1

Strategic Environmental Assessment

Process and Methods

Strategic Environmental Assessment Workshop | 24-27 May 2016

Jeremy Carew-Reid

2

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

4

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

6

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)

7

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

8

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.

9

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

10

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

13

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

14

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)

15

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

18

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

20

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

21

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

24

Outcomes of screening full or comprehensive SEA required more limited SEA required further study needed to determine

SEA requirement SEA not required

25

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

26

Screening methods legal/policy definition inclusion list of plans

(with/without thresholds) exclusion list of plans criteria for case-by-case

screening

27

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)

28

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

30

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?

31

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

32

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

33

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.

34

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

36

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

37

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

38

Identification of sustainability objectives for each strategic theme – MRC SEA

39 Impact assessment

40

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

41

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

42

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

44

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).

45

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  

46

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

47

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”?

48

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

49

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

50

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

52

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?

53

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

54

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)

55

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)

56

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)

63

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.

64

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

65

Jeremy Carew-ReidICEM

Thank you