Framework for integration of urban planning, strategic environmental assessment and ecological planning for urban sustainability within the context of China

Sustainable development or sustainability has been highlighted as an essential principle in urban master planning, with increasing recognition that uncontrollable urbanization may well give rise to various issues such as overexploitation of natural resources, ecosystem destruction, environmental pollution and large-scale climate change. Thus, it is deemed necessary to modify the existing urban and regional administrative system so as to cope with the challenges urban planning is being confronted with and realize the purpose of urban sustainability. This paper contributed to proposing a mechanism which helps to make urban planning with full consideration of issues with respect to sustainable development. We suggested that the integration of urban planning, SEA and ecological planning be a multi-win strategy to offset deficiency of each mentioned political tool being individually applied. We also proposed a framework where SEA and ecological planning are fully incorporated into urban planning, which forms a two-way constraint mechanism to ascertain environmental quality of urban planning, although in practice, planning and SEA processes may conditionally be unified. Moreover, as shown in the case study, the integration of the three political tools may be constrained due to slow changes in the contextual factors, in particular the political and cultural dimensions. Currently within the context of China, there may be three major elements which facilitate integration of the three political tools, which are (1) regulatory requirement of PEIA on urban planning, (2) the promotion or strong administrative support from government on eco-district building, and (3) the willingness of urban planners to collaborate with SEA experts or ecologists.     

A performance evaluation of strategic environmental assessment (SEA) processes within the South African context

SEA has been described as being more about process than about product. Yet very little research has been conducted to gain a better understanding of how SEA processes perform within developing country contexts. To address this gap in knowledge the research underlying this paper aimed to evaluate the quality of SEA processes within the South African context against specifically designed key performance indicators. Comparison of the different data patterns revealed general SEA process features as well as three broad models, namely the ‘stand alone’, ‘central to decision making’ and ‘integrated’ models. The research results suggest a particularly poor performance in terms of process quality for the SEA case studies investigated. Moreover, it shows that there is no one understanding of SEA process within the South African context. The main limitations related to a weak understanding of the decision making processes SEA aimed to inform, as well as an inability to incorporate flexibility into process design. To take the debate forward it is proposed that SEA follow-up and effectiveness research be explored to determine which of these models (if any) ultimately contributed to influencing decision making and promote sustainability.     

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.     

Towards sustainable settlement growth: A new multi-criteria assessment for implementing environmental targets into strategic urban planning

For nearly one decade, the German political and research-agenda has been to a large extent determined by the ongoing question of how to limit the expansion of settlement areas around cities in order to preserve natural resources, make settlement growth more sustainable and to strengthen the re-use of existing inner-urban areas (see a.o. Kötter et al. 2009a, 2010; Schetke et al. 2009, 2010b). What is already under discussion within the international literature are the recommendations of the German Council for Sustainability to quantitatively reduce the daily greenfield consumption from the current rate of over 100 ha per day to a rate of 30 ha per day in 2020 and to bring urban infill development up to a ratio of 3:1 with greenfield development (German Council for Sustainability, 2004).). This paper addresses the added value beyond those abstract political targets and presents an innovative, multi-criteria assessment (MCA) of greenfield and infill sites to evaluate their sustainability and resource efficiency. MCA development and its incorporation into a Decision Support System (DSS) were accomplished by utilising a stakeholder-driven approach. The resulting tool can be applied in preparing and revising land-use plans. The paper presents the concept and the development process of the MCA-DSS. Test runs with planners prove that the evaluation of potential housing sites using individually weighted environmental indicators helps to identify those strategies of housing development that accord most closely with sustainability goals. The tests further show that the development of greenfield sites generally exhibits less sustainability than that of infill sites.     

The application of strategic environmental assessment in a non-mandatory context: Regional transport planning in New Zealand

There is no legal mandate for strategic environmental assessment (SEA) in New Zealand. However, a requirement to consider environmental and sustainability issues is a key feature of many statutes, including that relating to regional transport planning. Given this, the research sought to determine whether SEA could be used to improve the incorporation of environmental and sustainability aspects into the regional transport planning process in New Zealand. Existing practice was evaluated, examining what factors currently limiting the consideration of environmental and sustainability issues and to what extent elements of SEA are currently being used. The research culminated in the development of a conceptual model where SEA elements could be incorporated into the existing framework to promote improved consideration of environmental and sustainability issues. The results provide some reassurance about the value of SEA even where its application is not legally mandated. However, it also highlighted some ongoing issues around the integration of SEA in existing frameworks and around the scope of SEA as a decision-aiding tool.     

Tiering strategic environmental assessment and project environmental impact assessment in highway planning in São Paulo, Brazil

Constructing highways in dense urban areas is always a challenge. In São Paulo Metropolitan Region, heavy truck traffic contributes to clog streets and expressways alike. As part of the traffic neither originates nor head to the region, a peripheral highway has been proposed to reduce traffic problems. This project, called Rodoanel, is an expressway approximately 175 km long. The fact that the projected south and north sections would cross catchments that supply most of the metropolis water demand was strongly disputed and made the environmental permitting process particularly difficult.The agency in charge commissioned a strategic environmental assessment (SEA) of a revamped project, and called it the Rodoanel Programme. However, the SEA report failed to satisfactorily take account of significant strategic issues. Among these, the highway potential effect of inducing urban sprawl over water protection zones is the most critical issue, as it emerged later as a hurdle to project licensing.Conclusion is that, particularly where no agreed-upon framework for SEA exists, when vertical tiering with downstream project EIA is sought, then a careful scoping of strategic issues is more than necessary. If an agreement on ‘what is strategic’ is not reached and not recognized by influential stakeholders, then the unsettled conflicts will be transferred to project EIA. In such a context, SEA will have added another loop to the usually long road to project approval.     

A framework for guiding sustainability assessment and on-farm strategic decision making

Responding to future challenges and societal needs, various actions are taken in agriculture to evolve towards more sustainable farming practices. These actions imply strategic choices and suppose adequate sustainability assessments to identify, measure, evaluate and communicate sustainable development. However, literature is scarce on the link between strategic decision making and sustainability assessment. As questions emerge on how, what and when to measure, the objective of this paper is to construct a framework for guiding sustainability assessment and on-farm strategic decision making. Qualitative research on own experiences from the past and a recent project revealed four categories of actual needs farmers, advisors and experts have regarding sustainability assessment: context, flexibility, focus on farm and farmer and communication. These stakeholders' needs are then incorporated into a two-dimensional framework that marries the intrinsic complexity of sustainability assessment tools and the time frame of strategic decision making. The framework allows a farm-specific and flexible approach leading to harmonized actions towards sustainable farming. As this framework is mainly a procedural instrument to guide the use of sustainability assessment tools within strategic decision making, it fits to incorporate, even guide, future research on sustainability assessment tools themselves and on their adoption on farms.     

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.     

Integrating ecosystem services in spatial planning and strategic environmental assessment: The role of the cascade model

Over the last decade, the ecosystem service (ES) approach has gained increasing attention because it offers important advantages for enhancing decision-making. However, a key and remaining challenge is how to implement this approach in real-world decision problems. This challenge is particularly relevant for governance and policy instruments, such as spatial planning and strategic environmental assessment (SEA), where including the ES approach is recognized as a great opportunity for achieving sustainable development goals. Consequently, this opinion paper proposes the use of the ES cascade model, as the basis to develop a framework that makes explicit the links among development objectives, sustainability goals, and the overall dependency on the ES supply. The main reflections address the need for a collaborative work between policy and science as a cross-cutting aspect for an interactive, participative and transparent research process that allows 1) the development of spatial indicators of ecosystem structures, 2) valuation and spatial modeling of ES, 3) identification of benefits and networks of actors, 4) the definition of values and, 5) generation of scenarios for a trade-off assessment of development alternatives. Finally, in addition to the information and knowledge generation regarding multi-scale relationships of the different components of the ES cascade, real-world evidence is urgently needed.     

Conceptualizing strategic environmental assessment: Principles,approaches and research directions

Increasing emphasis has been placed in recent years on transitioning strategic environmental assessment (SEA) away from its environmental impact assessment (EIA) roots. Scholars have argued the need to conceptualize SEA as a process designed to facilitate strategic thinking, thus enabling transitions toward sustainability. The practice of SEA, however, remains deeply rooted in the EIA tradition and scholars and practitioners often appear divided on the nature and purpose of SEA. This paper revisits the strategic principles of SEA and conceptualizes SEA as a multi-faceted and multi-dimensional assessment process. It is suggested that SEA can be conceptualized as series of approaches operating along a spectrum from less to more strategic – from impact assessment-based to strategy-based – with each approach to SEA differentiated by the specific objectives of SEA application and the extent to which strategic principles are reflected in its design and implementation. Advancing the effectiveness of SEA requires a continued research agenda focused on improving the traditional SEA approach, as a tool to assess the impacts of policies, plans and programs (PPPs). Realizing the full potential of SEA, however, requires a new research agenda — one focused on the development and testing of a deliberative governance approach to SEA that can facilitate strategic innovations in PPP formulation and drive transitions in short-term policy and initiatives based on longer-term thinking.     

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.     

Land mismatches,urban growth and spatial planning: A contribution to metropolitan sustainability

The unequal growth of population and buildings in metropolitan regions reflects dispersed urban expansion. This study illustrates an operational framework grounded on a diachronic analysis of urbanization processes in advanced economies that provides a comprehensive evaluation of the mismatch between resident population and building stock. Studying the urban cycle of a European city (Athens, Greece), a mismatch indicator was derived at the municipal level as the elasticity rate of resident population and total building stock changes over 7 time intervals between 1920 and 2010. Results indicate that divergences in population and building stock growth rates increased since the early 1980s. The population-buildings mismatch displays an increasingly asymmetric spatial distribution, evidencing more or less accelerated paths toward dispersed settlements that may outline unsustainable forms of land management. Municipalities with a compact morphology at the beginning of the study period showed a higher rate of self-contained urban expansion than municipalities with more dispersed settlements. A comparative analysis of the impact of town planning on enlarging population-settlement mismatches was finally proposed as a basic knowledge to sustainable land management in (rapidly expanding) metropolitan regions.     

An investigation of environmental and sustainability discourses associated with the substantive purposes of environmental assessment

This paper investigates the discursive construction of the substantive purposes of environmental assessment (EA). It addresses these purposes by exploring the complex and often multifaceted linkages between political factors and plural views of democracy, public participation, and the role of science that are embedded in environmental and sustainability discourses. The interaction between policy-making and public actors leads to the formulation of divergent and potentially competing rationales for public participation, and for social appraisal more generally. Participatory approaches have also given impetus to the development of several interpretations on the role of science in assessment procedures. Science is important in mediating public participation and the two are therefore reciprocally linked. This leads to discourses that become manifest in the construction of substantive purposes. Discourse analysis in EA is a relevant method for examining trends and patterns in sustainable development. It is argued that public participation is an important, if not decisive, variable in the articulation and civil legitimacy of certain purposes. A general proposition that results from this paper is that EA, although typically presented as an objective scientific tool, is an intrinsically normative process. Enhanced knowledge on the construction, and reconstruction over time, of substantive purposes is required if environmental and sustainability discourses are to be used and understood as meaningful analytical instruments to assess the socio-political implications of EA.     

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.     

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.     

The mutualism of strategic environmental assessment and sustainable development goals

The Sustainable Development Goals (SDGs) set a universal agenda intended to stimulate social, economic and environmental action. Strategic Environmental Assessment (SEA) has the potential to assist in the implementation of actions supporting the SDGs by providing a systematic framework to incorporate them into policies, plans and programmes; and the SDGs in turn, could substantiate SEA's contribution to sustainable development. Therefore, the partnering of both policy instruments fosters a mutualistic relationship, benefiting both. In this paper, we review current engagement of SEA with the SDGs both in the academic literature and in practice. The findings reveal a recognisable subtle shift towards the adoption of a new paradigm in plan-making, particularly supported by governments' growingly proactive embracement of SDGs, albeit through different approaches, initiatives and commitments. This sets a robust foundation for spatial planning and, by extension, a reference framework for SEA. Nevertheless, operationalising the SDGs is difficult. The extent to which SDG objectives and targets are embedded in SEA and, indeed, integrated into plans/programmes seems to be hampered by the broad scope of both sustainability and SEA, and a general lack of awareness and know-how. This suggest a need to clarify SEA's mandate for engaging with the SDGs, as well as to provide training for a more proactive integration of the objectives and targets. Through initiatives such as these, there are opportunities to optimise mutual gains for both policy instruments.     

Contamination and ecological risk assessment of toxic trace elements in the Xi River, an urban river of Shenyang city, China

The objectives of this study were to assess the enrichment, contamination, and ecological risk posed by toxic trace elements in the sediments of the Xi River in the industrialized city of Shenyang, China. Surface sediment and sediment core were collected; analyzed for toxic trace elements; and assessed with an index of geoaccumulation (Igeo), enrichment factor (EF) value, potential ecological risk factor (Er), ecological risk index (RI), and probable effect concentration quotient (PECQ). Elemental concentrations (milligram per kilogram) were 8.5–637.9 for As, 6.5–103.9 for Cd, 12.2–21.9 for Co, 90.6–516.0 for Cr, 258.1–1,791.5 for Cu, 2.6–19.0 for Hg, 70.5–174.5 for Ni, 126.9–1,405.8 for Pb, 3.7–260.0 for Sb, 38.4–100.4 for V, and 503–4,929 for Zn. The Igeo, EF, Er, and PECQ indices showed that the contamination of Cd and Hg was more serious than that of As, Cr, Cu, Ni, Pb, Sb, and Zn, whereas the presence of Co and V might be primarily from natural sources. The Igeo index for Cr and Ni might underestimate the degree of contamination, potentially as a result of high concentrations of these elements in the shale. The RI index was higher than 600, indicating a notably high ecological risk of sediment for the river. The average PECQ for As, Cd, Cr, Cu, Hg, Ni, Pb, and Zn ranged from 1.4 to 4.1 for surface sediment and from 5.2 to 9.6 in the sediment cores, indicating a high potential for an adverse biological effect. It was concluded that the sediment in the Xi River was severely contaminated and should be remediated as a hazardous material.     

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.     

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.