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Institutions-centered SEA

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:

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Institutions-centered SEA

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  1. 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

  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

  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

  4. Level of Analysis Dimensions Environ-mental Social Poverty National CEA CSA PA Sectoral SEA PSIA Project EIA SIA SEA is a planning tool in process of development

  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

  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)

  7. 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 EIA-SEA Continuum High Uncertainty Indirect impacts Low Institutions-centered approach Impact-centered approach Governance issues are critical Low Political economy complexity High in decision-making

  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.

  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

  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

  11. I-SEA Process

  12. THE I-SEA PROCESS SITUATION ANALYSIS: ENV, SOCIAL, POVERTY STAKEHOLDERS IDENTIFICATION STAKEHOLDERS IDENTIFICATION KEY ISSUES AND INTER SECTOR LINKAGES STAKEHOLDERS ANALYSIS PRIORITIES IDENTIFICATION PRIORITIES SELECTION INSTITUTIONAL ANALYSIS ASSESSMENT OF POLITICAL ECONOMY VULNERABILITY PPP ASSESSMENT STAKEHOLDERS ENGAGEMENT (PARTICIPATORY POLICY DIALOGUE) ASSESSMENT OF POLICY AND INSTITUTIONAL OPTIONS TO ADDRESS THE PRIORITIES PROPOSED POLICY AND INSTITUTIONAL ADJUSTMENTS INSTITUTIONAL STRENGTHENING AND SOCIAL LEARNING PLAN POLICY ACTION MATRIX

  13. Priorities selection … • Analytical component • Stakeholders analysis • Identification of key issues and inter sectoral linkages • Participatory component • Involve all key stakeholders • Voices of vulnerable stakeholders should be heard

  14. Stakeholder analysis … • Objective: Comprehensive understanding of affected stakeholders • Expected outcome: understanding of political economy context of the proposed PPP • Interest groups that will support the PPP • Interest groups that will oppose the PPP

  15. Situation analysis … • Objective: identify key environmental and social issues, and inter sectoral linkages in the national, sectoral and/or regional context of the proposed PPP • Expected outcome: understanding of the environmental, social, sectoral and regional context of the proposed PPP • Risks for sustainable development • Opportunities for sustainable development

  16. Identification and ranking of environmental issues … • Analyze the effect of existing environmental issues on economic growth and poverty alleviation • Cost of environmental degradation • Productivity losses of natural resources • Reduction of environmental services

  17. Identification and ranking of social issues … • Analize the effect of social issues on equitable economic growth and the widening of opportunities for vulnerable groups • Gender, generation, ethnic and cultural gaps • Access to public goods and services • Social capital and social safety nets

  18. Ranking of key issues … • Apply quantitative analysis as much as possible • Apply multicriteria analysis to rank different issues when quantitative and qualitative results are combined • IMPORTANT: communicate information in a format accessible to weak and vulnerable stakeholders

  19. Priorities selection … • Ensure preferences of weak and vulnerable stakeholders influence the selection of priorities: • Surveys AND • focus groups and workshops • In public policy decision making processes the voices of traditionally marginalized stakeholders should be heard • Establish a trasparent process acceptable to all stakeholders • Public participation and consultation should be defined in a participatory manner • Intersectoral and advisory committees different from the I-SEA team should guide the process

  20. Summary and conclusion … • Priority selection is critical in I-SEA • Priorities should be defined by stakeholders for I-SEA legitimacy • Stakeholders analysis is a critical output • Give voice to weak and vulnerable stakeholders • Inform dialogue through a sound situation analysis

  21. Institutional and Political economy analysis

  22. Objective 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

  23. Institutions • 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

  24. Strategic governance and institutional analysis • Institutional framework • Proposed PPP • Envisaged political economy • Broader governance context

  25. Institutional 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

  26. Proposed 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

  27. Political 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

  28. Governance 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

  29. Methods • 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

  30. I-SEA management

  31. Key issues • SEA team • Intersectoral committee • Following up and monitoring • Learning processes

  32. SEA Team • Multidisciplinary sectoral team • Institutional and policy specialist • Stakeholder engagement specialist • Environmental and social sector specialists • Other specialities • Be careful of EIA specialists!

  33. Inter sectoral committee • Involve key decision makers from the very beginning • Ideal: I-SEA is integrated into sector review • If I-SEA is carried out in tandem, a concrete way of integrating I-SEA needs to be thougth through • Ownership and communication of results are critical • Clarify the roles of stakeholders and inter sectoral committee

  34. Monitoring and follow up • Involve civil society • Access to information • 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

  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

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