德国空间规划战略环境评价的法律界定以及对我国的启示

空间规划是国际上战略环境评价应用较为活跃的领域之一,但在我国,无论是空间规划还是空间规划环评,均处于探索和研究阶段。本文从德国空间规划法入手,着重分析空间规划法对战略环境评价的具体要求,旨在为我国今后空间规划开展战略环评提供制度上的参考。文章重点研究了screening、scoping、 层级评价、环境报告、部门咨询、公众参与、决策考虑和跟踪评价等8项有利于提高战略环境评价有效性的主要议题。研究认为,德国的空间规划战略环境评价通过制度保障实施,采用规划部门主导、其他相关部门辅助的模式,使得规划制定与战略环评实施可以有效结合,提倡经济型、节约型和务实性的环境评价,重视战略环评结果,倡导透明决策。     

Development of a Methodology for Strategic Environmental Assessment: Application to the Assessment of Golf Course Installation Policy in Taiwan

Some countries, including Taiwan, have adopted strategic environmental assessment (SEA) to assess and modify proposed policies, plans, and programs (PPPs) in the planning phase for pursuing sustainable development. However, there were only some sketchy steps focusing on policy assessment in the system of Taiwan. This study aims to develop a methodology for SEA in Taiwan to enhance the effectiveness associated with PPPs. The proposed methodology comprises an SEA procedure involving PPP management and assessment in various phases, a sustainable assessment framework, and an SEA management system. The SEA procedure is devised based on the theoretical considerations by systems thinking and the regulative requirements in Taiwan. The positive and negative impacts on ecology, society, and economy are simultaneously considered in the planning (including policy generation and evaluation), implementation, and control phases of the procedure. This study used the analytic hierarchy process, Delphi technique, and systems analysis to develop a sustainable assessment framework. An SEA management system was built based on geographic information system software to process spatial, attribute, and satellite image data during the assessment procedure. The proposed methodology was applied in the SEA of golf course installation policy in 2001 as a case study, which was the first SEA in Taiwan. Most of the 82 existing golf courses in 2001 were installed on slope lands and caused a serious ecological impact. Assessment results indicated that 15 future golf courses installed on marginal lands (including buffer zones, remedied lands, and wastelands) were acceptable because the comprehensive environmental (ecological, social, and economic) assessment value was better based on environmental characteristics and management regulations of Taiwan. The SEA procedure in the planning phase for this policy was completed but the implementation phase of this policy was not begun because the related legislation procedure could not be arranged due to a few senators’ resistance. A self-review of the control phase was carried out in 2006 using this methodology. Installation permits for 12 courses on slope lands were terminated after 2001 and then 27 future courses could be installed on marginal lands. The assessment value of this policy using the data on ecological, social, and economic conditions from 2006 was higher than that using the data from 2001. The analytical results illustrate that the proposed methodology can be used to effectively and efficiently assist the related authorities for SEA.     

EIA application in China's expressway infrastructure: clarifying the decision-making hierarchy

China's EIA Law came into effect in 2003 and formally requires road transport infrastructure development actions to be subject to Environmental Impact Assessment (EIA). EIAs (including project EIA and plan EIA, or strategic environmental impact assessment, SEA) have been being widely applied in the expressway infrastructure planning field. Among those applications, SEA is applied to provincial level expressway network (PLEI) plans, and project EIA is applied to expressway infrastructure development 'projects' under PLEI plans. Three case studies (one expressway project EIA and two PLEI plan SEAs) were examined to understand currently how EIAs are applied to expressway infrastructure development planning. Through the studies, a number of problems that significantly influence the quality of EIA application in the field were identified. The reasons causing those problems are analyzed and possible solutions are suggested aimed at enhancing EIA practice, helping deliver better decision-making and ultimately improving the environmental performance of expressway infrastructure.     

Managing uncertainties through scenario analysis in strategic environmental assessment

Planning for the future is uncertain, and scenario analysis is a method of coping with the uncertainties of future plans. This paper addresses how to deal with future uncertainties by using scenario analysis as a possible approach for conducting a strategic environmental assessment (SEA). Although scenario-based approaches have been linked to strategic planning and SEA, this paper for the first time proposes how a combined approach may be implemented using specific tools and methodologies and, further on, it also implements the first three stages of the six stages proposed for the ‘scenario-based strategic planning’ approach. This work is an attempt to standardize SEA and scenario analysis as a combined approach. The three stages are tested within the Tourism Development Plan of the Iranian province of Gilan, which has been selected as a case study.     

Multi-criteria analysis for improving strategic environmental assessment of water programmes. A case study in semi-arid region of Brazil

Multi-criteria analysis (MCA) is a family of decision-making tools that can be used in strategic environmental assessment (SEA) procedures to ensure that environmental, social and economic aspects are integrated into the design of human development strategies and planning, in order to increase the contribution of the environment and natural resources to poverty reduction. The aim of this paper is to highlight the contribution of a particular multi-criteria technique, the analytic hierarchy process (AHP), in two stages of the SEA procedure applied to water programmes in developing countries: the comparison of alternatives and monitoring. This proposal was validated through its application to a case study in Brazilian semi-arid region. The objective was to select and subsequently monitor the most appropriate programme for safe water availability. On the basis of the SEA results, a project was identified and implemented with successful results. In terms of comparisons of alternatives, AHP meets the requirements of human development programme assessment, including the importance of simplicity, a multidisciplinary and flexible approach, and a focus on the beneficiaries' concerns. With respect to monitoring, the study shows that AHP contributes to SEA by identifying the most appropriate indicators, in order to control the impacts of a project.     

Regional electricity transmission planning and SEA: The case of the electricity company ScottishPower

Since 21 July 2004, formal strategic environmental assessment (SEA) requirements are in place for certain plans and programmes in European Union member states. Many public plans and programmes have been identified to fall under these requirements, and there has been a range of research activities particularly in land use and transport planning. However, the way in which SEA is to be applied in the private sector has remained largely unclear. Furthermore, to date there has been comparatively little reported private sector experience and the concrete benefits that SEA may deliver to private companies have not yet been discussed to any large extent. In order to address this shortcoming, the paper looks at SEA application in electricity transmission planning, taking the specific case of the privatized company ScottishPower as an example. Based on the evidence obtained, it is suggested that a structured SEA process can strengthen the environmental component and improve private sector decision-making processes. Corporate governance can be improved, if SEA is applied in a tiered system, addressing different issues and tasks at distinct stages in a clearly defined decision making hierarchy.     

Sustainability Appraisal in neighbourhood planning in England

The preparation of strategic environmental assessment (SEA) inclusive sustainability appraisals (SAs) for neighbourhood plans (NPs) in England may be required when significant environmental effects are expected to arise from an NP. In this paper, we report on the result of a Ph.D. project, conducted between 2012 and 2015, in which all 15 NP SEA inclusive SAs that had been completed at the time were evaluated. In this context, the quality of SA practice was found to differ substantially. SAs were prepared either ‘in-house’ (i.e. by neighbourhood planning steering groups) or by consultants. The quality of SAs was found to be associated with their overall perceived degree of influence on the underlying NPs. Whilst the focus of this paper is on practice in England, findings are expected to be of interest to a wider international audience, in particular to those experimenting with voluntary neighbourhood/local level plan SA/SEA.     

New tools in local energy planning: experimenting with scenarios,public participation and environmental assessment

This article presents a model for local energy planning and its application in a full-scale experiment in a Swedish municipality. The model is based on legal requirement, research findings and standards of good practice and includes a combination of analytical and procedural tools intended to support rational decision-making: external scenarios, a citizens’ panel, life cycle analysis and qualitative environmental assessment (EA). The application of the model indicates that the decision-support tools selected can give several new and valuable inputs to local energy planning, such as local knowledge and values through citizen dialogue and comprehensive EAs. However, the experiment also shows that there are several challenges involved in applying the tools, for example, it is difficult to get citizens and the industry to participate and that it is complicated to combine several different tools for decision-making into a single planning process. Moreover, the experiences from the application suggest that the model for local energy planning show great potential but needs to be improved before it can be used as a standard of good practice.     

Strategic Environmental Assessment of Greenhouse Gas Mitigation Options in the Canadian Agricultural Sector

This article presents a methodological framework for strategic environmental assessment (SEA) application. The overall objective is to demonstrate SEA as a systematic and structured policy, plan, and program (PPP) decision support tool. In order to accomplish this objective, a stakeholder-based SEA application to greenhouse gas (GHG) mitigation policy options in Canadian agriculture is presented. Using a mail-out impact assessment exercise, agricultural producers and nonproducers from across the Canadian prairie region were asked to evaluate five competing GHG mitigation options against 13 valued environmental components (VECs). Data were analyzed using multi-criteria and exploratory analytical techniques. The results suggest considerable variation in perceived impacts and GHG mitigation policy preferences, suggesting that a blanket policy approach to GHG mitigation will create gainers and losers based on soil type and associate cropping and on-farm management practices. It is possible to identify a series of regional greenhouse gas mitigation programs that are robust, socially meaningful, and operationally relevant to both agricultural producers and policy decision makers. The assessment demonstrates the ability of SEA to address, in an operational sense, environmental problems that are characterized by conflicting interests and competing objectives and alternatives. A structured and systematic SEA methodology provides the necessary decision support framework for the consideration of impacts, and allows for PPPs to be assessed based on a much broader set of properties, objectives, criteria, and constraints whereas maintaining rigor and accountability in the assessment process.     

战略环境影响评价中公众参与方法研究与案例分析

公众参与有效性是衡量战略环境影响评价质量的一个重要指标,它对于提高环境管理水平具有重要的意义。本文在对比项目环境影响评价的基础上,系统阐述了战略环境影响评价公众参与的内容、对象、方式、时机、实施主体、数据处理及信息反馈,初步建立了战略环境影响评价公众参与的方法与体系,并结合典型案例进行了战略环境影响评价公众参与的过程分析。     

Strategic environmental assessment in China: motivations, politics, and effectiveness

This paper examines how strategic environmental assessment has been practiced at the national level in China through 2005 and why it has been practiced in the manner observed. Based on literature reviews and interviews carried out in 2005 and 2006, we find that bureaucratic politics between environmental and nonenvironmental ministries has limited the legislation and implementation of strategic environmental assessment to environmental assessment (EA) for a set of government plans defined in the 2003 Environmental Impact Assessment Law. Interviewees from environmental and nonenvironmental ministries and key research institutes have reported that few planning EAs have been performed at the sectoral level. Nonenvironmental ministries have either evaded the 2003 Environmental Impact Assessment Law and have not undertaken required planning EA or have organized planning EA on their own without participation by the State Environmental Protection Administration. The rising tension between the environmental and nonenvironmental ministries has limited the role of planning EA as a participatory decision-making tool. In addition to bureaucratic politics, we find that weak public participation and underemphasis on social analysis in planning EA may have further compromised the utility of planning EA.     

Integration of Environmental Assessment into the Regional Development Planning Process of the Galilee

/ The Galilee region on the northern edge of Israel constitutes more than 15% of the state's territory, supplies more than half of its drinking water needs, and is an important recreational resource and destination for Israelis. One of the main objectives of the plan for the Galilee was to devise a regional physical and economic development strategy for the years 1992-2007 that would arrest the trend of emigration of its residents, attract newly arrived immigrants to the region, and at the same time protect natural resources and environmental quality. This paper is limited to discussion of the environmental aspects of the plan. It analyzes spatial concepts for distribution of projected population growth, evaluates environmental impacts of alternative plans, and proposes a decision-making framework and tools for minimizing natural resources loss from development at the local level. Assessment of potential environmental impacts generated quantitative data of natural resources areas. Application of the data in the plan evaluation stage showed that the alternative that concentrated most of the new development in central Galilee was the second-best choice environmentally, but was preferred as the best choice for overall qualities. The planning study offers an alternative environmental impact assessment (EIA) process to the one presently used in Israel by incorporating environmental considerations at the initial plan-making stage and not at the plan-approval stage. It demonstrated that in order to be effective, environmental assessment and land-use planning should be seen as one effort that is integrated from the start and in each stage of the plan-making process.KEY WORDS: Environmental assessment; Development planning; Galilee     

土地利用规划战略环境影响评价浅探

本文在介绍国内外规划环境影响评价发展概况的基础上，提出了土地利用规划环境影响评价的重要意义。初步探讨了土地利用规划战略环境影响评价的范畴、体系、指标体系与评价方法，并建议应深入开展土地利用规划战略环境影响评价理论研究，健全相关制度，尽快出台相关技术规程。     

公众参与综合支持指数在环境影响评价中的应用

公众参与是环境影响评价工作中的内容之一。公众参与提出的建议和意见可作为环境规划管理决策的重要依据,应积极落实公众参与在环境规划管理决策的权力。采用公众参与综合支持指数研究公众对开发建设项目的支持程度,将公众参与分为强烈支持、比较支持、一般支持和反对4个等级。实例应用表明,公众参与综合支持指数计算结果与环境管理决策基本一致,公众参与综合支持指数可作为一种定量方法,为环境影响评价、环境规划管理提供决策支持。     

Strategic Environmental Assessment of the Effects of European Union's Regional Development Plans in Doñana National Park (Spain)

The European Union's Structural Funds are implemented by means of Regional Development Plans (RDP), whose regionally scoped environmental assessment is required. We highlight the deficiencies faced by this approach when subregional areas with high conservation natural values are involved and illustrate it with the case of the RDP of Andalusia region on Doñana National Park area (Spain). Commissioned by the World Wildlife Fund, a Strategic Environmental Assessment (SEA) of the Andalusian RDP was carried out focusing on Doñana and its area of influence. This is a complex space where some of the most environmentally valuable features in the continent coexist with a surrounding intense and multi-sector economic activity, threatening its conservation. In the absence of an established sustainability framework in the Region, a “trickle-down” SEA approach evidenced the need to produce a set of environmental, economic and social guidelines for sustainable management of land, against which the RDP objectives were tested for coherence. An “incremental” SEA approach was also tested, which involved the identification of 79 measures and actions stemming from the RDP provisions and other concurrent planning documents reviewed and the qualitative assessment of their individual and cumulative potential impacts on Doñana environments. In the light of the results, a set of complementary mitigating measures was proposed for inclusion in tiered stages of the planning process. Measures to avoid, reduce, remedy and monitor the major types of impact were proposed, including provisions for public participation. SEA emerges as an instrument for non-governmental organizations (NGOs) to carry out independent assessment of public development initiatives.     

Enhancing environmental integration in strategic environmental assessment (SEA): insight from sensitivity analysis

This paper explores the potential of sensitivity analysis to improve the Strategic Environmental Assessment (SEA) process and enhance environmental integration. It applies the Sensitivity Model Prof. Vester® to the England SEA process, following two objectives: (1) establishing how different strategic environmental assessment (SEA) elements affect environmental integration; and (2) establishing the sensitivity of the SEA process in terms of response to change. The findings showed that no single element was critical to enhancing environmental integration. Several elements, acting as sources of uncertainty, leverage or stability in the process, were also identified, highlighting their potential as priority targets for process improvement. It is concluded that sensitivity analysis can supplement current expert-led approaches to SEA improvement by (1) identifying elements likely to influence environmental integration and (2) testing the likely performance of recommendations for process improvement.     

土地利用总体规划的环境影响评价指标体系研究

科学合理的土地利用总体规划环境影响评价指标体系既可提高规划的科学性,又可为新一轮规划的修编提供科学依据。运用系统分析法、归纳演绎法、专家咨询法等方法研究建立土地利用总体规划的环境影响评价指标体系,初步将其构建为目标层、准则层和指标层3个层次,包括社会指标、环境指标及资源指标。     

A longitudinal study of the links between Local Air Quality Management and Local Transport Planning policy processes in England

The second round of the Local Transport Plan (LTP2) process in England presents unique challenges and opportunities for integrating Local Air Quality Management (LAQM) within current transport planning policy. Using content analysis of LTP2 documents from nine English authorities, and results from a questionnaire survey of local government officers undertaken in late 2007, this paper charts the changes in the integration of air quality management within the transport planning process since 1997. While substantial improvements in policy integration were observed within the selected case studies, the paper demonstrates that such improvements are often constrained by institutional complexities that create implementation gaps between national objectives and local decision-making outcomes.     

构建土地利用规划环境影响评价的指标体系

20世纪90年代中期,土地科学界和生态学界曾提出:"无论将土地作为生产性利用还是非生产性利用,都会形成一种干扰,使生态环境的不确定性增大,从而降低土地利用规划的科学性和合理性".在这一背景条件下,尝试性地按照土地利用类型对其所带来的环境变化影响与效应进行了分析,并在此基础上构建土地利用规划环境影响评价指标体系及可采用的评价方法.     

战略环境影响评价的发展与应用

本文介绍了SEA的发展背景，现有项目EIA在PPPs决策层次上的缺陷和可持续发展理论如何导致SEA的发展，新发展的SEA比较传统的项目EIA所具有的优点，以及当前对SEA的认识和理解，在实践中所采用的形式，和成功的SEA必具备的特征，同时对在当前形势下SEA的实践方式进行了一定的评价，发现SEA的增值效应是SEA实施的先决条件。