Towards effective scoping in strategic environmental assessment

Figures & data

Figure 1 Conceptual model for developing criteria for scoping effectiveness framework. Source: Adapted from Polido and Ramos (2010).

Table 1 Framework and criteria for SEA scoping effectiveness.

Criteria	Evaluation guide	Adapted from
Plan or Programme (PP) profile
1. Describes the strategic mission and vision?	Verify if the scoping report describes the strategic mission and vision	DEAT/CSIR (2000); Partidário (2007); DGOTDU (2008)
	of the PP and the potential implications for the environment,
	societies and economy
2. Describes the PP goals and objectives?	Verify if the scoping report describes the goals and objectives	ODPM (2005); GRDP (2006); Scottish Executive (2006); Partidário
	of the PP: what it aims to achieve; and what justifies those aims	(2007); DGOTDU (2008)
3. Describes the PP content?	Verify if the scoping report describes the main strategic actions	ODPM (2005); GRDP (2006); Scottish Executive (2006); Partidário
	of the PP and the alternatives considered	(2007); DGOTDU (2008)
Links with other strategic actions
4. Refers to the relevant Policies, Plans or Programmes (PPP)?	Verify if the scoping report refers to the relevant PPP for the PP	Fischer (2002a); IAIA (2002); ODPM (2005); GRDP (2006); OECD
	being assessed	(2006); Scottish Executive (2006); Partidário (2007); DGOTDU
		(2008)
5. Refers to the sustainability and strategic objectives of the	Verify if the scoping report refers to the strategic and sustainability	Fischer (2002a); IAIA (2002); ODPM (2005); GRDP (2006); OECD
relevant PPP?	goals of the relevant PPP for the PP being assessed	(2006); Scottish Executive (2006); Partidário (2007); DGOTDU
		(2008)
6. Refers to how these PPP are linked with the PP under	Verify if the scoping report refers to how the strategic and	ODPM (2005); GRDP (2006); OECD (2006); Scottish Executive
evaluation?	sustainability goals of the relevant PPP are linked with the PP being	(2006); Partidário (2007); DGOTDU (2008)
	assessed
Sustainability issues and SEA objectives
7. Identifies the key sustainability and environmental issues	Verify if the scoping report identifies which are the key sustainability	Fischer (2002a); IAIA (2002); Abaza et al. (2004); Therivel (2004);
relevant for the SEA?	and environmental issues related with the PP	ODPM (2005); GRDP (2006); Scottish Executive (2006); Partidário
		(2007); DGOTDU (2008)
8. Defines the SEA objectives?	Verify if the SEA goals are defined	Fischer (2002a); IAIA (2002); Abaza et al. (2004); Therivel (2004);
		ODPM (2005); GRDP (2006); Scottish Executive (2006); Partidário
		(2007); DGOTDU (2008)
9. Identifies the indicators and sources of information for each	Verify if for each sustainability and environmental issue there	Fischer (2002a); IAIA (2002); Therivel (2004); Partidário (2007)
key sustainability and environmental issue?	are identified different indicators and their main source of
	information, to help evaluate those issues
Baseline information
10. Identifies the baseline information?	Verify if environmental aspects likely to be affected were identified,	DEAT/CSIR (2000); Abaza et al. (2004); Therivel (2004); ODPM
	according with the sustainability and environmental issues	(2005); GRDP (2006); Scottish Executive (2006); Partidário (2007);
		DGOTDU (2008)
Communication and public participation
11. Defines the communication strategy for the all SEA	Verify if a communication strategy is identified that defines: public	Baker & McLelland (2003); Schmidt et al. (2005); OECD (2006);
process?	consultation for all SEA phases, stakeholders to consult for all	Scottish Executive (2006); Partidário (2007); DGOTDU (2008)
	SEA phases, the communication techniques for all SEA phases
12. Establishes the need for consultation with competent	Verify if consultation is envisaged with the different authorities with	Sadler (1996); DEAT/CSIR (2000); Fischer (2002a); IAIA (2002);
authorities in the scoping phase?	relevant environmental responsibilities	Baker & McLelland (2003); Abaza et al. (2004); Therivel (2004);
		ODPM (2005); GRDP (2006); Partidário (2007); DGOTDU (2008)
13. Establishes the need for consultation with the general	Verify if consultation with the general public at the scoping phase is	Sadler (1996); DEAT/CSIR (2000); Fischer (2002a); IAIA (2002);
public in the scoping phase?	envisaged	Baker & McLelland (2003); Abaza et al. (2004)
14. Establishes the need for consultation with institutions and	Verify if consultation with institutions or experts for the scoping	Sadler (1996); Baker & McLelland (2003); Abaza et al. (2004)
expert consultants in the scoping phase?	stage is envisaged
15. During the scoping phase were stakeholders consulted?	Verify if the scoping report has evidence that consultation with	Baker & McLelland (2003); Ahmed et al. (2005)
	different stakeholders was conducted before the writing of the report
16. Identifies how the stakeholders' consultation outcomes	Verify if the scoping report explains how the stakeholders'	CEQ (1981); Baker & McLelland (2003); Ahmed et al. (2005)
were introduced in the scoping report?	contributions were integrated into the report.
17. Describes how consultation was conducted?	Verify if the scoping report describes how consultation on the	CEQ (1981); Baker & McLelland (2003)
	scoping phase was conducted
18. Promotes participation in the scoping phase?	Verify if initiatives to promote participation in the scoping phase,	CEQ (1981); Baker & McLelland (2003); OECD (2006); Partidário
	such as workshops, dedicated web page and focus-group meetings	(2007); Retief (2007)
	are envisaged
19. Focus on contributions and concerns of stakeholders?	Verify if the scoping report envisages public participation	CEQ (1981); Baker & McLelland (2003); Retief (2007); Theophilou
	contributions	et al. (2010)
Integration of SEA with the different phases of the PP
20. Defines a methodology/timeline for the all SEA process?	Verify if there is a timetable and a methodology for the SEA that	CEQ (1981); Therivel (2004); OECD (2006); Scottish Executive
	include tasks, goals, timings, stakeholders and responsibilities	(2006); Partidário (2007); DGOTDU (2008)
21. Are the PP and SEA being developed simultaneously?	Verify if there is evidence that the decision-making process and the	Therivel (2004); ODPM (2005); GRDP (2006); Scottish Executive
	SEA are being developed at the same time, linking the conclusions of	(2006); Partidário (2007); Retief (2007); DGOTDU (2008);
	each SEA phase to the PP	Theophilou et al. (2010)

Table 2 Characterisation of the scoping reports analysed.

	PP type addressed	Consultant	NUTS II	Year	Reference
1.	PEOT	erena	PT11 – Norte	2008	ICNB (2008)
2.	PROT	UNL/FCT e UM	PT20 – Região Autónoma dos Açores	2007	DROTH (2007)
3.	PS	UNL/FCT	(National level)	2008	MOPTC (2008)
4.	PS	DHV, Consulmar e BSA	(National level)	2009	IPTM (2009)
5.	PDM	ambep	PT16 – Centro	2008	CM Figueiró dos Vinhos (2008)
6.	PDM	AGRI.PRO Ambiente Consultores	PT 11 – Norte	2008	CM Vinhais (2008)
7.	PDM	DOT e CMF	PT 11 – Norte	2008	CM Felgueiras (2008)
8.	PDM	GIPP	PT16 – Centro	2009	CM Óbidos (2009)
9.	PDM	terra	PT16 – Centro	2009	CM Torres Novas (2009)
10.	PDM	Sinergie	PT16 – Centro	2009	CM Condeixa (2009)
11.	PDM	Lugar do Plano	PT16 – Centro	2009	CM Tondela (2009)
12.	PDM	Hidroprojecto	PT16 – Centro	2009	CM Constância (2009)
13.	PP	Vasco da Cunha	PT16 – Centro	2008	CM Batalha (2008)
14.	PP	nemus	PT17 – Lisboa	2009	CM Lisboa (2009)
15.	PP	Pé Direitos Arquitectos e Lugar do Plano	PT16 – Centro	2009	CM Estarreja (2009)
16.	PP	DCIP	PT17 – Lisboa	2010	CM Lisboa (2010)
17.	PP	PU/CMSCD	PT16 – Centro	2010	CM Santa Comba Dão (2010)
18.	PU	Biodesign	PT17 – Lisboa	2008	CM Loures (2008)
19.	PU	nemus	PT17 – Lisboa	2009	CM Loures (2009)
20.	PU	DP/DOE e CMC	PT16 – Centro	2010	CM Coimbra (2010)

Note: PEOT, special plan; PROT, regional spatial planning plan; PS, sector plan; PDM, municipal master plan; PP, detail plan; PU, urbanisation plan.

Table 3 Results of the content analysis carried out on 20 Portuguese SEA scoping reports (2007–2010).

		Scoping report
Criteria		1	2	3	4	5	6	7	8	9	10	11	12	13	14	15	16	17	18	19	20	Absolute frequency
Plan or Programme (PP) profile																						C	Q	N
1	Describes the strategic mission and vision?	Q	C	C	C	C	C	C	C	C	C	C	C	C	C	C	C	C	C	C	C	19	1	0
2	Describes the PP goals and objectives?	C	C	C	N	C	C	C	C	C	C	C	C	C	C	C	C	N	C	C	C	18	0	2
3	Describes the PP content?	C	C	C	C	C	C	C	C	C	C	C	C	Q	C	C	Q	Q	C	C	C	17	3	0
Links with other strategic actions
4	Refers the relevant Policies, Plans or Programmes (PPP)?	C	C	C	C	C	C	C	C	C	C	C	C	C	C	C	C	C	C	C	C	20	0	0
5	Refers the sustainability and strategic objectives of the relevant PPP?	Q	C	C	C	C	C	C	C	Q	C	C	C	C	C	C	C	C	C	C	C	18	2	0
6	Refers how these PPP are linked with the PP under evaluation?	Q	C	C	N	N	C	C	C	C	C	C	C	C	N	C	N	C	N	N	N	12	1	7
Sustainability issues and SEA objectives
7	Identifies the key sustainability and environmental issues relevant for the SEA?	C	C	C	C	C	C	C	C	C	C	C	C	C	C	C	C	C	C	C	C	20	0	0
8	Defines the SEA objectives?	N	C	C	C	C	C	C	C	N	C	C	C	C	C	C	C	C	C	C	C	18	0	2
9	Identifies the indicators and sources of information for each key sustainability and environmental issue?	N	C	C	C	Q	N	C	N	N	N	N	N	C	C	C	C	C	N	C	Q	10	2	8
Baseline information
10	Identifies the baseline information?	N	Q	N	N	N	N	N	N	N	N	N	N	N	N	N	N	N	N	N	N	0	1	19
Communication and public participation
11	Defines the communication strategy for the all SEA process?	Q	C	C	Q	Q	Q	Q	Q	Q	Q	Q	Q	Q	Q	Q	Q	Q	Q	Q	Q	2	18	0
12	Establishes the need for consultation with competent authorities in the scoping phase?	C	C	C	C	C	C	C	C	C	C	C	C	C	C	C	C	C	C	C	C	20	0	0
13	Establishes the need for consultation with the general public in the scoping phase?	C	C	N	N	N	C	N	N	N	N	N	C	C	N	N	N	C	N	N	C	7	0	13
14	Establishes the need for consultation with institutions and expert consultants in the scoping phase?	N	C	C	N	C	N	N	N	N	N	N	N	N	N	N	N	N	N	N	C	4	0	16
15	During the scoping phase stakeholders were consulted?	N	N	N	N	N	N	N	N	N	N	N	N	N	N	N	N	N	N	N	N	0	0	20
16	Identifies how the outcomes were introduced in the scoping report?	N	N	N	N	N	N	N	N	N	N	N	N	N	N	N	N	N	N	N	N	0	0	20
17	Describes how consultation was conducted?	N	N	N	N	N	N	N	N	N	N	N	N	N	N	N	N	N	N	N	N	0	0	20
18	Promotes participation in the scoping phase?	N	Q	N	N	N	Q	N	N	N	N	N	N	Q	N	N	N	Q	N	N	Q	0	5	15
19	Focuses on the contributions and concerns of stakeholders?	N	N	N	N	N	N	N	N	N	N	N	N	N	N	N	N	N	N	N	N	0	0	20
Integration of SEA with the different phases of the PP
20	Defines a methodology/timeline for the all SEA process?	Q	Q	Q	Q	N	Q	Q	Q	Q	Q	Q	Q	Q	Q	Q	Q	Q	Q	Q	Q	0	19	1
21	Are the PP and SEA being developed simultaneously?	N	Q	Q	N	N	N	Q	N	N	N	N	Q	N	N	N	N	N	N	N	N	0	4	16

Note: C, meet requirements; Q, partially meet requirements; N, does not meet requirements.

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