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.     

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.     

The combination of an Environmental Management System and Life Cycle Assessment at the territorial level

A framework to include a Life Cycle Assessment in the significance evaluation of the environmental aspects of an Environmental Management System has been studied for some industrial sectors, but there is a literature gap at the territorial level, where the indirect impact assessment is crucial. To overcome this criticality, our research proposes the Life Cycle Assessment as a framework to assess environmental aspects of public administration within an Environmental Management System applied at the territorial level. This research is structured in two parts: the design of a new methodological framework and the pilot application for an Italian municipality. The methodological framework designed supports Initial Environmental Analysis at the territorial level thanks to the results derived from the impact assessment phase. The pilot application in an Italian municipality EMAS registered demonstrates the applicability of the framework and its effectiveness in evaluating the environmental impact assessment for direct and indirect aspects. Through the discussion of the results, we underline the growing knowledge derived by this research in terms of the reproducibility and consistency of the criteria to define the significance of the direct and indirect environmental aspects for a local public administration.     

Integrated environmental assessment methods: Evolution and applications

The central objectives of the European Forum on Integrated Environmental Assessment (EFIEA) include improving the scientific quality of Integrated Environmental Assessments (IEA) as well as strengthening the interactions between science and policy making in environmental matters. This paper is intended to provide a concise assessment of the evolution of IEA methods and present it as a background to current thinking on and practice in IEA. Historical roots of IEA concepts and applications are explored. Common elements and distinctive features in recent proposals to define IEA are sorted and a liberal definition is proposed for the purposes of the present methodological study. This definition emphasizes the interdisciplinary character and environmental policy orientation of IEAs. Changes in the nature, social perception, and management of environmental problems are identified as the major factors driving methodological development in IEAs. A simple scheme is proposed to arrange the main elements of IEA: disciplinary tools, integration tools, and assessment frameworks. The role of IEAs in environmental management is examined by adopting the concept of risk management functions. Due to the varying needs for interdisciplinary research and diverging degrees of policy involvement across those functions, the potential contribution of IEAs to activities belonging to different functions also varies. The flexibility and diversity of IEAs are demonstrated by a sampler of frameworks that have been developed to address profoundly different problems and audiences. This revised version was published online in July 2006 with corrections to the Cover Date. This revised version was published online in July 2006 with corrections to the Cover Date.     

From consultation to deliberation? Tracing deliberative norms in EIA frameworks in Swedish roads planning

This paper presents the results of an analysis of deliberative norms in the framework for Environmental Impact Assessment (EIA) in roads planning in Sweden. The more specific question is how this framework has responded to the shift towards more deliberative approaches to planning and decision making, advocated in planning theory and policy literature over the last decade. The analysis, which compares the current framework and guidance with an earlier iteration, identifies a shift towards deliberation; deliberative norms are present, and even dominate recent guidance. However, an instrumental norm permeates both the former and the current guidance, suggesting that even as a language of consultation is replaced by one of deliberation, the intention remains to secure and legitimise a smooth development pathway. Evidence from interviews with professionals working in the Swedish EIA system highlights the difficulties of navigating these uncertainties in practice. By opening up critical analysis of deliberative norms as they shape the conditions for practice, this study contributes to the continuous development of planning practice, by supporting a more normatively reflexive approach to framework-design.     

Assessing disproportionate costs to achieve good ecological status of water bodies in a Mediterranean river basin

Water management is becoming increasingly important as the demand for water grows, diversifies, and includes more complex environmental concerns. The Water Framework Directive (WFD) seeks to achieve a good ecological status for all European Community water bodies by 2015. To achieve this objective, economic consideration of water management must be given to all decision-making processes. Exemption (time or level of stringency) from the objectives of the EU Directive can be justified by proving that the cost of implementing measures is disproportionate to the benefits. This paper addresses the issue of disproportionate costs through a cost-benefit analysis (CBA). To predict the costs, the function costs method is used. The quantification of environmental benefits is more complex, because they are not determined by the market. As an alternative to stated preference methods, we use the distance function approach to estimate the environmental benefits of improving water quality. We then apply this methodological approach to a Mediterranean River Basin in Spain. The results show that the achievement of good status could not be rejected based on the criterion of disproportionate costs in this river basin. This paper illustrates that CBA is a useful tool to inform policy and decision making. Furthermore, it is shown that economics, particularly the valuation of environmental benefits, plays a crucial role in fulfilling the environmental objectives of the WFD.     

Multi-criteria decision analysis with probabilistic risk assessment for the management of contaminated ground water

Traditionally, environmental decision analysis in subsurface contamination scenarios is performed using cost–benefit analysis. In this paper, we discuss some of the limitations associated with cost–benefit analysis, especially its definition of risk, its definition of cost of risk, and its poor ability to communicate risk-related information. This paper presents an integrated approach for management of contaminated ground water resources using health risk assessment and economic analysis through a multi-criteria decision analysis framework. The methodology introduces several important concepts and definitions in decision analysis related to subsurface contamination. These are the trade-off between population risk and individual risk, the trade-off between the residual risk and the cost of risk reduction, and cost-effectiveness as a justification for remediation. The proposed decision analysis framework integrates probabilistic health risk assessment into a comprehensive, yet simple, cost-based multi-criteria decision analysis framework. The methodology focuses on developing decision criteria that provide insight into the common questions of the decision-maker that involve a number of remedial alternatives. The paper then explores three potential approaches for alternative ranking, a structured explicit decision analysis, a heuristic approach of importance of the order of criteria, and a fuzzy logic approach based on fuzzy dominance and similarity analysis. Using formal alternative ranking procedures, the methodology seeks to present a structured decision analysis framework that can be applied consistently across many different and complex remediation settings. A simple numerical example is presented to demonstrate the proposed methodology. The results showed the importance of using an integrated approach for decision-making considering both costs and risks. Future work should focus on the application of the methodology to a variety of complex field conditions to better evaluate the proposed methodology.     

An Overview of EPA's Regional Vulnerability Assessment (ReVA) Program

Regional Vulnerability Assessment (ReVA) is an approach to place-based ecological risk assessment that is currently under development by EPA's Office of Research and Development. The pilot assessment will be done for the mid-Atlantic region and builds on data collected for the Environmental Monitoring and Assessment Program. ReVA is being developed to identify those ecosystems most vulnerable to being lost or degraded in the next 5 to 50 years and to elucidate which stressors cause the greatest risk to ecosystem goods and services. The goal here is not exact predictions, but an early warning system to identify and prioritize the undesirable environmental changes we should expect over the next few decades. As such, ReVA represents a new risk paradigm for EPA that will require innovative approaches to combine existing knowledge, focus new research, and synthesize many types of information into a meaningful assessment designed to inform environmental decision-makers about future environmental risk.     

Guidelines for the analysis of the inclusion of biodiversity in Environmental Impact Statements

Article 14 of the Convention on Biological Diversity (CBD) calls for the inclusion of impacts on biodiversity in Environmental Impact Assessment (EIA), which is a significant instrument for site-specific impact prediction. In view of the shortcomings reported for Environmental Impact Statements (EISs), guidelines with indicators could improve the consideration of biological diversity in EISs. This study aims to establish guidelines for the analysis of the inclusion of biodiversity in EISs using a systematic approach based on scientific papers, CBD, and a survey with 43 EIA practitioners from universities, government agencies, environmental consulting companies, business segment, and the third sector. The guidelines comprise 60 indicators arranged into eight categories about the project's characteristics, methods, baseline, impact assessment, alternatives, as well as mitigation, compensation, and monitoring measures. The guidelines also include the levels of biological diversity (ecosystem, species, and genetic diversity), the three elements of biodiversity (composition, structure, and key processes), and the main anthropogenic threats. Thus, the guidelines represent a methodological contribution to EIA that could support decision making and future systematic reviews of EISs.     

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.     

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.     

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.     

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.     

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.     

Air Quality Monitoring and Management in Lisbon

The environmental decision-making process is related with the interpretation of data both in spatial and temporal dimensions. This paper presents a methodology that integrates the time-space framework of air quality data to infer the temporal pattern and spatial variability that could be interpreted for environmental decision purposes. Variograms that accommodate time and space lags were used for the analysis and proved to be effective. Its environmental meaning, in particular its relationship with traffic patterns is discussed. Data from air quality monitoring stations located in the central part of Lisbon were used in this study. It describes a strategy to identify the type of vehicles responsible for certain pollutant levels, particularly for nitrogen oxides, and discusses the application of new air quality European legislation to the city of Lisbon, Portugal.     

Sustainability principles in strategic environmental assessment: A framework for analysis and examples from Italian urban planning

This paper presents a framework for analysing the degree of consideration of sustainability principles in Strategic environmental assessment (SEA), and demonstrates its application to a sample of SEA of Italian urban plans. The framework is based on Gibson's (2006) sustainability principles, which are linked to a number of guidance criteria and eventually to review questions, resulting from an extensive literature review. A total of 71 questions are included in the framework, which gives particular emphasis to key concepts, such as intragenerational and intergenerational equity. The framework was applied to review the Environmental Report of the urban plans of 15 major Italian cities. The results of this review show that, even if sustainability is commonly considered as a pivotal concept, there is still work to be done in order to effectively integrate sustainability principles into SEA. In particular, most of the attention is given to mitigation and compensation measures, rather than to actual attempts to propose more sustainable planning decisions in the first place. Concerning the proposed framework of analysis, further research is required to clarify equity concerns and particularly to identify suitable indicators for operationalizing the concepts of intra/inter-generational equity in decision-making.     

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

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

Just so that we don't miss it: A critical view on the meaning of decision in IA

Impact assessment (IA) tools are targeted at decisions and decision-making in theory and in practice. Often described as decision support instruments, most IA are driven by the grand purpose of providing for informed decision-making. In practice this often means IA tends to be more concerned with the information to be provided than with the outcomes of IA and its relevance to the decision(s), and decision-makers(s) to which it should be targeted. Decisions and decision-making are, however, understood in many different ways, and actors involved in decision-making may therefore act widely different with diverse results. Therefore, distinguishing which decisions, and to which decision-makers IA are targeted at, is arguably indispensable to enhance IA effectiveness. Based on an overview of decision-making theory, this paper searches for the understanding of decision and decision-making in IA by exploring how it is conceived in guidance documents. Guidance documents have a prominent role in defining IA practice, and the explicit and implicit recognition of decision-making in guidance is therefore relevant to investigate in order to understand how IA relates to decision-making. With a focus on guidance documents related to the European Union Directive on environmental assessment of plans and programmes, this paper scrutinises four guidance documents and discusses the implications of the identified understandings of decision-making to the practice of IA. The key finding of this paper is that legislation-oriented guidance documents appear to miss to reflect the different forms of decision-making, and primarily depicts decision-making as a single, often timeless and faceless moment. The implications for practice are discussed including reflection on how to describe the nature of decision-making in guidance documents.     

Application of network method as a tool for integrating biodiversity values in Environmental Impact Assessment

Highway construction or expansion projects are among major activities of economic development especially in developing countries. However, road development consistently can lead to major damages to the environment, including habitat fragmentation and ecological instabilities and a considerable threat to fauna and flora. At this point, Environmental Impact Assessment (EIA) in road developments is needed to address and evaluate the ecological issues in decision-making. The object of this study is to strengthen the consideration of ecological issues, i.e., biodiversity in the existing EIA tools. This paper regards a network method as a means to make informed planning decisions by the lessons from a case study. The results indicate that network method is well suited to be applied in ecological impacts assessment. However, some limitations such as complexity and time consumed make casual networks unpopular. Also, impact of traffic noise on acoustic communication (wildlife and human) was performed. It has been shown that sound level for human is much higher than admissible standards. Finally, the study expresses some mitigation measures to improve the acquisition for environmental impact assessment process.     

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.