Isola & Pira - input2012

Participation and consultation in the SEA process

Federica Isola and Cheti PiraDipartimento di Ingegneria Civile, Ambientale e ArchitetturaVia Marengo 2, 09124 Cagliari, Italy

� The aim of the research

� Research’s Topic

� Participation in the SEA Directive

� Participation in Sardinian case studies

Summary

� Participation in Sardinian case studies

� Conclusions

The 42/2001/CE Directive has introduced a change of perspective in the approach to

spatial planning, in which Strategic Environmental Assessment (SEA) is a fundamental

tool in the construction of knowledge. To fulfil this objective successfully, spatial

planning and assessment must entail full integration but this does not happen during the

current process.

the aim of the research

This presentation discusses some important elements of participation and consultation

in planning and in the SEA process, with particular reference to a number of

applications of the SEA process of the city Masterplans of a series of Sardinian

municipalities.

Research’s Topic

This implies that in addition to the consideration of the effects of a decision, it is necessary

to satisfy certain procedural parameters, previously defined, such as the explanation of an

open dialogue with the public or the involvement of technical authorities able to provide

appropriate data to increase the wealth of knowledge available to the decision maker,

leaving open the possibility of changing the decision.

The SEA, if applied properly, can ensure the

adoption of an appropriate decision in terms

of sustainability.

leaving open the possibility of changing the decision.

To ensure involvement of all local stakeholders local governments

play a key role in the evaluation of various general interests.

Research’s Topic_Some important references

The Agenda 21 document, signed at the Rio Conference defined participation as a vital element for

sustainable development: it argues, that sustainable development can only be achieved through a

democratic, process based on a proactive approach to planning at all levels of government.

The right of citizens to participation in public decisions must be applied during all stages of the

decision making process.

The Agenda 21

Aarhus Convention

The involvement of citizens is achieved firstly through their awareness of political decisions and theThe involvement of citizens is achieved firstly through their awareness of political decisions and the

impacts these decisions have and, secondly, through the opportunity to take an active part in the

decision-making process.

Historically, the Aarhus Convention has introduced significant progress for participation required in the

definition of public policies: it states that the involvement of local communities can be effective at

different levels, each capable of increasing the capacity of citizens to influence policy with specific

objectives of sharing. It starts from a first level of civic activism, through communication and

information (informed participation); a later stage concerns a systematic way of collecting and

representing the views of citizenship issues (consultative participation); involvement becomes a

shared project when decisions are made based on the interests of more the one different stakeholders

(joint planning).

A new way of understanding participation in the processes of planning was introduced in 2000 by

the European Landscape Convention. It highlights the importance of public participation

procedures to regional and local authorities and others involved in the design and

implementation of local policies. It recognizes the important role of the views and expectations of

members of the public in the attribution of value to resources.

Traditional observations made by citizens to already formed urban plans and environmental

assessment processes made by expert-administrators are not examples of real participation: a

Research’s Topic_Some important references

European Landscape Convention

assessment processes made by expert-administrators are not examples of real participation: a

systematic approach is necessary, one that considers the involvement of qualified witnesses to be

essential because they hold information on topics relevant to the decision.

The SEA Directive introduced SEA to the European Community Legislation establishes a

participation level of consultation (art. 6 of the Directive) of the public by the authorities owing to

the authorities specific environmental responsibilities.

The public shall be given an early and realistic opportunity within appropriate time frames to

express opinions on the draft plan or proposal and the accompanying environmental report before

the adoption of the plan or proposal or its submission to the legislative procedure.

Including the public affected or likely to be affected by, or having an interest in, the decision-making

subject to this Directive, including relevant non-governmental organisations, such as those

promoting environmental protection and other organisations concerned.

Participation in the SEA Directive

� The definition of the public is vague and Member States are left to interpret it "according

to national legislations and practices" (art. 2, lett. d).

� Several participation methods are used by the Member States but only a few have set

clear deadlines for the duration of public consultation.

Critical points for the implementation of the SEA Directive

Sardinia was the first Italian region to adopt an Regional Landscape Plan (RLP) in 2006

by Regional Government Decree n. 36/7. Sardinian municipalities are adapting their city

Masterplans to the RLP for which SEA is a compulsory process according to national rule.

In order to help municipalities in adapting to RLP the local government of Sardinia set up a

specific Guidelines Manual (Regione Autonoma della Sardegna, 2010, named as “GL” from now on)

for the SEA of city Masterplans; they integrated, at least formally, the planning process established

by the Regional Law of 22 December 1989, n. 45, "Rules for the use and protection of the region"

with the SEA procedure provided by national rule.

Participation in Sardinian case studies

with the SEA procedure provided by national rule.

The GL, regarding participation, describe the ways in which to conduct the process of

participation:for each phase of the SEA process they identified how to conduct participatory moments (number

of meetings suggested, actors to be invited).

In this paper we have analysed the ways in which the theme of participation is addressed in

the preliminary stage and in the preparation of the environmental report from two

points of view.

The first is from the GL, the second is derived from the analysis of case studies, the SEA of the city

Masterplan.

The scoping phase is a fundamental moment in the process of evaluation;

It has the purpose of defining the conceptual and operational references for environmental

assessment, both in terms of indications of procedures and analytical indications.

The EU Directive on the SEA, does not explicitly describe a scoping or orientation phase but

declares that Member States must appoint authorities with specific environmental competence

(Article 6, paragraph 3) and consult them when deciding on the scope of information and to include

in the environmental report their level of detail (Article 4 paragraph 3).

Participation in Sardinian case studies: the scoping phase

The Legislative Decree no. 152/2006, in the first version, art. 9 c. 4, declares that these preliminary

steps must be initiated by the party making the proposal during discussions with the competent

authority. Legislative Decree no. 4/2008 article 13. c.1 clarifies that the phases of consultation

between proceeding authorities and competent authorities must be made from the

phases of the preliminary processing of plans and programs, based on a preliminary

report on their possible and significant environmental impact.

According to GL, during the scoping meetings the following things should be shown:

� how to conduct the SEA process,

� methodology for environmental analysis (components involved in the

implementation of the city Masterplan, indicators, method of analysis, etc.),

� method of operation of the process of participation and approval of the list of

parties involved in the process (parties responsible for the environment, public and

interested public) and the contents of the environmental report.

In order to arrive at the construction of a shared plan, the participatory process should be started


In order to arrive at the construction of a shared plan, the participatory process should be started

at an early stage of the processing of the city Masterplan.

The first critical point in the GL for this phase, is the non-involvement, but only the identification,

the public and interested public.

Critical points in the GL

� public participation is limited at a later stage in the adoption of the city Masterplan!

� are involved only the parties responsible for the environment trough traditional

methodology based in submission of the scoping document, followed by an open

discussion and the verbalization of observations.


Critical points in the Sardinian case studies

! (The GL also propose a questionnaire for the interested parties, through which they

raise questions about the ways with which the SEA process will be conducted and the

information that is to be included in the environmental report)

In the case of the SEA of the city Masterplan of Alghero, the public participated in a marginal way

to the stages of planning. Only during the final stages of the preparation of the plan did a series

of meetings take place and a series of information tools to enable all stakeholders to express

opinions about the decisions were prepared.


The case of the SEA of the city Masterplan of Alghero

The meetings were aimed to promote interaction among the architects of the plan and all those

involved in the process. Corresponding to the key issues, industrial associations and individual

citizens with personal interests were invited to participate.

They were given information through illustrative materials available through a dedicated web

platform, in which the documentation for the plan and the SEA and a specific form for the

participatory process through which it was possible to make observations and considerations

were made available.


it is possible to highlight some critical points encountered during this stage:

• In the three scoping meetings, organized by the local administration, a large number of

those responsible for the environment that had been invited were absent.

This lack of participation can be attributed to the lack of awareness of the importance of the

contribution that they and the municipality can give to the SEA process. These are

The case of the SEA of the city Masterplan of Alghero

contribution that they and the municipality can give to the SEA process. These are

methodological weaknesses that have characterized the organizational meetings.

• The absence of the key-stakeholders and local community representatives at the

meetings led to the focal point of the meetings being discussions about the state of the

environment in Alghero and its critical issues rather than the examination of the contents of

the plan.

•Another problematic issue is the inability of the competent authority (the Province of

Sassari) to play a proactive and subsidiary role in the scoping phase and in general in the

SEA process. The lack of technical expertise on the SEA has reduced the role of the

Province to simply the formal control of the procedure.

In another case Studies , for example, the SEA scoping documents of city Masterplan of

Simaxis, say that after the identification of (general) public and interested public

(unspecified) provisions for consultation to allow them to express an opinion on the draft

the plan will be activated, and an opportunity to comment on the environmental and on

non-technical summary report will be given before the adoption of the Plan.

The case study of Simaxis is singular because it shows, in the same document, a

contradiction of that which has just been stated, but that the consultations will instead be

activated in the adopted plan.


The SEA scoping document of the city Masterplan of Arborea says that the SEA process

highlights the need for the structured involvement of other parties than the administrators

of the city Masterplan. These entities include public institutions both local and supra-local,

but it is not explained anywhere in the document, what is meant by "structured

involvement."


In the scoping documents examined, the environmental experts are identified, non-

exhaustively.

In no documents, of those examined, are the completed questionnaires of the parties

competent in environmental matters to be found.

During the scoping phase, a representative democracy of the context or of the reference

sector interested in the plan is lacking because of non-involvement of the public and the


sector interested in the plan is lacking because of non-involvement of the public and the

interested public, due to the professional advice given by GL in this manner.

The GL, in order to ensure participation in the process of preparation of the environmental

report, provide for a series of meetings on the subject of Municipalities and environmental

emergencies, with the environmental experts, the public and the interested public.

in order to ensure the availability of the necessary organizational and financial resources,

the municipal administration should proceed to a preliminary program in which they can

name the parties that will be involved, organize meetings, inform larger audiences and

Participation during the preparation of the environmental report

name the parties that will be involved, organize meetings, inform larger audiences and

decide how to conduct the meetings.

Categories and representatives of specific sectors (interested public) that will be involved in

the participatory process should be identified in advance, with regards to this aspect.

According to GL and the construction process of the city Masterplan, the municipality has

the task to determine the moments of participation and subjects to be involved.

In GL various modes of participation are recommended, such as the activation of an on-line

forum or the organization of meetings with the involvement of professional technical

participation experts (facilitators). In the latter case it is suggested to adopt a participatory

approach (for example Metaplan) providing the document in progress or a draft of the city

Masterplan, including the environmental report for submission prior to the partiers being

identified as "public interest".


identified as "public interest".

In accordance with the adoption of the City Council, as provided by the regional Law 45/89

and the second part of the Legislative Decree 152/2006 and subsequent amendments, the

plan shall be made available to the public, together with the environmental report and the

non-technical summary, so that everyone has a chance to examine it and comment.

The low level of participation of local communities in the process of formation of the plans is a

common to all the cases analysed. The non-involvement of individual citizens and associations

representing various interests during periods of planning prevents their active participation that

would have taken place through the formulation of recommendations and proposals.

In some of the environmental reports analysis, references to the moments of participation are

generally those indicated in the GL (Comune di Arborea, 2008, p. 14; Comune di Carbonia, 2009,



generally those indicated in the GL (Comune di Arborea, 2008, p. 14; Comune di Carbonia, 2009,

p.10), other times it is described as a series of meetings without explaining what emerged from

these meetings, or it refers to future actions, without specifying when they are implemented

(Comune di Oristano, 2009, p. 146; Comune di Posada, 2008, p. 110).

In the case of the environmental report of the city Masterplan of Posada, a map of the actors

who will be involved in the planning process with methods of involvement to be adopted is

proposed (Comune di Posada, 2008, pp. 35-36).

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With a low level of participation involved in the pre-adoption of the plan, post-adoption

observations cannot be made which become part of a procedural sequence in a plan that has

already achieved a high level of concreteness and relevance and importance.

The observations and proposals submitted by individual citizens or associations should be

considered by the administration as a necessary and fundamental contribution which provide



considered by the administration as a necessary and fundamental contribution which provide

the city with an urban planning instrument most widely shared and participated.

In addition, communities must not only identify with the overall interests of the stakeholders

that hold strong beliefs and are already well-represented and defended. It is important that

through formal and informal organizations citizens can to express their ideas and demands

regarding the current and future organization of the area and the city.

Diapositiva 19

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Conclusion

That the definition and structuring of a participatory process, which is not limited exclusively to the

comments on the proposed plan, are being adopted is of particular interest for the research in

question.

Therefore, to ensure the objectivity and transparency of the integrated process of planning and

evaluation, an extensive public participation is desirable, one that does not result in purely

consultative procedures but in real debate and a comparison of choices which lead to the

assessment and definition of priorities and specific objectives.

Decisions more beneficial to all involved assume that the strong interest and conflicts of interest

are immediately put into play, rather after(

Here the role of SEA becomes central and fully integrated to the planning process.

Technology

Isola & Pira - input2012