Strategic Environmental Assessment

1. Strategic Environmental Assessment GTZ Workshop on Strategic Environmental Assessment (SEA) – Training for minerals policy development – 7th Annual CASM Conference; Ulaanbaatar, Sept 7th 2007 Prof. Dr. M. Bouchard (McGill University/CITET); A. Olearius (GTZ)

2. 1-WHAT IS SEA 2. THE WORKSHOP 3. OUTCOMES AND RECOMMENDATIONS

3. What is Strategic Environmental impact Assessment ?

4. SEA is a systematic process for evaluating the environmental consequences of proposed policy, plan or programme initiatives in order to ensure they are fully included and appropriately addressed at the earliest stage of decision-making on par with economic and social considerations

5. What is the difference between SEA and EIA ?

6. « Environmental Assessment » EA refers to the set of regulatory and institutional framework into which the EIS is conducted, and which consists of arriving at a decision regarding the environmental « feasibility » and « manageability » of a project or activity In general: « Environnemental » includes « Social »

7. « Environmental Impact Study » EIS Refers to a technico-scientific exercice which consists of measuring the likelihood and magnitude of impacts of a given project or activity and suggesting means for attenuating, avoid or manage those impacts

8. Project Notification Consultation Screening Consultation Scoping and TORS Baseline data EIS Justification, Alternatives Baseline description Project description Impacts Mitigation, Compensation, Attenuation EMP Consultation Quality and Conformity Technical Analysis Consultation DECISION Conditions IMPLANTATION Monitoring Controls Auditing Compliance Monitoring

9. SEA is the “upstreaming” of the assessment well in advance of the project level

10. ANTE POST

13. Scoping Stakeholders consultations BASE LINE AND TENDENCIES ANALYSIS Justification,Alternatives Objectives Reference tools Generic impacts mitigation FRAMEWORK ENVIRONMENTAL MANAGEMENT PLAN ORIENTATION PROJECTS PROJECT LEVEL ENVIRONMENTAL ASSESSMENT

14. What is the purpose of SEA ?

15. SEA IS A TOOL FOR ANSWERING THE FOLLOWING QUESTION FOR LENDING AGENCY OR BANK: IS THIS INVESTMENT DECISION COMPATIBLE WITH SUSTAINABLE DEVELOPMENT OR COHERENT WITH THE BANK’S SD POLICY? THE LENDING DECISION RESTING ON THE ANSWER TO THAT QUESTION…

16. SEA IS A TOOL FOR ANSWERING THE FOLLOWING QUESTION FOR A STATE AUTHORITY: IS A PROJECTED POLICY, PLAN OR PROGRAMME OPTIMAL IN ITS ECONOMIC, SOCIAL AND ENVIRONMENTAL ASPECTS AND IS IT COHERENT WITH THE NATIONAL PLAN FOR SUSTAINABLE DEVELOPMENT AND (ENVIRONMENTAL) GOOD GOVERNAVE OBLIGATIONS?

17. SEA IS A TOOL FOR ANSWERING THE FOLLOWING QUESTION FOR AN EXECUTIVE GOVERNMENT MINISTRY OR AGENCY: FOR A GIVEN SET OF FUTURE PROJECTS, CAN WE PREDICT IN ADVANCE A FRAMEWORK SET FOR THE ENVIRONMENTAL MANAGEMENT OF THEIR IMPACTS, WHILE STREAMLINING THE PROJECT LEVEL ENVIRONMENTAL ASSESSMENT?

18. How is it applied ?

19. SEA are applied to PPP Policies Plans Programmes

20. SEA can Evaluate an existing P/P/P or the one that is about to be revised (to highlight its sustainability consequences which should be considered); or Provide inputs into developing a P/P/P (so that it addresses sustainability dimensions effectively). 28.10.2019

21. Outcomes of SEA SEA provides: Suggestions for optimising P/P/P (so that it effectively addresses key sustainability issues) SEA Report (for decision-makers and key stakeholders - to facilitate transparency of the whole process) A FRAMEWORK ENVIRONMENTAL MANAGEMENT PLAN (FEMP) 28.10.2019

22. Key entry points for SEAs Key entry points for SEA: Country level National-level overarching strategies, programmes and plans National Policy reforms and Budget support programmes National sectoral P/P/P, e.g. energy or health sector reform National and sub-national spatial development plans and programmes Trans-national plans and programmes (including multi country plans and investment programmes 28.10.2019

23. GENERAL SPATIAL SECTORAL CENTRAL REGIONAL COMMUNITY SD INDICATORS VARIOUS INDICATORS Specific and local indicators PLANNING MULTI PROJECTS OF VARIOUS KINDS IN A GIVEN REGION POLICY PLAN MULTIPROJECTS OF SAME KINDS IN VARIOUS REGIONS PROGRAMME

24. SEA may RANGE through a spectrum from Sustainability/Integrated assessment type applied mostly to Policies ( and Plans) Macro EIA type applied mostly to Programs ( and Plans)

25. PLANNING EconomicalTest Social Test Environmental «Test» PLAN OR PROGRAMME DRAFT “Consultation” Check to references Mitigation, Compensation + + FINAL PLAN or PROGRAMME

26. POSSIBLE REFERENCE DOCUMENTS 1) INTERNATIONA CONVENTIONS SIGNED BY THE COUNTRY 2) MDG ACHIEVEMENT PLAN 3) AGREED SUSTAINABLE DEVELOPMENT INDICATORS NATIONAL NORMS ENVIRONMENTAL PLAN OF ACTION POVERTY REDUCTION STRATEGY REGIONAL OR INTERNATIONAL NORMS OR GOOD PRACTICES SECTORIAL GUIDES BILATERAL OR TRANSBOUNDARY AGREEMENTS

27. SEA improves the efficiency (and reduces the cost of) EIA at the project level

28. Why is SEA important, what benefits it brings and how much does it usually cost? 28.10.2019

29. Benefits of SEA at glance SEA can: support sustainability-based evidence to decision-making identify new opportunities and win-win options prevent costly mistakes build public engagement in decision-making facilitate trans-boundary co-operation 28.10.2019

30. Costs of SEA Costs vary depending on the complexity of the P/P/P and the approach taken to SEA In Europe, SEA usually adds 3-15% to the total planning costs These costs are marginal when compared with benefits of SEA 28.10.2019

31. SEA helps to identify new opportunities and win-win options Case:SEA of the Ghana Poverty Reduction Strategy (GPRS) Revision First GPRS reflected environment only as “add-on”. Problematic since many economic activities rely on utilisation of natural resources. Complex SEA process launched in 2003 parallel to GPRS revision. Involvement of many stakeholders and appliccation at two levels: national and district. Main outcome: Policy recommendations, alterations of national and district policy plans including budgeting. 28.10.2019

32. SEA helps to prevent costly mistakes Case: Thermal Power Generation Policy, Pakistan This policy provided incentives for investments in thermal power generation Investors were given the freedom to choose the site, the technology and the fuel -> many of these plants installed with EIA but no reflection of cumulative impacts. Many plants clustered around big city. Relocation of plants due to public pressure and lobbying at considerable cost. Ex-post SEA performed to demonstrate benefits of SEA. After that the Planning and Development Department requested SEA for major initiatives. 28.10.2019

33. Key international developments in SEA OECD/DAC Good Practice Guidance on SEA (2006) – endorsed by key donor agencies, and International Financial Institutions SEA Protocol to UNECE Convention on EIA in Transboundary Context (2003) – signed by 37 countries SEA Directive in EU (2001) – implemented in 25+ EU member states and accession countries. 28.10.2019

34. Objectives of GTZ/InWEnt SEA Training To introduce concept and use of SEA and illustrate the process through a hypothetical case study; To relate the lessons learnt from the case study to the participants’ context and to train them how to apply it in their daily work; To strengthen respective capacities to implement own SEA strategies and to cope with existing legislation.

35. Target Groups In developing & transition countries: Administration officials and planners in environment, planning, sector ministries. National SEA consultants/experts NGO representatives Within donor agencies: planners and consultants in environment, planning, and other sectors

36. Training Methodology OECD Development Assistance Committee (DAC) Guidance: Applying SEA. Good Practice Guidance for Development Co-operation, Paris 2006. • Uses Harvard Business Case Methodology (Co-development of materials with branch of Harvard Business School) • Focuses on practical ‘case work‘ • Allows discussion on locally/regionally appropriate SEA approaches(based on insights brought forward by trainees) • Conclusions formulated through joint debate – rather than providing ‘ready-made’ teaching messages

37. Examples of Applications (I) Tunisia: Cumulative impact assessment regarding Infrastructure Programme Benin: Greening the Poverty Reduction Strategy Paper Namibia:Support for Land Use Plans in 2 regions Mauritania: National assessment approach on emerging extractive industry (gas sector) 28.10.2019

38. Examples of Applications (II) Indonesia: Strategic advice on Tsunami-reconstruction measures, trainer pool for SEA; lessons learnt provide source for infrastructure programmes at national level Vietnam: Integration of protecting interests of the National Park Tam Dao in District / Province-socioeconomic development planning; national road map Train-the-trainers in Bonn 06/2006: Participants from South Africa, Vietnam, Indonesia, Tunisia, Morocco, Australia, Slovakia, Czech Republic, Germany 28.10.2019

39. Examples of Applications (III) International Association for Impact Assessment (IAIA): training prior to annual conference 2007 in Seoul McGill University Canada : McGill-UNEP Intern. Master Programme in Environmental Assessment African Development Bank: Capacity Development in context of ADB Directives Asian Development Bank: “Core Environment Program” in the greater Mekong Subregion: discussions on joint support for capacity development program in Vietnam; EASY-ECO 2005-2007:EU's Sixth Framework Programme for Research and Development - Marie Curie Actions, UNEP, University of Manchester, 15th Session of the UN Commission on Sustainable Development; Learning Center event by OECD, UNDP & GTZ Commission on Sustainable Development (CSD-15)

40. Training elements Most modules based on: Individual reading and preparation Short introductory lecture Case Work Wrap-up sessions to formulate conclusions Facilitated debate on “how does this relate to our context?“ Games/Exercises (‘Action learning‘) Peer advice session to support transfer of lessons to day-to-day work of participants 28.10.2019

41. Modules of the training Introduction to SEA Case works Link P/P/P and SEA, design appropriate strategy for SEA Determine the right issues and scope of assessment Analyze the baseline trends (zero alternative) Assess proposed development objectives and elaborate their alternatives Assess proposed actions and consider their alternatives Use effective means of participation Ensure sufficient management and monitoring in implementation of the P/P/P Manage SEA efficiently within budgetary and time constraints Evaluation and Follow-up of the GTZ/InWent SEA Training + Further inputs, resources and reading 28.10.2019

42. Case materials Fictive country Ganama. Factsheet gives background information. Case work on SEA for formulation of the Transport Infrastructure Development Programme There is a ‘chronology’ in the case with new information and development coming in. 28.10.2019

43. Information on Ganama 28.10.2019

44. SEA AND ASM 1) Would it be necessary/useful to use SEA for dealing with ASM in Mongolia? Answers are unanimously yes. The main arguments are : 28.10.2019

45. SEA AND ASM 1) Would it be necessary/useful to use SEA for dealing with ASM in Mongolia? Given the numerous negative environmental, social and health impacts, but at the same time, given its importance as a development sector, SEA appears an adequate tool to balance out costs and benefits and provide for a useful Framework Environmental Management Plan for the sector. 28.10.2019

46. SEA AND ASM 1) Would it be necessary/useful to use SEA for dealing with ASM in Mongolia? Given the fact that the operators( Ninja miners, small communities) cannot afford to go into project level environmental assessment, and as it would be totally impractical, SEA appears to be the best way to transfer the financial costs and responsibilities to local or central authorities. 28.10.2019

47. SEA AND ASM 1) Would it be necessary/useful to use SEA for dealing with ASM in Mongolia? SEA can probably help in “greening” ASM, bring it into a relatively safe way of life, and integrate this important activity at the community level into the Sustainable development of Mongolia, by providing well thought and well planned Framework EMP into the programmes destined to the development of this sub-sector of Mineral Economy. 28.10.2019

48. SEA AND ASM 2) What are the key issues for SEA in ASM in Mongolia? Nature related issues such as Deforestation, soil degradation, siltation, protected areas, wildlife, biodiversity issues Resource Management Issues such as Water Resources, Land Use conflicts, water and groundwater contamination, non rehabilitated areas transformed into no man’s land Health Issues ( numerous) including Those related to working condition, pit collapses, use fo Mercury and cyanide, accidents, sexually transmitted diseases 28.10.2019

49. SEA AND ASM 2) What are the key issues for SEA in ASM in Mongolia? Social issues ( numerous) including Social cohesion, migrant workers, displaced persons, collectivity conflicts, individual conflicts, criminality, Gender issues; economic issues ( land rights, mineral rights); child labor or child being away from education services Value and Cultural Issues including Destruction of valued sites; indulging an illegal cultural, 28.10.2019

50. SEA AND ASM 3) Who would be the stakeholders in ASM to be consulted through an SEA? Individual miners and local people (non miners) Local municipal/provincial authority Central government Agency responsible for the Environment Geological services Mining associations (if any) State Inspection Agency International Organizations (such as CASM) Central and regional government authorities in social and health sectors 28.10.2019