Faculty of Sciences and Technology New University of Lisbon

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1 Faculty of Sciences and Technology New University of Lisbon STRATEGIC IMPACT ASSESSMENT FOR SPATIAL PLANNING Methodological guidance for application in Portugal prepared by Maria do Rosário Partidário for the Direction-General for Spatial Planning and Urban Development Ministry of the Cities, Spatial Planning and the Environment Portugal Final Report of a Research Project English version: June, 2003 Title of the Portuguese version: Proposta para um Guia sobre a Metodologia de Avaliação Estratégicas de Impactes de Planos de Ordenamento do Território (November 2002)

2 STRATEGIC IMPACT ASSESSMENT FOR SPATIAL PLANNING METHODOLOGICAL GUIDANCE FOR APPLICATION IN PORTUGAL How to use this document... 3 Foreword to the English version INTRODUCTION What is this document Scope of application of this guidance Objectives of the guidance Target group(s) How is this document organized BACKGROUND AND CONTEXT FOR STRATEGIC IA What is Strategic IA Relationship between Strategic IA and EIA European Directive 2001/42/CE of 27th June STRATEGIC IA MODEL Introduction Assumptions of the Strategic IA model Strategic IA procedural stages METHODOLOGY FOR STRATEGIC IMPACT ASSESSMENT Model of spatial planning process Strategic IA methodological stages Articulation between Strategic IA and the planning process Acknowledgements Bibliography ANNEX I Techniques and/or Methods used in Strategic IA ANNEX II Sustainability indicators

3 How to use this document Scope of application (ch. 1) defines the object of the guidance clarifies its scope of application identifies key stakeholders in Strategic Impact Assessment (IA) Concepts and requirements (ch. 2) clarifies the concept and objectives of Strategic IA addresses the fundamental differences in relation to the EIA model as applied to projects introduces the European Directive 2001/42/CE of 27 June Strategic IA model (ch. 3) introduces the main lines and assumptions of the Strategic IA model introduces the Strategic IA methodological approach and its relationship to an IA phased procedure Planning process model (ch. 4.1) describes the four fundamental phases of the spatial planning process to which the Strategic IA process applies identifies the components of the planning phases Strategic IA methodology (ch. 4.2) Identifies, and defines, the stages of the proposed Strategic IA methodology: objectives functions (and activities) linkage to the planning process Articulation Strategic IA planning process, with respect to (ch. 4.3): objectives of the planning phase planning activities relevant for Strategic IA Strategic IA activities relevant for planning joint activities Strategic IA and planning Strategic IA outcomes Diagramatically it presents: the four phases of the underlying planning process the three components that provide a basic structure to the planning process the Strategic IA functions, per planning phase the articulation between the Strategic IA and the planning process Complementary information: Bibliography Indicative list of methods and techniques applicable in Strategic IA 3

4 Foreword to the English version This document is an abbreviated translation of the original guidance document produced in Portuguese on a methodological approach to Strategic Impact Assessment (IA) applied to spatial plans in Portugal. Some sections that would only be relevant to the Portuguese audience have not been included in the current English version. These refer mainly to the original foreword, parts of section 1, the glossary and the copy of the European Directive (Annex I of Portuguese version). However, to enable consistency in understanding the concept of Strategic IA that is proposed for application to the Portuguese spatial planning process, references to the Portuguese planning practice are maintained. Impact Assessment has been in operation in Portugal since the early 1980s. It has always applied to development projects, in the form of Environmental Impact Assessment (EIA). It addresses socio-economic (mostly social) impacts, along with environmental impacts, however the environmental perspective is still dominant and only in very few cases have more integrated perspective been achieved. The EIA process in Portugal is administered by the Institute of the Environment, Ministry of Cities, Spatial Planning and the Environment. Although it is fair to say that, in the after-eia era, development projects have improved in quality, perhaps due to the increasing involvement of impact assessment consultants in early stages of projects conception, and that there is a much wider environmental culture amongst major development proponents, now recognising the benefits of earlier consideration of environmental and social issues, EIA administrative processes and public (NGOs) consultations are still very much seen as a barrier to development. This means that public and private developers have accepted that the environment must be factored in their investment picture, however EIA, as an administrative process, is undermined by bureacratic and deep ecology factors and is not playing an effective role. EIA was identified in the Environmental Policy Act of 1987 as an environmental policy instrument with application to development projects, plans and programmes. It was legally formalized for the first time in 1990, but with application only to development projects. Plans, programmes and even policies were not included. The EIA legislation was then reviewed in May, 2000, but the scope on the project s level was maintained. The need for an application of impact assessment to policies, plans and programmes in Portugal has been acknowledged years ago, especially by development sectors such as spatial planning, urban development and transports, and to a lesser extent by the energy and water development. However, odd reasons have impeded its conceptualization and operationalization. Occasional attempts to extend EIA into programme and planning levels ended-up as environmental planning, or just project s focused exercises. The wider discussion, and training, that have taken place so far in Portugal were led by the Direction-General for Spatial Planning and Urban Development, which is the national spatial planning authority, and by the Transports and Public Works Environmental Auditing Office. This guidance on Strategic IA is the very first of the kind in Portugal, and has been promoted by the national spatial planning authority. 4

5 The adopted term Strategic IA is avoiding the use of the word environment, not because the environment is not crucial and central in this approach, but because strategically it is wrong to keep an environmentally single focus, isolated from integrated and/or sustainability discussion contexts. This document presents the methodological guidance that was prepared in Portugal to assist the application of Strategic IA to spatial plans at regional, inter-municipal and municipal levels as defined in the Spatial Planning Act and regulations (Law n. 48/98 of 11th August, and Decree-Law n. 380/99, of 22nd September. Urban and district plans were not included as they have a more operational, site-specific project nature in the Portuguese planning practice and therefore miss to have a strategic nature. Current planning practice in Portugal has demonstrated that plans, while complying with the same planning procedures, are not always carried out with the same planning methodological approaches. This depends on the practice and experience of the planning team doing the job. As a consequence plans can be either problemssolving or more objectives-led, and can adopt a more rationalised and streamlined approach or a more strategic approach. That is why the Strategic IA methodology that was produced is based on a simplified planning process, supported by its fundamental functions and activities and adaptable to different kinds of planning methodologies that is being used. The proposed Strategic IA methodology was conceived primarily to be used by planning teams which job is to define the concept, formulate and design spatial plans. It also intends to be useful to planning teams which responsibility is to overview the effective implementation of spatial plans. Its purpose is to assist the planning process at an ex-ante stage of the planning process, but also at the ex-post stage when the plan becomes effective. The Strategic IA methodology is designed to be used in close articulation with the planning methodology, to be accomodated to the sequence of planning activities and functions that are normally part of a plan development process. It is understood that only through this relationship of the planning and impact assessment technical methodologies can Strategic IA be effective in assisting the integration of the environmental, social and economic components in plan preparation and implementation and thus increasingly contribute to sustainable planning. 5

6 1. INTRODUCTION 1.1 What is this document This document contains guidance to assist the application of Strategic Impact Assessment (IA) to spatial planning in Portugal developed in the context of the research project Guidelines for Strategic Impact Assessment in Spatial Planning in Portugal, a project assigned by the Portuguese Direction-General for Spatial and Urban Planning and carried out at the Faculty of Sciences and Technology, New University of Lisbon in Portugal. It describes a technical methodology for Strategic IA to be used during the planning process as part of the conception, preparation, discussion, approval and implementation of spatial plans in Portugal. The Strategic IA methodology was designed to be well articulated, and even integrated, with the planning methodology, while the institutional and legal procedures still need to be established. However it is recommended that the impact assessment and the planning processes are kept separated, while well articulated. The preparation of the guidance involved consultations with planning and impact assessment practitioners and authorities. Two workshops, inter-spaced by 6 months, were conducted for that purpose and the final draft was reviewed by a selection of planning and impact assessment professionals. 1.2 Scope of application of this guidance The guidance applies to regional, special, inter-municipal, and municipal master plans, as defined in the Spatial Planning Act and regulations (Law n. 48/98 of 11th August, and Decree-Law n. 380/99, of 22 Septembre). 1.3 Objectives of the guidance The purpose of the guidance is to make available a technical methodology for Strategic IA that can assist the planning teams: (1) in their planning methodologies to conceive and design spatial plans; (2) in the preparation of the information required by future requirements that will comply with the European Directive 2001/42/CE of 27th June on the environmental effects of certain plans and programmes on the environment; and (3) in ex-post phases of plan s implementation to monitor and evaluate planning effectiveness. The technical methodology for Strategic IA has as main objectives: 1. to improve the planning process, and the quality of plans, in relation to its environmental component, contributing to processes of global sustainability. 6

7 2. to ensure the compliance with the technical requirements of the European Directive 2001/42/CE, of 27th June, in the context of administrative procedures and legal and institutional framework that will be adopted in the future by the Portuguese government. 1.4 Target group(s) The guidance has been prepared for use by all professionals and institutions involved in the conception, preparation, discussion, approval and implementation of spatial plans in Portugal, and in particular by: the planning teams; the municipalities; the regional authorities responsible for the preparation and/or content review of spatial plans; the national authorities responsible for the content review, approval and/or ratification of spatial plans; the institutions that participate in consultation processes previously to the adoption and ratification of spatial plans; but also other groups including the non-governmental organizations; the citizens. The guidance is especially dedicated to the technical planning teams that are involved in the preparation of regional, special, inter-municipal and municipal spatial plans, to provide them with methodological support that needs to be adjusted to their respective spatial planning methodologies. To that purpose the planning teams should include environmental experts and also impact assessment professionals, or provide for separate planning and impact assessment teams to work together. The guidance can be used by the authorities that are responsible for the preparation and approval of spatial plans, as much as for its effective implementation, and monitoring, and also, when required, for its review and post-evaluation. After June 2004 these authorities should follow national regulations that implement the European Directive 2001/42/CE of the European Parliament and the Council, of June 27th, relative to the assessment of the effects of certain plans and programmes on the environment. The guidance can also be used by the authorities that review, approve and/or ratify the spatial plans, and also the Strategic IA reports, and who also will have to comply with the mentioned European Directive. And finally the guidance may be a reference to the non-governmental organizations and citizens, and also to professionals in other development sectors, private businesses and academia that participate in the spatial development processes in various different forms and who are also responsible, in their own capacity, for a balanced use of the territory and respective physical, ecological, social, cultural and economic resources. 7

8 1.5 How is this document organized This document is structured in four key sections: Section 1 where the objectives and scope of application of this guidance are introduced, and the key users identified. Section 2 where the concept of Strategic IA is introduced and its background. Section 3 where the development of the Strategic IA model adopted in this guidance is explained, including its underlying assumptions. Section 4 describes the Strategic IA methodology and the articulation between the Strategic IA and the spatial planning process. Finally the Annexes include a generic list of methods and techniques with application in Strategic IA and a short list with sources of indicators of sustainability. 8

9 2. BACKGROUND AND CONTEXT FOR STRATEGIC IA 2.1 What is Strategic IA Strategic Impact Assessment (IA) is a decision support tool with application to strategic decisions and should be conceived as a systematic approach to the identification, analysis and assessment of impacts, anticipating and facilitating strategic decision-making. The term Strategic IA was adopted to ensure the use of a term that is sound, clear and objective in relation to the purpose of this decision support instrument: to address strategic decisions, using impact assessment approaches, functions and tools, covering environmental, social and economic impacts, preferably in a sustainability perspective (and without limiting assessment to environmental issues, in a restrictive sense), in other words ensuring a wider scale and scope in the impact assessment that are consistent with the scale and scope of the strategic decision to which it applies. Impacts of a strategic nature are here considered to be those generated by causes (actions and decisions) of strategic nature that result into effects (outcomes or consequences of those actions) which should be strategically interpreted. Strategy refers to the set of main lines of action (roads in a road map) that enable achieving intended long-term objectives (intended destination), in the framework of adopted principles and assumptions. The best strategy will be the best route (not the best road) to get there, provided current knowledge, contexts, perspectives and expectations Strategic IA operates preferably at conceptual stages in the preparation of policies, plans and programmes, not over its ouput, and attempts to influence the way priorities are established, that key decisions are made and also to influence the range of issues that are factored in decision-making. The objectives of Strategic IA are indicated in Box 1. Box 1 The objectives of Strategic IA contribute to more sustainable decision-making (environment, social, economic, institutional and political issues in a reconciled approach); enable understanding environmental values in broader contexts and the cross-integration with social and economic values promote integrated decision-making with respect to a wide range of relevant view points (defined according to cultural and technical factors); facilitate a new form of decision-making improving the institutional and political contexts that surround subsequent decision-making; 9

10 In Strategic IA the actions that cause impacts are intentions for development, in other words, the definition of the development concept, the spatial planning model and its aimed objectives and targets, and also the development options that enable achieving those objectives. At the level of plans and programmes Strategic IA can also look at concrete planning proposals, which are offered as problem-solving solutions or investment actions. However Strategic IA must always maintain a strategic focus, must always address the impacts that result from the concept and strategy for development, represented by a consistent set of development actions, and should not be driven by the impacts of each individual actions per se. These can be addressed at a later stage by other impact assessment tools that operate with more discrete events (the EIA-based model of impact assessment) (see Box 2). Box 2 Impact Assessment at different levels of decision-making Decision-making level Object of assessment Impact assessment instrument Policy-making Vision, global objectives, Strategic IA development intentions and priorities Planning / Programming Development concept, Strategic IA lines of strategic action, spatial model, consistent strategy for programmatic investment Plan / Programme Planning or programmatic EIA/SEA outcomes, discrete proposed development actions Project Development actions EIA 2.2 Relationship between Strategic IA and EIA Strategic IA is an instrument in the impact assessment family of tools, as defined by the International Association for Impact Assessment (IAIA), sharing key principles and basic concepts with EIA (IAIA / IEA, 1999): Antecipate decisions in order to be useful and timely; Ensure participation of all interested parties; Be scientifically and technically robust as appropriate. Like EIA, Strategic IA is: based on cause-effect relationships; directed at forecasting impacts, departing from an existing known situation; focused on the most relevant issues and impacts; supported by the definition, and comparison, of alternative options; a policy instrument, requiring public participation; supported on an administrative procedure with legal definition. 10

11 However Strategic IA is distinct from EIA because: it works with strategies and not with discrete development proposals; it operates at wider spatial and time scales; it works with higher uncertainty levels, and therefore with less information; it requires greater flexibility in relation to the decision processes to which applies. 2.3 European Directive 2001/42/CE of 27th June The European Directive 2001/42/CE of the European Parliament and the Council, of 27 th June, concerning the assessment of the effects of certain plans and programmes on the environment, determines that all Member States shall bring into force the laws, regulations and administrative provisions necessary to comply with this Directive before 21 st July 2004 (article 13, n. 1). This obligation apply only to the plans and programmes of which the first formal preparatory act is subsequent to the date above mentioned. The Directive defines plans and programmes in article 2) as any plans and programmes, including those co-financed by the European Community, as well as any modifications to them: which are subject to preparation and/or adoption by an authority at national, regional or local level or which are prepared by an authority for adoption, through a legislative procedure by Parliament or Government, and which are required by legislative, regulatory or administrative provisions. The spatial plans to which this guidance applies are within the scope of application of the European Directive, as defined in its article 3. Urban district plans (PU) and urban project plans (PP) are classified as spatial plans in Portugal, and could be considered within the scope of article 3 of the Directive. However these plans do not have a strategic nature and approach they are not considered within the scope of application of this Strategic IA methodology. On the other hand any PU or PP result from the effective operation of a municipal master plan, as defined in the Portuguese DL nº 380/99 (planning regulations). Since municipal master plans are amenable to the application of this guidance, given their potential strategic nature, the PU and PP will therefore be indirectly influenced by the impact assessment approach defined in this guidance. As a matter of fact, as long as the PU and PP meet the municipal master plan determinations, the requirements of article 4, n. 3, of the Directive, relative to avoiding duplication of the assessment at different levels of the hierarchy, can be applied. Therefore, any modification introduced in a municipal master plan, because of a new PU or PP, will determine the need to conduct a strategic impact assessment of the municipal master plan modification (unless excluding mechanisms are operated on plans modifications see section 4. relative to the screening stage in a Stratgeic IA procedure). The main requirements of the European Directive which Member-States need to comply with include: 11

12 The preparation of an environmental report with the information listed in Annex I of the Directive (article 5) The need to consult the relevant authorities when defining the scope and level of detail of information to be included in the environmental report (n. 4 do article 5) The need to consult the relevant authorities and the public affected or likely to be affected (articles 6 and 7) The consideration of the environmental report and the results of institutional and public consultation (defined in articles 6 and 7) in the decision (article 8) The need to justify the decision (article 9) The need to provide for monitoring of effects of plans implementation (article 10) The need to check the quality of the environmental report (n. 2 in article 12) This guidance will assist compliance with articles 5, 6, 7 and 10 as described. The remaining articles must be satisfied by administrative procedures. 12

13 3. STRATEGIC IA MODEL 3.1 Introduction The Strategic IA model that is proposed in this guidance is grounded on the planning rationale, and aims at an effective articulation between Strategic IA and the spatial planning process. It resulted from consultation with planning professionals and also with impact assessment professionals in Portugal, the overall purpose being that of preparing an instrument that could enable compliance with the European Directive while contributing to improved spatial planning practice, serving both planning and impact assessment principles and practices in a satisfactory way to the professionals, and institutions, that will be mostly involved in its application. Many aspects associated to the formulation and specification of the Strategic IA model have been debated in two workshops with planning and impact assessment professionals, held in November 2001 and March The first workshop addressed the overall shape and key elements of the Strategic IA model, debating the main assumptions that should support the model of Strategic IA for spatial planning in Portugal. The second workshop addressed the key phases of a process of spatial planning in articulation with Strategic IA. The stages of the proposed methodology for Strategic IA were debated, according to the key Strategic IA activities, and how these should be integrated in the planning processes It should be emphasized that the spatial planning process used in this exercise was based on a model of spatial planning suggested by the planning professionals that participated in the workshop sessions. This model was used as being representative of the general planning practice in Portugal. It is a simplified model, arranged in four main phases: Analysis of context, Scenarios, Choice and Follow-up (see Figure 2). Its implementation can be shaped in diverse forms, depending on the planning team, but keeping it simple enabled the understanding of how it can support, and accomodate, the Strategic IA elements, and activities, that need to be carried out. This section describes the main lines and assumptions of the Strategic IA model that was generally accepted to fit the spatial planning model in Portugal. It was very clear to all professionals involved in the debate that while Strategic IA has different objectives from planning, and has much to contribute to improve the quality of the spatial plans being prepared, it benefits however from being nested in the process outlined by the planning practice. That is why the notion of articulation, rather than integration was adopted. As such, Strategic IA keeps it identity, performs its role to meet its objectives, but rather than being designed as a process it is conceived as a framework of key elements and activities that get accomodated and complement the planning process, taking advantage of many activities that the spatial planning process already carries out and which are relevant for Strategic IA. The resulting Strategic IA model is expressed in a systematic and objective methodological approach and will be described in section 4. The purpose of this Strategic IA methodology is therefore to facilitate the integration of environmental and sustainability issues in the spatial planning process and practice, acting in the early stages of spatial plan conception and formulation of proposals and also at monitoring and ex-post evaluation stages. To that purpose it contributes to more systematic 13

14 approaches to the identification, and conciliation, of key issues and priorities in spatial planning, and to reduce potential conflicts resulting from different perceptions and expectations of the various stakeholders involved. The intention is that the implementation of the proposed Strategic IA methodology should not extend existing timeframes involved in the preparation and approval of spatial plans, even though an intensification of the human resources involved may be necessary. 3.2 Assumptions of the Strategic IA model The assumptions of the Strategic IA model were established in the two mentioned workshops (proposed and discussed in the first workshop, revised and then approved in the second workshop). As indicated this model was developed to apply to spatial planning processes in Portugal, and has determined the Strategic IA methodology that is described in section 4. The formal and administrative procedure for conducting the Strategic IA will need to be further defined when formal legislation be adopted and the institutional framework be established. However general IA procedural steps that should be part of procedures for Strategic IA are indicated in Figure 1 to provide context for the proposed methodology, but also to clarify the difference between a procedure for Strategic IA and a methodology for Strategic IA. The following are the assumptions that explain the model of Strategic IA: Terminology Strategic Impact Assessment (IA) was adopted to ensure the use of a term that is sound, clear and objective in relation to the purpose of this decision support instrument: to address strategic decisions, using impact assessment approaches, functions and tools, covering environmental, social and economic impacts, preferably in a sustainability perpsective (and without limiting assessment to environmental issues, in a restrictive sense), in other words ensuring a wide scale and scope in the assessment that are consistent with the scale and scope of the strategic decision to which it applies. Nature of Strategic IA Strategic IA should be proactive and have a clearly strategic nature. Strategic IA is expected to act as a facilitator of the planning process and not as an obstacle or a generator of difficulties. Objectives/Criteria Strategic IA must adopt an approach that is based upon sustainability criteria and objectives. It should include environmental, social and economic issues, at the same level. Sectoral Integration Strategic IA must integrate the sectoral policy areas, ensuring the strategic hierarchies, which is an European Directive requirement. 14

15 Strategic IA Procedure Strategic IA procedure must be separated, however well articulated with the planning procedure. Strategic IA Methodology The Strategic IA methodology must encompass a sequence of stages (top-down), ensuring feed-backs and results (outputs) that are clear and enable continuous monitoring. Nature of the approach and content of Strategic IA The nature of the approach and content of Strategic IA must be practical, addressing the users of the plan (implementation offices and stakeholders) to effectively contribute to its operational management. Timing The timing of Strategic IA must be in accordance with the spatial planning process and meet the respective deadlines. The procedural requirements added by Strategic IA to the planning procedures, as defined by the DL nº 380/99, should be kept to a minimum. Technical teams The spatial planning team should include professionals with expertise on environmental issues and impact assessment, to be responsible for carrying out the Strategic IA methodology and prepare the respective reports. Instead, the Strategic IA and spatial planning teams may act separately to better ensure independency and full responsibility on each specific mandates. In this case the two teams may act under joint or separate coordination. In the latter case the two coordinators should be well-articulated. Report The final Strategic IA report should be separate from the planning report, a mandatory requirement of the European Directive. Quality assessment The assessment of quality in Strategic IA, which is a requirement of the European Directive, must be integrated and simultaneous with the assessment of the spatial planning proposals to avoid overloading with bureaucratic processes. However it is fundamental to ensure the involvement of a third party authority, that should have an independent view. Institutional participation The role of the environmental authorities must be well defined, considering the indispensable articulation with the spatial planning authorities. The participation of all 15

16 sectoral authorities with direct responsibility and/or institutional interest in the process must be ensured, also a requirement of the European Directive. Public participation The process of public participation in Strategic IA must be articulated, and simultaneous, with the public participation process in the spatial planning context. Legal framework The legal framework for Strategic IA must be linked to the spatial planning legal framework. It may be integrated or be a separate requirement. 3.3 Strategic IA procedural stages Section 2 of this guidance presented Strategic IA as a systematic approach to the identification, analysis and assessment of impacts, anticipating and facilitating strategic decision-making. The difference between model of Strategic IA, methodology for Strategic IA and Strategic IA procedures have already been addressed in the previous section. According to the model assumptions described in section 3.2, the Strategic IA procedure must be separate, while well articulated, with the spatial planning procedures. The definition of a staged administrative procedure for Strategic IA will normally be associated to the establishment of legal requirements and institutional frameworks. It is not the purpose of this technical guidance to address procedural matters in a detailed form, especially when the political options regarding the details of such procedures have not yet been made. However, considering Strategic IA is a member of the family of tools for impact assessment, whatever is the technical methodology or its administrative procedure, the Strategic IA methodology will need to relate to stages that tipify impact assessment procedures. To enable a better understanding of the logic framework of the technical methodology for Strategic IA, that will be described in section 4, the following paragraphs will address the possible sequence of stages in a IA procedure that will support Strategic IA (Figure 1): 1. Screening the purpose is to identify the actions that must be subjected to a Strategic IA procedure, depending on (1) the nature of the actions involved, on (2) the affected territory and (3) time scales for delivery and on (4) the relevance of the expected potential positive and negative impacts. The scope of application of this guidance has been already identified in section 1: regional, special, inter-municipal and municipal master spatial plans (as defined in Portuguese legislation). It is therefore assumed that all plans under these categories, and with the description made in the specific legislation, can be the object of application of this guidance. It should be emphasized however that the function screening becomes particularly important in impact assessment when legal and administrative procedures are established. 16

17 2. Scoping the purpose is to (1) identify the strategic issues that are crucial and must be addressed, according to the respective positive (opportunities) and negative potential impacts, (2) the relevant strategic options that may offer comparative alternatives, as well as (3) defining the assessment context (including environmental and sustainability objectives, relevant sectoral and sustainability policies) and also identify and involve the relevant public in participative processes. 3. Preparation of Strategic IA and studies reports this should be done simultaneously with the spatial planning reports. A baseline description, and its possible evolution should no new planning proposals be adopted (no-action forecast), must be presented, resulting from collaborative work between spatial planning and Strategic IA. This will provide the basis for better arguing the identification of impacts previously done in scoping, conduct the assessment of impacts of strategic nature and propose actions that minimize, or compensate, unavoidable impacts. 4. Quality Review the Strategic IA final report should be reviewed to verify its technical quality in relation (1) to the relevant factors and impacts analysed, (2) to the technical consistency between the spatial planning and the Strategic IA activities and outcomes, (3) to the adequate consideration of the sustainability dimensions and also (4) to assess the extent that comments made by the public and by sectoral institutions during consultations were appropriately considered in the assessment and planning proposals. The quality review of the Strategic IA should be conducted by a third independent party (in relation to the planning team, the strategic IA team and the spatial planning responsible authority for plan approval). It should take place simultaneously with the spatial plan technical review, well-articulated, however as separate processes. The definition and operationalization of this quality review demands the establishment of the legal and institutional framework, and administrative procedures, for Strategic IA, including for public participation. It also demands the establishment of criteria for quality review that ensure the quality review process is transparent and effective. 5. Decision to be made on the plan final proposal and respective impact assessment outputs, justifying the extent to which the comments made by the affected public and consulted institutions have been taken into account in the decision in relation to other reasonable options. It is the key stage that links formulation and licensing processes to spatial development. The decision on the Strategic IA aspects may be binding, or not, but should always be simultaneous, or anticipate, the plan approval. 6. Post-evaluation follow-up process to the implementation of the Plan s proposals (i.e. spatial planning model, guidelines for integrated spatial planning, spatial planning framework), including monitoring, auditing and post-evaluation studies. These six steps fulfill a whole impact assessment life-cycle procedure. The methodology that is described in this guidance is applicable only to some of these procedural steps, in particular phases (2): scoping, (3): prepration of studies and reports and (6): post-evaluation, which correspond in the first two cases to the technical stages during conception and formulation of planning proposals, and in the latter to the implementation of the plan proposals and ex-post planning evaluation (Figure 1). On stage (3), concerning the preparation of Strategic IA studies and reports, two different activities are considered: 17

18 Identification of impacts of strategic nature, following the baseline studies (in relation to relevant factors that explain the environmental, social and economic systems), and its possible evolutions should no new planning proposals be adopted. The analysis based on baseline and no-action forecast should be a reference platform to identify impacts of different development scenarios (strategic options), and identify criteria and indicators for assessment and monitoring; Assessment of impacts the purpose of which is to assess the impacts of planning options through systematic comparison, using technical and scientific assessment criteria, according to different view points that reflect the public and institutional perceptions, and also public and private policies; The description of the Strategic IA methodology in section 4 will therefore only address in detail stages (2), (3) and (6) as just identified. PHASES IN AN IA PROCEDURE STAGES OF THE Strategic IA METHODOLOGY Screening Scoping Scoping Preparation of IA studies and reports Identification of impacts Assessment of impacts Technical review of IA studies and reports Decision Follow-up Follow-up Figure 1 - Strategic IA methodology related to a possible IA procedure 18

19 4. METHODOLOGY FOR STRATEGIC IMPACT ASSESSMENT As previously indicated, the proposed methodology for Strategic Impact Assessment (IA) is taylor-made to a general spatial planning model that intends to characterize the planning practice in Portugal. The purpose is to ensure that the Strategic IA methodological approach acts as a framework to assist planning process in the design of planning proposals. Strategic IA will then be driven by the different planning phases: plan formulation, plan approval and plan implementation, thus delivering impact assessment activities when and as they are needed. In the context of this guidance planning process involves the technical and political activities involved in the design of the planning concept, formulation of planning proposals, discussion of strategic design and actual proposals, approval and implementation of planning solutions and subseqeunt review of development outcomes. In Portugal the Decree-Law n. 380/99 of 22 September describes the concept and general objectives of different spatial plans, the institutional competences in formulating the plans, the document and material contents of each plan, the institutional consultation and review processes prior to plans approval, the public involvement and the form of approval of each plan (including regional, municipal, and town plans). However it does not specificy the technical and scientific planning methodology to be used in the formulation of plans before approval, or even the processes for plan monitoring, quality control and follow-up in plan implementation. Both the technical preparation of spatial plans and its monitoring and follow-up involve several technical activities which are crucial for the articulation of the Strategic IA with the planning process. Practice shows that several planning methodologies can be used in the formulation of spatial plans, depending on the technical approach adopted by different planning teams carrying out the work. Because there is no guidance regarding such technical planning methodologies for plans formulation and monitoring in Portugal, it was necessary to define, and agree, on a model that would encapsulate, in very general terms, the technical planning approaches being used. This was essential to enable an objective support for application of the key methodological elements of Strategic IA throughout the technical planning approach. It should be emphasized that this spatial planning model was suggested by planners during the workshop discussions that were held to support the development of this guidance, as previously referred. The basic planning model as adopted is therefore no more than a theoretical conceptualization to support the demonstration of how the Strategic IA elements can fit in the planning process. Its practical implementation obviously requires the necessary adjustments. In short, the methodological approach to Strategic IA that supports the proposed guidance has been prepared for technical application by planners involved in spatial plans preparation, and is taylor-made to a specific planning process, with which technical activities of Strategic IA are articulated. This section is organized in three parts: 19

20 1. Model of spatial planning process; 2. Stages of the Strategic IA methodology; and 3. Articulation between the Strategic IA methodology and the spatial planning methodology. The model of spatial planning process is represented in Figures 2 and 3. The Strategic IA methodology that is used in this proposed guidance is represented in Figures 4 to Model of spatial planning process This section describes the model of spatial planning process that is adopted to support the articulation of the Strategic IA methodological functions and activities. As indicated before, this is a very general and basic spatial planning concept, where only the key planning functions and stages are identified. It does not use any particular planning definition or model exactly to enable its wide understanding and adaptation to different methodological planning practices used in Portugal. It is generally assumed that a spatial planning process can be characterized by three key components: The cultural component which is an expression of the natural, geographical, social, economic and historical assets of the territory. It can be related to the communities values and perceptions but also to the existing traditional economic activities, the development options and priorities that are inherently linked to existing territorial resources, whether natural, physical, human or historical. The analytical component which reflects the analytical and disciplinary elements of a spatial planning process, its scientific and technical components. It involves systematic approaches and the use of robust analytical techniques. It attempts to provide explanations for the physical, ecological, human and economic realities as they exist in the territory while enabling the establishment of long-term assumptions and future trends, based on technical and scientific methods. The political component which is a function of the decision-making system in place, influenced by community cultural values and including the recognition of key policy areas that need to be addressed by technical and scientific processes, both by explaining current reality and identifying future options. Above all the political component is expressed in the establishment of the priorities and choices (decisions) made to fulfill initially stated objectives, whether these have been collectivelly or individually established. The spatial planning process and the preparation of the respective spatial plans must consider these various components, whether through linear, streamlined and more rigid approaches, or through more strategic, flexible and iterative approaches, or even incremental approaches, but at all times driven by objectives, even though these may need to be adjusted to on-going and changing circunstances. 20

21 Assuming these three components are recognized by any spatial planning methodology, to keep it simple, four key planning phases can be defined in a planning process (Figure 2): 1. Analysis of contexts, when existing situations are described, characterized and analysed in all contextual streams, influences and issues; 2. Scenarios, preferably related to the establishment of alternative development models, when analytical techniques are used, such as simulation models, forecasting and indicators; 3. Choice, where following previously established scenarios, the comparison and evaluation of options will result in a final decision on planning actions, or an action programme to be implemented; 4. Follow-up, where the combination of monitoring programmes and review studies will systematically track the effectiveness of implementation and the efficiency of planning proposals.. Analysis of contexts Follow-up Scenarios Choice Figure 2 - Key stages in the model of spatial planning process The four phases of the spatial planning process can now be related to the three components of the planning process, as represented in Figure 3: 1. Analysis of contexts this planning phase is strongly related, while influenced, by the cultural component. The existing environmental, territorial, political and institutional situations reveal the cultural characteristics of a certain region and are related to its historic and socio-economic evolution and context. The understanding and analysis of such reality is the first phase of any planning process, through the analysis of contexts, influencing the definition of objectives, the identification and adoption of the key strategies and the establishment of main drivers in the spatial planning model. 2. Scenarios it corresponds to the disciplinary component. It is based on an analytical interpretation of data related to the various disciplines that characterize the territory, but it is also based on development assumptions 21

22 related to key political priorities, and on a body of analytical methodologies that enable data manipulation and information production. CULTURAL Analysis of contexts ANALYTICAL Follow-up Scenarios ANALYTICAL Choice POLITICAL Figure 3 - Relationship between spatial planning process components and phases 3. Choice choice is a simple term to describe a process that involves analysis of options and decision on the preferred option. Informed by the results of the analytical exercises carried out in previous phases and influenced by the disciplinary and cultural components, this planning phase is, essentially, of a political nature, thus why it is associated to the political component. In fact this process of options and choices take place throughout the whole planning process, from the initial statement of development objectives, identification of preferred strategies, prioritization of problems, etc.. But it is at this phase that a formal final decision takes place, that the whole institutional and procedural architecture of the planning process gets shaped to make choices, towards decision. This is also the planning phase when all the administrative procedures for formal instituional review and public consultation, as regulated by the Decree-Law nº 380/99 take place. 4. Follow-up Following-up the implementation of the approved spatial plan is mostly an analytical exercise in a disciplinary component. The fundamental element here is the set up of a mechanism that will enable the systematic 22

23 collection of analytical data, its inter-temporal and inter-spatial analysis, according to relevant disciplines, backed-up by systematic reporting. In other words, it corresponds to the monitoring and post-evaluation reporting with the purpose of keeping track on the plan s efficiency and effectiveness. 4.2 Strategic IA methodological stages This section systematically describes each stage of the Strategic IA methodology. Each of this stage will be articulated with the different phases of the spatial planning process, as described in section 4.3. For each stage information is given on the objectives of the Strategic IA stage, its functional attributes (activities) and where it takes place in the spatial planning process. 1st Stage of Strategic IA: Scoping Scoping is the first stage of the Strategic IA methodology. Figure 4 represents how this stage links to the planning process. As previously mentioned, the objectives of scoping include: to identify the key strategic issues, according to the potential strategic impacts, both positive (opportunities) and negative; to define the strategic framework, i.e. the political context for assessment (including enviornmental and sustainability objectives, key sustainability and sectoral policies); to support the identification of major strategic options that can provide comparative alternatives; and to identify, and involve, key stakeholders and the relevant public in public participation processes. This stage attempts to define the scope of the object of assessment and corresponds to the planning of Strategic IA. It is a crucial stage to the success of Strategic IA. Key activities in this scoping stage include: define the spatial (geographical) and temporal scope of the potential impacts, according to its magnitude and relevance; identify the relevant information that needs to be gathered for interpretation and analysis, in relation to the environmental and social issues and the economic activities in the affected territory (the geographical scope being considered); identify the key policy areas and strategic sectors that provide the fundamental development framework (e.g. agriculture, forests, tourism, employment, housing, etc.) to enable for a strategic context and a crosssectoral analysis; identify other background strategic contexts that are generic but relevant (e.g. National Strategy for Sustainable Development, Social and Economic Development Plan, Local Agenda 21, etc.); gather information on strategies, objectives and targets in relation to these strategic contexts, both sectoral and generic; 23

24 analyse potential inter-sectoral conflicts; check conformity with mandatory policies, regulations, objectives and targets; define the public groups and stakeholders that should be involved and attempt a first contact with the relevant groups regarding their concerns and priorities; define strategic IA objectives, possibly targets, as a referential for assessment; suggest strategic planning options that may be more favourable from an environmental and sustainability view point, as a result of the evidence collected and the analysis carried out. CULTURAL Scoping Š strategic impacts - Key i ssues Strategic policy framework Conflit s between objectives Parti cipati on Baseline studies Analysi s of contex t Follow-u p Scenarios Choice POLITICAL Figure 4-1st stage of Strategic IA methodology: scoping The existing baseline and its expected evolution in the absence of the proposed action (no-action forecast) is a typical function of impact assessment exercises. However it is also a function of typical planning exercises. In project s EIA the baseline is normally included in the preparation of the EIA report. But in the context of this Strategic IA guidance it is suggested that the information gathering and characterization of the baseline should continue to be a function of the planning exercise itself. The contribution of Strategic IA is to provide the planners with the necessary guidance to ensure that the relevant information is systemtaically 24

25 collected, classified and analysed according to sustainability and environmental criteria. As such, the function of data gathering and analysis will continue to be done by the planning team, but directed towards a broader, strategic impact assessment oriented, perspective. The role of Strategic IA is therefore that of a guiding tool to help to identify the information that needs to be collected, and the criteria that should assist the analysis of the information and its interpretation, in relation to both the current situation and its possible evolution. The interpretation of the no-action forecast is in fact more appropriately done during the 2nd stage of the Strategic IA when addressing scenarios building (2nd planning phase), included in the status quo scenario. 2nd Stage of Strategic IA: Identification of strategic impacts The identification of impacts is the second stage of the Strategic IA methodology. Figure 5 shows how this stage links to the planning process. The objectives of impacts identification are: to identify the positive and negative impacts, in relation to different development scenarios (strategic options); to define strategic IA criteria; and to identify strategic IA indicators for assessment and monitoring. A preliminary identification of impacts was conducted in the previous scoping stage. At this stage what is needed is to ensure that the identification of impacts evolves systematically with the planning process, and gets as much detailed as needed, depending on the detailed planning scenarios and options. Close interaction between the planning and strategic IA dimensions, and teams, is essential, funded in cooperation, persuasion and a good deal of creativity to identify planning options that satisfy development objectives while avoiding significant impacts. The impacts are related to the spatial planning model and development options and priotities, as these start getting more defined and established. Key activities in this stage of identification of impacts are: to analyse the information collected and the characterization of the baseline made in the context of the formulation of the spatial plan; to review the preliminary identification of impacts made during scoping, considering the spatial evidence now collected and analysed, its strengths and weaknesses, opportunities and threats; to describe the current situation in a way that is relevant for impacts identification; to analyse future trends considering the existing baseline and the no-action forecast (status quo), in relation to the main disciplinary issues, in order to contribute to a referential for assessment; to support the planning team in scenarios interpretation; to support the planning team in defining planning options considering the adopted scenarios; to define criteria for Strategic IA considering the several view points (including the public and stakeholders) collected during scoping, and the major sectoral and global strategic policies framework analysed in the first stage; 25

26 to define Strategic IA indicators that can be used during impact assessment and plan follow-up. CULTURAL Scoping Š strategic impacts - Key i ssues Strategic policy framework Conflit s between objectives Parti cipation Baseline studies Analysi s of context Follow-u p Scenarios Identification o f impacts Specifi c scope of impacts Criteria and indicators for Strategic IA Choice Options POLITICAL Figure 5-2nd stage of Strategic IA methodology: identification of impacts 3rd Stage of Strategic IA: impacts assessment The assessment of impacts is the 3rd stage of the Strategic IA methodology. Figure 6 shows how this stage links to the planning process. The objectives of impact assessment include: to analyse and assess the impacts of planning options, through its systematic comparison; to consider comments made by the consulted public and institutions; to contribute to chosing the best planning options that will ensure the consideration, and integration, of environmental and sustainability issues and perspectives in a coherent form. 26

27 CULTU RAL Scoping Š strategic i mpacts - Key issues Strategic poli cy framework Conflit s between objecti ves Participati on Baseline studies Analysi s of contex t Follow-u p Scenarios Id entification of impacts Specifi c scope of im pacts Crit eria and indicators for Strategic IA Choice Options Review Assessment of impacts Assessme nt cri teri a and i ndicators Vi ew points Partici pati on POLITICAL Figure 6-3rd stage of Strategic IA methodology: impacts assessment Key activities in impact assessment include: establish a referential framework for assessment based on the Strategic IA objectives, the sectoral policy framework (and respective objectives and targets) and the expected future trends considering no-action; quantitative and/or qualitative assessment of impacts of alternative planning options in different policy areas, as identified in the planning proposals (e.g. spatial planning models, directions for spatial integrated planning, action programmes, planning solutions, restrictions and regulations), using the assessment criteria previously identified (in stage 2) and proceed in an integrated way with the formulation of planning proposals by the planning team; re-analysis of perspectives and view points using public participation and institutional consultation; re-analysis of previous assessment, if necessary; defining a monitoring plan and ex-post evaluation, fully integrated with the plan implementation monitoring and ex-post evaluation, in particular identifying the required institutional framework, the indicators, the monitoring factors, frequency and information sources or measurement methodologies, 27

28 responsibilities and the frequency of evaluation reports on plan implementation. 4st stage of Strategic IA methodology: follow-up Impacts follow-up is the 4th stage of the Strategic IA methodology. Figure 7 represents how this stage links to the planning process. CULTURAL Scop ing Š strategic impacts - Key i ssues Strategic policy framewo rk Conflit s between objectives Parti cipati on Baseline studies Analysi s of contex t Fol low-up Monitoring factors Methods F requency Follow-u p Scenarios Id entification o f impacts Specifi c scope of im pacts Criteria and indicators for Strategic IA Choice Options Review Assessment of impacts Assessment cri teria and i ndicators View points Partici pati on POLITICAL Figure 7-4th stage of Strategic IA methodology: follow-up Follow-up is an activity that takes place with the implementation of the planning proposals, closely following the plan as it becomes operational. Strategic IA follow-up should be fully integrated with the plan follow-up mechanisms, and other environmental and sustainability follow-up mechanisms, in terms of indicators, frequency of observation and reporting schemes. Examples of such mechansims include the state of environment reports, state of spatial planning reports, indicators and monitoring schemes associated to local agendas 21, environmental quality monitoring networks and other relevant schemes. 28

29 The objective of the follow-up stage is essentially to: follow-up the efficiency and effectiveness of the implementation of planning solutions, in terms of environmental and sustainability criteria, ensuring monitoring and systematic post-evaluation of key changes that may occur on the environment and territory. Key activities in follow-up include: to implement the institutional framework to overview the plan s implementation and its impacts; to monitor the plan impacts through selected indicators; to develop studies according to what was previously established, or depending on unexpected needs after plan s implementation; to ensure close articulation with the planning offices to feed-back on findings, whether negative impacts, identified conflicts or emerging opportunities. 4.3 Articulation between Strategic IA and the planning process This section is now dedicated to the way the articulation of the Strategic IA and the planning process is expected to occur. It is anchored in the planning process, and addresses, at each of its phases, how the functions and activities of both planning. and Strategic IA can be convened, or complemented. At each planning phase the following will be addressed: Objectives of the respective planning phase Planning activities that are relevant for Strategic IA Strategic IA activities that are relevant for planning Joint activities in planning and Strategic IA Strategic IA products To facilitate the use of this guidance, description will be done in a brief, schematic form, arranged around each of the four planning phases defined in the simplified spatial planning model (section 4.1). Table 1 illustrates the linkages in the described articulation. 1st Phase: Analysis of contexts Objectives: 1. To learn how the system works (environmental, territorial, social, economic, institutional and political) and establish development priorities, considering the system strengths and weaknesses, as well as the future opportunities and threats defined by current, and expected events. 2. To set priorities considering the community values and perceptions, as much as their development vision, i.e., their future development expectations. 29

30 Table 1 - Relationship between planning and Strategic IA activities 30