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SEA and Integration of the Environment into Strategic DecisionMaking

European Commission Contract No. B4-3040/99/136634/MAR/B4

Volume 1 Main Report Prepared by: Imperial College Consultants Ltd (ICON) William Sheate, Suzan Dagg Babtie Allott & Lomax, UK Jeremy Richardson Wissenschaftsladen Graz/Austrian Institute for the Development of Environmental Assessment (ANIDEA) Austria Ralf Aschemann ECA, Spain Juan Palerm CESAM, University of Aarhus, Denmark Ulla Steen May 2001

SEA and Integration of the Environment into Strategic Decision-Making Final Report Volume 1, May 2001 CEC Contract No. B4-3040/99/136634/MAR/B4

SEA and Integration of the Environment into Strategic Decision-Making

Volume 1 (Main Report) Final Report to the European Commission Contract No. No. B4-3040/99/136634/MAR/B4

Authors: William Sheate Suzan Dagg Jeremy Richardson Ralf Aschemann Juan Palerm Ulla Steen

May 2001

Imperial College Consultants Ltd College House 47 Prince’s Gate Exhibition Road London SW7 2QA United Kingdom Tel: 020 7594 65465 Fax: 020 7594 6570 Email: [email protected]

SEA and Integration of the Environment into Strategic Decision-Making Final Report Volume 1, May 2001 CEC Contract No. B4-3040/99/136634/MAR/B4

SEA and Integration of the Environment into Strategic Decision-Making Final Report Volume 1, May 2001 CEC Contract No. B4-3040/99/136634/MAR/B4

Contents – Volume 1 (Main Report)

Chapter Glossary Executive Summary

Page No. i- vii

1.

Introduction 1.1 Structure of the Report

1 1

2.

Background and Approach 2.1 Background to the Project 2.2 Study Approach and Research Methodology

5 5 11

3.

Review of Countries and Institutions 3.1 Introduction 3.2 Integration and the Role of SEA in the Countries Studied 3.3 Degree of Integration and Extent of SEA

21 21 21 29

4.

Processes, Institutions and Tools 4.1 Introduction 4.2 Overview of Institutions, Organisations and Communication Processes 4.3 Constitutional/Legislative Model 4.4 Process/Strategy Model 4.5 Ad hoc Institutional Model 4.6 ‘Tools’ for Integrating the Environment into Decision-Making 4.7 Discussion of Integration and SEA

43 43

5.

Case Study Analysis and Discussion 5.1 Introduction 5.2 Discussion 5.3 SEA’s Role in Environmental Integration

61 61 75 80

6.

Key Success Factors, Conclusions and Recommendations 6.1 Key Success Factors 6.2 Conclusions 6.3 Recommendations

83 83 86 87

Bibliography Appendices: Appendix 1: Terms of Reference Appendix 2: Long List of Case Studies Appendix 3: Justifications for Short Listed Case Studies

43 44 46 49 50 59

93 97 97 101 109

SEA and Integration of the Environment into Strategic Decision-Making Final Report Volume 1, May 2001 CEC Contract No. B4-3040/99/136634/MAR/B4

List of Tables

Page No.

Table 2.1 Short List of Final 20 Cased Studies Table 2.2 Integration Criteria Table 2.3 SEA Criteria

15 18 19

Table 3.1 Degree of Integration in Countries Studied Table 3.2 Extent of SEA in Countries Studied

30 39

Table 5.1 Case Study Summaries

62

List of Figures Figure 5.1 The Relationship Between Different Forms of SEA Figure 5.2 Scheme for Integrating Examples of Existing Processes and Tools into SEA and the Policy Process

77 81

SEA and Integration of the Environment into Strategic Decision-Making Final Report Volume 1, May 2001 CEC Contract No. B4-3040/99/136634/MAR/B4

Glossary Audit A term used variously to mean: a review or inventory, e.g. as part of an environmental management system; checking whether predictions made in EIA/SEA came about in practice; reviewing