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.     

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

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

Modelling Equity: A Debate About Values

This paper discusses equity issues in relation to climate change. Models of long-term climate assessments study changes in relative prices. These changes lead to gains and losses for different economic actors and these consequences are held responsible for problems related to social acceptability. Policy recommendations issued by such models cannot be put into practice. Equity should be integrated into those models in order to make them more relevant for policy. This paper considers this problem in three parts.The first part shows that equity is only one aspect of the social dimension of sustainable development, which cannot be treated separately. It invites an understanding of complexity. Equity is also interrelated with the economic and ecological dimensions of sustainable development.The second part deals with the fact that different aspects of equity have to be taken into account and several concepts of equity co-exist. If only distribution of income is taken into account, equity can effectively be addressed through economic growth, but the specific characteristics of sustainable development are left out of the analysis.Therefore, the third part is a questioning of traditional modelling approaches and of the reasons why modelling should be carried out. The paper concludes with a short discussion about the normative content of any attempt to model climate change.     

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

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

Biodiversity offsets in EIA: Getting the timing right

Major developments can result in significant impacts on biodiversity, which the mandated process of environmental impact assessment (EIA) aims to mitigate. There has been a recent move towards the application of biodiversity offsets as a last-resort, compensatory measure when options at the earlier stages in the mitigation hierarchy of avoidance, minimisation and restoration have been exhausted. Guidance on biodiversity offset planning available in different jurisdictions, however, demonstrates a lack of consensus about when biodiversity offsets should be formally introduced into the EIA process, and previous research has highlighted the perceived risks associated with commencing detailed offset planning too early as well as too late. Here we explore the implications of how and when offset considerations are introduced within EIA. We do this by reviewing and synthesising best practice principles for biodiversity offsets from the international literature, and then exploring how and when offsets were considered in a number of case studies that draw on documentary analysis and interviews with key role players. Our case studies are based in South Africa where regional guidance on offsets exists, supporting a body of practice. The research finds that the timing of involvement of biodiversity specialists is critical in determining whether considering offsets early will reap the combined benefits of: transparency and stakeholder engagement; guaranteeing the offset before development commences; and offset enforceability without jeopardising adherence to the mitigation hierarchy. Bypassing the mitigation hierarchy was perceived as allowing proponents to ‘buy’ approvals for developments that might otherwise be found unacceptable, although there was no evidence for this in any of the case studies evaluated. Although some of our findings may be specific to the South African context, the approach taken using international best practice principles for biodiversity offsets as a benchmark can equally be applied to evaluate practice in other EIA systems. We confirm the utility of this approach by evaluating the recently released South African Draft National Biodiversity Offset Policy for its potential to support best practice biodiversity offsets in EIA.     

Climate Change Impacts and Human Settlements in Africa: Prospects for Adaptation

Climate change impacts on African human settlements arise from a number of climate change-related causes, notably sea level changes, impacts on water resources, extreme weather events, food security, increased health risks from vector home diseases, and temperature-related morbidity in urban environments.Some coastlines and river deltas of Africa have densely populated low-lying areas, which would be affected by a rise in sea level. Other coastal settlements will be subjected to increased coastal erosion. Recent flooding in East Africa highlighted the vulnerability of flood plain settlements and the need to develop adaptive strategies for extreme weather events management and mitigation. In the semi arid and arid zones many settlements are associated with inland drainage water sources. Increases in drought will enhance water supply related vulnerabilities. Inter-basin and international water transfers raise the need for adequate legal frameworks that ensure equity among participating nations.Similarly, water supply and irrigation reservoirs in seasonal river catchments might fail, leading to poor sanitation in urban areas as well as food shortage. Hydroelectric power generation could be restricted in drought periods, and where it is a major contributor to the energy budget, reduced power generation could lead to a multiplicity of other impacts. States are advised to develop other sources of renewable energy.Temperature changes will lead to altered distribution of disease vectors such as mosquitoes, making settlements currently free of vector borne diseases vulnerable. Rapid breeding of the housefly could create a menace associated with enteric disorders, especially in conditions of poor sanitation.The dry savannahs of Africa are projected as possible future food deficit areas. Recurrent crop failures would lead to transmigration into urban areas. Pastoralists are likely to undertake more trans-boundary migrations and probably come into conflict with settled communities.Adaptive measures will involve methods of coastal defences (where applicable), a critical review of the energy sector, both regionally and nationally, a rigorous adherence to city hygiene procedures, an informed agricultural industry that is capable of adapting to changing climate in terms of cropping strategies, and innovations in environment design to maximise human comfort at minimum energy expenditure. In the savannah and arid areas water resource management systems will be needed to optimise water resource use and interstate co-operation where such resources are shared.Climate change issues discussed here raise the need for state support for more research and education in impacts of climate change on human settlements in Africa.     

Scientist–stakeholder collaboration in integrated assessment of climate change: lessons from a case study of Northwest Canada

Research on the climate change issue has generally focused on uncertainties in climate projections and calculation of mitigation costs. Most integrated assessment (IA) efforts have been directed at the mitigation component. The problem of climate change, however, is really about the potential effects on ecosystems, resources, and societies that depend on them. As illustrated by experiences from the Mackenzie Basin Impact Study, a case study from Northwest Canada, these effects will be unique to each region and country. Many of these will be indirect, including region specific thresholds, vulnerabilities and adaptations which may not be included in sectoral analyses. Science can define some of the “What if” aspects of climate change, but the regional “So what” and “What should be done” questions are largely unanswered and subject to intense debate in various political fora. IA needs to recognize the multiobjective and multistakeholder aspects of vulnerabilities, risks, and potential responses to climate change. IA could provide a more holistic analysis of the regional impacts dimension of climate change by including both modeling and non‐modeling approaches, and incorporating institutional and stakeholder issues that do not readily lend themselves to economic analyses.     

Assessing corporate project impacts in changeable contexts: A human rights perspective

Project-level impact assessment was originally conceived as a snapshot taken in advance of project implementation, contrasting current conditions with a likely future scenario involving a variety of predicted impacts. Current best practice guidance has encouraged a shift towards longitudinal assessments from the pre-project stage through the implementation and operating phases. Experience and study show, however, that assessment of infrastructure-intensive projects rarely endures past the project's construction phase. Negative consequences for environmental, social and health outcomes have been documented. Such consequences clarify the pressing need for longitudinal assessment in each of these domains, with human rights impact assessment (HRIA) as an umbrella over, and critical augmentation of, environmental, social and health assessments. Project impacts on human rights are more closely linked to political, economic and other factors beyond immediate effects of a company's policy and action throughout the project lifecycle. Delineating these processes requires an adequate framework, with strategies for collecting longitudinal data, protocols that provide core information for impact assessment and guidance for adaptive mitigation strategies as project-related effects change over time. This article presents general principles for the design and implementation of sustained, longitudinal HRIA, based on experience assessing and responding to human rights impact in a uranium mining project in Malawi. The case study demonstrates the value of longitudinal assessment both for limiting corporate risk and improving human welfare.     

Mitigation Portfolio and Policy Instruments When Hedging Against Climate Policy and Technology Uncertainty

In this paper, we use a stochastic integrated assessment model to evaluate the effects of uncertainty about future carbon taxes and the costs of low-carbon power technologies. We assess the implications of such ambiguity on the mitigation portfolio under a variety of assumptions and evaluate the role of emission performance standards and renewable portfolios in accompanying a market-based climate policy. Results suggest that climate policy and technology uncertainties are important with varying effects on all abatement options. The effect varies with the technology, the type of uncertainty, and the level of risk. We show that carbon price uncertainty does not substantially change the level of abatement, but it does have an influence on the mitigation portfolio, reducing in particular energy R&D investments in advanced technologies. When investment costs are uncertain, investments are discouraged, especially during the early stages, but the effect is mitigated for the technologies with technological learning prospects. Overall, these insights support some level of regulation to encourage investments in coal equipped with carbon capture and storage and clean energy R&D.     

Determining the global significance of local and regional mitigation strategies: Setting the scene with global integrated assessment models

Because of the importance and complexity of the processes involved in the response of land cover and land use to changing environmental conditions, other approaches are required to evaluate the effectiveness of mitigation options. One such approach is provided by the global integrated assessment model, IMAGE 2. This article presents the structure and some of the underlying assumptions of IMAGE 2, which illustrates the importance of feedback processes in evaluating the effectiveness of mitigation options with respect to land use. Although models such as IMAGE 2 are unsuitable for local and national mitigation evaluations, they can be used to define the regional and global constraints of the smaller scale assessments.     

Risk of Hunger Under Climate Change, Social Disparity, and Agroproductivity Scenarios

Considering the projected population growth in the twenty-first century, some studies have indicated that global warming may have negative impacts on the risk of hunger. These conclusions were derived based on assumptions related to social and technological scenarios that involve substantial and influential uncertainties. In this paper, focusing on agrotechnology and food access disparity, we analyzed food availability and risk of hunger under the combined scenarios of food demands and agroproductivity with and without climate change by 2100 for the B2 scenario in the Special Report on Emissions Scenarios. The results of this study suggest that (1) future food demand can be satisfied globally under all assumed combined scenarios, and (2) a reduction of food access disparity and increased progress in productivity are just as important as climate change mitigation for reducing the risk of hunger.     

Reconciling National and Global Priorities in Adaptation to Climate Change: With an Illustration from Uganda

Many developing countries, especially in Africa, contribute only very small amounts to the world total of greenhouse gas emissions. For them, the reduction of such emissions is not a priority, and the more important issue is to find ways to reduce their vulnerability to the projected climate change which is being imposed upon them largely as a result of emissions from developed countries. This priority does not accord with the ultimate objective of the United Nations Framework Convention on Climate Change, which is to achieve stabilization of greenhouse gas emissions. This paper reports upon studies in Uganda designed to help in the development of a national adaptation strategy, and addresses the need to reconcile such a strategy with the global priority accorded to mitigation and with national economic development priorities. Some features of a national climate change adaptation strategy are identified and questions are raised about the need for an international regime to facilitate and support adaptation.     

Models at the interface between science and society: impacts and options

Within the CLEAR project a new approach to integrated assessment modelling has been developed for the participatory integrated assessment of regional climate change involving citizens' focus groups. The climate change decision problem was structured by focusing separately on climate impacts and mitigation options. The attempt was made to link the different scales of the problem from the individual to the global level. The abstract topic of climate change was related to options on the level of a citizen's individual lifestyle. The option of a low energy society was emphasised in order to embed the climate change decision problem in a wider range of societal concerns. Special emphasis was given to the characterisation and communication of uncertainties. The chosen approach allows different kinds of uncertainties in one framework to be addressed. The paper concludes with a summary of the experience made, and recommendations for the use of models in participatory integrated assessments. This revised version was published online in July 2006 with corrections to the Cover Date.     

Experiences of voluntary early participation in Environmental Impact Assessments in Chilean mining

Citizen participation should ideally occur as early as possible in a project, especially throughout the course of the Environmental Impact Assessment (EIA) study. In Chile, participation occurs after the EIA study has been completed and presented to authorities for evaluation. However, voluntary early participation has become an extended practice in large mining projects for financial and conflict-reduction reasons. The purpose of this study was to explore a variety of these early participation processes happening in large mining projects from 2001 to 2010 and analyze how well these practices measured up to standards and objectives defined in the EIA and participation literature. Beyond the legal implications of such practice, we sought to understand the role of this voluntary procedure within the EIA process and citizen engagement in projects. We found a wide range of objectives, approaches and results, primarily driven to facilitate approval and implementation of the ten projects analyzed. The underlying objective of voluntary participation processes analyzed (whether it seeks to inform, to note or to engage), determined the information presented, participants included, area of influence considered, time devoted to the process and influence of the information collected on EIA and project mitigation measures. Few of the principles for best practice in the literature were present in the ten projects examined. Moreover, given the voluntary and unregulated nature of these processes, purposes and outcomes were often mixed-up with the Indigenous Consultation required under ILO provision 169, or Corporate Social Responsibility programs. This finally revealed that contrary to expectations, an unregulated and early voluntary participation is not having a clear impact in the definition of projects mitigation measures, participants are at risk of being unsatisfied with the resulting agreements and moreover, it does not assure projects implementation or the avoidance of socio-environmental conflict.     

Earth system analysis and management

A research strategy based upon models of intermediate complexity addressing crucial aspects of global environmental change is presented. The key idea behind that strategy is to compress system complexity either by formal techniques such that first-order aspects are preserved, or to employ semi-qualitative schemes to describe and simulate the dominant dynamical patterns identified by panoramic inspection.Specific realizations of the overall heuristic philosophy are introduced as elements of a comprehensive research program on global change. Topics encompass global climate modeling, a decision analysis framework for managing the global warming problem by balancing adaptation and mitigation efforts, a generic approach to integrated regional climate impact assessment and its implementation in specific regions, as well as a new technique to link regional and global patterns of environmental change by using advanced modeling tools.     

Intergenerational equity and discounting

A standard framework is presented as an underlying model for the discounting debate. Views and proposals for the techniques and rates of discounting are assessed. Alternative modeling frameworks for studying intergenerational equity issues are evaluated with the result that the basic insights they provide do not differ very much. Results from model experiments involving different discount rate proposals show that fudging the discount rate does not lead to efficient climate policy. Three major clusters of opinions are identified regarding the applicability of cost-benefit analysis to the climate change problem and the appropriate discount rate to use. It is concluded that under some very special circumstances the cost-benefit rule should be abandoned and cost-effective strategies implying standard discount rates should be sought to reach clearly defined and justified environmental targets. This revised version was published online in July 2006 with corrections to the Cover Date.     

An integrated assessment modeling framework for assessing primary and secondary impacts from carbon dioxide stabilization scenarios

As the nations of the world negotiate future controls on greenhouse gas emissions, a critical environmental policy issue becomes understanding the multiple environmental consequences of these controls. Here we describe an integrated assessment model for quantifying multiple environmental impacts of large-scale environmental initiatives and apply this model to climate change mitigation. Our analysis shows that reductions in global warming will be accompanied by reductions in ozone depletion, acid rain and mercury emissions, and desulfurization waste generation. We also conclude that the largest collateral benefits from reducing global climate change may be in the developing world. This result is critical since it is the developing nations who ultimately control the long-term success of any climate stabilization strategy. This revised version was published online in July 2006 with corrections to the Cover Date.     

Environmental impacts of climate change adaptation

Climate change adaptation reduces adverse effects of climate change but may also have undesirable environmental impacts. However, these impacts are yet poorly defined and analysed in the existing literature. To complement this knowledge-gap, we reviewed the literature to unveil the relationship between climate change adaptation and environmental impact assessment, and the degree to which environmental impacts are included in climate change adaptation theory and practice. Our literature review showed that technical, social and economic perspectives on climate change adaptation receive much more attention than the environmental perspective. The scarce interest on the environmental impacts of adaptation may be attributed to (1) an excessive sectoral approach, with dominance of non-environmental perspectives, (2) greater interest in mitigation and direct climate change impacts rather than in adaptation impacts, (3) a tendency to consider adaptation as inherently good, and (4) subjective/preconceived notions on which measures are good or bad, without a comprehensive assessment. Environmental Assessment (EA) has a long established history as an effective tool to include environment into decision-making, although it does not yet guarantee a proper assessment of adaptation, because it is still possible to postpone or even circumvent the processes of assessing the impacts of climate adaptation. Our results suggest that there is a need to address adaptation proactively by including it in EA, to update current policy frameworks, and to demand robust and reliable evaluation of alternatives. Only through the full EA of adaptation measures can we improve our understanding of the primary and secondary impacts of adaptation to global environmental change.     

UK and Italian EIA systems: A comparative study on management practice and performance in the construction industry

This study evaluates and contrasts the management practice and the performance that characterise Environmental Impact Assessments (EIA) in Italy and in the UK. The methodology relies on the investigation of six carefully selected case studies, critically reviewed by referring to EIA and project design information, as well as collecting the opinion of key project participants. The study focuses on the construction industry and on specific key sectors like infrastructure for transport and renewable energy and commercial and tourism development. A main term of reference for the analyses has been established by critically reviewing international literature so as to outline common good practice, requirements for the enhancement of sustainability principles and typically incurred drawbacks. The proposed approach enhances transfer of knowledge and of experiences between the analyzed contexts and allows the provision of guidelines for practitioners. Distinctive differences between the UK and the Italian EIA systems have been detected for pivotal phases and elements of EIA, like screening, scoping, analysis of alternatives and of potential impacts, definition of mitigation strategies, review, decision making, public participation and follow up.     

Enteric methane mitigation technologies for ruminant livestock: a synthesis of current research and future directions

Enteric methane (CH₄) emission in ruminants, which is produced via fermentation of feeds in the rumen and lower digestive tract by methanogenic archaea, represents a loss of 2% to 12% of gross energy of feeds and contributes to global greenhouse effects. Globally, about 80 million tonnes of CH₄ is produced annually from enteric fermentation mainly from ruminants. Therefore, CH₄ mitigation strategies in ruminants have focused to obtain economic as well as environmental benefits. Some mitigation options such as chemical inhibitors, defaunation, and ionophores inhibit methanogenesis directly or indirectly in the rumen, but they have not confirmed consistent effects for practical use. A variety of nutritional amendments such as increasing the amount of grains, inclusion of some leguminous forages containing condensed tannins and ionophore compounds in diets, supplementation of low-quality roughages with protein and readily fermentable carbohydrates, and addition of fats show promise for CH₄ mitigation. These nutritional amendments also increase the efficiency of feed utilization and, therefore, are most likely to be adopted by farmers. Several new potential technologies such as use of plant secondary metabolites, probiotics and propionate enhancers, stimulation of acetogens, immunization, CH₄ oxidation by methylotrophs, and genetic selection of low CH₄-producing animals have emerged to decrease CH₄ production, but these require extensive research before they can be recommended to livestock producers. The use of bacteriocins, bacteriophages, and development of recombinant vaccines targeting archaeal-specific genes and cell surface proteins may be areas worthy of investigation for CH₄ mitigation as well. A combination of different CH₄ mitigation strategies should be adopted in farm levels to substantially decrease methane emission from ruminants. Evidently, comprehensive research is needed to explore proven and reliable CH₄ mitigation technologies that would be practically feasible and economically viable while improving ruminant production.