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.     

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.     

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.     

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.     

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.     

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.     

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

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

Knowledge brokerage - potential for increased capacities and shared power in impact assessment

Constructive and collaborative planning theory has exposed the perceived limitations of public participation in impact assessment. At strategic levels of assessment the established norm can be misleading and practice is illusive. For example, debates on SEA effectiveness recognize insufficiencies, but are often based on questionable premises. The authors of this paper argue that public participation in strategic assessment requires new forms of information and engagement, consistent with the complexity of the issues at these levels and that strategic assessments can act as knowledge brokerage instruments with the potential to generate more participative environments and attitudes. The paper explores barriers and limitations, as well as the role of knowledge brokerage in stimulating the engagement of the public, through learning-oriented processes and responsibility sharing in more participative models of governance. The paper concludes with a discussion on building and inter-change of knowledge, towards creative solutions to identified problems, stimulating learning processes, largely beyond simple information transfer mechanisms through consultative processes. The paper argues fundamentally for the need to conceive strategic assessments as learning platforms and design knowledge brokerage opportunities explicitly as a means to enhance learning processes and power sharing in IA.     

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.     

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.     

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.     

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.     

Life cycle assessment as an analytical tool in strategic environmental assessment. Lessons learned from a case study on municipal energy planning in Sweden

Life cycle assessment (LCA) is explored as an analytical tool in strategic environmental assessment (SEA), illustrated by case where a previously developed SEA process was applied to municipal energy planning in Sweden. The process integrated decision-making tools for scenario planning, public participation and environmental assessment. This article describes the use of LCA for environmental assessment in this context, with focus on methodology and practical experiences. While LCA provides a systematic framework for the environmental assessment and a wider systems perspective than what is required in SEA, LCA cannot address all aspects of environmental impact required, and therefore needs to be complemented by other tools. The integration of LCA with tools for public participation and scenario planning posed certain methodological challenges, but provided an innovative approach to designing the scope of the environmental assessment and defining and assessing alternatives.     

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.     

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.     

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.     

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.     

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.     

Research on the alternatives in a strategic environmental assessment based on the extension theory

The main purpose of a strategic environmental assessment (SEA) is to facilitate the early consideration of potential environmental impacts in decision-making processes. SEA alternative identification is a core issue within the SEA framework. However, the current methods of SEA alternative formulation and selection are constrained by the limited setting range and lack of scientific evaluation. Thus, the current paper attempts to provide a new methodology based on the extension theory to identify a range of alternatives and screen the best one. Extension planning is applied to formulate a set of alternatives that satisfy the reasonable interests of the stakeholders. Extension priority evaluation is used to assess and optimize the alternatives and present a scientific methodology for the SEA alternative study. Thereafter, the urban traffic plan of Dalian City is used as an example to demonstrate the feasibility of the new method. The traffic planning scheme and the environmental protection scheme are organically combined based on the extension theory, and the reliability and practicality of this approach are examined.     

SEA screening of voluntary climate change plans: A story of non-compliant discretion

Screening within Strategic Environmental Assessment (SEA) is the first critical stage involving considerations on whether an assessment is carried out or not. Although legislation and guidance offer practitioners a legal and logical approach to the screening process, it is inevitable that discretionary judgement takes place and will impact on the screening decision. This article examines the results of discretion involved in screening of climate change plans (CCPs) in a Danish context. These years voluntary CCPs are developed as a response to the global and local emergence of both mitigation and adaptation, and the voluntary commitment by the local authorities is an indication of an emerging norm of climate change as an important issue.This article takes its point of departure in the observation that SEA is not undertaken for these voluntary CCPs. The critical analysis of this phenomenon rests upon a documentary study of Danish CCPs, interviews with a lawyer and ministerial key person and informal discussions between researchers, practitioners and lawyers on whether climate change plans are covered by SEA legislation and underlying reasons for the present practice.Based on a critical analysis of mandatory SEA and/or obligation to screen CCPs according to significance criteria, the authors find that 18 out of the 48 CCPs are mandatory to SEA and 9 would require a screening of significance and thereby potentially be followed by a SEA. In practice only one plan was screened and one was environmentally assessed. The legal, democratic and environmental consequences of this SEA practice are critically discussed. Hereunder is the missed opportunity to use the broad environmental scope of SEA to avoid a narrow focus on energy and CO₂ in CCPs, and the question whether this practice in Denmark complies with the EU Directive.