The varied contexts of environmental decision problems and their implications for decision support
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Transcript of The varied contexts of environmental decision problems and their implications for decision support
www.elsevier.com/locate/envsci
Environmental Science & Policy 8 (2005) 378–391
The varied contexts of environmental decision problems
and their implications for decision support
Simon French a,*, Jutta Geldermann b
a Manchester Business School, University of Manchester, Booth Street West, Manchester M15 6PB, UKb DFIU-IFARE, University of Karlsruhe, Hertzstraße 16, Karlsruhe D-76187, Germany
Available online 16 June 2005
Abstract
Society today is faced with many environmental issues, and many decision analytic techniques and methodologies are offered to support
their resolution. The literature to date, however, has not explored the appropriateness of the different methods in relation to the different
contexts to which they might be applied. As a beginning, we take three categories of environmental decisions as exemplars with regard to
contextual issues, such as problem dimensions, social circumstances and cognitive factors. Then, we turn to analytic methodologies and
reflect on their suitability for application to the three exemplars. Finally, we will draw more general conclusions to help others in developing
appropriate decision analysis and support processes for environmental problems.
# 2005 Elsevier Ltd. All rights reserved.
Keywords: Artificial intelligence (AI); Decision analysis; Decision-support systems (DSS); Emission reduction strategies (ERS); Environmental decisions;
Environmental emergency management (EM); Life cycle assessment (LCA); Multi-criteria decision analysis; Operational research; Risk; Stakeholder
involvement; Uncertainty
1. Introduction
Environmental considerations are crucial in many
decisions. Various tools for analysing the impact and the
reduction of the environmental burden have been developed
(Wrisberg et al., 2002; Graedel and Allenby, 2003).
Recently, the need to apply decision analysis and support
methodologies has been recognised (Munda, 1995; Hobbs
and Meier, 2000). A survey of decision-analysis applications,
including many environmental ones, is given by Keefer et al.
(2004). Most environmental decisions have much in common,
e.g. many stakeholders, uncertainties, multiple, possibly
conflicting criteria; and impacts which extend far into the
future. Conversely, there are often differences, e.g. in the
quality of uncertainty or the number of alternative strategies to
be evaluated. These differences mean that different problems
may need different analytical approaches, a fact that is seldom
recognised explicitly. Here, we explore different types of
environmental decisions and consider appropriate approaches
* Corresponding author. Tel.: +44 161 275 6401; fax: +44 161 275 7134.
E-mail address: [email protected] (S. French).
1462-9011/$ – see front matter # 2005 Elsevier Ltd. All rights reserved.
doi:10.1016/j.envsci.2005.04.008
for their resolution. Our goal is to provide guidance for
selecting appropriate decision analytic methods to address a
set of environmental issues.
In order to give substance to our discussion, we focus on
examples from emission reduction strategies (ERS), life cycle
assessment (LCA) and environmental emergency manage-
ment (EM). These are chosen because they have a strategic
character and involve many stakeholders, and thus require
sound, explicitly justified decision-making. The paper is
structured as follows. In Section 2, we briefly describe the
ERS, LCA and EM problems. We introduce a variety of
decision-making contexts in Section 3, before turning in
Section 4 to the decision analytic techniques which may be
used and the levels of support that these may bring decision
makers (DMs). We note the need to adopt multi-disciplinary
perspectives on environmental issues and the danger that this
may risk naıve simplification if the analysing team has
unequal skills in some disciplines. Against this background,
we are able to discuss which tools and techniques may be
more appropriate for certain environmental decision contexts,
and how these might be deployed within the wider decision
process to fit with a variety of political imperatives relating to
S. French, J. Geldermann / Environmental Science & Policy 8 (2005) 378–391 379
stakeholder involvement. Finally, Section 5 summarises our
main points and offers a discussion.
2. Three exemplar environmental decision problems
Since the early 1970s, environmental issues have become
increasingly important in many decisions. Many industrial
sectors need to develop and adopt strategies, which are both
economically and environmentally efficient. An obvious
example is the need to develop feasible, cost-effective ERS.
Companies do not simply seek to comply with emission
limits, but rather set up their own environmental manage-
ment targets. This influences investment decisions and
product development, requiring a consideration of the full
product life cycle and hence LCA. While ERS and LCA are
concerned with the potential, future impacts of emissions on
the environment and human health, EM deals with disasters,
which may drastically and immediately affect people’s lives
and livelihoods. Disasters may be ‘natural’, such as floods,
fires, storms, earthquakes, droughts and volcanic eruptions
or ‘man-made’, such as radioactive and hazardous materials
accidents. All three contexts share a need to involve different
disciplines, e.g. natural scientists for the modelling of the
potential environmental consequences, engineers for the
design and improvement of the production processes, and
politicians, economists and managers to establish strategies.
There are many stakeholders involved in all cases. On the
other hand, they differ in urgency, levels of uncertainty and
complexity. Some occur in many circumstances, whereas
others are essentially one-off.
2.1. Emission reduction strategies
Many environmental policies are geared towards inte-
grated pollution prevention and obviously ERS play a major
role. The necessary emission reductions for achieving
Fig. 1. Example of National Cost Curve. The x-axis shows the remaining
emissions, while the y-axis gives the total discounted costs, calculated
beginning with the emissions in the base year at the origin of the diagram for
different scenarios (e.g. short or long transition periods).
targets can result from changes in technology or product mix
and the implementation of emission abatement techniques.
Also, changes in sector activities will influence the national
emission level. In this context, a national cost function
represents the minimum cost incurred by measures to be
implemented in order to achieve a given emission reduction
level. Fig. 1 presents an example set of cost functions.
Decision analytic support involves the minimisation of the
total discounted costs over the planning horizon including
energy and mass flow optimisation (see e.g. Alcamo et al.,
1990; Hordijk and Kroeze, 1997; Makowski, 2000; Fichtner
et al., 2003; Geldermann and Rentz, 2004a).
2.2. Life cycle assessment
LCA seeks to specify all the environmental consequences
of products, services or processes ‘from cradle-to-grave’.
LCA may provide quantitative or qualitative results. The
latter makes it easier to identify problematic parts of the life-
cycle and to specify what gains can be made with alternative
ways of fulfilling the function (Wrisberg et al., 2002). Within
LCA, four basic steps are identified in ISO 14040,
Environmental Management-Life Cycle Assessment-Prin-
ciples and Framework (see Fig. 4):
(1) d
etermination of objectives, scope, system boundariesand functional unit;
(2) in
ventory analysis;(3) im
pact assessment (classification, characterisation andvaluation of the emissions and consumptions);
(4) in
terpretation (weighting by specific contribution as anindication of the quantitative relevance of the substances
concerned, by environmental importance and ‘verbal–
argumentative’ final valuation).
The LCA methods and approaches developed to date
differ mainly in the impact assessment step, which is still at
an early stage of development (Guinee et al., 2002).
Choosing between ecological profiles involves balancing
different types of impact and is typical of a multi-criteria
decision problem, when explicit or implicit trade-offs are
needed to construct an overall judgment (Geldermann, 1999;
Belton and Stewart, 2002; Seppala et al., 2002).
2.3. Emergency management
Environmental emergencies seem to occur all too often;
such situations differ considerably, but they do share some
common characteristics of sudden, unexpected events. In
many cases, the events result from a completely unantici-
pated juxtaposition of circumstances and present the DMs
with a unique situation. Initially, there is a need for urgent
decisions to be made under stressful circumstances;
subsequently, there is a need for decision-making on
remediation strategies to bring the affected region back to
a – not necessarily the pre-existing – ‘normality’. The teams
S. French, J. Geldermann / Environmental Science & Policy 8 (2005) 378–391380
of DMs who are faced with the handling of emergencies
often have not worked together before, although they may
have rehearsed some of the issues during exercises within
other teams. Most importantly, they need to balance the
needs of many stakeholders. For a variety of discussions of
EM, see French (1995), Paton and Flin (1999).
3. Factors that affect decision-making
Firstly, we need some terminology. Sadly, there is little
agreement on this within the decision-making literature:
(Keeney and Raiffa, 1976; French, 1986; Kleindorfer et al.,
1993; Keeney, 1996; Roy, 1996; Bouyssou et al., 2000;
French and Rios Insua, 2000; Ragsdale, 2001; Rosenhead
and Mingers, 2001; Belton and Stewart, 2002; Denardo,
2002; Teale et al., 2003). For instance, the DMs may choose
between actions, alternatives, options, policies or strategies.
Some authors reserve the terms policies and strategies for
courses of action which specify responses to potential
events, i.e. contingency plans and use the other terms, e.g.
acts, for more clear-cut alternatives. That distinction can be
very useful in discussing the theory of sequential decision-
making, but in the applications literature, it is far from
universal. When discussing preferences or value judge-
ments, authors may refer to criteria, factors, attributes or
objectives. There is some agreement that an attribute is a
dimension that is important in determining preferences, e.g.
cost, whereas an objective is an attribute plus an imperative,
e.g. minimise cost. Equally, authors may consider the
uncertainties involved in a decision under many headings:
lack of knowledge, randomness, stochastic variation,
imprecision, lack of clarity and so on. Against this
background of multiple terminologies, we make little effort
to define terms precisely except when it is essential to our
arguments.
No two situations, which call for a decision are ever
identical. They differ due to a wide range of factors, such as
Fig. 2. Factors that affect decision-making after Payne et al. (1993).
problem and social context and the cognitive abilities of the
DMs (see Fig. 2).
3.1. Problem context
Perhaps the most common distinction is that between
strategic, tactical and operational decisions. In this paper we
concentrate on strategic decisions. These tend to correspond
to ill-formed problems, also called unstructured or non-
programmed (Simon, 1960), and the first step is to formulate
the problem through discussion often drawing in multiple
perspectives from the stakeholders.
Snowdon (2002) has argued recently for a different
typology of decisions based on his Cynefin model, which
identifies four decision spaces. In the known space, cause
and effect are completely understood. Thus, decisions relate
to actions the consequences of which may be completely and
accurately predicted. Cause and effect is also understood in
the knowable space, but insufficient data are immediately
available to make complete forecasts of the consequences of
an action. In the complex space, there are so many
interacting causes and effects that predictions of system
behaviours – often social-political behaviours – are affected
by a wide range of uncertainty. Decisions must be made
without a clear or complete understanding of their potential
consequences. LCA may venture into complex space, since
it aims to model potential environmental impacts (Guinee
et al., 2002). The calculation of impact potentials largely
removes spatial and temporal considerations, resulting in
analytical and interpretative limitations. Some impact
categories are defined using highly complex or unknown
interdependencies such that the degree of uncertainty varies
significantly between the impact categories (Owen, 1996).
In the chaos space, things happen beyond our experience and
we cannot perceive any candidates for cause and effect. Our
lack of understanding of the full causes and ramifications of
climate change is but one example of a chaotic context for
some of the most important environmental decisions facing
us. For discussions of the Cynefin contexts of EM, see
Niculae et al. (2004), French and Niculae (2005).
Environmental decisions almost invariably fall into the
complex or chaotic domains, particularly as they involve
many stakeholders and hence need to address many social-
political issues: yet much work on environmental decision-
making seems to assume a known and knowable context.
Problem contexts may be further differentiated by a
number of more detailed structural issues. The majority of
environmental decision problems involve uncertainty and
risk. By their very nature, estimates and long-term forecasts,
as required in LCA, are obviously uncertain; and an ERS
considered optimal on the basis of particular assumptions
made today is highly unlikely to turn out optimal in the
actual situation of 2010 (Landrieu and Mudgal, 2000). For
reviews discussing different types of uncertainty, variability
and risk, see (French, 1995, 2003; Huijbregts, 2001;
Geldermann et al., 2003a). The scale of the impacts and
S. French, J. Geldermann / Environmental Science & Policy 8 (2005) 378–391 381
Table 1
Different problem contexts for the three examples
Characteristic Emission reduction
strategies (ERS)
Life cycle
assessment (LCA)
Emergency management (EM)
Early phase Later phases
Structured vs. unstructured Structured (as far as the consecutive
elaboration of cost functions
for single substances)
Structured Structured More unstructured
Repetitive context vs. one-off Repetitive Repetitive One-off One-off
Urgency of decision Not urgent, lots of time Not urgent, lots of time Urgent,
very little time
Less urgent,
but more time
Uncertainty and imprecision
in data and forecasts
Very high Very high Extremely high Moderate
Time-span of environmental impacts Long (mass pollutants) Mixed (cf. impact
assessment factors)
Very long Very long
Number of harmful substances Few (but also sum parameters) Many Few Few
Number of alternatives Many (depending on the concerned
industrial sectors)
Few Few Very many (many
combinations)
when they are incurred is also an important differentiator. In
particular, there is little agreement on how to evaluate
options with very long-term impacts (Atherton and French,
1997, 1998, 1999). Finally, alternative strategies need to be
considered. In some decisions a high-level view may be
taken by considering a few representative strategies that
differ qualitatively, e.g. in EM one might consider
evacuation areas without considering a plethora of opera-
tional details relating to order of clearing dwellings and
escape routes. In other contexts, many more alternatives
need be evaluated, e.g. in ERS different technical options for
emission reduction within the various industrial sectors.
Table 1 summarises the similarities and differences
between LCA, ERS and EM in terms of problem context.
3.2. Social context
Discussions of decision-making are also categorised by
the number of DMs: individual, group, organisational and
societal decision-making (Kleindorfer et al., 1993). The
environmental context of our discussion implies that we are
almost exclusively discussing the latter pair. There are many
parties to such decisions. DMs are responsible for making
the decision: they ‘own the problem’. They are accountable
to some, but not necessarily all the stakeholders in the
problem. Stakeholders share, or perceive that they share, the
impacts arising from a decision. They have a claim,
therefore, that their perceptions and values should be taken
into account. Experts provide economic, engineering,
scientific, environmental and other professional advice used
to model and assess the likelihood of the impacts. The DMs
may have technical advisors who are undoubtedly experts in
this sense, but they are unlikely to be the only experts
involved. Other experts may advise some of the stake-
holders, thus influencing the stakeholders’ perceptions and
hence shaping their decision-making. Analysts develop and
conduct the analyses, both quantitative and qualitative,
which draw together empirical evidence and expert advice to
assess the likelihood of the outcomes. They will also be
concerned with a synthesis of the DMs’ and stakeholders’
value judgements. These analyses are used to inform the
DMs and guide them towards a balanced decision. Whereas
experts support decision-making by providing information
on the content of the decision; analysts provide process
skills, helping to structure the analysis and interpret the
conclusions. This separation of roles is very idealised; some
of those involved may take on several roles. Clearly, DMs
are necessarily stakeholders because of their accountabil-
ities; but they may also be content experts and may conduct
their own analyses. Similarly, experts may be stakeholders
and vice versa.
Scientific knowledge is seldom unambiguous. Environ-
mental problems often include issues at the frontier of
research; thus, expert advice may be uncertain, riven by
conflict of opinion. Moreover, stakeholders (and DMs) may
be listening to other ‘experts’ with very different perceptions
from established science. While DMs may wish to dismiss
some dubious (pseudo-)sciences, if some stakeholders are
persuaded by them, the DMs would be wise to take notice of
them as well. Only then, will they understand the
motivations of all the stakeholders and be able to engage
in constructive dialogue.
Stakeholders are not drawn from a homogeneous
population; they differ in perceptions, motivations, atti-
tudes, etc. It is helpful for analysts and DMs to have some
cultural stereotypes in mind when designing the process and
analysis so that they ensure that a representative set of
perceptions and values is incorporated. Cultural Theory
(Douglas, 1992; Thompson et al., 1990), one of many
theories offering a perspective on ‘culture’, suggests that
there are different stereotypes, each having a distinctive
attitude towards risk (see Table 2). Other classification
schemes include ecocentrists versus techno-centrists
(O’Riordan, 1995), and environmentalists versus indus-
trialists (Lave and Dowlatabadi, 1993). Claims for the
universality of cultural theory (see Rotmans et al., 1994)
contradicts what we know from behavioural decision
studies (Bazerman, 2002; Gigerenzer, 2002). Risk attitude
S. French, J. Geldermann / Environmental Science & Policy 8 (2005) 378–391382
Table 2
The perspectives of the cultural stereotypes used by Hofstetter (1998) following Thompson et al. (1990)
Archetype Time perspective Manageability Required level of evidence
Hierarchists fear threats to social order and believe
technological and environmental risks can
be managed within set limits
Balance between short
and long-term
Proper policy can avoid
many problems
Inclusion based on consensus
Individualists and Entrepreneurs see risks as
opportunities, save those that threaten
freedom of choice and action
within free markets
Short time Technology can avoid
many problems
Only proven effects
Egalitarians fear risks to the environment,
the collective good and future
generations
Very long-term Problems can lead
to catastrophe
All possible effects
and other judgements can be substantially affected by
framing and other aspects of a problem, suggesting that
cultural characteristics are far from dominant in defining
attitudes and values. Rather, we see cultural stereotypes as
helpful in designing broadly based societal decision
processes that address the full range of stakeholder
perceptions and values. For instance, see the discussion
in Hofstetter (1998) of value-sphere models within LCA
(see Table 2). Thinking about such viewpoints opens the
minds of DMs to likely challenges and may help find
alternative solutions to the decision problem.
A further range of cultural issues relate to national and
racial cultures, which may also play an important role in
international environmental policy and decision-making.
Hofstede (1980) emphasises the numerous characteristic
differences between the culture of Latin Europe on the one
hand, and the German and the Anglo–Saxon cultures on the
other hand; though Pateau (1998) tones down these findings.
Therefore, participatory approaches for technique assess-
ment might differ from country to country and will require
sensitivity to the needs of multi-cultural societies in many
regions. In the context of LCA, cultural differences can be
easily identified, e.g. the German scientific literature on
technique assessment is fairly concentrated on risk
assessment (cf. Bechmann, 1996; Beck, 1998; Hansjurgens,
1999; Grin and Grunwald, 2000; Mai, 2001), whereas in the
UK, battered by the impact of the poor management of
bovine spongiform encephalopathy (BSE, so-called ‘‘mad
cow’’ disease) (Phillips, 2000), there is a wide recognition of
the need to include socio-political issues more explicitly into
the decision-making (HSE, 1998).
3.3. Cognitive factors
Problem and social contexts are external factors
influencing the decision-making: there are also internal
factors, namely the cognitive abilities of the DMs. Humans
are loathe to admit their failings, but evidence shows that our
intuitive analysis and decision-making are far from perfect
(Kahneman et al., 1982; Bazerman, 2002; Gigerenzer,
2002). The behaviours, which they identified fly in the face
of many of the theoretical models used within decision
analysis, risk analysis and operational research, for instance:
� D
ramatic, easily recalled or imagined events tend to bejudged as more likely than they actually are (availability
bias).
� J
udgements tend to become fixed early in discussionclustering around the values first suggested (anchoring
and adjustment biases).
� R
ecent evidence overrides general knowledge of baserates of occurrence, whatever the relative reliabilities
(insensitivity to base rates).
� D
Ms’ risk attitudes can be changed simply by re-expressing the risks in either positive or negative terms
(framing bias).
� D
Ms and experts tend to be overconfident in the accuracyof their judgements (overconfidence).
In nuclear EM exercises, French et al. (2000) found that
DMs were very discomforted when faced with uncertainty
and to some extent they assumed it away. Moreover, it is
difficult in EM to frame descriptions of events in anything
other than negative terms, yet doing so induces a greater
willingness to take risks in DMs. Environmental issues
generally are rife with uncertainties, conditions that
engender biased judgements. Thus, there is a need to
understand and address departures from the rules of
probability and decision theory that may be present in
expert and lay intuitive judgments, and which inevitably will
be incorporated into the analysis. Especially, in decision
contexts of ERS and LCA, the ecological and quantitative
relevance of certain emissions over decades and their
potential environmental impacts are rarely possible to
imagine. In such circumstances, we must recognise the
limits of both modelling and judgement, and take broad – not
detailed – guidance from simple, robust methods, e.g. simple
linear impact assessment factors are used in LCA to give a
notion of the most prevailing environmental problems.
The human brain has limits to its cognitive capacity
(Miller, 1956). When faced with an assessment of the
environmental impact of a system, we cannot rely on holistic
judgement alone to predict and evaluate its consequences.
We need to decompose the system into many subsystems,
consider each separately and then assemble an overall
synthesis. Thus, a chain of environmental models each
modelling a different aspect often lies at the heart of any
S. French, J. Geldermann / Environmental Science & Policy 8 (2005) 378–391 383
Fig. 3. Overview of the decision process.
environmental decision-analysis. Similarly, decision analy-
tic techniques help the user decompose the complex
evaluation. In ERS, for instance, cost functions were first
derived substance by substance, and then assembled to
address the question of multi-pollutant multi-effects. LCA
leads to an ecological profile comprising about a dozen
impact categories, which are often difficult to judge against
each other, so that that decision support is needed.
Environmental decisions involve many people, and thus,
much communication, inevitably requiring the explanation
of potential risks and the steps that might be taken to
mitigate them. This can be fraught with difficulty (Covello,
1993; ILGRA, 1998; Bennett and Calman, 1999; Slovic,
2001; Cox and Darby, 2003). Behavioural studies have
demonstrated discrepancies between the information dis-
seminated by technical experts and the interpretations of
these messages by the general public. Within risk
communication literature, this has led to ‘scientific’ or
‘expert’ perspectives being contrasted with ‘lay’ or ‘public’
perspectives. Experts are credited with the objectivity
provided by scientific investigation and statistical principles;
while the public are accused of forming subjective
interpretations of risk, influenced by social networks,
emotions and fear. This has led researchers to focus on
lay ‘misperceptions’ of risk, and for many years attempts to
improve risk communication focused on ways of conveying
the statistical risk with the intention of countering the
public’s ‘irrational’ perceptions. Recently, however, the
legitimacy of a plurality of perceptions has become more
recognised and there has been a move to address the
concerns of the public and stakeholders in debates upon risk
communications directly (Fischhoff, 1995; Bennett and
Calman, 1999). Moreover, there is a current imperative to
integrate the management of risk communication much
more into the decision processes and analyses surrounding
any major societal decision (Renn, 1998; French et al.,
2005).
Risk communication is a significant issue in the three
contexts of EM, ERS and LCA; but there are differences. In
EM, it would seem that the initial urgent need to act simply
requires compliance on the part of the public; however,
analysis of the long-term impacts of past emergencies has
demonstrated that it is also vital to explain what is happening
and why recommendations are being made. Doing so creates
a public understanding and engenders trust. It can be argued
that the confusion and lack of information surrounding the
initial stages of the Chernobyl accident contributed
significantly to its dreadful consequences, which in many
ways were due more to the stress created by poor
information management than radiological effects (Kar-
aoglou et al., 1996). Trust is also an important topic in
today’s discussions about shareholder value; once industries
and shareholders understand the long-term environmental
impacts and their economic consequences, their willingness
to invest in long-term measures may become more apparent
than their preference for short-term profits. For the
development of ERS and LCA, risk communication helps
to build a shared understanding. At the moment, there is
discussion of the use of newer processes of public
consultation, such as stakeholder panels, citizen juries
and e-democracy (Renn et al., 1995; Levy, 1995; TED,
2003).
4. Tools and techniques
4.1. The analysis cycle
We now turn from various possible decision contexts to
the different tools and techniques that might be used in the
analysis for supporting DMs. Fig. 3 gives an outline of the
decision analytic cycle with the three phases: problem
formulation, evaluation of options, and review of the
decision models. Each phase involves many sub-activities,
of which the main ones are shown in the figure. The analysis
will seldom be purely cyclic. Rather, it will move backwards
and forwards between phases with the predominant direction
being clockwise, but with many short reversals. The process
is complete when the DMs are comfortable with the
conclusion of the analysis, i.e. when they feel the analysis is
requisite (Phillips, 1987; French and Rios Insua, 2000). The
ubiquity of this is illustrated in Fig. 4 in the context of LCA
(Geldermann and Rentz, 2004c).
We would emphasise that the analyst needs to sensitive to
the cognitive issues indicated in Section 3.3. The process is
prescriptive taking account of the cognitive limitations of the
DMs in contrast to the ideals assumed in the underlying
S. French, J. Geldermann / Environmental Science & Policy 8 (2005) 378–391384
Fig. 4. Mapping the decision-analysis cycle onto the phases of LCA
(ISO14040).
normative decision model (e.g. French and Smith, 1997,
French and Rios Insua, 2000). One cannot take judgements
at face value; they should be challenged and explored to
avoid many potential biases. Further, some uncertainties
may be related to a lack of clarity rather than external
randomness or lack of knowledge. The DMs might be
unclear on what aspects of environmental impacts they
should model. Such uncertainty needs to be addressed and
resolved at the problem formulation stage through discus-
sion and exploration of ideas (French, 1995).
At the outset of the process, the DMs and their analysts
must formulate the models and choose the methods of
analysis needed in order to support the decision. They are
usually faced with a jumble of issues and events in an ill-
defined context out of which they must localise their
objectives, potential strategies, possible consequences, etc.
There is a wide range of methods that the analysts working
Fig. 5. The analysis underpinning t
first with the DMs and later the experts and stakeholders can
use to identify objectives, key stakeholders, potential
consequences, key uncertainties, contingencies and depen-
dencies, constraints, confounding issues, etc. Many soft
modelling methods known under various names have been
developed over the past 20 or so years to help in problem
formulation; see Keeney (1996), DeTombe (2001), Rosen-
head and Mingers (2001), Belton and Stewart (2002) for
recent general reviews. Hatfield and Hippel (2002) describe
the use of systems theory for formulating and structuring a
herbicide risk assessment on Alachlor. These methods not
only help the DMs sort out their thinking before entering into
detailed analysis; they also identify many issues that must be
addressed in discussions with stakeholders and the public
(French et al., 2005).
The evaluation of options is the stage in which the models
are analysed. This analysis requires a multitude of
computations to support consequence modelling, statistical
analysis and decision analysis (see Fig. 5). The first step in
the modelling separates the science, predictions of what
might happen as a result of possible actions, from the value
judgements of how much each possible consequence
matters. This separation corresponds to the difference in
the roles of the experts and stakeholders in the decision. On
the left hand branch in Fig. 5, the first step is the construction
of one or more consequence models that predict the impacts
of potential strategies. In environmental decision analysis,
these consequence models may be extremely complex,
predicting, say, the global warming potential of 1t CO2
emissions in 50 or 100 years. Even if in LCA studies simple
linear conversion factors for the impact assessment are used,
these factors are based on complex statistical analyses. Such
models are based on scientific expertise in many disciplines
he stage ‘‘evaluate options’’.
S. French, J. Geldermann / Environmental Science & Policy 8 (2005) 378–391 385
from climate and atmospheric pollution modelling to
epidemiology. For the calculation of cost curves in ERS,
statistical analyses are required for the estimation of the
future sectoral activities, taking economic key figures into
account. It is crucial that the models recognise their inherent
uncertainties; see Goossens and Kelly (2000) for a recent
survey of this in the context of nuclear accident consequence
modelling. Once the consequence models are built, they may
be refined through the iterative analysis of further data,
requiring statistical inference and forecasting techniques.
The modelling on the right hand branch in Fig. 5 concerns
the preferences of the DMs and their stakeholders—possibly
the whole of society. Appropriate cost functions or more
general objective functions, based perhaps on multi-attribute
value and utility ideas, need be developed. Once this was
the domain of cost benefit analysis (CBA); but now, this
usually requires the more subjective methods of decision
analysis to capture preferences for intangibles, such as
‘quality of the environment’ and ‘intergenerational equity’
(see Section 4.2).
Finally, there is a need to combine the value models with
the consequence models, making due allowance for the
inherent uncertainties and rank of the alternative strategies
in the stage of decision analysis. In theory, this requires the
full machinery of the subjective expected utility (SEU)
model, but in practice, more tractable, approximate methods
are often used. For instance, the techno-economic optimisa-
tion model ARGUS, using linear optimisation, minimises an
overall objective function which describes the minimisation
of the combined operating costs for the production processes
including end-of-pipe techniques over a number of time
periods (Geldermann and Rentz, 2004b).
4.2. Modelling preferences and value judgements
Environmental decisions inevitably involve value judg-
ments. It is surprising how seldom these value issues are
acknowledged and how much less explicitly they are
debated in public discussions. While politicians may wish –
Fig. 6. Attribute tree built for the environmental assessment of recycling me
and claim – that their decisions are based upon the ‘‘best
available science’’, for many environmental issues there is
simply not enough sufficient evidence for scientists to agree
on the mechanisms that underlie the inherent risks or
potential environmental effects. Thus, in deciding how to
address such issues, the DMs will be driven by value
judgements on, inter alia, the acceptable level of risk and
their responsibilities to present and future stakeholders. In
any case, as indicated in Fig. 5, both values and science enter
the analysis. Therefore, there is a need to model the value
judgements that the DMs feel are relevant. Several decades
ago this was the area of CBA methodologies, calculating the
net expected benefits minus net expected costs, both
expressed in monetary terms. The stumbling block, however,
lies in unambiguously determining all relevant conse-
quences and ‘objective’ prices and probabilities (Fischhoff,
1977; Schleisner, 2000; French et al., 2004). Thus, it has
adapted or been replaced by explicitly subjective decision
analytic techniques in which value judgements are obtained
and modelled through multi-attribute value and utility
functions (Keeney, 1996). However, environmental pro-
blems necessarily involve the evaluation and weighting of
various aspects, such as the protection of air, water, soil,
conservation of nature and natural resources; at the same
time taking economic, social and technical aspects into
account. It is not surprising, therefore, that the representation
and aggregation of such factors remain the subject of
ongoing debate (Spengler et al., 1998; Geldermann and
Rentz, 2001).
The first step in a decision analysis is one in which the
DM and analyst structure the representation of the
consequences. An attribute tree is developed, which
summarises and organises the key values to be taken into
account (Keeney, 1996). Fig. 6 shows an attribute tree (or
criteria hierarchy) that was developed for obtaining the value
judgements involved in an environmental assessment of
recycling measures in the iron and steel making industry
(Spengler et al., 1998). It should be noted that in LCA, the
emissions of zinc and lead would be transformed into the
asures in the iron and steel making industry with the weights w1–w8.
S. French, J. Geldermann / Environmental Science & Policy 8 (2005) 378–391386
impact category human toxicity (Geldermann et al., 1999).
Then, a weighting might be achieved by considering the
quantitative and ecological relevance of these environmental
impact potentials.
The choice of the weighting factors indicates the
importance of each criterion within the overall decision.
Once an attribute tree (Fig. 6) has been defined, the
consequences are represented as a vector of scores against
the different attributes, c = c1, c2, . . ., cq. The scores ci may
be calculated by use of consequence models (left hand side
of Fig. 5) or they may be elicited subjectively from DMs,
experts or stakeholders. The overall valuation of a
consequence is then synthesised via a multi-attribute value
or utility function. The distinction between value and utility
functions being that the former incorporate no notion of risk
attitude, and thus, apply in conditions in which there is no or,
more likely, negligible uncertainty. The latter explicitly
acknowledge risk and are suited to decision-making under
uncertainty. For instance, a typical form of a multi-attribute
value function is:
v ðc1; c2; . . . ; cqÞ ¼Xq
i¼1
wi � viðciÞ (1)
where the functions vi (�) model the valuation of the ith
impact and the wi are weights reflecting the relative impor-
tance of the different impacts. Such an apparently simple
structure can be surprisingly effective even in complex
problems; see e.g. the analysis of the Chernobyl accident
consequences (French, 1996).
A typical multi-attribute utility function is:
uðc1; c2; . . . ; cqÞ ¼ 1 � e�vðc1;c2;...;cqÞ=r
¼ 1 � e�Pq
i¼1wi�viðciÞ=r (2)
in which an exponential transformation is made of (1) and r
provides a measure of risk attitude. This form of utility is
useful in separating the elicitation of trade-offs from that of
risk attitude. However, it should be emphasised that both (1)
and (2) are just examples and their suitability should be
assessed against the actual context. Keeney and Raiffa
(1976) discuss procedures whereby functional forms for
the DMs’ value judgements may be identified for more
complex situations.
4.3. Consequence modelling, statistical analysis and
data mining
Returning to the left hand side of Fig. 5, once the problem
has been formulated the experts and analysts need to model
the impacts quantitatively, e.g. for impact assessment within
ERS, energy and mass flow models have been developed.
However, a limiting factor is the availability and quality of
input data, e.g. statistics on activities, information on plants
and applied processes (Geldermann and Rentz, 2004a).
The need to incorporate more data and improve the
quality of consequence modelling is recognised in Fig. 5
through the inclusion of statistical analysis and forecasting.
Even within the urgency of EM, there may be time to
assimilate the latest data and update predictions accordingly.
For instance, in the development of RODOS, a DSS for
supporting the management of off-site nuclear emergencies
(French, 2000; French et al., 2000), methods for updating
forecasts of atmospheric dispersion with the latest radiation
monitoring data have been developed (Smith and French,
1993; Politis and Roberson, 2004). Similarly, later on in the
EM process when the contamination reaches the ground,
methods have been developed to update the inputs to the
food chain model with the latest ground monitoring data.
Such methods rely on statistical methodologies, often
Bayesian statistical methodologies because of their ‘fit’ with
decision analytic methods (French and Rios Insua, 2000).
One development in statistical techniques that we should
note is data mining (Klosgen and Zytkow, 2002). Today,
DMs and experts have vast quantities of data available that
can help them understand past environmental impacts and
support their decision-making on for instance regulation.
Many data mining techniques have been developed to
support the exploration of large databases. Firstly, there are
the long established methods of statistical analysis, such as
multi-variate analysis, regression analysis, and time series
analysis. These are best suited to finding global or near
global patterns across data sets. While they may draw on
established statistical models, such methods might, none-
theless, use modern quick AI algorithms to fit the models
and extract the patterns. Secondly, there are series of new
methods, which find local patterns that only hold true for
small subsets of the data in statistical terms, local or
conditional correlations. A promising research area in this
respect is the automatic construction of Bayesian belief nets
by exploiting the empirical correlations in very large
databases (Korb and Nicholson, 2004). Dzeroski (2002)
provides a survey of data mining methods in the
environmental sciences. In terms of Fig. 5, data mining
may support the statistical analysis stage, but because of its
exploratory nature and search for patterns it may also be
useful earlier on during problem formulation.
4.4. Decision analysis
Decision analysis has a range of meanings; from a
generic term describing the analyses that bring together and
balance models of preferences and uncertainties in order to
support DMs to rather specific sets of techniques based upon
decision trees, influence diagrams and multi-attribute utility.
We use it here generically, including in our definition many
multi-criteria decision tools, such as multi-attribute value
analysis, the analytic hierarchy process (AHP) and out-
ranking approaches (for definitions, see Bouyssou et al.,
2000; French and Rios Insua, 2000; Belton and Stewart,
2002). Decision analysis provides a family of techniques,
S. French, J. Geldermann / Environmental Science & Policy 8 (2005) 378–391 387
which fit into the lower box in Fig. 5. All tend to apply to
strategic and tactical decisions, which began from a fairly
unstructured set of issues; the methods may become too
complex to apply in more detailed operational contexts. In
addition, they are best applied to enable evaluation and
propose a ranking of a fairly small number of discrete
strategies. If there are many strategies to be evaluated, the
methods, although straightforward, may encounter combi-
natorial problems in both the number of judgements that
need to be elicited from the DMs and in the computations
subsequently required.
Decision trees, influence diagrams and similar methods
seek to rank the strategies by evaluating the SEU model, i.e.
forming expectations of Eq. (2) against the uncertainties
modelled via probabilities (French and Rios Insua, 2000;
French, 2002). Thus, they apply in circumstances in which
the uncertainty is non-negligible and must be taken into
account, such as in the early phase of nuclear emergency
management (French et al., 1997). Multi-attribute value
analysis, AHP and outranking all apply to circumstances in
which uncertainty is much less of an issue, and focus
attention on balancing conflicting objectives, as in later
phases of nuclear emergency management (French, 1996).
Multi-criteria decision methods are also needed for the
last step of an LCA, comprising the interpretation of the
results of the ecological impact assessment and the
weighting of the environmental importance (Geldermann
and Rentz, 2001). The integration of such methods into the
framework of LCA is at the present well accepted; but no
single method has been identified as universally valid; there
is still debate about the relative merits of multi-attribute
value analysis, AHP and outranking (Seppala et al., 2002;
Hamalainen, 2003). In applications, the nuances in
preference modelling and aggregation procedures might
not matter, as long as sensitivity analyses illustrate the
consequences of subjective choices during the decision
process. Inclusion of all the methods as modules in a DSS
might also help to concentrate the discussion on the decision
problem and not on the choice of the ‘‘correct’’ or most
suitable approach (Geldermann et al., 2003b).
4.5. Operational research and mathematical
programming
Mathematical programming and other operational
research techniques, provide a means of bringing together
preference and uncertainty models to identify an ‘optimal’
strategy when the set of potential strategies is essentially
infinite. We have in mind here circumstances in which the
strategies are defined implicitly by setting parameters within
some allowable range, defining a feasible region from which
to choose the strategy. In the case that there is a single
objective function (defined perhaps using multi-attribute
value or utility formulations), linear, quadratic, integer,
stochastic, dynamic and other mathematical programming
techniques may be used to find an optimal strategy subject to
the constraint that the strategy lies within the feasible region.
In the case that multiple criteria have been defined, but with
no overall synthesising objective function, goal, vector or
interactive mathematical programming methods may be
used, e.g. (Goicoechea et al., 1982; Ragsdale, 2001;
Denardo, 2002). Obviously, mathematical programming
models are simplifications of reality, their ‘optimal’ solution
providing no more than a guide to a direction for change that
may lead to an improvement in the real system. Because
these methods require considerable structure in the under-
lying problem, they tend to apply to tactical and operational
rather than strategic decision contexts.
In ERS applications, which aim to set broad parameters to
achieve targets, the objective might be to minimise the sum
of the discounted costs over the planning horizon.
Consequence modelling predicts the emissions for a base
year and their evolution until a target year, as well as the
elaboration of cost functions at a sector and national level. A
model based on linear programming thus seeks to account
for all relevant technical and structural emission reduction
options (Geldermann et al., 2003a; Rentz, 2004; Gelder-
mann and Rentz, 2004a). Although non-linear optimisation
might be more appropriate for depicting the real depen-
dencies between the relevant factors, the model’s size
(comprised of approximately 1600 technical processes in
some 40 industrial sectors) urges restriction of the problem
to a linear one.
4.6. Sensitivity analysis
Finally, in applying all of these techniques, we should
assess their sensitivity to the accuracy of the data and
judgemental inputs. Sensitivity analysis simply seeks to
learn how the output of a model changes with variations in
the input (French and Papamichail, 2003; Geldermann et al.,
2003c). The output must be interpreted with great care
whenever it varies significantly for input fluctuations that are
within the realm of error or – perhaps more appropriate –
within the realm of confidence in their values. Saltelli et al.
(2000) provide an excellent introduction and survey of
sensitivity techniques. Sensitivity analysis can have many
purposes (French, 2003); here, we note two general
objectives.
Firstly, it helps DMs and analysts assess the importance
of broad uncertainties in their data and models, draw out the
general import of the analysis and understand what it is
saying. On the basis of this understanding, they can judge
whether the analysis is necessary, i.e. there is a sufficient
basis to enable a decision, or whether they need to gather
more data and develop the models used to allow a more
sophisticated analysis (French and Rios Insua, 2000;
Geldermann and Rentz, 2001).
Secondly, it can help build consensus between among the
DMs and between the DMs and the stakeholders. Sensitivity
analysis can be a very powerful medium of communication
in the service of building consensual understanding (Renn
S. French, J. Geldermann / Environmental Science & Policy 8 (2005) 378–391388
et al., 1995). In the International Chernobyl Project (Lochard
et al., 1992; French, 1995), one group of DMs was very
concerned that the alternatives had been ranked inappro-
priately against a public acceptability attribute, but
sensitivity analysis showed that taking an extreme alter-
native position on this attribute would not change the overall
ranking; thus reassured, the group withdrew their objections.
4.7. Artificial intelligence (AI) and expert systems
Artificial intelligence is a broad term encompassing many
definitions. Its broader goal is to develop machines that can
mimic human intelligence. Over the recent years, there have
been many successes with AI, with the development of a
range of techniques, such as expert systems and neural nets,
which can emulate human decision-making (see e.g. Turban
and Aronson, 2001). However, although such methods
undoubtedly have applications in the environmental arena,
they are limited by their need to be trained, and are thus more
suitable for operational decisions than for strategic ones. In
the case of knowledge or rule based expert systems, the
training is accomplished by eliciting rules and other
knowledge from experts and testing the system’s perfor-
mance against the experts. Neural nets are trained by
allowing them to learn from observation of experts’
decision-making in a series of similar contexts. In both
cases, it is implicit that the context of decision-making is
highly structured and repeatable. Thus, the methods are still
a long way from being suitable for EM, since emergencies
are hoped to be rather infrequent. Likewise, they are
unsuitable for the relatively unstructured context of LCA.
One other set of AI techniques we should mention here
are the search optimisation methods, such as genetic
algorithms, tabu search and simulated annealing. These
methods are being used increasingly to solve complex
mathematical programmes. However, they should not be
Fig. 7. Categorisation of a variety of methods according to the degree of struc
thought of as a distinct decision methodology. Rather, they
replace the older simplex and similar algorithms of
operational research with computationally more efficient
ones, such that applications might become feasible.
5. Discussion
We began this paper by suggesting that the literature to
date has not sufficiently differentiated between the
environmental decision contexts to which different support
techniques should be applied. Here we categorise such
methods according to the structure they assume in the
problem context and the level of support, which may range
from the simple presentation and organisation of the relevant
data through forecasting of future environmental patterns
and potential impacts of different strategies to methods that
help the DMs evolve and balance their judgements. Fig. 7
summarises the methods and tools that we have described in
terms of their different levels of support and the kind of
structure assumed in the problem context.
Taking a step back from the details of our survey, we can
now suggest how one should identify appropriate decision
support methods for a given set of environmental issues.
Firstly, one should address the questions in Fig. 2.
Recognising where the context lies on the strategic
(unstructured) versus operational (structured) dimension
along with the level of decision support that one needs (or
can afford in terms of the time and resources available for the
analysis), allows one to identify appropriate types and
methods of decision support (Fig. 7).
Next, identifying the players and being aware of their
cognitive needs is important in shaping the process of
decision support. First one needs to identify the DMs,
experts, stakeholders and analysts. With these in mind, one
can build the team for analysing the decision. In order to
ture assumed in the problem and the level of decision support provided.
S. French, J. Geldermann / Environmental Science & Policy 8 (2005) 378–391 389
tackle environmental problems one will almost certainly
need a multi-disciplinary approach. At this stage, there is a
real danger of over simplification that naıve multi-
disciplinarity may bring. True multi-disciplinarity means
the bringing together of experts from different disciplines
who draw on their shared expertise to build a common
understanding of the issues. However, there is a risk that
some disciplines may be underrepresented. For instance,
there are cases of environmental decision-support systems
being built by environmental scientists without adequate
input from software engineers and human–computer inter-
face (HCI) experts (for discussion of this in the context of
EM, e.g. see French et al., 2000; French and Niculae, 2005).
Likewise, economists and sociologists are often under-
represented on teams tackling LCA issues. In EM, there are
calls for more social scientists to become part of the teams
(Kelly et al., 2004).
Turning to the stakeholders, most environmental
decisions have an impact on the public to some extent,
and therefore, it is necessary to communicate the issues
and risks to them. French et al. (2005) argue that planning
the risk communication strategy and dialogue with the
public and stakeholder groups should permeate the entire
decision process rather than just be a simple add-on.
Indeed, if there is an intention to truly involve the public or
at least some of the stakeholders in the decision, one will
need to consider the use of stakeholder workshops,
citizens’ juries or e-democratic methods. Planning such
interactions will also shape the choice of decision analytic
tools. The analysis must be explicable to all those
involved; the more public and stakeholder involvement,
the greater the need for transparency in the methods used.
It is much easier to explain the use of, say, a multi-attribute
value analysis than a stochastic dynamic programme to a
stakeholder workshop.
Yet, numerous environmental decisions are not seen by
a large portion of the public, such as a LCA done for an
investment decision of an iron and steel works, or the
calculation of cost curves in the context of ERS. It may not
be advisable to leave decisions to decision panels or
stakeholder workshops (even if this seems to be a current
trend), replacing experts’ judgements by majority votes of
interested laymen. Given the difficulties caused by
cognitive factors, there is no guarantee that a large number
of DMs will come to better decisions than a few experts
following sound consultations and assisted by appropriate
decision support, but equally, we must emphasise that
those sound consultations, which introduce the perspec-
tives of the different stakeholders into the analysis, are
essential.
These final remarks should make clear that there is no
common recipe for any environmental decision, but that
there is a need for thorough interplay between environmental
modelling and decision support case by case. Nonetheless,
this paper should provide some advice on how to structure
environmental decision problems.
Acknowledgements
This work was supported by grants from the British
Council and the German Academic Exchange Service
(DAAD), for which we are very grateful. We also wish to
acknowledge many helpful interactions and discussions with
Roger Cooke, John Maule, Carmen Niculae, Nadia
Papamichail, Kejing Zhang, Martin Treitz, and Otto Rentz.
We are grateful to referees of an earlier draft who provided
much constructive criticism.
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Simon French is professor of information and decision sciences at Man-
chester Business School. Trained as a mathematician, he now works in
decision-analysis and decision-support systems with interests in Bayesian
statistics, risk analysis, management and communication, and knowledge
management. He has extensive experience in the nuclear, energy, and food
industries. Currently, he is looking at decision analytic approaches to e-
democracy.
Dr. Jutta Geldermann is head of the interdisciplinary research team on
technique assessment and risk management at the French–German Institute
for Environmental Research (DFIU/IFARE), University of Karlsruhe (TH).
She holds a diploma in industrial engineering and a PhD in business
administration. Her major research areas are multi-criteria decision-support
systems and the development of methodologies for the assessment and
optimisation of the economic performance of VOC emission reduction
strategies on a regional, national and supranational level.