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.     

Health impact assessment in spatial planning in England –types of application and quality of documentation

Health Impact Assessment (HIA) is a decision support approach which is applied in various shapes and forms throughout the world. In England, amongst a range of areas of application, HIA is applied in local (spatial) plan making and project development planning. Whilst various authors have reflected on HIA practice in England, the extent of application and its quality has remained unclear. This paper aims at addressing this gap by reporting on the results of a systematic review of HIA in planning. It is found that between 100 and 200 HIAs are likely being produced each year in England. Whilst most assessments are rapid (desk based), there are also examples of comprehensive and intermediate HIAs, where a participatory procedural approach is followed. An important finding is that those HIAs applied within the context of other assessments (integrated impact assessment -IIA, strategic environmental assessment - SEA/ sustainability appraisal -SA and environmental impact assessment – EIA) tend to be of a higher quality than standalone HIAs, mainly because of the existing comprehensive statutory procedural requirements for these other assessments into which HIA can be integrated.     

Ecosystem services in environmental assessment — Help or hindrance?

This paper presents a critical analysis of the potential role of ecosystem services within environmental assessment, including both strategic environmental assessment (SEA) and environmental impact assessment (EIA). It identifies some of the common problems with current environmental assessment practice and then explores whether integrating ecosystem services may be able to help address some of these problems. Case studies are included to illustrate different approaches to using ecosystem services within environmental assessment and to highlight how context (e.g. sector, scale, environmental situation) will influence the most appropriate way of integrating ecosystem services into environmental assessment practice. The analysis also reflects on how ecosystem services' potential role may, or may not, differ from previous integrated approaches to environmental assessment and what lessons can be learnt from their development.Two main approaches are recognised from the literature and the case studies to integrating ecosystem services within environmental assessment: firstly a comprehensive approach, where the assessment framework is entirely guided by ecosystem services; and secondly a philosophical approach that applies more of a light-touch ecosystems-thinking mind-set, helping to frame the assessment methodology rather than fundamentally defining it. Inevitably, there are variations between these two extremes, and benefits and criticisms of both.The authors conclude that ecosystem services provides a potentially valuable framing for environmental assessment, but that it requires a pragmatic, context specific consideration of how ecosystem services can be used to help address some of the common problems with current environmental assessment practice. There is also a need to recognise that at times it may just not be appropriate if it does not provide added value.     

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.     

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.     

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

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

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.     

Logical chains in territorial impact assessment

In a way similar to the established impact assessment system (e.g. EIA, SEA), territorial impact assessment (TIA) explores the causal links between proposed actions and impacts. TIA constitutes a case of special interest in impact assessment as it operates at an uncommonly high tier of proposed action – e.g. EU directives – with a wide reach of potential outcomes, at various scales. Recent TIA developments have been using a causality analysis technique known as ‘logical chains’, and it is precisely here that a recent experimental application of TIA encountered shortcomings capable of compromising TIA itself. The article reports on these shortcomings, conceptual and practical resolutions, as well as case-study feedback from stakeholders.     

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.     

Consideration of climate change on environmental impact assessment in Spain

Most of the projects subject to environmental impact assessment (EIA) are closely related to climate change, as they contribute to or are affected by it. The growing certainty about climate change and its impacts makes its consideration an essential part of the EIA process, as well as in strategic environmental assessment (SEA).This paper examines how climate change (CC) has been taken into account in EIA in Spain through the analysis of 1713 environmental records of decision (RODs) of projects submitted for EIA. In 2013 Spain approved one of the most advanced laws in terms of CC consideration in environmental assessment, although it had not yet accumulated extensive practice on the issue. This contrasts with the situation of countries like Canada or the USA, which have a significant body of experience without specific legal requirements.Only 14% of the RODs analysed included references to CC, and in more than half of the cases it was a mere citation. Thermal power plants, which are subject to specific GHG regulations, show the highest consideration, while transport infrastructures, which are important contributors to CC, show a very low consideration. Almost all the references are related to their contribution to CC, while consideration of the effects of CC is minimal.The increasingly common incorporation of CC into SEA, should not imply its exclusion from EIA, because both processes have different aims and uses. Including the obligation to consider CC in the EIA regulations is highly desirable, but probably not enough without other measures, such as practical guidance, training and motivational programmes for practitioners and evaluators. But even these actions cannot ensure effective and adequate assessments of CC. Probably more resources should be spent on creating greater awareness in all the agents involved in EIA.     

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.     

“Ripe for decision”: Tiering in environmental assessment

Tiering of information and decisions from more strategic plans to more specific projects (and sometimes the other way) can streamline plan-making and assessments, and improve decisions at each planning tier. In particular, it can lead to more consistent and comprehensive impact mitigation at the lower tiers. In practice, however, tiering of assessments is carried out only sporadically. This paper reviews the international literature and case studies on Strategic Environmental Assessment (SEA) and Environmental Impact Assessment (EIA) tiering, and presents the findings of interviews with 14 SEA/EIA experts. It concludes that a conscious and explicit transfer of information from the SEA level, and an explicit receipt of this information at the EIA level are necessary prerequisites for effective tiering. SEAs must be carried out with local actions in mind, in order for mitigation measures to support environmental protection on the ground. Lower-tier decision-makers must also be willing to be bound by decisions by the higher-tier SEA, focusing on implementation of these decisions.     

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.     

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.     

Rethinking human health impact assessment

Most EIA programs around the world require the consideration of human health impacts. Yet relatively few EIA documents adequately address those impacts. This article examines how, why, and to what extent health impacts are analyzed in environmental impact assessments in the U.S. An empirical study of 42 environmental impact statements found that more than half contained no mention of health impacts. In the others, health impacts were analyzed narrowly, if at all, using risk assessment to quantify the carcinogenic potential of a single substance over a single generation. This analytic focus overlooks other significant morbidity and mortality risks, cumulative and intergenerational effects, and broader determinants of health. This article investigates these problems and provides recommendations to improve human health impact assessment, using strategic environmental assessment, qualitative health data, health outcomes in addition to cancer, and a precautionary approach to risk.     

Bibliometric analysis of global environmental assessment research in a 20-year period

Based on the samples of 113,468 publications on environmental assessment (EA) from the past 20 years, we used a bibliometric analysis to study the literature in terms of trends of growth, subject categories and journals, international collaboration, geographic distribution of publications, and scientific research issues. By applying thresholds to network centralities, a core group of countries can be distinguished as part of the international collaboration network. A frequently used keywords analysis found that the priority in assessment would gradually change from project environmental impact assessment (EIA) to strategic environmental assessment (SEA). Decision-theoretic approaches (i.e., environmental indicator selection, life cycle assessment, etc.), along with new technologies and methods (i.e., the geographic information system and modeling) have been widely applied in the EA research field over the past 20 years. Hot spots such as “biodiversity” and “climate change” have been emphasized in current EA research, a trend that will likely continue in the future. The h-index has been used to evaluate the research quality among countries all over the world, while the improvement of developing countries' EA systems is becoming a popular research topic. Our study reveals patterns in scientific outputs and academic collaborations and serves as an alternative and innovative way of revealing global research trends in the EA research field.     

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.     

Framing effectiveness in impact assessment: Discourse accommodation in controversial infrastructure development

There is ongoing debate about the effectiveness of impact assessment tools, which matters both because of the threat to future practice of the tools which are frequently perceived to be ineffective, and because of the disillusionment that can ensue, and controversy generated, amongst stakeholders in a decision context where opportunities for meaningful debate have not been provided. In this article we regard debate about the meaning of effectiveness in impact assessment as an inevitable consequence of increased participation in environmental decision-making, and therefore frame effectiveness based on an inclusive democracy role to mean the extent to which impact assessment can accommodate civil society discourse. Our aim is to investigate effectiveness based on this framing by looking at one type of impact assessment – environmental impact assessment (EIA) – in two controversial project proposals: the HS2 rail network in England; and the A4DS motorway in the Netherlands. Documentary analysis and interviews held with key civil society stakeholders have been deployed to identify discourses that were mobilised in the cases. EIA was found to be able to accommodate only one out of four discourses that were identified; for the other three it did not provide the space for the arguments that characterised opposition. The conclusion in relation to debate on framings of effectiveness is that EIA will not be considered effective by the majority of stakeholders. EIA was established to support decision-making through a better understanding of impacts, so its ineffectiveness is unsurprising when its role is perceived to be broader. However, there remains a need to map discourses in different decision contexts and to analyse the extent to which the range of discourses are accommodated throughout the decision process, and the role of impact assessment in those processes, before recommendations can be made to either improve impact assessment effectiveness, or whether it is simply perceptions of effectiveness that need to be improved.     

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.     

Project justification and EIA: Anything goes?

Environmental Impact Assessment (EIA) incorporates environmental aspects into decision-making, but sometimes it is not effective in rejecting projects with dubious justification, significant impacts and little social utility, especially when they have political support. EIA is expected to achieve sustainable development, but without calling development into question; however, it should be able to ask the question of whether development is really necessary. Although EIA is political, as a part of the decision-making process, politicization must be limited to prevent it from becoming a mere instrument for giving an “environmental veneer” to development. Some measures thar can help avoid unjustified projects are: adopting administrative justice approach to EIA; minimising politicization of EIA agencies; improving transparency in decision-making and proportionality of EIA procedures; carrying out pre-feasibility studies; increasing the scope of SEA; allowing more than one SEA or EIA procedure for the same development throughout the planning process; strengthening the justification of the project in EIA documents; or making the scoping phase mandatory at least for major projects.