The effectiveness of the SEA process in Slovenia

This article focuses on the analysis of strategic environmental assessment (SEA) effectiveness in Slovenia. Apart from some general information on the SEA legal framework and guidance, the article mainly explores the political context, substantive, transactive, normative, knowledge/learning and pluralist effectiveness of SEA in Slovenia. An online questionnaire was prepared to collect information and views related to the stated aspects of SEA effectiveness from key stakeholders involved in the process. The survey results indicate that SEA in Slovenia is only partially effective. The most commonly recognised problems related to the substantive effectiveness of SEA are linked to weak control over the implementation of the mitigation measures and their effectiveness. With regard to transactive effectiveness, the SEA extends the planning process and is mostly assessed to have a low cost–benefit ratio. Personnel and organisations involved in SEA processes have very diverse skills and efficiency. In relation to normative effectiveness, neglect of social and economic components occurs. SEA does not seem to be very successful in changing the way of thinking, which has a negative impact on knowledge effectiveness. Pluralist effectiveness could be also improved, especially with regard to better integration of views from the public into the planning process.     

Recognising ‘learning’ as an uncertain source of SEA effectiveness

Strategic environmental assessment’s (SEA’s) capacity to profile significant environmental effects is thought to help make public-sector decision-making more sustainable. Acknowledgement is growing that ‘learning’, that links to but transcends individual assessments, is a key source of SEA effectiveness. Such learning is largely positioned as wholesome, moral, as ‘good’. The Scottish Parliament went further than the European Commission to require all public bodies to engage with SEA. More than 14 years of evidence – including from the Scottish Government SEA Database (an online registry), a survey and interviews – provides a unique opportunity to study the role of learning in SEA. The paper argues that application of SEA requires systematic reinforcement and maintenance of learning. But the learning fostered by SEA is not guaranteed to prioritise or protect ‘environment’ – for that to happen SEA must also be embraced as disruptor of the prioritisation of economic goals.     

Outcomes and contextual aspects of strategic environmental assessment in a non-mandatory context: the case of Brazil

Within the ample body of literature devoted to strategic environmental assessment (SEA) outcomes and the assessment of its effectiveness, it is accepted that the performance of SEA systems is influenced by contextual aspects. Procedural aspects, objectives, guidance, approach, timing, amongst others, are reported as key components of the different dimensions of SEA effectiveness but their linkage to SEA outcomes is yet to be adequately investigated. In this paper, contextual aspects and related outcomes of a non-mandatory SEA system were identified through systematic literature review and personal interviews with key actors of SEA, aiming at the identification of the influence of contextual factors on SEA effectiveness. The findings indicate three main aspects that may explain the lengthy process of introduction of SEA in plan- and policy-making in the country: (i) lack of proper SEA legislation, (ii) the influence of Environmental Impact Assessment practice and (iii) the influence of the environmental licensing culture. Nevertheless, SEA contributes to improving communication between stakeholders along the planning process and to providing a better level of information for lower tiers of decision-making. In spite of the minor influences on the nature of the strategic action, valuable lessons credited to SEA have been learnt.     

SEA in Austria and the participative SEA Round Table model

This article firstly gives an overview of Austria’s SEA practice. Secondly it explores the effectiveness of a specific SEA approach, the SEA Round Table. The SEA Round Table is a participative SEA model, involving members of public administration, environmental NGOs and external experts throughout the entire SEA process. This SEA team seeks consensus on an environmentally sound plan or programme. The effects of this SEA Round Table approach are presented by a series of four SEAs carried out for the last four Viennese waste management plans from 1999 to 2018. These four case studies are quite specific SEA cases, which do not allow conclusions on overall SEA effectiveness in Austria. However, some of the outcomes give an idea of how SEA can actually contribute to more environmentally sound plans, which are also easier to implement.     

Effectiveness of strategic environmental assessment in Poland

The paper presents the results of an evaluation of the effectiveness of SEA obtained as a result of a survey with the participation of stakeholders. In Poland, several hundred SEAs are conducted annually at the local and regional levels and several at the national level. Although the survey demonstrated that SEA is evaluated as effective or quite effective, the respondents pointed to several irregularities in the non-procedural dimension of effectiveness. The main ones in terms of substantive effectiveness are that SEA is rarely used to help develop plans/programmes and procedures are highly politicised. Moreover, low effectiveness in terms of variant assessment and cumulative impacts and nearly non-existent monitoring of the actual effects of implementing plans/programmes influence substantive effectiveness significantly. The respondents pointed to the problem resulting from the fact that plan-makers are unwilling to take into account the SEA recommended changes. They also emphasised that there are certain attempts to put pressure on SEA consultants to make the conclusions less stringent. Respondents indicate that in Poland the costs associated with conducting SEA often outweigh the profits. The research shows that the society is properly informed about SEA, but public involvement is still low.     

Towards effective scoping in strategic environmental assessment

The scoping phase in strategic environmental assessment (SEA) is considered a central issue for the effectiveness of the whole SEA process, enhancing decision-making. Understanding SEA should be context-specific and scoping is paramount for a robust SEA; the main goal of this research was to develop a framework for the evaluation of the procedural effectiveness of the scoping stage in a specific political and planning system context – Portugal. The framework developed comprises a set of 21 criteria divided into six broad themes and was applied to 20 Portuguese SEA scoping reports, through content analysis. Overall, it was found that mandatory issues in the Portuguese SEA context were met and the scoping reports used mainly national guidelines. However, issues of public participation are often discarded and there is no evidence that scoping starts early in the decision-making process, or if it is done concurrently. Nonetheless, the framework developed establishes best practice for the SEA scoping phase, needing to be adapted to the different political and planning system contexts in order to reflect legal and institutional specificities.     

Effectiveness of strategic environmental assessment in Canada under directive-based and informal practice

This article explores the diversity of strategic environmental assessment (SEA) practice in Canada and lessons for improving the effectiveness of SEA. There are multiple dimensions to effectiveness, but core to SEA effectiveness is its strategic nature. SEA under the Canadian federal Cabinet directive is approached largely as an impact assessment tool, and effectiveness evaluated based on compliance. Practice is entrenched in project-based assessment principles, but with no mandatory provision for public engagement, which limits the potential effectiveness of SEA. External to the Cabinet directive, across Canada’s provinces and territories, SEA and SEA-like practices are occurring in diverse forms and represent the more advanced and exemplary cases. A common challenge to SEA effectiveness, however, is that applications are often limited by their ad hoc nature and disconnected from any larger and formal system of participatory and integrated policy, planning and development decision making.     

Towards a better understanding of SEA effectiveness in Ireland

The first review of strategic environmental assessment (SEA) effectiveness in Ireland examined how a number of selected case studies performed procedurally. The findings pointed not only to deficiencies in the consideration of alternatives, monitoring and SEA Statements, but also in its capability to lead to more informed and sustainable decisions. Six years on from that review, this paper revisits some of the case studies and appraises non-procedural effectiveness via stakeholder interviews to obtain a more comprehensive account of SEA effectiveness across the life of the reviewed plans. The case studies illustrate a general openness to SEA. Overall, consulted experts agreed that SEA contributes significant knowledge to planning decisions. SEA iterations tend to be more efficient as a result of learning; in some cases, the process led to internal organisational restructuring, facilitating better environmental integration in subsequent plans. There is limited implementation of monitoring across the case studies, so while the review points to positive outcomes of SEA (e.g. new data and knowledge, mitigation by avoidance), it remains to be evidenced whether it ultimately prevents adverse environmental effects.     

Investigating the effectiveness of strategic environmental assessment in Thailand

Strategic environmental assessment (SEA) was introduced in Thailand in 2005, aiming to direct decision-making at the strategic level (policy, programme, plan) towards sustainable development. Given reforms to the SEA requirements in 2018, it is timely to evaluate emerging SEA experience in the Thai context to inform future practice. The effectiveness of 14 SEAs was investigated based on a version of a recently published framework which substitutes ‘legitimacy’ for normative effectiveness and pluralism, modified through the addition of disaggregated sub-criteria associated with each dimension of effectiveness (procedural, substantive, transactive, and legitimacy), to facilitate a richer understanding of the effectiveness of practice. This more detailed effectiveness framework enabled a comprehensive evaluation of practice, and should be transferable to other contexts. The findings suggest that SEA in Thailand currently partially achieves procedural, substantive, and transactive effectiveness. Achieving some elements of substantive effectiveness where practice is currently weak is considered to be particularly challenging, and also determinative in the achievement of legitimacy. Consequently, the majority of SEAs evaluated in this study failed to achieve legitimacy.     

Evaluating strategic environmental assessment in The Netherlands: content,process and procedure as indissoluble criteria for effectiveness

To assess the effectiveness of strategic environmental assessment (SEA) we distinguish between its contribution to the quality of the ultimate policy choice (usefulness, applicability), the procedural quality of the planning process (transparency, timeliness) and the quality of stakeholder participation in the planning process (openness, equity, dialogue). In the context of two case studies involving Dutch planning practice, we argue that when and how an SEA is applied is crucial to understanding its effectiveness, and show that effectiveness depends upon its alignment with, and embedding in, the planning process.     

From medicine to poison: how flexible strategic environmental assessment may be? Lessons from a non-regulated SEA system

Empirical research dedicated to Strategic Environmental Assessment (SEA) is mostly grounded on SEA systems guided by legal requirements, clearly stated procedures and systematic use of SEA to policy- and plan-making. Nevertheless, a considerable parcel of SEA practice is currently occurring in countries with no specific legislation or guidance to be followed, i.e. non-regulated SEA systems. Therefore, it is important to understand how SEA is performing in these countries and to establish whether related SEA systems are subject to the same premises and perspectives of effectiveness that have been reported in literature so far. The paper provides a comprehensive analysis of the state-of-practice in Brazil, based on best practice analysis of SEA reports and interviews, reporting empirical evidence regarding the use of SEA and its related timing, procedural performance and key players involved. Main findings reveal an isolated instrument, embroidered in a disperse and unclear framework, poorly coordinated and highly sensitive to circumstances. Provision of a structured system, indicating clear purposes of SEA, systematic procedures and stakeholder’s responsibilities are suggested as potentially relevant measures to balance current system’s flexibility, thus fostering SEA effectiveness.     

The politics of strategic environmental assessment indicators: weak recognition found in Chinese guidelines

The choice and use of indicators is not only technical and science-led, but also a value-laden social process, and thus concerns public participation and political judgement. This article approaches the Chinese strategic environmental assessment (SEA) indicator system from a science–policy interface perspective and aims to: (1) contribute to the general recognition of indicators functioning in SEA; and (2) analyse, through a Chinese case study, to what extent national guidelines address this science–policy interaction. The overall finding is a strong emphasis on technical/science aspects in the Chinese SEA guidance, and a weak explicit recognition that policy plays a role in choosing and using indicators. Recent development, however, indicates a growing recognition of the politics involved and thus also leads to greater involvement of stakeholders.     

Effectiveness of strategic environmental assessment in the Czech Republic

The widespread application of SEA over the last 15 years in the Czech Republic has allowed for a gradual accommodation of SEA procedural steps into the standard bureaucratic routine of public authorities. In this paper, we discuss results of a small-scale survey among Czech SEA practitioners focusing on issues related to the effectiveness and efficiency of the SEA. The results suggest a moderate progress driven primarily by the accumulation of practical experience among both SEA consultants and the planners, and there is certainly no shortage of examples where SEA positively affected a plan. On the other hand, continuation of many negative general environmental trends (e.g. excessive conversion of virgin land for development, continuation of environmentally harmful agriculture and forestry policies, etc.) seem to conform the notion that the SEA, as currently practiced, in the Czech Republic fails to deliver to its full potential.     

Strategic environmental assessment effectiveness in Portugal

Discussions on effectiveness have been around in impact assessment for many years, blending multiple perspectives. This paper is about the effectiveness of strategic environmental assessment (SEA) in Portugal. The adopted framework was set by the editors of this special issue and this paper is contributing results obtained through a questionnaire shared with SEA professionals in Portugal, and also from discussions held in a workshop promoted by the Portuguese national authority on SEA. We have tried to understand the influence of SEA in development processes and the perception on SEA added-value to both environmental authorities and other relevant stakeholders in Portugal. Results are mixed and somehow reveal some confusion between expectations with what SEA aims to achieve, and with what it is actually delivering, which question its effectiveness, as expressed by some opinions that SEA ‘magic may be fading away’. However, other outcomes, such as the recognized need for better communication and increased capacity-building, support the conclusion that most SEA practice and experience in Portugal are yet far from SEA full capacity and potential.     

Towards a more effective approach to the development and maintenance of SEA guidance

Written guidance can contribute to the development of effective SEA, delivering relevant information for those involved in policy, plan and programme making processes. Generally speaking, guidance should aim at setting best practice standards. However, to date, how guidance is impacting on SEA effectiveness and how it is best developed and maintained has not been explored to any great extent. As a consequence, it has remained unclear how a key ingredient of effective SEA, namely the support of an enabling context, should be approached. In this paper, we look at the perceived relevance of written guidance for the delivery of effective SEA, based on a two-stage survey with 26 practitioners (all with over 10 years of experience) from the UK and the Republic of Ireland, conducted between 2015 and 2017. Survey participants included representatives of the regulatory, consultancy and academic sectors. Our findings indicate that guidance can promote SEA effectiveness if it: (a) aims to go beyond basic legislative requirements; (b) is able to respond to the specific situation of application; (c) can establish a minimum standard for SEA; and (d) is able to stimulate the advancement of quality standards within a tiered approach to SEA.     

Towards a home-grown approach to strategic environmental assessment: adapting practice and participation in Kenya

Abstract

Kenya is among the first countries in sub-Saharan Africa to formally require the assessment of public policies, plans and programs. National strategic environmental assessment (SEA) guidelines were finalized in 2012 to adapt and enhance SEA practice in the Kenyan context. The purpose of this research was to examine recent Kenyan SEA, with a particular emphasis on public participation, by developing and applying an analysis framework that both incorporates commonly accepted SEA principles and approaches and is cognizant of the national context in shaping SEA practice. Results reveal that a number of SEA practices are consistent with the framework in the nine cases considered, such as containing standard SEA components and developing monitoring plans. A requirement that each SEA must include educating the public about SEA is an innovative local adaptation. Results also show a number of practices that are still emerging, such as initiating SEA early and disseminating results to the participants. We conclude that SEA is still developing in Kenya, but processes for conducting it are slowly adapting to the Kenyan context.     

SEA effectiveness in Spain: insights from practice

Strategic Environmental Assessment (SEA) is fairly well-established in Spain, informing decision-makers on the likely environmental consequences of their plans and policies. However, limited attention has been paid to the study of SEA effectiveness in Spain, particularly with regards to practitioner and stakeholder views. This paper aims to bridge this knowledge gap by gathering and examining views on SEA’s participatory aspects, the performance of the procedural elements and the overall role of SEA in decision-making. The paper describes the legal implementation of SEA in Spain, and discusses current views on its effectiveness, grounded on the authors’ own experiences.     

Effectiveness of strategic environmental assessment in Germany? – meta-review of SEA research in the light of effectiveness dimensions

SEA practice in Germany has been growing since its introduction and so has the number of SEA research projects and publications. This paper provides a meta-review of German SEA effectiveness research published between 2004 and 2018. In this context, we discuss: (1) What is the status quo of SEA application in Germany? (2) What dimensions of SEA effectiveness have been addressed in research to date? and (3) How effective is SEA in Germany? Our findings indicate that there is room and need for SEA improvement, for example, with regards to the practice of screening, transparency, and quality management. With a focus of previous SEA research on the dimension of procedural effectiveness, future research should aim at other dimensions and their interactions (substantive, transactive, knowledge and learning, legitimacy).     

A social impact perspective on the Browse LNG Precinct strategic assessment in Western Australia

The Western Australian (WA) Government wants to construct a large liquid natural gas processing precinct in the remote Kimberley region. The WA and Australian federal governments jointly conducted a strategic environmental assessment (SEA) of the Browse Precinct proposal. This article examines how the Browse SEA process affected the consideration of alternative development options and the management of social impacts. Resource development proposals often stimulate debate about the best means to achieve sustainable development outcomes and an SEA can provide a public space in which such social choices can be explored. However, the Browse SEA provided no such opportunity and this may have contributed to the severity of collateral social impacts. WA and federal SEA processes result in legally binding conditions of approval that can be applied to actions (e.g. projects) arising from a strategic proposal. This is a significant benefit to project proponents but can leave affected communities with high levels of uncertainty regarding their futures. This uncertainty is heightened by the fact that the SEA approval process cannot accommodate a broad range of social impacts.     

How strategic dynamics complicate the framing of alternatives in strategic environmental assessment: the case of the Danish natural gas planning

Unpredictable and complex developments challenge the application of strategic environmental assessment (SEA), for example, in terms of timing, prediction and relevance of assessments. In particular, multi-actor and unstructured strategic-level decision-making processes often seem to be characterised by unpredictable and complex changes. Despite the apparent implications, explorative investigations about how unpredictability influences SEA application in practice are rare. This article aims to shed light on contextual changes and reactions to such changes in practice by a case study of the specific SEA process of the Danish Natural Gas Security of Supply Plan. Special emphasis is given to the framing of alternatives in the SEA process, since alternatives are directly related to the contextual developments. Based on a participative approach, strategic dynamics are mapped and the reactions and concerns in the SEA team are outlined. The contribution of the article is enhanced empirical understanding of strategic dynamics and how it challenges SEA application.