Mind the gap in SEA: An institutional perspective on why assessment of synergies amongst climate change mitigation, adaptation and other policy areas are missing

This article takes its point of departure in two approaches to integrating climate change into Strategic Environmental Assessment (SEA): Mitigation and adaptation, and in the fact that these, as well as the synergies between them and other policy areas, are needed as part of an integrated assessment and policy response. First, the article makes a review of how positive and negative synergies between a) climate change mitigation and adaptation and b) climate change and other environmental concerns are integrated into Danish SEA practice. Then, the article discusses the implications of not addressing synergies. Finally, the article explores institutional explanations as to why synergies are not addressed in SEA practice. A document analysis of 149 Danish SEA reports shows that only one report comprises the assessment of synergies between mitigation and adaptation, whilst 9,4% of the reports assess the synergies between climate change and other environmental concerns. The consequences of separation are both the risk of trade-offs and missed opportunities for enhancing positive synergies. In order to propose explanations for the lacking integration, the institutional background is analysed and discussed, mainly based on Scott's theory of institutions. The institutional analysis highlights a regulatory element, since the assessment of climate change synergies is underpinned by legislation, but not by guidance. This means that great focus is on normative elements such as the local interpretation of legislation and of climate change mitigation and adaptation. The analysis also focuses on how the fragmentation of the organisation in which climate change and SEA are embedded has bearings on both normative and cultural-cognitive elements. This makes the assessment of synergies challenging. The evidence gathered and presented in the article points to a need for developing the SEA process and methodology in Denmark with the aim to include climate change in the assessments in a more systematic and integrated manner.     

Integrating climate change factor into strategic environmental assessment in China

In recent years, climate change has caused a significant impact on the human living environment, and the greenhouse effect caused by gases such as carbon dioxide cannot be ignored. From the viewpoint of environmental management, Strategic Environmental Assessment (SEA) has the functions of value judgment, prediction, and behavioral orientation on the possible impact of strategic planning. Integrating climate change factors into the SEA process can help planners and decision-makers better highlight the importance of climate change in policy and planning stages. Therefore, by combining the development of the SEA of China with relevant international experience, we explore the integration of climate change factors into the SEA framework and construct a technical procedure for such an assessment. A suggestive assessment indicator system for the SEA based on low-carbon targets was established for evaluating the impact of the implementation of strategic planning on low-carbon development goals. The objective is to mitigate the impact of climate change via the SEA and to ensure that the assessment plays an important role in tackling climate change and promoting sustainable development.     

SEA screening of voluntary climate change plans: A story of non-compliant discretion

Screening within Strategic Environmental Assessment (SEA) is the first critical stage involving considerations on whether an assessment is carried out or not. Although legislation and guidance offer practitioners a legal and logical approach to the screening process, it is inevitable that discretionary judgement takes place and will impact on the screening decision. This article examines the results of discretion involved in screening of climate change plans (CCPs) in a Danish context. These years voluntary CCPs are developed as a response to the global and local emergence of both mitigation and adaptation, and the voluntary commitment by the local authorities is an indication of an emerging norm of climate change as an important issue.This article takes its point of departure in the observation that SEA is not undertaken for these voluntary CCPs. The critical analysis of this phenomenon rests upon a documentary study of Danish CCPs, interviews with a lawyer and ministerial key person and informal discussions between researchers, practitioners and lawyers on whether climate change plans are covered by SEA legislation and underlying reasons for the present practice.Based on a critical analysis of mandatory SEA and/or obligation to screen CCPs according to significance criteria, the authors find that 18 out of the 48 CCPs are mandatory to SEA and 9 would require a screening of significance and thereby potentially be followed by a SEA. In practice only one plan was screened and one was environmentally assessed. The legal, democratic and environmental consequences of this SEA practice are critically discussed. Hereunder is the missed opportunity to use the broad environmental scope of SEA to avoid a narrow focus on energy and CO₂ in CCPs, and the question whether this practice in Denmark complies with the EU Directive.     

Framework for integration of urban planning,strategic environmental assessment and ecological planning for urban sustainability within the context of China

Sustainable development or sustainability has been highlighted as an essential principle in urban master planning, with increasing recognition that uncontrollable urbanization may well give rise to various issues such as overexploitation of natural resources, ecosystem destruction, environmental pollution and large-scale climate change. Thus, it is deemed necessary to modify the existing urban and regional administrative system so as to cope with the challenges urban planning is being confronted with and realize the purpose of urban sustainability. This paper contributed to proposing a mechanism which helps to make urban planning with full consideration of issues with respect to sustainable development. We suggested that the integration of urban planning, SEA and ecological planning be a multi-win strategy to offset deficiency of each mentioned political tool being individually applied. We also proposed a framework where SEA and ecological planning are fully incorporated into urban planning, which forms a two-way constraint mechanism to ascertain environmental quality of urban planning, although in practice, planning and SEA processes may conditionally be unified. Moreover, as shown in the case study, the integration of the three political tools may be constrained due to slow changes in the contextual factors, in particular the political and cultural dimensions. Currently within the context of China, there may be three major elements which facilitate integration of the three political tools, which are (1) regulatory requirement of PEIA on urban planning, (2) the promotion or strong administrative support from government on eco-district building, and (3) the willingness of urban planners to collaborate with SEA experts or ecologists.     

Framework for integration of urban planning, strategic environmental assessment and ecological planning for urban sustainability within the context of China

Sustainable development or sustainability has been highlighted as an essential principle in urban master planning, with increasing recognition that uncontrollable urbanization may well give rise to various issues such as overexploitation of natural resources, ecosystem destruction, environmental pollution and large-scale climate change. Thus, it is deemed necessary to modify the existing urban and regional administrative system so as to cope with the challenges urban planning is being confronted with and realize the purpose of urban sustainability. This paper contributed to proposing a mechanism which helps to make urban planning with full consideration of issues with respect to sustainable development. We suggested that the integration of urban planning, SEA and ecological planning be a multi-win strategy to offset deficiency of each mentioned political tool being individually applied. We also proposed a framework where SEA and ecological planning are fully incorporated into urban planning, which forms a two-way constraint mechanism to ascertain environmental quality of urban planning, although in practice, planning and SEA processes may conditionally be unified. Moreover, as shown in the case study, the integration of the three political tools may be constrained due to slow changes in the contextual factors, in particular the political and cultural dimensions. Currently within the context of China, there may be three major elements which facilitate integration of the three political tools, which are (1) regulatory requirement of PEIA on urban planning, (2) the promotion or strong administrative support from government on eco-district building, and (3) the willingness of urban planners to collaborate with SEA experts or ecologists.     

CEA in policies and plans: UK case studies

This paper examines how cumulative effects assessment (CEA) has been considered in Strategic Environmental Assessments (SEA) of regional and local plans in a number of case studies in the UK. Initially, the paper presents the legislative and regulatory requirements for assessing cumulative effects in plans and programmes in the UK. The two approaches for assessing plans in the UK, Sustainability Appraisal (SA) and SEA are discussed and in most cases, a combined SA and SEA process is undertaken by Regional and Local Planning Authorities. The strengths and weaknesses of this approach are explored, as well as their usefulness in decision making. There are problems relating to baseline, establishing trends and predicting cumulative effects at the strategic level. The issues in assessing cumulative effects within this SA/SEA framework are discussed and recommendations for improvements are made.     

The mutualism of strategic environmental assessment and sustainable development goals

The Sustainable Development Goals (SDGs) set a universal agenda intended to stimulate social, economic and environmental action. Strategic Environmental Assessment (SEA) has the potential to assist in the implementation of actions supporting the SDGs by providing a systematic framework to incorporate them into policies, plans and programmes; and the SDGs in turn, could substantiate SEA's contribution to sustainable development. Therefore, the partnering of both policy instruments fosters a mutualistic relationship, benefiting both. In this paper, we review current engagement of SEA with the SDGs both in the academic literature and in practice. The findings reveal a recognisable subtle shift towards the adoption of a new paradigm in plan-making, particularly supported by governments' growingly proactive embracement of SDGs, albeit through different approaches, initiatives and commitments. This sets a robust foundation for spatial planning and, by extension, a reference framework for SEA. Nevertheless, operationalising the SDGs is difficult. The extent to which SDG objectives and targets are embedded in SEA and, indeed, integrated into plans/programmes seems to be hampered by the broad scope of both sustainability and SEA, and a general lack of awareness and know-how. This suggest a need to clarify SEA's mandate for engaging with the SDGs, as well as to provide training for a more proactive integration of the objectives and targets. Through initiatives such as these, there are opportunities to optimise mutual gains for both policy instruments.     

Who cares? Don't underestimate the values of SEA monitoring!

Until now, monitoring of large-scale regional funding programmes has been rare, although their large scope and abstract planning targets generally involve high levels of uncertainty. This study applies and examines a newly developed methodological approach for monitoring such programmes. It also critically reflects to what extent the Strategic Environmental Assessment (SEA) contributes to a better consideration of environmental sustainability and to a learning effect among the stakeholders as well as within the decision-making process. The interviews conducted during the SEA monitoring revealed a very low recognition of the SEA, and its content, among project applicants of the transnational regional funding programme. They further show that more information on the SEA and its recommendations to mitigate negative environmental impacts would be beneficial in the future. Overall, the monitoring confirmed, however, that the institutions responsible for the programme were aware of the benefits of considering environmental sustainability. The long-term application of SEA in an iterative process provided positive learning effects on environmental sustainability and awareness for environmental aspects. This study also shows how SEA monitoring can serve as a tool to enhance visibility and foster communication among decision makers and applicants.     

The inherent tensions arising from attempting to carry out strategic environmental assessments on all policies,plans and programmes

This paper evaluates the tensions that result from routinely applying SEA to all policies, plans and programmes within Scotland. The European Union SEA Directive, effective in many EU member states from 2004, introduced a requirement for environmental assessment of certain plans and programmes. Scotland, a devolved nation within the EU member state of the United Kingdom, aimed to be a ‘world leader in SEA’ by legislating for SEA to be undertaken of all public sector plans, programmes and strategies, with the word ‘strategies’ being equated with ‘policies’. This paper presents detailed data regarding Scottish SEA activity between 2004 and 2007, including responses to consultations on SEA reports. This empirical research found that, reflecting a general difficulty in determining where and when SEA should be applied, engagement with the SEA process was not as widespread as intended (including the pre-screening and screening stages). Eight tensions evident from Scotland's application of SEA are identified, and their broader relevance is examined.     

Coping with climate change related conflicts – The first framework to identify and tackle these emerging topics

Climate change is supposed to exacerbate conflicts arising from resource scarcity and contrasting objectives. Some European authors highlighted already the need to look at conflicting interests when elaborating and applying adaptation and mitigation strategies. This study analysed the level of consideration of these emerging topics arising through increased competition of resources, contrasting interests, climate change adaptation as well as mitigation measures for Austria and Southern Germany in detail. Furthermore, it surveyed the application of possible approaches for conflict prevention and mitigation in an international perspective and additionally examined the particular role of SEA as one of the instruments to cope with conflicts related to climate change. The results express the strong need to look at emerging conflicts in cross-sectoral and sectoral adaptation early enough and a strategic perspective. Based on the content analysis of the Austrian and German adaptation and mitigation documents, expert interviews as well as the international literature review, a rather low consideration of these emerging topics as well as approaches to cope with them became evident. In response to these deficiencies, the paper introduces a first framework to identify and tackle emerging and exacerbated conflicts related to climate change. This novel framework is internationally applicable. In the final step of the framework approaches to prevent and minimize conflicts are the key topic. Among these approaches, SEA could take a leading role in case mandatory planning instruments cover the topics related to potential or existing exacerbated fields of conflicts. Overall a mix of formal and informal instruments and a more cross-sectoral perspective seems necessary. To this aim, the paper introduces four main guiding principles to consider and minimize up-coming conflicting topics.     

Climate Change and Climate Variability: Adaptations to Reduce Adverse Health Impacts

Global climate change is likely to have a range of consequences for human health as a result of disturbance or weakening of the biosphere's natural or human-managed life support systems. The full range of potential human health impacts of global climate change is diverse and would be distributed differentially spatially and over time. Changes in the mortality toll of heatwaves and changes in the distribution of vector-borne infectious diseases may occur early. The public health consequences of sea level rise and of regional changes in agricultural productivity may not occur (or become apparent) for several decades. Vulnerability is a measure of both sensitivity to climate change and the ability to adapt in anticipation of, or in response to, its impacts. The basic modes of adaptation to climate-induced health hazards are biological, behavioural and social. Adaptation can be undertaken at the individual, community and whole-population levels. Adaptive strategies should not introduce new health hazards. Enhancement of the acknowledged public health infrastructure and intervention programmes is essential to reduce vulnerability to the health impacts of climate change. In the longer-term, fundamental improvements in the social and material conditions of life and in the reduction of inequalities within and between populations are required for sustained reduction in vulnerability to environmental health hazards.     

The application of strategic environmental assessment in a non-mandatory context: Regional transport planning in New Zealand

There is no legal mandate for strategic environmental assessment (SEA) in New Zealand. However, a requirement to consider environmental and sustainability issues is a key feature of many statutes, including that relating to regional transport planning. Given this, the research sought to determine whether SEA could be used to improve the incorporation of environmental and sustainability aspects into the regional transport planning process in New Zealand. Existing practice was evaluated, examining what factors currently limiting the consideration of environmental and sustainability issues and to what extent elements of SEA are currently being used. The research culminated in the development of a conceptual model where SEA elements could be incorporated into the existing framework to promote improved consideration of environmental and sustainability issues. The results provide some reassurance about the value of SEA even where its application is not legally mandated. However, it also highlighted some ongoing issues around the integration of SEA in existing frameworks and around the scope of SEA as a decision-aiding tool.     

Integrating Impacts into Adaptation Measures

A mechanism has been established to improve integration of international climate-related programmes. Known as the Climate Agenda it outlines a programme, that in a cost-effective way, responds to national obligations to respond to international agreements as well as their national needs for social and economic development. The paper briefly describes the Climate Agenda and the incorporation within it of studies of climate impact assessments and response strategies to reduce vulnerability. The need for increased emphasis on climate impact assessment and for the development of effective adaptation measures is emphasised following the elaboration of a Kyoto Protocol to the United Nations Framework Convention on Climate Change (UNFCCC). UNEP's efforts to identify national programmes contributing to the Climate Agenda are described.The response from developing countries has, however, been very disappointing, even from countries where we know work is ongoing through funding by GEF or US Country Studies Program and other bilateral programmes. Initial compilation of information available so far shows that many developed countries are putting a lot into the area of impact assessment of not just climate change, but also climate variability. There remain some research gaps, especially in the area of assessment of climate impacts on ecosystems, hydrological systems, etc. Considerable efforts are presently being directed at reduction of emissions of greenhouse gases and in the case of developing countries, most efforts are being directed towards completing national communications and providing baseline data for future studies.The paper refers to early activities by UNEP in cooperation with other international organizations to undertake integrated assessments of the impacts of climate change on important socio-economic sectors and the later incorporation of lessons learned into the IPCC Guidelines for Assessing Impacts of Climate Change.Later sections outline the development of a handbook on methods for climate change impact assessment and adaptation strategies as a practical approach to national assessments and the development of appropriate and cost-effective response to climate change.The initiation of a GEF-funded project to apply the methods contained in the handbook and improve the results based on national studies is also described for both developed and developing countries.Working in collaboration with a team of international experts under the coordination of the Institute of Environmental Studies at Vrije University (Amsterdam), the goal of this ongoing project is to develop a valuable methodological tool that Parties to the UNFCCC may apply to develop national climate change impact and adaptation assessments. Development of these guidelines was linked to a series of country studies in Antigua and Barbuda, Estonia, Cameroon and Pakistan funded under a UNEP/GEF project. The application of the first version of the UNEP Handbook by national study teams in these four countries is making valuable technical and practical contributions and will ensure that the next version of the Handbook will be a more useful tool for experts in developing countries undertaking similar studies in the future. The methods contained in the Handbook are also the basis for similar assessments funded under bilateral development programmes in other countries. These and similar studies elsewhere are coordinated with the UNEP programme and will eventually aim to create reliable and comparable assessments, a compatible set of tools for such purpose and the identification of realistic adaptation options for incorporation into national planning for adapting to climate change. The paper also addresses how climate impact assessment and response strategies are undertaken as part of national enabling activities carried out in co-operation with UNEP.     

Bridging the divide between theory and guidance in strategic environmental assessment: A path for Italian regions

Clear and effective legislation is a requisite to bring sustainable development from theory into practice. This paper develops a methodology to investigate how Italian regional legislation disciplines the use of Strategic Environmental Assessment (SEA), the procedure used in the European Union (EU) to pursue sustainable development of policies, plans, and programs (PPPs). Our case study is the Italian regional level, examined to identify eventual flaws and areas for improvement for each regional legislative framework. For this purpose, this study refers to a selection of analytical criteria recurring in the international debate on sustainability assessments. Statistical multi-dimensional analysis is used to identify Italian regions with similar SEA legislation. We recognize four taxonomies, depending on the way regional legislation provides information about i) legislation and guidelines, ii) integration between SEA and PPPs, iii) sustainability goals, iv) technical organization, v) participatory organization, and vi) monitoring. The results suggest that Italian administrators should cooperate to improve legislation at the regional level. Acknowledging the institution-centred nature of SEA, this methodology could drive the EU to better support SEA development in countries with diversified traditions.     

Advancing strategic environmental assessment in the offshore oil and gas sector: Lessons from Norway,Canada, and the United Kingdom

Abstract: Strategic environmental assessment (SEA) for offshore oil and gas planning and development is utilized in select international jurisdictions, but the sector has received limited attention in the SEA literature. While the potential benefits of and rationale for SEA are well argued, there have been few empirical studies of SEA processes for the offshore sector. Hence, little is known about the efficacy of SEA offshore, in particular its influence on planning and development decisions. This paper examines SEA practice and influence in three international offshore systems: Norway, Atlantic Canada and the United Kingdom, with the intent to identify the challenges, lessons and opportunities for advancing SEA in offshore planning and impact assessment. Results demonstrate that SEA can help inform and improve the efficacy and efficiency of project-based assessment in the offshore sector, however weak coordination between higher and lower tiers limit SEA's ability to influence planning and development decisions in a broad regional environmental and socioeconomic context.     

Case studies: Application of SEA in provincial level expressway infrastructure network planning in China — Current existing problems

Since the Law of the People's Republic of China on Environmental Impact Assessment was enacted in 2003 and Huanfa 2004 No. 98 was released in 2004, Strategic Environmental Assessment (SEA) has been officially being implemented in the expressway infrastructure planning field in China. Through scrutinizing two SEA application cases of China's provincial level expressway infrastructure (PLEI) network plans, it is found that current SEA practice in expressway infrastructure planning field has a number of problems including: SEA practitioners do not fully understand the objective of SEA; its potential contributions to strategic planning and decision-making is extremely limited; the employed application procedure and prediction and assessment techniques are too simple to bring objective, unbiased and scientific results; and no alternative options are considered. All these problems directly lead to poor quality SEA and consequently weaken SEA's effectiveness.     

Case studies: Application of SEA in provincial level expressway infrastructure network planning in China — Current existing problems

Since the Law of the People's Republic of China on Environmental Impact Assessment was enacted in 2003 and Huanfa 2004 No. 98 was released in 2004, Strategic Environmental Assessment (SEA) has been officially being implemented in the expressway infrastructure planning field in China. Through scrutinizing two SEA application cases of China's provincial level expressway infrastructure (PLEI) network plans, it is found that current SEA practice in expressway infrastructure planning field has a number of problems including: SEA practitioners do not fully understand the objective of SEA; its potential contributions to strategic planning and decision-making is extremely limited; the employed application procedure and prediction and assessment techniques are too simple to bring objective, unbiased and scientific results; and no alternative options are considered. All these problems directly lead to poor quality SEA and consequently weaken SEA's effectiveness.     

Transitions-based strategic environmental assessment

Strategic environmental assessment (SEA) is emerging as an important tool for sustainability transitions, yet there has been limited research conceptualizing transitions-based SEA. If SEA's primary goal is to facilitate strategic change and guide decision-processes toward sustainability, an assessment framework that accounts for the multi-dimensional factors and relationships influencing transition processes seems highly relevant. This paper advances the transitions-based SEA design – an approach to SEA that is focused on the institutional environment and policy context for the development of strategic initiatives including institutional commitments, supporting policies, and opportunities. We do so within the context of energy transitions, bridging strategic planning theories, decision making, and transition management. Building on existing SEA frameworks that advance strategic thinking, the paper presents the foundational principles and strategic questions to be asked in a transitions-based SEA design. The framework was developed based on a review of sustainability transitions and SEA literature supplemented by expert input. The SEA design focuses on the guiding vision for transitions, the institutional context and governance arrangements, opportunities and risks of proposed sustainability pathways, progress indicators for on-going transition management, and impacts of the exogenous landscape. The framework defines a new functionality for SEA, pushing the boundaries of what SEA can achieve, and should accomplish, as a strategic assessment tool while also challenging conventional thinking and practice beyond its application to policies, plans and programs.     

Multi-actor involvement for integrating ecosystem services in strategic environmental assessment of spatial plans

Integrating an ecosystem services (ES) approach into Strategic Environmental Assessment (SEA) of spatial plans potentially enhances the consideration of the value of nature in decision making and policy processes. However, there is increasing concern about the institutional context and a lack of a common understanding of SEA and ecosystem services for adopting them as an integrated framework. This paper addresses this concern by analysing the current understanding and network relations in a multi-actor arrangement as a first step towards a successful integration of ES in SEA and spatial planning. Our analysis focuses on a case study in Chile, where we administered a questionnaire survey to some of the main actors involved in the spatial planning process. The questionnaire focused on issues such as network relations among actors and on conceptual understanding, perceptions and challenges for integrating ES in SEA and spatial planning, knowledge on methodological approaches, and the connections and gaps in the science-policy interface. Our findings suggest that a common understanding of SEA and especially of ES in a context of multiple actors is still at an initial stage in Chile. Additionally, the lack of institutional guidelines and methodological support is considered the main challenge for integration. We conclude that preconditions exist in Chile for integrating ES in SEA for spatial planning, but they strongly depend on appropriate governance schemes that promote a close science-policy interaction, as well as collaborative work and learning.     

Sharing the geo-Referenced Results of Climate Change Impact Research

The Prairie Adaptation Research Collaborative (PARC) has implemented an Internet Map Server (IMS) at the PARC web site (www.parc.ca) to 1) disseminate the geo-referenced results of PARC sponsored research on climate change impacts and adaptation, and 2) address data, information and knowledge management within the PARC network of researchers and partners. PARC facilitates interdisciplinary research on adaptation to the impacts of climate change in the Canadian Prairie Provinces. The web site is intended as a platform for sharing information and encouraging discussion of climate change impacts and adaptation. The IMS enables scientists and stakeholders to apply simple climate change scenarios to geo-referenced biophysical and social data, and dynamically create maps that display the geographic distribution of potential impacts of climate change. With a limited capacity for spatial analysis, most geo-processing and the climate impact modeling is done offline within a GIS environment. The IMS will serve the output from climate impact models, such that the model results can be customized by the web site user and be most readily applied to the planning and analysis of adaptation strategies.