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 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.     

The significance of structural power in Strategic Environmental Assessment

This article presents a study of how power dynamics enables and constrains the influence of actors upon decision-making and Strategic Environmental Assessment (SEA). Based on structuration theory, a model for studying power dynamics in strategic decision-making processes is developed. The model is used to map and analyse key decision arenas in the decision process of aluminium production in Greenland. The analysis shows that communication lines are an important resource through which actors exercise power and influence decision-making on the location of the aluminium production. The SEA process involved not only reproduction of formal communication and decision competence but also production of alternative informal communication structures in which the SEA had capability to influence.It is concluded, that actors influence strategic decision making, and attention needs to be on not only the formal interactions between SEA process and strategic decision-making process but also on informal interaction and communication between actors as the informal structures, which can be crucial to the outcome of the decision-making process. This article is meant as a supplement to the understanding of power dynamics influence in IA processes and as a contribution to the IA research field with a method to analyse power dynamics in strategic decision-making processes. The article also brings reflections of strengths and weaknesses of using the structuration theory as an approach to power analysis.     

Transitions-based strategic environmental assessment

Strategic environmental assessment (SEA) is emerging as an important tool for sustainability transitions, yet there has been limited research conceptualizing transitions-based SEA. If SEA's primary goal is to facilitate strategic change and guide decision-processes toward sustainability, an assessment framework that accounts for the multi-dimensional factors and relationships influencing transition processes seems highly relevant. This paper advances the transitions-based SEA design – an approach to SEA that is focused on the institutional environment and policy context for the development of strategic initiatives including institutional commitments, supporting policies, and opportunities. We do so within the context of energy transitions, bridging strategic planning theories, decision making, and transition management. Building on existing SEA frameworks that advance strategic thinking, the paper presents the foundational principles and strategic questions to be asked in a transitions-based SEA design. The framework was developed based on a review of sustainability transitions and SEA literature supplemented by expert input. The SEA design focuses on the guiding vision for transitions, the institutional context and governance arrangements, opportunities and risks of proposed sustainability pathways, progress indicators for on-going transition management, and impacts of the exogenous landscape. The framework defines a new functionality for SEA, pushing the boundaries of what SEA can achieve, and should accomplish, as a strategic assessment tool while also challenging conventional thinking and practice beyond its application to policies, plans and programs.     

The emperor's new clothes — Reflections on strategic environmental assessment (SEA) practice in South Africa

This paper presents the results of research which evaluated the performance of strategic environmental assessment (SEA) practice in South Africa in order to develop understanding of how SEA functions within a developing country with a voluntary SEA system. The research applied a combination of methods in a mixed research strategy, including a macro level survey of the SEA system together with case study reviews exploring micro level application. Three main ‘system features’ emerged, namely expansion of voluntary practice, diversity in practice and general ineffectiveness. The results also highlight a number of ‘application features’ such as a lack of focus due to an inability to deal with the concepts of ‘sustainability’ and ‘significance’, as well as poor understanding and integration with decision-making processes. Moreover, it emerged that none of the case studies seem to have conducted an ‘assessment’ per se, but rather provided a framework for strategic decision-making. The paper puts forward a number of interrelated explanations for these system and application features. In a parallel to the fable of the ‘emperor's new clothes’, SEA in South Africa appears to be regarded as the answer to all environmental problems, whilst being ineffective in practice.     

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.     

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.     

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.     

A game theory perspective on environmental assessment: What games are played and what does this tell us about decision making rationality and legitimacy?

Game theory provides a useful theoretical framework to examine the decision process operating in the context of environmental assessment, and to examine the rationality and legitimacy of decision-making subject to Environmental Assessment (EA). The research uses a case study of the Environmental Impact Assessment and Sustainability Appraisal processes undertaken in England. To these are applied an analytical framework, based on the concept of decision windows to identify the decisions to be assessed. The conditions for legitimacy are defined, based on game theory, in relation to the timing of decision information, the behaviour type (competitive, reciprocal, equity) exhibited by the decision maker, and the level of public engagement; as, together, these control the type of rationality which can be brought to bear on the decision. Instrumental rationality is based on self-interest of individuals, whereas deliberative rationality seeks broader consensus and is more likely to underpin legitimate decisions. The results indicate that the Sustainability Appraisal process, conducted at plan level, is better than EIA, conducted at project level, but still fails to provide conditions that facilitate legitimacy. Game theory also suggests that Sustainability Appraisal is likely to deliver ‘least worst’ outcomes rather than best outcomes when the goals of the assessment process are considered; this may explain the propensity of such ‘least worst’ decisions in practise. On the basis of what can be learned from applying this game theory perspective, it is suggested that environmental assessment processes need to be redesigned and better integrated into decision making in order to guarantee the legitimacy of the decisions made.     

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.     

Ecosystem services inclusive strategic environmental assessment

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

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.     

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.     

CEA in policies and plans: UK case studies

This paper examines how cumulative effects assessment (CEA) has been considered in Strategic Environmental Assessments (SEA) of regional and local plans in a number of case studies in the UK. Initially, the paper presents the legislative and regulatory requirements for assessing cumulative effects in plans and programmes in the UK. The two approaches for assessing plans in the UK, Sustainability Appraisal (SA) and SEA are discussed and in most cases, a combined SA and SEA process is undertaken by Regional and Local Planning Authorities. The strengths and weaknesses of this approach are explored, as well as their usefulness in decision making. There are problems relating to baseline, establishing trends and predicting cumulative effects at the strategic level. The issues in assessing cumulative effects within this SA/SEA framework are discussed and recommendations for improvements are made.     

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

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

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

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

Strategic environmental assessment performance factors and their interaction: An empirical study in China

Strategic Environmental Assessment (SEA) has been seen as a preventive and participatory environmental management tool designed to integrate environmental protection into the decision-making process. However, the debate about SEA performance and effectiveness has increased in recent decades. Two main challenges exist in relation to this issue. The first is identifying the key influencing factors that affect SEA effectiveness, and the second is analyzing the relationship between SEA and these influencing factors. In this study, influencing factors were investigated through questionnaire surveys in the Chinese context, and then a Structural Equation Model (SEM) was developed and tested to identify potential links and causal relationships among factors. The associations between the independent factors were divided into direct and indirect causal associations. The results indicate that the decision-making process and policy context directly affect SEA implementation, while information and data sharing, public participation, expertise and SEA institutions are indirectly related with SEA. The results also suggest that a lack of cooperation between different sectors is an obstacle to the implementation of SEA. These findings could potentially contribute to the future management and implementation of SEA or enhance existing knowledge of SEA. The results show that the proposed model has a degree of feasibility and applicability.     

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

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

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.     

Water quality in the Elbe estuary: Significance of different processes for the oxygen deficit at Hamburg

A simple zero‐dimensional model was developed which describes the oxygen concentrations and major nutrient processes in the tidal influenced Elbe estuary. The model was calibrated by way of comparison with continuous measurements of the oxygen‐ and chlorophyll concentrations at the non‐tidal part of the estuary. A special calibration method was applied which utilised the fact that natural steady‐state conditions are often found during which the range and the average value of the day–night fluctuations remain constant over a period of several days. Subsequent model runs were carried out to simulate the oxygen concentrations downstream, i.e., after a few days of transport time of the water body. The varying depth of the Elbe downstream of Hamburg harbour was taken into account by altering the model parameters ‘light penetration’ and ‘aeration’. The oxygen concentrations resulting from the model showed a distinct minimum, which agreed well with the minimum measured in longitudinal profiles, thus indicating that the occurrence of the oxygen minimum in the Elbe estuary can mainly be explained by the processes included in our simple model. Sensitivity checks identified some relationships, e.g., light intensity ? growth rate, which are critical for the oxygen balance. With this work it could be demonstrated that even simple zero‐dimensional models can improve our understanding of the complex interrelationship of different physical, chemical and biological processes in rivers and that such models can be used for simple scenarios in water quality management.