Resource Manual to Support Application of the Protocol on SEA
Draft Final
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Annex as printable file
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Annex B1.1: Example of a detailed capacity assessment for the implementation of the Protocol used in selected EECCA countries
[49]
I. Identification of plans and programmes
that will require SEA under the SEA Protocol
I.1. Are the terms 'plan' and 'programme' defined
in national legislation? If so, please provide these
definitions.
I.2. Please identify (with the assistance of the
table below) those national and sub-national (e.g.
region ('rayon') or province ('oblast')) plans and
programmes in the country that will fall within
the scope of the Protocol.
| Sectors |
List all strategic documents (irrespective
of whether they are called plans, programmes,
policies, strategies,..) in each given sector
that are 'prepared or adopted by public authorities
at all levels of government on a basis of legislative,
regulatory or administrative provisions' (simplified
definition of plans and programmes adapted from
art 2.5 of the SEA Protocol) |
Briefly describe their main features (e.g.
number or plans during last 5 years and current
and planned changes in the legislation) |
| Agriculture |
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Forestry
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| Fisheries |
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| Energy |
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| Industry |
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| Mining |
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| Transport |
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| Regional development |
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| Water management |
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| Telecommunications |
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| Tourism |
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| Town and country planning or land use |
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| Other national or sub-regional documents (e.g.
Poverty Reduction Strategy Papers) |
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II. Analysis of current environmental assessment
provisions
II.1. Describe the current environmental assessment
procedure for strategic decisions according to the
existing provisions (under OVOS (EIA) or SER (state
ecological review) systems) in the country and compare
it with the existing practice:
- Screening mechanism and the extent of application
during the past five years (or two to three years,
if preferred): how many documents have been reviewed
prior to being forwarded to the SER/SEA procedure
and how many of them have undergone SER/SEA?
- Contents of the SEA report: legal requirements
+ how is the specific scope of the environmental
assessment determined + possible methodological
guidance or standards for preparation of SEA reports
- Review requirements: which types of authorities
have the opportunity to comment on the environmental
report, and are there any additional requirements
for review through the SER system?
- Description of public participation provisions:
description of legal requirements and references
to any methodological guidance for public participation
in SEA that has been produced in the country
- Mechanisms for taking account of the SEA report
and of public comments in the plan- or programme-making
process
II.2. Describe possible future changes in this
legal framework (if any).
II.3. Analyze the main strengths and weaknesses
of the current system and opportunities for its
future development or improvement.
III. Analysis of the priority issues for
the effective implementation of the Protocol
This analysis must reflect the opinion of the senior
officials responsible for the practical implementation
of the Protocol in each given country.
| How to effectively: |
Please mark as:
2 - top priority
1 - important
0 - not relevant |
Which are the specific issues where assistance
would be helpful? |
| Undertake SEA in plan and programme-making
process in accordance with definition of SEA
in art. 2.6 (e.g. how to link SEA to the decision-making
process, etc.) |
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| Undertake SEA screening in accordance with
art. 4 and 5 (e.g. how to combine mandatory
and exclusions lists and when to apply case-by-case
examinations, etc.) |
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| Organize SEA scoping in accordance with art.
6 (e.g. when to undertake scoping, how to select
suitable methods for consultations with public
and authorities, how to write terms of reference
for SEA, etc.) |
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| Elaborate environmental baseline studies in
SEA (in accordance with annex IV - items 2,
3 and 4) |
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| Use environmental objectives in SEA (in accordance
with annex IV - item 5) |
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| Analyze the likely significant environmental,
including health, effects (in accordance with
annex IV - item 6) |
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| Compare alternatives of the plan or programme
(in accordance with annex IV - item 8) |
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| Prepare post-SEA monitoring plans to meet
requirement of art. 12 and annex IV - item 9 |
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| Analyze transboundary effects (in accordance
with annex IV - item 10) |
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| Organize public review of the SEA report
in accordance with art. 8 (e.g. how to identify
the public concerned; how to inform the public
and collect feedback, how to review public comments,
etc.) |
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| Organize consultations with environmental
and health authorities in accordance with art.
9 (e.g. how to identify relevant authorities,
how to effectively consult them during SEA,
etc.) |
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| Undertake transboundary consultations in accordance
with art. 10 (e.g. when to notify, what level
of document should be exchanged, how to organize
effective transboundary consultations) |
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| Explain costs and benefits of SEA to decision-makers |
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| Apply SEA to policies and legislation in accordance
with art. 13 |
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| Draft laws or regulations to implement the
Protocol |
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IV. Key stakeholders in SEA reforms
IV. 1. Identify key institutions responsible for
the SEA process (contact details and names of key
officials).
IV. 2. Identify key stakeholders and networks promoting
SEA/EIA reforms in the country (NGOs, EIA centres,
professional newsletters and journals, etc.) and
how these players cooperate in these reforms and
how this cooperation may be strengthened.
V. Past, ongoing and planned initiatives
to build SEA capacity in the country
V.1. Describe the key planned activities that the
government wants to implement in order to ratify
and implement the Protocol (pilot studies, new law,
regulations, etc.).
V.2. Describe all past and ongoing donor assistance
programmes in the field of SEA in the country.
V.3. What SEA/EIA courses (at universities, training
programmes for public administration, etc.) exist
or are planned in the country?
V.4. Describe any other NGO, consultancy or academic
programmes.
VI. Recommendations for the most effective
focus of the UNDP and REC project
Please determine and prioritize which types of
interventions or activities may most effectively
build capacity for implementation of the Protocol,
including the development of SEA pilot projects
in selected countries. When suggesting the focus
of the project you may consider the following types
of capacity development activities, among others:
- Pilot projects: supporting an SEA of a specific
plan or programme (if this is a priority, indicate
for which type of programming process this assistance
would be provided)
- Assistance with legal reforms (drafting new
laws or regulations to implement the Protocol)
- Development of national guidelines (specifying
the SEA approach, the methods that can be applied,
etc.)
- Development of training materials and training
of trainers
- Promotional campaign (brochures, leaflets,
website creation, etc.) to explain SEA to key
policy- and decision-makers and administrators
Note
[49] Taken from the terms of reference for national
capacity needs assessments for the implementation
of the Protocol in selected EECCA countries, implemented
by UNDP and the REC under the workplan of the third
meeting of the Parties to the Espoo Convention.
B1. Capacity-development framework |
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