Unit Three

Strategic Environmental
Assessment (SEA)
 Introduction
What is the Essence and Purpose of Strategic Planning?

• Strategy Development is identification of the way for

achievement of the certain goal.
• Strategies might have various levels and purposes: this can be
the strategy of particular organization, how to achieve its goals,
urban development strategy, strategy on development of
country’s economy, etc.

• Despite such diversity, it can be said that all the strategic plans
and programs, to the extent required by the nature of such
plan, contain three obligatory elements:
• Current status (where are we now)
• Objectives (where we want to get)
• Ways of achieving objectives (how do we get there)
Strategy is a way identified for
getting from the current position to
the desired one.
 What Is Strategic Environmental Assessment (SEA)?

• SEA is a process for the formal, systematic evaluation of

the likely significant environmental effects of
implementing a plan or program, before a decision is
made to adopt the plan or program.
• SEA aims to provide for a high level of protection of the
environment and to contribute to the integration of
environmental considerations into the preparation and
adoption of plans with a view to promoting sustainable
development.
• SEA is a system of incorporating environmental
considerations into policies, plans and programs
(PPPs).
• It is sometimes referred to as Strategic Environmental
Impact Assessment.
• For the most part an SEA is conducted before a
corresponding EIA is undertaken. This will mean that
information on the environmental impact of a plan will
be able to cascade down through the tiers of decision
making and be used in an EIA at a later stage. This
should reduce the amount of work that needs to be
undertaken.
• SEA refers to a range of "analytical and participatory
approaches that aim to integrate environmental
considerations into policies, plans and programs
and evaluate the inter linkages with economic and
social considerations“.
• SEA can be described as a family of approaches
which use a variety of tools, rather than a single,
fixed and prescriptive approach.
 Origins of SEA
• The concept of Strategic Assessments originated from
regional development / land use planning in the
developed world (USA).
• Originates jointly with EIA processes in 1969, in the US,
but starts gaining prominence only in the 1990’s
• Arises out of recognition of the limitations of project-
level EIA – need to incorporate environmental
considerations from early planning stages
• Need to inform strategic decisions about their
potential environmental consequences
• SEA is not a substitute for, but complements, EIA and
other assessment approaches and tools.
• SEA is a key component of sustainable development
establishing important new methods for protecting the
environment and extending opportunities for
participation in public policy decision making.
 Limitations of project-level EA
• Although project EA has become widely used and
accepted as a useful tool in decision making, it largely
reacts to development proposals rather than
proactively anticipating them.
• Because EAs take place once many strategic decisions
have already been made, they often address only a
limited range of alternatives and mitigation measures.
• The use of SEA potentially can have significant benefits
in supplementing, and to some extent reducing, the
necessary scope and costs of EA work downstream.
Positioning SEA in the decision-making hierarchy

• There is a hierarchy of levels in decision making

comprising projects, programs, plans and policies
(see Figure below).
• Logically, policies shape the subsequent plans,
programs and projects that put those policies into
practice.
• Policies are at the top of the decision-making
hierarchy. As one moves down the hierarchy from
policies to projects, the nature of decision-making
changes, as does the nature of environmental
assessment needed.
Figure SEA: Up-streaming environmental considerations into
the decision-making hierarchy
 Defining policies, plans and programs
• Policy. A general course of action or proposed, overall
direction that a government is or will be pursuing and that
guides ongoing decision making.
• Plan. A purposeful forward looking strategy or design, often
with coordinated priorities, options and measures that
elaborate and implement policy.
• Program. A coherent, organized agenda or schedule of
commitments, proposals, instruments and/or activities that
elaborate and implement policy.

Example of Plans And Programs:

• Municipal Development Plan of Varna in Bulgaria
(2004). The goal of the plan is extension of the
coastal tourism capacities. For these purposes, it
was planned to move the industries located in the
coastal zone to the inland, already existing
industrial zone, where, accordingly, it will be
necessary to increase the industrial density.
Levels of decision-making in environmental assessment
Road-map with defined objectives, set priorities, rules
Policy
and mechanisms to implement objectives
Priorities, options and measures for resource allocation
according to resource suitability and availability,
Planning
following the orientation, and implementing, relevant
sectoral and global policies
Organized agenda with defined objectives to be
achieved during program implementation, with
Program specification of activities and programs investments,
in the framework of relevant policies
and plans
A detailed proposal, scheme or design of any
development action or activity, which represents an
Project
investment, involves construction works and
implements policy / planning objectives
• Policy-level assessment tends to deal with more
flexible proposals and a wider range of scenarios.
• Project-level assessment usually has well defined and
prescribed specifications.
• Policies, plans and programs (PPPs) are more
"strategic” as they determine the general direction or
approach to be followed towards broad goals.
• SEA is applied to these more strategic levels.
• EIA is used on projects that put PPPs into tangible
effect.
 Tiering approach
• Tiering means preparing a sequence of EAs at different planning
levels and linking them from more strategic level to more
operational and project level assessments. Tiering means going
from many to fewer issues, from more vague to more specific and
from multimodal to unimodal.
Policies
Plans

National
Programs
Projects

Impact assessment
Sectoral
Impact assessment

Regional
Local
Figure. Sequence of actions and assessments within a tiered planning and assessment system
Strategic Operational
Level Level
(SEA) (EIA)

Project
Project
Policies, plans construction,
identification and
and programs operation and
formulation
decommissioning
EIA: we know what we want to assess
SEA: we have an idea of what we want, but
don’t know exactly what will be done
 What is the difference between SEA and EIA?
• SEA can be defined as “the formalized, systematic and
comprehensive process of evaluating the environmental
impacts of a policy, plan or program and its alternatives,
including the preparation of written report on the findings
of that evaluation, and using the findings in publicly
accountable decision-making” .
• SEA generally applies to high level plans and programs,
and allows the identification, comparison and adoption
of feasible options or alternatives (to mitigate against
potential environmental impacts).
• EIA applies to individual construction or development
projects.
 EIA vs SEA – Key differences
EIA SEA
Project-level Policies, plans & programmes
Focus on informing development Focus on enhancing policy-
consent authorisation process making/planning process
Relatively standard approach Different approaches available
Widely adopted in legal systems Few countries have legal system
Quantitative analyses dominate Qualitative analyses dominate
Analyses alternatives within a Analyses alternatives to achieve
project strategic objectives
 SEA: A continuum of applications
• A good SEA is adapted and tailor-made to the
context in which it is applied. This can be thought as
a continuum of increasing integration:
 at one end of the continuum, the principle aim is
to integrate environment, alongside economic
and social concerns, into strategic decision
making;
 at the other end, the emphasis is on the full
integration of the environmental, social and
economic factors into a holistic sustainability
assessment.
• To accommodate different approaches, SEA is applied
at various points on a continuum.

Figure. A continuum of SEA application

Notes:
1. The increasing circle size implies the "weight" given to environment.
The overlapping indicates the extent of integration.
2. The right hand end of the continuum implies true sustainability where
all three pillars of sustainability are given equal "weight" and are fully
integrated.
3. The aim of environmental mainstreaming has first been, in the first
instance, to get "environmental“ considerations addressed in policy -
making, planning and decision - taking; and then to promote increasing
integration in addressing environmental, social and economic
considerations.
4. Progress is being made in the application of key environmental, social
and economic strategic assessment tools towards increasing
integration.
 The role of SEA in policy and decision making

• If SEA is to be used as a supporting tool for sustainable

development, then it must include not only formal policy
documents under that name but also any instrument that
gives effect to a policy.

• There is growing recognition of the need for the

environmental assessment of the implications of policy,
plan and program (PPP) alternatives at an early stage in
the decision-making process.

• The early consideration of environmental factors in

government decision making became an accepted
part of World Bank policy in 1987.
• SEA has emerged as a structured proactive process to
strengthen the role of environmental issues in decision
making through the assessment of the environmental
effects of policies, plans and programs.

• For SEA to fulfill its purpose and be effective, it must be

built into policy and planning decision making, adopted
by policy makers, planners, sectoral bureaucratic officers
and all the potential users.

• Sustainable development is now a generally accepted

vision for any sort of development, but there is concern
over how to achieve such a process.
• The concept of SEA can contribute to the sustainable
development process. Over the last 10 years, SEA has
become widely recognized by governments and
development stakeholders worldwide as a valuable
component of the sustainable development process.

• The role of SEA is often related to sustainability objectives,

such that SEA can assist the decision making in
improving the design of more sustainable policies and
strategies.
• Consistent with the nature of an SEA system is its potential
capacity to contribute to the achievement of
sustainability aims.
 Basic Principles for SEA
• Fit for purpose: the process should be customized to the
characteristics of policy and plan-making
• Objective-led: the process should be undertaken with
reference to environmental goals and priorities
• Sustainability-oriented: the process should facilitate
identification of development options and proposals
that are environmentally sustainable
• Integrated: the process should be related to parallel
economic and social appraisals and tiered to
project EIA where appropriate
• Transparent: the process should have clear, easily
understood information requirements including
provision for public reporting
• Cost-effective: the process should achieve its objectives
within limits of available information, time and issues
• Relevant: the process should be focus on issues that matter
• Practical: the process should provide information that is
required for decision-making
 SEA benefits at a glance
• SEA can safeguard the environmental assets and
opportunities upon which all people depend,
particularly the poor, and so promote sustainable
poverty reduction and development.
• SEA can improve decision making related to policies,
plans and programs, and thus improve development
outcomes by:
1. Supporting the integration of environment and
development,
2. Providing environmental-based evidence to support
informed decisions,
3. Improving the identification of new opportunities,
4. Preventing costly mistakes,
5. Building public engagement in decision making for
improved governance,
6. Facilitating transboundary co-operation
Common challenges to SEA
• Weak strategic planning culture
• Weak inter-institutional cooperation
• Weak environmental commitment by sectoral
authorities (this is not my area of work)
• Obsession with quantification
• Limitations of the regulatory framework
• Confusion between EIA and SEA
 The institutional dimension of SEA
• Effective SEA depends on an adaptive and continuous
process focused on strengthening institutions governance
and decision-making processes rather than just a simple,
linear, technical approach focused on impacts, as is often
found in EIA.
Figure. Steps to address institutional considerations in SEA

1. Institutional and governance assessment

• Review of country environmental management and
government systems
• Review of analytical capacity
• Gain access to decision-making

2. Institutional and governance strengthening

• Support to increase social accountability and improving
governance
• Adaptive learning – ensuring continuity in SEA processes
Stages and steps for undertaking SEA at the plan
and program level
• Many countries and agencies have developed SEA guidelines
and procedures. So far, these are mainly aimed at
strengthening plan and program development and are based
on an adaptation of the steps characteristic for EIA.
• Practical experience with these approaches suggests that good
practice SEA should involve four stages (see Figure below),
• Each stage can be further subdivided into steps/tasks
(indicated by the arrows in the text). But these do not need to
be carried out in sequence
 Figure: Basic stages in SEA
1. Establish the context for the SEA
• Screening
• Setting objectives
• Identifying stakeholders

2. Implementing SEA
• Scoping (in dialogue with stakeholders)
• Collecting baseline date
• Identifying alternatives
• Identifying how to enhance opportunities and mitigate impacts
• Quality assurance
• Reporting

3. Informing and influencing decision-making

• Making recommendations (in dialogue with stakeholders)

4. Monitoring and evaluation

• Monitoring decision taken on the PPP
• Monitoring implementation of the PPP
• Evaluation of both SEA and PPP
Stage 1: Establishing the context for the SEA

 Review the need for the SEA, and initiate preparatory

tasks
• An early step in the SEA process is "screening” to
decide whether an SEA is appropriate and relevant in
relation to the development of a PPP in the area
under consideration.
• Integral to this will be establishing the objectives of
the SEA: how does it intend to improve the planning
process; what is its role?
• SEA is designed to explore and evaluate suitable
alternatives. The sooner an SEA is introduced to policy
formulation and plan-making, the greater the
chances are to identify opportunities and influence
outcomes.
 Identify interested and affected stakeholders and
plan their involvement

• SEA is a participatory process. It allows civil society,

including the private sector and relevant stakeholders
that will be affected by the proposed PPP, to
contribute inputs to strategic decision making.
• Therefore, screening should include careful
stakeholder analysis to identify stakeholders and
prepare a communication plan to be used throughout
the SEA.
• It is important to identify and engage those
stakeholders who are the most exposed to
environmental degradation.
 Stage 2: Implementing the SEA
 Determine the scope of the SEA
• A scoping process should establish the content of the
SEA, the relevant criteria for assessment (e.g. goals set
out in the National Sustainability Development Strategy).
• An open and systematic process should be followed.
• The SEA should actively engage key stakeholders to
identify significant issues associated with the proposal
and the main alternatives.
• Scoping may also recommend alternatives to be
considered, suitable methods for analyses of key issues
and sources of relevant data.
 Establish participatory approaches to bring in relevant
stakeholders (as part of the Scoping process)

• Public consultations processes will have to identify the

best means to ensure that they can participate
effectively and their viewpoints are given proper
consideration .
• This may involve, in particular, reaching stakeholders
who may not have access to the internet, lack access
to public libraries, speak a different language, are
illiterate, have cultural differences or other
characteristics that need to be taken into
consideration when planning for their engagement.
  Collect baseline information
• SEA needs to be based on a thorough understanding
of the potentially affected environment and social
systems.
• This must involve more than a mere inventory e.g .
Listing flora, fauna, landscape and urban
environments.
• Particular attention should be paid to important
ecological systems and services, their resilience and
vulnerability and significance for human well-being.
• Existing environmental protection measures and/or
objectives set out in international, national or regional
legislative instruments should also be reviewed .
• The baseline data should reflect the objectives and
indicators identified in the "scoping report".
  Analyze the potential effects of the proposals and
any alternatives
• Identifying the potential direct and indirect or
unintended effects of policy proposals and decision-
making processes, as well as options for, and
alternatives to PPPs is naturally more difficult than in the
case of specific projects.
• The indirect effects of paramount importance in the
assessment. Certain measures can help to frame this
issue, for example, the use of best versus worse case
scenarios.
• Cumulative effects present particular challenges and
may require expert consideration.
• There is no single best method for impact analysis.
Approaches should be selected that are appropriate
to the issues at stake.
 Identify measures to enhance opportunities and
mitigate adverse impacts

• It is important to focus on realizing the positive

opportunities of the planned activities and minimizing
any negative risks.
• A mitigation hierarchy should be followed for identified
negative impacts: first avoid; second reduce; and third
offset adverse impacts - using appropriate measures.
• Caution should be exercised if the analysis indicates a
potential for major, irreversible, negative impacts on
the environment. Often this may suggest selecting less
risky alternatives.
• For less-threatening situations, standard mitigation
measures can be used to minimize an adverse impact
to "as low as reasonably practicable”.
  Draft report on the findings of the SEA

• Once the technical analysis is completed, the results

and rationale for conclusions need to be reported.
• If a technical report maybe necessary, it must be
presented in an understandable format and
appropriate language(s).
• This will often require short summaries and graphic
presentations rather than a long report.
• A concise, non-technical summary should be
included. This will be of particular use in explaining the
findings to civil society, which needs to be well
informed in order to submit comments.
 Provide an independent evaluation/review; (quality
control check) on the SEA

• Specific measures of quality control assurance might

be warranted, e.g. to ensure the credibility of the
assessment in the eyes of all stakeholders.
• Options to consider include:
 An independent review of SEA by experts or
academics.
 Internal audits by the Ministry of the Environment;
"sounding boards" or steering committees consisting
of representatives of key stakeholders.
 An independent expert commission.
 Public engagement in reviewing the draft SEA report

• While public engagement should have been included

at all appropriate stages, the draft SEA report is a key
stage and should be publicly available for a period of
time agreed during the scoping stage.
• If meetings are held for public comment, smaller,
focused meetings maybe preferable to ensure
adequate time for comment, rather than larger
meetings where few people have the opportunity to
speak.
• There is a variety of ways to gather opinion from the
more vulnerable groups and ensure that they can
meaningfully participate, e .g . surveys, interviews and
meetings.
  Prepare final SEA report
Typically this would include sections/chapters on:
• The key impacts for each alternative.
• Stakeholder concerns including areas of agreement and
disagreement, and recommendations for keeping
stakeholders informed about implementation of
recommendations.
• The enhancement and mitigation measures proposed.
• The rationale for suggesting any preferred option and
accepting any significant trade-offs.
• The proposed plan for implementation (including
monitoring).
• The benefits that are anticipated and any outstanding issues
that need to be resolved.
• Guidance to focus and streamline any required subsequent
SEA or EIA process for subsidiary more specific undertakings
such as local plans, more specific programs and particular
projects.
Stage 3; Informing and influencing decision making
 Making recommendations to decision makers

• Presentation of the draft and final reports are important

to influence key decisions.
• A clear, understandable and concise Briefing Note or
Issues Paper can help to ensure that decision makers are
fully aware of key environmental issues linked to the PPP.
• It is often a learning process for authorities and civil
society to work together on a PPP.
• Decision makers need to know the options open to
them, what the likely effects of choices are, and what
the consequences would be if they failed to reach a
decision.
 Stage 4: Monitoring and evaluation
 Monitoring decisions taken on the PPP and the results
of their implementation
• It is important to monitor the extent to which environmental
objectives or recommendations made in the SEA report or
the PPP are being met.
• Information tracking systems can be used to monitor and
check progress of the PPP.
• Monitoring of cumulative effects may be appropriate for
initiatives that will initiate regional-scale change in critical
natural assets. Methods and indicators for this purpose
need to be developed on a case-by case basis.

 Evaluation of monitoring results and feedback in

PPP renewal
• At some point a formal evaluation of the monitoring results
should take place as part of the revision or renewal of the PPP.
 SEA and developing countries
• Developing countries have limited SEA experience to
date, particularly outside the context of programs
and plans financed by international aid.
• However, there are clear signs that SEA is being
studied with growing interest in many countries and
some, such as South Africa, Indonesia, Chile,
Colombia, and Brazil, are already developing policies
or guidelines on SEA.
• Indeed, some of the most interesting applications of
SEA have been undertaken in developing countries.
• Some of these experiences may illustrate the claim
that has been made that SEA may carry larger
benefits in developing than in industrial countries by
helping to clarify the costs and benefits of strategic
development alternatives and the tradeoffs among
economic, social, and environmental objectives.
• On the other hand, some of the poorest countries
may still see SEA as yet another potentially
constraining and resource-demanding burden on
their economic growth and on industrialization.
 Sub-Saharan Africa

• The World Bank has supported SEA of a national roads

program in Ethiopia.
• Other donors, such as the Netherlands, have been
involved in a number of SEA or SEA-like processes.
• In Tanzania, strategic assessments are part of the
planning process for national parks.
• South Africa has recently developed SEA guidelines