This research advances Strategic Environmental Assessment (SEA) design and methodology for wetland assessment and policy development within an urban planning context. The thesis is a ‘manuscript-style’ and consists of three manuscripts, which collectively contribute to the overarching research purpose. The first manuscript presents and demonstrates a spatial framework for the application of SEA in the context of land use change analysis for urban wetland environment. The study aims to meet the needs for a proactive framework to assess and protect wetland areas more efficiently, and advance urban planning and development design. The proposed framework, adopting Geographic Information System and Remote Sensing approaches, presents a temporal evaluation of wetland change and sustainability assessment based on landscape indicator analysis. The results show that despite the recent extremely wet period in the Canadian prairie region, land use change contributed to increasing threats to wetland sustainability in the developing urban environment of the city of Saskatoon from 1985 to 2011. The second manuscript presents a scenario-based approach to SEA for wetland trends analysis and land use and land cover (LUC) modeling. Alternative future LUC was simulated using remote sensing data and city planning documentation using a Markov chain technique. Two alternatives were developed for LUC change and threats to urban wetland sustainability: a zero alternative that simulated trends in urban development and wetland conservation under a business as usual scenario, in the absence of prescribed planning and zoning actions; and an alternative focused on implementation of current urban development plans, which simulated future LUC to account for prescribed wetland conservation strategies. Results show no improvement in future wetland conditions under Saskatoon’s planned growth and wetland conservation scenario versus the business as usual scenario. Results also indicate that a blanket wetland conservation strategy for the city may not be sufficient to overcome the historic trend of urban wetland loss; and that spatially distributed conservation rates, based on individual wetland water catchment LUC differences, may be more effective in terms of wetland conservation. The results also demonstrate the challenges to applied SEA in a rapidly changing urban context, where data are often sparse and inconsistent across the urban region, and provides potential solutions through LUC classification and prediction tools to help overcome data limitations to support land use planning decisions for wetland conservation. The third manuscript presents an analytical approach to SEA, bridging strategic level assessment with operational planning and implementation. An expert-based strategic assessment framework was developed and applied to assess the potential implications of alternative wetland conservation policy targets on urban planning goals, and to identify a preferred conservation policy target. Site-specific algorithms, based on wetland area and wetland sustainability, were used to prioritize wetlands for conservation to meet policy targets within urban planning units. Results indicate a preferred wetland conservation policy target beyond which higher targets provided no additional benefit to urban development goals. The use of different implementation strategies, based on wetland area versus wetland sustainability, provides operational guidance and choice for planners to meet policy objectives within neighborhood planning units, but those choices have implications for local land use and wetland sustainability. Overall, the research contributes to the following aspects of SEA design and methodology: i) scoping processes to define the spatial and temporal context for SEA; ii) baseline assessment for analysis of environmental conditions and changes across space and/or over time; iii) methods to support the identification and evaluation of potential impacts of strategic alternatives; and iv) structured and systematic, quantitative assessment and decision-support tools for SEA that bridge strategic-level assessment with operational planning and implementation.

This study attempts to emphasize on the need for Strategic Environmental Assessment (SEA) implementations for Turkey, particularly for strategic level planning activities. 1/25.000 scaled Territorial Plans are subject to be strategic level plans in Turkey since there are no regional plans developed in Turkey. Although these plans should carry the role of strategic decisions for the sector development of regions, they do not provide sufficient output for development for many reasons today. The aim of this thesis is to evaluate the role of Strategic Environmental Assessment in integrating environment into strategic decision making -particularly for 1/25.000 territories plans- and propose a prototype SEA approach for Turkey. An integrated structure of SEA and planning activities might provide healthier implementations for Territory plans and SEA might be used as an enhancement toll for our current planning system with its transparent, participatory, coordinating and auditing nature.

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.

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.

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.

Large-scale planning initiatives can present major long-term environmental and social consequences. Strategic Environmental Assessment (SEA) is one type of approach to integrating environmental considerations into many large-scale plans and programs, and was established in the European Union by Council Directive 2001/42/EC. Practical and theoretical limitations remain, and this research considers “How can SEA be carried out for plans and programs to better support strategic decision-making toward sustainability?” Information is compiled from an extensive literature review, interviews with SEA experts, and a case study SEA. An analysis is conducted around a framework for strategic sustainable development, based on backcasting from sustainability principles. Results indicate that SEA plays an important role in mitigating environmental impacts of planning, but also faces many weaknesses relative to a truly strategic approach to sustainable development. To help fill these gaps, generic recommendations are developed for SEA practice. Built on a principle-based definition of sustainability, they are relevant to any individual SEA situation. Hypothetical applications of the recommendations are illustrated with a case study. By adopting these recommendations, SEA practitioners can enable planners to better integrate strategic sustainable development into the decisions and upstream design of plans and programs.

Tendo em vista a emergência do turismo como atividade de significativo impacto econômico e, conseqüentemente, de potencial impacto negativo ao meio ambiente, o presente trabalho avalia as perspectivas de aplicação da avaliação ambiental estratégica como instrumento de consideração e ponderação das questões ambientais na tomada de decisão e planejamento do turismo no Brasil. Por meio de revisão bibliográfica e de análise da prática internacional, discute a relação turismo e meio ambiente, os instrumentos utilizados para a gestão ambiental da atividade e as experiências de aplicação da avaliação ambiental estratégica em turismo. Além disso, o trabalho traz um estudo de caso no município brasileiro de Bueno Brandão, no estado de Minas Gerais, com o intuito de apresentar o cenário político e institucional local e avaliar as condições e os desafios para uma possível inserção da avaliação ambiental estratégica no plano municipal de desenvolvimento turístico. Conclui-se que, apesar de já existir certo consenso no que diz respeito a princípios e boas práticas de AAE, as experiências internacionais em políticas, planos e programas de turismo ainda apresentam uma série de imprecisões em termos de metodologia, formas de participação e abordagens. Entende-se que, no Brasil, ainda existe uma série de desafios, metodológicos e políticos, para garantir a inserção do meio ambiente na tomada de decisão de forma participativa. Esse fato ficou claro com as questões identificadas no estudo de caso, especialmente aquelas relacionadas aos mecanismos de participação da sociedade, capacitação do corpo técnico, ações de planejamento integradas e articuladas, e produção, sistematização, democratização e monitoramento de informações ambientais, de forma a orientar o planejamento e a tomada de decisão. / Considering the raising of the tourism sector as an activity of significant economic impact and, consequently, potential negative environmental impacts, the present work evaluates the perspectives for application of strategic environmental assessment as a tool which can integrate environmental issues into tourism planning in Brazil. Using bibliographical research and analysis of the international practice, this work discusses the relationship between tourism and environment, the environmental management tools used and the practical experiences of strategic environmental assessment in the tourism sector. Beyond that, the work presents a case study in Bueno Brandão, a brazilian town located in the state of Minas Gerais, in which it discusses the political and institutional setting and evaluates the conditions and challenges for a possible insertion of the strategic environmental assessment in the local tourism development plan. Although it already exists certain consensus in strategic environmental assessment principles and good practices, the international experiences in SEA for tourism planning still presents some imprecisions in methodology, public participation and approaches. It is clear that in Brazil there are still challenges in methodological and political approaches to guarantee the insertion of environmental concerns in the decision making and public participation contexts. This fact was confirmed by the issues identified in the case study, mainly, failures related to the mechanisms of public participation, the qualification of the technical staff, integration of planning actions, and the production, systematization, democratization and monitoring of environmental information, in a way to guide the decision making and local planning.

A definição e o estabelecimento da matriz de transportes de um país são desafios que acarretam implicações ambientais além das sociais e econômicas. No contexto brasileiro existem previsões de incorporar a dimensão ambiental no processo de tomada de decisão no Plano Nacional de Logística e Transporte em consonância com os pressupostos do desenvolvimento sustentável. A Avaliação Ambiental Estratégica (AAE) é um instrumento utilizado internacionalmente para propiciar essa inserção e facilitar a tomada de decisão mais estratégica. Assim, o objetivo da dissertação foi discutir e estabelecer critérios conceituais de boas práticas de AAE, as possíveis contribuições da aplicação de uma AAE nos Planos de Transporte e aplicar no caso brasileiro Plano Nacional de Logística e Transporte (PNLT). Para a consecução do objetivo proposto, o presente trabalho estabeleceu critérios e formulou uma diretriz teórica de boas práticas de AAE a partir da Diretiva Européia 42 de 2001, que trata da implantação e procedimentos de AAE, e de experiências de países como a Escócia, País de Gales e Inglaterra. Esse quadro conceitual foi aplicado no caso brasileiro do Plano Nacional de Logística e Transporte. Os resultados obtidos mostram um fraco compromisso do Plano Brasileiro com um efetivo envolvimento da dimensão ambiental no processo de tomada de decisão, evidenciando um descompasso entre o que é preconizado e a prática. A principal conclusão é que o Plano Nacional está direcionado para o crescimento econômico sem a devida inserção da dimensão ambiental. / The definition and the establishment of transport matrix of a country challenges that cause environmental implications as well as social and economic. In the Brazilian context, there are predictions of incorporating environmental considerations into decision-making in the National Plan of Logistics and Transport in line with the assumptions of the sustainable development process. The Strategic Environmental Assessment (SEA) is a tool used internationally to provide this integration and facilitate more strategic decision making. The aim of the thesis was to discuss and establish conceptual criteria of good practice SEA, the possible contributions of applying SEA in Transport Plans and apply the Brazilian case - National Plan of Logistics and Transport (NPLT). To achieve the proposed objective, this paper established criteria and formulated a theoretical guideline of best practices from the European SEA Directive 42 of 2001 that deals with the establishment and SEA procedures, and experience of countries such as Scotland, Country Wales and England. This conceptual framework was applied in the case of Brazil\'s National Plan of Logistics and Transport. The results show a weak commitment of the Brazilian Plan with an effective involvement of the environmental dimension in the decision-making process, showing a gap between what is recommended and practice. The main conclusion is that the National Plan is directed to economic growth without proper integration of the environmental dimension.

A consideração da variável ambiental nos processos decisórios do planejamento tem sido um desafio para diversos países. Nesse sentido, a Avaliação Ambiental Estratégica (AAE), instrumento que tem por objetivo inserir questões ambientais no planejamento de políticas, planos e programas, vem se consolidando no cenário internacional e tem sido cada vez mais praticada, inclusive em países em desenvolvimento como o Brasil. Nesse contexto, essa dissertação compara a situação atual da AAE no Brasil em relação à situação apresentada em México, Espanha, Inglaterra, África do Sul e Brasil. Para isso, foi utilizado o método comparativo qualitativo, que avaliou cada um desses sistemas com base em categorias descritivas e seus respectivos critérios de análise. As categorias selecionadas para caracterizar os sistemas de AAE foram Formal/legal, Institucional, Acadêmica e Prática. Os resultados demonstraram que os sistemas de AAE estudados apresentaram padrões diferentes de desenvolvimento e evolução ao longo do tempo. África do Sul, México e Brasil apresentaram evidências de experiências práticas e também interesse institucional que têm motivado a implementação formal desse instrumento nesses países. Contudo ainda apresentam lacunas em relação à estruturação formal e institucional desta ferramenta, afetando a qualidade de suas experiências práticas. Por outro lado, apesar de algumas limitações, os sistemas de AAE de Espanha e Inglaterra se apresentaram mais estruturados e desenvolvidos, fornecendo evidências empíricas sobre a relevância das esferas institucionais e acadêmicas para o seu desenvolvimento. De maneira geral, a comparação realizada nesta pesquisa demonstrou que existem diferentes formatos de sistemas de AAE, de acordo com o país ou contexto no qual é aplicada. / The insertion of environmental issues in decision-making has been a challenge in many countries. Therefore, Strategic Environmental Assessment (SEA), an instrument that aims to embed environmental issues in the planning of policies, plans and programs, has now been consolidated and increasingly practiced in the international arena, including developing countries, like Brazil. In this context, this dissertation compares the current status of SEA in Brazil in relation to the situation presented in Mexico, Spain, England and South Africa. A qualitative comparative method, which evaluated each system based on descriptive categories and their criteria was used for the analysis. The categories selected to characterize the SEA systems were formal/legal, administrative/institutional, academic/conceptual and practical/applied. The results have showed that the SEA systems studied present different patterns of development and evolution along time. South Africa, Mexico and Brazil have showed evidence of different practical experiences and also institutional interests, which have motivated the formal reception of this instrument in those countries. However they still present some gaps in relation to formal and institutional structure of SEA, which affect their practical experience. On the other hand, despite some limitations, the SEA systems of Spain and England are more structured and developed, providing empirical evidence of the relevance of institutional and academic spheres to their development. In general, the comparison conducted in this research has showed that there exist different system formats to SEA, depending on the country or context in which it is applied.

The Swedish Act on Municipal Energy Planning was written in 1977 in a time of energy crisis and requires each municipality to have a plan for rational supply and distribution of energy. With regards to the on-going climate change however, there is a need for energy planning to emphasise on shifting towards an efficient energy system with high share of renewables, and low impacts on the climate and the environment. The legislation is therefore argued to be outdated and is currently under review. This study shows that most municipalities are working with the energy issue, as 71% have adopted a policy document with focus on energy and climate. However, 41% has not adopted an energy plan as referred to in the Act on municipal energy planning. The results show that the energy strategies have a wider focus than what is stated in the legislation, which strengthens the view that the legislation can be regarded as outdated. Energy Strategies however still have an important function at the municipal level, as they can help to integrate energy aspects into spatial planning, as well as function as support for the daily energy and climate work in the choice of strategies and measures. The study further shows that the use of Strategic Environmental Assessment has potential to increase the consideration of environmental quality objectives, especially those that might be impacted from the energy plans, but the use of it has been fairly limited and only conducted in 6% of the energy plans. It is therefore recommended that the Act on Municipal Energy Planning is revised to instead include requirements for municipal energy and climate strategies, and that they are made subject to Strategic Environmental Assessment, thus promoting a transition to a sustainable energy system, where environmental objectives are taken into account and possible conflicts can be addressed early in the planning process. / Med beaktande av klimatförändringarna finns ett stort behov av att energiplaneringen har ett holistiskt och strategiskt förhållningssätt med hänsyn till klimat- och miljöpåverkan. Kommunerna har en viktig roll i utformandet av den hållbara staden på grund av sitt planmonopol, och ska även enligt lag ha en aktuell energiplan. Lagen om kommunal energiplanering skrevs dock vid en tid av energikris och fokuserar mer på tillgång och distribution av energi än ett hållbart energisystem. Kommunala energiplaner omfattas även av det så kallade SMB-direktivet och som huvudregel ska en strategisk miljöbedömning göras för samtliga energiplaner. Det övergripande syftet med denna studie är att undersöka nuvarande praxis för kommunal energiplanering, genom att kartlägga kommunernas energistrategier antagna under åren 2004-2015. Vidare studeras ifall strategisk miljöbedömning ökar hänsyn till nationella miljökvalitetsmål relaterade till energi och om kommunal energiplanering har influerat översiktsplaner genom mål och strategier. Kartläggningen visar att de flesta kommunerna arbetar med energifrågan, då 71 % har antagit någon form av policy-dokument med fokus på energi och klimat inom tidsintervallet. En tämligen stor andel (41 %) har dock inte antagit en energiplan såsom lagen åsyftar. Intervjustudien stärker även bilden att kommunerna har ett vidare fokus än vad som anges i lagen om kommunal energiplanering, och att lagen därmed är utdaterad. Energistrategierna fyller dock viktiga funktioner på den kommunala nivån, dels för att de kan bidra till att integrera energiaspekter i fysisk planering, men även som stöd i det dagliga energi- och klimatarbetet vid val av strategier och åtgärder. Strategisk miljöbedömning har gjorts i ganska begränsad omfattning, för cirka 6 % av energiplanerna. Resultat från intervjuer pekar på att de inte har ökat hänsyn av miljökvalitetsmålen i någon större utsträckning, men däremot fungerat som en försäkran för att de beaktades. De kvantitativa resultaten pekar dock på att för miljökvalitetsmål som inte har en så tydlig koppling till energi och klimat, men där negativa miljökonsekvenser likväl kan uppstå, så ökar strategisk miljöbedömning att dessa tas i beaktande. Det är därför rekommenderat att lagen om kommunal energiplanering revideras till att istället omfatta krav på kommunala energi- och klimatstrategier, och att strategisk miljöbedömning görs för dessa. På så vis främjas en omställning till ett hållbart energisystem, där miljökvalitetsmålen beaktas och eventuella målkonflikter kan behandlas tidigt i planeringsprocessen.