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.     

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.     

The inherent tensions arising from attempting to carry out strategic environmental assessments on all policies,plans and programmes

This paper evaluates the tensions that result from routinely applying SEA to all policies, plans and programmes within Scotland. The European Union SEA Directive, effective in many EU member states from 2004, introduced a requirement for environmental assessment of certain plans and programmes. Scotland, a devolved nation within the EU member state of the United Kingdom, aimed to be a ‘world leader in SEA’ by legislating for SEA to be undertaken of all public sector plans, programmes and strategies, with the word ‘strategies’ being equated with ‘policies’. This paper presents detailed data regarding Scottish SEA activity between 2004 and 2007, including responses to consultations on SEA reports. This empirical research found that, reflecting a general difficulty in determining where and when SEA should be applied, engagement with the SEA process was not as widespread as intended (including the pre-screening and screening stages). Eight tensions evident from Scotland's application of SEA are identified, and their broader relevance is examined.     

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.     

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.     

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.     

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.     

Advancing strategic environmental assessment in the offshore oil and gas sector: Lessons from Norway,Canada, and the United Kingdom

Abstract: Strategic environmental assessment (SEA) for offshore oil and gas planning and development is utilized in select international jurisdictions, but the sector has received limited attention in the SEA literature. While the potential benefits of and rationale for SEA are well argued, there have been few empirical studies of SEA processes for the offshore sector. Hence, little is known about the efficacy of SEA offshore, in particular its influence on planning and development decisions. This paper examines SEA practice and influence in three international offshore systems: Norway, Atlantic Canada and the United Kingdom, with the intent to identify the challenges, lessons and opportunities for advancing SEA in offshore planning and impact assessment. Results demonstrate that SEA can help inform and improve the efficacy and efficiency of project-based assessment in the offshore sector, however weak coordination between higher and lower tiers limit SEA's ability to influence planning and development decisions in a broad regional environmental and socioeconomic context.     

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.     

The role of SEA in integrating and balancing high policy objectives in European cohesion funding programmes

Funding programmes for European cohesion policy are a crucial tool to support the sustainability goals of the European Union and national policies of its member states. All these funding programmes require a Strategic Environmental Assessment (SEA) to enhance sustainable development. This article compares five first SEA applications at cohesion policy level to discuss challenges, limitations and benefits of this instrument. In order to support the SEA-process a “Handbook on SEA for Cohesion Policy 2007–13” (GRDP 2006) was developed. The paper examines the special requirements and challenges at the programme level given the special conditions for stakeholder involvement, integration of SEA in the programme development process and strategies to cope with uncertainties to ensure real compatibility with policy goals. Using action research and in-depth interviews with SEA planners and programme managers enabled us to analyse the suitability of the methodology proposed by the handbook. The results show that some recommendations of the handbook should be changed in order to increase the transparency and to enhance the standard and comparability of the SEA-documents.Overall the SEA proved to be a rather successful tool for the integration of sustainability goals at the EU and national policy levels. Its particular strengths emerged as the process makes uncertainties visible and leads to possible redefinitions while maintaining actual policy goals.     

Benefits of and barriers to SEA follow-up — Theory and practice

If SEA is to facilitate 'strategic' changes, it needs to focus on shaping the ways in which strategic initiatives are implemented, not just formulated. This is why follow-up which refers to postdecisional activities of SEA and strategic initiatives is increasingly seen as crucial. However, to date follow-up has only received limited attention in the SEA literature, as well as in practical guidance. The key reasons for why post decision activities are often overlooked are the lack of understanding of its actual benefits and purportedly multiple problems with its accomplishment. This paper reports on the results of a comprehensive literature review and an international e-survey on the topic, as well as an in-depth analysis of six SEA follow-up cases from England and Canada. Practically encountered and perceived benefits of, and obstacles to SEA follow-up are identified and discussed.     

Integrating climate change factor into strategic environmental assessment in China

In recent years, climate change has caused a significant impact on the human living environment, and the greenhouse effect caused by gases such as carbon dioxide cannot be ignored. From the viewpoint of environmental management, Strategic Environmental Assessment (SEA) has the functions of value judgment, prediction, and behavioral orientation on the possible impact of strategic planning. Integrating climate change factors into the SEA process can help planners and decision-makers better highlight the importance of climate change in policy and planning stages. Therefore, by combining the development of the SEA of China with relevant international experience, we explore the integration of climate change factors into the SEA framework and construct a technical procedure for such an assessment. A suggestive assessment indicator system for the SEA based on low-carbon targets was established for evaluating the impact of the implementation of strategic planning on low-carbon development goals. The objective is to mitigate the impact of climate change via the SEA and to ensure that the assessment plays an important role in tackling climate change and promoting sustainable development.     

Coping with climate change related conflicts – The first framework to identify and tackle these emerging topics

Climate change is supposed to exacerbate conflicts arising from resource scarcity and contrasting objectives. Some European authors highlighted already the need to look at conflicting interests when elaborating and applying adaptation and mitigation strategies. This study analysed the level of consideration of these emerging topics arising through increased competition of resources, contrasting interests, climate change adaptation as well as mitigation measures for Austria and Southern Germany in detail. Furthermore, it surveyed the application of possible approaches for conflict prevention and mitigation in an international perspective and additionally examined the particular role of SEA as one of the instruments to cope with conflicts related to climate change. The results express the strong need to look at emerging conflicts in cross-sectoral and sectoral adaptation early enough and a strategic perspective. Based on the content analysis of the Austrian and German adaptation and mitigation documents, expert interviews as well as the international literature review, a rather low consideration of these emerging topics as well as approaches to cope with them became evident. In response to these deficiencies, the paper introduces a first framework to identify and tackle emerging and exacerbated conflicts related to climate change. This novel framework is internationally applicable. In the final step of the framework approaches to prevent and minimize conflicts are the key topic. Among these approaches, SEA could take a leading role in case mandatory planning instruments cover the topics related to potential or existing exacerbated fields of conflicts. Overall a mix of formal and informal instruments and a more cross-sectoral perspective seems necessary. To this aim, the paper introduces four main guiding principles to consider and minimize up-coming conflicting topics.     

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.     

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

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

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.     

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.     

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.     

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.     

Linking ecosystem services to strategic environmental assessment in development policies

This paper first, introduces the concept of mainstreaming ecosystem services by showing its relevance for development planning. Second, it presents the role and importance of strategic environmental assessment in designing and implementation of development policy. Third, the paper sets-out the concept of economic valuation of ecosystem services by discussing what it means and what is at stake if valuation of ecosystem services is ignored in the process of development policy making. The methods of capturing economic contribution of ecosystem services at policy level are discussed with examples in the paper.The main focus of this paper is how ecosystem services can be used in policy scale environmental impact assessment. The paper argues that ecosystem services can be an appropriate indicator to weight developmental policies, programs and plans to ensure the consideration of environmental balancing at the policy level. The paper suggests that the roles of ecosystem services in macroeconomic policies including ecosystem accounting, poverty alleviation and employment generation can be used to link environmental policies and SEA with development policies for a successful impact assessment at policy and program levels. By building upon the various contemporary initiatives within UNEP and outside, the paper in its synthesis section, flags-up necessary knowledge gaps, challenges and lessons learned in integrating values of ecosystem services in strategic environmental assessments.