Lone Kørnøv

Rationality in decision- and policy-making: implications for strategic environmental assessment

A proper integration of strategic environmental assessment (SEA) into policy-making processes is considered critical to the success of SEA. Most of the work in SEA seems to be based on the assumption that the provision of rational information will help improve decision-making, but the literature points to other characteristics of real decision-making processes, including cognitive limitations, behavioural biases, ambiguity and variability of preferences and norms, distribution of decision-making over actors and in time, and the notion of decision-making as a process of learning and negotiation between multiple actors. All these are very relevant at the planning and policy level. In the policy sciences literature, some approaches may also hold promise for SEA, such as supporting an open learning process, variety in ways to support and roles to play in these processes, and paying more attention to the actor configuration and distribution of interests, as a basis for finding implementable and effective solutions to policy problems. The elaboration of these ideas holds promises as well as challenges for SEA.

SEA and planning: ‘ownership’ of strategic environmental assessment by the planners is the key to its effectiveness

As the field of strategic environmental assessment (SEA) has matured, the focus has moved from the development of legislation, guidelines and methodologies towards improving the effectiveness of SEA. Measuring and of course achieving effectiveness is both complex and challenging. This paper suggests that SEA professionals need to consider ‘democratic effectiveness’ as well as ‘environmental effectiveness’ in both ‘direct’ and ‘indirect’ outputs. The effectiveness of SEA depends critically on the context within which SEA legislation and guidelines are understood and implemented, and the relationship of the SEA to the planning activity itself. This paper focuses on the influence that planners have in these implementation processes, postulating the hypothesis that these are key players in achieving effectiveness in SEA. Based upon implementation theory and empirical experience, the paper discusses the role of the planners in SEA implementation, concluding that their ‘ownership’ of SEA is crucial for both democratic and environmental effectiveness.

Mind the gap in SEA: An institutional perspective on why assessment of synergies amongst climate change mitigation, adaptation and other policy areas are missing

Abstract This article takes its point of departure in two approaches to integrating climate change into Strategic Environmental Assessment (SEA): Mitigation and adaptation, and in the fact that these, as well as the synergies between them and other policy areas, are needed as part of an integrated assessment and policy response. First, the article makes a review of how positive and negative synergies between a) climate change mitigation and adaptation and b) climate change and other environmental concerns are integrated into Danish SEA practice. Then, the article discusses the implications of not addressing synergies. Finally, the article explores institutional explanations as to why synergies are not addressed in SEA practice. A document analysis of 149 Danish SEA reports shows that only one report comprises the assessment of synergies between mitigation and adaptation, whilst 9,4% of the reports assess the synergies between climate change and other environmental concerns. The consequences of separation are both the risk of trade-offs and missed opportunities for enhancing positive synergies. In order to propose explanations for the lacking integration, the institutional background is analysed and discussed, mainly based on Scotts theory of institutions. The institutional analysis highlights a regulatory element, since the assessment of climate change synergies is underpinned by legislation, but not by guidance. This means that great focus is on normative elements such as the local interpretation of legislation and of climate change mitigation and adaptation. The analysis also focuses on how the fragmentation of the organisation in which climate change and SEA are embedded has bearings on both normative and cultural–cognitive elements. This makes the assessment of synergies challenging. The evidence gathered and presented in the article points to a need for developing the SEA process and methodology in Denmark with the aim to include climate change in the assessments in a more systematic and integrated manner.

Critical factors for EIA implementation: Literature review and research options

After decades of development, the gap between expectations of Environment Impact Assessments (EIA) and their practical performance remains significant. Research has been done to identify the critical factors for an effective implementation of EIA. However, this research, to a large extent, has not been cumulated and analysed comprehensively according to the stages of the EIA process. This paper contributes to the critical review of the literature on EIA implementation and effectiveness by cumulating mainly empirical findings in an implementation theoretical perspective. It focuses on the links between different critical factors and how they relate to different stages in the EIA and thus influence the decision making process. After reviewing 33 refereed journal articles published between 1999 and 2011, we identified 203 notions of critical factors. Of these, 102 related to different stages defined in our comprehensive EIA implementation model, and 101 were identified as general factors related to the whole EIA system. The number of notions of stage factors and general factors is thus about equal. An overlap between stage factors and general factors was found, which demonstrates that critical factors function differently in different cases. The function of the critical factors is complex and it is difficult to determine contingencies and causations. In the sources we examined, there is evidently an imbalance between in-depth empirical research and general knowledge, and the paper offers some suggestions for future research.

EIA as Regulation: Does it Work?

Since its introduction into Danish planning in 1989, Environmental Impact Assessment (EIA) has been widely discussed. At the centre of the debate the question has been whether EIA has actually offered anything new and there has been a great deal of scepticism about the efficacy of the instrument. Although, in principle EIA offers a holistic and proactive methodology, it does not seem to lead to a more holistic and proactive regulation which covers more ground than traditional planning and environmental regulation. In an evaluation of Danish experiences, this study has looked more closely at the effects of EIA. Three types of effects on projects have been examined: changes occurring prior to the formal application; changes during the EIA process; and the mitigation measures that are demanded of projects. The general conclusion is that EIA does generate a significant number of changes to projects. In approximately half of the cases studied, modifications are made prior to the formal application. During the formal EIA process, modifications were made in more than 90% of the cases. However, most of these could be considered as minor. EIA is characterized by being based upon a broad concept of the environment. It was found that a progressive narrowing of the concept of environment takes place during the course of the EIA process.

SEA of river basin management plans: incorporating climate change

In, 2000 the European Parliament and the European Council passed the Water Framework Directive (WFD) to be implemented in all Member States. The consequence of the directive is that river basin management plans (RBMPs) shall be prepared which are legally subject to a strategic environmental assessment (SEA). An important environmental factor for the water sector is climate change, especially the changes it causes to the water environment. However, based on an argument of an inadequate knowledge base regarding climate change impacts, the prospect of Danish authorities including climate change in their SEAs of RBMPs is weak. In this paper the connections between climate change and water are reviewed. As a result, it is suggested that climate change needs to be considered in three ways: mitigation, adaptation and baseline adaptation.

Mission impossible: does environmental impact assessment in Denmark secure a holistic approach to the environment?

This article focuses on the holistic approach to the environment within environmental impact assessment (EIA). Based on a comprehensive evaluation of the EIA regulations in Denmark, an important observation is that the environmental concept, from being broad in the initial stages, is narrowed considerably in subsequent phases of the EIA process. Although the EIA process starts out as very holistic, ultimately we find that mitigation measures and the regulatory efforts largely mirror traditional regulations, such as the law of environmental protection and other sectoral legislation. The article finally addresses some of the difficulties facing the authorities, when handling the broad concept of the environment.

A value-rational view of impact assessment of mega industry in a Greenland planning and policy context

The article reflects on the challenges to Greenlands impact assessment (IA) system in a planning and policy context, and discusses if and how IA at a strategic decision level could contribute to securing good environmental management and support sustainable development. This is done by focusing on two value-rational questions: (1) Where are we going with industrial development, IA regulation and IA practice in Greenland? and (2) What should be done? The two questions are answered through a gap analysis of legislation and IA practice and through the values for a future IA system in Greenland expressed by key actors. The research points to a need for strategic considerations in relation to planning new industries, which could be met by upstreamed IAs. A broad concept of environment in IAs, increased participation in the process and accessibility to the IA statement for all stakeholders are needed.

The influence of street level bureaucracy on the implementation of Strategic Environmental Assessment

A number of factors are critical to the implementation of measures identified through Strategic Environmental Assessment (SEA) processes. This paper addresses the challenge of implementation from a street level perspective and studies the role of planners and their use of discretion in the SEA implementation process: in which way might planners hinder or facilitate the implementation of SEA? Which coping mechanisms and discretions are deliberately or unconsciously developed and used by the planners? The paper reviews the literature on street level bureaucracy (SLB) in order to identify both factors influencing the implementation behaviour of street level bureaucrats and their coping mechanism when confronted with these factors. Based upon the SLB theory, a case study explores the SLB behaviour involved in the implementation of the SEA of the Copenhagen spatial plan. The analysis shows a surprisingly high level of implementation of measures put forward in the SEA report, and underlines the role of planners at the front line of implementation, functioning as ‘innovators’ during the SEA process and the following implementation of measures. The paper documents the importance of examining planners’ role in SEA and their potential as levers for SEA implementation.

EIA screening and nature protection in Denmark

The number of environmental impact assessment (EIA) screenings in Denmark has increased dramatically since 2000. This is a consequence of increased pig production as well as the concentration of production on larger farms. In the same period, EIA rules have developed primarily due to an increased focus on the protection of groundwater and Natura 2000 sites. In particular, the implementation of Natura 2000 in Danish legislation has increased the demands on many farms. In its rulings on appealed cases, the Nature Protection Board of Appeal has strengthened its demands, and this is mirrored in screening practices. In this paper, the demands formulated in the guidelines of local authorities were analysed in order to investigate how the protection of groundwater, coastal waters, lakes and Natura 2000 sites develops through EIA screening. It is concluded that the level of protection has improved, and that the main cause for this is not EIA regulations as such, but the positive role which the implementation of the Natura 2000 objectives has played in this development. However, it was also found that the formulation of demands varies greatly between the counties, thus often resulting in ambiguity and leaving room for quite different practices in different counties.