institutions-centered sea
DESCRIPTION
Institutions-centered SEA. STRATEGIC ENVIRONMENTAL ASSESSMENT IN AFRICA: CHALLENGES AND OPPORTUNITIES – REGIONAL WORKSHOP Fernando Loayza, Senior SEA Specialist, World Bank Addis Ababa, Ethiopia June 16-19, 2008. Structure. Part I: - PowerPoint PPT PresentationTRANSCRIPT
![Page 1: Institutions-centered SEA](https://reader036.vdocument.in/reader036/viewer/2022081515/568152df550346895dc0fe2e/html5/thumbnails/1.jpg)
Institutions-centered SEAInstitutions-centered SEA
STRATEGIC ENVIRONMENTAL ASSESSMENT IN AFRICA: STRATEGIC ENVIRONMENTAL ASSESSMENT IN AFRICA: CHALLENGES AND OPPORTUNITIES – REGIONAL CHALLENGES AND OPPORTUNITIES – REGIONAL
WORKSHOPWORKSHOP
Fernando Loayza, Senior SEA Specialist, World Bank
Addis Ababa, Ethiopia June 16-19, 2008
![Page 2: Institutions-centered SEA](https://reader036.vdocument.in/reader036/viewer/2022081515/568152df550346895dc0fe2e/html5/thumbnails/2.jpg)
2
Structure
• Part I:– Basic Concepts – SEA Legislation
• Part II:– I-EIA process– Selection of priorities– Institutional and political economy analysis
• Part III:– I-SEA management
![Page 3: Institutions-centered SEA](https://reader036.vdocument.in/reader036/viewer/2022081515/568152df550346895dc0fe2e/html5/thumbnails/3.jpg)
3
¿Why is an SEA useful?
• Integrates environmental, social and poverty
alleviation considerations into policies, plans
and programs (PPPs)
• Identify institutional and governance gaps
affecting PPPs sustainability
• Enhances legitimacy of PPPs
• Ultimately, improves sustainability of
development interventions including projects
![Page 4: Institutions-centered SEA](https://reader036.vdocument.in/reader036/viewer/2022081515/568152df550346895dc0fe2e/html5/thumbnails/4.jpg)
4
SEA is a planning tool in process of development
SIAEIAProject
PSIASEASectoral
PACSACEANational
PovertySocial Environ-mental
DimensionsLevel ofAnalysis
![Page 5: Institutions-centered SEA](https://reader036.vdocument.in/reader036/viewer/2022081515/568152df550346895dc0fe2e/html5/thumbnails/5.jpg)
5
Group Exercise
• Experience in CEA, CSA, PA, SEA or
PSIA
• ¿What was the assessment’s objective:
impact, process or institutional analysis?
• ¿How were the results used?
• Lessons learnt
![Page 6: Institutions-centered SEA](https://reader036.vdocument.in/reader036/viewer/2022081515/568152df550346895dc0fe2e/html5/thumbnails/6.jpg)
6
¿What is an SEA?
Analytical and participatory approach
Integrates environmental and social considerations into PPPs.
Evaluates inter linkages with economic considerations
(OECD DAC Guidance on SEA for Development Cooperation, 2006)
![Page 7: Institutions-centered SEA](https://reader036.vdocument.in/reader036/viewer/2022081515/568152df550346895dc0fe2e/html5/thumbnails/7.jpg)
7
EIA-SEA Continuum
• National health, education programs, etc.
• Government restructuring
• Typical projects/ programs subject to EIA
• Macroeconomic Policy• Sector Reform/Plans• National Development Plans• PRSP• Decentralization• Privatization
• Large Infrastructure Projects
Hig
h U
ncertain
ty Ind
irect imp
acts Lo
w
Institutions-centered approach
Impact-centered approach
Low Political economy complexity High in decision-making
Governance issues are critical
![Page 8: Institutions-centered SEA](https://reader036.vdocument.in/reader036/viewer/2022081515/568152df550346895dc0fe2e/html5/thumbnails/8.jpg)
8
SEA Legislation (I)
• SEA is usually referenced in EIA laws as EIA or EA of
PPPs, i.e., Ethiopia. Only recent legislation uses the term
SEA, i.e., South Africa
• Very few legal instruments ensure accountability for SEA
implementation. Sanctions for noncompliance are rare, i.e,
China
• Separation of responsibilities for preparing, approving and
monitoring SEA (Canadian Cabinet Directive) are seldom.
Key distinction between SEA and EIA.
![Page 9: Institutions-centered SEA](https://reader036.vdocument.in/reader036/viewer/2022081515/568152df550346895dc0fe2e/html5/thumbnails/9.jpg)
9
SEA Legislation (II)
• Usually EIA methodology is prescribed for
SEA. Few countries like Canada offer more
flexibility.
• Citizen participation is prescribed by law:
– Affected parties or
– Opening processes to the public
– Few cases both
![Page 10: Institutions-centered SEA](https://reader036.vdocument.in/reader036/viewer/2022081515/568152df550346895dc0fe2e/html5/thumbnails/10.jpg)
10
Effects of not undertaking I-SEA
• Key environmental, social and poverty alleviation
elements related with PPPs are left aside
• Potencial conflict during reform implementation
are not taken into account
• Risk of elite capture increases
• Political waning and delay in decision making
• Potential failure of reform
![Page 11: Institutions-centered SEA](https://reader036.vdocument.in/reader036/viewer/2022081515/568152df550346895dc0fe2e/html5/thumbnails/11.jpg)
1111
I-SEA ProcessI-SEA Process
![Page 12: Institutions-centered SEA](https://reader036.vdocument.in/reader036/viewer/2022081515/568152df550346895dc0fe2e/html5/thumbnails/12.jpg)
1212
KEY ISSUES AND INTER SECTOR LINKAGES
PRIORITIES SELECTION
SITUATION ANALYSIS:ENV, SOCIAL, POVERTY
PR
IOR
ITIE
S I
DE
NT
IFIC
AT
ION
ST
AK
EH
OL
DE
RS
EN
GA
GE
ME
NT
(P
AR
TIC
IPA
TO
RY
PO
LIC
Y D
IAL
OG
UE
)
STAKEHOLDERS IDENTIFICATION
STAKEHOLDERS ANALYSIS
INSTITUTIONAL STRENGTHENINGAND SOCIAL LEARNING PLAN
POLICY ACTION MATRIX
ST
AK
EH
OL
DE
RS
ID
EN
TIF
ICA
TIO
N
AS
SE
SS
ME
NT
OF
PO
LIC
Y A
ND
IN
ST
ITU
TIO
NA
L O
PT
ION
S
TO
AD
DR
ES
S T
HE
PR
IOR
ITIE
S
PROPOSED POLICY AND INSTITUTIONAL ADJUSTMENTS
PPP ASSESSMENT
INSTITUTIONAL ANALYSIS
ASSESSMENT OF POLITICALECONOMY VULNERABILITY
THE I-SEA PROCESSTHE I-SEA PROCESS
![Page 13: Institutions-centered SEA](https://reader036.vdocument.in/reader036/viewer/2022081515/568152df550346895dc0fe2e/html5/thumbnails/13.jpg)
1313
Priorities selection …Priorities selection …
Analytical componentAnalytical componentStakeholders analysisStakeholders analysis Identification of key issues and inter sectoral Identification of key issues and inter sectoral
linkageslinkages
Participatory componentParticipatory component Involve all key stakeholders Involve all key stakeholders Voices of vulnerable stakeholders should be Voices of vulnerable stakeholders should be
heard heard
![Page 14: Institutions-centered SEA](https://reader036.vdocument.in/reader036/viewer/2022081515/568152df550346895dc0fe2e/html5/thumbnails/14.jpg)
1414
Stakeholder analysis …Stakeholder analysis …
ObjectiveObjective: Comprehensive understanding of : Comprehensive understanding of
affected stakeholders affected stakeholders
Expected outcomeExpected outcome: understanding of political : understanding of political
economy context of the proposed PPP economy context of the proposed PPP Interest groups that will support the PPPInterest groups that will support the PPP
Interest groups that will oppose the PPPInterest groups that will oppose the PPP
![Page 15: Institutions-centered SEA](https://reader036.vdocument.in/reader036/viewer/2022081515/568152df550346895dc0fe2e/html5/thumbnails/15.jpg)
1515
Situation analysis …Situation analysis …
ObjectiveObjective: identify key environmental and : identify key environmental and social issues, and inter sectoral linkages in the social issues, and inter sectoral linkages in the national, sectoral and/or regional context of the national, sectoral and/or regional context of the proposed PPP proposed PPP
Expected outcomeExpected outcome: understanding of the : understanding of the environmental, social, sectoral and regional environmental, social, sectoral and regional context of the proposed PPP context of the proposed PPP Risks for sustainable developmentRisks for sustainable development Opportunities for sustainable developmentOpportunities for sustainable development
![Page 16: Institutions-centered SEA](https://reader036.vdocument.in/reader036/viewer/2022081515/568152df550346895dc0fe2e/html5/thumbnails/16.jpg)
1616
Identification and ranking of Identification and ranking of environmental issues …environmental issues …
Analyze the effect of existing Analyze the effect of existing
environmental issues on economic environmental issues on economic
growth and poverty alleviation growth and poverty alleviation
Cost of environmental degradationCost of environmental degradation
Productivity losses of natural resourcesProductivity losses of natural resources
Reduction of environmental servicesReduction of environmental services
![Page 17: Institutions-centered SEA](https://reader036.vdocument.in/reader036/viewer/2022081515/568152df550346895dc0fe2e/html5/thumbnails/17.jpg)
1717
Identification and ranking of Identification and ranking of social issues …social issues …
Analize the effect of social issues on Analize the effect of social issues on equitable economic growth and the equitable economic growth and the widening of opportunities for vulnerable widening of opportunities for vulnerable groupsgroupsGender, generation, ethnic and cultural gapsGender, generation, ethnic and cultural gapsAccess to public goods and servicesAccess to public goods and servicesSocial capital and social safety netsSocial capital and social safety nets
![Page 18: Institutions-centered SEA](https://reader036.vdocument.in/reader036/viewer/2022081515/568152df550346895dc0fe2e/html5/thumbnails/18.jpg)
1818
Ranking of key issues …Ranking of key issues …
Apply quantitative analysis as much as Apply quantitative analysis as much as possible possible
Apply multicriteria analysis to rank Apply multicriteria analysis to rank different issues when quantitative and different issues when quantitative and qualitative results are combinedqualitative results are combined
IMPORTANTIMPORTANT: communicate information : communicate information in a format accessible to weak and in a format accessible to weak and vulnerable stakeholdersvulnerable stakeholders
![Page 19: Institutions-centered SEA](https://reader036.vdocument.in/reader036/viewer/2022081515/568152df550346895dc0fe2e/html5/thumbnails/19.jpg)
1919
Priorities selection …Priorities selection … Ensure preferences of weak and vulnerable Ensure preferences of weak and vulnerable
stakeholders influence the selection of priorities: stakeholders influence the selection of priorities: Surveys Surveys ANDAND focus groups and workshopsfocus groups and workshops
In public policy decision making processes the voices In public policy decision making processes the voices of traditionally marginalized stakeholders should be of traditionally marginalized stakeholders should be heard heard
Establish a trasparent process acceptable to all Establish a trasparent process acceptable to all stakeholdersstakeholders Public participation and consultation should be defined in a Public participation and consultation should be defined in a
participatory mannerparticipatory manner Intersectoral and advisory committees different from the I-SEA Intersectoral and advisory committees different from the I-SEA
team should guide the processteam should guide the process
![Page 20: Institutions-centered SEA](https://reader036.vdocument.in/reader036/viewer/2022081515/568152df550346895dc0fe2e/html5/thumbnails/20.jpg)
2020
Summary and conclusion …Summary and conclusion …
Priority selection is critical in I-SEAPriority selection is critical in I-SEA Priorities should be defined by Priorities should be defined by
stakeholders for I-SEA legitimacystakeholders for I-SEA legitimacyStakeholders analysis is a critical output Stakeholders analysis is a critical output Give voice to weak and vulnerable Give voice to weak and vulnerable
stakeholders stakeholders Inform dialogue through a sound situation Inform dialogue through a sound situation
analysis analysis
![Page 21: Institutions-centered SEA](https://reader036.vdocument.in/reader036/viewer/2022081515/568152df550346895dc0fe2e/html5/thumbnails/21.jpg)
21
Institutional and Institutional and Political Political economy economy analysisanalysis
![Page 22: Institutions-centered SEA](https://reader036.vdocument.in/reader036/viewer/2022081515/568152df550346895dc0fe2e/html5/thumbnails/22.jpg)
22
Objective and expected outcomeObjective and expected outcome
Identify institutional and governance gaps and weaknesses to address priorities
Identify opportunities to address priorities and to strengthen capacities to seize opportunities
Identify potential exogenous factors that affect potential contribution of PPPs to sustainable development and poverty alleviation
![Page 23: Institutions-centered SEA](https://reader036.vdocument.in/reader036/viewer/2022081515/568152df550346895dc0fe2e/html5/thumbnails/23.jpg)
23
InstitutionsInstitutions
Formal and informal rules for the interaction of individuals and organizations
Effects of policy adjustments and reforms are mediated by institutions
Behavior of organizations and individuals are a response to incentives created by and cultural factors prevailing in society
Institutional analysis is not organizational analysis although the latter usually contributes to the former
![Page 24: Institutions-centered SEA](https://reader036.vdocument.in/reader036/viewer/2022081515/568152df550346895dc0fe2e/html5/thumbnails/24.jpg)
24
Strategic governance and institutional Strategic governance and institutional analysisanalysis
Institutional framework
Proposed PPP
Envisaged political economy
Broader governance context
![Page 25: Institutions-centered SEA](https://reader036.vdocument.in/reader036/viewer/2022081515/568152df550346895dc0fe2e/html5/thumbnails/25.jpg)
25
Institutional frameworkInstitutional framework
Strictly confined to selected priorities: Context of formal rules and costumes, and
differences between them. Ej. Land tenure system
Public and private organization framework, inclusive of inter sectoral mechanisms and capacity to detect action priorities
Incentives regime system
![Page 26: Institutions-centered SEA](https://reader036.vdocument.in/reader036/viewer/2022081515/568152df550346895dc0fe2e/html5/thumbnails/26.jpg)
26
Proposed PPPProposed PPP
Potential effects (positive or negative) on priorities Direct effects Short and long term
Potential influence (positive and negative) on the institutional framework to address priorities Creation or adjustment of rules Creation or adjustment of organizations Modifying or preserving incentives structure
![Page 27: Institutions-centered SEA](https://reader036.vdocument.in/reader036/viewer/2022081515/568152df550346895dc0fe2e/html5/thumbnails/27.jpg)
27
Political EconomyPolitical Economy
PPP potential beneficiaries in relation to the priorities Short, medium and long term Credibility of the policy or reform
sustainability
PPP potential losers in relation to the priorities Short, medium and long term Expected compensation
![Page 28: Institutions-centered SEA](https://reader036.vdocument.in/reader036/viewer/2022081515/568152df550346895dc0fe2e/html5/thumbnails/28.jpg)
28
Governance frameworkGovernance framework
Resolution mechanisms of different or opposing interests Formal and informal: access to the judiciary,
mediation and arbitration systems Other mechanisms to represent public interest:
independence of supervision and control authorities
Transparency and accountability of actions and decisions of policymakers
Means for interests of vulnerable and weak articulated stakeholders to be represented
![Page 29: Institutions-centered SEA](https://reader036.vdocument.in/reader036/viewer/2022081515/568152df550346895dc0fe2e/html5/thumbnails/29.jpg)
29
MethodsMethods
Most important: logical analysis based on best available evidence
Evidence must combine results from stakeholders analysis, literature review and public consultation processes
Progressive approach through iteration analysis
![Page 30: Institutions-centered SEA](https://reader036.vdocument.in/reader036/viewer/2022081515/568152df550346895dc0fe2e/html5/thumbnails/30.jpg)
30
I-SEA management
![Page 31: Institutions-centered SEA](https://reader036.vdocument.in/reader036/viewer/2022081515/568152df550346895dc0fe2e/html5/thumbnails/31.jpg)
31
Key issues
SEA team
Intersectoral committee
Following up and monitoring
Learning processes
![Page 32: Institutions-centered SEA](https://reader036.vdocument.in/reader036/viewer/2022081515/568152df550346895dc0fe2e/html5/thumbnails/32.jpg)
32
SEA Team
Multidisciplinary sectoral team
o Institutional and policy specialist
o Stakeholder engagement specialist
o Environmental and social sector specialists
o Other specialities
Be careful of EIA specialists!
![Page 33: Institutions-centered SEA](https://reader036.vdocument.in/reader036/viewer/2022081515/568152df550346895dc0fe2e/html5/thumbnails/33.jpg)
33
Inter sectoral committee
Involve key decision makers from the very beginningo Ideal: I-SEA is integrated into sector review
o If I-SEA is carried out in tandem, a concrete way of integrating I-SEA needs to be thougth through
o Ownership and communication of results are critical
Clarify the roles of stakeholders and inter sectoral committee
![Page 34: Institutions-centered SEA](https://reader036.vdocument.in/reader036/viewer/2022081515/568152df550346895dc0fe2e/html5/thumbnails/34.jpg)
34
Monitoring and follow up
Involve civil society
o Access to information
o Transparency and accountability
Sector prepares SEA along with sector PPP
Ministry of Environment and civil society
monitor and follow up
Strive to strengthening elements for social
learning
![Page 35: Institutions-centered SEA](https://reader036.vdocument.in/reader036/viewer/2022081515/568152df550346895dc0fe2e/html5/thumbnails/35.jpg)
35
THANK YOU.
I. Fernando Loayza, Ph.D.
Senior SEA Specialist
Environment Department
The World Bank
1818 H. Street, NW
Washington, DC 20433
Tel. (202) 458-7117
Fax. (202) 477-0565