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.     

Assessing cumulative impacts within state environmental review frameworks in the United States

Cumulative impact assessment (CIA) is the process of systematically assessing a proposed action's cumulative environmental effects in the context of past, present, and future actions, regardless of who undertakes such actions. Previous studies have examined CIA efforts at the federal level but little is known about how states assess the cumulative impacts of nonfederal projects. By examining state environmental review statutes, administrative rules, agency-prepared materials, and a national survey of the administrators of state environmental review programs, this study identifies the legal and administrative frameworks for CIA. It examines current CIA practice, discusses the relationship between CIA policy and its implementation, and explores the opportunities for improvement. The results of the study show that twenty-nine state environmental review programs across twenty-six states required the assessment of cumulative environmental impacts. More than half of these programs have adopted specific procedures for implementing their policies. Some programs assessed cumulative impacts using a standard review document, and others have created their own documentations incorporated into applications for state permits or funding. The majority of programs have adopted various scales, baselines, significance criteria, and coordination practices in their CIA processes. Mixed methods were generally used for data collection and analysis; qualitative methods were more prevalent than quantitative methods. The results also suggest that a program with comprehensive and consistent environmental review policies and procedures does not always imply extensive CIA requirements and practices. Finally, this study discusses the potential for improving existing CIA processes and promoting CIA efforts in states without established environmental review programs.     

An inquiry into the concept of SEA effectiveness: Towards criteria for Chinese practice

The importance of improving the effectiveness of Plan EIA and SEA-type evaluations in China cannot be overstated: at a time when the country's economy is being boosted by a stimulus package worth over RMB 400 trillion – largely for infrastructure – the pressure on China's already strained environment and resource base is bound to increase. The aim is to propose the criteria for plan EIA's effectiveness to raise the awareness of the need to strengthen the performance of the assessment and maximize its potential benefits. The authors first review critically the discourse on the effectiveness of the impact assessment, identifying three dimensions: substantive, procedural and incremental. The resulting conceptual framework allows them to interpret the weaknesses of the Chinese discourse on the effectiveness and of the practice of the Plan EIA to date. The result is the identification of a clear gap, both in terms of the breadth of the concept, and in terms of the quality of the existing criteria, which tend to be very generic to the point of inapplicability. The analysis also reveals a need for transitioning from formal models of the Plan EIA to more strategic approaches, in a gradual manner that is consistent with context-specificities. The proposal of a set of preliminary criteria for effectiveness is therefore structured on three levels. This framework is meant to input into the ongoing debate on how to improve the practice of PEIA and the SEA-type evaluations in China, and provide ideas for a government strategy aimed at maximizing the positive impact of PEIAs on planning, as well as on the context of application.     

An inquiry into the concept of SEA effectiveness: Towards criteria for Chinese practice

The importance of improving the effectiveness of Plan EIA and SEA-type evaluations in China cannot be overstated: at a time when the country's economy is being boosted by a stimulus package worth over RMB 400 trillion – largely for infrastructure – the pressure on China's already strained environment and resource base is bound to increase. The aim is to propose the criteria for plan EIA's effectiveness to raise the awareness of the need to strengthen the performance of the assessment and maximize its potential benefits. The authors first review critically the discourse on the effectiveness of the impact assessment, identifying three dimensions: substantive, procedural and incremental. The resulting conceptual framework allows them to interpret the weaknesses of the Chinese discourse on the effectiveness and of the practice of the Plan EIA to date. The result is the identification of a clear gap, both in terms of the breadth of the concept, and in terms of the quality of the existing criteria, which tend to be very generic to the point of inapplicability. The analysis also reveals a need for transitioning from formal models of the Plan EIA to more strategic approaches, in a gradual manner that is consistent with context-specificities. The proposal of a set of preliminary criteria for effectiveness is therefore structured on three levels. This framework is meant to input into the ongoing debate on how to improve the practice of PEIA and the SEA-type evaluations in China, and provide ideas for a government strategy aimed at maximizing the positive impact of PEIAs on planning, as well as on the context of application.     

A review of citizen science and community-based environmental monitoring: issues and opportunities

Worldwide, decision-makers and nongovernment organizations are increasing their use of citizen volunteers to enhance their ability to monitor and manage natural resources, track species at risk, and conserve protected areas. We reviewed the last 10 years of relevant citizen science literature for areas of consensus, divergence, and knowledge gaps. Different community-based monitoring (CBM) activities and governance structures were examined and contrasted. Literature was examined for evidence of common benefits, challenges, and recommendations for successful citizen science. Two major gaps were identified: (1) a need to compare and contrast the success (and the situations that induce success) of CBM programs which present sound evidence of citizen scientists influencing positive environmental changes in the local ecosystems they monitor and (2) more case studies showing use of CBM data by decision-makers or the barriers to linkages and how these might be overcome. If new research focuses on these gaps, and on the differences of opinions that exist, we will have a much better understanding of the social, economic, and ecological benefits of citizen science.     

重庆大气气溶胶污染现状与回顾

通过近几年重庆市大气气溶胶污染的监测及几种监测方法的比较 ,介绍了重庆大气气溶胶的污染现状 ,推导出TSP手工与自动采样之间、PM1 0 和地面站 β射线法测定结果之间、PM1 0 和 PM2 .5 之间浓度的定量关系。以此 ,计算出大气气溶胶从 1 981年至 1 998年的逐年变化值。这些都为环境管理和烟尘治理提供了科学数据     

Sami-state collaboration in the governance of cumulative effects assessment: A critical action research approach

Indigenous-state collaboration in the governance of cumulative effects assessment (CEA) is often hampered not only by legacies of colonialism and inequality but also disagreement on what the ‘CEA governance problem’ is in the first place. In this paper, we draw on critical theories on dialogue and collaboration to present a novel approach to joint problem analysis between Sami reindeer herders and civil servants in Swedish permitting authorities on mining, wind energy and forestry. We discuss process design choices, insights on CEA governance and ways to tackle these barriers in practice. We argue that indigenous-state collaboration may play a constructive role in improving CEA governance, including the recognition of indigenous peoples' rights. However, this requires a process that carves out new spaces for exploring divergent problem definitions and supports the participants in challenging institutionalized inequalities within their positioned realities.     

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 framework for adaptive monitoring of the cumulative effects of human footprint on biodiversity

Effective ecological monitoring is imperative in a human-dominated world, as our ability to manage functioning ecosystems will depend on understanding biodiversity responses to anthropogenic impacts. Yet, most monitoring efforts have either been narrowly focused on particular sites, species and stressors — thus inadequately considering the cumulative effects of multiple, interacting impacts at scales of management relevance — or too unfocused to provide specific guidance. We propose a cumulative effects monitoring framework that integrates multi-scaled surveillance of trends in biodiversity and land cover with targeted evaluation of hypothesized drivers of change. The framework is grounded in a flexible conceptual model and uses monitoring to generate and test empirical models that relate the status of diverse taxonomic groups to the nature and extent of human “footprint” and other landscape attributes. An adaptive cycle of standardized sampling, model development, and model evaluation provides a means to learn about the system and guide management. Additional benefits of the framework include standardized data on status and trend for a wide variety of biodiversity elements, spatially explicit models for regional planning and scenario evaluation, and identification of knowledge gaps for complementary research. We describe efforts to implement the framework in Alberta, Canada, through the Alberta Biodiversity Monitoring Institute, and identify key challenges to be addressed.     

Documentation of cumulative impacts in environmental impact statements

The National Environmental Policy Act (NEPA) of 1969 and the Council on Environmental Quality (CEQ) regulations in the United States require federal agencies to apply an environmental impact assessment (EIA) in decision-making related to their actions. One aspect requires an examination of direct, indirect and cumulative impacts (CIs). Historically, cumulative impact assessment (CIA) has been given limited attention in EIA and resultant environmental impact statements (EISs), not because of its lack of importance, but owing to limitations in methodologies and procedures, including documentation consistency. The objectives of this study were to identify deficiencies in the documentation of CIs and CIA in EISs and to formulate appropriate recommendations (potential solutions) related to such deficiencies. The study involved the systematic review of 33 EISs (11 each from the U.S. Department of Agriculture: Forest Service, the U.S. Army Corps of Engineers, and the U.S. Department of Transportation: Federal Highway Administration). The results indicate that improvements have been made in documentation practices since 1990; however, inconsistencies and inadequacies still exist. Therefore, the following recommendations were developed: (1) CIs should be reported in a separate part of the “Environmental Consequences” section, and they should be addressed for each pertinent environmental resource; (2) a summary of CIs should be included; (3) any CIs considered not significant should be mentioned plus the reason(s) for their non-significance; (4) spatial and temporal boundaries addressed within the CIA process should be defined for pertinent environmental resources; and (5) utilized guidelines and methodologies should be described.     

A historical study of mineral elements in forest plants from South Norway

Herbarium plants were used as a material to study possible long-term changes in mineral elements of forest plants. Plants from South Norway collected in the period 1870 to 1930 were compared to plants collected in 1982. Relative to mineral contents in plants from 1870 to 1930, the 1982 material showed elevated levels of Zn, Cd, Rb, K, Mn and Ti and decreased levels of Sr, B, Ca and Mo in some of the plant species analysed. Most of these differences may be explained by changes in the environmental conditions, due to differences in chemical composition of precipitation, accelerated soil acidification and subsequent increasing mineral weathering. Consequently analysis of herbarium plants seems to provide valuable information about preindustrial levels of mineral elements and seems to detect changes in mineral elements brought about by recent anthropogenic activity.     

Understanding EIA scoping in practice: A pragmatist interpretation of effectiveness

Despite widespread recognition of the need to consider IA effectiveness in terms of practice, the literature is dominated by normative approaches that do little to advance understanding of the causal process that lead to particular outcomes. Focusing upon EIA scoping in England, we examine notions of effectiveness directly from the perspective of key practitioner communities. The ‘received view’ of scoping asserts that effectiveness is constrained by a failure to narrow the assessment focus. Using an alternative, pragmatist interpretation (inspired by American philosophical pragmatism) we analyse the understandings and actions of professional practitioner communities. We find that risk management ‘ends-in-view’ shape the interpretation of the purpose of scoping and hence effective practice. Amongst EIA consultants the ends-in-view emphasise managing the risk of project delays, whilst planning officers seek to minimise the risk of legal challenge, and statutory consultees aim to provide advice that is proportionate to potential environmental risks. Practitioner ends-in-view shape the scoping approaches employed and the opportunities for knowledge formulation and ‘learning in action’. Whilst practitioners demonstrate pragmatism in managing uncertainty and there is some awareness of potential power-play, we find that knowledge formation and learning is predominately instrumental and incremental. Instrumental in serving to refine technical details (rather than co-constructed, drawing on multiple rationalities and types of understanding), and incremental in that over time practitioners learn that the most effective way to achieve their ends-in-view is to include impacts — resulting in a broad, precautionary scoping outcome. Finally, we conclude with reflections on future research directions and the implications for practice given forthcoming changes to the regulatory framework.     

Theorising EIA effectiveness: A contribution based on the Danish system

Considerable attention has been given to the effectiveness of environmental impact assessment (EIA) since the 1970s. Relatively few research studies, however, have approached EIA as an instrument of environmental governance, and have explored the mechanisms through which EIA influences the behaviour of actors involved in planning processes. Consequently, theory in this area is underspecified. In this paper we contribute to theory-building by analysing the effectiveness of a unique EIA system: the Danish system. In this system the competent authority, instead of the project proponent, undertakes EIA reporting. Additionally, the public, rather than experts, play a central role in quality control and the Danish EIA community is relatively small which influences community dynamics in particular ways. A nation-wide survey and expert interviews were undertaken in order to examine the views of actors involved in EIA on the effectiveness of this anomalous system. The empirical data are compared with similar studies on governance mechanisms in other countries, especially the United Kingdom and the Netherlands, as well as with earlier evaluations of EIA effectiveness in Denmark. The results indicate that the more extensive role attributed to the competent authority may lead to higher EIA effectiveness when this aligns with their interests; the influence of the public is amplified by a powerful complaints system; and, the size of the EIA community appears to have no substantial influence on EIA effectiveness. We discuss how the research findings might enhance our theoretical understanding of the operation and effectiveness of governance mechanisms in EIA.     

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.     

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.     

Silver and thallium historical trends in the Seine River basin

Records on pollution by metals of minor economic importance (e.g. silver and thallium) but which prove to be toxic are rarely documented in river sediment. This study used two sediment cores collected downstream of the Seine River to describe the temporal evolution of Ag and Tl concentrations in an urban catchment. Radionuclide analysis (i.e. Cs-137 and Pb-210) allowed dating sediment deposition within the cores (1933-2003). Ag concentration reached maximum values of 14.3-24.6 mg kg(-1) in the 1960s and 1970s, before gradually decreasing up to values which approximated 4 mg kg(-1) in 2003. In contrast, Tl concentrations remained roughly constant throughout the core (median value of 0.86 mg kg(-1)). Suspended solids was collected at upstream locations in the catchment to derive the background concentrations in Ag and Tl. Very high Ag concentrations were measured in the upstream Seine River sites (0.33-0.59 mg kg(-1)), compared to the values reported in the literature (0.055 mg kg(-1)). This suggests the presence of a widespread and ancient Ag pollution in the Seine River basin, as demonstrated by the very high Ag enrichment ratios recorded in the cores. Annual flux of particulate Ag in the Seine River was estimated at 1.7 t yr(-1) in 2003. In contrast, Tl concentrations remained in the same order of magnitude as the natural background signal (0.3-0.5 mg kg(-1)). This study suggests that the Seine River basin is free of Tl contamination. Future concerns should hence mostly rely on Ag contamination, in a context of increasing Ag uses and possible releases to the environment.     

A review of uncertainty research in impact assessment

This paper examines uncertainty research in Impact Assessment (IA) and the focus of attention of the IA scholarly literature. We do so by first exploring ‘outside’ the IA literature, identifying three main themes of uncertainty research, and then apply these themes to examine the focus of scholarly research on uncertainty ‘inside’ IA. Based on a search of the database Scopus, we identified 134 journal papers published between 1970 and 2013 that address uncertainty in IA, 75% of which were published since 2005. We found that 90% of IA research addressing uncertainty focused on uncertainty in the practice of IA, including uncertainty in impact predictions, models and managing environmental impacts. Notwithstanding early guidance on uncertainty treatment in IA from the 1980s, we found no common, underlying conceptual framework that was guiding research on uncertainty in IA practice. Considerably less attention, only 9% of papers, focused on uncertainty communication, disclosure and decision-making under uncertain conditions, the majority of which focused on the need to disclose uncertainties as opposed to providing guidance on how to do so and effectively use that information to inform decisions. Finally, research focused on theory building for explaining human behavior with respect to uncertainty avoidance constituted only 1% of the IA published literature. We suggest the need for further conceptual framework development for researchers focused on identifying and addressing uncertainty in IA practice; the need for guidance on how best to communicate uncertainties in practice, versus criticizing practitioners for not doing so; research that explores how best to interpret and use disclosures about uncertainty when making decisions about project approvals, and the implications of doing so; and academic theory building and exploring the utility of existing theories to better understand and explain uncertainty avoidance behavior in IA.     

A laboratory investigation of the effectiveness of various skin and surface decontaminants for aliphatic polyisocyanates

Isocyanates may cause contact dermatitis and respiratory sensitization leading to asthma. Dermal exposure to aliphatic isocyanates in auto body shops is very common. However, little is known about the effectiveness of available commercial products used for decontaminating aliphatic polyisocyanates. This experimental study evaluated the decontamination effectiveness of aliphatic polyisocyanates for several skin and surface decontaminants available for use in the auto body industry. The efficiency of two major decontamination mechanisms, namely (i) consumption of free isocyanate groups via chemical reactions with active hydrogen components of the decontaminant and (ii) physical removal processes such as dissolution were studied separately for each decontaminant. Considerable differences were observed among surface decontaminants in their rate of isocyanate consumption, of which those containing free amine groups performed the best. Overall, Pine-Sol(R) MEA containing monoethanolamine was the most efficient surface decontaminant, operating primarily via chemical reaction with the isocyanate group. Polypropylene glycol (PPG) had the highest physical removal efficiency and the lowest reaction rate with isocyanates. All tested skin decontaminants performed similarly, accomplishing decontamination primarily via physical processes and removing 70-80% of isocyanates in one wiping. Limitations of these skin decontaminants are discussed and alternatives presented. In vitro testing using animal skins and in vivo testing with field workers are being conducted to further assess the efficiency and identify related determinants.