The understanding of environmental change and how it is influenced by innovation processes and advances in science and technology is multifaceted given the inherent uncertainty of the pace and direction of technology change, but also given the limits to anticipate future environmental effects of new technology. The doctoral thesis is organised in two parts. The covering essay constitutes the first part and is aimed at introducing the scope of the research; outlining theoretical perspectives and central concepts and positioning the research to other research studies. Reprints of the six papers included in the thesis comprise the second part of the thesis. The first aim of this doctoral thesis is to contribute to an increased understanding of the conditions for environmental policy and planning through innovation, science policy and technological change. Particular attention is paid to the institutional frameworks for policy processes, public-private interactive policy and strategic planning with futures studies. The second aim is to explore and analyse approaches applied for assessing the output, impact and structure of science in the area of strategic environmental research. This includes an examination of research assessment criteria and an analysis of knowledge networks in strategic environmental research, characterised by socio-economic expectations of generating innovations that benefit the environment through the industrial application of science. Four types of environmental planning are studied using a combined qualitative and quantitative research approach. These are corporate environmental planning, public environmental planning, strategic long-term planning, and strategic science planning targeting advances in science and technology to attain environmental objectives. The findings of the study show that institutional frameworks of science and technology policy affecting environmental planning are found in organisational forms, such as science parks, but also in institutions understood as values and norms of the science system. With an increased focus on assessment of research as well as future technology, the findings of the study also contributes by examining approaches applied for assessing the output, structure and impact of research, using bibliometrics and social network analysis in the area of strategic environmental research. / QC 20101027

Planning for offshore hydrocarbon development in Canada’s Beaufort Sea currently occurs on a project-by-project basis. This is despite a collective understanding that impact assessment should go beyond the evaluation of site-specific project impacts to consider the broader policy and regional planning context in which development projects operate. The need for such a regional and strategic approach to impact assessment in Canada’s Beaufort Sea, known as regional strategic environmental assessment (R-SEA), arises from the looming large-scale offshore hydrocarbon development in the region and the lack of a mechanism to plan for future energy development, establish a long-term regional vision, or assess and effectively manage the potential cumulative environmental and social effects arising from development. At such a critical moment, little research exists to advance R-SEA from a concept to an applied planning, assessment and decision-support process. This dissertation draws on experience from the implementation of strategic environmental assessment in offshore jurisdictions internationally, along with existing initiatives for marine planning in the Beaufort Sea, to advance effective R-SEA implementation in the region. The research methodology includes a literature review, case reviews and key informant interviews. The research results are reported in three manuscripts. The first manuscript examines the influence of R-SEA on planning and development decisions in Norway, Atlantic Canada and the UK. The second manuscript examines existing planning, assessment, and science initiatives in the Beaufort Sea. The third manuscript identifies key opportunities for, and challenges to, the implementation of R-SEA in the Beaufort Sea. Significant findings demonstrate that R-SEA can offer a much-needed framework to accommodate and address stakeholder issues and concerns regarding future offshore development in the Beaufort Sea, despite acute implementation challenges, such as scepticism of scenario-based planning. Key findings reveal many expectations of what R-SEA could deliver in the Beaufort Sea, a result of the varied stakeholder priorities and goals. Understanding the root of different expectations and perceptions, ensuring follow-up programs pay attention to horizontal linkages between R-SEA strategies and current marine planning initiatives, and that supporting institutional arrangements are in place for a preferred strategy to succeed lie at the core of advancing R-SEA as a viable tool in the Arctic.

The lack of early integration with the planning and decision-making process has been a major problem in environmental assessment. Traditional project-based environmental impact assessment has inadequate incentives and capacities to incorporate critical environmental impacts at a broader temporal or spatial scale. While many applications have been geared towards implementing project-level environmental assessments, comparatively little research has been done to determine how to incorporate strategically critical environmental impacts into local planning. Although the principles of strategic environmental assessment (SEA) are not yet required in local planning in the United States, these principles create a theoretical framework for local environmental assessment. The objective of this study is to examine the ability of local plans to integrate and implement the key SEA principles. This study focuses on increasing the understanding of how and where to integrate environmental impacts into the local planning and decision-making process by converting the principles of SEA into specific planning tools, policies, and implementation strategies. This study develops a protocol with 112 indicators to measure the strengths and weaknesses of integrating strategic environmental assessment into local comprehensive land use plans. A random sample of 40 California local comprehensive land use plans and associated planning processes is evaluated based on this plan quality evaluation protocol. Statistical analysis and multiple regression models identify the factors affecting the quality of plans with respect to their ability to assess environmental impacts. The results identify the relative strengths and weaknesses of the ability of local jurisdictions to integrate the SEA principles. The results show that many strategically important environmental issues and tools are rarely adopted by current local plans. The regression analysis results further identify the effects of planning capacity, environmental assessment capacity, public participation and contextual variables on environmental assessment plan quality. The findings extend established planning theory and practice by incorporating strategic environmental considerations into the existing framework of what constitutes a high quality local land use comprehensive plan and suggest ways to improve plan quality.

<p>The understanding of environmental change and how it is influenced by innovation processes and advances in science and technology is multifaceted given the inherent uncertainty of the pace and direction of technology change, but also given the limits to anticipate future environmental effects of new technology.</p><p>The doctoral thesis is organised in two parts. The covering essay constitutes the first part and is aimed at introducing the scope of the research; outlining theoretical perspectives and central concepts and positioning the research to other research studies. Reprints of the six papers included in the thesis comprise the second part of the thesis.</p><p>The first aim of this doctoral thesis is to contribute to an increased understanding of the conditions for environmental policy and planning through innovation, science policy and technological change. Particular attention is paid to the institutional frameworks for policy processes, public-private interactive policy and strategic planning with futures studies. The second aim is to explore and analyse approaches applied for assessing the output, impact and structure of science in the area of strategic environmental research. This includes an examination of research assessment criteria and an analysis of knowledge networks in strategic environmental research, characterised by socio-economic expectations of generating innovations that benefit the environment through the industrial application of science. Four types of environmental planning are studied using a combined qualitative and quantitative research approach. These are corporate environmental planning, public environmental planning, strategic long-term planning, and strategic science planning targeting advances in science and technology to attain environmental objectives.</p><p>The findings of the study show that institutional frameworks of science and technology policy affecting environmental planning are found in organisational forms, such as science parks, but also in institutions understood as values and norms of the science system. With an increased focus on assessment of research as well as future technology, the findings of the study also contributes by examining approaches applied for assessing the output, structure and impact of research, using bibliometrics and social network analysis in the area of strategic environmental research.</p>

This research advances Strategic Environmental Assessment (SEA) design and methodology for wetland assessment and policy development within an urban planning context. The thesis is a ‘manuscript-style’ and consists of three manuscripts, which collectively contribute to the overarching research purpose. The first manuscript presents and demonstrates a spatial framework for the application of SEA in the context of land use change analysis for urban wetland environment. The study aims to meet the needs for a proactive framework to assess and protect wetland areas more efficiently, and advance urban planning and development design. The proposed framework, adopting Geographic Information System and Remote Sensing approaches, presents a temporal evaluation of wetland change and sustainability assessment based on landscape indicator analysis. The results show that despite the recent extremely wet period in the Canadian prairie region, land use change contributed to increasing threats to wetland sustainability in the developing urban environment of the city of Saskatoon from 1985 to 2011. The second manuscript presents a scenario-based approach to SEA for wetland trends analysis and land use and land cover (LUC) modeling. Alternative future LUC was simulated using remote sensing data and city planning documentation using a Markov chain technique. Two alternatives were developed for LUC change and threats to urban wetland sustainability: a zero alternative that simulated trends in urban development and wetland conservation under a business as usual scenario, in the absence of prescribed planning and zoning actions; and an alternative focused on implementation of current urban development plans, which simulated future LUC to account for prescribed wetland conservation strategies. Results show no improvement in future wetland conditions under Saskatoon’s planned growth and wetland conservation scenario versus the business as usual scenario. Results also indicate that a blanket wetland conservation strategy for the city may not be sufficient to overcome the historic trend of urban wetland loss; and that spatially distributed conservation rates, based on individual wetland water catchment LUC differences, may be more effective in terms of wetland conservation. The results also demonstrate the challenges to applied SEA in a rapidly changing urban context, where data are often sparse and inconsistent across the urban region, and provides potential solutions through LUC classification and prediction tools to help overcome data limitations to support land use planning decisions for wetland conservation. The third manuscript presents an analytical approach to SEA, bridging strategic level assessment with operational planning and implementation. An expert-based strategic assessment framework was developed and applied to assess the potential implications of alternative wetland conservation policy targets on urban planning goals, and to identify a preferred conservation policy target. Site-specific algorithms, based on wetland area and wetland sustainability, were used to prioritize wetlands for conservation to meet policy targets within urban planning units. Results indicate a preferred wetland conservation policy target beyond which higher targets provided no additional benefit to urban development goals. The use of different implementation strategies, based on wetland area versus wetland sustainability, provides operational guidance and choice for planners to meet policy objectives within neighborhood planning units, but those choices have implications for local land use and wetland sustainability. Overall, the research contributes to the following aspects of SEA design and methodology: i) scoping processes to define the spatial and temporal context for SEA; ii) baseline assessment for analysis of environmental conditions and changes across space and/or over time; iii) methods to support the identification and evaluation of potential impacts of strategic alternatives; and iv) structured and systematic, quantitative assessment and decision-support tools for SEA that bridge strategic-level assessment with operational planning and implementation.

This study attempts to emphasize on the need for Strategic Environmental Assessment (SEA) implementations for Turkey, particularly for strategic level planning activities. 1/25.000 scaled Territorial Plans are subject to be strategic level plans in Turkey since there are no regional plans developed in Turkey. Although these plans should carry the role of strategic decisions for the sector development of regions, they do not provide sufficient output for development for many reasons today. The aim of this thesis is to evaluate the role of Strategic Environmental Assessment in integrating environment into strategic decision making -particularly for 1/25.000 territories plans- and propose a prototype SEA approach for Turkey. An integrated structure of SEA and planning activities might provide healthier implementations for Territory plans and SEA might be used as an enhancement toll for our current planning system with its transparent, participatory, coordinating and auditing nature.

A presente pesquisa foi realizada com o intuito de identificar as contribuições da AAE para a elaboração dos planos de manejo das Áreas de Proteção Ambiental (APA) relacionados à conservação da biodiversidade e áreas protegidas. Para atingir este objetivo a pesquisa foi divida em três etapas. Na primeira, as questões relacionadas à biodiversidade e às áreas protegidas foram identificadas nos procedimentos metodológicos da AAE. Assim, na segunda etapa estas questões foram relacionadas com os benefícios da AAE. Com base nesta relação foi possível elaborar um quadro para comparar e analisar os estudos de caso (Plano local do Parque Nacional Cairngorms na Escócia e o Projeto de expansão do Parque Nacional Elefante Addo na África do Sul) com o roteiro metodológico para elaboração de planos de manejo de APAs quanto aos benefícios da AAE (terceira etapa). Desta maneira, verificou-se que os benefícios que a AAE proporciona aos PPPs não podem ser verificados em sua totalidade no roteiro metodológico para os planos de manejo de APA. Entretanto, há um potencial para que estes sejam alcançados, mas para isso seria necessário um instrumento, como a AAE, para auxiliar e avaliar o processo de elaboração dos planos de manejo de APAs. / The present work identified the contribution of Strategic Environmental Assessment (SEA) for the development of management plan of Environmental Protected Area (EPA) related to biodiversity conservation and protected areas. The research was divided into three stages. First, the issues related to biodiversity and protected areas were identified in the methodological framework of the SEA; in the second stage, they were related to the benefits of the SEA. Based on these previous stages, a framework was elaborated to compare and analyse the case studies (Cairngorms National Park local Plan and the Greater Addo Elephant National Park Project) with a methodological guide for the management plans of EPA, taking into consideration the SEA benefits. It was possible to conclude that the benefits of the SEA cannot be identified in their entirety in methodological guide. However, there they can be achieved by the development of SEA to assist and evaluate the process of preparing management plans for EPA.

Um número crescente de países tem feito uso da avaliação ambiental estratégica em experiências de planejamento do turismo. Não obstante, o aumento da prática não foi seguido pelo desenvolvimento de orientações teóricas e procedimentos específicos para o setor. Objetivou-se, com esta pesquisa, desenvolver uma estrutura geral para aplicação da avaliação ambiental estratégica no setor do turismo, bem como analisar as possibilidades práticas de sua inserção no planejamento do turismo no âmbito federal brasileiro. Foi realizado um levantamento bibliográfico sobre o tema, para identificação dos principais pressupostos teóricos. Além disso, foi realizado um levantamento abrangente da aplicação da AAE para o setor do turismo em diferentes contextos de planejamento, seguido por uma consulta a especialistas diretamente envolvidos com casos práticos selecionados. Com esses subsídios, foi possível analisar criticamente as possibilidades de incorporação da AAE no cenário institucional de planejamento do turismo no Brasil, oferecendo recomendações e procedimentos a serem seguidos. Acredita-se que a AAE pode trazer alguns benefícios ao planejamento do setor no país, desde que sua incorporação seja acompanhada por um processo de discussão e apropriação ampla por parte da sociedade e das instituições de planejamento. / An increasing number of countries have been applying strategic environmental assessment to tourism planning experiences. Practice, however, has not been followed by the development of theoretical orientations and specific procedures. This research aimed at developing a general SEA framework for tourism planning and analysing practical developments of SEA application to tourism planning a t the federal level in Brazil. A literature review on the subject was carried out in order to identify the thesis main theoretical assumptions. In addition, a comprehensive survey of the extent of SEA application to tourism sector in different planning contexts was performed, followed by a consultation with experts directly involved with selected case studies. Using inputs from theoretical and field research, a critical analysis was carried out to look at the possibilities of incorporating SEA into the institutional context of tourism planning in Brazil. Recommendations on procedures and guidance were drawn. It is believed that SEA can provide environmental benefits to tourism planning in Brazil provided that its incorporation is followed by a comprehensive discussion and appropriation of the instrument by the public and by the planning institutions.

A Avaliação Ambiental Estratégica (AAE) tem sido aplicada como um instrumento de suporte para a inserção de questões ambientais em decisões estratégicas em todo o mundo. A forma e abordagem exatas da avaliação, porém, são objeto de debate na literatura, destacando-se a necessidade de serem observadas as características do contexto em que a AAE será aplicada. É nesse sentido que a presente pesquisa se propôs a discutir a AAE para o Brasil a partir das características do contexto de planejamento, tendo como foco o setor de transportes nos âmbitos federal, estado de São Paulo e município de São Paulo. Os principais objetivos da pesquisa foram: identificar as lacunas e os fatores que contribuem e que limitam a consideração de questões ambientais no planejamento, apresentando recomendações para a definição e aplicação da AAE no contexto do planejamento de transportes no país. Os resultados desta análise, levando-se em conta os quadros legal/normativo, institucional e aplicado, apontam que a necessidade de considerar as questões ambientais está bem estabelecida nas orientações e diretrizes para o setor. Na prática, no entanto, a temática ambiental é considerada apenas como um tema secundário e de maneira não sistemática e não consistente ao longo de todo o processo de planejamento e decisão, sendo limitada por barreiras relacionadas à natureza dos processos de planejamento, ausência de mecanismos legais e institucionais, dificuldades relacionadas à estrutura institucional e à predominância de interesses políticos e econômicos. Neste contexto, para que a AAE tenha real possibilidade de influenciar o planejamento e tomada de decisão no curto e no longo prazo, entende-se que ela deva ser suportada por procedimentos bem estabelecidos e pela intensiva participação da sociedade e das instituições envolvidas, contribuindo para o aumento da transparência dos processos de planejamento, de tal modo que possa cumprir com o seu papel de promover a temática ambiental na tomada de decisão, com foco na sustentabilidade ambiental. / Strategic Environmental Assessment (SEA) has been suggested and applied worldwide as an instrument to support the consideration of environmental issues into strategic decisions. Its exact form and approach, though, has been discussed by the literature, highlighting the necessity to adapt SEA to the context in which it will be applied. In this sense, this research aims to discuss the application of SEA in Brazil based on the characteristics of the planning context, focusing on the transport sector at the federal level, state level (state of São Paulo) and municipal level (city of São Paulo). The main purposes of this research are to identify the gaps, constraining factors and supporting factors in consideration environmental issues within policy, plan and programme making and, based on these characteristics, present recommendation for defining and applying SEA. The planning context was analysed from the legal, institutional and practical planning frameworks. It was found that the need to consider environmental and social issues is well established in sectoral guidelines. However, in practice these issues are considered only to a small extent and, in a non-systematic way and are not consistent throughout the planning and decision-making processes. Moreover, their consideration is limited by barriers related to the nature of planning processes, the absence of legal and institutional mechanisms, difficulties related to institutional structure and the predominance of political and economic interests. In this context, if SEA is expected to have a real influence on planning and decision-making over the short and long terms, we suggested that SEA should be based on well stablished proceedings and in intensive social and institutional participation. Furthermore, it should aim at increasing the transparency of planning processes, playing an advocative role and focusing on environmental sustainability.

Nas últimas décadas do século XX as ações relacionadas a compatibilização das ações humanas com a qualidade do meio urbano passaram a fazer parte de agendas políticas e tratados internacionais. No Brasil, este processo se concretizou - no plano institucional - por meio do estabelecimento do Estatuto da Cidade e seus instrumentos de política urbana. Contudo, após mais de uma década de sua implementação ainda é notória a continuidade de um modelo de planejamento e gestão urbanos que nega a existência dos conflitos socioambientais inerentes ao processo de urbanização e, por sua vez, negligencia o desenvolvimento de ações de enfrentamento de seus problemas. No quadro internacional destaca-se a Avaliação Ambiental Estratégica (AAE), que tem como foco a avaliação dos potenciais efeitos ambientais decorrentes de ações estratégicas no âmbito de políticas, planos e programas de desenvolvimento, e que permite a identificação de alternativas para o desenvolvimento urbano e a incorporação de objetivos ambientais e de sustentabilidade junto aos objetivos inicialmente estabelecidos. A literatura profissional da AAE destaca que o sucesso do instrumento é decorrente do foco estabelecido por seus Objetivos e Indicadores, elementos substanciais para a sua aplicação. Sendo assim, considera-se relevante indagar sobre quais aproximações metodológicas seriam necessárias para assegurar a aplicabilidade da AAE ao planejamento urbano brasileiro por meio dos Planos Diretores. A partir desta perspectiva, esta pesquisa tem como objetivo geral apresentar e discutir procedimentos e aspectos metodológicos que envolvem a definição de objetivos e indicadores a serem empregados em uma AAE voltada ao planejamento do desenvolvimento urbano no contexto brasileiro. Os resultados obtidos, orientados para o caso do município de São Carlos (SP), permitem visualizar o potencial de integração da AAE para promoção da sustentabilidade na elaboração de Planos Diretores no contexto brasileiro. / In the last decades of the twentieth century the actions related to compliance of human actions with the quality of the urban environment became part of political agendas and international treaties. In Brazil, this process materialized - at institutional level - through the establishment of the City Statute and its instruments of urban policy. However, after more than one decade of its implementation is still noticeable continuity of a model of urban planning and management that denies the existence of environmental conflicts inherent in the process of urbanization and, in turn, overlooks the development of actions to confront their problems. On the international front there is the Strategic Environmental Assessment (SEA), which focuses on the assessment of potential environmental effects arising from strategic actions in development policies, plans and programs, and allows the identification of alternatives for urban development and the incorporation of environmental objectives and sustainability with the development goals initially set. The professional literature in the SEA emphasizes that the success of the instrument is due to the focus established by its Objectives and Indicators, substantial elements for your application. Hence it is relevant to inquire about which methodological approaches were needed to ensure the applicability of SEA to the Brazilian urban planning through the Master Plans. From this perspective, this research has the overall objective to present and discuss procedures and methodological aspects involved in setting objectives and indicators to be used in an SEA focused on urban development planning in the Brazilian context. The results, oriented to the case of São Carlos (SP), let you see the potential for integration of SEA to promote sustainability in the development of Master Plans in the Brazilian context.