11 Chapter 2 – Theoretical Framework Since around a decade ago, the concept and the practice of environmental assessment has evolved from the concept of environmental assessment at project level (EIA) towards the concept of environmental assessment at higher level of decision making – policies, plans and programs (SEA) which is broader than the previous concept and complement for EIA. This evolution emerged in the light of disillusionment over the ability of project EIA to assist sound environmental decision-making from policy through to project because it enters the decision- making process at too late a stage to be able to influence decision-makers. Besides, it is strongly linked to the achievement of sustainability and the consideration of cumulative effects (Partidario, 1996). Regarding that discourse and related to the main research question (in Chapter 1), this chapter attempts to provide the answers to the main question and its supporting research questions, which is related to each other: 1)Why (transport) SEA is needed into decision-making and planning process. 2)What is the role of SEA for transport planning. (sub-chapter 2.2) 3)How SEA can effectively be integrated into transport planning process. 2.1 The Reasons for the Need of SEA There are several authors (See, Therivel et al, 1992; Dalal-Clayton and Sadler, 2005) which recognize and require the need of environmental assessment to be conducted at a higher level. The emergence of SEA can be categorized into two main reasons, which are strengthening the project EIA along with its awareness of cumulative impact and large scale effects, and advancing the sustainability agenda. In addition, the emergence of decentralization also influences the need for implementing environmental assessment at a strategic level, especially in a developing country like Indonesia. The framework of the rational and the process of SEA related to sustainable development is shown in figure 2.1 below, followed by the explanation. 12 - Reactive instead of proactive approach - Limited range of alternatives & mitigation measures - There is no chance for analyzing cumulative & synergistic impact The limitation of EIA The need of environmental assessment at strategic level Sustainable development issue - Need proactive approach to the environment - Need the Integration of environmental considerations in formulating PPP - It would be implemented by being trickled down through PPP Factors influencing The need of SEA SEA (Environmental input) Strategic decision-making Process Identify objective of strategic actions Identify alternatives Implement & monitor Formal decision Select alternatives Adjust alternatives Identify sustainability objectives Describe environmental baseline Predict & evaluate impacts Propose sustainable alternatives Mitigate impacts Write SEA report Establish environment guidelines Monitor environmental impacts Intertwining/Integrating Decision-making process and SEA Figure 2.1 The framework of SEA rationale and process for sustainable development (Dalal-Clayton & Sadler, 2005, and http://sea.unu.edu/course/?page_id=47 ) 13 2.1.1 Strengthening the Project EIA Currently, most of the authors and practitioners have perceived that EIA, which merely evaluates environmental effects at project levels and tend to be reactive instead of proactive decisions, has several limitations and failures dealing with environmental consideration in development planning. As Glasson et al (1994) listed, the main limitations and failures of EIA are: 1) Project EIAs react to development proposals rather than anticipate them, so they cannot steer development towards environmentally “robust” areas or away from environmentally sensitive sites. 2) Project EIAs do not adequately consider the cumulative impacts caused by several projects or even by one project’s subcomponent or ancillary developments. 3) Some small individual activities are harmless, but the impact of those activities can be significant, which cannot be addressed by the project EIA 4) The project EIAs cannot address the impacts of potentially damaging actions that are not regulated through the approval of specific projects 5) The project EIAs often have to be carried out in a very short period of time because of financial constraints and the timing of planning applications. 6) The amount and type of public consultation undertaken in the project EIA may be similarly limited. Those limitations lead to the recognition of the need for environmental assessment at the higher level (policies, plans and programs). Thus, strengthening the project EIA at the higher level of decision making will provide and support the analysis of environmental consideration and its alternatives into policies, plans and programs (Dalal-Clayton and Sadler, 2005: 21). Furthermore, environmental assessment at a more strategic level would allow for cumulative and synergic impacts to be better addressed because of its position at an earlier stage in decision making and its consideration of a wider range of actions over a greater area (Therivel et al, 1992, p.21). In addition, in the context of developing countries, SEA may also yield significant other benefits. For example, it can rule out certain kinds of development at the policy level and reduce the need for many project-levels, which can relieve pressure where institutional and skills capacity are limited (Dalal- Clayton and Sadler, 2005). 14 2.1.2 Advancing the Sustainability Agenda SEA is also seen as a way of implementing the concept of sustainability ( Therivel et al, 1992, p.22). When applied systematically SEA can complement the existing environmental assessment at project level in order to achieve sustainability- based planning and decision making, as called for by the Brundtland Commission (WCED, 1987) and Agenda 21 (Dalal-Clayton and Sadler, 2005, p.22). The term sustainable development, stated in the publication of Our Common Future by Brundtland Commission in 1987, is development that “meets the needs of the present without compromising the ability of future generations to meet their own needs’’ (WCED 1987 in Pope et al, 2004). This vision statement was initially created to provide a global agenda for change. The purposes of the changes, as the Commission intended, are (1) to propose long-term environmental strategy for achieving sustainable development, and (2) to identify how relationships among people, resources, environment and development could be incorporated into national and international policies (Mitchell, 2002: 72). Sustainable development embraces economic, social and environmental considerations as well as their relationship (Pope et al, 2004). Furthermore, the more concern is on how to run and harmonize the three pillars and their relationship in decision-making so that those can be considers equally; in other word, the decision can avoid the trade-off among them. Therefore, sustainability needs tools for assessing and achieving whether the initiatives are sustainable or not. As Devuyst (2001) stated, “Sustainability assessment is...a tool that can help decision-makers and policy-makers decide what actions they should take and should not take in an attempt to make society more sustainable”. Over the last decade and more recently, one of the most popular tools for assessing sustainability is SEA, which is the extension of project EIA at a strategic level. Sadler (1999) stated that the sustainability assessment is often considered to be the “next generation” of environmental assessment. It is reasonable because much sustainability assessment thinking, in fact, has been substantially developed by Environmental Impact Assessment (EIA) and Strategic Environmental Assessment practitioners (Pope et al, 2003). 15 2.2SEA for Road Transport Planning Generally speaking, SEA is a supporting tool for sustainable development, which has emerged as a structured proactive process to strengthen the role of environmental issue in decision making through the assessment of the environmental effects of policies, plans and programs (Verheem and Tonk, 2000; Therivel et al., 1992). Then, it requires institutions to consider the consequences of a range of action early on in the planning process, to choose the most appropriate action on environmental as well as socio-economic grounds, and to minimize any remaining environmental impacts (Therivel et al., 1992). SEA could be applied for road transport plan which has characteristics of long-lasting planning, comprehensive and complex process. This is because transport plans will affect, and be affected by, nature and landscape, living conditions, traffic and transport, economic and social aspects, cost and spatial quality of the area (Arts et al, 2005: 76). For example to spatial quality, the construction of road may cause barrier impacts by fragmenting an existing housing, industrial or recreation area in which it, in turn, will affect social impacts on the liveability (quality of life) of the area where the road development is planned. SEA is particularly useful in assisting the environmental analysis and assessment in inter-modal approaches and spatial issue. It helps structuring and focusing the environmental analysis on the key environmental benefits and costs of each transport mode, comparing alternative planning and management options in an integrated way and providing decision-makers with the relevant information to take the most sustainable decision (ECMT, 2000). Moreover, SEA could identify and analyze possible mitigation and proactive solutions to deal with adverse development effects for spatial issue on such aspects as air pollution, noise, soil and water quality, flora and fauna, landscape and other spatial functions (Arts et al, 2005: 77). Table 2.1 below shows several cumulative impacts of road transport development. Table 2.1 Impacts and indicators for transport SEA Impact Example of Indicators Climate change Emission of green house gases Acidification Emission of SO2, NOx Use/depletion of natural resources Resource intensity, energy consumption, land take Loss of biodiversity Land take and fragmentation of ecologically sensitive are, loss or damage to key species or habitat 16 Air quality Emission or concentrations of pollutants, exposure of the population to pollutant concentrations Water quality Number of water sources affected, concentration of pollutants, distance of infrastructure from sensitive sites Visual impacts Scale and physical characteristics Severance Barriers, population numbers in affected areas Noise and tranquility Noise levels, affected surface, population affected Accidents Fatality and injury rates Historical, archaeological, nature conservation Loss or proximity to recognized sites and areas of importance Source : ECMT, 2000 It can be seen from the table, there are several impacts which cannot be accommodated by environmental assessment at individual (project) level such as emission of greenhouse gases, acidification and air pollution. Moreover, those impacts usually are omitted in assessing impacts on road development due to the difficulties to quantify those impacts. In the Indonesian context, most of the impacts have been major environmental issues including in the transport development. These cumulative and synergic impacts could not be anticipated by the existing environmental assessment at the project level. As a result, it calls for assessing environmental impacts of transport sector at a more strategic and greater area. Therefore, when analyzing SEA for transport plans in the UK in chapter 5, this research will use these impact information to understand the extent to which the SEA in the UK consider all environmental impact information. In other words, this research will see the scope of transport SEA (the alternative options and impacts). 2.3 The Analysis Framework for the Effectiveness of Transport SEA Implementation in Indonesia This sub-chapter tries to develop the analysis in dealing with answering main research question, which is “How the concept of SEA can be integrated into transport plan in Indonesia?” The analysis begins with learning from experienced countries in implementing Transport SEA in order to gain how certain country implement SEA into decision making process and what appropriate type of SEA in certain country related to its contextual factors. By understanding SEA implementation in certain country, it could be useful to know several preconditions and facilitating factors to be reflected in the Indonesian context.