Convention on Environmental Impact Assessment (EIA) in a Transboundary Context

Resource Manual to Support Application of the Protocol on SEA

Draft Final

 

B1. Capacity development framework for the Protocol	Contents
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Chapter B2: Example structure of practical exercise for use in training course on the Protocol

B2.1 INTRODUCTION TO THE CHAPTER

The Protocol refers throughout to ‘the environment, including health’. To avoid repetition, the Manual refers only to ‘the environment’, but this should always be understood to include health. For more information on health issues, please see [Annex] [Chapter] [XX].

B2.1.1 Objective of the practical exercise

1. Effective training normally comprises a theoretical introduction combined with practical work on hypothetical or real-life case examples.

2. Theoretical information within this Manual is provided in Chapters A1 to A6. This Chapter brings key information presented in these Chapters into a practical exercise that focuses on the design of an optimal SEA approach for a chosen plan or programme.

3. The proposed tasks and the discussion items are formulated as a general framework. The trainer should adapt these framework questions to the aims of the capacity-building exercise and to the training-course participants’ existing knowledge.

B2.1.2 Possible outcomes

4. This practical exercise should help participants to gain a better understanding about SEA and its relation to plan and programme making. The exercise can typically be used for discussion on:

• A suitable SEA procedure for a specific approach to plan or programme making, which may be used to facilitate development of SEA guidelines for this plan- or programme-making regime

• A detailed SEA approach for the development of a particular plan or programme, and that may be applied to facilitate elaboration of the terms of reference for such SEA

B2.1.3 Tasks in the practical exercise

5. The Chapter suggests that such a practical exercise takes place through the following sequence of tasks:

• Task 1: Analyze the plan or programme making
• Task 2: Discuss when and how to determine whether SEA is needed for the plan or programme
• Task 3: Discuss practical arrangements for scoping
• Task 4: Discuss the information to be provided in the environmental report and its logical links with the development of the plan or programme
• Task 5: Discuss practical arrangements for consultations with relevant environmental and health authorities
• Task 6: Discuss practical arrangements for public participation
• Task 7: Discuss practical arrangements for taking information generated within SEA into account in the plan- or programme-making process
• Task 8: Discuss practical arrangements for coordination of the SEA with the plan- or programme-making process
• Task 9: Discuss practical issues for design of monitoring and for linking SEA with subsequent environmental assessments
• Task 10: Present the proposed approach to SEA of the given plan or programme

B2.1.4 Complexity of the exercise

6. Depending on the needs of the target audience, its familiarity with plan or programme making and the time available for the practical work, the practical discussion may address the following:

• The general approach to undertaking SEA within the given plan- or programme-making process . This most simple discussion requires the audience be familiar with the requirements of the Protocol, have general knowledge of the procedure or steps in the respective plan- or programme-making process, and be aware of the various options for the integration of SEA into the development of plans and programmes. Successful accomplishment of this exercise may typically require two to five hours of work.

• Detailed procedures to be followed in SEA for the given plan- or programme-making process . This more advanced discussion requires the audience be familiar with the detailed requirements of the Protocol, have detailed knowledge of the procedure or steps in the respective plan- or programme-making process, and be aware of the various options for the integration of SEA into the development of plans and programmes. Successful accomplishment of this exercise may typically require six to eight hours of work.

• SEA methods and tools appropriate for the given approach to plan or programme making . Such an advanced discussion requires the audience be familiar with the detailed requirements of the Protocol, have detailed knowledge of the procedure or steps in the respective plan- or programme-making process, have a good understanding of: (a) options for the integration of SEA into the formulation of plans or programmes; and (b) analytical and participatory tools that can be used in the preparation of the environmental report and for carrying out consultations and public participation. Successful accomplishment of this exercise may typically require nine to 15 hours of work, depending on the complexity of the plan- or programme-making process.

• Detailed terms of reference for SEA of the given plan or programme . This most advanced discussion requires the audience be familiar with

• The detailed requirements of the Protocol
• The detailed features of plan or programme making
• The detailed logical links between SEA and the development of plans or programmes
• Methods that can be used: (a) in the preparation of the environmental report; and (b) for carrying out consultations and public participation
• Possible degrees of integration of SEA into the plan- or programme-making process
  
• Successful accomplishment of this exercise may typically require anything between 15 and 30 hours of work, depending on the complexity of the plan- or programme-making process.

B2.1.5 Information that needs to gathered before the exercise

7. Successful completion of the practical exercise requires provision of the following information on the features of the given plan- or programme-making system or particular plan or programme:

• What is the focus of the plan- or programme-making process? Who develops the plan or programme and who should adopt it?

• Are there any requirements or guidelines for the plan or programme making that could help to identify the process steps and outputs?

• Is there a requirement for an environmental section or analysis within the plan- or programme-making process?

• What is the consultation process with authorities within this plan- or programme-making process? With whom? When?

• Are there any requirements for public participation in the plan- or programme-making process? With whom? When?

B2.2 TASKS FOR WORK ON A CASE STUDY

Task 1: Analyze the plan or programme making

8. This introductory exercise should help the participants to become familiar with the plan- or programme-making process that has been chosen to be subject to SEA. This information is needed to propose an effective and customized SEA approach for that particular context. Naturally, before embarking on the design of an ‘abstract’ SEA procedure, it is useful to know how the plan or programme making actually works and what is missing in relation to SEA. Such information will provide a basis for later consideration of how SEA can fit into the preparation of that plan or programme.

9. The analysis of the plan- or programme-making process should start with the gathering of basic information on the nature of the plan or programme. The participants should obtain information on the origins of the plan or programme, the authority responsible for developing it and the role of the decision-maker. It may also be useful to know how the plan or programme will be implemented (e.g. will it lead directly into specific projects, or will it be followed by another, more detailed programme or plan, etc).

10. Once the overall context has been clarified, the following detailed issues in the plan or programme making should be discussed:

• What are the specific tasks in the development of the plan or programme?

• Does the plan or programme development involve any environmental analyses that might be linked with the preparation of environmental report? When are these environmental analyses undertaken during the development of the plan or programme?

• Does the plan or programme making already involve any consultations with relevant environmental and health authorities? Which authorities are consulted and when do these consultations occur during the development of the plan or programme?

• Does the plan or programme making already provide for any access to information and public participation? Who from the public can access the information and participate and when are these opportunities provided during the development of the plan or programme?

11. This more detailed analysis of the plan- or programme-making process may be facilitated with the help of Table B2.1 below.

12. The following notes may be used as guidance in the detailed analysis of the plan- or programme-making process:

• The plan- or programme-making tasks might include those related to information gathering, information analysis, communication with other stakeholders, plan drafting stages or phases, etc. These tasks may be identified in the relevant legislation or guidance on preparation of the respective plan or programmes, or from examples of similar plans or programmes in the past.

• Once the plan- or programme-making tasks have been outlined, the participants should proceed by identifying the likely environmental analyses that will be part of the plan or programme making. The participants should be aware that some basic environmental analyses might be routinely applied in plan or programme making. It is useful to know the scope and focus of such analyses in order to link them effectively with the preparation of the environmental report.

• Since consultations among authorities are usually an integral part of any plan- or programme-making process, it is useful to review whether any arrangements for consultations with environmental and health authorities exist within the plan or programme making and what is their timing.

• The analysis of the plan or programme making may be concluded by an analysis of arrangements for public access to information and public participation during the development of the plan or programme.

Table B2.1: Possible review framework for the plan- or programme-making process

Tasks in the development of the plan or programme	Existing environmental analyses	Consultations with the authorities	Public access to information and consultations with the public concerned

Task 2: Discuss when and how to determine whether SEA is needed for the plan or programme

13. This exercise should help the participants to discuss when and how to determine whether SEA is needed for the plan or programme. The participants should be aware that the timing of such a determination would have major implications on the effectiveness of the proposed SEA process. If such a determination occurs too late, it is likely to lead to delays and to less effective SEA.

14. Initial points to discuss include the following:

• What information is needed to determine whether SEA is required for the given plan- or programme-making process?

• Should the given plan- or programme-making process be automatically subject to SEA or is a case-by-case determination required?

• When should such a determination be undertaken most effectively?

15. If the participants conclude that a case-by-case determination is required, then the following items should be discussed:

• What approach to ‘significance testing’ should be used?

• How should relevant authorities (and possibly the public concerned) be consulted?

• How should information about the outcome of determination be made available to the public?

16. Successful accomplishment of this exercise will require the participants be familiar with the information in this Manual on determining whether SEA is required under the Protocol, including the detailed description of the tests (see Chapter A3).

17. By the end of this exercise, the participants should be aware that the requirement to carry out SEA for a given plan or programme should be determined as early as feasible in the development of the plan or programme. Practical arrangements for an early determination of the need for an SEA should be have been identified.

Task 3: Discuss practical arrangements for scoping

18. Scoping is one of the most important elements in SEA. This exercise should help the participants to discuss when and how to undertake SEA scoping in relation to the plan or programme making.

19. The participants should be aware that the Protocol does not stipulate scoping as a rigid procedural stage (nor is a ‘scoping decision’ needed). They should note that scoping may be carried out either through a single procedural step or as an iterative process that may start with early advice and may be continued within various stages during the preparation of the environmental report.

20. Points to discuss include the following:

• What information needs to be generated during the scoping in order to determine the appropriate scope of the environmental report?

• What is the minimum information to be obtained in order to carry out SEA scoping effectively and when is this information available during the plan or programme development?

• What practical arrangements should be made to consult relevant authorities (and possibly the public concerned)?

• Should scoping be carried out through a single procedural step or rather as an iterative process that starts with early advice that is developed in detail as the plan or programme is developed?

21. Successful accomplishment of this exercise will require the participants be familiar with the information contained in the Manual on scoping and the treatment of alternatives within SEA (see section A4.2).

22. By the end of this exercise, the participants should understand that scoping should start early and should link with the plan or programme development.

Task 4: Discuss the information to be provided in the environmental report and its logical links with the development of the plan or programme

23. This exercise should help the participants to discuss the information to be provided in the environmental report and its logical links with the development of the plan or programme.

24. The participants should start by outlining the types of information to be provided in the environmental report based on the requirements of the Protocol. They can then compare their findings with the overview of the plan- or programme making steps and the environmental analyses during the preparation of the respective plan or programme, as identified in Task 1. Such a comparison may help them to discuss opportunities for linking the information in the environmental report with the development of the plan or programme.

25. Points to discuss include the following:

• What information will have to be provided in the environmental report for the given type of plan or programme (bearing in mind the strategic issues relevant to the plan or programme and the need to maintain the appropriate detail of assessment)?

• How will information in the environmental report differ from any existing analyses performed during the plan or programme making and are there any similarities or opportunities for synergies?

• What data will the SEA team need from plan and programme makers and what inputs can the SEA team provide into the development of the plan or programme?

• Optionally: what information should be provided in qualitative or quantitative form and which analytical tools could be used to deliver it (see Chapter A5)?

26. Successful accomplishment of this exercise will require the participants be familiar with the information contained in this Manual on the environmental report (section A4.2), logical linkages between SEA and the development of the plan or programme (Chapter A2) and, optionally, the overview of basic analytical tools in SEA (Chapter A5).

27. By the end of this exercise, the participants should be aware that the preparation of the environmental report may be linked effectively to, or incorporated into, the development of the respective plan or programme (though the report itself must be distinct from the draft plan or programme).

Task 5: Discuss practical arrangements for consultations with relevant environmental and health authorities

28. This exercise should help the participants to discuss the practical arrangements for consulting the relevant environmental and health authorities during SEA.

29. The participants should outline consultations with authorities that are needed based on the requirement of the SEA Protocol. They may then compare their proposals with the overview of the existing consultations with relevant authorities within the preparation of the respective plan or programme, as identified in Task 1. Based on this comparison, they can discuss whether SEA-related consultations with environmental and health authorities should be carried out as a separate process or if they can be combined with consultations with relevant authorities during the development of the plan or programme.

30. Points to discuss include the following:

• Which authorities need to be consulted within SEA?

• When and how should these consultations be performed in order to provide effective inputs?

• How do the proposed consultations differ from the existing consultations with authorities?

• Should separate consultations be organized for SEA and for the plan- or programme-making process, or is it better to have a single commenting process?

31. Successful accomplishment of this exercise will require the participants be familiar with information contained in this Manual on consultation with authorities (section A4.4), logical linkages between SEA and development of plan or programmes (Chapter A2) and, optionally, basic consultative tools in SEA (Chapter A5).

32. By the end of the exercise, the participants should be aware that the consultations with relevant authorities in SEA may be linked effectively to, or incorporated into, consultations with authorities during the development of the respective plan or programme.

Task 6: Discuss practical arrangements for public participation

33. This exercise should help the participants to discuss the practical arrangements for consultations with the public.

34. The participants should outline what is required in order to carry out public participation based on the requirement of the Protocol. They may then compare their proposals with the overview of the existing arrangements for access to information and public participation within the preparation of the respective plan or programme, as identified in Task 1. Based on this comparison, they can discuss whether SEA-related public participation should be carried out as a separate process or whether it could be combined with the public participation regime in the development of the plan or programme.

35. Points to discuss include the following

• What information should be made available to the public during SEA?

• Is it necessary to determine the public concerned in SEA (and if so how)?

• Should one stage of consultation be carried out or should consultation occur as iterative process?

• How do consultations in SEA differ from existing consultations with the public, and should separate consultations be organized for SEA and for the plan- or programme-making process, or would it be better to have a single commenting process?

• Optionally: what consultative tools could be used to facilitate public participation? (If the exercise allows enough time for further discussion, they may then also suggest appropriate consultative tools that could be used in such SEA – see Chapter A5.)

36. Successful accomplishment of this exercise will require the participants be familiar with information contained in this Manual on public participation (section A4.3), logical linkages between SEA and development of plan or programmes (Chapter A2) and, optionally, with basic consultative tools in SEA (Chapter A5).

37. By the end of the exercise, the participants should be aware that the arrangements for public participation in SEA may be linked effectively to, or incorporated into, the public participation regime for the development of the plan or programme.

Task 7: Discuss practical arrangements for taking information generated within SEA into account in the plan- or programme-making process

38. The exercise on taking into account the environmental report and results of consultations should discuss arrangements that would enable persons developing the plan or programme and those preparing the environmental report, or decision-making authorities for the respective plan or programme, to ensure that information generated within SEA is taken into account when developing a plan or programme and before approving it.

39. The key point to discuss is:

• How to ensure that due account is taken of the outcomes of the SEA (the environmental report and the measures to prevent, reduce or mitigate the adverse effects identified in it; the outcomes of consultations with relevant authorities; and the outcomes of public participation) when the plan or programme is adopted if:

• SEA were to be partially integrated into the development of the plan or programme (i.e. it runs concurrently to the plan or programme development and provides inputs at key stages of the plan or programme making)? What happens if SEA experts and the experts who develop the plan or programme cannot reach consensus on certain issues?

• SEA were to be fully integrated into the development of the plan or programme? Again, what happens if the SEA experts and the experts who develop the plan or programme cannot reach consensus on certain issues?

• SEA were to be carried out in isolation from the plan or programme development or would start only once the plan or programme had been drafted? What happens if the SEA comes up with proposals for major changes in the plan or programme at a time when the drafting of the plan or programme has been completed?

Task 8: Discuss practical arrangements for coordination of the SEA with the plan- or programme-making process

40. This is exercise should help the participants to discuss the practical activities required for conducting SEA in the plan- or programme-making process.

41. The previous exercises helped the participants to discuss the detailed modalities for SEA scoping (Task 3), for obtaining information required in the environmental report (Task 4), for carrying out SEA-related consultations with authorities (Task 5), for conducting SEA-related public participation (Task 6) and taking information generated within SEA into account in the plan- or programme-making process (Task 7). Based on the conclusions of these earlier discussions, the participants should clarify the specific modalities for the work of the experts who should conduct the proposed SEA process.

42. Points to discuss include the following:

• What would be the main advantages and disadvantages of an SEA that is carried out in isolation from the plan or programme development, or that is delayed and starts only once the plan or programme has been drafted?

• What would be the main advantages and disadvantages of partial integration of SEA into the development of the plan or programme?

• What would be the main advantages and disadvantages of full integration of SEA into the development of the plan or programme?

43. Successful accomplishment of this exercise will require the participants be familiar with the information contained in this Manual on elements of the SEA procedure (Chapter A2), decision-making (section A4.6) and logical linkages between SEA and development of plan or programmes (Chapter A2).

44. By the end of the exercise, the participants should be aware of the main benefits and problems associated with various options for undertaking SEA during the development of the plan or programme.

Task 9: Discuss practical issues for design of monitoring and for linking SEA with subsequent environmental assessments

45. This exercise should help the participants to discuss the expected tasks of the SEA experts in designing monitoring for the plan or programme and for linking SEA with subsequent environmental assessments.

46. Points to discuss include the following:

• What is generally expected in the design of the post-SEA monitoring?

• How should post-SEA monitoring link with the monitoring for the plan or programme?

• How should SEA link to subsequent environmental assessments (i.e. EIA for specific projects for which the plan or programme sets the framework, or SEA for subsequent plans and programmes)?

47. Successful accomplishment of this exercise will require the participants be familiar with the information contained in this Manual on monitoring (section A4.7).

48. By the end of the exercise, the participants should be aware of the main challenges in the application of monitoring and of the practical linkages between this SEA and subsequent EIAs or SEAs.

Task 10: Present the proposed approach to SEA of the given plan or programme

49. This concluding exercise facilitates presentation of the suggested SEA approach. This may be also useful in elaboration of the specific terms of reference for the given SEA process.

50. The participants should summarize the main strengths and weaknesses of the proposed approach and openly acknowledge any assumptions and risks in its application. If time permits, the participants might estimate the number of working days to complete the whole SEA, identify the required skills among the SEA experts or determine any other issues that should be mentioned when such an SEA is presented.

51. Thus the participants might be asked to summarize the proposed SEA approach by outlining:

• The key tasks to be performed within the SEA and how they link to tasks in the plan or programme making

• Roles (tasks and mandates) of the SEA experts during the of the plan or programme

• The main strengths and weaknesses of the proposed approach, and the assumptions for its effective operation (being realistic about the risks)

• The expected number of working days to complete the SEA

• The required skills among the SEA experts, etc.

52. By the end of the exercise, the participants should be able present the proposed SEA approach to the competent authority, stakeholders or consultants who are interested in carrying out the SEA.

B1. Capacity development framework for the Protocol

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