SEA Primer

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South African and international experience shows that new trends are emerging in the accepted practice of Environmental Impact Assessment (EIA). The new trend is to address environmental issues earlier in planning and policy making processes by the use of Strategic Environmental Assessment, or SEA.

The need for SEA has arisen from the project-specific nature of EIA and an awareness that environmental issues must be addressed in the process of policy and plan making. These issues have been recognised internationally and are not unique to South Africa. Whilst the Integrated Environmental Management procedure (IEM) has become accepted good practice, SEA has the potential to better integrate the principles of IEM with proposed plans and policies. The rationale for SEA can therefore be summarised as:

• To ensure that environmental issues are addressed in a pro-active way in policies and plans;
• To improve the assessment of cumulative environmental impacts from secondary and downstream development associated with large projects, and
• To focus on sustainable development.

SEA is an issues driven and participative approach to the environmental assessment of plans and policies. Sustainable development is promoted by assessing the strengths, weaknesses and environmental resources which can support development. Whereas EIA focuses on the effects of development on the environment, SEA looks at the effect of the environment on development opportunities. SEA therefore has considerable potential as a tool for planning and policy-making.

The goals of SEA are not new and many existing tools for environmental management can be utilised in an SEA process. An appropriate approach to an SEA would depend on the expressed needs and priorities of developers, Authorities and community groups. Since it is these needs and priorities which define the approach to a strategic assessment, SEA can improve the efficiency and effectiveness of policies and plans whilst focusing attention on sustainable development.

SEA is a new technique and, although some strategic assessments have already been undertaken in South Africa, there is not yet a common understanding of its principles or its strategic qualities. Some of these principles and qualities can, however, be identified and are presented in this Primer. It is hoped that, in this way, the Primer will contribute to an informed debate leading to an agreed convention or protocol for the use of Strategic Environmental Assessment in South Africa.

If you would like to comment on this Primer, receive further information on SEA or be informed of progress in the development and application of SEA techniques, please contact the CSIR at the address shown on the front inner page.

1. Background

1.1 Introduction to SEA

Since it was first introduced in the 1970s, Environmental Impact Assessment (EIA) has been through a number of changes and modifications (Table 1). Each change has been an attempt to improve the effectiveness of EIA as a tool for decision-making.

Strategic Environmental Assessment is the most recent improvement to the way in which environmental issues can be addressed. In South Africa, SEA has the potential to ensure that the principles of IEM are incorporated in proposed plans and policies. Internationally, SEA is emerging as a recognised pro-active tool for sustainable development. Countries such as Australia, Canada, Denmark, New Zealand and the USA already apply SEA to proposed plans and policies (Sadler and Verheem, 1996). In the Netherlands SEA of national industrial and waste treatment policies has been required since 1987. Many aid agencies in Africa have also started to use strategic environmental assessments (Goodland et al., 1996).

1.2 The goals of this Primer

A review of recent international literature on SEA shows that there is little that can readily be adopted in South Africa. Instead, it is imperative that we develop, test and apply a form of SEA that meets the needs of environmental management in South Africa, addresses the shortcomings of project-specific Environmental Impact Assessment and bridges the gap between planning and Integrated Environmental Management (IEM).

This Primer is intended to be a first step in the development of SEA as an accepted tool for environmental planning and management in South Africa. The goals of the Primer are to:

• Provide information on what is Strategic Environmental Assessment;
• Identify what makes SEA strategic and therefore different from EIA;
• Describe opportunities and constraints to the application of SEA; and
• Initiate and contribute to a wider process in which SEA methods appropriate to South Africa are developed and applied.

Table 1 : A brief history of EIA

2. A glossary of some key terms

Some key terms and expressions are explained below. The meaning allocated to each of these has been used throughout this Primer.

INTEGRATED ENVIRONMENTAL MANAGEMENT (IEM): A philosophy which prescribes a code of practice for ensuring that environmental considerations are fully integrated into all stages of the development process in order to achieve a desirable balance between conservation and development (Department of Environment Affairs, 1992).

DEVELOPMENT: Development is the process of realising the potential of natural and built systems and environments. A single project, such as a new factory, is not necessarily development unless it improves the efficiency, equity or sustainability of use of resources. This includes natural resources (such as water), built resources (such as roads and other infrastructure) and human resources.

ENVIRONMENT: Environment has been defined as "The external circumstances, conditions and objects that affect the existence and development of an individual, organism or group. These circumstances include biophysical, social, economic, historical, cultural and political aspects" (Department of Environment Affairs, 1992). This broad understanding of environment is used throughout this Primer.

CUMULATIVE IMPACTS: These are impacts which, on their own, may not be significant. However, when added to many other similar impacts, the cumulative effect may be very significant.

PLANNING: 'Planning' is perhaps the most difficult commonly used term to define. A recent conference hosted by the Development Planning Association of South Africa (DPASA) formulated the following vision of planning: "A proactive service to communities in South Africa in the management of resources and growth to achieve equitable, sustainable development which will improve the quality of life for all through full participation in and benefit from the planning process".

STRATEGIC ENVIRONMENTAL ASSESSMENT: Strategic Environmental Assessment (SEA) has been described as "a process of anticipating and addressing the potential environmental consequences of proposed initiatives at higher levels of decision-making. It aims at integrating environmental considerations into the earliest phase of policy, plan or programme development, on a par with economic and social considerations" (Sadler, 1995).

SUSTAINABLE DEVELOPMENT: The concept of sustainability essentially means that effects on renewable resources do not exceed the regenerative capacity of the environment (Sadler, 1995). Lyle (1985) stated this principle as 'no nett loss of natural resources'. However, sustainable development concerns much more than only natural resources or systems. It has been defined as "...development that delivers basic environmental, social and economic services to all without threatening the viability of the natural, built and social systems upon which these services depend" (ICLEI, 1995).

3. Trends in Environmental Assessment and Planning

In this section a brief description is provided of trends in environmental assessment (section 3.1) and in planning (section 3.2) . These trends point to the new approach of Strategic Environmental Assessment (SEA) (section 4) which has the potential to bridge the gap that exists between planning and Environmental Impact Assessment (EIA) (Figure 1).

3.1 Trends in Environmental Assessment

Some fundamental limitations of project specific EIA have become (sometimes painfully) obvious. The advantages and disadvantages of project-specific EIA are well documented in the international literature. Inherent weaknesses (Sadler, 1995) include:

• Operating as a 'stand-alone' process, poorly related to the project cycle;
• An inability to address cumulative impacts, particularly for large development projects where secondary development could occur; and
• Limited opportunities for effective public participation in planning or decision-making processes.

IEM has attempted to address the above weaknesses. However, IEM principles must be applied earlier in planning and policy-making, for example by the use of SEA, if they are to be effective.

South African experiences

The CSIR has been associated with some of the largest and most controversial EIAs in South Africa. This experience allows an insight into the application of EIAs and the problems that surround it. The problems experienced include:

• Misperceptions of EIAs as either a step on the road to development approval (a perception held by some developers) or as a tool to stop development (a view held by some NGOs);
• The lack of an established legal framework for EIA;
• A lack of guidance on EIA requirements from key authorities;
• Limited commitment from developers and authorities to address downstream development and linked infrastructural development for large projects;
• The raised expectations of stakeholders and interested parties that their concerns will be addressed in decision-making as a result of participation in an EIA; and
• The lack of an established review procedure for EIAs and the lack of skilled reviewers in government.

3.2 Trends in planning

Internationally and in South Africa, a shift is occurring away from land use planning and development control, towards attempts to facilitate sustainable development. The summary below therefore focuses on current forms of facilitative planning. Table 3 in section 4.6 shows some potentials and problems for the application of SEA to planning in South Africa.

Although SEA uses many tools and techniques that are familiar to planners, it is not intended to replace development planning with SEA. Instead, SEA is regarded internationally as a step towards fully integrated planning which promotes sustainable development (Sadler and Verheem, 1996).

The 'Package of Plans' approach

This approach was used for the Victoria and Alfred Waterfront (V&AW) development in Cape Town. A partnership between the V&AW Company, Cape Town City Council and Portnet developed a hierarchy or "package of plans" (de Tolly, 1990). This consisted of:

• A Contextual Framework, incorporating statements of agreed policies and goals;
• A Development Framework, providing more specific guidelines;
• Precinct plans, in which existing and proposed developments were identified; and
• Site development plans, providing detailed plans for buildings, public spaces and streets.

The package of plans approach has a high potential for the application of SEA. This is because SEA can create a higher level framework within which project-specific EIAs can be undertaken (section 4.3).

Policy plans

Policy plans are non-statutory and are used by local authorities to guide development in a given area. Policy plans play an important role in setting guidelines for development and resource management. The application of SEA techniques to policy plans can be used to create an agreed policy framework which promotes sustainable development and reduces the number of project-specific EIAs required (section 4.3).

GIS-based approaches

The use of map overlays to account for natural features in planning has a long history and is still important today. GIS technologies can be used to predict land use suitability and model the effects of different forms of development (for example, Armitage, 1995). This is a potentially powerful tool for SEA but is not strategic unless accompanied by stakeholder and community participation in the planning process. When applied to policies and plans, GIS-based approaches can also be used to test scenarios and predict cumulate impacts (for example, Sol et al., 1995).

The Reconstruction and Development Programme (RDP)

The RDP is a national policy which emphasises community empowerment as a means of achieving development goals. This emphasis gives rise to opportunities for the application of SEA techniques, including the Local Agenda 21 and Strategic Services Planning approaches. SEA has considerable potential to be applied to RDP plans and projects. Whereas a "Streamlined EIA" approach has been proposed for RDP projects (Council for the Environment, 1994), SEA would have the benefit of being pro-active and reducing the number of project-specific EIAs that may be required.

The Development Facilitation Act (DFA)

The DFA is intended to "introduce extraordinary measures to facilitate and expedite the implementation of reconstruction and development programmes" (Preamble to the Act). It provides general principles to guide development, in contrast to previous planning legislation which provided procedural principles only. The principles of the DFA include community empowerment and addressing environmental concerns. Provincial governments will be able to publish provincial policies that respond to provincial circumstances. SEA techniques therefore have a high potential to be applied as part of the implementation of the DFA by both National and Provincial government. As with the RDP, SEA can be used as a tool to ensure that cumulative impacts and sustainable development are addressed pro-actively, to focus and reduce the number of project-specific EIAs that may be needed and to create an agreed environmental management framework against which impacts can be assessed.

Strategic Services Planning

This is a methodology for planning and implementing physical, social and environmental services. The methodology addresses public participation, the affordability of services and the need to include environmental issues in the planning process. Strategic Services Planning is closely associated with Local Agenda 21 and is widely used in Africa as well as overseas.

Guidelines for Strategic Services Planning have been published (ICLEI, 1995) and propose the following:

• Forming partnerships between service providers and service users in order to develop a "common vision" and to "seek consensus and compromise" on the overall design of the planning process;
• To identify priority issues as perceived by the users of services and to focus further planning on these issues;
• The use of Systems Auditing to analyse service issues;
• Preparation of Strategic Service Plans in a process which includes community vision, strategy formulation, target setting and an action plan; and
• Implementation, monitoring, evaluation and feedback.

Local Agenda 21

Local Agenda 21 is a programme for change that is aimed at promoting sustainable development which meets human needs. Durban and to a lesser extent Johannesburg and Cape Town, have established Local Agenda 21 programmes. Durban has completed a Phase 1 preliminary survey (State of the Environment report, or SOE), addressing the key sectors that were identified by a consultative Steering Committee. SEA has a similar focus to Local Agenda 21. As a result, strategic assessment techniques are often used in Local Agenda 21 programmes. This can be seen, for example, in the Durban Local Agenda 21 programme (Hindson et al., 1996).

4. Strategic Environmental Assessment (SEA)

This section summarises the current status of SEA in South Africa. The summary begins with international and South African perspectives on the need for SEA (sections 4.1 and 4.2). The relationship between SEA and EIA is then described (section 4.3) and the section ends by looking at opportunities and constraints to implementing SEA (sections 4.4, 4.5 and 4.6).

SEA is at present a generic term that is not yet linked to a clearly established methodology. While a few countries have attempted to codify SEA techniques, the limited practical experience that is available illustrates a range of goals, tools, techniques and SEA processes.

4.1 The goals of SEA

Shortcomings of project-specific EIAs have lead to the development and application of SEA. The rationale for SEA has been summarised by Sadler (1995) as:

• To focus project-specific EIA by ensuring that issues of need, proposal generation and alternatives are addressed at the appropriate policy, plan or programme level;
• To improve the scope and assessment of cumulative impacts, particularly where large projects stimulate secondary development and where many small developments not requiring EIAs may occur; and
• To facilitate the application of sustainability principles and guidelines, for example by focusing on the maintenance of a chosen level of environmental quality, rather than by minimising individual impacts.

4.2 Comparing SEA and EIA

"EIA tends to focus on the mitigation of impacts of proposed activities rather than determining their justification and siting" (McDonald and Brown, 1995 p486).

SEA differs from EIA in a number of key respects. Most notably, SEA is a pro-active tool for environmental management whereas EIA is used reactively to assess specific development proposals. Whilst many critical issues for SEA methodologies have not yet been resolved (Sadler, 1995), it is possible to identify some fundamental differences between SEA and EIAs. These differences are summarised in Table 2 and are shown schematically in Figure 2.

4.3 The relationship between SEA and EIA

Strategic Environmental Assessment has, internationally, adopted many of the techniques of project-specific EIA (Sadler and Verheem, 1996). However, in addition to the differences between EIA and SEA noted above, SEA and EIA are usually applied to different stages of plans and policies and to different levels of decision-making. This "Tiered Approach" is used in New Zealand, the European Union and the USA and is shown schematically in Figure 3.

In a tiered approach, policies and strategies for the environment are formulated in a pro-active way, using SEA. These policies and strategies then create a framework against which specific development proposals and projects can be assessed, using EIA. International experience also shows that many SEA recommendations are more readily implemented at the project level (Partidário and Thérivel, 1996). SEA, along with EIA, environmental management systems and environmental monitoring, is therefore one of the key tools of IEM.

4.4 Implementing SEA

A review of international experience (Sadler and Verheem, 1996; ICLEI, 1995; Partidário, 1995; Sadler, 1995) reveals a number of important lessons for implementing SEA.

These can be summarised as:

• The initiation of SEA is a critical step since it includes screening of the proposal and obtaining the participation of stakeholders and community groups;
• The SEA approach must be tailored to the way policy and decision-making actually works, which is often not in a logical or hierarchical sequence; and
• Screening of policies, plans or proposals is needed to determine the most appropriate and effective stages at which an SEA should be applied.

4.5 Who pays for SEA?

The question of who is responsible for commissioning an SEA has not yet been comprehensively answered. Internationally, strategic level assessments are primarily the responsibility of national and regional government and are often carried out by appointed consultants (Partidário and Thérivel, 1996). The cost and time frame for these studies varies from months or even years of work, to SEAs of less than a week's duration but which were still useful (Thérivel, 1995). In South Africa, a similar situation is likely to prevail.

SEA does not attempt to replace existing planning and policy-making mechanisms. Instead, SEA complements these mechanisms by offering a tool which can identify and address issues of resource use, efficiency and sustainability. Therefore, mechanisms to finance strategic level assessments should be available from those that are already used for planning and policy-making initiatives. These are mostly, but not exclusively, the responsibility of central and regional government. Other examples would include an SEA applied to sectors of industry, or an SEA of a local structure plan. In those cases, a consortium of industry or a local authority would pay for the SEA.

4.6 Opportunities for SEA

approaches

In this section, some examples of SEA-type approaches in South Africa are presented, together with an assessment of the potential for SEA techniques to be incorporated into different forms of planning (Table 3).

5. SEA and the Way Forward

This section presents some perspectives on the status of SEA in South Africa. It is hoped that these perspectives will generate further discussion and awareness of SEA approaches.

The term SEA is now in widespread use:

Strategic Environmental Assessment has become a catch phrase for those people who share the frustrations of project specific EIAs. As a result, more and more SEA-type projects are being undertaken. These include an SEA of Cape Town's Olympic Bid, a regional SEA for KwaZulu-Natal and an SEA of a draft Structure Plan for Greater Cato Manor in Durban.

There is no 'definitive' version of SEA

SEA, as with any good EIA, is driven by the issues raised by communities, stakeholders and Authorities. However, SEA differs from EIA in that the SEA process is itself defined by the issues.

The key to SEA is its strategic nature

Strategic Environmental Assessment has some important qualities which make it different from project-specific EIAs. These qualities include:

• Application to a higher level, such as policies, plans or programs;
• Being pro-active;
• Involving partnerships (for example, public-private sector partnerships); and
• Leading to plans or strategies for action, such as policy changes, new proposals or focused EIAs for specific projects.

The need defines the process

When discussing SEA with public and private sector representatives or communities, the form of SEA will be determined by the issues raised, priorities and expressed needs. Thus, SEA can have many forms, ranging from Integrated Catchment Management (perhaps the earliest form of SEA), to Local Agenda 21. In this way, SEA techniques can adapt to the complex nature of decision-making and provide the necessary information at different stages of planning and policy-making.

An SEA protocol or agreed convention is needed

Commonalities between different forms of SEA can be identified and these commonalities could be used to develop an SEA protocol. This would ensure that, like IEM, SEA is based on a set of principles which enhance its credibility and usefulness. At least four key issues should be addressed in an SEA protocol:

• A screening mechanism to determine if and when an SEA is needed;
• The roles and responsibilities of communities, Authorities and other stakeholders in the SEA;
• Techniques for the participation of various groups in the SEA; and
• A range of environmental assessment and management tools for the different needs that exist.

The development of SEA as an accepted and recognisable tool for environmental management itself requires the participation of a wide range of groups and the use of different techniques at different stages of the process. It is hoped that this Primer and the debate which it stimulates will contribute to a process which results in a shared understanding and agreed convention for SEA in South Africa (section 7).

6. Conclusions

Strategic Environmental Assessment is rapidly becoming an important part of the toolkit available to environmental management practitioners, communities, and decision-making authorities. This is a consequence of the inadequacies of project-specific EIAs and the need to address environmental issues in a pro-active, rather than reactive way.

Whilst SEA is an important tool to bridge the gap between planning and EIA, SEA does not attempt to replace planning and policy-making mechanisms. Instead, SEA is a step towards fully integrated planning which promotes and enhances sustainable development. Both EIA and planning techniques are converging towards the goal of sustainable development and SEA is an important step in that process. Local Agenda 21, for example, is both a form of SEA and an integrated, participative form of planning which promotes sustainable development.

However, SEA is not a procedure that can be copied from others or taken 'off the shelf'. This is because it is defined by the issues, needs and priorities expressed by the users or clients of the SEA. The flexibility which allows SEA to adapt to complex planning, policy-making and decision-making processes is essential if SEA is to be an effective tool which promotes sustainable development.

It is suggested here that, although SEA is already in use in South Africa, the principles which underpin the strategic nature of SEA need to be clearly established. Whilst some of these principles have been identified in this Primer, a protocol or agreed convention on SEA in South Africa is required. The three key principles for strategic assessment identified here are:

• SEA is pro-active and therefore applies to higher order levels of decision-making, plans and policies;
• Partnerships amongst role players are required to identify the needs and priorities to be addressed by SEA; and
• The SEA leads to an action plan which is implemented by role players in the SEA process.

The development of an SEA convention or protocol requires the participation of a wide range of stakeholders in environmental management in South Africa. These would include community groups as well as industry and government. It is hoped that this Primer will contribute to an informed debate amongst these groups and thereby to an agreed approach to strategic environmental assessment in South Africa.

7. Recommendations

In order to initiate and support a debate leading to an agreed convention or protocol for SEA in South Africa, the following recommendations are made:

The CSIR has published this Primer in order to stimulate debate and increase awareness of strategic environmental assessment. Your comments on the Primer and on the recommendations made here are therefore requested. A contact name and address is shown on the front inner page of this Primer.

8. References

Armitage D, 1995. An Integrative Methodological Framework for Sustainable Environmental Planning and Management. Environmental Management 19(4): 469-479.

Claassen P, 1996. Integrated Environmental Management as an integral part of planning and development. Paper read at the Institute of International Research Conference, Johannesburg, 31 January 1996.

Council for the Environment, 1994. SEIA: Streamlined Environmental Impact Assessment. Council for the Environment, Pretoria.

CSIR, 1996. Preliminary Strategic Environmental Assessment (SEA) for KwaZulu-Natal. Division of Water, Environment and Forestry Technology. CSIR Report ENV/P/C 96036.

Department of Environment Affairs, 1992. The Integrated Environmental Management procedure. Government Printer, Pretoria.

De Tolly P, 1990. Government owned land: Unlocking the Potential of State Surplus Urban Land: A proposed approach to its planning and development by the City of Cape Town. City Engineer's Department, Town Planning Branch, City of Cape Town.

Goodland R, Mercier J-R and Muntemba S (eds), 1996. Environmental Assessment (EA) in Africa: A World Bank commitment. Proceedings of the Durban (South Africa) Workshop, June 25, 1995. The World Bank. Washington.

Hindson D, King N and Peart R, 1996. Durban's Tomorrow Today: Sustainable development in the Durban Metropolitan Area. Physical Environment service Unit, North Central Council, Durban Metropolitan Area. Indicator Press.

ICLEI, 1995. Local Agenda 21 Handbook. International Council for Local Environmental Initiatives, Toronto.

Lyle J T, 1994. Regenerative design for sustainable development. John Wiley & Sons, USA.

McDonald G T and Brown L, 1995. Going beyond environmental impact assessment: Environmental input to planning and design. Environ Impact Assess Rev 15:483-495.

Partidário M R, 1995. Strategic Environmental Assessment: Highlighting key practical issues emerging from recent experience. Discussion paper presented to the International Association for Impact Assessment, June 1995 Annual Conference.

Partidário M R and Thérivel R, 1996. Learning from SEA practice. Paper presented to the 16th Annual Meeting of the International Association for Impact Assessment (IAIA). June 16-23, Estoril, Portugal. Conference Proceedings Vol. I pp 51-54.

Sadler B, 1995. Towards the improved effectiveness of environmental assessment. Executive Summary of Interim Report Prepared for IAIA'95. Durban, South Africa.

Sadler B and Verheem R, 1996. Strategic Environmental Assessment: Status, Challenges and Future Directions. Ministry of Housing, Spatial Planning and the Environment, The Netherlands.

Sol V M, Lammers P E M, Aiking H, de Beer J and Feenstra J F, 1995. Integrated environmental index for application in land use zoning. Environmental Management 19(3): 457-467.

Thérivel R, 1995. Environmental appraisal of development plans 1992- 1995. Working Paper no. 160. School of Planning, Oxford Brookes University.

UNDP, 1992. Handbook and guidelines for environmental management and sustainable development. United Nations Development Programme, New York.

9. Acknowledgements

This work was funded from the Parliamentary grant to the CSIR, in the Integrated Environmental Management initiative.

Special thanks are due to the following people for their contribution to SEA in the CSIR and the preparation of this Primer: Steve Ballot, Alex Weaver, Jessica Wilson, Ansa Ferreira, Dave Phelp, Sean O'Beirne, Heike Magura, Dirk Versfeld, James Gordon-Lennox, Colin Archibald, Nick King, Brian Protheroe, Debra Roberts, Cathy Ferguson, Pat Morant, Magdel van der Merwe.