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.     

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.     

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.     

A window on urban sustainability: Integration of environmental interests in urban planning through ‘decision windows’

Sustainable urban development requires the integration of environmental interests in urban planning. Although various methods of environmental assessment have been developed, plan outcomes are often disappointing due to the complex nature of decision-making in urban planning, which takes place in multiple arenas within multiple policy networks involving diverse stakeholders. We argue that the concept of ‘decision windows’ can structure this seemingly chaotic chain of interrelated decisions. First, explicitly considering the dynamics of the decision-making process, we further conceptualized decision windows as moments in an intricate web of substantively connected deliberative processes where issues are reframed within a decision-making arena, and interests may be linked within and across arenas. Adopting this perspective in two case studies, we then explored how decision windows arise, which factors determine their effectiveness and how their occurrence can be influenced so as to arrive at more sustainable solutions. We conclude that the integration of environmental interests in urban planning is highly dependent on the ability of the professionals involved to recognize and manipulate decision windows. Finally, we explore how decision windows may be opened.     

Life cycle assessment as an analytical tool in strategic environmental assessment. Lessons learned from a case study on municipal energy planning in Sweden

Life cycle assessment (LCA) is explored as an analytical tool in strategic environmental assessment (SEA), illustrated by case where a previously developed SEA process was applied to municipal energy planning in Sweden. The process integrated decision-making tools for scenario planning, public participation and environmental assessment. This article describes the use of LCA for environmental assessment in this context, with focus on methodology and practical experiences. While LCA provides a systematic framework for the environmental assessment and a wider systems perspective than what is required in SEA, LCA cannot address all aspects of environmental impact required, and therefore needs to be complemented by other tools. The integration of LCA with tools for public participation and scenario planning posed certain methodological challenges, but provided an innovative approach to designing the scope of the environmental assessment and defining and assessing alternatives.     

A Strategic Project Appraisal framework for ecologically sustainable urban infrastructure

Actors in the built environment are progressively considering environmental and social issues alongside functional and economic aspects of development projects. Infrastructure projects represent major investment and construction initiatives with attendant environmental, economic and societal impacts across multiple scales. To date, while sustainability strategies and frameworks have focused on wider national aspirations and strategic objectives, they are noticeably weak in addressing micro-level integrated decision making in the built environment, particularly for infrastructure projects. The proposed approach of this paper is based on the principal that early intervention is the most cost-effective and efficient means of mitigating the environmental effects of development projects, particularly macro infrastructure developments. A strategic overview of the various project alternatives, taking account for stakeholder and expert input, could effectively reduce project impacts/risks at low cost to the project developers but provide significant benefit to wider communities, including communities of future stakeholders. This paper is the first exploratory step in developing a more systematic framework for evaluating strategic alternatives for major metropolitan infrastructure projects, based on key sustainability principles. The developed Strategic Project Appraisal (SPA) framework, grounded in the theory of Strategic Environmental Assessment (SEA), provides a means of practically appraising project impacts and alternatives in terms of quantified ecological limits; addresses the neglected topic of metropolitan infrastructure as a means of delivering sustainability outcomes in the urban context and more broadly, seeks to open a debate on the potential for SEA methodology to be more extensively applied to address sustainability challenges in the built environment. Practically applied and timed appropriately, the SPA framework can enable better decision-making and more efficient resource allocation ensuring low impact infrastructure development.     

A case study predicting environmental impacts of urban transport planning in China

Predicting environmental impacts is essential when performing an environmental assessment on urban transport planning. System dynamics (SD) is usually used to solve complex nonlinear problems. In this study, we utilized system dynamics (SD) to evaluate the environmental impacts associated with urban transport planning in Jilin City, China with respect to the local economy, society, transport, the environment and resources. To accomplish this, we generated simulation models comprising interrelated subsystems designed to utilize changes in the economy, society, road construction, changes in the number of vehicles, the capacity of the road network capacity, nitrogen oxides emission, traffic noise, land used for road construction and fuel consumption associated with traffic to estimate dynamic trends in the environmental impacts associated with Jilin's transport planning. Two simulation scenarios were then analyzed comparatively. The results of this study indicated that implementation of Jilin transport planning would improve the current urban traffic conditions and boost the local economy and development while benefiting the environment in Jilin City. In addition, comparative analysis of the two scenarios provided additional information that can be used to aid in scientific decision-making regarding which aspects of the transport planning to implement in Jilin City. This study demonstrates that our application of the SD method, which is referred to as the Strategic Environmental Assessment (SEA), is feasible for use in urban transport planning.     

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.     

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.     

Improving the effectiveness of planning EIA (PEIA) in China: Integrating planning and assessment during the preparation of Shenzhen's Master Urban Plan

The enactment and implementation of the 2003 EIA Law in China institutionalised the role of plan environmental impact assessment (PEIA). While the philosophy, methodology and mechanisms of PEIA have gradually permeated through the various levels of government with a positive effect on the process and outcome of urban planning, only a few cities in China have so far carried out PEIA as a Strategic Environmental Assessment (SEA)-type procedure. One such case is the southern city of Shenzhen. During the past three decades, Shenzhen has grown from a small town to a large and booming city as China has successfully and rapidly developed its economy by adopting the “reform and open door” policy. In response to the challenges arising from the generally divergent processes of rapid urbanisation, economic transformation and environment protection, Shenzhen has incrementally adopted the SEA concept in developing the city's Master Urban Plan. As such, this paper reviews the effectiveness of PEIA in three ways:

• •as a tool and process for achieving more sustainable and strategic planning;
• •to determine the level of integration of SEA within the planning system; and,
• •its effectiveness vis-à-vis implementation.

The implementation of PEIA within Shenzhen's Master Urban Plan offers important insights into the emergence of innovative practices in undertaking PEIA as well as theoretical contributions to the field, especially in exploring the relationship between PEIA and SEA and highlighting the central role of local governing institutions in SEA development.     

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.     

Sustainability on the urban scale: Proposal of a structure of indicators for the Spanish context

Some efforts to assess sustainability on the urban scale have been made and different tools for measuring the impact on and caused by cities have emerged. However, the sustainability concept varies from region to region, and indicators to measure it should be suitable for the context-specific conditions of the region under study. After doing a comprehensive review of the indicators included in 13 tools developed to assess urban sustainability of cities, this article proposes a new structure of indicators adapted to a Mediterranean city in Spain. The proposed structure is based on a two-level scheme that consists in 14 categories and 63 subcategories, which agglutinate urban sustainability indicators according to their purpose. This structure suggests a set of comprehensible qualitative and quantitative indicators that are easily applicable on neighbourhood or city scales. Given the similar features of Mediterranean countries in terms of environmental and socio-economic aspects, the proposed structure could be extrapolated to other countries with climatic and cultural similarities. Otherwise, the system is a useful tool in the decision-making process to help the different stakeholders involved in new urban developments and regeneration projects in existing neighbourhoods, such as developers, urban planners and public administrations.     

Environmental impact assessment in urban transport planning: Exploring process-related barriers in Spanish practice

The effectiveness of EIA for evaluating transport planning projects is increasingly being questioned by practitioners, institutions and scholars. The academic literature has traditionally focused more on solving content-related problems with EIA (i.e. the measurement of environmental effects) than on process-related issues (i.e. the role of EIA in the planning process and the interaction between key actors). Focusing only on technical improvements is not sufficient for rectifying the effectiveness problems of EIA. In order to address this knowledge gap, the paper explores how EIA is experienced in the Spanish planning context and offers in-depth insight into EIA process-related issues in the field of urban transport planning. From the multitude of involved actors, the research focuses on exploring the perceptions of the two main professional groups: EIA developers and transport planners. Through a web-based survey we assess the importance of process-related barriers to the effective use of EIA in urban transport planning. The analyses revealed process issues based fundamentally on unstructured stakeholders involvement and an inefficient public participation     

Overcoming implementation barriers: A method for designing Strategic Environmental Assessment guidelines

The effective application of SEA is still limited and needs to be steered through the dissemination of enhanced guidance documents. In this respect, administrative bodies in charge of SEA management have issued guidelines and manuals in order to address the major difficulties that hinder SEA implementation in the day-to-day practice. In this study, we propose a method that assists responsible agencies and professionals in the design of SEA guidance documents. The method uses a comparative approach which builds on the key elements of those documents. We have applied our method to the scrutiny of principles and contents of a selection of SEA guidelines released in the European Union. Results indicate that SEA guidelines should cover a minimum number of relevant issues, including early integration of SEA in the planning and programming processes, development of a fair and inclusive consultation, the construction of credible alternatives, and monitoring strategies. In addition, we found that good SEA guidance documents should build on empirical advice drawn from storytelling referred to a selection of case studies. Our work is intended to support European government agencies as well as practitioners in the design and update of SEA guidelines in a variety of cases, as the general principles that we outline can be systematically applied to any program and plan subject to SEA.     

A decision-support system for sustainable urban metabolism in Europe

Urban metabolism components define the energy and material exchanges within a city and, therefore, can provide valuable information on the environmental quality of urban areas. Assessing the potential impact of urban planning alternatives on urban metabolism components (such as energy, water, carbon and pollutants fluxes) can provide a quantitative estimation of their sustainability performance. Urban metabolism impact assessment can, therefore, contribute to the identification of sustainable urban structures with regards, for example, to building types, materials and layout, as well as to location and capacity of transportation and infrastructural developments. In this way, it enables the formulation of planning and policy recommendations to promote efficient use of resources and enhance environmental quality in urban areas.The European FP7 project BRIDGE (sustainaBle uRban plannIng Decision support accountinG for urban mEtabolism) has developed a decision-support system (DSS) that systematically integrates urban metabolism components into impact assessment processes with the aim of accurately quantifying the potential effects of proposed planning interventions. The DSS enables integration of multiple spatial and non-spatial datasets (e.g. physical flows of energy and material with variables of social and economic change) in a systematic manner to obtain spatially defined assessment results and to thus inform planners and decision-makers. This multi-criteria approach also enables incorporation of stakeholders' perceptions in order to prioritise decisive assessment criteria. This paper describes the methodological framework used to develop the DSS and critically examines the results of its practical application in five European cities.     

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.     

Tailoring a non-path-dependent model for environmental risk management and polycentric urban land-use planning

This study attempts to develop a non-path-dependent model for environmental risk management and polycentric urban land-use planning in Gorgan Township area, Iran. Applying three suitability layers of environmental risk (soil erosion, flood risk, fire risk, and land susceptibility), urbanization potential, and integrated surface (environmental risk plus urbanization potential layers), a non-path-dependent Cellular Automata-Markov Chain (CA-MC) model was configured to execute three scenarios of polycentric urban growth allocation. Specifically, the modeling approach improved the traditional functionality of the CA-MC model from a prediction algorithm into an innovative land allocation tool. Besides, due to its flexibility, the non-path-dependent model was able to explicitly include different characteristics of the landscape structure ranging from physical land attributes to landscape functions and processes (natural hazards). Accordingly, three polycentric urban growth allocation efforts were undertaken and compared in terms of connectivity and compactness of the resultant patterns and consumption of other land resources. Based on results, the polycentric allocation procedure based on integrated suitability layer produced a more manageable pattern of urban landscape, while the growth option based on environmental risk layer was more successful for protecting farmlands against excessive urbanization. This study suggests that polycentric urban land-use planning under the strategy of rural land development programs is an available option for designing an urban landscape with lower exposure to natural hazards and more economic benefits to rural residents. Finally, the non-path-dependent modeling is a recommended approach, when highly flexible and interactive decision-support systems as well as trend-breaking scenarios are desired.     

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.     

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.     

Artificial intelligence assisted intelligent planning framework for environmental restoration of terrestrial ecosystems

The environmental restoration of terrestrial ecosystems helps to protect the natural world and enhances sustainable land resource development. Modern and efficient approaches for the conservation of ecological functions must be established for more severe land degradation. In this paper, artificial intelligence assisted intelligent planning framework has been proposed to manage the environmental restoration of the terrestrial ecosystem. Facilitating balance of ecosystem service provision, demand, and using machine learning to dynamically build Biological Retreat Configuration (BRCs) that helps better to apprehend the influence of urban growth on environment-related procedures. Such factors can be used as a theoretical reference in the combination of commercial development and eco-friendly conservation. The BRC of the metro area of Changsha Zhuzhou Xiangtan (CZX) has been developed in this study to classify ecological sources using the Bayesian network model efficiently. Using the Least Collective Resistance (LCR) model and circuit theory, the environmental passage and environmental strategy points were established. The BRC was developed by integrating seven environmental factors with 35 ecological policy points. The results showed that the supply and demand of organic unit services (EUS) were spatially decoupled with the deterioration in locations with a significant EUS trend. The urban agglomeration's environmental sources and ecological corridors have been primarily located in forests and waters. The terrestrial environmental pathway has been scattered around the outer edge of the region, while the aquatic green corridor has been extended over the whole town. The environmentally sensitive areas were located primarily around the borders of the growing region and the intersections between land development and forest area. Finally, environmental components have been mainly identified in existing zones of biological defense, which support the effectiveness of Machine Learning (ML) in green sources forecasting and offer novel insight into the development of urban BRCs. The proposed approach has proven to be effective for the planning of assessing environmental restoration in terrestrial ecosystems.