1. Module 2: National IEA process design and organization

2. Module 2 at a Glance Session 1: Introduction Session 2: Key Features
Session 3: Stages of the IEA Process

3. Purpose of Module 2 understand the design and organization of
For a successful integrated environmental assessment at the national level, it is important to:
understand the design and organization of
the whole process;
identify the main stages and activities.
This module orientates how the other modules fit into the integrated environmental assessment process.

4. Objectives Of Module 2 To understand the main stages of the IEA
process.
To understand the institutional arrangements to be developed for the IEA process.
Learn to lead an IEA process in an interactive and participatory way.
To identify the main activities and procedures for preparing IEA reports and promoting their findings.
To be aware of and able to manage the challenges of running the process while involving the public.

5. Structure Of Module 2 Introduction and objectives IEA process features
The GEO Approach for a National IEA
3.1 Objectives and importance
3.2 Basic conditions for initiating an IEA process
3.3 General structure of the IEA process
3.4 The role of participation in the IEA process
3.5 Stages of the IEA process
Start-up
Institutional set-up
Scoping and design
Planning
Implementation
3.5.6 Product communication and outreach
3.5.7 Monitoring, Evaluation and Learning

6. Module 2 Sessions at a Glance
Session 1: Overview
Session 2: Key Features
Session 3: Stages of the IEA Process

7. Key Features of the IEA Process
Participatory
Multi-disciplinary &
Multi-sectorial
Integrated
Multi-product
Institutionalized

8. Integrated, in the context of GEO includes:
Linking environmental quality with policy
Incorporating global and sub-global perspectives
Incorporating historical and future perspectives
Covering a broad spectrum of issues and policies
Looking at dynamic and complex interactions between the environment and human well-being in place-based contexts

9. GEO represents the unique combination of:
A wide range of relevant interests;
Acquainting a wide audience with policies, data, resources and problems;
Facilitating policy analysis and a search for solutions to disjuncts between policy and management.

10. IEA Process Objectives
The IEA process promotes an organized participatory integrated environmental assessment.
Its objectives are:
1. To bring together organizations and people with an interest in IEA that may not have a history of collaboration.
2. To involve the policy-makers in order to secure their support for the process and its key findings.
3. To facilitate the process of interaction based on a
common methodology, fostering the dialogue
between science and policy.

11. Basic Conditions For IEA Process
Political Will and a Legal Mandate
Management and technical / scientific capacity to conduct the process, requiring lead institutions that can mobilize stakeholders through the process.
Professionals on environmental issues to lead and enhance the analysis.

12. Basic Conditions For IEA Process
Political Will and a Legal Mandate
legislation may call for collaboration among government agencies that contribute to the report;
a common methodology for data collection may be identified among the national authority, private and public organizations and the technical team for data collection;
the legislation may refer to environmental reports to be produced by a range of public and private organizations;
legislation may promote exchange of data and harmonization of report initiatives;
the lead agency’s role in preparing the way for consultations and external participation .

13. Basic Conditions for IEA Process
Examples of Legal Mandate
Peru: yearly SOE report required of the National Environment Council; regional and local reports are also required.
Uganda: SOE report every 2 years; required of the National Environment Management Authority (NEMA)
North Korea: SOE every 5 years as per the National Framework of Environmental Database Management for Environment Assessment and Reporting

14. Group Discussion: IEA in Your Country
1. Identify the main organizations that use an integrated approach to lead participatory processes focused on environment-development interactions in your country. Explain briefly the main activities that were/are involved.
2. Do you see initiatives in your country that could be strengthened by an IEA process? If so, what are the opportunities for beginning that process?

15. Module 2 at a Glance Session 1: Overview Session 2: Key Features
Session 3: Stages of the IEA Process
Overview of questions addressed in the GEO approach to IEA
Introduction to the 7 typical stages of the IEA process
Role of participation
Benefits of the IEA Process
The 7 stages in more detail

16. The GEO Approach to IEA addresses 5 Questions:

17. Stages of the GEO-based IEA Process

18. Stages of the GEO-based IEA Process

19. Role of Participation
An IEA requires blending knowledge and perspectives from many different points of view.
It aims to influence audiences with different interests and information needs.
It is essential to have the participation of a wide range of actors, either as contributors to the assessment, or as audiences.
Open and transparent participation is more likely to recognize interests of poor, vulnerable groups and women in formulation of policy responses.

20. Basic Definition of a Stakeholder
Whose interests are affected by environmental problems or whose decisions have environmental effects;
Who have information, resources or expertise required for policy formulation and strategy implementation; and/or
Who control key mechanisms for policy and strategy formulation and implementation.

21. Increase effectiveness of participation by…
Building participation into all relevant stages;
Ensuring open communication among technical experts to clarify uncertainties and verify assumptions;
Increasing ownership by involving stakeholders from the beginning in aspects of the process;
Recognizing participant contributions in outputs;
Ensuring stakeholder inputs are properly and accurately recorded in meeting minutes.

22. A GEO-based IEA provides benefits including:
an opportunity to contribute to, and have access to the assessment database;
development of analytic skills and capacities, using an integrated approach to environment and development problems; and
opportunity to contribute to addressing major environment and development issues at the policy level.

23. Group Discussion: Benefits of a National-Level IEA
Individually, list the benefits you hope to get from, and the contributions you feel you could make to your national level IEA.
Form two groups, representing public and private perspectives.
Discuss the benefits and contributions identified in the first step.

24. Stage 1: Start-up

25. STAGE 1: Start-Up
Select the national authority that will lead the process:
May be initiated by a country request for an IEA process or through GEO or through GEO-related institutional networking.
UNEP-DEWA responds to the interest of the national environmental authority to begin the IEA process.
An important stage for identifying political will, responsibility, expected outputs, and the best means for IEA to be an effective policy tool
Also, identify what institutions need to be involved in the process and who will manage the process

26. STAGE 1: Start-Up
Strategically plan for results that are useful to your audiences and identify who your audiences will be
Potential uses of results include:
reliable information for policy making and environmental management;
materials for educational and research activities;
identification of new research priorities,
development of joint projects.

27. Key Outputs from Start-Up
Conceptual framework
Prepared by the national environmental authority and the core team
Includes:
general organization
methodology
the IEA process
guidance for implementation
an assessment of resources required
further fund-raising or identification of in-kind contributions
2. Memorandum of Understanding

28. Stage 2: Institutional Set-Up and Identification of Stakeholders

29. STAGE 2: Institutional Set-Up(s)
Typical institutional framework, Latin America and Caribbean

30. Institutional Arrangements
National government institutions responsible for the environment sector or environmental reporting
Collaborating Centres (CC) of UNEP-DEWA regional offices provide technical assistance on methodology and management
This institutional framework enables spread of methodology regionally and incorporation of improvements through iterative revisions.

31. Lead Institution Lead institution manages and coordinates the process
That institution must have a legal mandate to prepare an integrated environmental assessment
The institution may be a:
National agency such as Ministry of Environment or Environment National Council
Private institution (e.g., NGO, university) with support from government

32. Selecting the Lead Institution
Criteria:
Capacity to engage key stakeholders
Sufficient capacity to manage the process (i.e., no need to depend on consultants)
Acceptable to a wide range of stakeholders
Recognized ability to carry out high quality assessment and reporting on time and on budget

33. Local Technical Team Criteria for selection:
Experience in environmental assessment
High public profile and recognized leadership capacity
Good relationship with the national environmental authority
Capacity to dialogue with different stakeholders
Experience in organizing and facilitating workshops
Sufficient human resources to dedicate time to a demanding assessment

34. Types of Technical Teams
Small technical team (3–5 people)
One researcher responsible for whole report
Team of researchers in charge of many aspects of the report, from data collection, to analysis, writing and organizing consultations
Extended technical team
Small technical team can add experts that have access to data and information in specific areas

35. Collaborating Institutions and Other Stakeholders
Collaborating institutions, also known as primary stakeholders. Their commitments defined at the beginning of the process.
Secondary stakeholders may include:
social and business leaders
political party representatives
scientific community
representatives of private sector and business associations
professional schools, associations and academia
NGOs
media
women’s and youth groups
indigenous communities
civil society
religious groups
… many others

36. Collaborating Institutions and other Stakeholders
A successful IEA requires an active relationship with the collaborating institutions. It is important to:
Identify a contact person for the duration of the process
Establish a clear definition of their role and responsibilities
Keep the contact person regularly informed about the IEA progress

37. Collaborating Centres
Set up by UNEP-DEWA regional offices. Centres help with the IEA process and provide technical assistance on methodology and management
Collaborating centres can:
clarify methodological issues in the process
Provide technical support to the local team for preparing workshops
Help facilitate capacity building and other workshops
Review drafts of products or workplans

38. Other Example Institutional Frameworks
Typical institutional framework from the Africa region

39. IEA institutional framework in the case of Panama
Other Example Institutional Frameworks
IEA institutional framework in the case of Panama

40. Developing an Impact Strategy
Why an Impact Strategy?
Increase impact a national IEA process has on policies
Key Steps:
Anchor the assessment with a change statement
Relationship management
Knowledge management
Opportunity management
Monitor, evaluation and improvement

41. Steps for Developing an Impact Strategy

42. Who are the Stakeholders?
Their interests are affected by environmental problems or their decisions have environmental effects
They have information, resources or expertise required for policy formulation and strategy implementation
They control key mechanisms (e.g., funding) for policy formulation and strategies for implementation.

43. Principles for Engaging Stakeholders
Inclusivity
Include a full range of stakeholders representing different interests, including marginal and vulnerable groups
Pertinence
Include stakeholders with significant interest in the process
Gender perspective
Both women and men must have equal access to all stages of the participatory process, the IEA team must respond to the demands from women and men. This allows formulating and implementing better integrated policies and strategies.

44. Identifying Stakeholders, their Roles and Interests

45. Keeping Stakeholders Engaged in the Process
Listen and take into account their points of view
Keep them informed of the activities and results of the process
State clear rules for participation and define expectations
Incorporate key stakeholders in the monitoring process
Develop a range of activities to keep close relationships with the stakeholders

46. Exercise: Identifying Stakeholders
As individuals, identify the main stakeholders in your country that should be included in an integrated environmental assessment process.
a. _____________
b. _____________
c. _____________
For each stakeholder, list the main organizations or people that should be included.

47. Exercise: Constructing a Stakeholder Map
Objective: To have a shared vision of the stakeholders, their relationship with key environmental issues and their relative importance.
Materials:
White cards (three times the number of participants)
Cards of different colours.
Procedure:
Write the name of each important stakeholder on a white card. Stick them on a blackboard.
Identify the main interest of the suggested stakeholders related to the key issues of the IEA process.

48. Exercise: Constructing a Stakeholder Map
Group the cards according to the common interests among stakeholders.
Each group of interest is replaced by a coloured card.
Each stakeholder name is transferred to the coloured card along with that person’s main interests.

49. Exercise: Constructing a Stakeholder Map
The coloured cards are arranged in a star-shaped pattern, with each coloured card forming one ray of the star.
The stakeholders are arranged according to its importance to the key environmental issue that is the centre of the star.
The most important stakeholders are close to the centre.

50. Stage 3: Scoping and Design

51. Stage 3: Scope and Design
Main objectives:
Define geographic boundaries of the report
Agree on methodology for the assessment, and clarify any methodological issues
Establish the structure of the main IEA report, considering the priority environmental issues
Determine target audiences
Define an impact strategy
Determine the main elements of a communications and outreach strategy

52. Designing the IEA Process
An interactive and flexible process enables learning by doing
Past national IEA reports are useful resources
Preparatory and on-going meetings of the technical team help with planning and keep momentum going

53. Report Structure

54. Exercise: Identify Challenges and Strategies for a National IEA
Individually, consider:
Why you think it is important for your country to be involved in a national level IEA?
What you would hope to see as a result of that involvement?
What constraints you might face?

55. Exercise: Identify Challenges and Strategies for a National IEA
In groups of 3, identify 3 strategies you might pursue to overcome those constraints.

56. Stage 4: Planning

57. STAGE 4: Planning Several outcomes to be achieved from planning:
To share and make sure participants of the process understand the IEA methodology
To have a timetable and well- defined results at each stage;
To identify the requirements of human, financial and infrastructure resources and how to overcome any shortfalls in these;
To have adequate coordination mechanisms with the process stakeholders;
To establish adequate mechanisms of coordination with the UNEP-DEWA team and collaborating centres, if available;
To review and adjust the impact strategy and define measures of impact;
To develop a communication and outreach strategy; and
To establish a monitoring and evaluation system.

58. Example: Process Timetable

59. Example: Budget Structure

60. Exercise: Applying the Scoping Steps
In groups of 3,
1. Summarize the characteristics of the planning process for integrated environmental assessment in your countries.
2. Draw a flow chart that expresses the items in common among your countries.
Share results in plenary.

61. Stage 5: Implementation

62. STAGE 5: Implementation
There are three main components of the implementation stage:
1. identification of environmental problems, indicators and sources of data
2. data collection, analysis and writing
3. translation and publication
…we will elaborate on the first two stages.

63. 1. Identification of environmental problems, indicators and sources of data
Integrated analysis of environmental trends and policies
(see Module 5)
Indicators: number and type may vary
(see Module 4: Data and indicators)
Sources of data and information: relying on secondary sources
First workshop:
1 or 2 days
Technical team
should work these
topics in advance

64. 2. Data collection, analysis and writing
Collecting information
(see Module 4: Data and indicators)
Processing, analysis (Module 5) and writing (Module 7)
Explaining the economic, social, political and institutional context
Defining economic, social and institutional pressures
Assessing state and trends of the national environment (SoE)
Analyzing the impact of the SoE
Assessing the responses of government and society
Identifying emerging issues and scenarios
Producing conclusions and recommendations
(chapters of the National IEA Report)
Ad hoc meetings
Validation
(2nd workshop)

65. Group Exercise: Strategies for Data Collection
As individuals, summarize the data collection strategy you would use in your country, and tabulate any problems you think you might encounter.
In groups of three, discuss common problems and suggest tentative solutions.
In plenary, discuss ways the IEA focus on data could improve data collection processes.

66. Stage 6: Communication & Outreach

67. STAGE 6: Product Communication and Outreach
Make your messages understandable to your audiences
…avoid jargon and use graphics to illustrate
Make information relevant to your audiences
…seek first to understand audience perspectives
Shape the delivery system for the audience
…tailor length of report according to audience
For more details, see Module 7.

68. Communication Options
Classic methods, largely oriented to print
reports, synopsis report, bulletins, articles, newsletters
Radio and TV
interviews, pre-recorded messages
Internet-based reporting
put report on line in various formats, interactive reports, active systems based on electronic bulletins by

69. Stage 7: Monitoring, Evaluation and Learning

70. STAGE 7: Monitoring, Evaluation and Learning
Evaluation of Process
were expected results accomplished in each stage?
Evaluation of Impact
was the analysis relevant, legitimate and credible?
what were the impacts of IEA outputs on policy-makers, policy and environmental trends?
Recommend and make improvements for the next IEA process.
For more details, see Module 8.

71. Discussion: Evaluation and Learning
In groups of 5–7, discuss the following questions:
Why is it important to evaluate National IEA processes?
Which measures will be good to keep track of the process?
Which mechanisms could be implemented to promote continuity and continuous improvement of the IEA reporting processes?
Report group discussion results in plenary.