1. IAIA Conference on international experience & perspectives in SEA, Prague, 26-30 September 2005 IAIA Conference on international experience & perspectives in SEA Prague, 26-30 September 2005 Session E7 Nick Bonvoisin UNECE Secretariat Espoo Convention on EIA in a Transboundary Context www.unece.org/env/eia

2. IAIA Conference on international experience & perspectives in SEA, Prague, 26-30 September 2005 Modules 3A/B (2-3!) Application Modules (E7.2) Session E7 Capacity Development Manual for the implementation of the UNECE Protocol on SEA

3. IAIA Conference on international experience & perspectives in SEA, Prague, 26-30 September 2005 Key issues in the application of the Protocol on SEA Part 1:Introduction Part 2: Plans and programmes Part 3: Policies and legislation

4. IAIA Conference on international experience & perspectives in SEA, Prague, 26-30 September 2005 Plans and Programmes Introduction to the stages of the SEA Determining whether P/P is subject to SEA under the Protocol ‘Cross-cutting’ issues Examination of the stages P/P – plan or programme

5. IAIA Conference on international experience & perspectives in SEA, Prague, 26-30 September 2005 Stages of the SEA for plans & programmes 1.Scoping to determine content of environmental report (art. 6) 2.Preparation of environmental report (art. 7) 3.Decision on adoption of P/P (art. 11) 4.Monitoring of effects (art. 12)

6. IAIA Conference on international experience & perspectives in SEA, Prague, 26-30 September 2005 Lists of types of P/Ps Determining whether SEA is required under Protocol Preparation of draft P/P Draft P/P Scoping Environmental report Monitoring Decision-making Adopted P/P Public Author- ities

7. IAIA Conference on international experience & perspectives in SEA, Prague, 26-30 September 2005 Determining whether SEA required under Protocol – Key issues Term ‘plan or programme’ is not sufficient qualification Not all ‘plans and programmes’ will require SEA Some so-called policies, strategies, concepts (& even laws or regulations) that have the features of P/Ps defined by the Protocol will require SEA Detailed tests may be needed to define what is P/P that requires SEA

8. IAIA Conference on international experience & perspectives in SEA, Prague, 26-30 September 2005 Determining whether SEA required under Protocol – Key provisions Key tasks: Determine whether within field of application of Protocol (art. 4) Determine likely significant effects of P/P, as necessary (art. 5) Equivalent to Article 3 of the SEA Directive

9. IAIA Conference on international experience & perspectives in SEA, Prague, 26-30 September 2005 Determining whether SEA required under Protocol – 10 tests 1.Is P/P (or modification to it) required by legislative, regulatory or administrative provisions? 2.Is P/P subject to preparation and/or adoption by authority or prepared by authority for adoption, through formal procedure by parliament/government? 3.Is sole purpose of P/P to serve national defence or civil emergencies, or is it financial or budget P/P? 4.Is P/P being prepared for agriculture, forestry, …? 5.Does P/P set framework for future development consent for projects in annex I? 6.… or for other project in annex II? 7.Does relevant project require EIA under national legislation? 8.Does P/P set framework for future development consent of projects? 9.Does P/P determine use of small area at local level or is it minor modification to P/P? 10.Is P/P likely to have significant environmental effects (taking into account criteria in annex III)?

10. IAIA Conference on international experience & perspectives in SEA, Prague, 26-30 September 2005 Determining whether SEA required under Protocol – Lists Preparation of lists of types of P/Ps subject to SEA Lists might be included in regulations or in national guidelines If P/P is clearly identified on positive (or other) list of types of P/P, there may be no need to continue with this determination May speed-up application of Protocol

11. IAIA Conference on international experience & perspectives in SEA, Prague, 26-30 September 2005

12. Lists of types of P/Ps Determining whether SEA is required under Protocol Preparation of draft P/P Draft P/P Scoping Environmental report Monitoring Decision-making Adopted P/P Public Author- ities

13. IAIA Conference on international experience & perspectives in SEA, Prague, 26-30 September 2005 Cross-cutting issues Environmental, including health, effects Public participation Consultation of environment & health authorities Transboundary consultation

14. IAIA Conference on international experience & perspectives in SEA, Prague, 26-30 September 2005 Environmental, including health, effects Environmental, including health, effect, means any effect on the environment, including human health, flora, fauna, biodiversity, soil, climate, air, water, landscape, natural sites, material assets, cultural heritage and the interaction among these factors (art. 2.7) Biodiversity Convention on Biological Diversity UK Guidance Health

15. IAIA Conference on international experience & perspectives in SEA, Prague, 26-30 September 2005 Health – provisions Health is recurrent theme throughout Protocol – no specific provision Consider health effects in significance determination, scoping & reporting Consult health authorities when consulting environmental authorities both domestically & in affected Parties Take health effects & concerns into account in decision-making Deal with health effects in monitoring Appropriate recognition of & support to health NGOs

16. IAIA Conference on international experience & perspectives in SEA, Prague, 26-30 September 2005 Health – introduction Special emphasis on health to redress past imbalance Various determinants of health – environmental & socio-economic – but focus on exposure to pollutants, etc. Consider negative impacts but also possibilities for promoting health benefits Might also consider vulnerable groups

17. IAIA Conference on international experience & perspectives in SEA, Prague, 26-30 September 2005 Public participation Protocol requires that public be able to participate in SEA, particularly through examination of environmental report & draft P/P Optional public participation in determination of significance & in scoping

18. IAIA Conference on international experience & perspectives in SEA, Prague, 26-30 September 2005 The public Who are they? What are their rights under the Protocol? How can they participate?

19. IAIA Conference on international experience & perspectives in SEA, Prague, 26-30 September 2005 The public – who are they? ‘The public concerned’, including relevant NGOs, has to be identified (not selected) But ‘the public concerned’ is not defined ‘The public concerned’ – perhaps those ‘affected or likely to be affected by, or having an interest in, the decision- making’? (as in Aarhus Convention) It is a subset of ‘the public’, which includes natural/legal persons, & may refer to associations, organizations or groups without legal personality (see EC Guide for SEA Directive) May differ from one P/P to another

20. IAIA Conference on international experience & perspectives in SEA, Prague, 26-30 September 2005 The public – what are their rights? a)General rights b)Right to information c)Right to participate

21. IAIA Conference on international experience & perspectives in SEA, Prague, 26-30 September 2005 The public – (a) their general rights The public should be free to participate without discrimination as to citizenship, nationality or domicile (important for possible informal transboundary commenting by “public concerned” in other countries) People should not be penalized for involvement (or participation) in SEA Officials & authorities should help the public to participate Parties should recognize & support NGOs, etc. Detailed arrangements for informing the public & consulting the public concerned need to be determined & made publicly available

22. IAIA Conference on international experience & perspectives in SEA, Prague, 26-30 September 2005 The public – (b) their rights to information Conclusions of determination of significance (art. 5.4) Draft P/P & environmental report (timely availability) Detailed arrangements for informing the public & consulting the public concerned Adoption of plan or programme, etc. Monitoring results

23. IAIA Conference on international experience & perspectives in SEA, Prague, 26-30 September 2005 The public – (c) their rights to participate Early, timely & effective opportunities for public participation, when all options are open Possibly in significance determination & in scoping Can express its opinion on the draft P/P & environmental report within reasonable time frame Opinions of the concerned public need to taken into account in decision-making

24. IAIA Conference on international experience & perspectives in SEA, Prague, 26-30 September 2005 The authorities – who are they Environmental & health authorities have early, timely & effective opportunity to express opinion on draft P/P & environmental report Parties determine detailed arrangements for informing & consulting – legislation to provide framework ‘Authorities’ covers formal governmental/public authorities, defined by administrative/legal requirements Designation by including them in legislation or designated case by case Most appropriate form of consultation needs to be selected for each P/P

25. IAIA Conference on international experience & perspectives in SEA, Prague, 26-30 September 2005 Authorities – when & how can they be consulted Consultation at following stages: Significance determination, when determining whether SEA required Scoping Report preparation Many methods and techniques for consultation, e.g. Seeking written commentsSteering groups Focus groupsAdvisory committees InterviewsInternet-based discussions

26. IAIA Conference on international experience & perspectives in SEA, Prague, 26-30 September 2005 Transboundary consultations (1/2) Determine whether P/P likely to have significant transboundary effects If so, or if affected Party requests, notify affected Party as early as possible Notification includes Draft P/P Environmental report, including possible transboundary effects Information on decision-making procedure Affected Party has to indicate whether wishes to enter into consultations

27. IAIA Conference on international experience & perspectives in SEA, Prague, 26-30 September 2005 Transboundary consultations (2/2) Parties concerned enter into consultations about Likely transboundary effects Measures envisaged to prevent, reduce or mitigate adverse effects Parties concerned agree on detailed arrangements to ensure the public concerned & authorities in affected Party are informed & given opportunity to comment

28. IAIA Conference on international experience & perspectives in SEA, Prague, 26-30 September 2005 SEA of Plans & Programmes Scoping Report preparation Decision-making Monitoring

29. IAIA Conference on international experience & perspectives in SEA, Prague, 26-30 September 2005 Scoping – Key requirements (art. 6) Identify relevant issues (‘scope’) for inclusion in environmental report & level of detail for each Consult authorities Optional public participation

30. IAIA Conference on international experience & perspectives in SEA, Prague, 26-30 September 2005 Scoping criteria Basic information content listed in annex IV Identify relevant topics & level of detail for each topic Criteria for determining ‘relevance’: Nature of the P/P (contents & level of detail of P/P, & its stage in decision-making process) Interests of the public Information needs of decision-making body Current knowledge & methods of assessment

31. IAIA Conference on international experience & perspectives in SEA, Prague, 26-30 September 2005 Scoping – Possible practical arrangements No requirement to prepare a ‘scoping report’ under the Protocol Scoping does not require an administrative decision May be integrated into report preparation Scoping may be contracted out

32. IAIA Conference on international experience & perspectives in SEA, Prague, 26-30 September 2005 Report preparation – Key requirements Report preparation according to scope determined Should be iterative process linked to P/P elaboration Requires public availability of environmental report Requires consultation of authorities Requires public participation Requires transboundary notification & consultation, as appropriate

33. IAIA Conference on international experience & perspectives in SEA, Prague, 26-30 September 2005 Alternatives in the Protocol Protocol treats draft P/P & alternatives the same – report has to cover reasonable alternatives in full Reasonable alternatives – defined by geographical or financial constraints or by development objectives & competencies of the authority Alternatives may have form of full alternatives (e.g. totally different development scenarios) or alternative elements within P/P Practical constraints: finances, time & resources (e.g. availability of previous feasibility studies) for development of realistic alternatives

34. IAIA Conference on international experience & perspectives in SEA, Prague, 26-30 September 2005 Tiered decision-making & treatment of alternatives Development of alternatives should respect position of P/P in tiered decision-making Some P/Ps may include all elements of strategic planning, other P/P may be more limited by related P/Ps Possible alternative elements within P/P: Alternative development objectives Alternative options for meeting preferred development objectives Alternative solutions – locations, technologies, timing/sequencing or development paths Alternative measures to prevent, mitigate or offset negative effects

35. IAIA Conference on international experience & perspectives in SEA, Prague, 26-30 September 2005 Report preparation Iterative process – between & within steps 1.Determine context, objectives & baseline 2.Contribute to development & comparison of alternatives 3.Compile draft & final reports

36. IAIA Conference on international experience & perspectives in SEA, Prague, 26-30 September 2005 Report contents Report contents defined in annex IV Report to be distinguishable from P/P Protocol refers to (Directive does not): Interests of the public, and Information needs of the decision-making body

37. IAIA Conference on international experience & perspectives in SEA, Prague, 26-30 September 2005 Report quality Complete and reliable information adequate for implementation of the Protocol – proper application of provisions, in content and procedure Individual authority has to decide whether report of sufficient quality – particularly against article 7 & annex IV, & against results of consultation and public participation If not sufficient, might amend/augment report or repeat part of SEA If not, may call into question validity of decisions taken as result of SEA Protocol provides a ‘minimum standard’ Many options for going further, e.g. independent assessments, guidelines on procedural or substantive requirements, independent institution, reliance on complaints or legal appeal Other methods to maintain quality, e.g. checklists of steps in the process

38. IAIA Conference on international experience & perspectives in SEA, Prague, 26-30 September 2005 Decision-making – key requirements Decision-makers decide which, if any, of alternative P/Ps, or alternative elements within P/P, to adopt Must take due account of Conclusions of report, including measures to prevent, reduce or mitigate adverse effects Opinions expressed by relevant authorities, concerned public & any affected Parties Must make publicly available Adopted plan or programme Decision and why it was taken

39. IAIA Conference on international experience & perspectives in SEA, Prague, 26-30 September 2005 Decision-making – procedural requirements Must inform: Relevant authorities The public (not just the concerned public) Any affected Parties Inform of decision and make available adopted P/P Make available a statement: Describing how environmental considerations integrated into P/P Describing how their opinions taken into account Presenting reasons why P/P adopted from the alternatives Under SEA Directive, providing details of planned monitoring

40. IAIA Conference on international experience & perspectives in SEA, Prague, 26-30 September 2005 Decision-making – possible practical arrangements Ideally decision-making on basis of SEA should occur within the entire planning process – various analyses performed within SEA should inform planning process Formal decision that concludes planning process should explain how SEA was used & should inform relevant actors in the SEA

41. IAIA Conference on international experience & perspectives in SEA, Prague, 26-30 September 2005 Monitoring provisions Monitoring required of significant environmental, including health, effects Monitoring to identify unforeseen effects and to enable remedial action Results of monitoring made available to relevant authorities and the public

42. IAIA Conference on international experience & perspectives in SEA, Prague, 26-30 September 2005 Purpose of monitoring in SEA Identify unforeseen effects Enable remedial action But has other benefits Compare predicted & actual effects, as a quality control tool Check environmental conditions being complied with Check P/P implemented as described, including measures to prevent, reduce or mitigate adverse effects

43. IAIA Conference on international experience & perspectives in SEA, Prague, 26-30 September 2005 Practical monitoring arrangements The who, what, where, when and how of monitoring Nature of monitoring will vary greatly between P/Ps Monitor unforeseen effects – either unforeseen effect types or effects with unforeseen magnitudes Monitor projects and other activities undertaken to implement P/P Protocol does not discuss remedial action

44. IAIA Conference on international experience & perspectives in SEA, Prague, 26-30 September 2005

45. Policies and Legislation What are policies & legislation under Protocol? Guidance An opportunity Possible approach

46. IAIA Conference on international experience & perspectives in SEA, Prague, 26-30 September 2005 Policies & legislation – what are they under the Protocol? Policies & legislation not defined Interpretation no. 1 More strategic decisions than P/Ps Interpretation no. 2 Policies – some plans, programmes, strategies, concepts not qualifying as P/Ps * Legislation – some legislative & regulatory proposals not qualifying as P/Ps * *See section on ‘Determining whether SEA is required under the Protocol’

47. IAIA Conference on international experience & perspectives in SEA, Prague, 26-30 September 2005 Policies & legislation – guidance Guidance/‘soft law’ (‘endeavour’, ‘to the extent appropriate’) Consider & integrate environment into preparation of policies & legislation likely to have significant environment, including health, effects When doing so, consider appropriate principles & elements of Protocol Practical arrangements should take into account need for transparency in decision-making

48. IAIA Conference on international experience & perspectives in SEA, Prague, 26-30 September 2005 Policies & legislation – an opportunity ‘SEA’ at this more strategic level has substantial potential impact Innovative & imaginative approaches possible Need to be flexible

49. IAIA Conference on international experience & perspectives in SEA, Prague, 26-30 September 2005 Policies & legislation – possible approach Experiment … pilot studies Key features: Integration Transparency Other elements from the process for P/Ps Also relevant provisions in Aarhus Convention, if appropriate

50. IAIA Conference on international experience & perspectives in SEA, Prague, 26-30 September 2005 Contacts For more about the UNECE Protocol on SEA, visit us at www.unece.org/env/eia or www.unece.org/env/sea or email eia.conv@unece.org Nick Bonvoisin Espoo Convention Secretariat UNECE