STRATEGIC ENVIRONMENTAL ASSESSMENT FOR SUSTAINABLE DEVELOPMENT IN URBANIZATION PROCESS IN CHINA

CHINESE GEOGRAPHICAL SCIENCEVolume 14. Number 2, pp.148-152, 2004Science Press, Beijing, ChinaSTRATEGIC ENVIRONMENTAL ASSESSMENT FOR，SUSTAINABLE DEVELOPMENT IN URBANIZATIONPROCESS IN CHINACHE Xiu-zhen', SHANG Jin-cheng'(I. Shenzhen Institute of Enironmental Science, Shenzhen 518008, P. R. China; 2. Entironmental ScienceResearch Institue, Northeast Normal University, Changchun 130024. P. R. China)ABSTRACT: This paper reviewed the development of Strategic Environmental Asessment (SEA) in China, ex-pounded its functions and regional characteristics, and discussed the targets of SEA in the process of urbanization,and the main assment indicators, procedures, techniques and methodologies of SEA. It concluded that SEA couldbe improved by the fllowing recommendations: incorporating SEA in decision-making process, selecting experi-mental units for SEA trial run, and developing strategic evaluation tools and techniques. SEA can provide appropri-ate and up-to-date infomation on the impact of human activity on environment in the process of urbanization, anddevelop a plan of action targeting implementation of intervention for the rehabilitation and preservation of the eco-logical stability of a city. Therefore, SEA can be a supporting tool for decision-making toward achieving sustainabledevelopment.KEY WORDS: Strategic Environmental Asessment; urbanization: sustainabla develpment; environmental deei-sion-makingCLC number: X820.2Document code: AArticle ID: 1002-0063(2004)02 -0148-051 INTRODUCTIONtion, loss of amenity, soil contamination, and urban was-tes; land resources are becoming more and more small-Since the implementation of economic reform and the er; and resources consumption and its pressure on theopening up to the world, economy has been grown quic-environment are rising. Meeting the need of people andkly and steadily, and urbanization has undergone a rap- the development of the economy on the one hand, whileid development in China. Urbanization of China had in-protecting the fragile environment and limited naturalcreased from 17.9% in 1978 to 30.9% in 1999 with an resources on the other hand, is becoming more dficult.average annual growth rate of 0.63%，which was theIt is an essential component in sustainable develop-double of the average of the world at the same time. ment to take society, economy and environment into ac-However, compared with the average urbanzation of count in the erliest pprpriate stage of dcisison-mak-the world (40%-60%), Chinese urbanization is still de-ng. Strategic Environmental Assessment (SEA) canlayed sverely Cities are a focus of evironmental con- support this process by providing apopriatie environ-cem throughout the world. They are places of intense-mental information (THERIVELet al, 1992). There-ly growing economic activities, therefore, the urbaniza-fore, SEA is required to assist the Goverment in for-tion is an unavoidable phenomenon in China. In conse-mulating future development strategies (including poli-quence, urban population is rapidly growing. It is esti-cies, plans and programs) in the urbanization process ofmated that nearly 43% and 52% of Chinese population China.will live in the towns and cities in 2010 and 2020, re-spectively (LI and YANG, 200 This isa measure of 2 DEVELOPMENT PROCESS oF SEA IN CHINAthe benefits offered by urbanization. The sucess of ur-banization, however, has to some extent been overshad-(EIA) was legislatedowed by environmental problems: air and water pollu-中国煤化工Previous Work of Ba-MHCNMHGReceived date: 2003-07-21; Region, Ph.D.. specialized in environmental as-sessment and planning,and Statcgic Evioinenta AsenEema 0neoumuAssessment. E-mail: chexiuzhen@sohu.comStralegic Enironmental Asessent for Sustainablc Development in Urbanization Process in China149sic Construction Project, which became law when the na". EIA act calls for expanding the scope of EIA inEnvironmental Protection Act of the People' s Repub- China, not only at the project level but also at higherlic of China was enacted in 1979. EIA procedures atlevels (planning and programming level) to cover allthe projecet level were mandated, and this became an relevant areas of consideration. On October 28, 2002,important cormerstone of feasibility studies of capitalthe Ninth Session of National People' s Congress Stand-construction projects.ing Committee (NPCSC) held discussions on the billIn the subsequent 20 years, project EIA has grown, and finalized a manuscript of SEA. Subsequently, SEAand regional environmental asessment (REA) has also was required legally on September I, 2003 in China.developed in China (LI, 1996). In recent years, howev-er, the inherent limitations of conventional project EIA3 FRAMEWORK OF SEA IN URBANIZATIONhave become apparent, particularly in its failure tosuggest altemative projects and altemative sites. SEASEA systems are often linked to urban environmentalcan compensate for some of this deficiency. This hasplaning/programming that have a main goal of im-been recognized by the Chinese goverment, whichproving the quality of the urban environment. The ap-has subsequently come to attach more and more im-praisal framework is designed to provide a clearportance to SEA.step-by-step guide toward the identification of the bestAgenda 21 in China states the need for objec-practicable environmental option for the city that re-tives-led planning and broadening the appraisal pro- quires great improvement in their development strate-cess to encompass the whole range of sustainability.jies. Essentially, it comprises a series of more detailedNot just environmental appraisal criteria, but the appli- research methods that will supply decision-makers withcation of SEA in actual polices and statutes is impor-enough information to compare the possible alterna-tant in promoting sustainable development. Agenda 21 tives and consequently to idenify the best practicablein China brought China the "sustainable development environmental option for each strategy. However, untilstatutes and policies" system, which stresses the coor-ow,China has no obligatory procedure for SEA.dination between economic development and environ- Based on previous rsearches (SHANG and BAO,mental protection, and contends that environment as-2000; CHE et al, 2001) and foreign SEA experiences,sessment should take more accounts than just environ- fllowing procedures can be adopted in SEA (Fig.1).mental effects, i.e, social and economic effects of pol-(1) Set the scene for a sustainable development sys-icies and programs.tem.Moreover, in 1996 the National Environmental Pro-(2) ldentify the environmental quality of a city. Atection Five-year Development Program for 195-20000 suite of social and enironmental componets for theand the Long-term Targets for the Year 2010 showed city should be rfrred to a chckist of potential com-that it was essential to improve the application of EIAponents that provide guidance to find the appropriate in-and to extend EIA from just projects to the plan- formation.ning/programming level, e.g. EIA of natural-resources(3) Determine assessment criteria. On the basis ofdevelopment and other economic development.analysis of the character and function of the city, asss-As approved by the State Council in December 1998,ment criteria should be established.the Enironmental Protection Management Ordinance (4) Selec t development indicators. To confim thefor Construction Projects prescribes an EIA for regional objective of SEA, frstly we should make sure the natu-development. REA also was explicitly stipulated for theral environment, dimensions and structure of a city, andfirst time in the regulation with the intent of extending then select indicators according to the characteristics ofthe EIA system from projects to higher levels. REA,natural environment, economic structure, population,with respect to its content, basic procedures, techniques urban structure and other factors that determine the ur-and methods, is very similar to SEA (XU et al., 2000;ban environmental quality.MA et al, 2000).(5) Make an urban development scenario.After a period of investigation, research and discus- (6) Test the indicators.sion, the Environmental and Resources Protection Co中国煤化工f ncessary modifymmittee of the National People' s Congress concluded the stol IYHthat SEA is necessary in legislation procedures and. CNM !! Ghe utban dvelopr.drafted an "EIA Act of the People's Republic of Chi- ment system we strt from discussing the concept "sus-150CHE Xiu-zhen, SHANG Jinchengtainabilit'"." Urtban environment consists of natural, c- (policies, plans and programs) and alternatives; 4) Pub-conomic and social environments. Its quality refers to lic participation procedure; 5) Procedures integratingthe quality of the comprehensive envionment of resi- the findings of SEA into decision-making; 6) Monitor-dential living and social and economic development. ing programme (iterative feedback into preceding steps ;Sustainable development needs to consider both the e- except step (1)).conomic and social benefits in environmental poli-In practice, the industry, or developers concernedcy-making. As a second step we studied the environ- with projects warranting SEA, would be expected tomental goals on the national and the regional scales and provide as much relevant information as possible. Thisthe SEA methods for the review of the regional plan. provision could be carried out in accordance with theThe third step is to develop indicators for the environ- gudelines ised by govermment department, whichmental quality asessment. The fourth step is to develop would detail the relevant urban ecological criteria.urban scenario and policy option that do not violate theIt should be stressed that this procedure is not in-environmental quality at present and still is able to tended to guide detailed project EIA, but to improvereach the environmental goals in the future.the efectiveness and efficiency of the environmentalappraisal process. The results will be used during mo-+ Field survey and data cltialre detailed environmental investigation of each bestpracticable environmental option that is identified. TheCurreot eoviron- |Assessment criteria,emphasis of the framework is very much on the user tomental status scope and indicatorsadapt the requirements for their own particular situa-tion.|●Objectives ●Contents●Scope ●4 INDICATORS FOR SEA IN URBANIZATIONIdentify urban area Macroscopically covironmental 1of sssmentimpact factorsThe indicators for SEA is formulated with relaivegoals and recommended to be able to be accuratelyAnalysis of economicBtitiseiectetel Model simulation calculationand comprehensively described in environments ofurbanization strategies . Resources . Wasteresidential living and social and economic sustainableQuantativedevelopment. Of course, those indicators must be ofcomparability between various natural conditions, and口|Assess wbether policies, Analyse varia Analyse im-functional levels of economic and technical develop-plans andprograms adapt bilityof urban tpacts on thements in different cities. In general, the indicators for一+ Ansalyais of economic, social and environmental ffctsSEA of comprehensive urban environment are classi-fied into three parts (WANG and LU, 1999).Analysis and sclection of altematives,The substantial part of the indicators should includethe criteria rflcting the state of the environment inIdentify best practicable eavironmental option,terms of their immediate impact on human health,policy direction for urban sustainable developmentphysical and psychical conditions, as well as on sus-+(Evaluation and post monitoring ]tainability of non-uman communities: air pllutionand emission; water contamination, soil deteriorationFig. I Framework or procedure of SEA forand presence of harmful substances; noise level; nega-urbanization process(CHE et al.. 2001)tive scent impacts; vibration; radiation; production andmanagement of all categories of waste; and use andSuch a framework for environmental asessent management of land. Needless to emphasize that mostwould alw the prnceiple of sabilityto be car- of the key idicators represent the elemets buildingried out from polices to projects. SEA can therefore be susainability paradigms for cities as they proteet andconsidered as an esenial mechanism for the atain- develop the values indispensable for the sound com-ment of sustainable development. The main outline or munitv and fnrframework for a "sustainability led" approach to SEA中国煤化工rs should be coer-includes fllowing steps: 1) Commitment to sustain-C N M H Gtuents of urban struc-abili; 2) Demination of parameters, apicaio of turs.velaron coverage and geener; presence, spe-intemational standards; 3) SEA of all relevant PPs cific qalities and size of local, regional and super re-Strategic Environmental Assessment for Sustainable Developrment in Urtbanization Process in China151gional systems of ecological stability (skeleton of eco-5 RECOMMENDATIONS FOR IMPROVING SEAlogical stability); presence and size of esecially pro-tected natural areas; size and conditions of ecosystem(1) Incorporating SEA into decision-making process.in terms of the urban environmental values and func- Today, the most EIAS are in relation to specifictions; specific spatial needs of non-human communi-construction projects in China. And only a limited nu-ties and entities; values of natural landscape in the mber of alternatives can be considered at this stage.citThe concept of SEA was adopted more than 10 yearsThe third part of the indicators should be defined as ago in Hong Kong to support high-level decision-mak-physical constituents of urban environment resulting ing. And SEA has become an essential part of majorfrom human activities. Those include environmentalstudies on developrment plans and strategies(VICTORimprovement and economic development. All selected and LAU, 2000). However, in China' s mainland workindicators are listed in Table I(WSSDI, 1997).on the case studies of SEA has been done only in re-Table I Indicators for Strategic Environmental Assessment of urbanization processCiasified indicator(山)_ lassified idicor(I)Detailed indicatorEnvironmcntal statusAir pollution and emissionSO, NO. TSP, pH of pecipitationWater contaminationDO. permanganate index, BOD,, non-ion ammonia,volatile phenols, cyanide. petroleum products.anionics (anionic surface active agent), chloroplhl-a,benthonic animals, total cliform bacteriaSolid wasteLand occupatin, residents afcted, volumeNoise levelAverage noise values in dfent functional areas:1) residential area; 2) mixed area; 3) industrial area; 4) road sideEcological constitucntsVegetation coverage and grenery; presence, specific qualities and size of Iocal, re-of urban structurccially protected natural areas; size and condition of ecosystem in terms of the urbanenvronmental values and functions etc.Urban communities'EnvironmentalUp to standard emission ratio; SO2 emission per person; up to standard waste waterevolutionimprovementratio;, ψp 10 standard drinking water ratio;, industrial waste water per 10000 yuantrial solid wastes: clearance ofdomestic Solid waste:environrmentatprotectioninvest-ment in proporion to GDP; public green area per capita; acreage of conversion area;recondition of soil-erosion; vegetation coverage ratioEconomic developmentGDP per capita; economic growh rate; economic structure ete.Social progressPopulation density; communication: telephones per 10000 residents; medicine andhealth: hospital beds per 10000 residents; education: highly educated/total popula-tion etc.ent years. It is evident that if relatively small engi- ence regarding as the signifcance of impacts, it is cnu-neering projects are subject to EIA, then other actions cial to develop appropriate methods and techniques forsuch as polices, plans, and programs which have a improvement and facilitation of the SEA process. Al-much wider scope should also be screened for adverse though only a limited number of case studies haveenvironmental impacts. After a period of investigation, been done in China, the techniques and tools used forresearch and discussion, it has been recognized that SEA at the strategic level have been gradually im-SEA is necessary in legislation procedures and an proved. For example, meta-synthesis (LI and XU,"EIA Act of the People' s Republic of China" has been2000) and multi-criteria analysis (LIUet al., 2001)drafted. The key for the EIA Act to bring in efet is to approaches have been adopted in the recent SEAs. Ifreally incorporate SEA into decision-making process possible, case studies should be used to ilustrate the ef-during the process of urbanization.fectiveness of the specific methods. Experience exchan-(2) Developing strategic evaluation tools and tech- ge could simulate the development process.niques(CHE and SHANG, 2002). Based on interna-(3) Encouraging public participation. Wide consulta-tional experiences and studies, some EIA methods, tion on policies and strategic nronosals and their SEAssuch as checklists, matrices, life cycle analysis or mul- can I中国煤化工opment. Involvingti-criteria analysis can be applied in SEA. However, theIYHCNMHGand strategies canfor the SEA of plans and programmes covers sucha raisenvironmental sseswide variety of topics and ises, and has great dffere that afet the longterm environmental sustanability152CHE Xiu-zhen, SHANG Jin-cheng(CHE and SHANG, 2002).course of urbanization, are worthy of researching, and(4) Organizing educational programs. SEA can work it is essential for us to cary out experimental unit ofonly when administrators and initiators believe in the SEA for urbanization process in China, and to promotepotential of the instrument. Many administrators, deci- application of new approaches such as GIS in SEA.sion-makers and project developers fear SEA. Theyperceive it as a threat to their authority, or they think itREFERENCESis a tool developed by environmental groups to stopCHE Xiu-zhen, SHANG Jin-cheng, 2002. Strategie Environmen-further development. It is feared that SEA would leadto delays and dificulties in providing additional bene-tal Assessment and its development in China [J]. Eniron-fits. Therefore, SEA can benefit from educational pro-mental Ilmpact Asessment Reriew, 22: 101-109.grams, which would teach interest groups how to dealCHE Xiu-zhen, SHANG Jin-cheng, CHEN Chong, 2001. Studyon Strategic Environmental Asessment in the course of thewith the SEA process (CHE and SHANG, 2002).urbanization [J]. 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Mechanisms,in China- Regional En-中国煤化工Eniroment& Urbanwhich ensure SEA to be implemented effectively andreally incorporated into decision making process in theMHCNMHG