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The Strategic Environmental Assessment and Environmental Impact Assessment with

reference to environmental sustainability

Mahmoud Sarhan
[Mahmoud.srhan@gmail.com]
Environment Department
University of York
November, 2013

INTRODUCTION
Environmental sustainability (ES) concept refers to conserving the qualities that are valued
in the physical environment (Sutton, 2004). It draws attention to the required limitations on
using natural capital; renewable and non-renewable resources (input or source side) and
negative outputs (output or sink side) such as emissions or pollution (Goodland, 1995). In
implementation, sustainability status could be evaluated as weak, intermediate, strong, and
absurdly as a measure of capital replacement degree (Daly and Cobb, 1994 as cited in
Goodland and Daly, 1996). There is no specific sustainability approach that fits all; each
country should adopt its own mechanisms (Goodland, 1995). For example, industrial
countries should focus on pollution control whilst countries timber exporting countries shall
control timer harvest and so forth (Goodland, 1995). Both Environmental Impact Assessment
(EIA) and Strategic Environmental Assessment (SEA) attend to contribute to environmental
sustainability (ES) through regulating ad promoting best practices in environmental
management. Although the two processes follow similar processes, with similar targets, their
contribution to sustainability in its large scope is different. This paper intends to investigate
the contribution of SEA and EIA to ES, highlighting the difference with examples from
developing countries, Asia and OECD countries.
DISCUSSION
The concept of EIA has been in use since 1970 when first introduced by USA and then it has
been adopted by many other countries worldwide (Abaza et al., 2004). Partially, EIA is a
practise used to define and assess the expected outcomes of a planned activity on the
environment, to support decision making purposes regarding the proposed activity. It also
includes socioeconomics impacts of the activity including social, economic, and welfare. EIA
aims to avoid, mitigate or compensate important adverse impacts of a proposed project
(UNEP, 2002). The role of EIA is locally and internationally acknowledged. RIO Declaration
on Environment and Development has acknowledged the importance of EIA at Principle 17,
Environmental impact assessment, as a national instrument, shall be undertaken for
proposed activities that are likely to have a significant adverse impact on the environment and
are subject to a decision of a competent national authority (United Nations, 1992).
SEA approach refers to the context in which policies, plans and programmes (PPPs) are
developed in line with environmental, socioeconomic, and sustainability considerations.
OECD urges that, SEA is playing an important role in enhancing ES governance and
institutional frameworks (OECD, 2012). The SEA approach was created in 1989 building on
the activity-based EIA frameworks (Fischer, 1999). SEA is progressively more differentiated
from procedural-based EIA (Fischer 1999). Since EIA and SEA are relatively close, and
complement each other, SEA is "up-stream" outlines the general scope of planning in and
EIA is "down-stream" focused in activities planned after SEA phase, however; overlap is
unlikely but could happen (Commission of the European Communities, 2009).
There is growing globally orientation in thinking of environmental issues at the macro
level. SEA, therefore, works to promote the environmental factors at PPPs, minimize
adverse effects and maximize desired outcomes (EASES, 2006). The MDG 7 on ES
recognises the need to: integrate the principles of sustainable development (SD) into country
PPPs and reverse the loss of environmental resources. (UN MGDs). This definition has
made a strong link between ES and SEA since it has urges to include country PPPs which is
an integral part of SEA approach. SEA contributes to the achievement of MDG 7 on
Environmental Sustainability through incorporating sustainable development into PPPs and
decision making processes (Fig. 1). It also contributes to the Johannesburg Plan of
Implementation agreed at the World Summit on SD in 2002 through adopting environmental
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assessment at the strategic level which support the realization of the SD agenda goals
(OECD, 2006).
Fig 1.Sustainable PPPs Decision-Making Process and SEA (Fischer, 1998 as cited in
Fischer, 1999).

The OECD experience in analyzing EIA practise has concluded that EIA is most effective in
individual projects where it employs environmental measures to minimize negative impacts.
However, at the wider context, the strategic-level interventions are likely to be related to
policy and different guiding principles rather than those procedural EIA factors governing
individual projects. It is very difficult for EIA to evaluate policy implications since they are
circuitous and accumulated over time. Therefore, EIA does not have the capacity to deal with
strategic level of PPPs (OECD, 2006). This limitation of EIA has fashioned the requirement
of developing new approach to deal with policy reform, and sector-wide support
programmes. SEA is therefore developed to mainstream environmental considerations into
development PPPs and strategic decision making and link to socioeconomic aspects while
complementing to EIA outcomes (Fig. 2) (OECD, 2006).
Abaza et al. (2004) emphasised the effectiveness and public involvement in SEA and EIA.
Among many observations on effectiveness, EIA has weak public involvement, deficient in
reflecting EIA results into decision making, inadequate follow-up and comes at late stages of
planning. While SEA pay more consideration to consultation and public involvement, work at
early planning stage that make it more effective in incorporating environmental aspects into
policy decision making (Abaza et al., 2004).
Realizing the importance of SEA for sustainability, Commission of the European
Communities forced SEA Directive 2001/42/EC in 2001, which is mandatory for all member
countries to undertake SEA for strategic developments (Commission of the European
Communities, 2009). The Directive gave special attention to subjects of alternatives,
consultation, trans-boundary consultation, and monitoring.

Fig. 2. SEA: Up-streaming environmental considerations into the decision-making hierarchy


OECD (2006).

Case studies
Examples of role of SEA in promoting sustainability includes; the implementation of SEA in
Ghana (2002) and Tanzania (2004) through incorporating environmental elements into the
processes of developing national poverty reduction strategies, early incorporation of SEA in
policy improvement processes for water and sanitation sectors in Colombia, considering SEA
for The Kenya Education Support Programme to predict, evaluate and mitigate expected
impacts of the program on the environmental taking socioeconomic issues into consideration,
the World Bank (WB) Energy Environment Review in Iran and Egypt to strategically plan
for more environmental sustainability in energy sector in both countries, and many other case
studies (OECD, 2006). Another example from UK, Department for International
Development commissioned a SEA study to ensure that environmental aspects set by the WB
and IFC were considered in private sector infrastructure investment portfolio facilities
(Horberry and Whittle, 2008). In 2006, the Environment and Social Development Unit
(EASES), of the East Asia and Pacific Region of the WB, assessed the status of EIA and SEA
in East and Southeast Asia 12 countries and concluded very important results about current
situation and the potential for SEA implementation for better sustainability (tab.1). One of the
lessons that can be learned from this case is that SEA has high potential to be more developed
in Asia specifically because of the political will, while more effort needed to put the system
in place.
Table1. Potential for SEA in East and Southeast Asia (EASES, 2006)
Country
Dimensions/
topics
Political will
Legal mandate
Administrative
framework
SEA procedure/
Guideline/
Technical knowhow
Experience in SEA
implementation
Public
involvement

Camb
odia

China

X
X

Hong
Kong
SAR

Indon
esia

Japa
n

Kore
a

Lao
PDR

Mongo
lia

Singa
pore

Viet
nam

Thai
land

X
X

Phili
ppin
es

NA

NA

NA

NA

NA

NA

NA

: Positive, x: Negative, - : Neutral

CONCLUSION
This paper reviews the relation and effectiveness of EIA and SEA approaches with regard to
environmental sustainability. Both terms are acknowledged worldwide as approaches for
promoting environmental sustainability targets (Kumar et al. 2013). EIA is more projectlevel focused which reduce its capacity to ensure sustainability, while, SEA is sustainability
oriented long term approach that incorporates environmental sustainability into
comprehensive planning i.e. policies, plans, and programs. Evidences exist to prove that
countries that adopt SEA are more likely to accomplish sustainability (Shepherd and
Ortolano, 1996). The SEA approach is widely used with comprehensive plans because those
plans involve public, more interactive, and geopolitically well defined (Curran and Wood,
1996 as cited in Shepherd and Ortolano, 1996). Chaker et al. (2004) emphasised that SEA
highly consider alternatives, involve public, ensure quality and follow-up for PPPs. White, L
and Noble, B. (2012) reviewed literature (2000 to 2010) on SEA contribution to sustainability
and concluded that SEA provides enabling conditions for mainstreaming and incorporating
sustainability goals early into decision making in an adaptive and flexible manner,
investigative best alternatives in PPPs and managing magnificent and cumulative impacts for
better sustainability.
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