SEA legal and institutional framework

Transcription

1 Mestrado em Urbanismo e Ordenamento do Território/ Master in Urban Studies and Territorial Management Mestrado em Engenharia do Ambiente / Master in Environmental Engineering Avaliação Ambiental Estratégica / Strategic Environmental Assessment 5º ano 1º semestre SEA legal and institutional framework 5ª aula Prof. Doutora Maria do Rosário Partidário

2 In Europe Union Directive 2001/42/EC of 27 June on the assessment of the effects of certain plans and programmes on the environment Objective To provide a high level of protection to the environment and to contribute to the integration of environmental considerations into the preparation and adoption of plans and programmes with a view to promoting sustainable development

3 SEA in Portugal Decreto-Lei nº 232/2007, de 15 de Junho Decreto-Lei nº 316/2007, de 19 de Setembro, alterado pelo Decreto-Lei nº 46/2009 de 20 de Fevereiro

4 Decreto-Lei nº 232/2007 de 15 de Junho Transposes Directive 2001/42/CE of 27 June 2001 Link to Directive 85/337 and 97/11, and to the Kiev Protocol and the Aarhus Convention

5 European model for SEA - EIA based model 1. Antecipate projectʼs EIA 2. Set framework for EIA - follows EIA culture 3. Driven by a spatial location rationale (territorial materialization)

6 Directive 2001/42/EC of 27 June Applies to: Plans and programmes, as well as any modifications to them, which are: - Subject to preparation and/or adoption by an authority at national, regional or local level, through a legislative procedure, - Required by legislative, regulatory or administrative provisions.

7 All plans and programmes prepared for : Agriculture Forestry Fisheries Energy Industry Transport Waste management Water management Telecommunications Tourism Town and country planning Land use Scope of application and that set the framework for the future approval of project foreseen in annexes I and II of EIA Directive

8 biodiversity, population, human health, fauna, flora, soil, water, atmosphere, climatic factors, material assets, Definition of environment cultural heritage, including architectural and archaeological heritage, landscape and the inter-relationship between the above factors (art. 5th, Annex I)

9 Key requirements Preparation of an environmental report, in accordance with Annex I specifications, which will inform on: - the plan or programme and respective alternatives, - current state of the environment, - links or relationships with other plans and programmes and environmental objectives, - probable effects on the environment of the plan or programme, - proposal for mitigation measures and - a monitoring programme (article 5th)

10 Key requirements Consultation of environmental authorities in scoping the environmental report (n. 4 in article 5th) Consultation of authorities and interested public, and other eventually affected countries, once the environmental report is prepared (article 6th and 7th) Consideration in decision-making of results of the environmental report and of public and instituional consultations according to 6th and 7th (article 8th) Information on decision taken (article 9th) Monitoring of environmnetal impacts of plan or programme implementation (article 10th) Verification of the quality of the environmental report (n. 2 in article 12th)

11 Does not mention SEA by name Other key features Requires SEA for all plans and programmes establishing a framework for future development consent of EIA Directive projects Covers SEA for plans requiring assessment under Habitats Directive Excludes minor modifications or small area plans not having significant environmental effects Recognized tiering - assessment at different levels of the hierarchy must be taken into account Establishes a scoping stage Necessitates the consideration of alternatives Requires consultation and public participation

12 Aarhus Convention and European Directive 2003/4/CE of 28 January Access to information, Public participation in environmental decision-making and Access to justice in environmental matters European Directive 2004/35/CE - environmental responsibility

13 UNECE Convention on EIA in a Transboundary Context (Espoo Convention) and SEA Protocol to the UNECE Convention on EIA in a Transboundary Context (Kiev Protocol) Signed in May 2003 by 34 UNECE countries open for signature to other UN countries Will not come into force for some time Almost identical to the EU Directive 2001/42/EC

14 Kiev protocol and EC Directive SEA Protocol differences from SEA Directive Focused on environment, including health, issues More detailed, EIA-based procedure Additional non-binding provisions on public participation (screening and scoping) Non-binding provisions on SEA for policies and legislation

15 COWI study (2009) concerning the report on the application and effectiveness of Directive 2001/42/EC The Study: SEA in the EU -Contains analysis of 27 MS -Examines organisational and legal arrangements and level of experience with carrying out SEA General findings of the Study: -The Directive contributes to the systematic and structured consideration of environmental concerns in planning process -The Directive provides by way of its formality further structure to existing planning procedures -Contributes to a transparent and participatory decision-making process

16 COWI study (2009) concerning the report on the application and effectiveness of Directive 2001/42/EC Specific findings: SEA in the EU -Overall picture in the 27 MS is diverse -Diverse picture because some provisions of the Directive may create powers rather then duties which are discretionary rather than mandatory -MS report limited experience - there is limited basis of evidence -Institutional arrangements - largely planning authorities supported by environmental authorities -Legal arrangement: both integration in existing legislation or new independent act -No conclusions on effectiveness of institutional and legal arrangements

17 COWI study (2009) concerning the report on the application and effectiveness of Directive 2001/42/EC Specific findings: SEA in the EU Procedures - different key stages have created problems: -Scoping: wide discretionary power left to MS -Alternatives: how to select the reasonable and relevant alternatives to a plan or a programme -Baseline reporting: right scale of data, availability and access to data for baseline description, level of detail of the environmental report, lack of good quality information, time consuming, etc. - Assessment: lack of reliable and relevant assessment methods, including forecasting and impact significant criteria, indicators for monitoring -Monitoring is a non-issue, generally not happening

18 COWI study (2009) concerning the report on the application and effectiveness of Directive 2001/42/EC SEA in the EU Other specific findings: -Difficulties in linking with EIA assessments -Concerns re proper coordination of SEA with the Habitats Directive procedures Benefits identified by MS -SEA integrates environmental consideration into decisionmaking -Allows for participation and consultation of public authorities -Increases transparency in decision-making -Helps to comply with specific environmental policy requirements

19 SEA in other countries Some countries use same approach or legal requirements China - Amendment in 2003 of the Chinese EIA Act, SEA regulations in 2009 (separate from EIA?) USA - still NEPA, 1969 Some European member states (e.g. Check Republic) Canada / 2001 Directive for SEA, 1995 EIA Act Australia - EIA, SEA and sustainability assessment New Zealand - Resources Management Act, 1991 South Africa - Environmental Management Act, 1998

20 Where national requirements improve in relation to the Directive (1): SEA in Portugal -Focus on strategic function, analysis of major options -Environmental report is not a description of environmental baseline but an instrument for an integration process in plan and programme development -SEA is not binding, except in spatial plans

21 Where national requirements improve in relation to the Directive (2): SEA in Portugal -Responsibility lies with the authority responsible for the plan or programme to: -- assess need for SEA -- determine scope and limits of assessment and request comments -- consult institutions and the public -Assure quality of environmental report -- after approval prepare the Declaração Ambiental and send to APA

22 Institutions with specific environmental responsibiltiies (art 3º) SEA in Portugal -Agência Portuguesa do Ambiente (APA) -Instituto de Conservação da Natureza e da Biodiversidade -Instituto da Água -Administrações de Região Hidrográfica -Comissões de coordenação e desenvolvimento regional -Autoridades de saúde -Municípios da área abrangida

23 SEA in Portugal

24 IGT - Territorial Management Instruments (regional and municipal) SEA in Portugal CA must integrate all institutions with environmental responsibilities mentioned in the DL 232/2007 CA must comment on the scoping and limits of SEA and on the environmental report (RA) RA, together with the plan report and institutional comments are subject to public consultation Public discussion no less than 30 days

25 SEA in Portugal IGT - PU e PP Only require SEA if effects are significant It is the municiplity decision, they can consult authorities Institutional consultation on RA is required in similar ways Public discussion no less than 22 days (PU e PP)

26 When should you use SEA? 1. When you have to decide between strategic options 2. When it is foreseen by law - When it can add value to strategic decision-making, for example facilitate decision in the following cases: - How to direct private investment to generate adaptive measures do climate change - How to conciliate multiple conflicting interests in one region (oil exploration, fisheries, tourism and nature conservation) - How to redirect investment to enhance poverty eradication, biodiversity management, economic investment and sustainable resources management?

27 What are key entry points for SEA? - Overarching strategies, programmes and plans - Policy reforms and Budget support programmes - Sectoral P/P/P, e.g. energy or health sector reform - National and sub-national spatial development plans and programmes - Trans-national plans and programmes (including multi country plans and investment programmes - Other strategic decision

28 When do you start an SEA? As early as possible in the decision process Ideally with establishment of strategic objectives, before strategic options are identified, long before proposals are put forward SEA s entry point LMATP NRTP WTVTP Characteriza*on Visioning Scenarios building Strategic op*ons Territorial model Regulatory orienta*ons Monitoring program Public discussion Final Report Planning process

29 Who gets involved in the SEA? Strategic team (Planning team, Policy advisors, etc.) Consultants NGOs Government institutions Public (as a whole or as selected target groups)

30 What is an SEA team? 1. Coordination team, including methodological guidance, linkage to strategic planning processes, pulling together the experts reports, dealing with authorities, communication strategy, etc. 2. Expert teams set up for each of the key themes in the SEA (Critical Factors for Decision-Making) 3. Stakeholders engagement experts - Depending on the type of engagement envisaged as well as the relationship with the strategic planning - who takes leading responsibility in the engagement process, is it SEA or strategic planning? 4. Any supporting staff you may find necessary

31 Who takes decisions in SEA? 1. The authority, or corporation, responsible for the strategic decision 2. Other authorities depending on legal requirements

32 SEA and planning / policy-making process may be: 1. Totally separate : separate reports, separate teams, separate coordination 2. Semi-linked: reports can be separate but same team, reports can be integrated but separate team, or separate reports and separate teams but same coordination 3. Integrated: no distinction in reports and teams, same coordination

33 How do you report in SEA? Separate reports vs Integrated reports 1. One report 2. Two reports: issues report and final final 3. Multiple: issues report, inputs to scenarios assessment, options assessment, 1-2 pages comments throughout, final report, monitoring reports...

34 What do you report in SEA? 1. Technical Information 2. Process / governance advice 3. Communicative approach

35 Next lecture - practical Strategic Reference Framework What are the key policy and planning instruments that the Arco Ribeirinho Sul needs to take into account? Bring to class those you consider important for a joint analysis