DEVELOPING GUIDANCE DEVELOPING GUIDANCE FORFOR SEA IN SEA IN

DEVELOPMENT DEVELOPMENT COOPERATIONCOOPERATION

JON HOBBSJON HOBBS

ChairmanChairman

OECD: DAC TASK TEAM ON SEAOECD: DAC TASK TEAM ON SEA

Workshop on Development and Environment.Workshop on Development and Environment.

Beijing, ChinaBeijing, China

March 21-22 2005March 21-22 2005

Scope of presentationScope of presentation

Key Concepts and DefinitionsKey Concepts and Definitions

Why are Development Agencies interested Why are Development Agencies interested in SEA?in SEA?

What doing about itWhat doing about it

What makes a good SEA?What makes a good SEA? A quick review of one initiative to consider if it was A quick review of one initiative to consider if it was

an SEA….and a good one.an SEA….and a good one.

WHAT DO WE UNDERSTAND ABOUT WHAT DO WE UNDERSTAND ABOUT THE CONCEPT OF THE CONCEPT OF ENVIRONMENTENVIRONMENT??

ENVIRONMENT ?ENVIRONMENT ?

Traditional:Traditional:

““The living and non living (biophysical) The living and non living (biophysical) world around us and the goods and world around us and the goods and services it provides”services it provides”

Environment is :Environment is :

The biophysical, social, economic and The biophysical, social, economic and cultural dimensions of our surroundingscultural dimensions of our surroundings

CHARACTERISTICS OFCHARACTERISTICS OF ENVIRONMENT? ENVIRONMENT?

Multi dimensionalMulti dimensional

Uncertain and UnpredictableUncertain and Unpredictable

InterconnectedInterconnected

DynamicDynamic

Environmental Management Environmental Management Requires?Requires?

Multi- disciplinaryMulti- disciplinary Problem Solving Problem Solving Balanced & IntegratedBalanced & Integrated Decision Making Decision Making

Environment – DevelopmentEnvironment – Development Social – Economic – EnvironmentalSocial – Economic – Environmental Production – Consumption (Life cycles)Production – Consumption (Life cycles) Local-GlobalLocal-Global

OpennessOpenness not secrecy not secrecy Holistic approachHolistic approach Doing things Doing things differentlydifferently

Environment Gets?Environment Gets?

TerritorialityTerritoriality Displacement activityDisplacement activity TokenismTokenism Avoidance StrategiesAvoidance Strategies Under-managementUnder-management Simple (Simplistic) SolutionsSimple (Simplistic) Solutions

CONNECTIONS: CONNECTIONS: SUSTAINABLE DEVELOPMENTSUSTAINABLE DEVELOPMENT

ECONOMICDEVELOPMENT

•Trade•Finance

•Investment•Technology

transfer

SOCIALDEVELOPMENT

•Water•Health•Energy

•Education•Food security

ENVIRONMENT•Oceans

•Atmosphere•Biodiversity

•Land degradation•Climate change

GROWING TRENDS WE CANNOT IGNOREGROWING TRENDS WE CANNOT IGNORE

Declining Renewable

Resources

• Energy crisis• Freshwater Scarcity• Food Shortage• Soil Erosion• Desertification

Declining Renewable

Resources

• Energy crisis• Freshwater Scarcity• Food Shortage• Soil Erosion• Desertification

Social Disintegration

• Underemployment• Inequity• Political Repression• Family Breakdown• Human Rights• Gender Issues

Social Disintegration

• Underemployment• Inequity• Political Repression• Family Breakdown• Human Rights• Gender Issues

Persistent Deprivation

• Sanitation + Health• Illiteracy• Access to water & Energy• Family Planning• Shelter• Poverty

Persistent Deprivation

• Sanitation + Health• Illiteracy• Access to water & Energy• Family Planning• Shelter• Poverty

Over Population

• Population• Migration• Child Labour• Urbanisation• Resurgent Disease

Over Population

• Population• Migration• Child Labour• Urbanisation• Resurgent Disease

Ecosystem Decline

• Wetlands• Coral Reefs• Coastal Zones• Bio-Diversity• Habitat

Ecosystem Decline

• Wetlands• Coral Reefs• Coastal Zones• Bio-Diversity• Habitat

Altered Bio-Chemistry

• Stratospheric Ozone Depletion• Climate Change• Accumulation of wastes• Persistent Chemicals

Altered Bio-Chemistry

• Stratospheric Ozone Depletion• Climate Change• Accumulation of wastes• Persistent Chemicals

Bio-Physical

Socio- EconomicUNSUSTAINABLE

ROOT CAUSESROOT CAUSES OF OF

ENVIRONMENTAL PROBLEMS?ENVIRONMENTAL PROBLEMS?MUST ADDRESS CAUSES NOT MUST ADDRESS CAUSES NOT

SYMPTOMSSYMPTOMS Technology and PoliciesTechnology and Policies

Affluence and AttitudesAffluence and Attitudes

PovertyPoverty

ENVIRONMENTAL DEGRADATION ENVIRONMENTAL DEGRADATION EXACERBATES POVERTYEXACERBATES POVERTY

Poor are often… Poor are often…

•Most vulnerable to stresses in their Most vulnerable to stresses in their environmentenvironment

Natural HazardsNatural Hazards

Man made- Man made-

pollution / conflictspollution / conflicts

•Most directly dependent on the Most directly dependent on the resources around them for their resources around them for their livelihoods.livelihoods.

•Most excluded from decision making Most excluded from decision making and resources.and resources.

. .

Improved Environmental Improved Environmental Management supports…Management supports…

–LivelihoodsLivelihoods

–Reduces vulnerabilityReduces vulnerabilityAddressing poverty has Addressing poverty has environmental benefitsenvironmental benefits

Addressing environmental concerns Addressing environmental concerns has development benefits.has development benefits.

Environment not an end in itself or separate Environment not an end in itself or separate consideration consideration

Env a means to address poverty and growthEnv a means to address poverty and growth

POVERTY AND ENVIRONMENT POVERTY AND ENVIRONMENT INTERLINKEDINTERLINKED

Poor people part of Poor people part of solution not solution not

problemproblem

What does this mean for Environmental What does this mean for Environmental Assessment and Management in a Assessment and Management in a

Developing Country?Developing Country?

THE DEVELOPING COUNTRY DILEMMATHE DEVELOPING COUNTRY DILEMMA

Cannot afford to use modern technology with poor Cannot afford to use modern technology with poor environmental and social standardsenvironmental and social standards

nornor

Uncritically import richer countries environmental Uncritically import richer countries environmental and social standards into developing country and social standards into developing country

situationsituation

Choice of priorities approaches must be Developing Countries. Choice of priorities approaches must be Developing Countries.

BENEFITS OF POLICYBENEFITS OF POLICY LENDING?LENDING?

• COUNTRY OWNERSHIP

• MORE ACCOUNTABLE GOVERNMENT

•LONG TERM PLANNING

•REDUCED TRANSACTION COSTS

•MORE EFFECTIVE GOVERNMENT SYSTEMS

THE CHANGING THE CHANGING NATURE OF NATURE OF DELIVERING DELIVERING

INTERNATIONAL AIDINTERNATIONAL AID

A MORE STRATEGIC APPROACHA MORE STRATEGIC APPROACH

DEVELOPING COUNTRY’SPRIORITIES

Civil Society Private Sector

International Institutions

National Strategies

Policies, Programmes,PlansProjects

Bilateral Development

Agencies

1: 1: SUCCESSFUL UPSTREAM ASSISTANCE REQUIRES SHARED GOALS ?

Mutually Mutually agreed goals agreed goals and targetsand targets

Millennium Development Goals

National Strategic National Strategic FrameworksFrameworks

Poverty Reduction or Development Strategies

2: SUCCESSFUL UPSTREAM ASSISTANCE SUCCESSFUL UPSTREAM ASSISTANCE REQUIRESREQUIRES

“GOOD GOVERNANCE”“GOOD GOVERNANCE”

Greater transparency, accountability and Greater transparency, accountability and opennessopenness

Strengthened government institutionsStrengthened government institutions Improved financial and budget managementImproved financial and budget management Fairer administrative and judicial systemsFairer administrative and judicial systems Multi stakeholder participationMulti stakeholder participation Democratic accountabilityDemocratic accountability Protection of human rights Protection of human rights Rule of lawRule of law

SUPPORTED BY RIGOROUS POLICY APPRAISAL SUPPORTED BY RIGOROUS POLICY APPRAISAL

WHAT ARE THE IMPLICATIONS FOR WHAT ARE THE IMPLICATIONS FOR THE THE

ENVIRONMENTAL PROFESSIONAL ENVIRONMENTAL PROFESSIONAL WORKING TO INTEGRATE WORKING TO INTEGRATE

ENVIRONMENT?ENVIRONMENT?

Projects

Systems

EMS

Strategies

Goal

Objectives

Practical Implementation

The Decision Making HierarchyThe Decision Making HierarchyThe Decision Making HierarchyThe Decision Making Hierarchy

Sustainability

Sustainable Development

Methods

EIA

SEA

Tools

Techniques

Instruments

ECO

EFFICIE

NCY

EMP

Policy PP

EIAEIA SEASEAPROJECTSPROJECTS POLICIES, PLANS AND PROGRAMMESPOLICIES, PLANS AND PROGRAMMES

WELL DEFINED PROCEDURES AND WELL DEFINED PROCEDURES AND PRODUCT ORIENTED OUTPUTSPRODUCT ORIENTED OUTPUTS

ONGOING AND ITERATIVE PROCESSONGOING AND ITERATIVE PROCESS

REACTIVE INFLUENCEREACTIVE INFLUENCE(AT BEST ‘NO GO’) (AT BEST ‘NO GO’)

(TOO OFTEN USED TO JUSTIFY (TOO OFTEN USED TO JUSTIFY EARLIER DECISIONS)EARLIER DECISIONS)

POTENTIAL PROACTIVE INFLUENCE ON POTENTIAL PROACTIVE INFLUENCE ON KEY POLICY CHOICESKEY POLICY CHOICES

LIMITED CONSIDERATION OF LIMITED CONSIDERATION OF CONTEXT OF PROJECTCONTEXT OF PROJECT

CONSIDERS CONTEXT OF PROJECTS CONSIDERS CONTEXT OF PROJECTS (helicopter view)(helicopter view)

TENDS TO MITIGATE NEGATIVESTENDS TO MITIGATE NEGATIVES SEEKS OUT OPPORTUNITIESSEEKS OUT OPPORTUNITIES

FOCUS ON DISCRETE PROJECTFOCUS ON DISCRETE PROJECT MORE LIKELY TO CONSIDER MORE LIKELY TO CONSIDER CUMULATIVE AND SYNERGISTIC CUMULATIVE AND SYNERGISTIC IMPACTS (SYSTEMS APPROACH)IMPACTS (SYSTEMS APPROACH)

(CIA a part of SEA but not sufficient)(CIA a part of SEA but not sufficient)

CONSIDERS LIMITED ALTERNATIVESCONSIDERS LIMITED ALTERNATIVES CONSIDERS BROAD RANGE OF CONSIDERS BROAD RANGE OF SCENARIOSSCENARIOS

REVIEWS AN EXISTING PROPSAL REVIEWS AN EXISTING PROPSAL and HELPS PUT PPPs INTO and HELPS PUT PPPs INTO PRACTICEPRACTICE

HELPS HELPS DEVELOPDEVELOP AND APPRAISE PPPs AND APPRAISE PPPs

Analytic

al Stra

tegic

Assessm

ent: ANSEA

Energy and Environment Reviews : EER

Integrated Assessment : IA

Integrated Environmental Assessment: IEMPolicy Appraisal

Poverty Impact Assessment: PIA

Poverty and Social Impact Assessment: PSIA

Cumulative I

mpact A

ssessm

ent

Sustainability appraisal: SA

Sectoral Environmental Assessment

Strategic Environmental Analysis

Strategic Environmental Framework:SEFStrategic Impact Assessment: SIA

Strategic Overview

Regional Environmental Assessment:REA

Participatory Poverty Assessment

Strategic Processes for Sustainability

Strategic Environmental Assessment : SEA

Comprehensive Options Assessment

Country Environmental Analysis: CEA

Integrated Trade Assessm

ent

Formal Near equivalents Para SEA

Typology of SEA approachesTypology of SEA approaches

International

National

W Bank CAS PRSPs

Canadian SEA of PPPDutch E-Test

Danish SEA of Bills, etcUK policy/plan appraisal

UNECE SEA Protocol

EU SEA Directive

Regional

New UK ODPM

Guidance on SEA

DutchSEIA

GEF-based studies

Nile BasinFormal: prescribed in international or national EIA-type instruments

Near equivalent processes of environmental appraisal of policies/laws, and broader SEA-type processes/methods

Para SEA: Don’t meet formal specifications or strict definitions; but share some characteristics or elements and have same overall purpose

Integrated land use Planning,NZ RMA

Environmental

APPRAISAL

APPRAISAL

EnvironmentalEconomic

SocialSocial

Economic

POLICYPOLICY

CONTINUUMCONTINUUM

ADJUSTING THE RESPONSE TO THE NEEDADJUSTING THE RESPONSE TO THE NEED

Need = Need = Integrating Integrating

EnvironmentEnvironment

Need = Need = Understanding Understanding

the linkagesthe linkages

Strategic Environmental AssessmentStrategic Environmental Assessment

SEA is SEA is a family of toolsa family of tools for up- for up-streaming environmental and social streaming environmental and social issues into development planning, issues into development planning, decision-making and implementation decision-making and implementation processes at the strategic level. processes at the strategic level.

(Based on World Bank, 2002)(Based on World Bank, 2002)

How to do SEA?How to do SEA?

There is no There is no ONE SIZE FITS ALLONE SIZE FITS ALL ((Recipe)Recipe)

But there are common But there are common principles principles (Ingredients) (Ingredients) andand process process elements elements (Ways to cook)(Ways to cook)

Therefore many forms and shapes Therefore many forms and shapes (Types of cake on menu)(Types of cake on menu)

SEA is a family of tools all with broad common SEA is a family of tools all with broad common goals goals (Meal)(Meal)

Responses need to be flexible and adapted to needs and Responses need to be flexible and adapted to needs and context of application:context of application:

Availability of resources (time, data)Availability of resources (time, data)

Early codification (straight jacket) is counter productive.Early codification (straight jacket) is counter productive.

Selected key Guiding Principles of SEASelected key Guiding Principles of SEA

• Measures of successMeasures of success1.1. IntegratedIntegrated

• Identifies key environmental, social and economic effects and interrelationships, Identifies key environmental, social and economic effects and interrelationships, trade offs and policy implications trade offs and policy implications

2.2. Sustainability led or drivenSustainability led or driven

• Identifies best practicable option for sustainable developmentIdentifies best practicable option for sustainable development

3.3. CredibleCredible

• Involves robust, evidence – based assessment using available methods.Involves robust, evidence – based assessment using available methods.

4.4. Comprehensive yet FocusedComprehensive yet Focused

• Addresses the key issues (opportunities and constraints) pertinent to developmentAddresses the key issues (opportunities and constraints) pertinent to development

5.5. Accountable and TransparentAccountable and Transparent

• Well documented and subject to independent checks and verificationWell documented and subject to independent checks and verification

6.6. ParticipativeParticipative

• Involves interested and affected people including the poor and marginalisedInvolves interested and affected people including the poor and marginalised

7.7. Outcomes orientedOutcomes oriented

• Delivers practical results/ benefits in terms of the development agenda.Delivers practical results/ benefits in terms of the development agenda.

The Standard SEA The Standard SEA ProcessProcessScreening/ Scoping:Screening/ Scoping:

Agree need for an SEA and what to do/ preliminary scan of pppAgree need for an SEA and what to do/ preliminary scan of ppp

Find stakeholders, start planning processFind stakeholders, start planning process

Develop a shared vision on problems/objectives/alternativesDevelop a shared vision on problems/objectives/alternatives

Do a consistency analysis: new versus existing objectivesDo a consistency analysis: new versus existing objectives

Assessment (Gathering the info for decision takers):Assessment (Gathering the info for decision takers):

Set TOR for the assessment of alternatives identifiedSet TOR for the assessment of alternatives identified

Do the assessment and document itDo the assessment and document it

Organise independent quality assuranceOrganise independent quality assurance

Decision making:Decision making:

Discuss with all stakeholders the preferred optionDiscuss with all stakeholders the preferred option

Make recommendationsMake recommendations

Monitoring the decision takenMonitoring the decision taken::

Monitor the implementation and consider the resultsMonitor the implementation and consider the results

PlanPlan

DoDo

CheckCheck

ActAct

What value does SEA add?What value does SEA add? Better informed decision makingBetter informed decision making Better prospects for sustainable Better prospects for sustainable

outcomesoutcomes Identifies the best development option/ Identifies the best development option/

pathwaypathway

Delivering on MDG 7 is the overriding focus for SEA in Development Cooperation

Makes AID more effective. Contributes to Good Governance Helps make Strategies more robust

Millennium Development Goal 7

WSSD Johannesburg Plan of Implementation called for more integrated approaches to planning,

WCD and EIR

High Level Forum on Development Effectiveness (March 2005)

PARIS DECLARATION ON AID EFFECTIVENESS

OECD’sOECD’sDevelopment Assistance Committee (DAC)Development Assistance Committee (DAC)

OECD (30-members): inter-government think inter-government think tank in key areas of economic and social policiestank in key areas of economic and social policies

DAC (23 members): permanent body where permanent body where bilateral donors work with multi-laterals towards bilateral donors work with multi-laterals towards coordinated, effective and adequately financed coordinated, effective and adequately financed support to LDCssupport to LDCs

Environet: Mainstreaming environmentMainstreaming environment

Key areas of activity: Development evelopment effectiveness peer review -- policy coherence, effectiveness peer review -- policy coherence, evaluation, good practice reference papers and evaluation, good practice reference papers and guidelines.guidelines.

Task Team on Task Team on Strategic Environmental Strategic Environmental

AssessmentAssessment

Increasing focus of interest and work for international development agencies

Formal requirements for SEA established by the World Bank, ADB and others

SEA is rapidly developing next stage in the decade-long process of mainstreaming environmental and social considerations.

Much recent progress, but much to do to make SEA effective and widely applied

Mostly being applied opportunistically- not routinely

THE CURRENT STATUS OF SEA

IN DEVELOPMENT COOPERATION