DEVELOPING GUIDANCE FOR SEA IN DEVELOPMENT COOPERATION JON HOBBS Chairman OECD: DAC TASK TEAM ON SEA...
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Transcript of DEVELOPING GUIDANCE FOR SEA IN DEVELOPMENT COOPERATION JON HOBBS Chairman OECD: DAC TASK TEAM ON SEA...
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