Strategic framework for SEA

Transcription

1 Master in Urban Studies and Territorial Management Master in Environmental Engineering Strategic Environmental Assessment Strategic framework for SEA Prof. Doutora Maria do Rosário Partidário

2 SEA Definition (Partidário, 2012) I define SEA as a strategic framework instrument that helps to create a development context towards sustainability, by integrating environment and sustainability issues in decisionmaking, assessing strategic development options and issuing guidelines to assist implementation (Par%dário, 2012) (see under ' Other documents')

3 EIA and SEA rela%onship Source: CSIR, 1996, 2007 EIA DEVELOPMENT Social Economic Biophysical ENVIRONMENT SEA

4 Strategic-thinking model for SEA Maria Partidário has a vision over long-term objectives, keeps flexibility to work with complex systems (understanding systems, the links and lock-ins, and accepting uncertainty), adapts to changing contexts and circumstances (changing pathways as needed) and is strongly focused on what matters in a wider context (time, space and points of view). (Par%dário, 2012)

5 Strategic-thinking model for SEA Principles 1. Strategic actions are generated through decision cycles, strongly associated to policy formulation and are developed in the context of planning and programme development processes. 2. Strategy is characterized by a strong conscience of uncertainty and modifies its action as a function of emerging unexpected events in its pathway. 3. The complexity of both natural and social systems demand a whole-system perspective, recognizing that the behavior of a system can not be known just by knowing the elements of which the system is made.

6 Strategic-thinking model for SEA Propositions for good practice 1. SEA is a strategic facilitator of sustainability processes 2. SEA works primarily with conceptual processes (policy formation and formulation in planning) and not with results. 3. SEA applies to decisions of a strategic nature, and is used strategically in relation to decision-making.

7 SEA acts strategically by: Positioning flexibly in relation to the decision-making process, ensuring strong interaction and frequent iteration from earliest decision moments, and following decision cycles; Integrating relevant biophysical, social, institutional and economic issues, keeping a strategic focus in very few but critical themes; Assessing environmental and sustainability opportunities and risks of strategic options to help drive development into sustainability pathways; Ensuring active stakeholders engagement through dialogues and collaborative processes towards conflict reduction and win-win achievements. (Par%dário, 2012)

8 Strategic-thinking model for SEA - Is focused, not descriptive - Is structured around critical decision factors, which are integrated factors - Is a framework of key elements and activities Partidário, 2007, 2012 Guide for Better Practice SEA

9 Scope of application Policies, Plans and Programmes Plans and Programmes EU Directive EIA-based SEA Under EU Directive Without strategic nature Voluntarily With strategic nature Strategic approach to SEA

10 Role of SEA in decision-making One size fits all model Planning process SEA process Taylor-made model Planning process SEA framework of structural elements (Partidário, 2007)

11 Metaphor: Acunpuncture" Strategic-thinking model for SEA! Framework of key elements and activities Integrated and holistic factors" Critical decision factors - express critical uncertainties - integrated themes/issues that can determine the success of the strategy" Ensure strategic focus (3 < CDF < 7) Assessment factors can take a positive (opportunity) or negative (risk) direction

12 Source: Partidário, 2012

13 Strategic thinking model for SEA - the CDF methodological approach " Lets look at:" - three functions" - three components" - nine key structural elements" - three stage methodology and activities"

14 Strategic thinking model for SEA - the CDF methodological approach Three Functions - Integration " "(65%)" - Assessment "(25-30%)" - Validation " "(5-10%)"

15 Strategic-thinking Methodology for SEA 3 Key components Communication and Engagement - governance Process Technical studies

16 Strategic-based Methodology for SEA Partidário, 2012"

17 Object of assessment in SEA" The strategies for development, associated to a futures vision and long-term objectives, in particular public policies, sectorial and territorial planning, investment programmes e.g. strategy for multi-purpose water management, strategy to enhance renewable energy use

18 Driving forces drivers of change"

19 Environmental and sustainability factors (ESF)" Express the relevant environmental and sustainability scope (relates to priority problems and opportunities)" " "

20 Strategic Reference Framework (SRF)" " establishes an assessment referential based on relevant major environmental, sectoral and sustainable development policy objectives"

21 Critical Decision Factors " What matters

22 CDF an integrated concept SI CDF ESI SI strategic issues ESI environmental and sustainability issues SRF Strategic Reference Framework CDF Critical Decision Factors SRF 3< CDF < 7

23 Mapping Critical Decision Factors The Diamond Vision, goals, objec ves Key concerns (problems and poten als) Priori za on: success factors Cri cal decision factors

24 Select decision sensitive issues Critical Decision Factors " Critical Decision Factor Assessment criteria Assessment criteria Indicator Indicator Indicator Indicator Indicator

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26 " Governance framework" " Sharing of responsibilities in a strategic management process all organizations involved in implementation and their cross-related roles" "

27 Strategic options Optional pathways to achieve the strategic objectives Policies and principles Trends Strengths, Weaknesses Conflicts, Opportuni,es Future Visions Objec,ves Targets Scenarios Optional pathways

28 Key Principles IZCM SEA Methodology SRF Strategic priorities CFD! Ecological systems and coastal landscapes" Coastal resource and uses" Assessment criteria! Ecossystem approach" Safeguard and valuation of natural and cultural heritage and biodiversity" Economy of the sea" Integrated management of coastal and marine resources" Territorial and maritime connectivity" Local communities" Demonstration Programme) Assessment criteria Assessment of the ENGIZC risks and opportunities CFD Natural and technological risks" Management and governance" Environmental quality, health and safety" Vulnerability to climate change" Limits of acceptable change" Integrated policy for coastal zone planning and management" Interdisciplinary knowledge, monitoring and information management" Education, training and professional capacity-building" Adaptive management" ENGIZC Institutional cooperation and stakeholders engagement Naturalization Thematic Options Socio-ecological Systems Artificialization Figure 2. Strategic options for NSICZM Institutional options Fragmented competences Centralized competences Articulated competences Governance Options Strengthening the role of the State and of public policies Mainly private investment Public-private cooperation SEA of the National Strategy for Integrated Coastal Zone Management in Portugal, 2008 Journal of Coastal Research, ICS 2009 special issue (in press).

29 " Opportunities and Risks" " Assess conditions for development " Indicate the direction of a trend for a specific pathway. " "" Assess benefits to the natural, social and cultural values and what this means in relation to sustainable development processes" " - Risks + Are opportunities worth the risk? Not worth the effort Opportunities and risks Move carefully Top priority - Opportunities +

30 " " Follow-up" Along a timeline, with the strategy lifecycle" Strongly based on monitoring and evaluation" SEA cycle is short and frequent driven by the dynamics of the strategy"

31 Decision problem Object of assessment Problem framework Governance framework Strategic Reference framework Assessment framework - Critical decision factors, assessment criteria, indicators Stage 1 Stage 2 Context and strategic focus Pathways for sustainability and Guidelines Trend analysis Strategic options Assessment of opportunities and risks Guidelines Follow-up: monitoring, control, evaluation Continuous Stage Engagement, process links

32 Bulding blocks multiple itineraries How to start? decision problem object of assessment strategic objec ves and issues vision What do we need to know? How to follow-up? programme monitoring and evalua oninstruments How to deal with uncertainty? dialogues guidelines follow-up problem framework governance framework strategic reference framework ming process links How to communicate and engage? different types of stakeholders appropriate techniques stakeholders engagement What are the op ons? strategic pathways assessment of opportuni es and risks How to get focused? priority se ng CDF assessment framework What are major trends? in the web of inter-related natural and socio-ecological systems, social and economic issues and governance issues

33 Key features of the Strategic-thinking SEA approach! 1. Critical decision factors the framework for SEA 2. Strategic reference framework and Governance framework 3. Strategic issues and drivers of change 4. Strategic position in decision-windows, iterative fine-tuning 5. Communication strategy 6. Discuss and assess strategic options to select critical pathways for sustainability 7. Problem perception, dialogues, development of trust, knowledge-brokerage

34 SEA OF THE TEN YEAR NATIONAL INVESTMENT GRID PLAN of the two planning cycles, REN, SA Critical Decision Factors (CDF) " Fauna" Land-Use Planning" Energy" TYNIP SEA Options assessment Focusing TYNIP SEA 2012 Focusing 2019 Follow-up 2017 Options assessment 2022 Follow-up 34

35 Results: options assessment SEA OF THE TEN YEAR NATIONAL INVESTMENT GRID PLAN REN, SA 1st cycle ENV SOC ECON CDF Energy, Fauna, Spatial Planning In both cases a fiDh op%on was the preferred 2nd cycle 35

36 36 SEA OF THE TEN YEAR NATIONAL INVESTMENT GRID PLAN REN, SA Influence in decisionmaking Identify barriers to transmission lines network, enhance renewables Discuss strategic options Help design and choice of additional option that conciliates all CDF Lessons learned Development of trust is critical to the success of SEA Establishment of a platform for dialogue between proponents and stakeholders Enables more sustainable investment by the private sector Facilitates the planning processes and better sustainable and environmental outcomes

37 Extend the successful practice of SEA in Portugal to the European level WP1 Political and socio-political boundaries WP4- Strategic assessment and environmental validation of scenarios WP6 Assessment of social risks, social enhancement and strategies for social acceptance 37

38 Key questions for EIA and SEA" SEA = GOOD STRATEGY What are your objectives?" What are key drivers? " What are your strategic options?" What are key restrictions?" What are major interests?" What are the most important policies to be met?" EIA = GOOD DESIGN" What are the main characteristics of the projects?" Where is it located?" What are project alternatives?" What are its main physical, social, economic effects?" What are its major impacts?" What are the mitigation measures?"

39 We need to shift focus" From Effects of Action to Cause of Action Project s Impact culture " Effects (Impacts)-based" Focus on technical solutions" Attention to projects" Report-centred" " Strategic Thinking culture " Cause of action-based" Focus on strategic options, institutions and learning" Attention to policies" Decision-centred" "

40 The causes of action The effects of action Strategic-Based Effects-Based

41 What can Strategic-based SEA give us? 1. Discussion of options and selection of critical ways that improve sustainability;" 2. Governance, policy learning and trust - institutional collaboration, shared responsibility, priority-setting" 3. Dialogues - open and transparent stakeholder engagement and public consultation" 4. Identification of risks and opportunities;" 5. Guidelines for planning and implementation" 6. Monitoring and evaluation programme"