Applying strategic environmental assessment [electronic resource] : good practice guidance for development co-operation

2006·4.7 MB·English

by  Organisation for Economic Co-operation and Development

DACGuidelinesandReferenceSeries
Applying Strategic
Environmental
Assessment
GOODPRACTICEGUIDANCEFOR
DEVELOPMENTCO-OPERATION
OECD
(
RUBLISHIIMG
CcyiynghMmakri;

DACGuidelinesandReferenceSeries
Applying Strategic
Environmental
Assessment
GOODPRACTICEGUIDANCE
FORDEVELOPMENTCO-OPERATION
OECD
ORGANISATIONFORECONOMICCO-OPERATIONANDDEVELOPMENT
ORGANISATIONFORECONOMICCO-OPERATION
ANDDEVELOPMENT
TheOECDisauniqueforumwherethegovernmentsof30democraciesworktogetherto
addresstheeconomic,socialandenvironmentalchallengesofglobalisation.TheOECDisalsoat
theforefrontofeffortstounderstandandtohelpgovernmentsrespondtonewdevelopmentsand
concerns,suchascorporategovernance,theinformationeconomyandthechallengesofan
ageingpopulation.TheOrganisationprovidesasettingwheregovernmentscancomparepolicy
experiences,seekanswerstocommonproblems,identifygoodpracticeandworktoco-ordinate
domesticandinternationalpolicies.
TheOECDmembercountriesare:Australia,Austria,Belgium,Canada,theCzechRepublic,
Denmark,Finland,France,Germany,Greece,Hungary,Iceland,Ireland,Italy,Japan,Korea,
Luxembourg,Mexico,theNetherlands,NewZealand,Norway,Poland,Portugal,theSlovakRepublic,
Spain,Sweden,Switzerland,Hirkey,theUnitedKingdomandtheUnitedStates.TheCommissionof
theEuropeanCommunitiestakespartintheworkoftheOECD.
OECDPublishingdisseminateswidelytheresultsoftheOrganisation’sstatisticsgatheringand
researchoneconomic,socialandenvironmentalissues,aswellastheconventions,guidelinesand
standardsagreedbyitsmembers.
ThisworkispublishedontheresponsibilityoftheSecretary-GeneraloftheOECD.The
opinionsexpressedandargumentsemployedhereindonotnecessarilyreflecttheofficial
uieiusoftheOrganisationorofthegovernmentsofitsmembercountries.
AlsoavailableinFrenchunderthetitle;
L’evaluationenvironnementalestrategique
GUIDEDEBONNESPRATIQUESDANSLEDOMAINEDELACOOPERATIONPOURLEDEVELOPPEMENT
OECD2006
OfNUrSEoaCnor^DnealpiyPrs)uobddtl'uoiecsCxthpoiilopnon3gi,r:traicrtgoiihpgtoyhnC,[email protected](atC(xrCCaCF()nC3,s)3,l-2a122t)02i,4oRn5rouo2sef4edtw9eho9sios3Gd0pr.uaDbrnPlideivsrce-maAitDusiagosnunivsoemtnriasnt,yos,MbpeAh7o5m00ta10o96dc2oe3Ppa,rwyiUisSat,AhpF,oorurfattanicxwoer(n,i9t7of8tfa)extn6h(4ip36s3e-r8w1m6)oi0r4s06s,ki3iosn4nhf.oo6u@7Alcpo1dpp9l,[email protected]/cehodopuitleods.tbcheoemsCoeernnt(tfrtoeor
FOREWORD
Foreword
SustainabledevelopmentisaglobalissuethatOECDanddevelopingcountriescanonlyachieve
throughjointefforts.TheOECDDevelopmentAssistanceCommittee(DAC)isakeyforumwhere
majorbilateralandmultilateraldonorsworktogethertoincreasetheeffectivenessoftheircommon
effortstosupportsustainabledevelopment.TheDACfocuses,inparticular,onhowinternational
developmentco-operationcanhelpdevelopingcountriescombatpovertyandparticipateintheglobal
economy.Theobjectiveistohelpshapetheresponseofdevelopmentco-operationatthepolicyand
operationallevels.
DACworkintheareaofdevelopmentandenvironmentiscarriedoutprimarilythroughits
NetujorfeonEnvironmentandDevelopmentCo-operation(ENVIRONET).In2004,ENVIRONET
establishedaTaskTeamonStrategicEnvironmentalAssessment(SEA),inresponsetothedemand
forguidanceonthemostefficientandelectiveapplicationofSEAinthecontextofdevelopment
co-operation.ThisGoodPracticeGuidanceistheproductofthiswork.Ithasinvolveda
comprehensiveconsultationprocesswithbilateralandmultilateraldevelopmentco-operation
agencies,aswellasrepresentativesfrompartnercountriesandindividualexpertsandpractitioners
fromawiderangeofdevelopinganddevelopedcountries.
DACmembersare:Australia,Austria,Belgium,Canada,Denmark,Finland,Trance,
Germany,Greece,Ireland,Italy,Japan,Luxembourg,Netherlands,NewZealand,
Portugal,Norway,Spain,Sweden,Switzerland,UnitedKingdom,UnitedStatesand
CommissionoftheEuropeanCommunities.TheInternationalMonetaryFund(IMF),
theUnitedNationsDevelopmentProgramme(UNDP),andtheWorldBankparticipate
intheworkoftheDACasobservers.
APPLYINGSTRATEGICENVIRONMENTALASSESSMENT-ISBN92-64-02657-6-©OECD2006 3

ACKNOWLEDGEMENTS
Acknowledgements
Tw.GuidancehasbeenproducedbythecollectiveeffortsoftheOECDDACENVIRONETSEATask
Team,andco-optedexpertsfrombothdevelopedanddevelopingcountries.
MembersoftheSEATaskTeamare:JonHobbs(DFID,London)(Chair);LindaGhanime
(UNDP,NewYork)(Vice-Chair);HaraldLossack,Jan-PeterSchemmelandStephanPaulus(GTZ,
BonnandBerlin);PeterCroal,BobWeirandHeleneGichenje(CIDA,Ottawa)andTamaraLevine
(CIDA,Ottawa,nowUniversity0/Sussex);ArnoldJacquesdeDixmude(Ministry0/Foreign
Adairs,Belgium);NaigCozannet(AFD,Paris);JoufeoEsfeelinenandMattiNummelin(Ministryof
ForeignAffairs,Finland);MiriamCiscar(AECS,Spain);EtienneCoyette,SimonLe-Grandand
FrancoiseVillette(EnvironmentDirectorate,EuropeanCommission,Brussels);EllenShipley(DFAT,
Australia);KaoruKanoyashiandKojmaTakeharu(Japan);ElspethTarp,JanRiemerand
MeretePedersen(DANIDA,Copenhagen);SteveBass(DFID,London,nowIIED);JosephGamperl
(KfW,Berlin);Inger-MarieBjonness(MinistryofForeignAffairs,Oslo,nowNorwegianDelegationto
theEU,Brussels)andAnneKariHansenOvind(MinistryofForeignAffairs,Oslo);RobvandenBoom
(DGIS,Netherlands);TomasAndersson(Sida);DanielSlunge,Ola/DrakenbergandAndersEkbom
(UniversityofGothenburg/SidaHelpdesk);KulsumAhmed,DavidHanrahan,FernandoLoayzaand
JeanRogerMercier(WorldBank,WashingtonDC);LauraLee(UNDP,NewYork);JamesLeaton
(WWF-UK);AlexWeaver(CouncilforScientificandIndustrialResearch,SouthAfrica);
ElizabethBrito(lADB,WashingtonDC);PaulDriver(consultant,UK);JiriDusikand
SimonaKosikova(RegionalEnvironmentCentreforCentralandEasternEurope,CzechRepublic);
HusseinAbazaandFulaiSheng(UNEP,Geneva);DavidHewlett(UNDP,Tanzania,nowDFIDEast
Kilbride);PeterPoulsen(DFID,London),Jean-PaulPenrose(DFIDWestAfrica,nowconsultantin
Mozambique),RichardMcNally(DFIDLondon,nowconsultantinVietNam)andAndrew
McCoubray(DFID,Nairobi);ElizabethSmith(EBRD,London);GregoryWoodsworth(UNDP,Nairobi,
Kenya);Jean-PaulLedantandJuanPalerm(EC-EnvironmentIntegrationHelpDeskinDevelopment,
Brussels);RobVerheem(EIACommission,Netherlands);RogerGebbelsandTanyaBurdett(UK
ODPM,London);AlfredEberhardt(consultanttoGTZ,Germany);JohnHorberry(consultant,UK);
PeterNelson(LandUseConsultants,UK);SteveSmith(ScottWilsonConsultants,UK);BarrySadler
(consultanttoUNEP,basedinCanada);DavidAnnandale(MurdochUniversity,Australia,now
consultanttoGovernmentofBhutan);DanielePonzi(FormerlyAsDB,nowwithAfDB,Tunis);
DawnMontague(WWFUSA);BeaCoolman(WWFInternational);LucHens(FreeUniversityof
Brussels);MarianneFernagut(GRIDArendal);BarryDalal-Clayton(IIED,London);PeterTarr
(SouthernAfricanInstituteforEnvironmentalAssessment,Namibia).
RcmiParisandJennyHedmanoftheOECD/DACSecretariatprovidedsubstantiveand
managerialassistancetotheTaskTeamwhileMariaConsolatiprovidedinvaluablesecretarial
assistance.SteveBassandPierreGiroux,formerandcurrentChairsofENVIRONET,provided
guidanceandadvicethroughouttheexercise.
TechnicalsecretariatserviceswereprovidedbytheInternationalInstituteforEnvironmentand
Development(IIED).
APPLYINGSTRATEGICENVIRONMENTALASSESSMENT-ISBN92-64-02657-6-©OECD2006 5
ACKNOWLEDGEMENTS
Aconsiderablenumberofindividuals,manyfromdevelopingcountries,participatedinan
internationalconferenceonSEAorganisedbytheTaskTeamatHalongBay,VietNam(2005),in
ujorkshopsorganisedbytheTaskTeamattheannualmeetingsoftheInternationalAssociation/or
ImpactAssessment(lAIA)inMarrakech(2003)andPrague(2005),andinTaskTeammeetingsheld
inBrussels,London,ParisandStockholm.
TheworkoftheTaskTeamhasbeenmadepossiblethrough/nancialsupportprovidedbyThe
RoyalNorwegianMinistryofForeignAffairs,BelgianMinistryofForeignAffairs,FinnishMinistryof
ForeignAffairs,GTZ,Sida,UKDFID,UNDP,UNEPandtheWorldBank.
6 APPLYINGSTRATEGICENVIRONMENTALASSESSMENT-ISBN92-64-02657-6-©OECD2006
TABLEOFCONTENTS
TableofContents
Acronyms 12
Preface 14
ExecutiveSummary 17
Parti
Chapter1.Introduction 23
1.1.Newapproachestodevelopmentco-operation 24
1.2.SEAmeetsthechallengeofmorestrategicdevelopmentco-operation 24
1.3.LegalrequirementsforSEA 25
1.4.SEAsupportsdonors’harmonisationandalignmentefforts 26
1.5.WhatdoesthisGuidanceseektoachieve? 27
1.6.HowshouldthisGuidancebeused? 27
1.7.AgreeddevelopmentapproachesunderpinningthisGuidance 28
Chapter2.UnderstandingStrategicEnvironmentalAssessment 29
2.1.PositioningSEAinthedecision-makinghierarchy 30
2.2.HowSEAhasevolvedtoaddressthestrategiclevelsofdecisionmaking 31
2.3.SEA:Afamilyofapproachesusingavarietyoftools 32
2.4.SEA:Acontinuumofapplications 34
2.5.TherelationshipofSEAwithotherpolicyappraisalapproaches
andsupportingtools 35
Notes 39
Chapter3.TheBeneHtsofUsingStrategicEnvironmentalAssessment
inDevelopmentCo-operation 41
3.1.Supportingtheintegrationofenvironmentanddevelopment 42
3.2.Identifyingunexpectedpotentialimpactsofreformproposals 43
3.3.Improvingtheidentificationofnewopportunities 43
3.4.Preventingcostlymistakes 45
3.5.Buildingpublicengagementindecisionmakingforimproved
governance 45
3.6.Facilitatingtransboundaryco-operation 46
3.7.Safeguardingenvironmentalassetsforsustainabledevelopment
andpovertyreduction 47
APPLYINGSTRATEGICENVIRONMENTALASSESSMENT-ISBN92-64-02657-6-©OECD2006 7
TABLEOFCONTENTS
Chapter4.TowardsStrategicEnvironmentalAssessmentGoodPractice:
PrinciplesandProcesses 49
4.1.BasicprinciplesforSEA 50
4.2.TheinstitutionaldimensionofSEA 51
4.3.StagesandstepsforundertakingSEAattheplanandprogrammelevel 54
Notes 61
PartII
Chapter5.ApplicationsofStrategicEnvironmentalAssessmentinDevelopment
Co-operation 65
5.1.KeyentrypointsforSEA 66
5.2.DonorharmonisationforSEAs 69
5.3.GuidanceNotes 71
A. GuidanceNotesandChecklistsforSEALedbyPartnerCountry
Governments 72
GuidanceNoteandChecklist1: NationalOverarchingStrategies,Programmes
andPlans 72
GuidanceNoteandChecklist2: NationalPolicyReformsandBudgetSupport
Programmes 77
GuidanceNoteandChecklist3; NationalSectoralPolicies,Plans
andProgrammes 81
GuidanceNoteandChecklist4: InfrastructureInvestmentsPlans
andProgrammes 86
GuidanceNoteandChecklist5: NationalandSub-NationalSpatialDevelopment
PlansandProgrammes 90
GuidanceNoteandChecklist6: Trans-NationalPlansandProgrammes 93
B. GuidanceNotesandChecklistsforSEAUndertakeninRelationtoDonor
Agencies’OwnProcesses 98
GuidanceNoteandChecklist7: Donors’CountryAssistanceStrategies
andPlans 98
GuidanceNoteandChecklist8; Donors’PartnershipAgreements
withotherAgencies 101
GuidanceNoteandChecklist9; Donors’Sector-SpecificPolicies 103
GuidanceNoteandChecklist10:Donor-BackedPublicPrivateInfrastructure
SupportFacilitiesandProgrammes 106
C. GuidanceNotesandChecklistsforSEAinOther,RelatedCircumstances...Ill
GuidanceNoteandChecklist11:IndependentReviewCommissions
(whichhaveimplicationsfordonors’policies
andengagement) Ill
GuidanceNoteandChecklist12;MajorPrivateSector-LedProjectsandPlans 115
8 APPLYINGSTRATEGICENVIRONMENTALASSESSMENT-ISBN92-64-02657-6-©OECD2006