Federica Isola and Cheti Pira on "Participation and consultation in the SEA process"

1. Participation and consultation in the SEA process
Dipartimento di Ingegneria Civile, Ambientale e Architettura
Via Marengo 2, 09124 Cagliari, Italy Federica Isola and Cheti Pira

2. Summary
The aim of the research
Research’s Topic
Participation in the SEA Directive
Participation in Sardinian case studies
Conclusions

3. the aim of the research
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.
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.

4. Research’s Topic
The SEA, if applied properly, can ensure the
adoption of an appropriate decision in terms
of sustainability.
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.
To ensure involvement of all local stakeholders local governments
play a key role in the evaluation of various general interests.

5. Research’s Topic_Some important references
The Agenda 21
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.
Aarhus Convention
The 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).

6. Research’s Topic_Some important references
European Landscape Convention
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
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.

7. Participation in the SEA Directive
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.
Critical points for the implementation of 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.

8. Participation in Sardinian case studies
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.
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.

9. Participation in Sardinian case studies: the scoping phase
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).
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.

10. Participation in Sardinian case studies: the scoping phase
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
at an early stage of the processing of the city Masterplan.
Critical points in the GL
The first critical point in the GL for this phase, is the non-involvement, but only the identification,
the public and interested public.

11. Participation in Sardinian case studies: the scoping phase
Critical points in the Sardinian case studies
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.
! (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)

12. Participation in Sardinian case studies: the scoping phase
The case of the SEA of the city Masterplan of Alghero
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 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.

13. Participation in Sardinian case studies: the scoping phase
The case of the SEA of the city Masterplan of Alghero
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
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.

14. Participation in Sardinian case studies: the scoping phase
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."

15. Participation in Sardinian case studies: the scoping phase
Critical points in the Sardinian case studies
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
interested public, due to the professional advice given by GL in this manner.

16. Participation during the preparation of the environmental report
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
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.

17. Participation during the preparation of the environmental report
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".
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.

18. Participation during the preparation of the environmental report
Critical points in the Sardinian case studies
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,
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).

19. Diapositiva 18
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20. Participation during the preparation of the environmental report
Critical points in the Sardinian case studies
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
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.

21. Diapositiva 19
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22. 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.