tech_doc/hkpsg/english/ch9/ch9_text.htm

· Town Planning Board, http://www.info.gov.hk/tpb/en/about_us/intro.html

· Sustainability Assessment of HKSARG, http://www.susdev.gov.hk/html/en/su/sus.htm

· Kai Tak Planning Review, http://www.pland.gov.hk/p_study/prog_s/sek_09/website_chib5_eng/english/index.html

· Further Development of Tseung Kwan O Feasibility Study (EIA 111/ 2005), http://www.epd.gov.hk/eia/register/report/eiareport/eia_1112005/index.htm

· EIA Ordinance, http://www.epd.gov.hk/eia/english/legis/index1.html

· Technical Memorandum on Environmental Impact Assessment Process, http://www.epd.gov.hk/eia/english/legis/index3.html

8.1.2 Mainland China

· 中共中央關於制定十一五規劃的建議(2005), http://gov.people.com.cn/GB/46742/3781970.html

· 《中華人民共和國城鄉規劃法》(2008), http://www.mohurd.gov.cn/zcfg/fl/200710/t20071029_159509.htm

· 《城市規劃編制辦法》(2006), http://www.mohurd.gov.cn/zcfg/jsbgz/200611/t20061101_159085.htm

· 《中華人民共和國土地管理法實施條例》(1999), http://www.mlr.gov.cn/zwgk/flfg/tdglflfg/200406/t20040625_369.htm

· 《中華人民共和國土地管理法》(1999), http://www.mlr.gov.cn/zwgk/flfg/gtzybl/200506/t20050607_68184.htm

· 《國務院關於編制全國主體功能區規劃的意見》 (2007), http://www.mohurd.gov.cn/zcfg/gwywj/200708/t20070801_155516.htm

· 《中華人民共和國環境影響評價法》 (2002), http://zfs.mep.gov.cn/fl/200210/t20021028_84000.htm

· OECD Environmental Performance Review of China 2007, http://www.efchina.org/csepupfiles/report/200812095029729.8523773582758.pdf/Environmental%20Performance%20Review%20-%20China%2007-23-07.pdf

· 《規劃環境影響評價條例（徵求意見稿）》(2008),  http://www.mep.gov.cn/law/fg/gwyw/200803/t20080328_119745.htm

· 《編制環境影響報告書的規劃的具體範圍(試行)》和《編制環境影響篇章或說明的規劃的具體範圍(試行) 》, http://www.gzepb.gov.cn/hjgl/jsxm/xgyq/200611/t20061109_44148.htm

· 國家土地總督察公告（第1號）(2008), http://www.mlr.gov.cn/zwgk/tjxx/200805/t20080509_102644.htm

· 環保總局：中國首個省級行政區戰略環評通過評審(2006), http://www.gov.cn/gzdt/2006-06/14/content_310183.htm

· 平谷區區域戰略環境影響評價簡介(2007), http://qyzl.bjpg.gov.cn/jj.jsp

8.1.3 Japan

· Ministry of the Environment, Japan, Environmental Impact Assessment Law, 1997, http://www.env.go.jp/en/laws/policy/assess/index.html

· The Basic Environment Law, http://www.erc.pref.fukui.jp/info/Eho.html

· Ministry of the Environment, Quality of the Environment in Japan 2003, http://www.env.go.jp/policy/hakusyo_e/hakusyo.php3?kid=221

· The Japan Urban Observatory , Japan: Overview of Planning, http://www.gdrc.org/uem/observatory/jp-overview.html

· Ministry of the Environment, 2005, Framing of the Guidelines for Environmental Impact Assessment for "New Mutsu-Ogawara Development Basic Plan", http://www.env.go.jp/en/press/2005/0330c.html

· Ministry of the Environment, Environmental Impact Assessment in Japan, http://www.env.go.jp/en/policy/assess/pamph.pdf

· The Role of Development Planning in Japan, National Institute for Research Advancement, 2004, The International Conference on China’s Planning System Reform, http://www.adb.org/Documents/Events/2004/PRC_Planning_System_Reform/takafusa7.pdf

· 5^th Comprehensive National Development Plan, http://www.mlit.go.jp/kokudokeikaku/zs5-e/index.html

8.1.4 Korea

· Framework Act on Environment Policy, 2002, http://siteresources.worldbank.org/INTEAPREGTOPENVIRONMENT/Resources/Korea_Act_on_PERS_2002.doc

· Strategic Environmental Assessment in Korea, Korea Environment Institute, http://info.worldbank.org/etools/docs/library/135715/SEA_Song_Beijing_June_04_EN.pdf

· Environmental Impact Assessment Regulations and Strategic Environmental Assessment Requirements –Practices and Lessons Learned in East and Southeast Asia, by the Environmental and Social Development Unit (EASES), 2006, http://siteresources.worldbank.org/INTEAPREGTOPENVIRONMENT/Resources/EIA&SEA-regional-review.pdf

· Korea Environment Institute, 2004, http://info.worldbank.org/etools/docs/library/135715/SEA_Song_Beijing_June_04_EN.pdf

· Seungil Lee, 1998, Sustainable Spatial Development for Kwangju, South Korea, http://www.raumplanung.uni-dortmund.de/irpud/pro/lee/lee_e.htm#top

· National Territory & Land Use, National Comprehensive Territorial Plan, http://www.moct.go.kr/EngHome/DataCenter/Statistic/list3.html

·

8.1.5 Macau SAR

· Report on the State of the Environment of Macau 2006, the Environment Council, http://www.dspa.gov.mo/tc/05/2006/en/index.html

· Research Centre for Sustainable Management Strategies, http://www.ceeds.gov.mo/en/index.html

· Hengqin Island possible solution for Macau's lack of land problems, Macau Daily, http://www.macaudailytimesnews.com/index.php?option=com_content&task=view&id=11850&Itemid=28

· The Land, Public Works and Transport Bureau, http://www.dssopt.gov.mo/en/index.php

8.1.6 Singapore

· Preliminary Assessment of Singapore’s Environmental Law, National University of Singapore, http://sunsite.nus.edu.sg/apcel/dbase/singapore/reports.html

· Master Plan 2008, Urban Redevelopment Authority, http://www.ura.gov.sg/DMP2008/intro.htm

· Planning Act, Urban Redevelopment Authority , http://statutes.agc.gov.sg/non_version/cgi-bin/cgi_retrieve.pl?actno=REVED-232&doctitle=PLANNING%20ACT%0A&date=latest&method=part

· Land-use Planning/Zoning to Integrate Environmental Concerns into Economic Development Framework, Economic and Social Commission for Asia and the Pacific Virtual Conference, http://www.unescap.org/drpad/vc/conference/bg_sg_14_lup.htm

· Singapore Tourism Board, http://app.stb.gov.sg/asp/new/new03a.asp?id=5063

8.1.7 Thailand

· Urban Planning Policies in Thailand, http://www.ghb.co.th/en/Journal/Vol2/15.pdf

· Banasopit Mekvichai, Urban Land Management in Thailand, UMP-Asia Occasional Paper No. 13, www.serd.ait.ac.th/ump/op13.pdf

· Kingdom of Thailand Planning System, Ministry of Land, Infrastructure and Tourism, Japan, http://www.mlit.go.jp/kokudokeikaku/international/sp/en/general/pdf/08_Thailand/08_03_en.pdf

· Environmental Impact Assessment, http://www.onep.go.th/eia/ENGLISH/eia_eng_index.htm

· Office of Natural Resources and Environmental Policy and Planning. Thailand, http://www.onep.go.th/eng/policy/policy_1.asp

· Environmental Evaluation Bureau, http://www.onep.go.th/eia/ENGLISH/about_eieb/about_eieb.htm

· Improvement of EIA Process in Thailand, The Environmental Engineering Association of Thailand, http://www.eeat.or.th/articles/ImprovementofEIA.pdf

· Annex 11 Thailand, Environmental Impact Assessment Regulations and Strategic Environmental Assessment, http://siteresources.worldbank.org/INTEAPREGTOPENVIRONMENT/Resources/EIA&SEA-regional-review.pdf

· Addressing health in SEA for Healthy Public Policy: A contribution from SEA Development in Thailand, Heath Systems Research Institute, Thailand, 2005, http://www.iaia.org/non_members/conference/SEA%20Prague/Prague%203/D3_Nuntavorakarn_Sabrum_Sukkumnoed.pdf

· Integrated urban air quality management (UAQM) in Bangkok, http://ekh.unep.org/?q=node/1149

8.2 Europe

8.2.1 Denmark

· OECD Environmental Performance Review Denmark 2007 , http://www.oecd.org/dataoecd/12/31/39577343.pdf

· Ministry of Foreign Affairs of Denmark, 2007,http://www.danidadevforum.um.dk/en/menu/Topics/EnvironmentalSustainability/ToolsAndReferences/Guidelines/StrategicEnvironmentalAssessment/

· Experience of Strategic Environmental Assessment in regional land use planning in North Jutland County in Denmark, http://www.nordregio.se/pdf/wp009experience.pdf

· Strategic Environmental Assessment at the Policy Level: Recent Progress, Current Status and Future Prospects, the Regional Environment Centre for Central and Eastern Europe, MINISTRY OF THE ENVIRONMENT, CZECH REPUBLIC, 2005, http://www.unece.org/env/eia/documents/PolicySEA/SEA%20of%20Policies%20volume.pdf

· Spatial Planning in Denmark, http://www.mim.dk/NR/rdonlyres/FD0A7E4B-4349-453F-A704-99FF51DCC6A2/0/COP15_EP_spatialplanning07.pdf

· The Copenhagen Finger Plan, after the Administrative Reform 2007, Ministry of the Environment, http://www.ymparisto.fi/download.asp?contentid=76407&lan=FI

· Spatial Planning in Denmark, 2007, Ministry of Environment, http://www.blst.dk/NR/rdonlyres/27A9A4B3-802E-46E9-A073-DC864F0D7509/50763/planlovenpengelsk2007.pdf

· Ministry of the Environment, Denmark, 2006 National Planning Report, 2006, http://www.sns.dk/udgivelser/2006/87-7279-728-2/pdf/87-7279-728-2.pdf

· Green Structure and Urban Planning, Spatial Planning in Denmark, 2002, Progress Report, http://www.map21ltd.com/COSTC11/dk-planning.htm#A2

8.2.2 Finland

· A Practical Guide to the Strategic Environmental Assessment Directive, 2005, http://www.ehsni.gov.uk/bm_sea_practicalguide.pdf

· Legislation on land use and building, http://www.ymparisto.fi/default.asp?contentid=65699&lan=en

· Finland’s National Land Use Guidelines, Finland Council of State, Ministry of the Environment Land Use Department, 2000, http://www.environment.fi/download.asp?contentid=18009&lan=en

· The Environmental Assessment of Plans, Programmes and Policies in Finland, Ministry of the Environment, Finland, 1999, http://www.ymparisto.fi/download.asp?contentid=19877&lan=EN

· Act on the Assessment of the Impacts of the Authorities’ Plans, Programmes and Policies on the Environment, 2005, Finland, 1999, http://www.ymparisto.fi/download.asp?contentid=44490&lan=en

· Act on Environmental Impact Assessment Procedure, Ministry of the Environment, Finland, 2006, http://www.ymparisto.fi/download.asp?contentid=84193&lan=en

8.2.3 France

· French Planning System,http://www.french-property.com/guides/france/building/planning/

· Environmental Code can be obtained from http://195.83.177.9/upl/pdf/code_40.pdf

· Strategic Environmental Assessment: A sourcebook and reference guide to international experience, Barry Dalal-Clayton and Barry Sadler, 2004, http://www.iied.org/Gov/spa/documents/SEAbook/Chapter3_Oct04.pdf,page70

· European Environment Agency, Implementation of strategic environmental assessment in the transport sector - Indicator assessment. ERM, 2000: Draft results of a survey on behalf of DG Environment, of the Member States’ use of Strategic Environmental Assessment (SEA) in relation to the transport sector. Environmental Resources Management (ERM), London, United Kingdom, 2000, unpublished. Study on behalf of the DG ENV. http://themes.eea.europa.eu/Sectors_and_activities/transport/indicators/integration/TERM38%2C2001/Implementation_of_SEA_TERM_2001.doc.pdf

· Barry Dalal-Clayton and Barry Sadler, 2004, http://www.iied.org/Gov/spa/documents/SEAbook/Chapter3_Oct04.pdf,page70

· Environmental Code can be obtained from http://195.83.177.9/upl/pdf/code_40.pdf

· Contrats de plans are general agreements between the Central Government and each Regional Government on co funding certain facilities.

· Macrory. R., PENELOPE, Somport Tunnel, http://www-penelope.drec.unilim.fr/penelope/cases/france/FRAcase.htm

· SEA applied to Multimodal Corridors. Methodology developed by France: The Case of the North Corridor, P.Scriabine (1999), SETRA, France, presented at OECD/ECMT Conference on SEA for Transport, Warsaw, October 1999, available on website: http://esteast.unep.ch/includes/community_file.asp?community=est-east&file=C8D2FDE1-35A3-416B-B711-EA5F765B58EC

8.2.4 The Netherlands

· VRON, Ministry of Housing, Physical Planning and Environment (1994) Handleiding milieu-effectrapportage (Guidance on EIA), drafted by Van Haeren, J J F M and Gravendeel, J W (DHV) and Samkalden, D and Van Tilburg, R (Twijinstra Gudde), Lelystad, Koninklijke Vermande http://www.canal-link.com/documents/canallinkfinalreport.pdf

· United Nations, 2006, Strategic Environmental Assessment, Strategic Environmental Assessment (SEA): A Tool for Mainstreaming Environmental Sustainability into Development Planning , http://www.un.org/esa/sustdev/csd/csd14/lc/presentation/partidario.pdf

· Green Plan, the Resource Renewal Institute, 2003, http://greenplans.rri.org/resources/greenplanningarchives/netherlands/netherlands_1993_nepp_summ.html

· Ministry of Housing, Spatial Planning and the Environment, the Netherlands, 2004, Environmental Management Act, http://www.eel.nl/documents/EnvironmentalManagementActMay2004.pdf

· VROM, 1994, http://www.vrom.nl/pagina.html?id=25089

8.2.5 United Kingdom

· Scottish Executive (2003a) Environmental Assessment of Development Plans: Interim Planning Advice, Scottish Executive, Edinburgh, http://www.scotland.gov.uk/Publications/2003/08/18048/25563

· Community and Local Government, UK, 2007, SEA, http://www.communities.gov.uk/planningandbuilding/planning/sustainabilityenvironmental/strategicenvironmentalassessment/

· Office of the Deputy Prime Minister (2004) Sustainability Appraisal of Regional Spatial Strategies and Local Development Frameworks, Consultation Paper, ODPM, London - http://www.unece.org/env/eia/documents/SEAguides/UK%20Sustainability%20Appraisal%20for%20Regional%20Strategies%20consultation%20paper.pdf

· Office of the Deputy Prime Minister, 2005,Sustainability Appraisal of Regional Spatial Strategies and Local Development Document, http://www.caerphilly.gov.uk/pdf/Environment_Planning/LDP-Examination-Documents/UK22.pdf

· SEERA 2004, Sustainability appraisal of the consultation draft South East Plan March 2006: non-technical summary. Guildford: South East England Regional Assembly , http://www.southeast-ra.gov.uk/southeastplan/plan/view_plan.html

· UK Crown government, 2004, The Environmental Assessment of Plans and Programmes Regulations 2004, http://www.opsi.gov.uk/SI/si2004/20041633.htm

· Department of Business, Enterprise, and Regulatory Reform, UK,2007,  http://www.offshore-sea.org.uk/site/scripts/documents_info.php?documentID=5&pageNumber=2

· A Practical Guide to the Strategic Environmental Assessment Directive, 2005, http://www.ehsni.gov.uk/bm_sea_practicalguide.pdf

· Torbay Council, 2006, Local Transport Plan, 2006-2011, Strategic Environmental Assessment, Environmental Statement, http://www.torbay.gov.uk/ltp_environmental_statementapril2006.pdf

· Torbay Council, 2006, Local Transport Plan, 2006-2011, Strategic Environmental Assessment, Environmental Statement , SEA Report, pg 37, 77, http://www.torbay.gov.uk/ltp-sea-env-report.pdf

· UK Government, Planning Portal, http://www.planningportal.gov.uk/england/genpub/en/1115314175501.html

8.2.6 Austria

· Andreas Sommer, 2005, Strategic Environmental Assessment: from scoping to monitoring, http://www.sea-info.net/files/general/From_scoping_to_monitoring.pdf

· European Environmental Bureau, 2003, Strategic Environmental Assessment Making a Difference, http://www.eeb.org/activities/SEA/SEA-report.pdf

· Canadian International Development Agency, 2004, Summary of Environmental Assessment: Policies and Procedures for Development – Assistance Activities, Austria, http://www.acdi-cida.gc.ca/INET/IMAGES.NSF/vLUImages/ea%20summaries/$file/Aust.pdf

8.2.7 Germany

· Nature-oriented flood damage prevention, 2008, Planning System of Germany, http://ewa.bafg.de/servlet/is/13219/?lang=en

· Committee on Spatial Development in the Baltic Sea region Vision and Strategies 2010 around the Baltic, Compendium of Spatial Planning Systems in the Baltic Sea Region: Germany, http://vasab.leontief.net/countries/germany1.htm#2

· Federal Ministry of Transport, Building and Housing, 2003, Federal Transport Infrastructure Plan 2003, http://www.bmvbs.de/Anlage/original_17121/Federal-Transport-Infrastructure-Plan-2003.pdf

· PlanNet Europe, 2002, Implementation of the Strategic Environmental Assessment (SEA) in the Member States of the European Union, http://www.difu.de/projektforen/plannet/eng/2002/reports/germany.shtml

8.2.8 Norway

· Ministry of the Environment, http://odin.dep.no/md/english/bn.html

· Regulations on Environmental Impact Assessment, 1 April 2005, http://regjeringen.no/en/dep/md/documents-and-publications/acts-and-regulations/regulations/2005/regulations-on-environmental- impact-asse-2.html?id=512075

· The Planning and Building Act, http://www.ub.uio.no/ujur/ulovdata/lov-19850614-077-eng.pdf

· Ministry of Environment Forest and Nature Agency, Spatial Planning Department Denmark, 2004, Regional Planning in Finland, Iceland, Norway and Sweden, http://www.lpa.dk/topmenuen/Publikationer/Andre_sprog/2004/regional_planning_in%20Nordic_UK.pdf

· European Cooperation in the Field of Scientific and Technical Research, Green Structure and Urban Planning, 2000, http://www.map21ltd.com/COSTC11/norge.htm

· Norwegian Public Roads Administration, http://www.ptl.fi/NVFnorden/priv/nvf13/BRA/Billehaug.pdf

· A.H. Jansson, 1999, Strategic Environmental Assessment for Transport in Four Nordic Countries, Proceedings from the Third Nordic EIA/SEA Conference , 22-23, November, 1999, http://www.nordregio.se/Files/r003jansson.PDF

8.2.9 Portugal

· Barry Dalal-Clayton and Barry Sadler, 2004, Strategic Environmental Assessment: A sourcebook and reference guide to international experience, http://www.iied.org/Gov/spa/documents/SEAbook/Chapter3_Oct04.pdf, page 99

· Building Environmental Assessment Consensus on the trans-European transport network (BEACON), July 2004, Report on methodological approaches to SEA, including draft version of D5.1, http://www.transport-sea.net/filecount.phtml?file=D_2_1.doc&PHPSESSID=39b7a60cac4907leed204092d2aeb8, Page 55-57

· Council of Europe, Directorate of Culture, Cultural and Natural, Portugal, Heritagehttp://www.coe.int/t/dg4/cultureheritage/Source/Policies/CEMAT/Compendium%20P_en.pdf

8.2.10 Spain

· ENPLAN Guidelines, http://www.carm.es/siga/europa/interreg/enplan.htm

· Green Structure and Urban Planning, Spatial Planning in Spain, http://www.greenstructureplanning.eu/COSTC11/spain.htm

· OECD, 2004, The OECD Environment Programme, Environmental Performance Review, Executive  Summary, http://www.oecd.org/dataoecd/39/31/33843571.pdf

· Strategic Environmental Assessment in Urban and Spatial Planning, http://www.eukn.org/belgium/themes/Urban_Policy/Urban_environment/in04_cytet149-150_evaluacion-ambientalEN_2335.html

· Biodiversity in Strategic Environmental Assessment, Quality of National Transposition and Application of the Strategic Environmental Assessment (SEA) Directive, http://www.eeb.org/activities/biodiversity/Final-SEA-report-271205.pdf

8.3 North America

8.3.1 Canada

· Environment Canada, 2000, Strategic Environmental Assessments at Environment Canada: How to Conduct Environmental Assessments of Policy, Plan, and Program proposals: CIDA handbook 2004. Prepared by the Environmental Assessment Branch, http://www.acdi-cida.gc.ca/CIDAWEB/acdicida.nsf/En/EMA-218131145-PHA

· Strategic Environmental Assessment of Policy, Plan, and Program Proposals: Canadian International Development Agency (CIDA) Handbook, [Last Updated: 2007-05-15], http://www.acdi-cida.gc.ca/CIDAWEB/acdicida.nsf/En/JUD-4713514-N2T

· Canadian Environmental Assessment Agency, [Last Updated: 2006-02-02],, Strategic Environmental Assessment; the Cabinet Directive on the Environmental Assessment of Policy, Plan and Program Proposals: Guidelines for Implementing the Cabinet Directive, CEAA, Hull, Quebec, http://www.acee-ceaa.gc.ca/016/directive_e.htm

· Ontario Ministry of Natural Resources, http://www.mnr.gov.on.ca/en/index.html

· Priddle, R., Scott, D. and Valiela, D. (2004), Royal Society of Canada (2004) Report of the Expert Panel on Science Issues Related to Oil and Gas Activities, offshore British Columbia, RSC, Ottawa, http://www.rsc.ca//files/publications/expert_panels/BC_offshore/fullreportEN.pdf

· Brooks, C.A. (2004) Rights, Risks and Respect: a First Nations Perspective on the Lifting of the Federal Moratorium on Oil and Gas Exploration in the Queen Charlotte Basin of British Columbia, Natural Resources Canada, Ottawa, http://www.offshoreoilandgas.gov.bc.ca/offshore-oil-and-gas-in-bc/chronology.htm

· St Lawrence Vision 2000, 2005, Overview of Activities in the Magdalen Islands sector http://slv2000.qc.ca/plan_action/phase3/implication_communautaire/programme_interactions/bilan_98_03/iles_madeleine_a.htm#top

· Government of British Columbia , British Columbia Offshore Hydrocarbon Development, http://www.offshoreoilandgas.gov.bc.ca/reports/scientific-review-panel/document1.pdf

· Government of British Columbia, Report of the Scientific Review Panel, 2008, http://www.offshoreoilandgas.gov.bc.ca/reports/scientific-review-panel/

· Government of Ontario, Ministry of Natural Resources, 2008, http://www.mnr.gov.on.ca/en/index.html

· Ontario Planning and Development Act, 1994,  http://www.e-laws.gov.on.ca/html/statutes/english/elaws_statutes_94o23_e.htm

· Government of Canada, Privy Council Office, Canadian Environmental Assessment Agency, Strategic Environmental Assessment, The Cabinet Directive on the Environmental Assessment of Policy, Plan and Program Proposals , Guidelines for implementing the Cabinet Directive, http://www.acee-ceaa.gc.ca/016/CEAA-StrategicFinal_e.pdf

· The Cabinet Directive on the Environmental Assessment of Policy, Plan and Program Proposals , Canadian Environmental Assessment Agency, [Last Updated: 2006-02-02], http://www.ceaa-acee.gc.ca/016/directive_e.htm

· Canadian Environmental Assessment Agency, [Last Updated: 2007-03-16], review panel,  http://www.acee-ceaa.gc.ca/010/basics_e.htm#panel

8.3.2 USA

· New York City, Uniform Land Use Review Procedure, http://www.nyc.gov/html/dcp/html/luproc/ulpro.shtml

· New York City, Uniform Land Use Review Procedure, http://www.nyc.gov/html/dcp/pdf/luproc/lur.pdf

· OECD Environmental Performance Preview United States, 2005, http://www.oecd.org/dataoecd/6/28/35919474.pdf

· New York City, Department of City Planning, 2008, http://www.nyc.gov/html/dcp/html/landusefacts/landusefactshome.shtml

· Department of Transportation, California, 2007, High Speed Train,http://www.fra.dot.gov/us/content/1187

· United States Department of the Interior, 2000, Final Yosemite Plan, Yosemite National Park, http://www.nps.gov/archive/yose/planning/yvp/seis/index.html

8.4 Oceania

8.4.1 Australia

· Barry Dalal-Clayton and Barry Sadler, 2004, Strategic Environmental Assessment: A sourcebook and reference guide to international experience, Earthscan OECD UNEP IIED, p.49’

· Strategic Environmental Assessment: A sourcebook and reference guide to international experience, 2004, http://www.iied.org/Gov/spa/documents/SEAbook/TitleContents_Oct04.pdf

· South Australian’s Strategic Plan 2007 - http://www.saplan.org.au/images/pdf/South_Australia_Strategic_Plan_2007.pdf

· South Australian’s Strategic Plan - http://www.saplan.org.au/component/option,com_frontpage/Itemid,1/

· Environment Protection and Biodiversity Conservation Act - http://www.environment.gov.au/epbc/index.html

· Commonwealth of Australia Law - http://www.comlaw.gov.au/comlaw/comlaw.nsf/preview/sitemap?OpenDocument

· Government of South Australia – Planning SA - http://www.planning.sa.gov.au/index.cfm?objectId=BE2EB8B0-96B8-CC2B-6E1A9A27D634F9E5

· Department for Planning and Infrastructure – Government of Western Australia - http://www.dpi.wa.gov.au/cityregionalplanning/1688.asp

· Western Australian Planning Commission - http://www.wapc.wa.gov.au/Publications/State+planning+policies/default.aspx

· NSW legislation website - http://www.legislation.nsw.gov.au/viewtop/inforce/act+203+1979+FIRST+0+N/

· Foundry Expansion by Bradken Resources Pty Ltd at Kilburn - http://www.planning.sa.gov.au/index.cfm?objectId=28C64FF2-96B8-CC2B-669F4902C1452F56

· National Charter of Integrated Land Use and Transport Planning - http://www.atcouncil.gov.au/documents/ILUTP_charter.aspx

8.4.2 New Zealand

· Barry Dalal-Clayton and Barry Sadler, 2004, Strategic Environmental Assessment: A sourcebook and reference guide to international experience, Earthscan OECD UNEP IIED, p.79-80,83-84’

· Resource Management Amendment Act 2005 http://www.legislation.govt.nz/act/public/2005/0087/latest/DLM359902.html

· A Guide to Preparing a Basic Assessment of Environmental Effects http://www.mfe.govt.nz/publications/rma/aee-guide-aug06/aee-guide-aug06.pdf

· New Zealand’s Resource Management Act (1991) http://www.unescap.org/drpad/vc/conference/bg_nz_125_nzr.htm

· An Everyday Guide to the Resource Management Act Series http://www.mfe.govt.nz/publications/rma/everyday/index.html

· Auckland Regional Council, Regional Growth Strategy http://www.arc.govt.nz/plans/regional-strategies/regional-growth-strategy.cfm

· Environment Waikato Land and Soil http://www.ew.govt.nz/enviroinfo/land/index.htm

8.5 Development Co-operations

8.5.1 World Bank

· Cities in Transition: A Strategic View of Urban and Local Government Issues (2000), http://web.worldbank.org/WBSITE/EXTERNAL/TOPICS/EXTURBANDEVELOPMENT/0,,contentMDK:20158153~isCURL:Y~menuPK:337186~pagePK:148956~piPK:216618~theSitePK:337178,00.html

· OP 8.60 Development Policy Lending (2004), http://go.worldbank.org/G5W42NDMO0

· OP 4.01 – Environmental Assessment http://go.worldbank.org/K7F3DCUDD0

· OP 4.01 (Chinese) – Environmental Assessment http://wbln0018.worldbank.org/html/eswwebsite.nsf/BillboardPictures/OP401Chinese/$FILE/OP401Chinese.pdf

· Regional Environmental Assessment (1996), http://siteresources.worldbank.org/INTSAFEPOL/1142947-1116495579739/20507383/Update15RegionalEnvironmentalAssessmentJune1996.pdf

·  Environment Strategy Document (2001), http://web.worldbank.org/WBSITE/EXTERNAL/TOPICS/ENVIRONMENT/0,,contentMDK:20123152~menuPK:281634~pagePK:148956~piPK:216618~theSitePK:244381,00.html

· Safeguard Policies http://go.worldbank.org/WTA1ODE7T0

· Malawi: Community-Based Rural Land Development Project, Project ID: P075247 (2004-ongoing) http://web.worldbank.org/external/projects/main?pagePK=64283627&piPK=64290415&theSitePK=40941&menuPK=228424&Projectid=P075247

· Cambodia: Land Allocation for Social and Economic Development, Project ID: P084787 (2007-ongoing) http://web.worldbank.org/external/projects/main?pagePK=64312881&piPK=64302848&theSitePK=40941&Projectid=P084787

8.5.2 Asian Development Bank

· Operation Manual Section 20: Environmental Considerations in ADB Operations , http://www.adb.org/documents/manuals/operations/om20.asp

· Operation Manual Section 22: Project Performance Management System, http://www.adb.org/documents/manuals/operations/om22.asp

· Environmental Assessment Guideline, http://www.adb.org/Documents/Guidelines/Environmental_Assessment/Environmental_Assessment_Guidelines.pdf

· Urban Sector Strategy, http://www.adb.org/Documents/Policies/Urban_Sector/urban0000.asp?p=policies

· Environmental Assessment Report: Kingdom of Tonga: Integrated Urban Development Sector Project , http://aid.dfat.gov.au/countries/pacific/tonga/Documents/nukualofa-urban-development-project-report-and-recommendations.pdf

· Strategic Environmental Assessment of Fiji’s Tourism Development Plan, http://www.adb.org/projects/pres/pres_case_05.pdf

8.5.3 Inter-American Development Bank

· Environment Strategy documents, http://idbdocs.iadb.org/wsdocs/getdocument.aspx?docnum=354272

· Urban and Housing Development, Sectoral Operational Policies, http://www.iadb.org/en/about-us/urban-and-housing-development,6228.html

· Environment and Safeguards compliance policy, IADB, http://idbdocs.iadb.org/wsdocs/getDocument.aspx?DOCNUM=665902

· Urban Development, http://www.iadb.org/topics/Home.cfm?topicID=DU&parid=2&language=English

· Urban Development, Social Development and Public Governance, http://www.iadb.org//sds/SOC/site_15_e.htm

· Office of Evaluation and Oversight, http://www.iadb.org/ove/Default.aspx?Action=WUCPublicationHighlights@aboutUs

· General Operational Policies , http://www.iadb.org/exr/pic/VII/operational_policies.cfm?language=English

· Protocol on the Conduct of Country Program Evaluations, http://enet.iadb.org/idbdocswebservices/idbdocsInternet/IADBPublicDoc.aspx?DOCNUM=412391

· Strategic Environmental Studies for Guyana and Suriname, http://www.iadb.org/projects/Project.cfm?project=RS-T1239&Language=English

· Strategic Environmental Assessment of the Northern Corridor La Paz-Guayaramerín, http://www.iadb.org/projects/Project.cfm?project=TC0210054&Language=English

· Conditional Credit Line for Investment Projects,  http://www.iadb.org/sds/doc/CCLIP_Env_Procedures.pdf

8.5.4 United Nations Development Programme

· United Nations Development Programme, http://www.undp.org/

· Strategic Environmental Assessment Network, http://www.seataskteam.net/index.cfm?module=Forums&page=ForumDetails&ForumID=237

· Apply Strategic Environmental Assessment: Good Practice Guidance for Development Cooperation, http://www.oecd.org/dataoecd/4/21/37353858.pdf

· Report on the Strategic Environmental Assessment of the Yerevan City Master Plan, http://www.unece.org/env/eia/documents/SEA%20CBNA/Armenia_SEA_Yerevan_en.pdf

· Strategic Environmental Assessment of 2006-2010 National Tourism Development Programme of the Republic of Belarus, http://www.unece.org/env/eia/documents/SEA%20CBNA/Belarus_SEA_tourism_en.pdf

· UNDP Environmental Mainstreaming Strategy, www.undp.org/fssd/docs/envmainstrat.doc

· Decentralized Governance for Development: A Combined Practice note on Decentralization, Local Governance, and Urban/Rural Development, http://www.undp.org/governance/docs/DLGUD_PN_English.pdf

· UNDP’s Local Initiative Facility for Urban Environment (LIFE), http://www.undp.org/governance/programmes/life/index.htm

· Results-oriented Monitoring and Evaluation: A Handbook for Programme Managers, Office of Evaluation and Strategic Planning, http://www.undp.org/eo/documents/mae-toc.htm

8.5.5 United Nations Environment Programme

· Environmental Impact Assessment and Strategic Environmental Assessment: Towards an Integrated Approach, http://www.unep.ch/etb/publications/EnvImpAss/textONUBr.pdf

· UNEP’s Manual on Integrated Assessment: Maximizing the net development gains of trade-related policies’, http://www.unep.ch/etb/publications/etbBriefs/UNEPAssess.pdf

· Guidelines on Evaluation Indicators, Evaluation and Oversight Unit, UNEP, http://www.unep.org/eou/Evaluation/Guidelines/index.asp

· UNEP project manual: formulation, approval, monitoring and evaluation 2005, Programme Coordination and Management Unit, http://www.unep.org/pcmu/project_manual/chapters.asp

· Urban Environment Unit, UNEP, http://www.unep.org/urban_environment/About/index.asp

· Environmental Assessment of Area disengaged by Israel in the Gaza Strip, Division of Early Warning and Assessment, UNEP, http://postconflict.unep.ch/publications/UNEP_Gaza_web.pdf

· Sudan Post-Conflict Environmental Assessment, Division of Early Warning and Assessment, UNEP, http://postconflict.unep.ch/publications/UNEP_Sudan.pdf

· UNEP’s contribution to the Cities Alliance , http://www.unep.org/urban_environment/PDFs/CA_Strategy_final_external_version_13.7.05.pdf

· Partnership Framework 2008-2013, UNEP and UN-HABITAT, http://www.unep.org/urban_environment/PDFs/UEFrameworkfinal.pdf

8.6 Africa

8.6.1 South Africa

· National Environment Management Act, http://www.info.gov.za/gazette/acts/1998/a107-98.pdf

· Land Use Management Bill, http://www.info.gov.za/view/DownloadFileAction?id=82208

· National Environment Management Act Second Amendment, http://www.environment.gov.za/EIM%20WEBSITE/docs/NEMA%20Second%20Amendment%20Bill%20B56B-2003.pdf

· Local Government: Municipal Management Act, http://www.info.gov.za/view/DownloadFileAction?id=68199

· White Paper on South African Land Policy, http://land.pwv.gov.za/White%20Paper/white4.htm#Strategic%20goals%20and%20vision%20of%20land%20policy

· Strategic Environmental Assessment, Integrated Environmental Management Information series, http://www.environment.gov.za/documents/publications/2005Jan7/Book5.pdf

· Durban South Basin Strategic Environmental Assessment, http://www.ceroi.net/reports/durban/response/envman/sdbnsea.htm

· uMhlathuze Local Municipality, Process Plan for the Integrated Development Plan Process, http://devplan.kzntl.gov.za/Municipal/IDPs/uMhlathuze/Process%20Plan/Process%20Plan%20114.pdf

· uMhlathuze Municipality IDP Review 2005/2006 Development Strategies and implementation, http://www.richemp.org.za/TulipuMhlathuzeInternet/repository/IDP/IDP2005/343259-1.pdf

· Linkages between SEA and other assessment or planning tools, http://www.iaia.org/non_members/conference/SEA%20Prague/p%2059-82%20Stream%20C.pdf

· General Guidelines to the Environmental Impact Assessment Regulations, http://www.info.gov.za/view/DownloadFileAction?id=58606

9 Appendix A

Contact record for overseas agencies

Country	Agency	Email / Online submission	Submission time	Reply date	Notes of Reply
Mainland China	Ministry of the Environment of the People’s Republic of China	Email: mailbox@sepa.gov.cn	29 April 2008	No reply
Japan	Ministry of the Environment	On-line submission: https://www.env.go.jp/en/moemail/	29 April 2008	No reply
Korea	Ministry of Environment	On-line submission: http://eng.me.go.kr/docs/qna/qna.html	29 April 2008	No reply
Macau SAR	Environment Council	Email: ca@ambiente.gov.mo	29 April 2008	13 May 208	Linkage to the Report of the State of the Environment of Macao: http://www.ambiente.gov.mo/english/05/
Singapore	National Environmental Agency	Email: Contact_NEA@nea.gov.sg	29 April 2008	No reply
Thailand	Government Housing Bank	Email: CRM@ghb.co.th	10 July 2008	No reply
Denmark	Ministry of the Environment	Email: mim@mim.dk	29 April 2008	6 May 2008	Linkage to information about spatial planning and SEA are provided: http://www.mim.dk/NR/rdonlyres/FD0A7E4B-4349-453F-A704-99FF51DCC6A2/0/COP15_EP_spatialplanning07.pdf; http://www.blst.dk
Finland	Ministry of the Environment	Email: kristina.tamminen@ymparisto.fi	29 April 2008	No reply
France	Ministry of Ecology and Sustainable Development	On-line submission: http://www.developpement-durable.gouv.fr/article.php3?id_article=2340&lang=fr&forcer_lang=true	29 April 2008	No reply
The Netherlands	Netherlands Commission for Environmental Assessment	Email: mer@eia.nl	29 April 2008	7 May 2008	A document describing the general approach of SEA in the Netherlands is provided.
United Kingdom	Environment Agency (UK) Planning Service (Northern Ireland) Department of Environment Scottish Environment Protection Agency	Email: enquiries@environment-agency.gov.uk planning.service.hq@nics.gov.uk; doe.internetteam@doeni.gov.uk SEA.Gateway@scotland.gsi.gov.uk	29 April 2008 29 April 2008 29 April 2008 29 April 2008	2 -15 May 2008	Linkage for urban development policies and actions in Northern Ireland: http://www.dsdni.gov.uk/index/urcdg-urban_regeneration.htm; http://www.dsdni.gov.uk/index/urcdg-urban_regeneration/urcdg-publication ; http://www.planningni.gov.uk Linkage for Scottish SEA and plan: www.scotland.gov.uk/Resource/Doc/208174/0055210.pdf; www.scotland.gov.uk/Topics/Environment/14587 Linkage to Communities and Local Government Department:,   http://www.communities.gov.uk/planningandbuilding/about/ Key SEA links: www.environment-agency.gov.uk/seaguidelines, http://www.opsi.gov.uk/si/si2004/20041633.htm  (SEA Regulation for England), http://ec.europa.eu/environment/eia/full-legal-text/0142_en.pdf  (SEA Directive);
Austria	Ministry of Agriculture, Forestry, Environment and Water Management	Email: office@lebensministerium.at	29 April 2008	No reply
Germany	Federal Ministry for the Environment, Nature Conservation and Nuclear Safety Federal Ministry of Transport, Building and Housing	On-line submission: http://www.bmu.de/english/contact/content/4126.php Email: buergerinfo@BMVBS.bund.de	29 April 2008 26 June 2008	No reply
Norway	Ministry of the Environment	Email: postmottak@md.dep.no	29 April 2008	No reply
Portugal	Portuguese Agency for the Environment	Email: gmaotdr@maotdr.gov.pt	29 April 2008	No reply
Spain	Ministry of the Environment	Email: informacionmma@mma.es	5 August 2008	No reply
Canada	Canadian Environmental Assessment Agency Industry Canada	Email: cear.rcee@ceaa-acee.gc.ca info@ic.gc.ca	29 April 2008 29 April 2008	5 May 2008	Email forwarded to Agency’s Policy Analysis branch,
USA	Environmental Protection Agency/Land use controls	Email: lucs@icma.org	29 April 2008	No reply
Australia	Department of Finance and Deregulation	Email: feedback@finance.gov.au	29 April 2008	30 April 2008	Forward the link for Department of the Environment, Water, Heritage and the Arts, http://www.environment.gov.au/ and EPBC Act, http://www.environment.gov.au/epbc/index.html,
New Zealand	Ministry for the Environment	Email: urban.design@mfe.govt.nz	29 April 2008	No reply
World Bank	Environment Department, World Bank	Email: eadvisor@worldbank.org	29 April 2008	29 April 2008	Linkage to website for the Urban Development: http://web.worldbank.org/WBSITE/EXTERNAL/TOPICS/EXTURBANDEVELOPMENT/EXTUWM/0,,menuPK:341517~pagePK:149018~piPK:149093~theSitePK:341511,00.html
Asian Development Bank	Urban Development Section	On-line submission: http://www.adb.org/urbandev/contact.asp	10 July 2008	No reply
Inter-American Development Bank	Public Information Centre	Email: pic@iadb.org	5 August 2008	No reply
United Nations Development Programme	Environment & Energy Group Bureau for  Development Policy	Email: environmentandenergy@undp.org	29 April 2008	29 May 2008	Linkage to the Yerevan SEA Report: http://www.unece.org/env/sea/eecca_capacity.htm
United Nations Environment Programme	Economics and Trade Branch	Email: etb@unep.ch	29 April 2008	No reply
South Africa	Department of Environmental Affairs and Tourism	Email: dmthembu@deat.gov.za	5 August 2008	No reply

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* Corresponding Legislations / Guidance and corresponding environmental requirement document which could be 'General Type (e.g. Chapter 9, HKPSG)' or 'Statutory Type (e.g. EIAO)’

* Corresponding Legislations / Guidance and corresponding environmental requirement document which could be 'General Type (e.g. Chapter 9, HKPSG)' or 'Statutory Type (e.g. EIAO)’

* Corresponding Legislations / Guidance and corresponding environmental requirement document which could be 'General Type (e.g. Chapter 9, HKPSG)' or 'Statutory Type (e.g. EIAO)’

* Corresponding Legislations / Guidance and corresponding environmental requirement document which could be 'General Type (e.g. Chapter 9, HKPSG)' or 'Statutory Type (e.g. EIAO)’

* Corresponding Legislations / Guidance and corresponding environmental requirement document which could be 'General Type (e.g. Chapter 9, HKPSG)' or 'Statutory Type (e.g. EIAO)’

* Corresponding Legislations / Guidance and corresponding environmental requirement document which could be 'General Type (e.g. Chapter 9, HKPSG)' or 'Statutory Type (e.g. EIAO)’

* Corresponding Legislations / Guidance and corresponding environmental requirement document which could be 'General Type (e.g. Chapter 9, HKPSG)' or 'Statutory Type (e.g. EIAO)’

* Corresponding Legislations / Guidance and corresponding environmental requirement document which could be 'General Type (e.g. Chapter 9, HKPSG)' or 'Statutory Type (e.g. EIAO)’

* Corresponding Legislations / Guidance and corresponding environmental requirement document which could be 'General Type (e.g. Chapter 9, HKPSG)' or 'Statutory Type (e.g. EIAO)’

* Corresponding Legislations / Guidance and corresponding environmental requirement document which could be 'General Type (e.g. Chapter 9, HKPSG)' or 'Statutory Type (e.g. EIAO)’

* Corresponding Legislations / Guidance and corresponding environmental requirement document which could be 'General Type (e.g. Chapter 9, HKPSG)' or 'Statutory Type (e.g. EIAO)’

* Corresponding Legislations / Guidance and corresponding environmental requirement document which could be 'General Type (e.g. Chapter 9, HKPSG)' or 'Statutory Type (e.g. EIAO)’

* Corresponding Legislations / Guidance and corresponding environmental requirement document which could be 'General Type (e.g. Chapter 9, HKPSG)' or 'Statutory Type (e.g. EIAO)’

*

* Corresponding Legislations / Guidance and corresponding environmental requirement document which could be 'General Type (e.g. Chapter 9, HKPSG)' or 'Statutory Type (e.g. EIAO)’

* Corresponding Legislations / Guidance and corresponding environmental requirement document which could be 'General Type (e.g. Chapter 9, HKPSG)' or 'Statutory Type (e.g. EIAO)’

* Corresponding Legislations / Guidance and corresponding environmental requirement document which could be 'General Type (e.g. Chapter 9, HKPSG)' or 'Statutory Type (e.g. EIAO)’

* Corresponding Legislations / Guidance and corresponding environmental requirement document which could be 'General Type (e.g. Chapter 9, HKPSG)' or 'Statutory Type (e.g. EIAO)’

* Corresponding Legislations / Guidance and corresponding environmental requirement document which could be 'General Type (e.g. Chapter 9, HKPSG)' or 'Statutory Type (e.g. EIAO)’

* Corresponding Legislations / Guidance and corresponding environmental requirement document which could be 'General Type (e.g. Chapter 9, HKPSG)' or 'Statutory Type (e.g. EIAO)’

* Corresponding Legislations / Guidance and corresponding environmental requirement document which could be 'General Type (e.g. Chapter 9, HKPSG)' or 'Statutory Type (e.g. EIAO)’

* Corresponding Legislations / Guidance and corresponding environmental requirement document which could be 'General Type (e.g. Chapter 9, HKPSG)' or 'Statutory Type (e.g. EIAO)’

* Corresponding Legislations / Guidance and corresponding environmental requirement document which could be 'General Type (e.g. Chapter 9, HKPSG)' or 'Statutory Type (e.g. EIAO)’

* Corresponding Legislations / Guidance and corresponding environmental requirement document which could be 'General Type (e.g. Chapter 9, HKPSG)' or 'Statutory Type (e.g. EIAO)’

* Corresponding Legislations / Guidance and corresponding environmental requirement document which could be 'General Type (e.g. Chapter 9, HKPSG)' or 'Statutory Type (e.g. EIAO)’

* Corresponding Legislations / Guidance and corresponding environmental requirement document which could be 'General Type (e.g. Chapter 9, HKPSG)' or 'Statutory Type (e.g. EIAO)’

* Corresponding Legislations / Guidance and corresponding environmental requirement document which could be 'General Type (e.g. Chapter 9, HKPSG)' or 'Statutory Type (e.g. EIAO)’

* Corresponding Legislations / Guidance and corresponding environmental requirement document which could be 'General Type (e.g. Chapter 9, HKPSG)' or 'Statutory Type (e.g. EIAO)’

* Corresponding Legislations / Guidance and corresponding environmental requirement document which could be 'General Type (e.g. Chapter 9, HKPSG)' or 'Statutory Type (e.g. EIAO)’