Reconceptualizing public participation in environmental assessment as EA civics

Notwithstanding the considerable attention placed on creating meaningful opportunities for public participation in environmental assessment (EA), many participants and those who have reviewed participation processes often find practice sorely wanting. This reality stands in stark juxtaposition to future environmental governance needs, which will require increased openness, deliberation and transdisciplinary knowledge in order to deal with environmental change that is ever more uncertain, complex and conflictual. In this paper, our purpose was to consider how to meet those needs through reconceptualizing public participation as EA civics, founded on an active citizen base, deliberative in nature and orientated toward learning. We do this through developing a new conceptual model of next generation participation processes that is relevant at multiple spatial scales and institutional levels, is applicable to the entire assessment cycle and spans temporal scales through feedback loops. Our EA civics model builds on the “civics approach” to environmental governance and “action civics” by extending their core ideas to participation in EA. We did this by conducting an integrative literature review (including numerous papers we have contributed over the years) and reflecting on our own experiences as EA participants. We apply current thinking on public participation design to our EA civics conceptualization and highlight important design features that have received scant attention. We conclude that EA civics holds promise for fairer and more robust participation processes if all aspects of the model are considered and the actions related to each are implemented.     

Integrating ecosystem services into environmental impact assessment: An analytic–deliberative approach

Analytic–deliberative techniques have been suggested as a promising approach to ecosystem service (ES) valuation but are still at an experimental stage. This paper contributes to the development of ES valuation in the environmental impact assessment (EIA) procedure by introducing an analytic–deliberative approach to assessing restoration options for a regulated river in Finland. Multi-criteria decision analysis (MCDA) with a value-focused approach was applied and compared with a desktop application of the ES-focused MCDA approach. We found out that the concept of ES could bring added value to the assessment process by: 1) enabling the framing and valuing especially of provisioning services — final ecosystem services, such as salmon catch in a more understandable way for the stakeholders, and 2) taking into account ecosystem processes and supporting services more precisely. However, some potential dangers of using the ES-based approach could include ES's appearing as a distant mode of thinking to affected groups and other stakeholders, and neglect of the trade-offs between ES and other relevant value and impact categories. Thus, although the ES framework is promising, it should not form a rigid ‘checklist’ way of making assessments but should rather be used to widen perspectives about potential issues in linking ecosystem properties to human benefits and values. It is argued that by combining the ES framework with the interactive MCDA approach, we can form a comprehensive and integrated approach to incorporating ESs into EIA.     

A delphi-style approach for developing an integrated food/non-food system sustainability assessment tool

Sustainability assessment is a complex field and its uptake amongst agricultural producers limited. Furthermore, the scope of current sustainability assessment tools does not extend to systems in which food production is integrated with production of non-food biomass (e.g. agroforestry). Participatory approaches to tool development offer a means to overcome the subjectivity of researcher-led tool design and thus the potential to increase relevance and engagement. In this work we develop a Delphi-style methodology as a means to produce a sustainability assessment tool suitable to assess and feedback on an integrated food/non-food system. Using a widely accepted agricultural sustainability framework and an existing farm sustainability assessment tool as a base, stakeholders were engaged with across six countries and multiple stakeholder groups to identify key indicators to be added to the tool. The methodology developed is described in detail, framed in the setting of this tool development process but providing a novel framework applicable to any situation where indicators must be developed for a complex issue of interest across multiple perspectives and stakeholder groups. Feedback and learning from the experience is provided. It was found that, contrary to some opinion, the inclusion of a face-to-face discussion round as part of the Delphi procedure provides a valuable means for information exchange and a move towards consensus amongst stakeholders. By using a ‘snowball’ approach to the in person discussions, it appears too that the loss of the voices of more socially retiring individuals can be avoided. Final levels of agreement vary substantially across the different areas of sustainability, with indicators in some areas (e.g. environmental integrity) proving much less controversial than others (e.g. social wellbeing). Despite this, the methodology effectively reaches a level of consensus amongst diverse stakeholders sufficient to guide the selection of sustainability indicators with a good level of confidence.     

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.     

Exploring the use of computer models in participatory integrated assessment – experiences and recommendations for further steps

Integrated assessment (IA) can be defined as a structured process of dealing with complex issues, using knowledge from various scientific disciplines and/or stakeholders, such that integrated insights are made available to decision makers (J. Rotmans, Enviromental Modelling and Assessment 3 (1998) 155). There is a growing recognition that the participation of stakeholders is a vital element of IA. However, only little is known about methodological requirements for such participatory IA and possible insights to be gained from these approaches. This paper summarizes some of the experiences gathered in the ULYSSES project, which aims at developing procedures that are able to bridge the gap between environmental science and democratic policy making for the issue of climate change. The discussion is based on a total of 52 IA focus groups with citizens, run in six European and one US city. In these groups, different computer models were used, ranging from complex and dynamic global models to simple accounting tools. The analysis in this paper focuses on the role of the computer models. The findings suggest that the computer models were successful at conveying to participants the temporal and spatial scale of climate change, the complexity of the system and the uncertainties in our understanding of it. However, most participants felt that the computer models were less instrumental for the exploration of policy options. Furthermore, both research teams and participants agreed that despite considerable efforts, most models were not sufficiently user-friendly and transparent for being accessed in an IA focus group. With that background, some methodological conclusions are drawn about the inclusion of the computer models in the deliberation process. Furthermore, some suggestions are made about how given models should be adapted and new ones developed in order to be helpful for participatory IA. This revised version was published online in July 2006 with corrections to the Cover Date.     

Determining significance in social impact assessments (SIA) by applying both technical and participatory approaches: Methodology development and application in a case study of the concentrated solar power plant NOORO I in Morocco

One of the main objectives of impact assessments is to identify potentially significant impacts. However, determining this significance has received very limited attention as a procedural step in social impact assessments. Consequently, only limited research and documentation exists on approaches, survey tools and evaluation methods, especially with regard to participatory approaches and combined participatory-technical approaches. This study aims to address this research gap by developing and applying a joined participatory and technical impact significance evaluation. The approach is applied in a case study which analysed the livelihood impacts of the large-scale concentrated solar power plant NOOR_O I in Ouarzazate, Morocco.The analysis shows that although different approaches and significance criteria must be applied when involving both local stakeholders and experts, the linked analysis offers more robust results and an improved basis for decision-making. Furthermore, it was observed in the case study that impacts affecting the social, cultural and political spheres were more often considered significant than impacts affecting the physical and material livelihood dimensions. Regarding sustainability assessments of large-scale renewable energy plants, these findings underline the importance (as for other large-scale infrastructure developments) of placing greater emphasis on the inclusion of social aspects in impact assessments.     

An inquiry into the potential of scenario analysis for dealing with uncertainty in strategic environmental assessment in China

Strategic environmental assessment (SEA) inherently needs to address greater levels of uncertainty in the formulation and implementation processes of strategic decisions, compared with project environmental impact assessment. The range of uncertainties includes internal and external factors of the complex system that is concerned in the strategy. Scenario analysis is increasingly being used to cope with uncertainty in SEA. Following a brief introduction of scenarios and scenario analysis, this paper examines the rationale for scenario analysis in SEA in the context of China. The state of the art associated with scenario analysis applied to SEA in China was reviewed through four SEA case analyses. Lessons learned from these cases indicated the word “scenario” appears to be abused and the scenario-based methods appear to be misused due to the lack of understanding of an uncertain future and scenario analysis. However, good experiences were also drawn on, regarding how to integrate scenario analysis into the SEA process in China, how to cope with driving forces including uncertainties, how to combine qualitative scenario storylines with quantitative impact predictions, and how to conduct assessments and propose recommendations based on scenarios. Additionally, the ways to improve the application of this tool in SEA were suggested. We concluded by calling for further methodological research on this issue and more practices.     

An inquiry into the potential of scenario analysis for dealing with uncertainty in strategic environmental assessment in China

Strategic environmental assessment (SEA) inherently needs to address greater levels of uncertainty in the formulation and implementation processes of strategic decisions, compared with project environmental impact assessment. The range of uncertainties includes internal and external factors of the complex system that is concerned in the strategy. Scenario analysis is increasingly being used to cope with uncertainty in SEA. Following a brief introduction of scenarios and scenario analysis, this paper examines the rationale for scenario analysis in SEA in the context of China. The state of the art associated with scenario analysis applied to SEA in China was reviewed through four SEA case analyses. Lessons learned from these cases indicated the word “scenario” appears to be abused and the scenario-based methods appear to be misused due to the lack of understanding of an uncertain future and scenario analysis. However, good experiences were also drawn on, regarding how to integrate scenario analysis into the SEA process in China, how to cope with driving forces including uncertainties, how to combine qualitative scenario storylines with quantitative impact predictions, and how to conduct assessments and propose recommendations based on scenarios. Additionally, the ways to improve the application of this tool in SEA were suggested. We concluded by calling for further methodological research on this issue and more practices.     

A window on urban sustainability: Integration of environmental interests in urban planning through ‘decision windows’

Sustainable urban development requires the integration of environmental interests in urban planning. Although various methods of environmental assessment have been developed, plan outcomes are often disappointing due to the complex nature of decision-making in urban planning, which takes place in multiple arenas within multiple policy networks involving diverse stakeholders. We argue that the concept of ‘decision windows’ can structure this seemingly chaotic chain of interrelated decisions. First, explicitly considering the dynamics of the decision-making process, we further conceptualized decision windows as moments in an intricate web of substantively connected deliberative processes where issues are reframed within a decision-making arena, and interests may be linked within and across arenas. Adopting this perspective in two case studies, we then explored how decision windows arise, which factors determine their effectiveness and how their occurrence can be influenced so as to arrive at more sustainable solutions. We conclude that the integration of environmental interests in urban planning is highly dependent on the ability of the professionals involved to recognize and manipulate decision windows. Finally, we explore how decision windows may be opened.     

Models at the interface between science and society: impacts and options

Within the CLEAR project a new approach to integrated assessment modelling has been developed for the participatory integrated assessment of regional climate change involving citizens' focus groups. The climate change decision problem was structured by focusing separately on climate impacts and mitigation options. The attempt was made to link the different scales of the problem from the individual to the global level. The abstract topic of climate change was related to options on the level of a citizen's individual lifestyle. The option of a low energy society was emphasised in order to embed the climate change decision problem in a wider range of societal concerns. Special emphasis was given to the characterisation and communication of uncertainties. The chosen approach allows different kinds of uncertainties in one framework to be addressed. The paper concludes with a summary of the experience made, and recommendations for the use of models in participatory integrated assessments. This revised version was published online in July 2006 with corrections to the Cover Date.     

Risk management and integrated assessment

Integrated Assessment (IA) is the pursuit of a research program generated by the limitations of traditional forms of risk management. This claim can be justified by the following argument. Over the last decades, analysts and practitioners have brought to maturity a large array of tools for risk management. Most of them rely on combining judgments of utility with judgments of probability. This is the approach of the Rational Actor Paradigm (RAP). With many environmental problems, however, RAP‐based tools have run into considerable practical and theoretical difficulties. In response to these difficulties, a series of alternative approaches to practical risk management and to the theoretical understanding of risk have been elaborated. They try to embed the rational choices of individual actors studied by RAP into a broader framework of social rationality. This task can be approached by distinguishing situations where an actor holds unambiguous judgments of preference and probability from situations characterized by ambivalent judgments. RAP can handle the former, but not the latter. Problems whose management requires a combination of widely differing scientific disciplines are especially likely to involve ambivalent judgments of probability. The study of such problems constitutes the research program of integrated assessment. It involves three main tasks: developing IA models which can represent ambivalent expectations and evaluations, developing IA models which use such representations to study non‐marginal changes of social systems, and developing procedures of participatory IA which enable researchers to engage in an iterative exchange with various stakeholders. This revised version was published online in August 2006 with corrections to the Cover Date.     

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.     

Bi-national assessment of the Great Lakes: SOLEC partnerships

Many administrative jurisdictions have authority over parts of the Great Lakes, sometimes with competing purposes as well as governance at differing scales of time and space. As demand increases for high quality information that is relevant to environmental managers, environmental and natural resource agencies with limited budgets must look to interdisciplinary, collaborative approaches for the collection, analysis and reporting of data. The State of the Lakes Ecosystem Conferences (SOLEC) were begun in 1994 in response to reporting requirements of the Great Lakes Water Quality Agreement between Canada and the U.S. The biennial conferences provide independent, science-based reporting on the state of health of the Great Lakes ecosystem components. A suite of indicators necessary and sufficient to assess Great Lakes ecosystem status was introduced in 1998, and assessments based on a subset of the indicators were presented in 2000. Because SOLEC is a multi-agency, multi-jurisdictional reporting venue, the SOLEC indicators require acceptance by a broad spectrum of stakeholders in the Great Lakes basin. The SOLEC indicators list is expected to provide the basis for government agencies and other organizations to collaborate more effectively and to allocate resources to data collection, evaluation and reporting on the state of the Great Lakes basin ecosystem.     

Health impact assessment – A survey on quantifying tools

Integrating human health into prospective impact assessments is known to be challenging. This is true for both approaches: dedicated health impact assessments (HIA) as well as inclusion of health into more general impact assessments. Acknowledging the full range of participatory, qualitative, and quantitative approaches, this study focuses on the latter, especially on computational tools for quantitative health modelling. We conducted a survey among tool developers concerning the status quo of development and availability of such tools; experiences made with model usage in real-life situations; and priorities for further development. Responding toolmaker groups described 17 such tools, most of them being maintained and reported as ready for use and covering a wide range of topics, including risk & protective factors, exposures, policies, and health outcomes. In recent years, existing models have been improved and were applied in new ways, and completely new models emerged. There was high agreement among respondents on the need to further develop methods for assessment of inequalities and uncertainty. The contribution of quantitative modeling to health foresight would benefit from building joint strategies of further tool development, improving the visibility of quantitative tools and methods, and engaging continuously with actual and potential users.     

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.     

Spheres of public conversation: Experiences in strategic environmental assessment

This paper draws on earlier research, a national review of Scottish SEA practice and a survey of practitioners and stakeholders engaged in SEA and spatial planning in one Scottish city-region, to explore claims being made in the academic literature for Strategic Environmental Assessment (SEA) as a tool for deliberative plan-making. We consider whether there is evidence that Scottish SEA practice is helping create more inclusive plan-making processes in light of recent legislative changes, thereby fulfilling one of the expectations of Scottish Government. The macro analysis found that although there are opportunities for stakeholders to engage in the Scottish SEA process the level in practice is extremely low, a finding which mirrors experience in England and elsewhere. The more detailed micro analysis reveals a more nuanced picture within the spatial planning system, however, suggesting the existence of two distinct spheres of public conversations, one characterised by active dialogue about the environmental effects of alternative strategies amongst public sector stakeholders and the other involving non-governmental stakeholders and community groups in a much more limited way. The paper concludes with a discussion of possible explanations for this outcome, concerning asymmetric incentive structures and the application of power, and a consideration of the implications in relation to the competing discourses of SEA.     

Underwater noise modelling for environmental impact assessment

Assessment of underwater noise is increasingly required by regulators of development projects in marine and freshwater habitats, and noise pollution can be a constraining factor in the consenting process. Noise levels arising from the proposed activity are modelled and the potential impact on species of interest within the affected area is then evaluated. Although there is considerable uncertainty in the relationship between noise levels and impacts on aquatic species, the science underlying noise modelling is well understood. Nevertheless, many environmental impact assessments (EIAs) do not reflect best practice, and stakeholders and decision makers in the EIA process are often unfamiliar with the concepts and terminology that are integral to interpreting noise exposure predictions. In this paper, we review the process of underwater noise modelling and explore the factors affecting predictions of noise exposure. Finally, we illustrate the consequences of errors and uncertainties in noise modelling, and discuss future research needs to reduce uncertainty in noise assessments.     

Participatory integrated assessment of adaptation to climate change in Alpine tourism and mountain agriculture

Winter tourism and mountain agriculture are the most important economic sectors in a major part of the Swiss Alps. Both are highly sensitive to changing climatic conditions. In the framework of the CLEAR project, results from climate impact research in the field of tourism and agricultural production were used to investigate the perception of climatic change by stakeholders and to assess possible adaptations. We used a participatory integrated assessment (PIA) to involve the knowledge, values and experiences of the various social actors in tourism and agriculture (e.g., skiers, tourism managers, farmers) in the research process. Whereas climate change may have various severe direct impacts on the tourism industry, depending on the region, agricultural production may generally benefit from changed climatic conditions. But because of the dependence of farmers on “off-farm” income, the loss due to declining winter tourism in specific areas may cause more important indirect effects. However, the two sectors may adapt actively by choosing from a variety of strategies, and the loss of income from the tourism industry may support the re-evaluation of the various functions agriculture plays in mountain regions, beyond the production of food. The study demonstrates the suitability of the PIA approach to elucidate the interactions between different stakeholders and their perception of the climate change phenomena. A similar participatory approach could be a useful tool to transfer research results and expert knowledge to the political process addressing adaptations to climate change. This revised version was published online in July 2006 with corrections to the Cover Date.     

Ethical implications of democratic theory for U.S. public participation in environmental impact assessment

Traditional mechanisms for public participation in environmental impact assessment under U.S. federal law have been criticized as ineffective and unable to resolve conflict. As these mechanisms are modified and new approaches developed, we argue that participation should be designed and evaluated not only on practical grounds of cost-effectiveness and efficiency, but also on ethical grounds based on democratic ideals. In this paper, we review and synthesize modern democratic theory to develop and justify four ethical principles for public participation: equal opportunity to participate, equal access to information, genuine deliberation, and shared commitment. We then explore several tensions that are inherent in applying these ethical principles to public participation in EIA. We next examine traditional NEPA processes and newer collaborative approaches in light of these principles. Finally, we explore the circumstances that argue for more in-depth participatory processes. While improved EIA participatory processes do not guarantee improved outcomes in environmental management, processes informed by these four ethical principles derived from democratic theory may lead to increased public engagement and satisfaction with government agency decisions.     

Cumulative effect assessment in Canada: a regional framework for aquatic ecosystems

Sustainable development of the aquatic environment depends upon routine and defensible cumulative effects assessment (CEA). CEA is the process of predicting the consequences of development relative to an assessment of existing environmental quality. Theoretically, it provides an on-going mechanism to evaluate if levels of development exceed the environment's assimilative capacity; i.e., its ability to sustain itself. In practice, the link between CEA and sustainable development has not been realized because CEA concepts and methods have developed along two dichotomous tracks. One track views CEA as an extension of the environmental assessment (EA) process for project developments. Under this track, stressor-based (S-B) methods have been developed where the emphasis is on local, project-related stressors, their link with aquatic indicators, and the potential for environmental effects through stressor-indicator interactions. S-B methods focus on the proposed development and prediction of project-related effects. They lack a mechanism to quantify existing aquatic quality especially at scales broader than an isolated development. This limitation results in the prediction of potential effects relative to a poorly defined baseline state. The other track views CEA as a broader, regional assessment tool where effects-based (E-B) methods specialize in quantification of existing aquatic effects over broad spatial scales. However, the predictive capabilities of E-B methods are limited because they are retrospective, i.e., the stressor causing the effect is identified after the effect has been measured. When used in isolation, S-B and E-B methods do not address CEA in the context necessary for sustainable development. However, if the strengths of these approaches were integrated into a holistic framework for CEA, an operational mechanism would exist to better monitor and assess sustainable development of our aquatic resources. This paper reviews the existing conceptual basis of CEA in Canada including existing methodologies, limitations and strengths. A conceptual framework for integrating project-based and regional-based CEA is presented.