strategic environmental assessment methodology
TRANSCRIPT
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Strategic Environmental Assessment
Process and Methods
Strategic Environmental Assessment Workshop | 24-27 May 2016
Jeremy Carew-Reid
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What are SEAs? a development planning tool aiming
to ensure that environmental, social and economic aspects of sustainability are considered systematically in policies and plans
SEAs promote social and economic equity and ecological sustainability in development decisions
3The purpose of SEAs – they: address broad strategic issues early in the
planning process: relating to more than one project always affecting more than one development
sector relating to large areas affecting many people and communities and that need to be resolved and decided prior to
making project specific plans and decisions follow similar steps to EIAs but have much
larger scope in terms of time, space and subject coverage
serve as an umbrella level of analysis that feeds and guides more specific EIAs and improves their quality
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Environmental assessment and monitoring tools
Four main tools for environmental assessment: SEA family EIA family M&E Audit family
Takes place at earlier stages of decision-making cycle
Multi-stage process with variations e.g. policy v plans
Pro-active, out-in-front approach to development proposals
Broad level of analysis, e.g. focus on cross-sector links and issues
Considers potentially wide range of development alternatives
Gives early warning of cumulative impacts (sector or region wide)
Emphasis on meeting sustainability goals and safeguards
Focus on ‘do most good’ – ie explores the best development options
Takes place at end of decision-making cycle
Well-defined process, clear beginning and end
Reacts to specific development proposal
Detailed, cause-effect analysis of the impact of project components
Considers limited range of feasible alternatives (how to carry out projects)
Limited opportunity to address cumulative impacts at project level
Emphasis on mitigating and minimising impacts
Focus on do no/least harm
SEA and EIA comparedSEA EIA
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SEAs can: assess an existing plan to improve
environmental and socio-economic performance in on-going implementation
assess a plan which is to be revised to guide adjustments to its revised form
contribute to preparing a new plan (so that it addresses environmental and socio-economic concerns as the plan takes shape)
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SEAs may have different forms
They can: Focus only on environmental
impacts, or integrate environmental, social and economic dimensions of sustainability
Engage a broad range of stakeholders, or be limited to expert evaluation
Be conducted in a short time frame, or over a long period
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To be most effective, SEAs are: best carried out as part of plan
formulation, based on quick appraisal techniques
so that results remain fresh and relevant to planning and decision making.
SEAs are much less effective as a “stand alone” procedure, a one-off event or as a “mega-EIA” which cannot be replicated as a normal part of the planning process.
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SEAs in Mekong region differ from SEAs in EuropeIn Europe SEAs were designed to be rapid, desk-top
sustainability audits (15-20 pages) – That approach works where:
planning laws and processes are robust and embrace sustainability
planning processes are consultative data and information is plentiful development plans already consider alternatives
In the Mekong region: planning frameworks are often uncertain and evolving
rapidly Consultation with stakeholders is not systematic data are limited SEAs are often much larger affairs because they must
“stand in the shoes” of the planners
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In the Mekong region, SEAs tend to “stand in the shoes” of planners Often plans are not in place or are not adequate (eg in
considering alternatives or cumulative effects) There are few guiding sustainability objectives Spatial planning is absent or inadequate With limited information SEAs need to expand beyond a
rapid sustainability audit of development plans SEAs become an integral part of the planning process by:
Filling critical information gaps with new analysis and research Facilitating a consultative process that allows for debate and
builds consensus on “hot” issues Introducing consideration of alternatives and their
environmental, social and economic consequences Assessing long term trends and cumulative effects
Some challenges for SEA Being accepted at senior and decision-
making levels and adopted for systematic use
Assessing alternatives and cumulative impacts
Addressing cross-boundary & trans-national issues
SEA at the policy level (how to integrate with political functions and processes?)
Integrating with development planning and across sectors
Effective public & stakeholder participation
12Importance of stakeholder involvement
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SEA as a credible process SEA reports need to be credible and to have
authority – otherwise decisions makers will ignore them
To be credible the reports must be balanced They must describe the benefits and the risks
in an objective way They must indicate where there is a
divergence of views on strategic issues and give reasons for the conclusions it draws
Stakeholder input and guidance is key to improving SEA reports to ensure they are credible so that decision makers will take them seriously
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The need for stakeholder involvement Major changes are usually involved if the proposed
developments are to proceed. Change can: affect many communities and even many countries Affect many development sectors relying on the same resources
and areas lead to long term gains/benefits be irreversible and lead to permanent losses
Who gains and who looses? – who, where and how Uncertainty: Most often dealing with situations of
extreme uncertainty Expert judgments: Decisions need to be made based on:
the best available information and analysis (often limited and of uncertain reliability)
expert judgments on the levels of risk (involves values and assumptions about the future)
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In strategic developments benefits are often more readily defined than risks The benefits become evident in commercial and
economic terms from the early stages EIA often comes late in the planning process
when economic benefits are already well defined The definition of risks or negative impacts is not
as easy They are often hard to express in economic or
commercial terms and difficult to integrate with economic decisions
SEAs are often confronted with situations where benefits are relatively well enunciated and expressed in economic terms while the risks are unclear, unsubstantiated and indirect
16 SEA steps
Steps in the SEA process
Steps in the SEA process – MRC SEA of Mekong hydropower development
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Inception and scopingReport
Baseline Assessment
ReportImpact Assessment Report Final
Report
National Government consultationsRegional Government ConsultationsCivil society Organizations (CSO) ConsultationsDeveloper consultations
May – June 2009
June-Sep 2009 Feb-May 2010 May-July 2010
Scoping phase Baseline phase
Impact assessments
Avoidanceenhancement & Mitigation phase
AME Report
Oct 2010
Staged approach – analysis, consultation & documentation at each stage
The SEA process – 5 steps
2. SCOPING (i) Identification of key issues for development of the mainstream Mekong
River (ii) Scoping of key issues to define the main strategic concerns to be
addressed by the SEA (iii) Defining the sustainability objectives for those strategic concerns
3. BASELINE ASSESSMENT (i) Gathering of the “evidence base” in each country and at regional
level (ii) Analysis of past trends and current situation in the strategic
development concerns
4. OPPORTUNITIES AND RISKS ASSESSMENT (i) Reviewing and selecting the BDP scenarios (ii) Defining future trends in the strategic development concerns
under selected scenarios: a. Without hydropower development b. With hydropower development
(iii) Assessing the combined/cumulative effects of future trends across all strategic development concerns under each scenario
(iv) Valuation of risks and opportunities
5. AVOIDANCE, ENHANCEMENT & MITIGATION
(i) Defining measures to avoid the unwanted effects of the 11 projects
(ii) Proposing options to emphasise and enhance the benefits (iii) Identifying mitigation measures which will minimize the negative
effects
ADDITIONAL STUDIES
A. The Impacts of the mainstream Hydropower projects in Yunnan Province, especially downstream effects
B. Economic and Energy Analysis of the distribution of Hydropower costs/benefits and services
C. River Hydrology & sedimentation and the impacts of changes to the flow regime on key morphological features (deep pools, littoral zone etc)
1. SCREENING
Is an SEA needed When should an SEA be carried out Under what circumstances should an SEA be triggered
1. SCREENING
SEA of mainstream Mekong hydropower
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MRC mainstream hydro SEA
National Scoping & Capacity Building Workshop & Civil Society Meetings•4 National Scoping Workshops•3 Civil Society meeting•Thai Civil Society meeting to follow in November
8 THEMES (~30 - 40 KEY ISSUES)
Government Line Agency Meetings•meetings with 40 agencies in the LMB
2 Field Missions & Opinion from 17 experts•Luang Prabang, Xayabouly, Pak Lay, Sanakhan, Pak Chom
100s of development Issues
past present future
Without mainstream hydropower
Issue 2
Issue 1
With mainstream hydropower
2. BASELINE ASSESSMENT
With mitigation
1. S
COPI
NG
3. OPPORTUNITIES & RISKS ASSESSMENT
4. M
ITIG
ATIO
N
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Trend analysis and scenarios
Trend analysis for past, current and future (2025-2030)
Indicators for assessing change in key issues – drew from BDP indicator framework
SEA adopted two BDP scenarios: LMB 20 year plan without mainstream
hydropower dams LMB 20 year plan with mainstream hydropower
Both include existing and planned Yunnan and tributary dams
22 Screening
The purpose of screeningThe purpose of screening is to
determine: whether or not a proposed
development strategy, plan or policy requires an SEA
what level of SEA is required – eg quick or comprehensive
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Outcomes of screening full or comprehensive SEA required more limited SEA required further study needed to determine
SEA requirement SEA not required
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Screening and scoping compared Screening
determines the requirement for SEA establishes the level of review
necessary Scoping
identifies the key issues to be considered
sets the boundaries for the assessment
establishes the terms of reference
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Screening methods legal/policy definition inclusion list of plans
(with/without thresholds) exclusion list of plans criteria for case-by-case
screening
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Typical plans requiring SEAs include River basin plans Hydropower development plans - dam and
reservoir cascades Infrastructure sector and area wide plans (e.g.
transport and irrigation) Industrial zone management plans (e.g.
manufacturing and special economic zones) Minerals and energy extraction sector plans (e.g.
oil & gas, coal) Waste management and disposal of hazardous
and toxic materials plans Power development plans (including multiple
power stations, transmission lines, pipelines)
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Social and environmental criteria for case-by-case screeningThe following are important in determining
significant effects: affective large number of people affective poor and disadvantaged groups affecting many other users of the same resources abundance and quality of natural resources assimilative capacity of the natural environment environmental sensitivity, e.g. wetlands, coastal
and mountain zones existing land uses of strategic importance adjacent to protected or designated special use
areas within landscapes of special heritage value
29 Scoping
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Scoping Staged approach – analysis,
documentation and consultation at each stage
Scoping – strategic themes and issues identified What are the most important issues of
concern to sustainable development and use of the area and resources concerned?
How can those issues be categories and prioritized – ie given strategic focus?
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Scoping open, interactive process - involves
stakeholders lays the foundation of an SEA - by
identifying time and space boundaries of the
assessment the information necessary for
decision-making key issues and potential impacts to
be considered
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Key objectives of scoping inform and identify stakeholders find out their initial concerns identify feasible and practical
alternatives identify the main issues and impacts
to be studied define the boundaries of the
assessment agree on means of public
involvement establish the Terms of Reference
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Geographic/spatial level of focus – MRC SEA of hydro on mainstream Mekong REGIONAL: upper and lower segments of the river but
focuses on transboundary concerns and the socio-economic and natural system linkages between the LMB countries.
NATIONAL: The LMB countries – Cambodia, Lao PDR, Thailand and Vietnam – and the effects of mainstream projects on each of their distinctive economies, and social and natural systems. The 12 proposed projects are assessed against national interests and development priorities of the four LMB countries.
HYDRO-ECOLOGICAL ZONES Assessing THE PROJECTS within 6 hydro-ecological zones. The zones have distinctive bio-physical characteristics.
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Steps in the scoping process1. prepare an outline scope2. develop the outline through informal consultation3. make the outline available to stakeholders4. compile the range of concerns (long list)5. evaluate these to establish key issues (short list)6. organise these into impact themes (study list)7. amend the outline to incorporate the above
information8. develop Terms of Reference
35 Baseline assessment
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Baseline assessment Baseline – projected baseline and
trend analysis1. What have been past trends for
each of the key issues?2. What will the trends look like when
projected to 2030? Without mainstream projects When other trends and drivers are
considered
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Baseline information is gathered on: social, economic and environmental
conditions; trends and associated drivers (trend
analysis for the baseline situation now and into the future);
effects of plans already being implemented; and
effects of other foreseeable proposed development plans.
Definition of sustainability objectives Definition of key issues and themes of
relevance to the development plan
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Identification of sustainability objectives for each strategic theme – MRC SEA
39 Impact assessment
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Impact assessment Impacts – overlay the proposed development
plan onto the baseline1. Will the proposed development plan affect the
trends in key issues?2. Will those affects provide benefits and/or costs?3. Will those affects enhance or reduce
sustainability? SEAs are a form of sustainability analysis – where
economic, social and biophysical trends and effects under different development scenarios are considered
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Forecasting the potential impacts identification of impacts — to specify
the impacts associated with each component and phase of the plan
forecasting — to forecast the nature, magnitude, extent and duration of the main impacts
evaluation of significance — to determine the significance of the impacts
evaluation of impacts on sustainability
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Methods used for impact identification Trend analysis checklists; matrices; networks or causal effect diagrams to
identify indirect, cumulative impacts overlays and geographic information
systems (GIS); computer expert systems; and professional judgement
43 Impact identification methods – pros and cons
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Forecasting impactsTypical parameters to be taken into account in
impact prediction include: nature (positive, negative, direct, indirect,
cumulative); magnitude (severe, moderate, low); extent/location (area/volume covered,
distribution); timing (during construction, operation,
decommissioning, immediate, delayed, rate of change);
duration (short term, long term, intermittent, continuous);
reversibility/irreversibility; likelihood (probability, uncertainty or confidence
in the prediction); and significance (local, regional, global).
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Impact assessment: significance Focus on key strategic issues defined by
stakeholders Impact of development scenarios on projected
trends in the key issues: Large negative impact Negative impact No impact Positive impact Large positive impact Both positive and negative impacts Not relevant
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Evaluating significanceReference points: environmental and social standards, safeguards,
guidelines and objectives; level of public concern; relating to infrastructure or areas of strategic
importance for national and local economies scientific and professional evidence for:
loss/disruption of valued resource stocks and ecological functions;
negative impact on social values, quality of life and livelihood; and
foreclosure of land and resource use opportunities affecting large populations and areas
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Evaluating sustainability Impact of the plan on sustainability SEA sustainability objectives defined
through stakeholder workshops and review of government policies
One or two sustainability objectives identified for each strategic theme
The impact question – “what effect will the development plan have on achieving the sustainability objective”?
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Impact assessment: exampleTheme/ Key Issues Sustainability objective
Theme: Fisheries
Maintenance and enhancement of diversity and productivity of fisheries resources Score Comments and reasons for score
1. Changes in long distance migration
2. Changes in fish species biodiversity
3. Changes in fish production
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Impact assessment (4) - exampleTheme/ Key Issues Sustainability objective
Theme: Energy and power
Ensuring a secure and diverse energy supply from renewable resources without losses in sustainability of social and natural systems Score Comments and reasons for score
1. Achieving energy security
2. Meeting national energy demands
3. Meeting local energy needs
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Impact assessment (5) - exampleTheme/ Key Issues Sustainability objectivesTheme: Terrestrial ecosystems and agriculture
1) Maintenance of terrestrial ecosystems for conservation of biodiversity, connectivity and ecosystem services 2) Maintenance and enhancement of diversity and productivity of agricultural systems Score Comments and reasons for score
1. Habitat loss and degradation
2. Changes in Land use
3. Changes in irrigated agriculture
4. Changes in River bank gardens
51Avoidance, mitigation and enhancement
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Avoidance, mitigation and enhancement Avoidance, mitigation and
enhancementQuestions to be addressed:1. how will the most important risks
(negative effects) be avoided?2. how will the most important benefits
(positive effects) be enhanced?3. how will the negative effects that
can’t be avoided be mitigated – i.e. be reduced?
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The purpose of mitigation is to: find better (sustainable) alternatives
and ways of doing things enhance environmental, economic
and social benefits avoid, minimise or remedy adverse
impacts ensure that any unavoidable impacts
are kept within acceptable levels
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Development plan proponents have a responsibility to:
avoid, minimise and remedy adverse impacts
internalise the environmental and social costs of the plan
prepare plans for managing impacts
repair or compensate for environmental and social damages (including offset arrangements)
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Principles of mitigation give preference to measures for
avoidance and prevention consider feasible alternatives to the
proposed plans and its components identify customised measures to
minimise each major impact if avoidance not feasible
use compensation as a last resort (if negative impacts cannot be avoided or mitigated)
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Objectives of impact management are to: ensure that mitigation measures are
implemented establish systems, procedures and
responsibilities for managing impacts monitor the effectiveness of
mitigation measures; and take any necessary action when
unforeseen impacts occur.
2. SEA SYSTEMS IN MEKONG COUNTRIES
58SEA in Thailand
One of the first in the Mekong region to explore SEA SEA guidelines adopted in 2004 (ONEP/MONRE) Voluntary but NEB can require an agency to conduct an
SEA ONEP now working with NESDB and 11 sectors to
determine when SEA should be mandatory Some 10 – 20 SEAs conducted (depending on the
definition) – current “SEAs”: SEA of Suvarnabhumi Airport (AOT) “SEA” of the Andaman Islands Environment Protection Area (DWR) “SEA” of the NE region water management (DWR)
Five SEAs conducted in the water sectors Most big budget assessments: > 32million Baht
SEA in China 59
One of the most rigorous mandatory systems in the world:
A draft plan without an SEA cannot be approved and implemented.
Projects cannot proceed without an SEA of the umbrella plan
SEA mandatory for: river basin plans, land use plans, plans for regions and plans
prepared by ten main development sectors - industry, agriculture, livestock, forestry, energy, water, conservation, transportation, urban construction, tourism and natural resources development.
Some 50 SEAs conducted at national level and more than 150 at local government level.
SEA in Vietnam60
SEA mandatory for 6 categories of strategies and plans:
1. National socio-economic development plan
2. SEDPs for all sectors (each central govt. agency)
3. SEDPs for 64 provinces and cities4. Inter-provincial (regional) – land use,
forest protection and development, natural resource development
5. Special economic region plans6. River basin plans
SEA in Vietnam61
Strong legal basis for mandatory SEA of development strategies and plans
Shifts responsibility for SEAs to plan “owners” Must be an open process with stakeholder
involvement Started with extensive program of piloting SEAs –
now all sector SEDPs at national level and all provincial SEDPs.
SEAs must cover environmental, social and economic effects
River basins the focus of the most comprehensive SEAs under the new legal framework
Not been an easy tool to apply – many obstacles
Lao PDR62
Lao PDR: Under Environmental Protection Law 2012 SEAs must be conducted for policies, strategic plans, and programs, particularly in the energy and mining, agriculture and forestry, industry and commerce, public works and transportation sectors. Some pilots: SEA of the national hydropower plan in Lao PDR, with
a focus on the Nam Thuen II Hydropower Project. SEA in the Golden Quadrangle tourism development
(2011 to 2012) SEA of Sekong Provincial land use plan (2014–2015)
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Myanmar – Dec 2015 EIA/SEA regulation SEAs may be required for policies, strategies,
development plans, frameworks and programs that are prepared or proposed by any arm of government or other organisation or individual.
Decision on whether to conduct an SEA determined by initial screening for potential environmental and social impacts in accordance with SEA guidelines issued by the Ministry of Environmental Conservation and Forestry.
SEAs must prepare and incorporate into target policies and plans an environmental and social management and monitoring framework comprehensively addressing impacts.
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Myanmar and Cambodia pilots Myanmar
Pilots: 1. Developing a Strategic Environmental
Assessment (SEA) of the Hydropower Sector in Myanmar – World Bank
2. 'Community Strategic Environmental Assessment (C-SEA) of development in the Ayeyarwady River Basin‘
Cambodia: No requirement for SEA. Pilot:1. SEA of the national tourism development
strategy
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Jeremy Carew-ReidICEM
Thank you