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.     

Systems thinking and SEA

Abstract

Systems thinking seeks ‘how things work’ in an explicit way, considering not only the elements of systems (or processes) but most importantly the relationships between them. Its suggested contribution to SEA is that practitioners and researchers who are either (a) not entirely satisfied by reductionistic approaches based on behaviour or statistics (e.g. ‘black boxes’ or ‘composite points’), or (b) pro-active enough to seek understanding about the SEA process, SEA systems (e.g. per country), as well as the ‘object systems’ of SEA (physical and social structures) will be able to fulfil their curiosity or need for unequivocal and transparent documentation in what respects structure and function.     

Factors affecting SEA effectiveness in Estonia

This study addresses the key aspects of the Estonian SEA system and the main factors affecting the effectiveness of SEA. Five dimensions of SEA effectiveness (substantive, pluralist, transactive, normative and transformative) have been examined. The study is also complemented by semi-structured interviews of key actors of the SEA systems (public authorities, SEA experts and environmental NGOs), but also on the authors’ own experiences in analysing and participating in the SEA process. The paper concludes that SEA has become a relatively routine process at national government and local government levels, and effectiveness is affected by the level of assessment of cumulative effects (especially those of climate change, biodiversity loss and green area network), consideration of alternatives and extent of public participation. One of the significant impediments to the effectiveness, however, is the missing SEA follow-up.     

Lessons learnt from voluntary strategic environmental assessments (SEAs) in Namibia

Abstract

Ten strategic environmental assessments (SEAs) were undertaken in Namibia between 2008 and 2013, although it is not yet a legal mandate. Efforts are currently underway to establish a formal instrument for SEA processes. To inform the drafting of such regulations or at the request of proponents, seven of these SEAs were reviewed using a methodology developed for the OECD-DAC and based on principles of SEA good practice. The reviews examined the processes followed by the SEAs, appraised stakeholders’ reflections, and assessed the outcomes and contributions to decision-making. Although all analysed SEAs delivered on their respective terms of references (ToRs), inadequacies encountered were largely attributed to shortcomings in their ToRs. They showed inadequate public consultation or strategic dimension; failed to address alternatives to, and cumulative effects of, the policy, plan or programme assessed; and paid limited attention to synergies or antagonisms. The majority had some influence on decision-making and proposed monitoring procedures for identified mitigation measures. SEA regulations and measures to strengthen institutional and human capacity to sustain effective SEA application are critically needed in Namibia.     

Using rapid SEA to influence national planning in Namibia

This article describes a rapid strategic environmental assessment (SEA) of Namibia's Fourth National Development Plan (NDP4) (2012–2013 to 2016–2017). The authors believe this to be the first application of such an approach to a national development plan that typically charts a country's key over-arching development objectives and targets. It was undertaken over four weeks and involved a preparatory desk review of the objectives and implementation strategies of NDP4, Vision-2030 and key sector policies, as well as several other policies. The results were analysed during half-day, facilitated, multi-stakeholder focus sessions convened for each of five policy clusters that drive development in Namibia: land and agriculture, water, conservation and tourism, mining and industry, and fisheries. Policy performance and synergies/antagonisms within and between policies were assessed, and how policy elements might be improved to enhance synergies/reduce antagonisms and improve their contribution to sustainable development and achieve the goals of NDP4 and Vision-2030. This rapid approach to SEA offers a cost-effective alternative to conventional SEA requiring many months, a team of experts and an extensive process.     

Survey of current methods and guidance for strategic environmental assessment

This paper examines methods promoted and used in strategic environmental assessment (SEA) practice, practitioner choices about methodology and the nature of SEA guidance. Results show that SEA is not challenged by a lack of methods, but the range of methods promoted and used is restrictive. A major challenge to practice is making the ‘right choices’ about methods and methodology. Much SEA guidance is focused on flexibility in SEA, providing high-level principles, and is too generic to facilitate such choices. It is assumed that there is sufficient expertise amongst SEA practitioners, and that practitioners will simply know what methods and methodologies are best. Our results indicate that more detailed operational guidance is needed at the practitioner level on how to make sound methodological choices and how to select the best available methods for the SEA tier and context at hand.     

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.     

Environmental impact assessment and strategic environmental assessment in the UK after leaving the European Union

Abstract

The United Kingdom has voted to leave the European Union and, until the terms of the ‘Brexit’ are negotiated, this has led to considerable uncertainty over the future practice of environmental impact assessment (EIA) and strategic environmental assessment (SEA) in the UK. Here we show that multiple obligations exist outside the scope of the EU which mean that EIA and SEA will continue to be required in the long term, but that their future compliance with the Directives remains unclear. We consider three scenarios for Brexit and present the implications of each; these are: signing up to the European Economic Area (EEA) Agreement; membership of the European Free Trade Association, but not EEA, or negotiate a separate agreement. The implications of no longer being subjected to the obligations of the Directives under some scenarios are discussed and include opening the door for increasing diversity of application across the regions of the UK, and the probability of raised screening thresholds so as to reduce the burden of assessment on developers.     

Resilience thinking improves SEA: a discussion paper

Strategic environmental assessment is often referred to as a tool for predicting the consequences of planned development. The assumption of predictability of outcomes is inconsistent with reality which is characterised by uncertainty and complexity. Furthermore, the capacity of our life support systems to absorb disturbance and re-organise without changing into undesirable states appears to be of critical importance. Resilience thinking provides a structured way of looking at complexity, uncertainty and interrelatedness of systems and processes, and above all, provides us with new ways of dealing with planning and more effective use of SEA. Resilience thinking provides inspiration for those who want to extend their thinking about sustainability, but it also challenges some ideas underpinning the impact assessment profession (the future is unpredictable; change is inevitable; increasing stability leads to vulnerability). This paper is the result of a lively and well-visited workshop on resilience thinking and SEA at the 2010 IAIA conference in Geneva. It introduces the basic concepts of resilience thinking, and develops ideas for its integration within SEA practice.     

Reflecting on the preparation of guidelines for strategic environmental assessment (SEA) of nuclear power programmes

In this paper, the ‘guidelines for strategic environmental assessment (SEA) of nuclear power programmes’ by the International Atomic Energy Agency are introduced. This includes a reflection on their preparation process and contents as well as consultation feedback. The preparation process started with two meetings of international nuclear and SEA experts and the creation of a writing team which prepared an initial set of draft guidelines. This was followed by various consultation exercises. The guidelines are organised along an allocation of tasks within a tiered system of energy related policies, plans, programmes and projects. Whilst consultation showed that there was agreement on the approach to most issues, no consensus was present on the extent to which economic and social issues should be fully integrated with environmental considerations. Strong support was given to the way quality review is designed, going beyond focusing on the main SEA reports to cover procedural and participatory aspects next to elements of a comprehensively tiered decision making framework, the ability to influence decisions as well as the quality (expertise and experience) of those involved in conducting the SEA.

Abbreviation: SEA: Strategic Environmental Assessment; EIA: Environmental Impact Assessment; IAEA: International Atomic Energy Agency     

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.     

Policy SEA: lessons from development co-operation

This professional practice report reflects upon lessons learned from piloting and evaluating an innovative approach to policy strategic environmental assessment (SEA) in developing countries. The primary analytical focuses of the approach are institutions and governance characteristics, plus it places strong emphasis on learning. The piloting provides valuable insights about the conduct of SEA at the policy level and in socio-political where there is limited experience with SEA. From our observations we reflect upon the importance of appropriate ownership of an SEA; the practical implications of working in contested political environments; the challenges in using SEA as a tool to promote good governance; and the centrality of a long-term perspective to environmental and social mainstreaming.     

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.     

A novel hybrid FS‐FEM/SEA for the analysis of vibro‐acoustic problems

Predicting the frequency response of a complex vibro‐acoustic system becomes extremely difficult in the mid‐frequency regime. In this work, a novel hybrid face‐based smoothed finite element method/statistical energy analysis (FS‐FEM/SEA) method is proposed, aiming to further improve the accuracy of ‘mid‐frequency’ predictions. According to this approach, the whole vibro‐acoustic system is divided into a combination of a plate subsystem with statistical behaviour and an acoustic cavity subsystem with deterministic behaviour. The plate subsystem is treated using the recently developed FS‐FEM, and the cavity subsystem is dealt with using the SEA. These two different types of subsystems can be coupled and interacted through the so‐called diffuse field reciprocity relation. The ensemble average response of the system is calculated, and the uncertainty is confined and treated in the SEA subsystems. The use of FS‐FEM ‘softens’ the well‐known ‘overly stiff’ behaviour in the standard FEM and reduces the inherent numerical dispersion error. The proposed FS‐FEM/SEA approach is verified and its features are examined by various numerical examples. Copyright © 2015 John Wiley & Sons, Ltd.     

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.     

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.     

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.     

The stakeholder analysis for SEA of Chinese foreign direct investment: the case of ‘One Belt,One Road’ initiative in Pakistan

This paper reports on a stakeholder analysis conducted for Strategic Environmental Assessment (SEA) on Chinese foreign direct investment (FDI), taking the ‘One Belt, One Road’ initiative (OBOR) in Pakistan as a case study. Based on a three-level framework of stakeholder analysis – identification, investigation and communication, the study aims to develop an understanding of stakeholders’ characteristics, examine social network functions, and make recommendations for Chinese FDI in Pakistan for reducing environmental and social challenges and for seizing the opportunities noted by stakeholders in particular. Results suggest that stakeholders have a positive attitude towards Chinese FDI in Pakistan. Air quality and water consumption were identified as the top two challenges on Chinese FDI. Generally speaking, opportunities of investment were seen to be more important than challenges, such as increasing energy reserves, water quality improvement and social-economic development. Based on the results, it is suggested that SEA can help to generate a win–win strategy for both countries.     

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.     

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.