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Bond, Alan

Publications and source records attributed to Bond, Alan.

14 records
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DOE OSTI2018

Are current effectiveness criteria fit for purpose? Using a controversial strategic assessment as a test case

Highlights: • The effectiveness framework of Bond et al. (2015) is tested on a case study. • The strategic assessment of the proposed Browse LNG Precinct is evaluated. • The effectiveness framework is modified as a result of the analysis. • “Legitimacy” encompasses both pluralism and normative effectiveness. • Substantive effectiveness should include consideration of unintended consequences. - Abstract: The aim of this paper is to test the broader utility of the sustainability assessment effectiveness framework of Bond et al. (2015) by applying it to a controversial strategic assessment case study. The effectiveness framework comprises six dimensions: procedural effectiveness, substantive effectiveness, transactive effectiveness, normative effectiveness, pluralism, and knowledge and learning. It was originally developed to evaluate sustainability assessment at a system-wide level and it has not been previously applied to a specific case study. The analysis was conducted through document review and the first-hand experience of two of the authors who were involved in the case study in different capacities. The case study selected was the strategic assessment of the proposed Browse Liquefied Natural Gas (LNG) Precinct in Western Australia, which was conducted over the period 2007–2015 under the strategic assessment provisions of both the Western Australian and Australian Commonwealth environmental legislation. The framework provided a useful structure within which this complex case study could be explored, its strengths and weaknesses brought to light, and the interactions between the dimensions highlighted. We also found opportunities for refinement of the framework. As a result of this analysis we propose to replace the final three dimensions of the framework with legitimacy, where a legitimate process is one which all stakeholders agree is fair and which delivers an acceptable outcome for all parties, though we acknowledge the need for further conceptualisation of this dimension. We also suggest that the concept of substantive effectiveness should be expanded to incorporate the unintended consequences of impact assessment. Our research thus makes both a useful addition to the literature already published on the Browse case study, as well as to the literature on impact assessment effectiveness.

29 ENERGY PLANNING, POLICY, AND ECONOMY↗
DOE OSTI2018

Exploring pluralism – Different stakeholder views of the expected and realised value of strategic environmental assessment (SEA)

This paper explores the concept of pluralism by evaluating different stakeholder views on the expected and realised value of strategic environmental assessment (SEA). The research followed a single embedded case study approach (of a national-level SEA for renewable energy planning in South Africa) and engaged with four different stakeholder groups, namely government, industry, conservation groups, and interested and affected parties (IAPs). A total of 21 different value expectations (VEs) across all four stakeholder groups were identified. However, stakeholder groups contrast significantly in terms of VEs, with government concerned more with process and mandate; industry with cost, efficiency and certainty; conservation groups with data and technical aspects; and the IAPs with local scale issues. In terms of realisation of VEs the results suggest that SEA does provide opportunities for learning; focussing project level EIA and providing spatial guidance on the location of projects. However, SEA was less successful in realising integration of decision making and alignment of policy within government. Recognition and better understanding of the pluralistic nature of expected and realised VEs could potentially improve the legitimacy of SEA processes and methodologies if they are designed and implemented to accommodate pluralism.

29 ENERGY PLANNING, POLICY, AND ECONOMY↗
DOE OSTI2018

On legitimacy in impact assessment: An epistemologically-based conceptualisation

Highlights: • Impact assessment (IA) has lost its roots in provision of reliable evidence. • IA is theoretically position ontologically and epistemologically • Theory is used to examine the understanding of legitimacy and finds it to be inadequate. • Recent political decisions show knowledge is missing from understanding of legitimacy. • Knowledge legitimacy is conceptualised to redress the current misunderstandings. - Abstract: Impact assessment (IA) is carried out as an ex ante process to inform decision-making. It includes requirements for engagement with stakeholders (including the public) regarding actions proposed by a proponent. A key issue with the various stakeholders involved is the perceived legitimacy of the IA, which can have implications both for the reputation of the proponent, and the likelihood of conflict over the decision. But the understanding of legitimacy in the IA literature has changed over time in line with an ontological shift from positivism (that scientifically generated information leads to better informed decisions) to the post-positivist acknowledgement of the limitations of scientific method whereby assumptions must be subject to transparency, deliberation and openness. This has led to an epistemological shift towards greater subjectivism which, we suggest, has created new opportunities (which have been realised in political decision-making) to subvert knowledge through the increased use of the Internet and social media. To address the potential for such subversion of legitimacy, we seek to conceptualise legitimacy in the IA context through framing IA around a critical realist ontology and a reliabilist virtue epistemology. This allows us to identify ‘knowledge legitimacy’ as an equally important component of IA legitimacy along with organisational legitimacy. We conceptualise knowledge legitimacy through literature review drawing on rich understandings of knowledge from IA and other fields of research in order to develop a four-dimensional typology. This includes the dimensions of: knowledge accuracy; knowledge restriction; knowledge diffusion; and knowledge spectrum. This is the first theoretically grounded attempt to understand legitimacy in IA. It is hoped that it will provoke discussion in the IA community to further advance theoretical understandings of IA and legitimacy of practice.

54 ENVIRONMENTAL SCIENCES↗
DOE OSTI2017

Progressing quality control in environmental impact assessment beyond legislative compliance: An evaluation of the IEMA EIA Quality Mark certification scheme

The effectiveness of Environmental Impact Assessment (EIA) systems is contingent on a number of control mechanisms: procedural; judicial; evaluative; public and government agency; professional; and development aid agency. If we assume that procedural and judicial controls are guaranteed in developed EIA systems, then progressing effectiveness towards an acceptable level depends on improving the performance of other control mechanisms over time. These other control mechanisms are either absent, or are typically centrally controlled, requiring public finances; this we argue is an unpopular model in times of greater Government austerity. Here we evaluate a market-based mechanism for improving the performance of evaluative and professional control mechanisms, the UK Institute of Environmental Management and Assessments' EIA Quality Mark. We do this by defining dimensions of effectiveness for the purposes of our evaluation, and by identifying international examples of the approaches taken to delivering the other control measures to validate the approach taken in the EIA Quality Mark. We then evaluate the EIA Quality Mark, when used in combination with legal procedures and an active judiciary, against the effectiveness dimensions and use time-series analysis of registrant data to examine its ability to progress practice. We conclude that the EIA Quality Mark has merit as a model for a market-based mechanism, and may prove a more financially palatable approach for delivering effective EIA in mature systems in countries that lack centralised agency oversight. It may, therefore, be of particular interest to some Member States of the European Union for ensuring forthcoming certification requirements stemming from recent amendments to the EIA Directive. - Highlights: • Quality control mechanisms in EIA are identified. • Effectiveness of EIA is conceptualised for evaluation purposes. • The UK IEMA EIA Quality Mark is introduced as a market-based mechanism. • The EIA Quality Mark is found to progress quality in many, but not all, areas.

29 ENERGY PLANNING, POLICY, AND ECONOMY↗
DOE OSTI2016

Global megatrends and their implications for environmental assessment practice

This paper addresses the future of environmental assessment (EA) practice in light of a rapidly changing world. We apply a literature review-based methodology to firstly identify key global megatrends and then reflect upon the implications for EA practice based on some known challenges. The key megatrends identified are synthesised into six categories: i) demographics, ii) urbanization, iii) technological innovation, iv) power shifts, v) resource scarcity and vi) climate change. We then discuss the implications of these megatrends for EA practice against four known EA challenges namely: dealing with i) complexity and uncertainty, ii) efficiency, iii) significance and iv) communication and participation. Our analysis suggests important implications for EA practice such as: increased difficulties with accuracy of prediction; the need for facilitative adaptation; an increase in the occurrence of unexpected events; higher expectations for procedural efficiency; challenges with information and communication management; dealing with significance judgements; and mitigation amidst resource scarcity and increasing pressures on earth systems. The megatrends underscore the need for continued evolution of EA thinking and practice, especially moving away from seeking a predictable single future or outcome towards the possibility of multiple scenarios with associated adaptability and enhanced system resilience capable of responding to rapid change.

54 ENVIRONMENTAL SCIENCES↗
DOE OSTI2016

A game theory perspective on environmental assessment: What games are played and what does this tell us about decision making rationality and legitimacy?

Game theory provides a useful theoretical framework to examine the decision process operating in the context of environmental assessment, and to examine the rationality and legitimacy of decision-making subject to Environmental Assessment (EA). The research uses a case study of the Environmental Impact Assessment and Sustainability Appraisal processes undertaken in England. To these are applied an analytical framework, based on the concept of decision windows to identify the decisions to be assessed. The conditions for legitimacy are defined, based on game theory, in relation to the timing of decision information, the behaviour type (competitive, reciprocal, equity) exhibited by the decision maker, and the level of public engagement; as, together, these control the type of rationality which can be brought to bear on the decision. Instrumental rationality is based on self-interest of individuals, whereas deliberative rationality seeks broader consensus and is more likely to underpin legitimate decisions. The results indicate that the Sustainability Appraisal process, conducted at plan level, is better than EIA, conducted at project level, but still fails to provide conditions that facilitate legitimacy. Game theory also suggests that Sustainability Appraisal is likely to deliver ‘least worst’ outcomes rather than best outcomes when the goals of the assessment process are considered; this may explain the propensity of such ‘least worst’ decisions in practise. On the basis of what can be learned from applying this game theory perspective, it is suggested that environmental assessment processes need to be redesigned and better integrated into decision making in order to guarantee the legitimacy of the decisions made. - Highlights: • Decision legitimacy is defined in terms of game theory. • Game theory is applied to EIA and SA decision windows. • Game theory suggests least worst outcomes prevail. • SA is more likely to be perceived legitimate than EIA.

54 ENVIRONMENTAL SCIENCES↗
DOE OSTI2014

Towards sustainability assessment follow-up

This paper conceptualises what sustainability assessment follow-up might entail for three models of sustainability assessment: EIA-driven integrated assessment, objectives-led integrated assessment and the contribution to sustainability model. The first two are characterised by proponent monitoring and evaluation of individual impacts and indicators while the latter takes a holistic view based around focused sustainability criteria relevant to the context. The implications of three sustainability challenges on follow-up are also examined: contested time horizons and value changes, trade-offs, and interdisciplinarity. We conclude that in order to meet these challenges some form of adaptive follow-up is necessary and that the contribution to sustainability approach is the best approach. -- Highlights: • We explore sustainability follow-up for three different sustainability models. • Long-time frames require adaptive follow-up and are a key follow-up challenge. • Other key challenges include interdisciplinarity, and trade-offs. • Sustainability follow-up should be a direction of travel and not an outcome. • Only the follow-up for contribution to sustainability model addresses sustainability challenges sufficiently.

54 ENVIRONMENTAL SCIENCES↗
DOE OSTI2014

Impact assessment: Eroding benefits through streamlining?

This paper argues that Governments have sought to streamline impact assessment in recent years (defined as the last five years) to counter concerns over the costs and potential for delays to economic development. We hypothesise that this has had some adverse consequences on the benefits that subsequently accrue from the assessments. This hypothesis is tested using a framework developed from arguments for the benefits brought by Environmental Impact Assessment made in 1982 in the face of the UK Government opposition to its implementation in a time of economic recession. The particular benefits investigated are ‘consistency and fairness’, ‘early warning’, ‘environment and development’, and ‘public involvement’. Canada, South Africa, the United Kingdom and Western Australia are the jurisdictions tested using this framework. The conclusions indicate that significant streamlining has been undertaken which has had direct adverse effects on some of the benefits that impact assessment should deliver, particularly in Canada and the UK. The research has not examined whether streamlining has had implications for the effectiveness of impact assessment, but the causal link between streamlining and benefits does sound warning bells that merit further investigation. -- Highlights: • Investigation of the extent to which government has streamlined IA. • Evaluation framework was developed based on benefits of impact assessment. • Canada, South Africa, the United Kingdom, and Western Australia were examined. • Trajectory in last five years is attrition of benefits of impact assessment.

54 ENVIRONMENTAL SCIENCES↗
DOE OSTI2013

Conceptualising the effectiveness of impact assessment processes

This paper aims at conceptualising the effectiveness of impact assessment processes through the development of a literature-based framework of criteria to measure impact assessment effectiveness. Four categories of effectiveness were established: procedural, substantive, transactive and normative, each containing a number of criteria; no studies have previously brought together all four of these categories into such a comprehensive, criteria-based framework and undertaken systematic evaluation of practice. The criteria can be mapped within a cycle/or cycles of evaluation, based on the ‘logic model’, at the stages of input, process, output and outcome to enable the identification of connections between the criteria across the categories of effectiveness. This framework is considered to have potential application in measuring the effectiveness of many impact assessment processes, including strategic environmental assessment (SEA), environmental impact assessment (EIA), social impact assessment (SIA) and health impact assessment (HIA). -- Highlights: • Conceptualising effectiveness of impact assessment processes. • Identification of factors influencing effectiveness of impact assessment processes. • Development of criteria within a framework for evaluating IA effectiveness. • Applying the logic model to examine connections between effectiveness criteria.

54 ENVIRONMENTAL SCIENCES↗
DOE OSTI2013

Who plans for health improvement? SEA, HIA and the separation of spatial planning and health planning

This study examines whether there is active planning for health improvement in the English spatial planning system and how this varies across two regions using a combination of telephone surveys and focus group interviews in 2005 and 2010. The spatial planning profession was found to be ill-equipped to consider the health and well-being implications of its actions, whilst health professionals are rarely engaged and have limited understanding and aspirations when it comes to influencing spatial planning. Strategic Environmental Assessment was not considered to be successful in integrating health into spatial plans, given it was the responsibility of planners lacking the capacity to do so. For their part, health professionals have insufficient knowledge and understanding of planning and how to engage with it to be able to plan for health gains rather than simply respond to health impacts. HIA practice is patchy and generally undertaken by health professionals outside the statutory planning framework. Thus, whilst appropriate assessment tools exist, they currently lack a coherent context within which they can function effectively and the implementation of the Kiev protocol requiring the engagement of health professionals in SEA is not to likely improve the consideration of health in planning while there continues to be separation of functions between professions and lack of understanding of the other profession. -- Highlights: ► Health professionals have limited aspirations for health improvement through the planning system. ► Spatial planners are ill-equipped to understand the health and well-being implications of their activities. ► SEA and HIA currently do not embed health consideration in planning decisions. ► The separation of health and planning functions is problematic for the effective conduct of SEA and/or HIA.

54 ENVIRONMENTAL SCIENCES↗
DOE OSTI2013

Advancing the theory and practice of impact assessment: Setting the research agenda

Impact assessment has been in place for over 40 years and is now practised in some form in all but two of the world's nations. In this paper we reflect on the state of the art of impact assessment theory and practice, focusing on six well-established forms: EIA, SEA, policy assessment, SIA, HIA and sustainability assessment. We note that although the fundamentals of impact assessment have their roots in the US National Environmental Policy Act 1969 (NEPA) each branch of the field is distinct in also drawing on other theoretical and conceptual bases that in turn shape the prevailing discourse in each case, generating increasing degrees of specialisation within each sub-field. Against this backdrop, we consider the strengths and weaknesses of collective impact assessment practice, concluding that although there are substantial strengths, the plethora of specialist branches is generating a somewhat confusing picture and lack of clarity regarding how the pieces of the impact assessment jigsaw puzzle fit together. We use this review to suggest an overarching research agenda that will enable impact assessment to evolve in line with changing expectations for what it should deliver. -- Highlights: ► Strengths, weakness, opportunities and threats for IA are explored in this paper ► EIA, SEA, policy assessment, SIA, HIA and sustainability assessment are reviewed ► Diversity of practice is both a strength and weakness in the current economic climate ► There are opportunities to simplify IA by focusing on common and fundamental elements ► Continued research into theory related to IA effectiveness is also essential.

54 ENVIRONMENTAL SCIENCES↗
DOE OSTI2012

Climate change mitigation and adaptation in strategic environmental assessment

Countries are implementing CO{sub 2} emission reduction targets in order to meet a globally agreed global warming limit of +2 Degree-Sign C. However, it was hypothesised that these national reduction targets are not translated to regional or state level planning, and are not considered through Strategic Environmental Assessment (SEA) in order to meet emission reduction obligations falling on the transport, energy, housing, agriculture, and forestry sectors. SEAs of land use plans in the German state of Saxony, and the English region of the East of England were examined for their consideration of climate change impacts based on a set of criteria drawn from the literature. It was found that SEAs in both cases failed to consider climate change impacts at scales larger than the boundary of the spatial plan, and that CO{sub 2} reduction targets were not considered. This suggests a need for more clarity in the legal obligations for climate change consideration within the text of the SEA Directive, a requirement for monitoring of carbon emissions, a need for methodological guidance to devolve global climate change targets down to regional and local levels, and a need for guidance on properly implementing climate change protection in SEA. - Highlights: Black-Right-Pointing-Pointer Strategic Environmental Assessments (SEA) of 12 land use plans from Germany and England have been examined. Black-Right-Pointing-Pointer SEA failed to consider climate change impacts at scales larger than the boundary of the land use plans. Black-Right-Pointing-Pointer SEA should be an important instrument for climate protection. Black-Right-Pointing-Pointer Concrete steps for climate protection mainstreaming into SEA at the European Union and national levels have been suggested.

54 ENVIRONMENTAL SCIENCES↗
DOE OSTI2011

Capturing the implications of land use change in Brazil through environmental assessment: Time for a strategic approach?

Brazil is experiencing a surge in planting of sugar cane crops driven by internal markets and external policy drivers for biofuels. The current expectation is for the expansion of these crops to continue. This creates concern over the extent to which the full implications of large scale land use change are currently being considered by decision-makers. Using the State of Sao Paulo as a case study (as it accounts for the majority of sugar cane grown in Brazil), a comparison was made of the impacts identified in Environmental Impact Statements (EISs) and Preliminary Environmental Reports (PERs), which have to be submitted for approval of most new sugar cane activities, with significant impacts known to be associated with sugar cane activities derived from literature review. The results from a review of 32 EISs and PERs (30% of the population) indicated that whilst some impacts were well covered by the sample (water and soil pollution, and air emissions) energy balance and Green House Gas emissions and food security had very limited consideration, and water resources, residues, labour conditions and social responsibility were only partially covered. Environmental Impact Assessment is constrained by its environmental advocacy role and its application to the project level only. This study highlights its limitations in the context of assessment of land use change which demands more strategic consideration.

54 ENVIRONMENTAL SCIENCES↗