Strategic environmental assessment for sustainability: A review of a decade of academic research

This paper examines the strategic environmental assessment (SEA)–sustainability relationship over the past decade, from 2000 to 2010, focusing in particular on the incorporation of sustainability in SEA. A total of 86 papers from the academic literature containing the terms ‘sustainability’ or ‘sustainable development’ and ‘strategic environmental assessment’ were identified and reviewed. Several common themes emerged by which SEA can support sustainability, including providing a framework to support decision making for sustainability; setting sustainability objectives, ensuring the consideration of ‘more sustainable’ alternatives, and integrating sustainability criteria in PPP development; and promoting sustainability outcomes through tiering and institutional learning. At the same time, our review identified many underlying barriers that challenge SEA for sustainability, including the variable interpretations of the scope of sustainability in SEA; the limited use of assessment criteria directly linked to sustainability objectives; and challenges for decision-makers in operationalizing sustainability in SEA and adapting PPP development decision-making processes to include sustainability issues. To advance SEA for sustainability there is a need to better define the scope of sustainability in SEA; clarify how to operationalize the different approaches to sustainability in SEA, as opposed to simply describing those approaches; provide guidance on how to operationalize broad sustainability goals through assessment criteria in SEA; and understand better how to facilitate institutional learning regarding sustainability through SEA application.     

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.     

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.     

Conceptualizing strategic environmental assessment: Principles,approaches and research directions

Increasing emphasis has been placed in recent years on transitioning strategic environmental assessment (SEA) away from its environmental impact assessment (EIA) roots. Scholars have argued the need to conceptualize SEA as a process designed to facilitate strategic thinking, thus enabling transitions toward sustainability. The practice of SEA, however, remains deeply rooted in the EIA tradition and scholars and practitioners often appear divided on the nature and purpose of SEA. This paper revisits the strategic principles of SEA and conceptualizes SEA as a multi-faceted and multi-dimensional assessment process. It is suggested that SEA can be conceptualized as series of approaches operating along a spectrum from less to more strategic – from impact assessment-based to strategy-based – with each approach to SEA differentiated by the specific objectives of SEA application and the extent to which strategic principles are reflected in its design and implementation. Advancing the effectiveness of SEA requires a continued research agenda focused on improving the traditional SEA approach, as a tool to assess the impacts of policies, plans and programs (PPPs). Realizing the full potential of SEA, however, requires a new research agenda — one focused on the development and testing of a deliberative governance approach to SEA that can facilitate strategic innovations in PPP formulation and drive transitions in short-term policy and initiatives based on longer-term thinking.     

Ecosystem services inclusive strategic environmental assessment

A consistent framework to address biodiversity, ecosystem services and their societal values is now established with the MEA (Millennium Ecosystem Assessment) and the TEEB (The Economics of Ecosystems and Biodiversity). These and other studies point to the urgency in considering actions that can revert the process of degradation of biodiversity values and its supporting ecosystems. Safeguarding livelihoods is a common objective in ecosystem approaches as well as in strategic environmental assessment (SEA) effort to promote sustainability. Human activities, as direct and indirect development drivers, are crucial targets for SEA to have a strategic contribution in influencing priorities, by showing strategic reasons for change. Rather than keeping only a control and mitigation role on the assessment of effects and impacts of development on the environment, SEA has the capacity to understand the decisional and development context and to drive development opportunities into pathways that are inclusive of environmental and sustainability priorities. The development opportunities provided by ecosystem services can be explored in SEA through strategic approaches to enhance the value of the benefits and avoid the negative impact of human actions on ecosystem services. SENSU, a research team at IST-Portugal, advocates the strategic-based and collaborative oriented approach in SEA based on Partidario (2007) SEA framework of critical decision factors (CDF). A methodology to allow the consideration of ecosystem services in SEA is being developed and tested. This paper will share research advances on how ecosystem services can be incorporated into SEA as a fundamental component of strategic assessment in support of decision-making.     

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.     

Health impact assessment in spatial planning in England –types of application and quality of documentation

Health Impact Assessment (HIA) is a decision support approach which is applied in various shapes and forms throughout the world. In England, amongst a range of areas of application, HIA is applied in local (spatial) plan making and project development planning. Whilst various authors have reflected on HIA practice in England, the extent of application and its quality has remained unclear. This paper aims at addressing this gap by reporting on the results of a systematic review of HIA in planning. It is found that between 100 and 200 HIAs are likely being produced each year in England. Whilst most assessments are rapid (desk based), there are also examples of comprehensive and intermediate HIAs, where a participatory procedural approach is followed. An important finding is that those HIAs applied within the context of other assessments (integrated impact assessment -IIA, strategic environmental assessment - SEA/ sustainability appraisal -SA and environmental impact assessment – EIA) tend to be of a higher quality than standalone HIAs, mainly because of the existing comprehensive statutory procedural requirements for these other assessments into which HIA can be integrated.     

Benchmarking environmental and economic impacts from the HSR networks considering life cycle perspectives

This paper unprecedentedly benchmarks the environmental and economic impacts of notable High-speed rail (HSR) networks. The goals are to (i) point out the environmental impacts from the HSR networks and (ii) evaluate the whole life cycle cost of HSR systems. The emphasis of this study is placed on five HSR networks from five countries to depict the effectiveness of sustainable transport policies in each particular country. Both life cycle assessment (LCA) and life cycle cost (LCC) models are adopted for a new critical framework capable of benchmarking the lifecycle sustainability of HSR networks. The new findings exhibit that CRC's system is the leader in energy-saving, who consumes only 67.55 GJ/km yearly, and emits lowest CO₂ at an amount of 77,532.32 tCO₂/km annually. These impressive results are stemmed from key enabling policies related to eco-friendly rolling stock design, sustainable construction, and green energy grids. With respect to the LCC analysis, the SCNF network takes advantage in the economy of scale and unleashes the lowest cost among other networks. It estimates that the SNCF network spends approximately 1,990,599.51 £/km annually at a % discount rate. The implications of these finding are discussed that the initial project has a high chance to be successful on economic than the late project due to an influence of the time value of money.     

Strategic Environmental Assessment for development programs and sustainability transition in the Colombian post-conflict context

This article offers a critical analysis of the applicability and relevance of strategic environmental assessment (SEA) in the post-conflict period in Colombia as a means to support societal sustainability transition and avoid the depletion of natural resources and the emergence of new conflicts. Colombia, emerging from decades of war between the Colombian government and the FARC-EP (Revolutionary Armed Forces of Colombia), is experiencing an urgent need to allocate financial resources to large-scale projects with the aim of supporting post-conflict development activities, potentially resulting in rapid and hyper-development conditions and causing severe environmental impacts. Theoretically, SEA can be seen as one way to assist the Colombian government in their strategic decision-making and planning. However, the use of SEA will be bound by the post-conflict conditions and the more general institutional setting in Colombia. This article is focused on identifying the opportunities and challenges arising from the post-conflict context and the SEA action arena in Colombia. By doing this, the article provides a better understanding of institutional processes and resources in Colombia and contributes to the limited scholarly literature that is available on the application of SEA in post-conflict contexts, including research on the institutional capacity involved.     

Should different impact assessment instruments be integrated? Evidence from English spatial planning

This paper aims at providing empirical evidence to the question as to whether integration of different instruments is achieving its aim in supporting sustainable decision making, focusing on SEA inclusive sustainability appraisal (SA) and other impact assessments (IAs) currently used in English spatial planning. Usage of IAs in addition to SA is established and an analysis of the integration approach (in terms of process, output, and assessor) as well as its effectiveness is conducted. It is found that while integration enhances effectiveness to some extent, too much integration, especially in terms of the procedural element, appears to diminish the overall effectiveness of each IA in influencing decisions as they become captured by the balancing function of SA.     

An inquiry into the potential of scenario analysis for dealing with uncertainty in strategic environmental assessment in China

Strategic environmental assessment (SEA) inherently needs to address greater levels of uncertainty in the formulation and implementation processes of strategic decisions, compared with project environmental impact assessment. The range of uncertainties includes internal and external factors of the complex system that is concerned in the strategy. Scenario analysis is increasingly being used to cope with uncertainty in SEA. Following a brief introduction of scenarios and scenario analysis, this paper examines the rationale for scenario analysis in SEA in the context of China. The state of the art associated with scenario analysis applied to SEA in China was reviewed through four SEA case analyses. Lessons learned from these cases indicated the word “scenario” appears to be abused and the scenario-based methods appear to be misused due to the lack of understanding of an uncertain future and scenario analysis. However, good experiences were also drawn on, regarding how to integrate scenario analysis into the SEA process in China, how to cope with driving forces including uncertainties, how to combine qualitative scenario storylines with quantitative impact predictions, and how to conduct assessments and propose recommendations based on scenarios. Additionally, the ways to improve the application of this tool in SEA were suggested. We concluded by calling for further methodological research on this issue and more practices.     

An inquiry into the potential of scenario analysis for dealing with uncertainty in strategic environmental assessment in China

Strategic environmental assessment (SEA) inherently needs to address greater levels of uncertainty in the formulation and implementation processes of strategic decisions, compared with project environmental impact assessment. The range of uncertainties includes internal and external factors of the complex system that is concerned in the strategy. Scenario analysis is increasingly being used to cope with uncertainty in SEA. Following a brief introduction of scenarios and scenario analysis, this paper examines the rationale for scenario analysis in SEA in the context of China. The state of the art associated with scenario analysis applied to SEA in China was reviewed through four SEA case analyses. Lessons learned from these cases indicated the word “scenario” appears to be abused and the scenario-based methods appear to be misused due to the lack of understanding of an uncertain future and scenario analysis. However, good experiences were also drawn on, regarding how to integrate scenario analysis into the SEA process in China, how to cope with driving forces including uncertainties, how to combine qualitative scenario storylines with quantitative impact predictions, and how to conduct assessments and propose recommendations based on scenarios. Additionally, the ways to improve the application of this tool in SEA were suggested. We concluded by calling for further methodological research on this issue and more practices.     

Exploring experts' views and perspectives on the enhancement of Strategic Environmental Assessment in European small islands

Small islands have the attention of the international community because they are territories with unique features, and a pressing need for the enhancement of sustainability. Strategic Environmental Assessment (SEA) has characteristics that may promote the development and improvement of sustainability in these territories: (i) changing the mind-set, and the decision-making and institutional paradigm, (ii) facilitating cooperation and coordination between different stakeholders, and (iii) providing a framework for good governance and community empowerment. The scientific literature suggests that there may be a need for context-specific SEA in these territories. However, SEA studies often do not incorporate local contextual information, including intuitive knowledge and sense of place. Therefore, there is a possible gap between what is found in the literature and what local communities think, including different stakeholders and experts. Hence, the main goal of this research was to gain an insight into the views and perspectives of small islands SEA experts about issues related to SEA in European small islands, including context-specific approaches, as well as the contribution of SEA for sustainability in these territories. To achieve the research aim, exploratory research using a questionnaire-based survey was designed, aimed at experts on SEA in European small islands. Findings showed regional cooperation networks may have a fundamental role when developing SEA-specific approaches in these territories. This is because SEA-specific approaches encourage a joint effort among islands within one region to improve SEA capacity-building, develop and share a baseline information system, and to share and exchange resources, overall. Also, guidelines are preferred among experts over more legal frameworks and regulations. Finally, the research showed that experts view SEA as a way to enhance sustainability in small islands. This study highlights the importance of integrating stakeholders, such as territorial experts, to learn and promote the use and improvement of environmental and sustainability tools such as SEA.     

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.     

Using Compliance Analysis for PPP to bridge the gap between SEA and EIA: Lessons from the Turcot Interchange reconstruction in Montréal,Québec

There is increasing concern about the disjunct between the intent of higher level government goals and actual projects “on the ground” in Canada. Although strategic environmental assessment (SEA) and a wide variety of plans, policies and programmes (PPP) contain and promote goals that envision a movement towards social, economic and environmental sustainability, these goals are not necessarily upheld by large-scale projects and their environmental impact assessments (EIAs). This disconnect is often illustrated through anecdotal observations. However, to be able to overcome this disjunct it is imperative to come to a clearer understanding of the degree of sustainability or unsustainability of large-scale developments and the way in which they “measure up” in terms of the goals when compared to alternative options.This article proposes a Compliance Analysis method for investigating the level of harmonization between SEA, PPP and proposed projects and their possible alternatives (CAPPP). This method is quantified through a Likert scale which allows for comparison of alternatives for decision making and analytical purposes. The 2009 proposal for the Turcot Exchange redevelopment in Montréal, Québec, put forward by the Ministry of Transport of Québec (MTQ), as well as two alternative proposals, were utilized as a case study to clearly demonstrate the CAPPP methodology and its applicability.The approved plan for the Turcot redevelopment proposed by MTQ was found to be in poor compliance with the majority of the 178 goals in the six sectors that were examined (air quality, climate change, health, noise, socioeconomic, transport), while alternative proposals were found to be in greater accordance with the intentions of governmental SEA and PPP.Synthesis and applications: The CAPPP methodology is a versatile “watchdog” tool for the examination of the level of compliance between stated goals for regions, industrial sectors, or governments and the EIAs of concrete projects “on the ground”. CAPPP can be used as a tool for comparative analysis in decision-making situations at various scales. CAPPP is a fairly straight-forward method that can be used by policy makers, EIA experts, and members of the general public alike.     

Confronting reality in strategic environmental assessment in Slovenia — Costs and benefits

We enlarge on the viewpoint published in the Environmental Impact Assessment Review in 2012 — A viewpoint on the approval context of strategic environmental assessments. Additional alerts concerning the procedural ineffectiveness of the strategic environmental assessment (SEA) process from the cost–benefit point of view are advanced. The major contribution to the long lasting, costly SEA processes, comes from ultraistic treatment of Natura 2000.The case study deals with a plan for constructing a traffic bypass around Škofljica, a town near Ljubljana. Based on their conclusions the authors propose that the following elements of the SEA procedure should be improved and optimised:

• –CBA for SEA should become a regular component when measuring its effectiveness.
• –Concretisation of expected SEA inputs to the plan should clarify its role at the earliest stage of the process.
• –SEA should contribute interactively to the optimisation of alternatives; cost–benefit analysis of the SEA process could support this process.
• –Nature protection interest should be confronted and balanced with wider development interests as formulated in the plan and should not be applied in absolute terms (e.g. Natura 2000).

     

Governance in Strategic Environmental Assessment: Lessons from the Portuguese practice

The analysis of governance in Strategic Environmental Assessment (SEA) can help understand why, whether and how strategic decision-making happens. Understanding the governance context is strategic to improve the role and capacity of SEA to stimulate, and legitimate decisions that integrate environmental issues and are sustainability driven. The objective of this paper is to discuss why governance is important in SEA. In the SEA literature governance is mostly addressed in silos (i.e. public participation or decisions transparency or accountability) rather than in an integrated way. In addition few authors adopt a strategic view to address the governance context within which SEA is used. In this paper we address the heuristics of governance in SEA based on theoretical and empirical evidence, suggesting how SEA may incorporate the governance dimension. First a review of the SEA literature in relation to governance sets the context to the analysis on how governance is approached in practice, based on 60 Portuguese SEA cases. This is followed by the presentation of an empirical SEA case conducted in Portugal to illustrate what, in our understanding, can be an example of good practice in considering governance in SEA. Final discussion reflects on the role of governance in SEA in promoting engagement, enabling collaborative action, learning processes and dialogues, concluding on the relevance of governance in creating development contexts that can deal with change.     

Linking ecosystem services to strategic environmental assessment in development policies

This paper first, introduces the concept of mainstreaming ecosystem services by showing its relevance for development planning. Second, it presents the role and importance of strategic environmental assessment in designing and implementation of development policy. Third, the paper sets-out the concept of economic valuation of ecosystem services by discussing what it means and what is at stake if valuation of ecosystem services is ignored in the process of development policy making. The methods of capturing economic contribution of ecosystem services at policy level are discussed with examples in the paper.The main focus of this paper is how ecosystem services can be used in policy scale environmental impact assessment. The paper argues that ecosystem services can be an appropriate indicator to weight developmental policies, programs and plans to ensure the consideration of environmental balancing at the policy level. The paper suggests that the roles of ecosystem services in macroeconomic policies including ecosystem accounting, poverty alleviation and employment generation can be used to link environmental policies and SEA with development policies for a successful impact assessment at policy and program levels. By building upon the various contemporary initiatives within UNEP and outside, the paper in its synthesis section, flags-up necessary knowledge gaps, challenges and lessons learned in integrating values of ecosystem services in strategic environmental assessments.     

Sustainability principles in strategic environmental assessment: A framework for analysis and examples from Italian urban planning

This paper presents a framework for analysing the degree of consideration of sustainability principles in Strategic environmental assessment (SEA), and demonstrates its application to a sample of SEA of Italian urban plans. The framework is based on Gibson's (2006) sustainability principles, which are linked to a number of guidance criteria and eventually to review questions, resulting from an extensive literature review. A total of 71 questions are included in the framework, which gives particular emphasis to key concepts, such as intragenerational and intergenerational equity. The framework was applied to review the Environmental Report of the urban plans of 15 major Italian cities. The results of this review show that, even if sustainability is commonly considered as a pivotal concept, there is still work to be done in order to effectively integrate sustainability principles into SEA. In particular, most of the attention is given to mitigation and compensation measures, rather than to actual attempts to propose more sustainable planning decisions in the first place. Concerning the proposed framework of analysis, further research is required to clarify equity concerns and particularly to identify suitable indicators for operationalizing the concepts of intra/inter-generational equity in decision-making.     

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.