Strategic Environmental Assessment (SEA) in Austria

STRATEGIC ENVIRONMENTAL IMPACT ASSESSMENT (SEA) IN AUSTRIAStrategicEnvironmentalAssessment (SEA)in Austriaby Ursula Platzer-SchneiderAustriaSummaryThe presentation deals with the SEAsituation in Austria. Currently, there is noexplicit SEA procedure for assessing theenvironmental impacts of certain plans andprogrammes. At present Austria is workingon the implementation of the SEA Directive2001/42/EC. In order to prepare theimplementation of the SEA Directive theFederal Ministry of Agriculture, Forestry,Environment and Water Managementinitiated several SEAs. In this paper twoSEA pilot projects, SEA for the TennengauRegional Programme and SEA for theVienna Waste Management Plan arepresented.StrategicEnvironmentalAssessment (SEA)in AustriaThe Directive 2001/42/EC of the EuropeanParliament and of the Council of 27 June2001 on the Assessment of the Effects ofCertain Plans and Programmes on theEnvironment (Strategic EnvironmentalAssessment, SEA) was enacted on July 21,2001. The Member States have three yearstime to implement the Directive into nationallaw.In Austria, discussions on SEA began duringnegotiations concerning the Act onEnvironmental Impact Assessment andPublic Participation between 1991 and1993. Representatives of variousorganisations demanded environmentalimpact assessment not only for specificprojects but also on a strategic level. TheAustrian Act on Environmental ImpactAssessment and Public Participation finallywas enacted without SEA provisions on JulyINTERNATIONAL WORKSHOP ON ENVIRONMENTAL IMPACT ASSESSMENT, TEPLÝ VRCH, SLOVAKIA, 2003 123

STRATEGIC ENVIRONMENTAL IMPACT ASSESSMENT (SEA) IN AUSTRIA1, 1994. Currently, there is no explicit SEAprocedure for assessing the environmentalimpacts of certain plans and programmes.In order to implement the requirements ofthe Directive in due time Austria is workingon the implementation of the SEA Directive.This is rather difficult since Austria is afederal state. Government responsibilitiesare thus shared by three levels of territorialauthority: The federation (Bund), the ninefederal provinces (Länder) and the localauthorities (Gemeinden). The distribution ofmajor government responsibility betweenthe federation and provinces is determinedby the Constitution. Some issues areentirely of the responsibility of the federation(e.g. water management); others rest solelywith the provinces (e.g. nature protection).In yet other areas, the federation isresponsible for legislation and the provincesfor administration (environmental impactassessment – project level). The“fragmentation” of responsibility effects theimplementation of the Directive in a negativeway and has unsatisfactory impacts on theeffectiveness of an SEA.But it must be mentioned that in practice,some typical SEA steps can be foundalready in existing legislation or aresometimes used on a voluntary basis duringthe procedures for adopting plans orprogrammes. The legal requirements foradopting land use plans or programmescontain environmental goals besides othertargets, which have to be taken into accountduring the planning. The land use planningacts do not provide for a bindingexamination of alternatives or for elaborationof a SEA report. Nevertheless, the authorityworking out the plan or programme isobliged to prepare a documentation, whichusually considers environmental aspects. Ingeneral, the environmental authorities areconsulted during the planning process.Public participation also takes place in landuse planning procedures, i.e. the concernedpublic is invited to make comments on thedraft plan or programme.In order to prepare the implementation ofthe SEA Directive the Federal Ministry ofAgriculture, Forestry, Environment andWater Management initiated several SEAs.One objective was to find out, which SEAsteps can already be found in the existingplanning procedures and how SEA ingeneral can be integrated into the existingplanning process. Furthermore, practicalissues namely how to carry out SEAs wereof importance. In this paper two SEA pilotprojects are presented:SEA of the TennengauRegional Programme 1The Tennengau region is a rural area with13 municipalities. According to the SalzburgSpatial Planning Act of 1998, the regionalprogramme is to be drawn by the RegionalPlanning Association, which is theassociation of the municipalities of theregion.Regional programmes establish goals andmeasures for certain regions. They arebinding programmes, which also containnon-binding recommendations and solutionsfor regional spatial problems. Themunicipalities of such a region have to1 Find more information in: Sommer Andreas,Platzer Ursula und Veichtlbauer Eva (2001)Strategic Environmental Assessment:Requirements and Experiences with theMethodology applied to the Tennengau RegionalProgramme, in: „Entwicklung, Planung undUmsetzung von Projekten nach europäischenMaßstäben. Salzburg nimmt Anteil am Wandel inEuropa", SIR Mitteilungen und Berichte 29124INTERNATIONAL WORKSHOP ON ENVIRONMENTAL IMPACT ASSESSMENT, TEPLÝ VRCH, SLOVAKIA, 2003

STRATEGIC ENVIRONMENTAL IMPACT ASSESSMENT (SEA) IN AUSTRIAimplement the binding measures by meansof local planning instruments. The keyprinciples of the regional programmes arelaid down in the so-called model ofdevelopment, which comprisescommitments concerning the pattern ofopen space and settlements.At the end of 1997 the Tennengau RegionalPlanning Association decided to apply SEAaccording to the SEA Proposal to theTennengau Regional Programme on avoluntary basis. The Salzburg Institute ofRegional Planning and Housing wascommissioned by the Tennengau RegionalPlanning Association to work out theregional programme and by the FederalMinistry of Agriculture, Forestry,Environment and Water Management tocarry out the SEA.The planning and the SEA procedures weredone in close co-operation with thedepartments of spatial planning andenvironmental protection of the ProvincialGovernment of Salzburg. The department ofenvironmental protection took over the partof the “environmental authority” according tothe Directive.The requirements of the Directive wereintegrated into the existing planning processsince some of the SEA aspects werealready covered. Additionally, it wasassumed that integrating SEA into planningwould improve the planning process andbring the whole programme a step towardssustainability. Therefore, it was aimed by allrelevant planning and SEA actors tointegrate environmental aspects from thevery starting point. It was of primeimportance to broaden the SEA from an“assessing” to an integrating instrument.At the beginning of the year 2000 the SEAwas finished and in May 2001 theTennengau Regional Planning Associationforwarded the proposal for the RegionalProgramme to the Provincial Government ofSalzburg as the competent authority. Finally,in 2002 the Programme was formallyadopted.MethodologyFor the systematic and comprehensiveassessment of possible environmentalimpacts of the regional programme, some ofthe existing experiences with environmentalimpact assessments were applied. Thefollowing main steps were carried out:AlternativesFor each binding planning measure threealternatives were considered: two planningand a zero alternative. The two planningalternatives were not designed as extremeoptions. Both were realistic possibilities withdifferent levels of compromises concerningenvironmental protection.ScopingThe framework of the analyses wasdetermined at the beginning of the planningprocess and included human beings, fauna,flora, soil, water, air, climate, landscape,material assets and cultural heritage.Environmental reportAn environmental report was prepared bythe Salzburg Institute of Regional Planningand Housing in close co-operation with thedepartment of environmental protection.This department co-ordinated variousexperts from the Provincial Government ofINTERNATIONAL WORKSHOP ON ENVIRONMENTAL IMPACT ASSESSMENT, TEPLÝ VRCH, SLOVAKIA, 2003 125

STRATEGIC ENVIRONMENTAL IMPACT ASSESSMENT (SEA) IN AUSTRIASalzburg. These experts were consultedand had the possibility to express theiropinions concerning the report. The reportcontains information referred to in the Annexof the SEA Directive. Of special interest arethe following issues:Environmental Quality ObjectivesIn addition to the spatial planning objectives,e.g. listed in the Salzburg Spatial PlanningAct, also environmental objectives wereestablished. A system of environmentalquality objectives was elaborated containingobjectives and standards for theenvironmental quality as well asenvironmental indicators. Theseenvironmental quality objectives wereadopted by the Tennengau RegionalPlanning Association and became part ofthe assessment.Framework for Impact AssessmentsFor each environmental quality objective thepossibilities for the assessment weredefined by a scale with five levels, i.e. it wasdefined by means of indicators when theeffects of the planned measures were to bejudged as very negative, negative, with noeffect, positive or very positive.AssessmentFor each planning measure and thealternatives the assessment included theprimary and secondary, positive andnegative effects on the different factorsdetermined by the scoping. It was carriedout by means of matrices and based on thesystem of environmental quality objectivesand on the framework for the environmentalimpact assessment mentioned above. Thiswas an essential prerequisite for the finalstep of an integrative assessment.The assessment was carried out bynumerous experts covering the differentrequired domains. Furthermore, mitigationmeasures were worked out and documentedfor each planning measure.Integrated ApproachIn addition to the sectoral assessments bythe experts, for each planning measure anintegrated assessment was carried outconsidering for example interactions, theprobability, duration, frequency andreversibility of the effects or the cumulativenature of the effects. A questionnaire wasworked out to support integratedassessment.On the basis of the sectoral and integratedassessment the environmental authorityworked out a matrix giving an overview ofthe outcome, i. e. the assessments of theplanning measures including thealternatives. It illustrated each planningmeasure and its impacts on the differentfactors assessed with very negative,negative, with no effect, positive or verypositive.Conclusions and RecommendationsFirst of all, the pilot project showed that therequired SEA steps of the SEA Directive,which were not covered by the existingplanning act could be integrated into theplanning procedure. The process orientedmodel, which enabled the participation andco-ordination of all relevant actorsconcerned from the beginning wasnecessary and important.126INTERNATIONAL WORKSHOP ON ENVIRONMENTAL IMPACT ASSESSMENT, TEPLÝ VRCH, SLOVAKIA, 2003

STRATEGIC ENVIRONMENTAL IMPACT ASSESSMENT (SEA) IN AUSTRIAThis process oriented model alsostrengthened the role of the SEA itself andsupported the integrative aspect of SEA.The involved municipalities and experts fromthe environmental authority used theprocess to present their arguments and tosolve conflicts.Furthermore, the system of environmentalquality objectives enabled a transparent andcomprehensive assessment, whichsupported the integration of environmentalaspects into the planning. SEA contributedto improve the quality of the alternatives forthe binding measures of the programme. Inaddition, due to their early involvement,some very helpful recommendations by theenvironmental experts became part of theregional programme. Finally, SEA could becarried out without significant additional timeand with reasonable financial and humanresources.On the other hand, it has to be mentionedalso that the pilot project has to be seendifferentiated concerning the considerationof the SEA results. The SEA was carried outon a voluntary basis and severalrecommendations and measures, whichwere put forward due to the SEA were takenout of the final proposal.SEA for the Vienna WasteManagement PlanThe Vienna Municipal Department 48 forWaste Management, the Vienna MunicipalDepartment 22 for Environmental Protectionand the Vienna Environment Counselconducted a SEA for the Vienna WasteManagement Plan. It was the first wastemanagement-relatedSEA in Austria. Thegoal and purpose of the SEA was to jointlyfind the best ecological and economicsolution for the management of Vienna'swaste until the year 2010. Fundamentalquestions concerning needs andtechnologies for the specific situation of theViennese waste management should beanswered. Environmental concerns shouldbe taken into account equally as social andeconomic aspects during the preparation ofthe plan. The model of "SEA at the roundtable" was developed and tested in thisprocess."SEA at the round table"The application of this new model was oneof the special aspects of the SEA for theVienna Waste Management Plan. "SEA atthe round table" means, that the SEA andthe planning of the Waste Management Planwere conducted as a team-process, wheremembers of the concerned authorities(including the environmental authorities),representatives of the public (the so called"qualified public") and external expertsparticipated on an equal basis in one team(so-called SEA team). As representatives ofthe public the Vienna Environment Counsel,who has launched the SEA, and severalenvironmental NGOs took part in theprocess. The SEA team developed theViennese Waste Management Plan togetherand was able to reach a consensus in mostof the questions. The SEA team wasresponsible for every SEA and planning stepduring the whole process. For this purposeseveral one or two day workshops werecarried out, during wich different projectsteps were carried out in teamwork. Thiscooperative and participative approachshould make sure, that the best solution forthe management of Vienna's waste wasfound on the basis of a broad consensus,which considered the different interests. Thecommon solution reached should be wellsupported by all the participants and havethe chance to get efficiently implemented.INTERNATIONAL WORKSHOP ON ENVIRONMENTAL IMPACT ASSESSMENT, TEPLÝ VRCH, SLOVAKIA, 2003 127

STRATEGIC ENVIRONMENTAL IMPACT ASSESSMENT (SEA) IN AUSTRIASEA and Planning Elements for theVienna Waste Management PlanThe SEA and planning process comprisedthe following elements, which were carriedout by the ”round table” in teamwork.Definition of the goalsGoals were defined for the Vienna wastemanagement until 2010. Wastemanagement goals like waste minimisation,a self-sufficient waste disposal system forVienna, saving of landfill space, etc. andexplicit environmental goals like reduction ofgreenhouse gas emission, saving of energy,removal of pollutants from the ecospherewere taken up into the Waste ManagementPlan.Development of alternative actions(so-called scenarios)Different individual measures (e.g. wasteminimisation, specific waste treatmentfacilities) were combined into packages ofmeasures. The aim was to compare entirepackages of measures that comprise awhole waste management system. Thescenarios contained both preventivemeasures (waste minimisation measures)and end of pipe measures (e.g. fermentationplants, waste incinerators, mechanicalbiologicalwaste treatment facilities).Determining the scopeIn the scope phase the issues, which shouldbe assessed, the assessment method andthe indicators for the assessment weredetermined. Originally 60 indicators weredefined, which were finally reduced to 15 to20.Analysis and assessment of the scenariosThe different scenarios were compared toeach other and the effects of the individualscenarios were investigated to find outwhich options were better and which wereworse. The comparison took into accountecological, social and economic impact.Development of a “consensus scenario”A “consensus scenario” was agreed on bythe round table as the best option from aholistic point of view. This scenario wasfinally recommended for adoption to theVienna City Council for approval.Draft environmental reportA draft environmental report was produced,which compromised the results of the stepstaken so far including the assessment andthe documentation of the process. Thereport was written by the process manager.Carrying out consultationThe members of the round table althoughbeing actively involved in all the SEA andplanning elements so far had the possibilityto forward written comments, which wereattached to the final environmental report.Final environmental reportIn reaction of the comments some changeswere necessary. The environmental reportand a proposal for a Vienna WasteManagement Plan (=consensus scenario)were submitted to the Vienna City Council.Adoption of the plan includingmonitoring measures128INTERNATIONAL WORKSHOP ON ENVIRONMENTAL IMPACT ASSESSMENT, TEPLÝ VRCH, SLOVAKIA, 2003

STRATEGIC ENVIRONMENTAL IMPACT ASSESSMENT (SEA) IN AUSTRIAFinally, the consensus scenario includingspecific monitoring measures was approvedby the Vienna City Council.Conclusions and recommendationsAfter finishing the Viennese SEA process,the SEA was evaluated using quality criteriaand the experience was documented 2 . Fromthe participants´ comments and the processmanager’s point of view some crucialconclusions and recommendations aredrawn:Conclusions andrecommendations concerningthe SEA process• Sound conception of the SEA beforestarting it and efficient SEA managementduring the whole process by an (external)process manager, who is responsible forplanning and organizing the SEA processand for the methodological framework ofthe SEA• Complete integration of the planningprocess and SEA to a joint process, jointconception and conduction of both partssaves time and increases efficiency;therefore: start planning process andSEA at the same time• Organization of a SEA team consisting ofmembers of the concerned authorities,representatives of the public and externalexperts, thus environmental aspects anddifferent points of views can be broughtinto the process continuously2 Bundesministerium für Land- undForstwirtschaft, Umwelt und Wasserwirtschaft(2001) Wissenschaftliche Begleitstudie zurStrategischen Umweltprüfung WienerAbfallwirtschaftsplan• Participative way of public participationduring the whole process byrepresentatives of environmental NGOs,interest groups or also politicians("qualified public"), which means proactive,responsible cooperation in theplanning and SEA process• Information for the broader public andpoliticians through homepages or publicmeetings• Cooperation in the SEA team offers thechance to reach a jointly and broadlysupported planning solution, which hasbeen developed out of different views,and in which environmental aspects weretaken into account equally; furthermorenetwork effects, strengthening the basisof confidence and chances to implementthe findings more quickly evolvedConclusions andrecommendations concerningthe SEA contents andSEA methodology• Well documented, process tailored andstep-by-step approach for scoping• Specification of general environmentalgoals to more precise environmentaltargets, tailored to the specific plan orprogramme• Step-by-step approach for optimizingalternatives• Focusing the investigation on 15 to 20relevant criteria or indicators• When possible: widen the framework ofinvestigation from merely environmentalimpacts to socio-economic effects (to geta complete basis for choosing the bestalternative)• Simple and transparent analyses ofimpacts (no complex models)INTERNATIONAL WORKSHOP ON ENVIRONMENTAL IMPACT ASSESSMENT, TEPLÝ VRCH, SLOVAKIA, 2003 129

STRATEGIC ENVIRONMENTAL IMPACT ASSESSMENT (SEA) IN AUSTRIA• Apply throughout the process a broadand not too detailed standard ofinvestigation (wider approach, but less indepth): rather qualitative description ofeffects and consequences than detailedand quantitative analyses of singleimpactsDr. Ursula Platzer-Schneideris SEA expert with the AustrianFederal Ministry of Agriculture, Forestry,Environment, and Water Management130INTERNATIONAL WORKSHOP ON ENVIRONMENTAL IMPACT ASSESSMENT, TEPLÝ VRCH, SLOVAKIA, 2003