Applying strategic environmental assessment : good practice guidance for development co-operation

Acronyms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12 Preface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 Executive Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 Part I Chapter 1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23 1.1. New approaches to development co-operation . . . . . . . . . . . . . . . . . . . . . . . . . . . 24 1.2. SEA meets the challenge of more strategic development co-operation . . . . . . 24 1.3. Legal requirements for SEA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25 1.4. SEA supports donors’ harmonisation and alignment efforts . . . . . . . . . . . . . . . 26 1.5. What does this Guidance seek to achieve? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27 1.6. How should this Guidance be used? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27 1.7. Agreed development approaches underpinning this Guidance . . . . . . . . . . . . . 28 Chapter 2. Understanding Strategic Environmental Assessment . . . . . . . . . . . . . . . . . . 29 2.1. Positioning SEA in the decision-making hierarchy . . . . . . . . . . . . . . . . . . . . . . . . 30 2.2. How SEA has evolved to address the strategic levels of decision making . . . . . 31 2.3. SEA: A family of approaches using a variety of tools . . . . . . . . . . . . . . . . . . . . . . 32 2.4. SEA: A continuum of applications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34 2.5. The relationship of SEA with other policy appraisal approaches and supporting tools . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35 Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39 Chapter 3. The Benefits of Using Strategic Environmental Assessment in Development Co-operation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41 3.1. Supporting the integration of environment and development . . . . . . . . . . . . . . 42 3.2. Identifying unexpected potential impacts of reform proposals . . . . . . . . . . . . . 43 3.3. Improving the identification of new opportunities. . . . . . . . . . . . . . . . . . . . . . . . 43 3.4. Preventing costly mistakes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45 3.5. Building public engagement in decision making for improved governance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45 3.6. Facilitating transboundary co-operation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46 3.7. Safeguarding environmental assets for sustainable development and poverty reduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47 TABLE OF CONTENTS APPLYING STRATEGIC ENVIRONMENTAL ASSESSMENT 8 – ISBN 92-64-02657-6 – © OECD 2006 Chapter 4. Towards Strategic Environmental Assessment Good Practice: Principles and Processes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49 4.1. Basic principles for SEA. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50 4.2. The institutional dimension of SEA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51 4.3. Stages and steps for undertaking SEA at the plan and programme level . . . . . 54 Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61 Part II Chapter 5. Applications of Strategic Environmental Assessment in Development Co-operation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65 5.1. Key entry points for SEA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 66 5.2. Donor harmonisation for SEAs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69 5.3. Guidance Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71 A. Guidance Notes and Checklists for SEA Led by Partner Country Governments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 72 Guidance Note and Checklist 1: National Overarching Strategies, Programmes and Plans. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 72 Guidance Note and Checklist 2: National Policy Reforms and Budget Support Programmes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 77 Guidance Note and Checklist 3: National Sectoral Policies, Plans and Programmes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81 Guidance Note and Checklist 4: Infrastructure Investments Plans and Programmes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 86 Guidance Note and Checklist 5: National and Sub-National Spatial Development Plans and Programmes . . . . . . . . . . . . . . . . . . . . . . . . 90 Guidance Note and Checklist 6: Trans-National Plans and Programmes . . . . . . . . . . 93 B. Guidance Notes and Checklists for SEA Undertaken in Relation to Donor Agencies’ Own Processes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98 Guidance Note and Checklist 7: Donors’ Country Assistance Strategies and Plans. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98 Guidance Note and Checklist 8: Donors’ Partnership Agreements with other Agencies . . . . . . . . . . . . . . . . . . . . . . . . . . 101 Guidance Note and Checklist 9: Donors’ Sector-Specific Policies. . . . . . . . . . . . . . . . . 103 Guidance Note and Checklist 10: Donor-Backed Public Private Infrastructure Support Facilities and Programmes . . . . . . . . . . . . . 106 C. Guidance Notes and Checklists for SEA in Other, Related Circumstances . . . 111 Guidance Note and Checklist 11: Independent Review Commissions (which have implications for donors’ policies and engagement). . . . . . . . . . . . . . . . . . . . . . . . . . . . . 111 Guidance Note and Checklist 12: Major Private Sector-Led Projects and Plans . . . . . . 115 TABLE OF CONTENTS APPLYING STRATEGIC ENVIRONMENTAL ASSESSMENT – ISBN 92-64-02657-6 – © OECD 2006 9 Case example 5.1. Mainstreaming environment into Poverty Reduction Strategies – SEA of Poverty Reduction Strategy Papers: Uganda and Rwanda . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75 Case example 5.2. Incorporating environmental considerations into Ghana’s Poverty Reduction Strategy processes: SEA of Poverty Reduction Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76 Case example 5.3. SEA of poverty reduction credit, Tanzania (budget support) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79 Case example 5.4. SEA for policy reform in the water and sanitation sectors in Colombia (development policy lending). . . . . . . . . . . . . . . . . .80 Case example 5.5. The Kenya Education Support Programme . . . . . . . . . . . . . . . . . 83 Case example 5.6. Sector EA of Indonesia Water Sector Adjustment Loan (WATSAL). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84 Case example 5.7. Energy Environment Review in Iran and Egypt . . . . . . . . . . . . . . 85 Case example 5.8. Regional environmental assessment of Argentina flood protection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88 Case example 5.9. The Sperrgebiet land use plan, Namibia . . . . . . . . . . . . . . . . . . . 91 Case example 5.10. SEA of the Great Western Development Strategy, China . . . . . . 92 Case example 5.11. Transboundary environmental assessment of the Nile basin . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95 Case example 5.12. Mekong River Commission Basin Development Plan . . . . . . . . . 96 Case example 5.13. SEA in Sida’s country strategy for Viet Nam . . . . . . . . . . . . . . . . 100 Case example 5.14. The DFID-WWF Partnership Programme Agreement . . . . . . . . . 103 Case example 5.15. CIDA action plan for HIV/AIDS. . . . . . . . . . . . . . . . . . . . . . . . . . . . 105 Case example 5.16. Environment due diligence for financial intermediaries, based on European Bank for Reconstruction and Development (EBRD) procedures . . . . . . . . . . . . . . . . . . . . . . 108 Case example 5.17. Environmental risk management of a community-driven development project – Programme National de Développement Participatif (PNDP) Cameroon . . . . . . . . . . . 109 Case example 5.18. The World Commission on Dams . . . . . . . . . . . . . . . . . . . . . . . . . 113 Case example 5.19. The Extractive Industries Review. . . . . . . . . . . . . . . . . . . . . . . . . . 114 Case example 5.20. Nam Theun 2 Hydropower Project, Lao PDR . . . . . . . . . . . . . . . . 117 Case example 5.21. The potential of SEA in relation to major oil and gas investments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 118 Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119 Part III Chapter 6. How to Evaluate Strategic Environmental Assessment . . . . . . . . . . . . . . . . . 123 6.1. The role of evaluation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 124 6.2. Evaluating the delivery of envisaged outcomes . . . . . . . . . . . . . . . . . . . . . . . . . . 125 6.3. Evaluation as quality control check. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 126 Checklist 6.1. Key questions for evaluating the delivery of envisaged outcomes of a PPP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 125 Checklist 6.2. Key questions for evaluation as a quality control check . . . . . . . . . . . 126 TABLE OF CONTENTS APPLYING STRATEGIC ENVIRONMENTAL ASSESSMENT 10 – ISBN 92-64-02657-6 – © OECD 2006 Chapter 7. Capacity Development for Strategic Environmental Assessment . . . . . . . . 129 7.1. Why is SEA capacity development needed?. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 130 7.2. Mechanisms for developing capacities for SEA in partner countries. . . . . . . . . 131 7.3. SEA capacity development in donor organisations. . . . . . . . . . . . . . . . . . . . . . . . 138 7.4. SEA as a foundation for capacity development and learning societies . . . . . . . 138 Case example 7.1. Capacity-building needs assessment for the UNECE SEA Protocol Implementation in five countries in the Eastern Europe, Caucasus and Central Asia region (EECCA) . . . . . . . . . . 131 Case example 7.2. SEA training course in China . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 133 Case example 7.3. SEA development in Mozambique. . . . . . . . . . . . . . . . . . . . . . . . . 134 Case example 7.4. UNDP initiative for SEA capacity-building in Iran. . . . . . . . . . . . 134 Case example 7.5. Assessing the potential to introduce SEA in Nepal. . . . . . . . . . . 135 Case example 7.6. Results-based monitoring in the water and sanitation sector in Colombia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 136 Case example 7.7. Sofia Initiative on Strategic Environmental Assessment . . . . . . 137 Case example 7.8. The SAIEA node model for EA support . . . . . . . . . . . . . . . . . . . . . 137 Case example 7.9. Sida SEA Helpdesk – University of Gothenburg . . . . . . . . . . . . . . 139 Case example 7.10. Donor sharing of SEA experience . . . . . . . . . . . . . . . . . . . . . . . . . 139 References and Bibliography. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 141 Annex A. Glossary of Terms. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 145 Annex B. Assessment Approaches Complementary to Strategic Environmental Assessment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 149 Annex C. Analytical and Decision-making Tools for Strategic Environmental Assessment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 153 Annex D. Selected Sources of Information on Strategic Environmental Assessment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 159