A Avaliação Ambiental Estratégica (AAE) tem sido aplicada como um instrumento de suporte para a inserção de questões ambientais em decisões estratégicas em todo o mundo. A forma e abordagem exatas da avaliação, porém, são objeto de debate na literatura, destacando-se a necessidade de serem observadas as características do contexto em que a AAE será aplicada. É nesse sentido que a presente pesquisa se propôs a discutir a AAE para o Brasil a partir das características do contexto de planejamento, tendo como foco o setor de transportes nos âmbitos federal, estado de São Paulo e município de São Paulo. Os principais objetivos da pesquisa foram: identificar as lacunas e os fatores que contribuem e que limitam a consideração de questões ambientais no planejamento, apresentando recomendações para a definição e aplicação da AAE no contexto do planejamento de transportes no país. Os resultados desta análise, levando-se em conta os quadros legal/normativo, institucional e aplicado, apontam que a necessidade de considerar as questões ambientais está bem estabelecida nas orientações e diretrizes para o setor. Na prática, no entanto, a temática ambiental é considerada apenas como um tema secundário e de maneira não sistemática e não consistente ao longo de todo o processo de planejamento e decisão, sendo limitada por barreiras relacionadas à natureza dos processos de planejamento, ausência de mecanismos legais e institucionais, dificuldades relacionadas à estrutura institucional e à predominância de interesses políticos e econômicos. Neste contexto, para que a AAE tenha real possibilidade de influenciar o planejamento e tomada de decisão no curto e no longo prazo, entende-se que ela deva ser suportada por procedimentos bem estabelecidos e pela intensiva participação da sociedade e das instituições envolvidas, contribuindo para o aumento da transparência dos processos de planejamento, de tal modo que possa cumprir com o seu papel de promover a temática ambiental na tomada de decisão, com foco na sustentabilidade ambiental. / Strategic Environmental Assessment (SEA) has been suggested and applied worldwide as an instrument to support the consideration of environmental issues into strategic decisions. Its exact form and approach, though, has been discussed by the literature, highlighting the necessity to adapt SEA to the context in which it will be applied. In this sense, this research aims to discuss the application of SEA in Brazil based on the characteristics of the planning context, focusing on the transport sector at the federal level, state level (state of São Paulo) and municipal level (city of São Paulo). The main purposes of this research are to identify the gaps, constraining factors and supporting factors in consideration environmental issues within policy, plan and programme making and, based on these characteristics, present recommendation for defining and applying SEA. The planning context was analysed from the legal, institutional and practical planning frameworks. It was found that the need to consider environmental and social issues is well established in sectoral guidelines. However, in practice these issues are considered only to a small extent and, in a non-systematic way and are not consistent throughout the planning and decision-making processes. Moreover, their consideration is limited by barriers related to the nature of planning processes, the absence of legal and institutional mechanisms, difficulties related to institutional structure and the predominance of political and economic interests. In this context, if SEA is expected to have a real influence on planning and decision-making over the short and long terms, we suggested that SEA should be based on well stablished proceedings and in intensive social and institutional participation. Furthermore, it should aim at increasing the transparency of planning processes, playing an advocative role and focusing on environmental sustainability.

A presente pesquisa foi realizada com o intuito de identificar as contribuições da AAE para a elaboração dos planos de manejo das Áreas de Proteção Ambiental (APA) relacionados à conservação da biodiversidade e áreas protegidas. Para atingir este objetivo a pesquisa foi divida em três etapas. Na primeira, as questões relacionadas à biodiversidade e às áreas protegidas foram identificadas nos procedimentos metodológicos da AAE. Assim, na segunda etapa estas questões foram relacionadas com os benefícios da AAE. Com base nesta relação foi possível elaborar um quadro para comparar e analisar os estudos de caso (Plano local do Parque Nacional Cairngorms na Escócia e o Projeto de expansão do Parque Nacional Elefante Addo na África do Sul) com o roteiro metodológico para elaboração de planos de manejo de APAs quanto aos benefícios da AAE (terceira etapa). Desta maneira, verificou-se que os benefícios que a AAE proporciona aos PPPs não podem ser verificados em sua totalidade no roteiro metodológico para os planos de manejo de APA. Entretanto, há um potencial para que estes sejam alcançados, mas para isso seria necessário um instrumento, como a AAE, para auxiliar e avaliar o processo de elaboração dos planos de manejo de APAs. / The present work identified the contribution of Strategic Environmental Assessment (SEA) for the development of management plan of Environmental Protected Area (EPA) related to biodiversity conservation and protected areas. The research was divided into three stages. First, the issues related to biodiversity and protected areas were identified in the methodological framework of the SEA; in the second stage, they were related to the benefits of the SEA. Based on these previous stages, a framework was elaborated to compare and analyse the case studies (Cairngorms National Park local Plan and the Greater Addo Elephant National Park Project) with a methodological guide for the management plans of EPA, taking into consideration the SEA benefits. It was possible to conclude that the benefits of the SEA cannot be identified in their entirety in methodological guide. However, there they can be achieved by the development of SEA to assist and evaluate the process of preparing management plans for EPA.

As características tecnológicas e os impactos sociais, econômicos e ambientais da produção, transformação e uso final da energia ressaltam a importância estratégica do setor energético como objeto de estudo. No planejamento energético brasileiro, tradicionalmente os interesses econômicos sobrepuseram-se às análises e considerações dos aspectos socioambientais relacionados, inexistindo, desse modo, uma visão integrada dos recursos disponíveis, de forma a equacionar a sustentabilidade ambiental das atividades do setor. Assim, à luz da experiência internacional de utilização da Avaliação Ambiental Estratégica (AAE) como instrumento de planejamento estratégico adequado à inserção da variável ambiental no processo decisório, o presente trabalho analisa as contribuições da AAE para o Plano Nacional de Energia - PNE 2030. Além disso, por meio de revisão bibliográfica em literatura específica e análise de dois casos de estudo - AAE do plano de desenvolvimento e investimento da rede nacional de transmissão de eletricidade de Portugal 2009-2014 e a AAE das fontes renováveis de energia marinha da costa escocesa 2007-2020 - desenvolve uma proposta de abordagem a ser utilizada na definição da abrangência e alcance da AAE (scoping). Com base nas informações analisadas e nos resultados obtidos, discute a AAE como alternativa pertinente para a integração da variável ambiental nas tomadas de decisão inerentes ao PNE 2030. O instrumento, diante da necessidade de modelos de planejamento que conciliem alternativas de desenvolvimento e proteção ambiental, contribui para o estabelecimento de uma agenda ambiental mínima a ser respeitada, essencial à sustentabilidade das atividades do setor energético brasileiro. Entretanto, para que atinja plenamente seus objetivos e forneça subsídios à sustentabilidade ambiental, conta com o cumprimento de alguns requisitos. / The technological characteristics and the social, economic and environmental aspects of production, processing and final use of energy emphasize the strategic importance of the energy sector as an object of study. In the brazilian energy planning traditionally economic interests overlapped with the analysis and consideration of environmental aspects related, inexistent, thus an integrated view of resources to equate the environmental sustainability of the sector\'s activities. Therefore, in light of international experience with the use of Strategic Environmental Assessment (SEA) as an instrument of planning adequate to integration of environmental variable in decision-making inherent in the design of strategic actions, this work analyzes the contribution of SEA for the National Energy Plan 2030. Moreover, through literature review and analysis of two case studies: the SEA of development and investment plan of national network of transmission of electricity in Portugal 2009-2014 and the SEA of renewable marine energy in Scottish coast 2007-2020 develops a proposed approach to be used in defining the scope and reach of the SEA (scoping). Based on the information and results analyzed, discusses the SEA as an alternative for the integration of environmental variable in decision making inherent in the National Energy Plan. The instrument, given the need for planning models that reconcile development alternatives and environmental protection, contributes to the establishment of a minimum environmental agenda to be respected, essential to the sustainability of the activities of the brazilian energy sector. However, to fully achieved their objectives and provide subsidies to environmental sustainability, the instrument requires the fulfillment of certain requirements.

Um número crescente de países tem feito uso da avaliação ambiental estratégica em experiências de planejamento do turismo. Não obstante, o aumento da prática não foi seguido pelo desenvolvimento de orientações teóricas e procedimentos específicos para o setor. Objetivou-se, com esta pesquisa, desenvolver uma estrutura geral para aplicação da avaliação ambiental estratégica no setor do turismo, bem como analisar as possibilidades práticas de sua inserção no planejamento do turismo no âmbito federal brasileiro. Foi realizado um levantamento bibliográfico sobre o tema, para identificação dos principais pressupostos teóricos. Além disso, foi realizado um levantamento abrangente da aplicação da AAE para o setor do turismo em diferentes contextos de planejamento, seguido por uma consulta a especialistas diretamente envolvidos com casos práticos selecionados. Com esses subsídios, foi possível analisar criticamente as possibilidades de incorporação da AAE no cenário institucional de planejamento do turismo no Brasil, oferecendo recomendações e procedimentos a serem seguidos. Acredita-se que a AAE pode trazer alguns benefícios ao planejamento do setor no país, desde que sua incorporação seja acompanhada por um processo de discussão e apropriação ampla por parte da sociedade e das instituições de planejamento. / An increasing number of countries have been applying strategic environmental assessment to tourism planning experiences. Practice, however, has not been followed by the development of theoretical orientations and specific procedures. This research aimed at developing a general SEA framework for tourism planning and analysing practical developments of SEA application to tourism planning a t the federal level in Brazil. A literature review on the subject was carried out in order to identify the thesis main theoretical assumptions. In addition, a comprehensive survey of the extent of SEA application to tourism sector in different planning contexts was performed, followed by a consultation with experts directly involved with selected case studies. Using inputs from theoretical and field research, a critical analysis was carried out to look at the possibilities of incorporating SEA into the institutional context of tourism planning in Brazil. Recommendations on procedures and guidance were drawn. It is believed that SEA can provide environmental benefits to tourism planning in Brazil provided that its incorporation is followed by a comprehensive discussion and appropriation of the instrument by the public and by the planning institutions.

As características tecnológicas e os impactos sociais, econômicos e ambientais da produção, transformação e uso final da energia ressaltam a importância estratégica do setor energético como objeto de estudo. No planejamento energético brasileiro, tradicionalmente os interesses econômicos sobrepuseram-se às análises e considerações dos aspectos socioambientais relacionados, inexistindo, desse modo, uma visão integrada dos recursos disponíveis, de forma a equacionar a sustentabilidade ambiental das atividades do setor. Assim, à luz da experiência internacional de utilização da Avaliação Ambiental Estratégica (AAE) como instrumento de planejamento estratégico adequado à inserção da variável ambiental no processo decisório, o presente trabalho analisa as contribuições da AAE para o Plano Nacional de Energia - PNE 2030. Além disso, por meio de revisão bibliográfica em literatura específica e análise de dois casos de estudo - AAE do plano de desenvolvimento e investimento da rede nacional de transmissão de eletricidade de Portugal 2009-2014 e a AAE das fontes renováveis de energia marinha da costa escocesa 2007-2020 - desenvolve uma proposta de abordagem a ser utilizada na definição da abrangência e alcance da AAE (scoping). Com base nas informações analisadas e nos resultados obtidos, discute a AAE como alternativa pertinente para a integração da variável ambiental nas tomadas de decisão inerentes ao PNE 2030. O instrumento, diante da necessidade de modelos de planejamento que conciliem alternativas de desenvolvimento e proteção ambiental, contribui para o estabelecimento de uma agenda ambiental mínima a ser respeitada, essencial à sustentabilidade das atividades do setor energético brasileiro. Entretanto, para que atinja plenamente seus objetivos e forneça subsídios à sustentabilidade ambiental, conta com o cumprimento de alguns requisitos. / The technological characteristics and the social, economic and environmental aspects of production, processing and final use of energy emphasize the strategic importance of the energy sector as an object of study. In the brazilian energy planning traditionally economic interests overlapped with the analysis and consideration of environmental aspects related, inexistent, thus an integrated view of resources to equate the environmental sustainability of the sector\'s activities. Therefore, in light of international experience with the use of Strategic Environmental Assessment (SEA) as an instrument of planning adequate to integration of environmental variable in decision-making inherent in the design of strategic actions, this work analyzes the contribution of SEA for the National Energy Plan 2030. Moreover, through literature review and analysis of two case studies: the SEA of development and investment plan of national network of transmission of electricity in Portugal 2009-2014 and the SEA of renewable marine energy in Scottish coast 2007-2020 develops a proposed approach to be used in defining the scope and reach of the SEA (scoping). Based on the information and results analyzed, discusses the SEA as an alternative for the integration of environmental variable in decision making inherent in the National Energy Plan. The instrument, given the need for planning models that reconcile development alternatives and environmental protection, contributes to the establishment of a minimum environmental agenda to be respected, essential to the sustainability of the activities of the brazilian energy sector. However, to fully achieved their objectives and provide subsidies to environmental sustainability, the instrument requires the fulfillment of certain requirements.

Esta pesquisa insere-se na linha de pesquisa, política, planejamento e gestão ambiental do Departamento de Saúde Ambiental da Faculdade de Saúde Pública da Universidade de São Paulo. Tem por objetivo propor um arcabouço teóricoconceitual para aplicação da avaliação ambiental estratégica para avaliar políticas ambientais municipais em fase de implementação. Partindo da constatação de que a avaliação de políticas ambientais apresenta um relativo atraso em relação a outros campos, são adotados os pressupostos de que ferramentas desenvolvidas para avaliação de políticas sociais podem ser adaptadas para avaliar políticas ambientais, mas ferramentas da área ambiental também podem contribuir para o avanço do campo de estudo. Dessa forma foi proposto um arcabouço teórico conceitual com base nos princípios norteadores da avaliação ambiental estratégica, com o uso de ferramentas de apoio originárias da AAE e do estudo de políticas públicas. Como forma de aproximar o arcabouço teórico da realidade, foi analisado o contexto da política de Gestão e Saneamento Ambiental de Santo Andre a partir do arcabouço proposto. O presente trabalho conclui que a AAE pode ser usada para avaliação de políticas ambientais municipais em fase de implementaçao ao usar as estruturas de decisão existentes. / This research is part of the research line in policy, planning and environmental management of the Environmental Health Department of School of Public Health, University of São Paulo. It aims to propose a framework to application of Strategic Environmental Assessment to ongoing local environmental policies. Based on the premise that environmental policy evaluation has a delay compared to other fields, are adopted assumptions that tools developed for evaluation of social policies can be adapted to evaluate environmental policies, but tools in the environmental area may also contribute to advancing the field of study. Thus we proposed a framework based on the guiding principles of strategic environmental assessment, with the use of support tools originated from strategic environmental assessment and from the study of public policy. As a way of anchor the framework in reality, it was analyzed the context of Policy on the Environmental Management and Sanitation in Santo Andre by using the proposed framework. This study concludes that the SEA can be applied to evaluation of ongoing local environmental policies when using existing decision-making structures.

Strategic Environmental Assessment (SEA) has become recognised as an improvement on the existing, limited system of project-based EIA. It aims to integrate environmental considerations into government policies, plans and programmes, and provides a basis for arriving at better-informed decisions at broader strategic levels. However, the compatibility of this new environmental planning tool with other planning systems such as transport, holds the key to successful integration of environmental concerns into existing planning approaches. This study investigates whether SEA can influence and integrate with transport planning and policy development processes through a survey of attitudes and opinions of planners on transport SEA in Taiwan. Transport planning has been criticised for considering too few alternatives, and for basing evaluations solely on technical and economic grounds. The emerging SEA seems theoretically feasible and potentially beneficial in allowing the integration of environmental concerns into strategic transport planning. Though many countries or regions have transport SEA provisions, practical transport SEA applications remain limited, mostly in Western developed countries with high environmental awareness. SEA applications are also limited in their strategies, focusing mainly on infrastructure-related projects. Moreover, most current transport SEA practices lack strategic focus and thus fail to fulfill SEA principles. This suggests that many planners are unfamiliar with the nature and techniques of SEA, and the conceptual impediments are still critical, which may result in significant barriers to transport SEA application. The EIA Act promulgated in 1994, together with its relevant provisions, have provided an applicable mechanism and a legal basis for SEA application in Taiwan, however, no transport SEA cases have been conducted. Many technical and non-technical barriers have been identified by the interviewees, indicating that most of the planners in Taiwan believe that transport SEA is conceptually and practically immature, and planners are not yet ready for it. The conceptual barriers seem more critical at this stage because practical barriers can only be identified and overcome when planners and decision-makers have a clear and proper concept of SEA. This narrowly-viewed application has limited the benefits of SEA, and has resulted in a rigid and incorrect idea that SEA was a passive impact-reducing mechanism; this may mislead the attitudes of planners to transport SEA. In fact, the emerging SEA is a re-engineered planning system framework that serves to remind planners that they are able to improve their efforts. It is a paradigm revolution, as the way in which planners think can make a vast difference. Thus, the potential for the emerging SEA concept to influence and integrate with transport planning and transport policy development processes depends not only on practical feasibility but also on a fundamental conceptual recognition of transport SEA. SEA could influence and integrate with transport planning and transport policy development processes if planners and decision-makers changed their ways of thinking. This study also found that a tiered and integrated transport SEA, embedded in the main transport planning process at different strategic levels, has great potential to embody the environmental and sustainable concerns in transport planning and decision-making. This finding is based on several contentions supported by the recent SEA studies showing that it should not be detached from the main planning process. SEA needs to be flexible in order to meet various policies, plans and programmes (PPP) demands, and it must be value-driven, not impact-oriented. A tiered, integrated transport SEA provides ways to overcome identified transport SEA application impediments. This two-in-one planning system is a simple solution which allows transport SEA to be conducted without involving complex legal processes. It improves institutional coordination and integrates not only with planning processes but also with values and resources.

Comme d'autres secteurs d'activité nouant des liens avec les territoires, le tourisme a été marqué par une conscientisation accrue de ses enjeux environnementaux au cours des dernières décennies. Durant les années 90, cette question s'est logiquement inscrite dans le débat plus large de la durabilité du tourisme. Depuis lors, de nombreuses initiatives en faveur d'un tourisme plus durable émergent dans le but de sensibiliser les différents acteurs du secteur à l'importance d'améliorer l'équilibre entre développement économique, protection de l'environnement et valeurs sociales. Ces vingt dernières années ont aussi été une période d'intensification des dispositions législatives de protection de l'environnement, notamment à l'échelle de l'Europe. L'adoption en 1985 d'une directive sur l'évaluation des incidences environnementales des projets a ainsi été l'un des fondements de la politique environnementale de l'Union Européenne. Les approches de gestion de l'environnement évoluant, l'Union européenne a adopté en 2001 une directive portant sur l'Evaluation environnementale stratégique des plans et programmes (EES) et couvrant plusieurs secteurs dont le tourisme. L'EES a pour objectif de favoriser la prise en compte des considérations environnementales dans les processus de planification menés par les organismes publics. A l'échelle mondiale, malgré certaines limites reconnues, l'EES a fait ses preuves dans un grand nombre de contextes institutionnels et de secteurs différents et s'avère très complémentaire vis-à-vis de l'évaluation environnementale des projets. Complétant un arsenal législatif environnemental déjà conséquent au niveau européen, l'EES suscite des questions quant à sa capacité à améliorer la prise en compte de l'environnement lors de la mise en œuvre des politiques de développement touristique et à contribuer à un tourisme plus durable. Partant de cette question qui s'inscrit dans la problématique générale de la régulation environnementale du tourisme, la présente thèse poursuit comme objectif d'évaluer les contributions et les limites de la mise en œuvre de l'EES dans le secteur du tourisme et dans le contexte particulier de la Région wallonne. Dans un premier temps, la thèse analyse plusieurs approches de planification et de régulation environnementale opérant dans le cadre du développement touristique en Région wallonne. L’objectif est de mettre en évidence les facteurs sociopolitiques et instrumentaux pouvant influencer les résultats attendus de la mise en œuvre de l'EES dans le secteur du tourisme. Dans un second temps, la thèse examine plusieurs exemples d'application de l'EES à des processus de planification touristique afin d'identifier quels sont les facteurs opérationnels déterminant la capacité de l'EES à améliorer la prise en compte de l'environnement dans les décisions. Ces deux niveaux d'investigation ont permis de mettre en évidence différents éléments intéressants. D’une part, il apparaît que la prise en compte de l'environnement dans les processus de planification touristique tient essentiellement à la mise en œuvre des législations environnementales et peu à l'affirmation d'une culture politique proactive en matière d'intégration de l'environnement. Face à ce constat, la valeur ajoutée de l'EES repose fortement sur son caractère obligatoire. D'autre part, les études de cas montrent que la valeur ajoutée de l'EES par rapport aux processus de planification touristique doit être interprétée en différenciant sa valeur ajoutée "absolue" et sa valeur ajoutée "relative". La valeur ajoutée "absolue" reflète la prégnance de différents facteurs organisationnels, méthodologiques et techniques qui sont sous-jacents à la mise en œuvre de tout processus d'EES. Quant à la valeur ajoutée "relative", elle dépend de la prise en compte effective des résultats des processus d'EES qui est conditionnée par l'équilibre réalisé par les acteurs politiques entre les enjeux économiques, sociaux et environnementaux du développement touristique. A travers le prisme des processus d'EES, la question de la durabilité du tourisme est donc clairement posée.

Planning for offshore hydrocarbon development in Canada’s Beaufort Sea currently occurs on a project-by-project basis. This is despite a collective understanding that impact assessment should go beyond the evaluation of site-specific project impacts to consider the broader policy and regional planning context in which development projects operate. The need for such a regional and strategic approach to impact assessment in Canada’s Beaufort Sea, known as regional strategic environmental assessment (R-SEA), arises from the looming large-scale offshore hydrocarbon development in the region and the lack of a mechanism to plan for future energy development, establish a long-term regional vision, or assess and effectively manage the potential cumulative environmental and social effects arising from development. At such a critical moment, little research exists to advance R-SEA from a concept to an applied planning, assessment and decision-support process. This dissertation draws on experience from the implementation of strategic environmental assessment in offshore jurisdictions internationally, along with existing initiatives for marine planning in the Beaufort Sea, to advance effective R-SEA implementation in the region. The research methodology includes a literature review, case reviews and key informant interviews. The research results are reported in three manuscripts. The first manuscript examines the influence of R-SEA on planning and development decisions in Norway, Atlantic Canada and the UK. The second manuscript examines existing planning, assessment, and science initiatives in the Beaufort Sea. The third manuscript identifies key opportunities for, and challenges to, the implementation of R-SEA in the Beaufort Sea. Significant findings demonstrate that R-SEA can offer a much-needed framework to accommodate and address stakeholder issues and concerns regarding future offshore development in the Beaufort Sea, despite acute implementation challenges, such as scepticism of scenario-based planning. Key findings reveal many expectations of what R-SEA could deliver in the Beaufort Sea, a result of the varied stakeholder priorities and goals. Understanding the root of different expectations and perceptions, ensuring follow-up programs pay attention to horizontal linkages between R-SEA strategies and current marine planning initiatives, and that supporting institutional arrangements are in place for a preferred strategy to succeed lie at the core of advancing R-SEA as a viable tool in the Arctic.

The lack of early integration with the planning and decision-making process has been a major problem in environmental assessment. Traditional project-based environmental impact assessment has inadequate incentives and capacities to incorporate critical environmental impacts at a broader temporal or spatial scale. While many applications have been geared towards implementing project-level environmental assessments, comparatively little research has been done to determine how to incorporate strategically critical environmental impacts into local planning. Although the principles of strategic environmental assessment (SEA) are not yet required in local planning in the United States, these principles create a theoretical framework for local environmental assessment. The objective of this study is to examine the ability of local plans to integrate and implement the key SEA principles. This study focuses on increasing the understanding of how and where to integrate environmental impacts into the local planning and decision-making process by converting the principles of SEA into specific planning tools, policies, and implementation strategies. This study develops a protocol with 112 indicators to measure the strengths and weaknesses of integrating strategic environmental assessment into local comprehensive land use plans. A random sample of 40 California local comprehensive land use plans and associated planning processes is evaluated based on this plan quality evaluation protocol. Statistical analysis and multiple regression models identify the factors affecting the quality of plans with respect to their ability to assess environmental impacts. The results identify the relative strengths and weaknesses of the ability of local jurisdictions to integrate the SEA principles. The results show that many strategically important environmental issues and tools are rarely adopted by current local plans. The regression analysis results further identify the effects of planning capacity, environmental assessment capacity, public participation and contextual variables on environmental assessment plan quality. The findings extend established planning theory and practice by incorporating strategic environmental considerations into the existing framework of what constitutes a high quality local land use comprehensive plan and suggest ways to improve plan quality.