Practical guidelines on strategic environmental assessment of plans and programmes

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REPORT 6383 • SEPTEMBER 2010

strategic environmental

assessment of plans

and programmes

��

Screening Survey of conditions �� _{��} �� Significant environmental_effects? �� SEA report

SEA report (work elements at the various stages)_{• Alternatives}

• Significant environmental effects • Protection measures • Impact assessmentt • Consultation report • Prerequisites • Zero alternative • Summary of plan/programme • Summary of process

• Measures for monitoring/supervision • Consultation report

SEA

process

Special synopsis (docum ent) • How the SEA

report/consultation views taken into

consideration

• Reasons for adoption/measures monitoring/supervision ��

Draft SEA_report (inc. consultation) Draft plan/

programme (possible formal_process/

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and programmes

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Orders

Order tel.: +46 (0)8-505 933 40 Order fax: +46 (0)8-505 933 99

E-mail: natur@cm.se

Postal address: CM Gruppen AB, Box 110 93, 161 11 Bromma Internet: www.naturvardsverket.se/bokhandeln

Swedish Environmental Protection Agency

Tel: +46 (0)8-698 10 00, fax: +46 (0)8-20 29 25 E-mail: registrator@naturvardsverket.se Postal address: Naturvårdsverket, SE-106 48 Stockholm

Internet: www.naturvardsverket.se ISBN 978-91-620-6383-2

ISSN 0282-7298

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Foreword to the English edition

Since 21 July 2004, Swedish law has contained provisions (chapter 6 of the Swedish Environmental Code) stating that certain plans and programmes drawn up or amended by government agencies and municipal authorities should be subject to strategic environmental assessment (SEA). Supplementary provisions were introduced on 1 July 2005 in the Ordinance (1998:905) on Environmental Impact Statements and SEA reports. The Swedish provisions are based on the EU Directive 2001/42/EC “on the assessment of the effects of certain plans and programmes on the environment”. This is a so-called “minimum directive” whose provisions must be observed by all EU member states. However, member states can introduce more stringent provisions in their own legislation if they so wish. Sweden has chosen, in principle, not to go further than is strictly required. The Protocol on strategic environmental assessment to the Espoo convention on environmental impact assessment in a transboundary context also forms a basis for the Swedish provisions.

The Swedish edition of this manual was issued in January 2009. This English edition is a translation of the Swedish manual, though with appendixes and subject indexes omitted. The appendixes omitted consist of the Swedish Environmental Protection Agency’s general guidelines on SEAs of plans and programmes (to chapter 6 of the Environmental Code and the Ordinance (1998:905) on EISs and SEA reports) and a review of the associated EU legislation and Swedish legislation. In principle, the current text contains citations and references to all the text in the general guidelines. The review of the associated EU legislation in the Swedish edition is taken from ”Implementation of Directive 2001/42 on the assessment of the effects of certain plans and programmes on the environment” (European Commission 2004 pp 47-53). Some clarifications of the text have also been included in this edition. We are aware that several of the references given are in Swedish and may be difficult to access, but we have decided that it is better to retain them than remove them.

The Swedish Environmental Protection Agency has overall responsibility for interpreting the provisions of the Environmental Code and providing guidance on them. The Agency provides government agencies at national, regional and municipal level with guidance on how strategic environmental assessments can, should and must be carried out. The county administrative board is also entrusted with providing guidance at municipal level. The National Board of Housing, Building and Planning [Boverket] has particular responsibility for providing guidance on strategic

environmental assessments relating to municipal comprehensive physical plans [översiktsplaner] and detailed development plans [detaljplaner].

This English edition has been published due to the fact that the Swedish edition was extremely well received and was one of the Swedish Environmental Protection Agency’s best-selling and most downloaded publications in 2009. Also, on several occasions during visits by delegations from other countries, we have been asked questions on how we deal with strategic environmental assessment of plans and programmes in Sweden. We trust that this edition will be of use both to people who wish to gain a general insight into how strategic environmental assessments of plans and programmes can be carried out and to people who require specific information on how the Swedish Environmental Protection Agency, as a national government agency

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responsible for providing guidance, considers that strategic environmental assessment can, should and must be carried out on the basis of Swedish provisions.

Stockholm, September 2010

The Swedish Environmental Protection Agency Martin Eriksson

Head of Department

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Foreword

Since 21 July 2004, chapter 6 of the Swedish Environmental Code [miljöbalken] has contained provisions stating that certain plans and programmes drawn up or amended by government agencies and municipal authorities should be subject to strategic environmental assessment (SEA).

This manual, which contains general guidelines on strategic environmental assessment of plans and programmes, aims to provide guidance on how government agencies and municipal authorities must, should and can act in order to comply with the provisions of the Environmental Code [miljöbalk (1998:808)]and the Ordinance on EISs and SEA reports [förordning (1998:905) om miljökonsekvensbeskrivningar]. This guidance applies to all plans and programmes which may be appropriate for strategic environmental assessment. A manual issued by the Swedish National board of Housing, Building and Planning [Boverket] is also available for plans linked to the Swedish Planning and Building Act (Swedish National board of Housing, Building and Planning 2006).

The manual provides guidance on such matters as the plans and programmes covered by the provisions, how to decide whether a SEA is required, the stages included in the SEA process, when those stages should be implemented and how they may be

implemented. The manual is aimed primarily at officials at municipal authorities and government agencies and consultants who are to take part in a strategic environmental assessment or who will decide whether a strategic environmental assessment is required.

The work of compiling the manual was carried out in the form of a project. The working group included people from the Climate Change Department and the Implementation and Enforcement Department of the Swedish Environmental

Protection Agency [Naturvårdsverket]. A reference group made up of representatives from government agencies, municipal authorities, consultants and researchers provided support in the work of preparing the manual and the general guidelines. Extracts from the manual and general guidelines were sent to almost 100 referral bodies for their opinions. Those opinions have been collected and taken into consideration.

The main author and project leader was Mikael Johannesson. Anna Wahlström was involved in preparing the manual and also wrote part of the text. Jenny Liökel, Jan-Ola Olofsson and Ann Åkerskog contributed texts, graphics or layout. Egon Enocksson was responsible for the final preparation of the general guidelines on strategic environmental assessments of plans and programmes.

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The Swedish Environmental Protection Agency would like to thank everyone who contributed supporting information and opinions during the preparation of the manual and general guidelines.

Stockholm, January 2009

The Swedish Environmental Protection Agency Martin Eriksson

Head of Department

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Summary

Since 21 July 2004, chapter 6 of the Environmental Code [miljöbalken] has contained provisions stating that certain plans and programmes should be subject to

environmental assessment. Supplementary provisions are contained in the Ordinance (1998:905) on environmental impact statements and strategic environmental

assessment reports [förordning (1998:905) om miljökonsekvensbeskrivningar]. A strategic environmental assessment (SEA) is a process involving a number of stages which government agencies and municipal authorities should carry out when they draw up or amend certain plans or programmes whose implementation may be supposed to entail significant environmental effects. Within the framework of a SEA, a SEA report should be drawn up in which the positive and negative significant environmental effects that the implementation of the plan, programme or amendment may be supposed to entail should be identified, described and assessed. Reasonable alternatives relating to the aim and geographical scope of the plan or programme should also be identified, described and assessed.

This manual, which contains general guidelines on strategic environmental assessment of plans and programmes, aims to provide guidance on how government agencies and municipal authorities must, should and can act in order to comply with the provisions of the Environmental Code and the Ordinance on EISs and SEA reports. This

guidance applies to all plans and programmes which may be appropriate for strategic environmental assessment. The manual is aimed primarily at officials at municipal authorities and government agencies and consultants who are to take part in a strategic environmental assessment or who will decide whether a strategic environmental assessment is required.

The aim of a strategic environmental assessment is to “integrate environmental aspects into the plan or programme so as to promote sustainable development” (chapter 6, section 12 of the Environmental Code). In order for this to be possible, the work on the strategic environmental assessment must be integrated with the work on the plan or programme. Continuous feedback should therefore occur between the strategic environmental assessment process and the plan or programme process so that, for example, the various alternatives arising out of the process can be developed or discarded on the basis of analyses of their environmental impact.

In order to decide whether a strategic environmental assessment is required, the government agency or municipal authority should first carry out what is referred to as screening. It is important that the government agency and municipal authority should comply with the provisions of the Environmental Code and the Ordinance on EISs and SEA reports, particularly when deciding whether a strategic environmental assessment is required. If a strategic environmental assessment that should have been carried out

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is not carried out, a plan or programme could under certain circumstances be appealed, which could lead to the cancellation of the plan or programme.

The figure below shows the different stages included in the process, from screening to a strategic environmental assessment and monitoring of the significant environmental effects that the implementation of the plan, programme or amendment actually causes. Even though some stages must be carried out in a particular prescribed order, as a rule it is appropriate, and sometimes even necessary, to go back and supplement certain stages in the process. The way in which the work is organised and carried out is important in determining whether both the aim of the plan or programme and the aim of the strategic environmental assessment can be achieved.

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The following points give a general overview of a suitable way of organising and carrying out the work.

• Begin the strategic environmental assessment process and the work on the SEA report as early as possible, in other words as soon as the work on the plan or programme begins.

• As far as possible clarify the conditions for the work on the strategic environmental assessment and the plan or programme at an early stage in the process.

• Integrate the work on the strategic environmental assessment with the preparation of the plan or programme with the aid of a clearly-defined process so that the design of the plan or programme can be modified during the plan or programme process.

• Focus on the aim of the strategic environmental assessment and the plan or programme throughout the process.

• Focus the work on the strategic environmental assessment on the significant positive and negative environmental effects that the

implementation of the plan, programme or amendment may be supposed to cause.

• Ensure that the work is carried out by a working group containing both planning and environmental skills as well as other skills and experience which are relevant to the plan or programme to be drawn up or amended. • First make use of existing knowledge and experience in society, but

supplement this with new knowledge as required.

• Create an open, cooperative process with the aid of effective consultation. A communication plan can facilitate such a process.

• Begin developing and assessing reasonable alternatives at an early stage to form a possible basis for strategic decisions, actions and solutions which can help to achieve the aim of both the plan or programme and the strategic environmental assessment. Present and describe them in such a way as to make the differences clear.

• Create a process with continuous feedback between the development of alternatives in the work on the plan or programme and the assessment of the environmental effects of those alternatives within the framework of the preparation of the SEA report.

• Coordinate the work on the strategic environmental assessment with work on any other impact assessments.

• If possible, make use of knowledge and conclusions from previous stages in the process. Make use, for example, of the results of screening when defining the scope of the SEA report and use the results of the scoping when performing the SEA report.

• Ensure that ample opportunity is given and a reasonable length of time is allowed for submitting opinions during the consultations.

• Continuously document the strategic environmental assessment process and the way in which opinions and proposals submitted during the drafting

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of the SEA report and the consultations have been taken into consideration and environmental aspects have been integrated into the plan or

programme.

• Be constantly prepared to re-do or supplement stages already carried out and to reassess previous standpoints.

• Continuously document the choices made and the standpoints adopted and the reasons for them.

• Continuously document the way in which assessments are carried out, the methods and tools used, the assumptions made and the way in which uncertainties are assessed and dealt with.

• As far as possible use the terminology of the Environmental Code in order to facilitate communication and avoid uncertainties during the

consultations.

• Be careful to comply with the provisions contained in chapter 6 of the Environmental Code and the Ordinance (1998:905) on environmental impact statements and strategic environmental assessment reports.

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1 Introduction

1.1 Aim, background and some definitions

This manual, which contains general guidelines, aims to provide guidance on how government agencies and municipal authorities must, should and can act in order to comply with the provisions of chapter 6 of the Environmental Code [miljöbalken] and Ordinance (1998:905) on environmental impact statements and strategic

environmental assessment reports [förordning (1998:905) om miljökonsekvens-beskrivningar]. These guidelines apply to all kinds of plans and programmes for which a strategic environmental assessment is or may be required. A manual issued by the Swedish National board of Housing, Building and Planning [Boverket] (Swedish National board of Housing, Building and Planning 2006) is also available for plans linked to the Swedish Planning and Building Act (comprehensive physical plans and detailed development plans). These manuals supplement each other.

Strategic environmental assessment of plans and programmes is a process involving a number of stages which government agencies and municipal authorities should carry out when they draw up or amend certain plans or programmes whose implementation may be supposed to entail significant environmental effects. Within the framework of the strategic environmental assessment, the positive and negative significant

environmental effects that the implementation of the plan or programme may be supposed to entail should be identified, described and assessed (chapter 6, section 12 Environmental Code; Government Bill 2003/04:116, page 39).

A strategic environmental assessment involves, among other things: • defining what the SEA report is to contain

• drawing up a SEA report, including alternatives • carrying out different kinds of consultation

• taking into consideration the SEA report and the results of the consultation before making a decision on the assumptions of the plan or programme • drawing up a special synopsis which includes information on the decision

and the grounds for the decision (chapter 6, sections 11–16 Environmental Code; Government Bill 2003/04:116, page 39). See chapter 2.

The strategic environmental assessment is preceded by screening. A decision is made as to whether a strategic environmental assessment is required when screening is carried out. See chapter 4. After the strategic environmental assessment is complete, the significant environmental impact actually brought about by the implementation of the plan or programme should also be monitored so that any negative significant environmental effect which was not previously identified can be remedied (chapter 6, section 18 Environmental Code).

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A SEA report is a document in which the significant positive and negative

environmental effects that the implementation of a plan, programme or amendment may be supposed to entail should be identified, described and assessed. The concept of “environmental effects” has been given a wide definition in the context of strategic environmental assessments of plans and programmes and includes, for example, the impact on populations, human health, material assets, buildings and ancient and cultural monuments (chapter 6, section 12, second paragraph, item 6 Environmental Code; Government Bill 2003/04:116, page 39; European Commission 2004 page 29). The provisions concerning SEA and SEA reports are contained in chapter 6 of the Environmental Code (Environmental Code [1998:808]) and in the Ordinance (1998:905) on environmental impact statements and strategic environmental assessment reports (the Ordinance on EISs and SEA reports). A document which is not designated as a plan or programme may also be subject to the rules on strategic environmental assessment. The determining factor is whether the document fulfils the most important criteria for plans or programmes. The guidelines on the EU Directive on which the Swedish legislation is based state that, “It may be that the terms should be taken to cover any formal statement which goes beyond aspiration and sets out an intended course of future action.” (European Commission 2004, pages 5–6; EU Directive 2001/42/EC). See also section 4.1 and the Swedish Environmental Protection Agency’s general guidelines on strategic environmental assessments of plans and programmes (Swedish Environmental Protection Agency 2009).

According to the Environmental Code, the aim of strategic environmental assessments of plans and programmes is to “integrate environmental aspects into the plan or programme so as to promote sustainable development” (chapter 6, section 11

Environmental Code). According to the EU Directive referred to above, the aim is also to generally provide for a high level of protection of the environment. The Protocol on Strategic Environmental Assessment to the Convention on Environmental Impact Assessments in a Transboundary Context1_{states that the aim is “to contribute to the}

integration of environmental considerations into the preparation and adoption of plans and programmes” (Government Bill 2003/04:116, page 24; EU Directive 2001/42/EC, article 1; UNECE2 2003, article 1). It may also be considered from the point of view that the role of strategic environmental assessments is to make the decision-making process more preventive, more strategic, more sustainable and less political (Therivel 2004, page 110).

In the government’s view, the rules on strategic environmental assessment of plans and programmes will lead to improvements in the basis of both decisions on plans and programmes and activities and measures (projects). It is also anticipated that decisions will be better established and that administration and decision-making will be more

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The Convention is normally referred to as the Espoo Convention. It was ratified by Sweden in 1992 and entered into force in 1997 (UNECE 1991). The Protocol was ratified by Sweden on 30 March 2006 and passed by the EU on 12 November 2008. However, it has not yet entered into force (21/01/2010).

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effective when assessing permits for activities and measures. The government’s assessment is that, overall, less rather than more time will be taken up in social planning and subsequent permit processes as a consequence of the new rules and efficiency measures, even though administration time may be expected to increase for certain plans and programmes (Government Bill 2003/04:116, pages 58–62).

The provisions of chapter 6 of the Environmental Code which state that certain plans and programmes should be made subject to environmental assessment (Environmental Code [1998:808]) entered into force on 21 July 2004. At that time, amendments were also made to the Act on Planning and Building and the Act on Municipal Energy Planning pursuant to the Environmental Code (Act [1987:10] on Planning and Building; Act [1977:439] on Municipal Energy Planning). Supplementary provisions were introduced through amendments to the Ordinance (1998:905) on Environmental Impact Statements and Strategic Environmental Assessment Reports. Those

amendments entered into force on 1 July 2005. The amendments in Swedish

legislation are a consequence of the EU Directive “on the assessment of the effects of certain plans and programmes on the environment” and the Protocol on “Strategic Environmental Assessment to the Convention on Environmental Impact Assessment in a Transboundary Context” (EU Directive 2001/42; UNECE 2003).

Some fundamental concepts

Screening: The process whereby a decision is made as to whether a strategic environmental

assessment is required.

Strategic environmental assessment (SEA): Strategic environmental assessment of plans

and programmes is a process involving a number of stages which government agencies and municipal authorities should carry out when they draw up or amend certain plans or

programmes whose implementation may be supposed to entail significant environmental effects (chapter 6 of the Environmental Code).

Strategic environmental assessment report: A SEA report is a written report in which such matters

as the significant environmental effects that the implementation of the plan, programme or amendment may be supposed to entail should be identified, described and assessed. Reasonable alternatives with regard to the aim and geographical scope of the plan or programme should also be identified, described and assessed. In the case of assessment of the environmental effects of activities and measures (projects), the corresponding document is referred to as an environmental impact statement (EIS) (chapter 6 of the Environmental Code).

Environmental effects: Besides matters normally associated with the term “environment”, in this

document the concept of environmental effects also includes such things as effects on populations, human health, material assets, buildings and ancient and cultural monuments (chapter 6, section 12, second paragraph, item 6 of the Environmental Code). The term refers to both positive and negative effects.

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1.2 Other impact assessments

There are a number of different types of impact assessments which can be used to assess the impact, effects and consequences of different proposals and whether a proposal contributes to the overall goal of national policy, i.e. sustainable development. The use of some impact assessments is regulated by a law or other statute, while others are of a voluntary nature. The various types of impact

assessments have different focuses, but may at the same time have points in common with strategic environmental assessments of plans and programmes as far as

procedures or contents are concerned. Because different impact assessments often overlap, it may often be appropriate to coordinate work on impact assessments in terms of both time and contents. See also section 3.5.

Some examples of impact assessments other than strategic environmental assessments of plans and programmes are given below:

An environmental impact assessment (EIA) is required for certain activities and

measures (projects) and the process corresponds to strategic environmental assessment of plans and programmes. The provisions on EIA, like the provisions on SEA, are contained in chapter 6 of the Environmental Code and in the Ordinance on EISs and SEA reports. The framework of an environmental impact assessment should for example include consultations and an environmental impact statement should also be produced. However, there are no requirements for monitoring as in SEAs. Another important difference is that the concept of “environment” as used in strategic

environmental assessments of plans and programmes is more precisely formulated and can be interpreted more widely. There are several important advantages with

producing SEA reports at plan and programme level as opposed to produce

environmental impact statements at project level. At a more overall or strategic level, there are, for example, greater opportunities for managing issues from a system perspective, producing and managing different alternative solutions and taking cumulative effects into consideration. See also chapter 7 and section 8.6.

Health impact assessments correspond to the environmental impact assessments

carried out for some projects, but focus on parts of the social dimension of sustainable development. Health impact assessments can also be carried out at programme and plan level and are then duly integrated into the strategic environmental assessment. Within the framework of a strategic environmental assessment, the performance of a health impact assessment can in some cases be a suitable means of identifying, describing and assessing the significant impact on the population and human health that the implementation of a plan or a programme may be supposed to entail (see chapter 6, section 12, second paragraph, item 6 Environmental Code). The context in which health impact assessments should be carried out or how they should be carried out is not governed in a law or an ordinance. The Swedish National Institute of Public Health [Statens folkhälsoinstitut] has produced guidelines for health impact

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health impact assessments and a number of case studies are available on the Swedish National Institute of Public Health website (www.fhi.se).

A social and economic impact analysis is a process which includes identifying,

assessing and reporting the advantages and disadvantages of a proposed measure for society as a whole. The social and economic benefits of measures and their

consequences are weighed against the social and economic cost and are normally expressed wholly or partly in economic terms. A social and economic impact analysis should as far as possible include all significant consequences for all groups in society (Swedish Environmental Protection Agency 2003a).

A sustainability assessment assesses the consequences of different proposals for all three dimensions of sustainable development (the environmental, social and economic dimensions). The European Commission has been carrying out sustainability

assessments on some of its proposals since 2003 (see also in the References and websites section). Strategies for sustainable development exist at national and

international level (see, for example, Swedish Government 2004, Swedish government 2006, Swedish Government 2007 and “Sustainability assessments; EU” in the

References and websites section of this report).

1.3 Notes on the text

References are included between chapters and sections in order to avoid repetition in the text and to facilitate matters for the reader. To enable the reader to locate further information on a specific area more easily, we have chosen to include references throughout the text and in some cases we have also included suggestions for further reading or other sources of information. Occasionally, intentional use is made of terms or modes of expression which may be perceived as unnecessarily bureaucratic. This applies, for example, to the terms “beakta” [take into consideration] and ”skälig tid” [reasonable time], which are used in the Environmental Code and the Ordinance on EISs and SEA reports. They are also used in this document to remove any doubt on the part of the reader that the same meaning is intended.

The manual aims to consistently differentiate between what must be done (a

requirement according to a law or ordinance), what should be done and what can be done or is considered appropriate. The term should is used in the manual mainly for expressions taken from the Swedish Environmental Protection Agency general guidelines. It is clear from the context when such is not the case. The boundaries are not always stated but we have aimed to use must, should and can in this manual in the manner described above. The references in the text also provide information on any support for the various expressions used in the manual.

Chapter 1 is an introductory chapter which, besides these notes on the text, includes a description of the aim of the manual and strategic environmental assessments, defines certain fundamental concepts, provides a background to strategic environmental

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assessment and compares strategic environmental assessments to other kinds of impact assessments. Chapter 2 contains a summary of the various stages in the process from the decision that a strategic environmental assessment is required (screening) to the environmental assessment process and follow up. Chapter 3 deals with certain overall issues in the process such as factors and working methods which are of significance for the quality of the strategic environmental assessment, integration between strategic environmental assessment and planning and coordination between different impact assessments.

Chapters 4–11 deal at greater length with the various stages in the process, from screening to monitoring the environmental effects that the plan or programme actually entails. With the exception of chapter 5, the description follows the same order as the process. Chapter 5 deals with consultation and contains information on all kinds of consultations which must be carried out and which may be of immediate importance in strategic environmental assessment. Chapters 4–11 all begin with an abstract of the contents of the chapter. There then follows a description of the aim of the stage or stages described in the chapter3. Chapters 3–11 end with a box containing a number of bullet points summarising the most important considerations in the implementation of each stage.

Chapter 12 describes the possible consequences of a failure to comply with the rules on strategic environmental assessment. Chapter 13 contains references, often with links to references in PDF format, and a list of websites where further information can be obtained.

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2 The process

This chapter summarises the process from the decision on whether a strategic environmental assessment is required (screening) to the strategic environmental assessment itself and monitoring of the significant environmental effects that the implementation of a plan, a programme or an amendment actually entails.

Figure 1 below shows all the stages included in the entire process when a strategic environmental assessment is required.

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There follows a brief description of the various stages included in the process, from screening to the strategic environmental assessment process and monitoring of the significant environmental effects that the implementation of the plan, programme or amendment actually entails. The various stages of the strategic environmental assessment should be integrated with the preparation of the plan or programme. Even though certain stages must be implemented in a certain prescribed order, as a rule it is appropriate, and sometimes even necessary, to go back and re-do or supplement earlier stages in the process. This may, for example, become necessary when analysing new alternatives or if new knowledge comes to hand during the work or the consultations. Furthermore, in order for the work to be effective, it is often appropriate to work with more than one stage at a time (Swedish Environmental Protection Agency 2009; European Commission 2004, pages 32, 34).

Below, set out first in bold face, there is an overall description of what must be done at each stage, with reference to provisions of the Environmental Code and the Ordinance on EISs and SEA reports. There is also a description of what should be done in accordance with the Swedish Environmental Protection Agency general guidelines on strategic environmental assessment of plans and programmes (Swedish Environmental Protection Agency 2009). This is followed by a more detailed description of what is required or what should be done. The following summary of each stage is necessarily incomplete. It does not, for example, describe the aim of each stage or how it must, should or can be implemented. More comprehensive descriptions of the various stages in the process are provided in chapters 4-11 below.

Screening

Decide whether or not the plan or programme should be subject to an environmental assessment (chapter 6, section 11 Environmental Code; sections 4–5, 7 of the Ordinance on EISs and SEA reports).

An environmental assessment should be carried out on plans and programmes drawn up or amended by a government agency or municipal authority which are required in a law or other statute and whose implementation may be supposed to entail significant environmental effects. The government agency or municipal authority which draws up the plan or programme is responsible for screening. Plans and programmes which are prepared for the sectors and areas listed in section 4 f of the Ordinance on EISs and SEA reports and which state the conditions for future permits for the activities and measures contemplated in section 3 or in appendix 3 to the Ordinance on EISs and SEA reports will automatically be supposed to entail a significant environmental effect. For plans and programmes which belong to this group but which only relate to detailed development plans, small areas at local level or minor amendments, a decision will be made as to whether a significant environmental effect is involved (for which a strategic environmental assessment is required), taking into account the criteria set out in appendix 4 to the Ordinance on EISs and SEA reports.

Plans and programmes which are prepared for sectors and areas other than those listed in section 4 f of the Ordinance on EISs and SEA reports will also be subject to an SEA if they state the conditions for future permits for activities which “may have an environmental effect” and the government agency or municipal authority, after taking into consideration the criteria set out in appendix 4 to the

Ordinance on EISs and SEA reports, finds that implementation may be considered to entail significant environmental effects.

All plans or programmes which include activities or measures which may have a significant environmental impact in a Natura 2000 area will always be considered to entail significant environmental effects.

The Swedish Environmental Protection Agency must be informed if another country is affected by significant environmental effects. See also “Consultation on significant environmental effects in an another country” below. See also chapter 4.

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Consultation on screening

Carry out consultation on screening in cases in which screening takes into consideration the criteria set out in appendix 4 of the Ordinance on EISs and SEA reports (section 6 of the Ordinance on EISs and SEA reports; Swedish Environmental Protection Agency 2009).

Screening should be carried out as soon as possible on the basis of the work on the plan or

programme. It should take place no later than during any consultation on the definition of the scope or at least prior to consultation on the plan or programme.

The county administrative boards, municipal authorities and government agencies concerned must be given an opportunity to issue opinions. For plans and programmes at a national level, consultation must instead take place with the Swedish Environmental Protection Agency and other central government agencies involved.

The assessment of whether a plan or programme may be considered to entail significant

environmental effects must be reported in the case concerning the plan or programme and must be made available to the general public. The results of the assessment and the reasons for it should be reported as soon as possible.

This consultation should, whenever appropriate, be coordinated with the consultation on definition of the scope.

See also chapter 5, particularly section 5.2.3.

Consultation on significant environmental effects in another country

Decide whether the implementation of the plan, programme or amendment may be supposed to entail any significant environmental effects in another country (chapter 6, section 15 Environmental Code; sections 9-11 of the Ordinance on EISs and SEA reports; Swedish Environmental Protection Agency 2009).

If the implementation may be supposed to entail significant environmental effects in another country, use the same assessment method as for the assessment of a significant environmental effects which may be supposed to occur within Sweden’s borders.

State agencies which become aware that the implementation of a plan, a programme or an amendment of a plan or programme may be supposed to entail significant environmental effects in another country must notify the Swedish Environmental Protection Agency.

Information should be submitted to the Swedish Environmental Protection Agency as soon as the State agency becomes aware of it, i.e. no later than when the scope of the SEA report is defined. See also chapter 5, particularly section 5.2.6.

Definition of the scope of the SEA report

Define the scope of the contents of the SEA report (chapter 6, sections 12–13 of the Environmental Code).

What the SEA report must contain is governed in chapter 6, section 12 of the Environmental Code, while the scope and level of detail of the contents is governed in chapter 6, section 13 of the Environmental Code. The scope and level of detail of the SEA report must be reasonable in relation to

1. assessment methods and current knowledge

2. the contents and level of detail of the plan or programme 3. the public interest

4. the fact that certain matters can be better assessed in other contexts. See also chapter 6 and section 8.6.

Consultation on definition of the scope of the SEA report

Carry out consultation on the contents, scope and level of detail of the SEA report (chapter 6, sections 12–13 Environmental Code; Swedish Environmental Protection Agency 2009).

The government agency or municipal authority must carry out consultations on the definition of the scope of the SEA report with the municipal authority or authorities or county administrative board or boards affected by the plan or programme before the decision is made. For plans and programmes at

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a national level, consultation must instead take place with the Swedish Environmental Protection Agency and other central government agencies involved.

This consultation should, whenever appropriate, be coordinated with the consultation on screening. Even if there is no requirement for wider consultation when defining the scope of the SEA report, there may be reason to invite in organisations with a particular interest and the general public, for example.

An SEA report, including alternatives

Draw up an SEA report (chapter 6, sections 11–12 Environmental Code).

Begin the work on the SEA report, including drawing up reasonable alternatives, as early as possible. Begin the work no later than when defining the scope of the SEA report.

Integrate the work on the SEA report with the work on the plan or programme.

Chapter 6, section 12 of the Environmental Code sets out what the SEA report must contain. Go through all items. Report and give reasons if parts of those items or entire items are not considered relevant to the plan or programme in question.

Draw up reasonable strategic alternatives and focus on the significant positive and negative environmental effects that the implementation of the plan, programme or amendment may be supposed to entail.

Subsequently adjust the alternatives as new knowledge arises from the work on the SEA report. Make use of any relevant knowledge and methods available in society. Supplement with new knowledge on the existing situation in the environment, as required.

Describe and give reasons for alternatives and standpoints adopted. See also chapter 7–8.

Consultation on plans or programmes and SEA report

Carry out consultations on the SEA report and the proposal for a plan or programme (chapter 6, sections 13-16 Environmental Code; section 8 of the Ordinance on EISs and SEA reports; Swedish Environmental Protection Agency 2009).

The SEA report and the proposal for a plan or programme must be made available to the government agencies and municipal authorities involved and the general public. Information on the consultation should be available on the website and notice board of the government agency or municipal authority at the very least.

The period for opinions on the SEA report must be reasonable and should be at least as long as the consultation period for the plan or programme. The minimum duration is 3 weeks.

Information may emerge during the consultation which makes it desirable or even necessary to supplement or re-do a stage of the strategic environmental assessment process.

Take into consideration opinions received and the SEA report before the plan or programme is adopted or used as a basis for regulation. See also the adoption of a plan or programme below. Document the opinions and proposals emerging during the preparation of the SEA report and during the consultation and the way in which they have been taken into consideration, as well as any choices made and standpoints taken up and the reasons for them. Documentation should be produced on a continuous basis in the form of written notes.

Adoption of a plan or programme4

Adopt the plan or programme (chapter 6, section 16 Environmental Code).

The SEA report is included as part of the supporting documentation when a decision is made on the plan or programme. In the case of municipal plans or programmes, it is appropriate for a decision on adoption to be made by the municipal council or by the committee which was responsible for drawing up the plan or programme. In the case of plans or programmes drawn up by government agencies, it

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The adoption of a plan or programme does not really form part of the environmental impact assessment process itself, but it is assumed that it will occur.

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is appropriate for the decision to be made by the management of the government agency. In certain cases, provisions exist on what body must adopt the plan or programme.

Take the SEA report and opinions received into consideration before the plan or programme is adopted or used as a basis for regulation.

The persons who took part in the consultation on the plan or programme with the associated SEA report must be informed of whether the plan or programme has been adopted.

3 General issues

This chapter deals with general issues which are important in the strategic

environmental assessment process itself but which are not associated with any specific stage of that process. These issues are important for the quality of the strategic

environmental assessment and for the ability to achieve the aims of both the strategic environmental assessment and the plan or programme.

3.1 Working methods for good quality

A “good quality strategic environmental assessment” means a process which can help achieve the aim of the strategic environmental assessment and the stages included in it and ensure that the rules for strategic environmental assessment are obeyed. Naturally this also applies to screening and monitoring. A checklist from the UNECE guidelines on the protocol on “strategic environmental assessments” is included below. The checklist contains key terms and working methods which are important for ensuring that the process is of good quality (UNECE 2007, page 182). See also section 8.2. The significant environmental effects, both positive and adverse, to which the implementation of a plan or programme can give rise should be identified, described and assessed (chapter 6, section 12 Environmental Code). Defining a significant environmental effect and placing it in context requires information, even if the effect in question is not significant. However, the focus should at all times be on the

significant environmental effect and the aim of the strategic environmental assessment and the plan or programme. See also sections 4.3.1. and 4.3.2.

The UNECE guidelines also state that a good quality process informs plan and programme makers, decision-makers and the public concerned of the significance of strategic decisions for sustainable development. Furthermore, a good quality strategic environmental assessment facilities the search for the best alternative and ensures a democratic decision-making process. This enhances the credibility of decisions and leads to more cost- and time-effective environmental impact assessments at project level (UNECE 2007, page 182).

A communication plan for work on the programme and plan can support the democratic process. It can provide support for strategic environmental assessment work in general and consultation work in particular. A communication plan should be drawn up at the introductory stage of the plan or programme. The communication plan should state, among other things, how, to whom and when you intend to communicate the plan or programme and the SEA report. The communication plan should be continually revised to enable new requirements for communication measures to be incorporated and adopted (de Laval 1999).

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Checklist for a good quality SEA

A good quality strategic environmental assessment process is:

Integrated

• Ensures appropriate environmental assessment of all strategic decisions relevant for the achievement of sustainable development.

• Addresses the inter-relationships of biophysical, social and economic aspects. • Is tiered to policies in relevant sectors and regions and, where appropriate, to

project EIAs and decision-making

Sustainability-led

• Facilitates identification of development options and alternative proposals that are more sustainable.

Focused

• Provides sufficient, reliable and usable information for development planning and decision-making.

• Concentrates on key issues of sustainable development.

• Is customised to the characteristics of the decision-making process. • Is cost- and time-effective.

Accountable

• The government agencies responsible for ensuring that the strategic decision is made are responsible for the strategic environmental assessment.

• Is carried out with professionalism, rigour, fairness, impartiality and strikes a reasonable balance between the various issues and interests.

• Is subject to independent checks and verification.

• Documents and justifies how sustainability issues were taken into consideration in decision-making.

Participative

• Informs and involves the interested and affected public, government bodies and municipal authorities throughout the process.

• Explicitly addresses the views and interests of the public and government bodies and municipal authorities in documentation and decision-making.

• Has clear, easily-understood information requirements and ensures satisfactory access to all relevant information.

Is iterative

• Ensures the availability of the results of the various assessments early enough in the environmental assessment process to influence the plan or programme. • Provides sufficient information on the actual effects that implementing a strategic

decision may be considered to have in order to judge whether there is a need to amend the proposed decision.

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The way in which the responsible government agency or municipal authority chooses to work can be of great significance for the final result. It is important to clarify all the conditions at an early stage of the process. Focus initially on the aim of the plan or programme, the problems to be solved or the goals to be achieved. The design of the plan or programme and which alternatives and actions are reasonable should not be established from the beginning. Instead, they should develop during the strategic environmental assessment process. See sections 6.2. and 7.2.

The project organisation and cooperation of any kind with managing groups, reference groups, working groups, timetables, budgets and inventories of available supporting material, goals for plan and programme work and other relevant goals, etc. are established in the preparatory work for the plan or programme. It is also important during the preparatory work to inspect the strengths and weaknesses of your organisation in an objective manner.

It is important to ask the following questions at the beginning of the process: • What functions and skills need to be involved in the process and at what

stage?

• Is there any need to amend the existing organisation or traditional roles to enable environmental aspects to be effectively integrated in the plan or programme work?

• Do available staff resources need to be supplemented by external skills, either temporarily or permanently?

• How should and how can decision-makers be involved in the process at an early stage and throughout the process?

• How should the strategic environmental assessment be integrated with the plan or programme work itself?

• To what extent should the work be carried out by the organisation’s own staff or by consultants?

The aim of the strategic environmental assessment – to integrate environmental aspects in the plan or programme – requires more integration of plan or programme work with the SEA report than is the case with strategic environmental assessments on activities and measures.

3.2 Working methods leading to poor quality

In the same way as certain working methods are important for achieving good quality strategic environmental assessments, some working methods are likely to lead to poor quality assessments. Some examples are given below of how considerable resources can be expended on strategic environmental assessments which are of little or no use or, in the worst case, which are detrimental to planning and to the environment. The following text, which may be considered somewhat provocative but which may also serve as an eye-opener, is from Therivel 2004.

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Checklist for avoiding a good quality SEA

1. Find out that you need an SEA when the strategic action is almost completed; alternatively “forget” that you need an SEA until then. Decide that none of your staff can do the SEA because they are too busy putting final touches on the strategic action.

2. Hire the cheapest consultant you can find, who happens to live far away and be unfamiliar with the area: justify this by saying that you need ’independent’ assessment of strategic action. Alternatively, get your most junior planner to do the SEA: explain that this will be “a good introduction to our strategic action”. 3. Put the consultant/junior planner into a room with the strategic action and some

blank tables on a computer. Give them detailed rules for filling out the tables, eg ”++ is totally different from +?+, and ++/? has a completely different meaning again. When adding the assessment symbols up, subtract 0.5 for each ‘?’ which comes after a ‘+’ but multiply the total of +s by 0.667 where the ‘?’ comes before”. Forget about them for three weeks while you put further finishing touches on the strategic action. Rebuff attempts to involve you or any other member of your team in the SEA process.

4. When the bleary-eyed consultant/planner has filled in all the tables, pay the consultant lots of money. Expect the planner to either quit at the first opportunity (with consequent costs in terms of hiring someone new), ore else press in an annoying manner for changes to the strategic action that simply cannot be accommodated before it is due at the printer’s (wasting their own time and that of the other planners).

5. Print out the SEA tables, wrap them in a handsome cover that says ”SEA report”, and place this on a prominent shelf. When the strategic action is put out to consultation and people ask where the SEA report is, let them look at the report only at limited and variables times, and provide only the corner of a cramped desk for them to do so

(Therivel 2004 s. 190-191)

3.3 Other parties’ participation in the process

There are a number of different parties who must or should be involved in the entire process, from screening to follow-up. The government agency or municipal authority that draws up or amends the plan or programme always has the final responsibility for the various stages of the strategic environmental assessment, including screening and follow-up (chapter 6, section 11 Environmental Code). Nevertheless, the Swedish Environmental Protection Agency has special responsibility in cases where it may be considered that a significant environmental effect will occur in “another country” and it is necessary to consult the State or States involved (section 9 of the Ordinance on EISs and SEA reports). See also section 5.2.6.

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The government agency or municipal authority that draws up or amends the plan or programme may obtain advice, support and opinions from other government agencies and municipal authorities and also from a range of organisations and the public. In the main, it is most appropriate for this to take place through the various consultations to be held. See also chapter 5 below. Different government agencies have different roles in the process, depending on their areas of responsibility and the type of plan or programme on which a strategic environmental assessment is to be carried out. For example, the county administrative board has special responsibility for collecting research studies, programmes and other supporting materials for planning kept at State agencies which are important for management of land and water in the county. The county administrative board will also provide guidance and, when so required, will supply existing materials for municipal plans which can serve as a basis when an SEA report is drawn up and at other stages in the process (chapter 6, section 20

Environmental Code). Other government agencies which must also apply the

provisions of the Environmental Code must ensure that support materials for planning which are important for management land and water, for example, are available (chapter 6, section 19 Environmental Code). See also section 8.5.2.

When carrying out SEAs on plans and programmes, it is more important and more natural to involve decision-makers at an early stage in the process than when drawing up EIAs for projects. This is because strategic environmental assessments normally deal with more wide-ranging targets and visions, i.e. more strategic issues and issues associated with politics. There may, on the other hand, be less need for and less access to help from external consultants than in the case of EIAs on projects. Environmental impact assessments on projects often deal with specific, complicated technical issues, whereas SEAs of plans and programmes are of a more wide-ranging, complex nature. If consultants are involved in the strategic environmental assessment, it is important that they should also participate in working groups in ordinary planning work to ensure that their work is integrated with the government agency or municipal authority’s work on the plan or programme and the remaining work within the framework of the strategic environmental assessment.

3.4 Integration of the planning process and the

SEA

The work on the strategic environmental assessment must be integrated with the work on the plan or programme to enable environmental aspects to be integrated in the plan or programme so as to promote sustainable development. Integration of the strategic environmental assessment process with the plan or programme work therefore forms the basis to enable the aim of the strategic environmental assessment itself to be achieved (chapter 6, section 11 Environmental Code). Integration can take slightly different forms depending on the plan or programme in question.

Effective, close cooperation in the work on the plan or programme and the work on the strategic environmental assessment means that the design of the plan or

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programme is continually amended on the basis of new knowledge emerging during the strategic environmental assessment process. In the same way, amendments to the plan or programme should affect the contents, scope and level of detail of the SEA report. It is considerably more difficult to make amendments to a plan or programme if environmental issues are taken into consideration at the end of the plan or

programme process. Those responsible for the plan or programme, who have

expended a great deal of time and trouble on its preparation, may then consider that in principle everything is complete, as least as far as the strategic choices are concerned, and may therefore be unwilling to make any changes other than the merely cosmetic. Nevertheless, close integration also involves certain risks. If environmental issues and the people representing them occupy a weak position in the organisation, close integration means that there is a greater risk of the environmental issues “disappearing in the processing” and not being ascribed their due importance in the design of the plan or programme. Objectivity, external inspection and responsibility issues are issues that risk being treated unfairly. Awareness of this and good documentation of, e.g., meetings, decisions and reservations on decisions are important tools in ensuring that environmental issues are ascribed their due importance when drawing up plans and programmes on which a strategic environmental assessment is to be carried out. The integration of the work on strategic environmental assessment with the plan or programme work should be characterised by the following features, among others:

• A coherent, combined process for the work on strategic environmental assessment and the plan or programme work.

• Management of the coherent process which makes strikes a balance between the aim of the plan or programme and the aim of the strategic environmental assessment.

• Close cooperation among the various parties involved throughout the process. See also section 3.3. This means, for example, that planners and

environmental experts should go through material together and meet, discuss and listen to different proposals in an unbiased manner, regardless of who puts forward the proposal.

• A process with continuous feedback between the development of alternatives in the work on the plan or programme and the assessment of the environmental effects of those alternatives within the framework of the preparation of the SEA report.

• The SEA report and the proposed plan or programme are developed in an integrated way throughout the process, which means that they are ready for consultation at the same time. Consultation on the SEA report is coordinated with consultation on the plan or programme.

• Effective consultation in which views and ideas are used or responded to. The processing of views and ideas is accurately documented. See also chapter 5. • A gradual decision-making process with many small and some large decisions

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• The entire process is continually documented so it can be reported in the SEA report and the special synopsis. The special synopsis should report on matters such as how environmental aspects have been integrated in the plan or programme (chapter 6, section 16 Environmental Code). See also chapters 8 and 10.

• Continual documentation and regular information, particularly with regard to all decisive choices and approvals. This contributes to an effective iterative process with rapid feedback between the work on the SEA report and the plan or programme. Such documentation and information is also necessary to make the process transparent, open and easy to participate in for the public and the various interest groups.

The above applies regardless of whether or not there is a formal plan or programme process. If there is no clear plan or programme process, a strategic environmental assessment may serve as a support for such a process. In the case of detailed plans, for example, the plan should be founded on a “programme” which sets out the starting points and targets, unless such is considered unnecessary (chapter 5, section 18, first paragraph of the Act on Planning and Building).

Figure 2 illustrates how the planning and strategic environmental assessment processes follow each other and interact. Note the links between the plan or

programme process and the strategic environmental assessment process, particularly the part dealing with the generation of alternatives for the plan or programme and the definition of the scope of the strategic environmental assessment report. Ideas and proposals are tested in this part. Some are rejected whereas others are developed in a recurring iterative process. The number of alternatives gradually falls and the remaining alternatives become clearer and are also researched and surveyed in more detail. Finally, the planning work and the work on the SEA report has progressed to a point where it is possible to formulate one or more alternatives as plan or programme proposals with an accompanying SEA report. See also chapters 7 and 8.

The starting point for the plan or programme work may vary. It may be a question of a problem which has been identified and which needs to be solved. It may also be a question of a vision or a goal that the government agency or municipal authority wishes to realise or achieve. Sometimes it forms part of the regular work of the government agency or municipal authority. In some cases, the work is initiated by trade and industry or other interest groups. See also section 7.4.

Regardless of whether or not there is a formal plan or programme process, in practice the work begins by researching the conditions and compiling supporting material. That applies to both the plan and programme work and the strategic environmental assess-ment, which should already be integrated at this stage. Planning is often creative and visionary in the earlier stages. The strategic environmental assessment itself is preceded by screening which can contribute important supporting material for later stages of the strategic environmental assessment process, particularly if screening is

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carried out pursuant to appendix 4 of the Ordinance on EISs and SEA reports. See also section 4.5.

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3.5 Coordination between different impact

assessments

It is often appropriate to coordinate the work on a strategic environmental assessment, in terms of both time and contents, with work on any other impact assessments such as, for example, those referred to in section 1.25_{. A strategic environmental}

assessment and other types of impact assessment are sometimes required for certain plans and programmes. This applies, for example, when drawing up a programme of actions in accordance with chapter 5 of the Environmental Code in order to comply with environmental quality standards. As a rule, both an impact assessment in accordance with chapter 5 of the Environmental Code and a SEA in accordance with chapter 6 of the Environmental Code are required (Government Bill 2003/2004:116, pages 28–33).

Detailed plans which mean that the plan area can be requisitioned for certain activities listed in chapter 5, section 18 of the Act on Planning and Building are subject to a requirement for both a SEA and an EIA if their implementation may be considered to give rise to significant environmental effects. For more information on this and the connection between plans of the Act on Planning and Building Act, planning instruments and assessments for permits to carry out activities under the

Environmental Code see the manual of the Swedish National Board of Housing, Building and Planning entitled “Miljöbedömningar för planer och program enligt plan- och bygglagen” [Strategic environmental assessments for plans and programmes under the Act on Planning and Building] (National Board of Housing, Building and Planning 2006, pages 37–40).

Government agencies and municipal authorities must endeavour to coordinate work on EIAs and SEAs (Chapter 6, section 22 Environmental Code; Government Bill

2003/2004:116, pages 28–29, 33, 61). The general guidelines state that “Supporting material produced during the strategic environmental assessment of a plan or

programme should also be used, where appropriate, in the work on the environmental impact assessment for an activity or measure within the area covered by the plan or programme. In the same way, supporting data produced in connection with an environmental impact assessment for an activity or measure should be used in the strategic environmental assessment for a plan or programme when the plan or programme includes that activity or measure.” (Swedish Environmental Protection Agency 2009)

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For a discussion of the advantages and disadvantages of coordinating other impact assessments with a strategic environmental assessment, see, for example, Therivel 2004, pages 61–68.