1

Henrieta Martonakova(

henrieta.martonakova@undp.org)

Strategic Environmental Assessment for Environmental Mainstreaming

2 2

Presentation Outline

• Brief introduction to SEA

• Latest developments- in region- UNDP

• SEA and Biodiversity• SEA and Adaptation to Climate Change

3 3

SEA = Range of analytical and participatory approaches to integrate environmental considerations into policy,

plans and programmes and evaluate the inter linkages with economic and social considerations (OECD, 2006)

not a single, fixed and prescriptive approach largely principle-based continuous, iterative and adaptive applied throughout the entire decision-making process focused on strengthening institution and governance adapted and tailor made

4 4

SEA is not

An approach for mainly developing environmental strategies, programmes and action plans, but rather for developing area based and sectoral plans, which take account of the objectives formulated in environmental strategies, programmes, etc.

A responsibility of the environmental ministries and authorities but rather of sectoral ministries and authorities responsible for area strategic development (regional government, municipality, etc.)

5 5

SEA: Up-streaming environmental considerations into the decision-making hierarchy

Strategic EnvironmentalAssessment

Environmental Impact Assessment

Policy

Plan

Programme

Projects

Source: OECD. 2006. Applying Strategic Environmental Assessment: Good practice Guidance for Development Co-operation.

6 6

Key entry points for SEA in country development processes

Lead authorities Focus area/entry point Instruments (e.g.)National Government and Cross-Sector Ministries (e.g. Departments of Finance/Planning)

• National-level overarching strategies, programmes and plans

• National Policy reforms and Budget Support programmes

• Poverty Reduction Strategy Papers (PRSPs)

• MDG-based National Development Strategies

• Development Policy Lending

Sector or Line Ministries (e.g. Mining, Health, Agriculture)

• National sectoral policies, plans or programmes (e.g. energy or health sector reform)

• Infrastructure investment plans and programmes

• Sector-Wide Approach (SWAp)• Sector Budget Support• Sector Policy Lending• Loans• Equity investments

Sub-national, regional and local Governments

• National and sub-national spatial development plans and programmes

• Technical assistance and investment

International/trans-boundary agencies

• Trans-National plans and programmes

• Technical assistance and investment

Source: OECD. 2006. Applying Strategic Environmental Assessment: Good practice Guidance for Development Co-operation.

7 7

SEA is effective if:

Integrates environment in a cross-cutting manner to other sectors Address broader social concerns – is not only environment Is a process integrated within the broader strategic national development planning process Is adapted to national government specificities, and ensures capacity needs assessment and capacity building Encourages broad and effective participation to ensure local ownership and innovation in the SEA process Is reliable and relevant includes economic and financial analysis of costs and benefits of policy measures

8 8

SEA in Europe and the CIS region

EC SEA directive: in force from July 2004

UNECE SEA Protocol: - Signed by EU and SEE countries, Armenia, Georgia, Moldova Ukraine - Ratified by Albania, Bulgaria and Czech Republic (in ECIS region)- Accession indicated by: Azerbaijan, Belarus and Kazakhstan

9 9

Belgrade SEA InitiativeInvited to be adopted by the Belgrade conference by Armenia, Belarus and Moldova

Main objective – to support capacity development in EECCA

Priority actions related to Protocol implementation issues in EECCA:• Development of effective SEA procedures• National transposition of the Protocol requirements• Development of appropriate SEA guidelines• Developing necessary capacities for SEA• Evaluating SEA processes• Explaining benefits of SEA to decision-makers

UNDP, UNECE and REC partnership:• Initiating the ‘Belgrade SEA Strategy’• Organizing the' SEA side event’ at the Belgrade conference

1010

OECD DAC Guidelines and Reference Series: Strategic Environmental

Assessment Applications in Development Co-operation

• Produced by the OECD DAC Network on Environment and Development Co-operation Task Team on Strategic Environmental Assessment.

• Task Team co-chaired by UNDP and Department for International Development (DfID), with over 25 partners

• Task Team received 2006 International Association for Impact Assessment Institutional Award for aid agency cooperation.

1111

UNDP SEA Implementation Plan

….supporting UNDP environmental mainstreaming agenda

Outcomes:Supporting SEA application in development and implementation of (MDG-based) national and sub-national development strategies, policies, plans and programmesSupporting SEA application for integrating environment and energy aspect into the UN and UNDP programmingCapacity development for SEA implementation both in countries of the region and within UNDP staff

1212

UNDP comparative advantage for SEA supportLong and strong tradition in working with national and local governments since they are responsible for applying SEA in development of national and sub-national strategic documents;

Wide and well established environmental portfolio (referring to GEF in particular) creating opportunities and entry points for SEA application on one hand and providing good substantive input for analytical part of the SEA process (needs assessment, impact assessment, etc.) on the other hand;

Strong involvement of UNDP in the framework national and regional development programming (e.g. UNDP Crimea Integration and Development Programme and UNDP Upper Drina Regional Development

Programme);

1313

BRC SEA FocusSupport to the ‘Belgrade SEA Initiative’ implementationCapacity development for SEA application in the countries as well as within UNDP:Regional SEA training for trainers (South Caucasus and EE)On-line SEA training for UNDP staff under developmentSEA pilot projects: Azerbaijan (spatial planning); Crimea (regional development strategy preparation)Awareness raising on SEA benefits and potential, and on entry points for its application;Capacity development of COs in SEA application (training, fact sheets, guidelines);Identification of potential national SEA interventions / projects and their implementationResource mobilization for national SEA interventions / projects and their implementation

1414

Areas for COs support:

Awareness raising on SEA benefits and potential, and on entry points for its application;Capacity development of COs in SEA application (training, fact sheets, guidelines);Identification of potential national SEA interventions / projects and their implementationResource mobilization for national SEA interventions / projects and their implementation

15

SEA for mainstreaming Adaptation to Climate

Change

1616

SEA for Mainstreaming Adaptation to CC

Draws upon guidance in the Adaptation Policy Frameworks for Climate Change (APF) and in the OECD DAC Guidance on SEA

Objective:To support national development priorities throughimproved policies, plans and/or programmes.

support climate change adaptation mainstreaming leverage SEA frameworks in place

1717

Rationale for SEA and APF combination

SEA supports the integration of adaptation measures and strategies simultaneously with other environment concerns national and sub-national development and sectoral strategies, policies, plans and programmes;

More systematic consideration of climate change adaptation in strategic development planning processes as SEA is supported / required by national and even international legislation in many countries, expanding the usership of the APF

APF strengthens SEA by providing the explicit steps necessary for integrating future climate change risks and adaptation into the SEA process, helping to ensure that development policies and plans do not

increase risks to the target system in the long term

1818

SEA: basic stages

1. Establishing the context for the SEA:- Screening- Setting objectives- Identifying stakeholders

2. Implementing the SEA- Scoping (in dialogue with stakeholders)- Colleting baseline data- Identifying alternatives- Identifying how to enhance opportunities and mitigate impacts- Quality assurance- Reporting

3. Informing and influencing decision-making- Making recommendations (in dialogue with stakeholders)

4. Monitoring and evaluating- Monitoring decisions taken on the policy, plan or programme- Monitoring implementation of the policy, plan or programme- Evaluation of both SEA and the policy, plan or programme

Source: OECD. 2006. Applying Strategic Environmental Assessment: Good practice Guidance for Development Co-operation.

1919

SEA approach for adaptation mainstreaming- examples of adaptation-related questions for each SEA stage

Stage 1: Establish the context for the approach What development objective(s) or outcome(s) are sought?Are the objectives in line with national environmentalobjectives and sustainable development policies?What kind of information is available on environmentalchallenges, climate change vulnerability and projectedimpacts, and what does the information suggest?On which time horizon are climate change risks expected?Who are the stakeholders and how should they be engagedin the SEA approach to Adaptation?Is there a need for institutional strengthening and capacity buildingon the SEA approach to Adaptation?

2020

SEA approach for adaptation mainstreaming- examples of adaptation-related questions for each SEA stage

Stage 2: Implement the approachWhat are the relevant criteria and indicators for the assessment?What methods should be used to assess future vulnerability andadaptation needs, characterize future climate-related risks, etc.?What impacts will climate change likely have on the effectivenessof the policy, plan and programme, and the target population?What impacts will the policy, plan or programme have onenvironmental sustainability and development outcomes?What responses (options) would reduce climate risks impactsand improve development outcomes?What are the barriers, costs, and impacts of those options?Are the views of stakeholders being included in the process?

2121

SEA approach for adaptation mainstreaming- examples of adaptation-related questions for each SEA stage

Stage 3: Inform and influence decision-makingWhat are the main conclusions on adaptive measures?Are there adequate mechanisms for these to be reflected in thepolicy and decision-making process?Are financial resources sufficient to implement the activitiesidentified as needed to ensure sustainability and otherdevelopment outcomes?

Stage 4: Monitor and evaluateWhat is the strategy for reviewing, monitoring and evaluatingimpacts?What indicators will be used for monitoring? How will they betracked?

2222

SEA may be applied for mainstreaming adaptation in case of:

Applying adaptation at national, sub-national and sectoral level (not at the project level);

Countries having legal obligations to apply SEA

Countries developing capacity for SEA application by implementing SEA pilot projects

2323

Next steps for completing combined SEA – APF approach

Identify pilot projects for testing the approach Revise the SEA approach to Adaptation methodology based on the gained experiencePublish and disseminate the SEA approach to Adaptation guidance, case studies, Organize training

Draft technical paper on merging SEA and APF is available at EEG Staff Work Space:

http://content.undp.org/go/bdp/eeg/Strategic-Environmental-Assessment

24

SEA for

Mainstreaming Biodiversity

2525

Overall objective of SEA

To ensure that the conservation and sustainable use of biodiversity is pursued as a fundamental objective of strategic decision-making.

To both advocate, to raise awareness of biodiversity issues, and to facilitate integration with environmental, social and economic considerations

2626

Biodiversity “triggers” for SEA

Attention required when:

area affected by a policy, plan or programme known to provide one or more important ecosystem services

policy, plan or programme concerned with interventions producing direct drivers of change

policy, plan or programme concerned with interventions affecting indirect drivers of change (e.g. trade policy, poverty reduction strategy, tax measures)

2727

Examples of plans likely to require biodiversity considerations

Poverty Reduction StrategiesNational Park Management PlansOffshore oil and gas licensing plansCatchments or watershed management plansWaste Management PlansNational or regional development plansSectoral development plans, e.g. for mining, tourism, transport, water resource management, farming, forestryIntegrated coastal zone management plansHousing strategies

2828

SEA has a mean to:

build biodiversity objectives into plan development;provide an opportunity for those with an interest in, and responsibility for,biodiversity to influence plan-development;identify biodiversity-friendly alternatives;focus on the longer term and larger scales;consider all the threats affecting biodiversity in an area, enabling identificationand assessment of cumulative threats and impacts;suggest effective mitigation strategies to ensure no net loss of biodiversitythroughout the development and implementation of plans, allowing sufficient‘lead-time’ to ensure that effective mitigation can be put in place;establish monitoring to provide necessary biodiversity data and to enableremedial measures to be taken.

2929

SEA and the Convention on Biological Diversity

SEA = requirement of the Convention (article 14, par. 1b):

“Each Contracting Party, as far as possible and as appropriate, shall introduce appropriate arrangements to ensure that the environmental consequences of its programmes and policies that are likely to have significant adverse impacts on biological diversity are duly taken into account”

Response to this requirement = Voluntary Guidelines on Biodiversity-Inclusive Impact Assessment

3030

Examples of biodiversity-related questions for each SEA stage1. Establishing the context for the SEA:

Is the plan likely to have a significant effect on biodiversity?What are relevant environmental / biodiversity policies and objectives and does the plan conflict with any of these?Which biodiversity experts need to be involved?

2. Implementing the SEAWhat are the main biodiversity implications of the plan and its proposedactivities?Do existing objectives for biodiversity incorporate all important biodiversityinterests relevant to this plan?What data on biodiversity exist and who holds them? Are there additional data requirements to understand biodiversity impacts?What are impacts on biodiversity associated with this plan andalternatives?What opportunities are there for avoiding impacts on biodiversity?

3131

Examples of biodiversity-related questions for each SEA stage

3. Informing and influencing decision-makingHas consultation influenced the content and direction of the plan to benefit biodiversity interests?

4. Monitoring and evaluatingWhat indicators/measures are to be used as a basis for monitoring biodiversity issues and who will be responsible for data collection?Is there a high level of uncertainty about predicted impacts or plan outcomes for biodiversity? If so, recommend monitoring to reduce uncertainty.

3232

Sources

Information on SEA and EIA for biodiversity, including case studies can be found in the Toolkit for

‘Capacity Building for Biodiversity-inclusive Impact Assessment’

at http://www3.webng.com/jerbarker/home/eia

toolkit/overall/home.html

3333

Voluntary Guidelines on Biodiversity-Inclusive Impact Assessment

Endorsed by the eight meeting of the Conference of the Parties to the CBD in Curitiba, Brazil (20-31 March 2006)

Developed from initial applications of SEA and from initial practice lessons

Guidance on whether, when and how to consider biodiversity in both project- and strategic-level environmental assessments

Consider SEA as an approach for “improving integration of national biodiversity strategy and action plans and national development strategies” and “promote the establishment of clear conservation targets through national biodiversity strategy and action plan process”