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.     

Who plans for health improvement? SEA,HIA and the separation of spatial planning and health planning

This study examines whether there is active planning for health improvement in the English spatial planning system and how this varies across two regions using a combination of telephone surveys and focus group interviews in 2005 and 2010. The spatial planning profession was found to be ill-equipped to consider the health and well-being implications of its actions, whilst health professionals are rarely engaged and have limited understanding and aspirations when it comes to influencing spatial planning. Strategic Environmental Assessment was not considered to be successful in integrating health into spatial plans, given it was the responsibility of planners lacking the capacity to do so. For their part, health professionals have insufficient knowledge and understanding of planning and how to engage with it to be able to plan for health gains rather than simply respond to health impacts. HIA practice is patchy and generally undertaken by health professionals outside the statutory planning framework. Thus, whilst appropriate assessment tools exist, they currently lack a coherent context within which they can function effectively and the implementation of the Kiev protocol requiring the engagement of health professionals in SEA is not to likely improve the consideration of health in planning while there continues to be separation of functions between professions and lack of understanding of the other profession.     

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.     

Integrating environmental impact assessment with master planning: lessons from the US Army

The US National Environmental Policy Act (NEPA) requires agencies to consider environmental impacts in the early stages of planning and decision-making. Despite this mandate, agencies typically conduct EIA for projects, rather than for earlier and more strategic decisions, such as plans. This research investigated the extent to which a large federal agency, the US Army, has integrated NEPA analyses with master planning for their installations. Using in-depth case studies of 16 installations, we investigated how and why EIA was (or was not) integrated with planning, and identified the factors that promote or impede integration. Typically, integration has been regarded as concurrence, meaning that the EIA and planning processes are conducted together. Results of this research show, however, that integration can occur, even if the NEPA documents and master plans are not concurrently prepared. In this sense, integration can be viewed as the influence of the EIA process on agency planning and decision-making. Results also indicate that regulations are only one factor, and that several other factors influence the extent of integration, such as agency leadership and organizational incentives. Lessons from this study can help improve both the integration and the substantive implementation of EIA.     

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.     

Space for action: How practitioners influence environmental assessment

This article contributes to understanding of how change occurs in the field of environmental assessment (EA). It argues that the integration of new issues in EA, such as human health, is significantly influenced by how practitioners' understandings shape their actions, and by what happens when those, possibly different, interpretations of appropriate action are acted out. The concept of space for action is developed as a means of investigating this relation between understanding and action. Frame theory is also used, to develop a sharper focus on how ‘potential spaces for action’ are created, what these imply for (individuals') preferred choices and actions in certain situations, and what happens in practice when these are acted out and ‘actual spaces for action’ are created. This novel approach is then applied in a Swedish case study of transport planning. The analysis reveals the important work done by practitioners, revealing just how EA practice is decisively shaped by practitioners. Analysis of practice using the lens of spaces for action offers an important new perspective in understanding how the field adapts to new challenges.     

Public participation in Strategic Environmental Assessment: A practitioners' perspective

Public participation is considered a distinguished feature of Strategic Environmental Assessment (SEA), and the SEA literature has traditionally identified several benefits attached to it, from more open and transparent decision-making to greater acceptance of plans/programmes' output by the affected population. However, relatively little empirical evidence has been collected so far on the extent and outcomes of public engagement as it is being carried out in current SEA practice. In this article, we present the results of a study on this theme based on a direct survey of 47 SEA practitioners and scholars from different countries. Respondents were asked to report their experience about a number of items including: the frequency of SEA process featuring deep public participation; its overall influence on plan/programmme-making; the identification of the main factors impeding it; the correlation of public involvement with environmental outcomes; and the increase of costs. Results indicate that public engagement in current SEA practice is still relatively limited and with limited influence on decision-making. The main impeding factors seem to be: lack of political willingness by proponents; insufficient information on the SEA process by the public; and weakness of the legal frames. However, respondents also report that when effective public engagement takes place, benefits do arise and identify a positive correlation between the degree of public involvement and the environmental performance of plans and programmes. Overall, findings suggest that public involvement has indeed the potential to positively influence both SEA and decision-making, although this should be supported from the policy side by stronger legal frames, higher requirements and improved technical guidance.     

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

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

Assessing the impact of alternative land-use zoning policies on future ecosystem services

Land use conversions rank among the most significant drivers of change in ecosystem services worldwide, affecting human wellbeing and threatening the survival of other species. Hence, predicting the effects of land use decisions on ecosystem services has emerged as a crucial need in spatial planning, and in the associated Strategic Environmental Assessment (SEA) practice. The paper presents a case-study research aimed at empirically exploring how the implementation of different land-use zoning policies affect the future provision of a set of ecosystem services (water purification, soil conservation, habitat for species, carbon sequestration and timber production). The study area is located in The Araucanía, one of Chile's Administrative Regions. The first part of the methods consisted in the construction of land-use scenarios associated to different policies. Subsequently, the effects of the land-use scenarios on the provision of the selected ecosystem services were assessed in a spatially explicit way, by using modeling tools. Finally, a set of metrics was developed to compare scenarios, and trade-offs in the provision of different ecosystem services were made explicit through trade-off curves. The results indicate that, for this case study, spatial configuration of land uses is as an important factor as their size. This suggests that the analysis of land-use patterns deserves attention, and that this information should be included in scenario exercises aimed to support spatial planning. The paper concludes by discussing the potential contribution of the approach to support SEA of spatial plans.     

High speed rail comparative strategic assessments in EU member states

This paper explores the role and capacity of strategic level assessments in addressing the strategic dimension of High Speed Rail (HSR) proposals and influencing decision-making processes. The overall research objective was to find out to what extent opportunities for strategic thinking are being undertaken in HSR. Three different cases of high speed rail were compared – High Speed Rail 2 (HS2) in the UK, High Speed Rail Network (RFAV) in Portugal and European Gauge Railway Line Kaunas in the Lithuanian-Latvian Border (Rail Baltica 2). Strategic environmental assessment (SEA) effectiveness literature was reviewed to draw on criteria that could establish a comparative framework to explain how environmental and sustainability assessments were undertaken in the three aforementioned European high speed rail case studies. Research results allow us to conclude that an SEA or a sustainability assessment/appraisal (SA) will be most beneficial if developed before any HSR project to first determine if HSR is really necessary and strategically justifiable to the achievement of both environmental and sustainability objectives. Results achieved suggest that even though the SEA and SA in the three cases studied can be said to have influenced the planning process mostly at project-level decisions, it also shows a missed opportunity to contribute to developing a high level strategy for HSR that addresses several strategic issues, assessing options before they are undertaken.     

Occurrence of selected antibiotics in Jiulongjiang River in various seasons, South China

The concentrations of six sulfonamides (SAs) and three tetracyclines (TCs) were investigated in Jiulongjiang River during the low water season and the high water season. They were monitored in both surface water and sediment. Total concentrations of all these antibiotics varied from 31 to 25,771 ng g(-1) in sediment samples. In water they ranged from 60 to 2607 ng L(-1) during the low water season and from ND (not detected) to 134 ng L(-1) during the high water season. At the sites nearby breeding farms, chlorotetracycline was found to have the highest concentration of 1036 ng L(-1) in water and 14,666 ng g(-1) in sediments. According to the published data, the concentrations of sulfamethazine, sulfameter and TCs at these sites were higher than that in most rivers. The concentrations during the low water season were tens to hundreds of times higher than that in the high water season. The lower concentrations of TCs in the high water season might result from both dilution and photo-degradation, while dilution and bio-degradation might lead to the lower concentrations of SAs. However, further study is needed to clarify the specific reasons. Concerning the relationship between sediment and water samples, the pseudo-partitioning values of TCs were much higher than SAs. It indicates that the TCs are prone to accumulate in the sediment.     

Assessment of transboundary environmental effects in the Pearl River Delta Region: Is there a role for strategic environmental assessment?

China's EIA Law does not require transboundary proposals to be assessed, despite recognition of this globally, for example in the Espoo Convention and Kiev Protocol, and in the European EIA and SEA Directives. In a transboundary context assessment within a state is unusual, as regulating these effects is primarily about the relationship between states. However where a state has more than one legal system such as in the Pearl River Delta (PRD) Region of southern China, transboundary effects should also be addressed. Yet despite the geographical connections between Guangdong Province in mainland China (where the EIA Law applies) and the Hong Kong and Macau Special Administrative Regions (which have their own provisions, neither of which requires transboundary assessments), EIA and SEA are carried out separately. Coordinated or joint approaches to transboundary assessment are generally absent, with the legal autonomy of Hong Kong and Macau a major constraint. As a result institutional responses at the policy level have developed. The article considers global experiences with regulating transboundary EIA and SEA, and analyses potential application to land use, transport and air and water planning in the PRD Region. If applied, benefits may include prevention or mitigation of cumulative effects, broader public participation, and improvements to environmental governance. The PRD Region experience may encourage China to conduct and coordinate EIA and SEA processes with neighbouring states, which has been non-existent or extremely limited to date.     

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

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

Occurrence, distribution and bioaccumulation of antibiotics in the Haihe River in China

The occurrence, distribution and bioaccumulation of 22 antibiotics, including eight fluoroquinolones (FQs), nine sulfonamides (SAs) and five macrolides (MLs), in the Haihe River were investigated. Surface water, sediment and fish samples were analyzed by HPLC-MS/MS. Ofloxacin, sulfamethoxazole, sulfadiazine, erythromycin and roxithromycin were found in all surface water samples. SAs were the predominant antibiotics in surface water samples in the mainstream of Haihe River, with the maximum concentration of 201 ng L(-1) for sulfamethoxazole. Compared with Haihe River, higher concentrations of antibiotics were found in the surface water samples in the Dagu and Chentaizi Drainage Rivers. The antibiotics pollution in the mainstream of Haihe River may derive from its tributaries, whereas the wastewater from fish ponds was not the main source of FQs, SAs and MLs in the river water. In sediment samples, FQs were the most frequently detected antibiotics and their concentrations were much higher than SAs and MLs. The high concentrations and detection frequencies of FQs in sediments indicate that sediments are an important reservoir for FQs as they are strongly adsorbed onto sediments. Ciprofloxacin and erythromycin exhibited potential bioaccumulation in crucian carp, with mean bioaccumulation factors of 3262 L kg(-1) and 4492 L kg(-1), respectively.     

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.     

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.     

Cumulative effects in strategic environmental assessment: The influence of plan boundaries

Cumulative effects (CE) assessment is lacking quality in impact assessment (IA) worldwide. It has been argued that the strategic environmental assessment (SEA) provides a suitable IA framework for addressing CE because it is applied to developments with broad boundaries, but few have tested this claim. Through a case study on the Danish mining sector, this article explores how plan boundaries influence the analytical boundaries applied for assessing CE in SEA. The case was studied through document analysis in combination with semi-structured group interviews of the responsible planners, who also serve as SEA practitioners. It was found that CE are to some extent assessed and managed implicitly throughout the planning process. However, this is through a focus on lowering the cumulative stress of mining rather than the cumulative stress on and capacity of the receiving environment. Plan boundaries do influence CE assessment, though all boundaries are not equally influential. The geographical and time boundaries of the Danish mining plans are broad or flexible enough to accommodate a meaningful assessment of CE, but the topical boundary is restrictive. The study indicates that collaboration among planning authorities and legally appointed CE leadership may facilitate better practice on CE assessment in sector-specific SEA contexts. However, most pressing is the need for relating assessment to the receiving environment as opposed to solely the stress of a proposed plan.     

Dietary exposure of three passerine species to PCDD/DFs from the Chippewa, Tittabawassee, and Saginaw River floodplains, Midland, Michigan, USA

Dietary exposure of house wrens (Troglodytes aedon), tree swallows (Tachycineta bicolor), and eastern bluebirds (Sialia sialis) to polychlorinated dibenzofurans (PCDFs) and polychlorinated dibenzo-p-dioxins (PCDDs) near Midland, Michigan (USA) was evaluated based on site-specific data, including concentrations of residues in bolus samples and individual invertebrate orders and dietary compositions by study species. Site-specific dietary compositions for the three species were similar to those reported in the literature, but differed in their relative proportions of some dietary items. Oligocheata (non-depurated) and Brachycera (Diptera) contained the greatest average concentrations of ??PCDD/DFs of the major site-specific dietary items collected via food web-based sampling. Average ingestion values of ??PCDD/DFs from site-specific bolus-based and food web-based dietary concentrations for nestlings at study areas (SAs) were 6- to 20-fold and 2- to 9-fold greater than at proximally located reference areas (RAs), respectively. Average ingestion values of total 2,3,7,8-tetrachlorodibenzo-p-dioxin equivalents (TEQ_WHO???Avian) from site-specific bolus-based and food web-based dietary concentrations for nestlings at SAs were 31- to 121-fold and 9- to 64-fold greater than at proximally located RAs, respectively. Estimates of ??PCDD/DFs and TEQ_WHO???Avian tissue concentrations based on nestling dietary exposures were greater than those measured. Plausible explanations include nestling metabolism of 2,3,7,8-tetrachlorodibenzofuran and assimilation rates of less than the 70% assumed to occur over the nestling growth period. Profiles of the relative concentrations of individual PCDD/DF congeners in samples of invertebrates and bolus at SAs on the Tittabawassee River downstream of the source of contamination were dominated by 1,2,3,4,6,7,8,9-octachlorodibenzo-p-dioxin (22% to 44%) and 2,3,7,8-tetrachlorodibenzofuran (18% to 50%).     

Sustainability assessment framework for scenarios – SAFS

To address current challenges regarding sustainable development and support planning for this form of development, new learning about different possible futures and their potential sustainability implications is needed. One way of facilitating this learning is by combining the futures studies and sustainability assessment (SA) research fields.This paper presents the sustainability assessment framework for scenarios (SAFS), a method developed for assessing the environmental and social risks and opportunities of future scenarios, provides guidelines for its application and demonstrates how the framework can be applied. SAFS suggests assessing environmental and social aspects using a consumption perspective and a life cycle approach, and provides qualitative results. SAFS does not suggest any modelling using precise data, but instead offers guidelines on how to carry out a qualitative assessment, where both the process of assessing and the outcome of the assessment are valuable and can be used as a basis for discussion.The benefits, drawbacks and potential challenges of applying SAFS are also discussed in the paper. SAFS uses systems thinking looking at future societies as a whole, considering both environmental and social consequences. This encourages researchers and decision-makers to consider the whole picture, and not just individual elements, when considering different futures.     

Large-scale renewable energy project barriers: Environmental impact assessment streamlining efforts in Japan and the EU

Environmental Impact Assessment (EIA) procedures have been identified as a major barrier to renewable energy (RE) development with regards to large-scale projects (LS-RE). However EIA laws have also been neglected by many decision-makers who have been underestimating its impact on RE development and the stifling potential they possess. As a consequence, apart from acknowledging the shortcomings of the systems currently in place, few governments momentarily have concrete plans to reform their EIA laws. By looking at recent EIA streamlining efforts in two industrialized regions that underwent major transformations in their energy sectors, this paper attempts to assess how such reform efforts can act as a means to support the balancing of environmental protection and climate change mitigation with socio-economic challenges. Thereby this paper fills this intellectual void by identifying the strengths and weaknesses of the Japanese EIA law by contrasting it with the recently revised EIA Directive of the European Union (EU). This enables the identification of the regulatory provisions that impact RE development the most and the determination of how structured EIA law reforms would affect domestic RE project development. The main focus lies on the evaluation of regulatory streamlining efforts in the Japanese and EU contexts through the application of a mixed-methods approach, consisting of in-depth literary and legal reviews, followed by a comparative analysis and a series of semi-structured interviews. Highlighting several legal inconsistencies in combination with the views of EIA professionals, academics and law- and policymakers, allowed for a more comprehensive assessment of what streamlining elements of the reformed EU EIA Directive and the proposed Japanese EIA framework modifications could either promote or stifle further RE deployment.