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

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

Integrating climate change factor into strategic environmental assessment in China

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

Implementing strategic environmental assessment in countries of the global South – An analysis within the Peruvian context

Recently, the SEA research community has started to pay attention to countries of the Global South. Yet, the international literature has rarely explored Latin American Environmental Assessment (EA) systems in contrast to EA systems in countries of the Global North. This article aims at analysing the Peruvian Strategic Environmental Assessment (SEA) system. Research was conducted in 2015 as part of the project ‘ProAmbiente’ initiated by the German-Peruvian development co-operation (APCI and GIZ) with the objective to analyse and strengthen the SEA practice in Peru. A combination of methods was used for meta- and micro-level analyses, characterising both the intended SEA system and practical performance. Ultimately, the analysis of the SEA implementation was based on a review of state-of-the-art international literature and led to the formulation of a set of recommendations. Recommendations have been clustered in nine priority areas and were assigned an implementation horizon from mid- to long-term.     

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.     

The Strategic Environment Assessment bibliographic network: A quantitative literature review analysis

Academic literature has been continuously growing at such a pace that it can be difficult to follow the progression of scientific achievements; hence, the need to dispose of quantitative knowledge support systems to analyze the literature of a subject. In this article we utilize network analysis tools to build a literature review of scientific documents published in the multidisciplinary field of Strategic Environment Assessment (SEA). The proposed approach helps researchers to build unbiased and comprehensive literature reviews. We collect information on 7662 SEA publications and build the SEA Bibliographic Network (SEABN) employing the basic idea that two publications are interconnected if one cites the other. We apply network analysis at macroscopic (network architecture), mesoscopic (sub graph) and microscopic levels (node) in order to i) verify what network structure characterizes the SEA literature, ii) identify the authors, disciplines and journals that are contributing to the international discussion on SEA, and iii) scrutinize the most cited and important publications in the field. Results show that the SEA is a multidisciplinary subject; the SEABN belongs to the class of real small world networks with a dominance of publications in Environmental studies over a total of 12 scientific sectors. Christopher Wood, Olivia Bina, Matthew Cashmore, and Andrew Jordan are found to be the leading authors while Environmental Impact Assessment Review is by far the scientific journal with the highest number of publications in SEA studies.     

A viewpoint on the approval context of strategic environmental assessments

A reflection on the last report from the Commission to the Council, the European Parliament, the European Economic and Social Committee and the Committee of the Regions on the application and effectiveness of the Directive on Strategic Environmental Assessment (SEA) is provided. It covers the inadequacies of the approval/permitting context of SEA, which appears to be increasingly applied by a significant number of Member States in recent years. A viewpoint is provided on the main deficiencies of such praxis. As a practical defence of the planning context of SEA, the authors propose that the EC should consider a clear recommendation to Member States to cease performing SEA in the approval/permitting context until proper amendments to the SEA Directive are made and implemented.     

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.     

Elements of an SEA framework— improving the added-value of SEA

Debate across the impact assessment community has been significantly influenced by the emergence of Strategic Environmental Assessment (SEA) in the past few years. Although there are still difficulties regarding the understanding of its nature and technicalities, the need for it was acknowledged, and practice is taking place in diverse forms. Such diversity of approaches to SEA, while enriching debate, are critically confusing the relationship of SEA with other planning and impact assessment tools. In this paper it is argued that the value of SEA is a function of the extent it influences, and adds value, to decision making. Following that rationale, the paper suggests that SEA should be conceptualized as a framework, defined by core elements, that are incrementally integrated into policy and planning procedures and practices, whatever decision-making system in place. It is believed that in this way SEA may better satisfy one of its acknowledged aims and benefits, which is to help achieve sustainable development by changing the way decisions are made.     

Spheres of public conversation: Experiences in strategic environmental assessment

This paper draws on earlier research, a national review of Scottish SEA practice and a survey of practitioners and stakeholders engaged in SEA and spatial planning in one Scottish city-region, to explore claims being made in the academic literature for Strategic Environmental Assessment (SEA) as a tool for deliberative plan-making. We consider whether there is evidence that Scottish SEA practice is helping create more inclusive plan-making processes in light of recent legislative changes, thereby fulfilling one of the expectations of Scottish Government. The macro analysis found that although there are opportunities for stakeholders to engage in the Scottish SEA process the level in practice is extremely low, a finding which mirrors experience in England and elsewhere. The more detailed micro analysis reveals a more nuanced picture within the spatial planning system, however, suggesting the existence of two distinct spheres of public conversations, one characterised by active dialogue about the environmental effects of alternative strategies amongst public sector stakeholders and the other involving non-governmental stakeholders and community groups in a much more limited way. The paper concludes with a discussion of possible explanations for this outcome, concerning asymmetric incentive structures and the application of power, and a consideration of the implications in relation to the competing discourses of SEA.     

“Ripe for decision”: Tiering in environmental assessment

Tiering of information and decisions from more strategic plans to more specific projects (and sometimes the other way) can streamline plan-making and assessments, and improve decisions at each planning tier. In particular, it can lead to more consistent and comprehensive impact mitigation at the lower tiers. In practice, however, tiering of assessments is carried out only sporadically. This paper reviews the international literature and case studies on Strategic Environmental Assessment (SEA) and Environmental Impact Assessment (EIA) tiering, and presents the findings of interviews with 14 SEA/EIA experts. It concludes that a conscious and explicit transfer of information from the SEA level, and an explicit receipt of this information at the EIA level are necessary prerequisites for effective tiering. SEAs must be carried out with local actions in mind, in order for mitigation measures to support environmental protection on the ground. Lower-tier decision-makers must also be willing to be bound by decisions by the higher-tier SEA, focusing on implementation of these decisions.     

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.     

Implementing Strategic Environmental Assessment of spatial planning tools: A study on the Italian provinces

After more than a decade from the publication of the European Directive 2001/42/CE (Directive) on Strategic Environmental Assessment (SEA), the design and construction of the interested spatial planning instruments has gone through a variety of changes and integrations in European and in world states. This inhomogeneous panorama can be explained with a pattern of institutional structures that have so far affected the implementation of the Directive. The aim of this paper is to investigate the level of implementation of the Directive in Italy by developing a comparative analysis of the quality of integration of SEA within the design of the spatial coordination plan of a set of Italian provinces. Italian practice is analyzed in the framework of a comparative study of worldwide SEA implementation within spatial and land use planning. The results reveal strengths and weaknesses in SEA implementation at the provincial level and, in particular, the emergence of critical areas of research concerning institutional context, public participation, monitoring, and observatory of the spatial transformations.     

Do indicators influence communication in SEA? — Experience from the Chinese practice

Indicators have become one of the primary tools for Strategic Environmental Assessment (SEA) in the Chinese context, but what does this use of indicators mean for communication within the SEA processes? This article explores how the selection and use of indicators influence the communication between different stakeholders involved in SEA. The article provides a conceptual communication model covering directions and level of communication. Using this model on empirical findings from interviews with two specific SEA cases and from general experience collected through an online survey, the results suggest that indicators are used mainly in internal communication although a change of approach, with more external communication and stakeholder engagement, is taking place as a consequence of working with indicators in the SEA. However, the external communication mainly involves the experts and other relevant sectors (planning, energy, land use, forestry, etc.), the involvement of the public and NGOs is still not well implemented in Chinese SEA practice, and the direction of communication is mainly one-way channel of providing information rather than a two-way channel of dialogue and participation.     

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.     

Integrating adaptation to climate change in regional plans and programmes: The role of strategic environmental assessment

Climate changes exert negative impacts on the global environments and the human beings. They imply more frequent extreme weather events, which are responsible of sea level rise, coastal erosion, flooding, droughts, and desertification. Mitigation and adaptation represent intertwined strategies for counteracting climate changes. Mitigation is associated to the lessening of the causes of climate changes and includes actions reducing greenhouse gas emissions. Adaptation is a proactive concept addressing how humans can adapt and benefit from climate change. The mainstreaming and integration of adaptation to climate change into routine practice can be favored by Strategic Environmental Assessment (SEA) of regional policies, plans and programmes. In this study, we aim at scrutinizing a set of SEA reports of regional plans and programmes adopted in Sardinia (Italy), to investigate if -and to what extent- adaptation to climate change has characterized planning and programming tools. Evidence shows that the integration of adaptation-driven issues into regional planning is still in its infancy but presents the signs of promising expansion.     

Can health feasibly be considered as part of the planning process in Scotland?

The planning system is significant because of its capacity to determine the quality of the built environment as well as the health, well-being and quality of life of the individuals and communities therein. Development planning is especially important because of the long-term impact of the decisions. This paper was developed in response to increasing recognition amongst HIA practitioners in Scotland of the importance of planning for health. It focuses on the relationship between the planning system in Scotland, specifically the Development Planning element of it, and population health and considers how the health impact assessment (HIA) approach can facilitate and support joint working with planners. In particular, consideration is given to the potential impact of the introduction of Strategic Environmental Assessment (SEA) on the linkages between health, HIA and planning.     

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.     

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.     

Governance in Strategic Environmental Assessment: Lessons from the Portuguese practice

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