Cumulative effects in strategic environmental assessment: The influence of plan boundaries

Cumulative effects (CE) assessment is lacking quality in impact assessment (IA) worldwide. It has been argued that the strategic environmental assessment (SEA) provides a suitable IA framework for addressing CE because it is applied to developments with broad boundaries, but few have tested this claim. Through a case study on the Danish mining sector, this article explores how plan boundaries influence the analytical boundaries applied for assessing CE in SEA. The case was studied through document analysis in combination with semi-structured group interviews of the responsible planners, who also serve as SEA practitioners. It was found that CE are to some extent assessed and managed implicitly throughout the planning process. However, this is through a focus on lowering the cumulative stress of mining rather than the cumulative stress on and capacity of the receiving environment. Plan boundaries do influence CE assessment, though all boundaries are not equally influential. The geographical and time boundaries of the Danish mining plans are broad or flexible enough to accommodate a meaningful assessment of CE, but the topical boundary is restrictive. The study indicates that collaboration among planning authorities and legally appointed CE leadership may facilitate better practice on CE assessment in sector-specific SEA contexts. However, most pressing is the need for relating assessment to the receiving environment as opposed to solely the stress of a proposed plan.     

High speed rail comparative strategic assessments in EU member states

This paper explores the role and capacity of strategic level assessments in addressing the strategic dimension of High Speed Rail (HSR) proposals and influencing decision-making processes. The overall research objective was to find out to what extent opportunities for strategic thinking are being undertaken in HSR. Three different cases of high speed rail were compared – High Speed Rail 2 (HS2) in the UK, High Speed Rail Network (RFAV) in Portugal and European Gauge Railway Line Kaunas in the Lithuanian-Latvian Border (Rail Baltica 2). Strategic environmental assessment (SEA) effectiveness literature was reviewed to draw on criteria that could establish a comparative framework to explain how environmental and sustainability assessments were undertaken in the three aforementioned European high speed rail case studies. Research results allow us to conclude that an SEA or a sustainability assessment/appraisal (SA) will be most beneficial if developed before any HSR project to first determine if HSR is really necessary and strategically justifiable to the achievement of both environmental and sustainability objectives. Results achieved suggest that even though the SEA and SA in the three cases studied can be said to have influenced the planning process mostly at project-level decisions, it also shows a missed opportunity to contribute to developing a high level strategy for HSR that addresses several strategic issues, assessing options before they are undertaken.     

Use of sustainability appraisal by English planning inspectors and judges

This article considers how sustainability appraisals (SA — an English form of SEA that also considers social and economic issues) are treated at the end of the plan-making process: by planning inspectors who review plans before they are adopted, and by judges in the case of legal challenge to plans and their SAs. It briefly describes the role of inspectors and judges, and how their decisions influence SA. It presents the conclusions of 81 planning inspectors' reports about local authority development plans and their SAs, including three cases where inspectors required further SA information and reasons given by inspectors for not challenging the legal adequacy of other SAs. The three main successful English legal challenges to SA are then summarised. Planning inspectors seemed prone, until recently, to not challenge even quite poor quality SAs. This seems to be changing in the wake of recent court judgements, and in turn is affecting planners' SA practice. However it is unclear whether these changes will affect only the procedural aspects of SA or also planners' and inspectors' ‘hearts and minds’.     

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.     

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.     

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.     

Evaluating cumulative effects of small scale hydropower development using GIS modelling and representativeness assessments

Assessing cumulative effects are a vital task for strategic environmental assessments (SEA) but lack of consistent methodology has hampered the development and implementation of useful tools. We present a model for GIS and multivariate analysis to assess the effects on a valued ecosystem type at a regional scale based on the sum of impacts of local projects. We demonstrate application of the model by assessing how hydropower developments would generate cumulative impacts on river gorges for a county in northern Norway. We use principal component analyses (PCA) of spatially-explicit variables from the region to describe the diversity of river gorge ecology with a mathematical low-dimensional bioclimatic space. We then calculate cumulative effects of hydropower development as the proportions of subspaces of the multidimensional bioclimatic PCA that are affected by either existing infrastructure or planned and possible hydropower developments. The results showed that adding development of all potential sites for small-scale hydropower would have substantial impacts on over half of all bioclimatic segments where gorges were registered and more than 70% of all segments with forested river gorges. By demonstrating these possible cumulative effects we can illustrate the need for caution in hydropower planning to avoid reducing river gorge representativeness and diversity. The method can be applied for other types of development projects and other valued ecosystems, provided the assessed ecosystems and development installations can be mapped or modelled over a sufficiently large area.     

Learning through EC directive based SEA in spatial planning? Evidence from the Brunswick Region in Germany

This paper presents results of an international comparative research project, funded by the UK Economic and Social Research Council (ESRC) and the Academy for Sustainable Communities (ASC) on the ‘learning potential of appraisal (strategic environmental assessment — SEA) in spatial planning’. In this context, aspects of ‘single-loop’ and ‘double-loop’ learning, as well as of individual, organisational and social learning are discussed for emerging post-EC Directive German practice in the planning region (Zweckverband) of Brunswick (Braunschweig), focusing on four spatial plan SEAs from various administrative levels in the region. It is found that whilst SEA is able to lead to plan SEA specific knowledge acquisition, comprehension, application and analysis (‘single-loop learning’), it is currently resulting only occasionally in wider synthesis and evaluation (‘double-loop learning’). Furthermore, whilst there is evidence that individual and occasionally organisational learning may be enhanced through SEA, most notably in small municipalities, social learning appears to be happening only sporadically.     

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.     

Can we infer about ecosystem services from EIA and SEA practice? A framework for analysis and examples from Portugal

Biodiversity, soil, water, air, climate, landscape and other components are typically analyzed in Environmental Impact Assessment (EIA) when looking for the effects of a given project on the biological and ecological components of the environment. Strategic Environmental Assessment (SEA) tends to follow the same general pattern, when looking for the environmental effects of plans and programs. In both cases, ecosystem services are often not explicitly considered. We developed a framework to analyze environmental assessment (EA) practice and infer about ecosystem services based on existing evidence from EIA and SEA reports and supporting information. Our framework addresses the relations between ecosystem services and the environmental factors assessed in EIA and SEA, considering the relevant conceptual frameworks such as the ES cascade model and the DPSIR framework applied to ES provision. We base our proposals on results from a preliminary meta-analysis of recent EIA and SEA reports from several types of plans and projects in Portugal, in which implicit assessments of ES were clearly predominant. We discuss the implications of those results and the opportunities to infer about ecosystem services, and conclude on the need for more dedicated and explicit efforts to ecosystem services assessment in EIA and SEA.     

The development and practices of Strategic Environmental Assessment in Shandong Province, China

Strategic Environmental Assessment (SEA), a newly-developed decision-making support tool, has been used in many developed and developing countries for predicting and evaluating potential environmental impact of policies, plans, and programs (PPPs), as well as for providing alternatives to avoid, mitigate, or compensate for these impacts. Unfortunately, due to the complexity and flexibility of SEA, to date there has been no consensus on a system which could be suitable for the contexts of different regions or countries. Different requirements and practices are observed in the different typical stages of SEA. Controversial areas include the appropriate indicators to apply in the early baseline setting stage, suitable methodologies for the impact assessment, and appropriate procedures for the SEA process. Given this, it is important to review and refine the SEA system specific to the context but informed by internationally agreed norms. As an illustration, this study reviews and proposes steps to refine the SEA system in Shandong Province, an economically powerful province of China, aiming to achieve sustainable development. Supported by the Environmental Impact Assessment Law of the People's Republic of China, Shandong Province employed SEA to reform the traditionally economy-oriented decision-making and incorporate consideration of environmental consequences into government deliberation on proposed PPPs. This paper illustrates the developmental process, procedures, and legal support for SEA in Shandong Province. By analyzing five SEA cases carried out by Shandong Province Environment Protection Bureau (SEPB) and Shandong University, problems in the SEA system were identified, and recommendations were made for improving the SEA system not only in Shandong Province but also other similar regions or countries.     

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.     

Evaluating the substantive effectiveness of SEA: Towards a better understanding

Evaluating the substantive effectiveness of strategic environmental assessment (SEA) is vital in order to know to what extent the tool fulfills its purposes and produces expected results. However, the studies that have evaluated the substantive effectiveness of SEA produce varying outcomes as regards the tool's contribution to decision-making and have used a variety of approaches to appraise its effectiveness. The aim of this article is to discuss the theoretical concept of SEA substantive effectiveness and to present a new approach that can be applied for evaluation studies. The SEA effectiveness evaluation framework that will be presented is composed of concepts of, and approaches to, SEA effectiveness derived from SEA literature and planning theory. Lessons for evaluation can be learned from planning theory in particular, given its long history of analyzing and understanding how sources of information and decisions affect (subsequent) decision-making. Key concepts of this new approach are ‘conformance’ and ‘performance’. In addition, this article presents a systematic overview of process and context factors that can explain SEA effectiveness, derived from SEA literature. To illustrate the practical value of our framework for the assessment and understanding of substantive effectiveness of SEA, three Dutch SEA case studies are examined. The case studies have confirmed the usefulness of the SEA effectiveness assessment framework. The framework proved helpful in order to describe the cumulative influence of the three SEAs on decision-making and the ultimate plan.     

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.     

Assessment of transboundary environmental effects in the Pearl River Delta Region: Is there a role for strategic environmental assessment?

China's EIA Law does not require transboundary proposals to be assessed, despite recognition of this globally, for example in the Espoo Convention and Kiev Protocol, and in the European EIA and SEA Directives. In a transboundary context assessment within a state is unusual, as regulating these effects is primarily about the relationship between states. However where a state has more than one legal system such as in the Pearl River Delta (PRD) Region of southern China, transboundary effects should also be addressed. Yet despite the geographical connections between Guangdong Province in mainland China (where the EIA Law applies) and the Hong Kong and Macau Special Administrative Regions (which have their own provisions, neither of which requires transboundary assessments), EIA and SEA are carried out separately. Coordinated or joint approaches to transboundary assessment are generally absent, with the legal autonomy of Hong Kong and Macau a major constraint. As a result institutional responses at the policy level have developed. The article considers global experiences with regulating transboundary EIA and SEA, and analyses potential application to land use, transport and air and water planning in the PRD Region. If applied, benefits may include prevention or mitigation of cumulative effects, broader public participation, and improvements to environmental governance. The PRD Region experience may encourage China to conduct and coordinate EIA and SEA processes with neighbouring states, which has been non-existent or extremely limited to date.     

Looking up,down, and sideways: Reconceiving cumulative effects assessment as a mindset

Despite all the effort that has gone into defining, researching and establishing best practices for cumulative effects assessment (CEA), understanding remains weak and practice wanting. At one extreme of implementation, CEA can be described as merely an irritant to the completion of a project-specific environmental assessment (EA). At the other extreme, the conceptual view is that all effects in EA should be deemed cumulative unless demonstrated otherwise. Our purpose here is to consider how we might reconceive CEA as a mindset that is at the heart of absolutely every assessment of valued ecosystem component (VEC) to ensure that we understand the relative contributions of various stressors and can decide when cumulative effects may foreclose future activities due to impacts on VECs. Conceptually, we ground the CEA mindset in the context of three lenses that must all be functioning and working together for the mindset to be operative: a technical lens; a law and policy lens; and a participatory lens. Our arguments are based on a review of the CEA, strategic effects assessment (SEA) and regional effects assessment literatures, an examination and consideration of Canadian EA and SEA case practice, and our combined professional experiences. Through using the Bay of Fundy in Canada as a case example, we establish the concept of the CEA mindset and an approach for moving forward with implementation.     

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.     

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.     

The art of underperforming SEA – Symptomatic narratives from Germany

SEA spread around the world as has SEA effectiveness research. International SEA evaluations show mixed findings on SEA effectiveness. In this article, the quality and procedural effectiveness of SEA in Germany is analysed pursuing the hypothesis that SEA is influenced by planning and administrative traditions that tend to counteract to more ambitious SEA approaches. Three SEA case studies were analysed according to a set of criteria and indicators based on international research outcomes involving SEA integration into decision-making, scoping, selection and assessment of alternatives, cumulative effects assessment, tiering, public participation, and monitoring. The analysis draws on documents analysis and interviews with representatives from responsible agencies and involved SEA consultancies.The analysis shows that SEA is facilitating informed decision-making as the responsible agencies used the SEA, the interaction with consultancies, and the participation processes as a source of information. However, the case studies show various degrees of SEA quality in Germany based on the evaluated criteria and indicators. Results demonstrate that procedural effectiveness is limited. Unclear legal regulations, an expert-based planning approach instead of a collaborative approach, and organisational constraints limit the SEA quality. Furthermore, SEA performance is highly influenced by administrations' legalistic tradition, the expert-based planning culture, the home-grown planning system, and the bounded importance of SEA consultancies in the era of staff cuts and under-resourced agencies. Thus, the recommendations aim to strengthen a more collaborative planning approach, to build SEA capacity within SEA responsible agencies, and to clarify SEA regulations.The overall question for SEA evaluation research and practice may be how more collaborative planning approaches can effectively be implemented in planning and SEA practice through institutional learning.     

Disappearing rivers — The limits of environmental assessment for hydropower in India

The mountain rivers of the Indian Himalaya possess a vast potential for hydropower generation. After decades of comparatively modest development recent years have seen a major intensification in the construction of new hydropower dams. Although increasingly portrayed as a form of renewable energy generation, hydropower development may lead to extensive alterations of fluvial systems and conflicts with resource use patterns of local communities. To appraise and reduce adverse effects is the purpose of statutory Environmental Impact Assessments (EIA) and corresponding mitigation plans. However, in the light of ambitious policies for hydropower expansion conventional approaches of environmental assessment are increasingly challenged to keep up with the intensity and pace of development. This paper aims to explore the systemic limitations of environmental assessment for hydropower development in the Indian state of Himachal Pradesh. Based on a qualitative methodology involving interviews with environmental experts, document reviews and field observations the study suggests that the current practice of constraining EIAs to the project level fails to address the larger effects of extensive hydropower development. Furthermore, it is critically discussed as to what extent the concept of Strategic Environmental Assessment (SEA) might have the potential to overcome existing shortcomings.