Strategic Environmental Assessment in Policy and Sector Reform

240 Pages·2010·1.79 MB·English

by  The World Bank

Strategic Environmental
Assessment Policy
in and
Sector Reform

Conceptual Model
and Operational Guidance
E N V I R O N M E N T A N D D E V E L O P M E N T

Strategic Environmental Assessment
in Policy and Sector Reform
E N V I R O N M E N T
A N D
D E V E L O P M E N T
A fundamental element of sustainable development is environmental sustain-
ability. Hence, this series was created in 2007 to cover current and emerging issues
in order to promote debate and broaden the understanding of environmental
challenges as integral to achieving equitable and sustained economic growth. The
series will draw on analysis and practical experience from across the World Bank
and from client countries. The manuscripts chosen for publication will be central
to the implementation of the World Bank’s Environment Strategy, and relevant
to the development community, policy makers, and academia. Topics addressed
in this series will include environmental health, natural resources management,
strategic environmental assessment, policy instruments, and environmental
institutions, among others.
Titles in this series:
The Changing Wealth of Nations: Measuring Sustainable Development in the New
Millennium
Convenient Solutions to an Inconvenient Truth: Ecosystem-Based Approaches to
Climate Change
Environmental Flows in Water Resources Policies, Plans, and Projects: Findings and
Recommendations
Environmental Health and Child Survival: Epidemiology, Economics, and
Experiences
International Trade and Climate Change: Economic, Legal, and Institutional
Perspectives
Poverty and the Environment: Understanding Linkages at the Household Level
Strategic Environmental Assessment for Policies: An Instrument for Good Governance
Strategic Environmental Assessment in Policy and Sector Reform: Conceptual Model
and Operational Guidance
Strategic
Environmental
Assessment in Policy
and Sector Reform
Conceptual Model and
Operational Guidance
World Bank
University of Gothenburg
Swedish University of Agricultural Sciences
Netherlands Commission for Environmental Assessment
© 2011 The International Bank for Reconstruction
and Development / The World Bank
1818 H Street NW
Washington DC 20433
Telephone: [phone]
Internet: www.worldbank.org
All rights reserved
1 2 3 4 13 12 11 10
This volume is a collaborative product of the staff of the International Bank for Reconstruction and
Development / The World Bank, the University of Gothenburg, the Swedish University of Agricultural Sciences,
and the Netherlands Commission for Environmental Assessment. The findings, interpretations, and conclusions
expressed in this volume do not necessarily reflect the views of the Executive Directors of The World Bank or the
governments they represent.
The World Bank does not guarantee the accuracy of the data included in this work. The boundaries, colors,
denominations, and other information shown on any map in this work do not imply any judgement on the
part of The World Bank concerning the legal status of any territory or the endorsement or acceptance of such
boundaries.
R I G H T S A N D P E R M I S S I O N S
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All other queries on rights and licenses, including subsidiary rights, should be addressed to the Office of
the Publisher, The World Bank, 1818 H Street NW, Washington, DC 20433, USA; fax: [phone]; e-mail:
[email protected].
ISBN: 978-0-8213-8559-3
eISBN: 978-0-8213-8560-9
DOI: 10.1596/978-0-8213-8559-3
Library of Congress Cataloging-in-Publication Data has been requested.
Cover photos: Fernando Loayza, World Bank
Cover map: World Bank (Map IBRD 38108, October 2010).
Cover design: Naylor Design
C O N T E N T S
ix Acknowledgments
xi Abbreviations
1 Overview
2 T he World Bank SEA Pilot Program
3 Main Findings
4 G uidance for Applying SEA in Sector Reform
6 Ways Forward
8 Notes
8 References
C H A P T E R 1
9 The World Bank’s Pilot Program on SEA
12 P iloting SEA in Policy and Sector Reform
13 O bjectives of the Evaluation
14 T he Evaluation Approach
18 Limitations of the Pilot Program and Evaluations
19 S tructure of the Report
19 N otes
20 R eferences
C H A P T E R 2
23 Influencing Sector Reform for Sustainability
24 T he Pilots and Policy SEA Outcomes
38 Enabling and Constraining Factors for Effectiveness of SEA in Policy and
Sector Reform
51 R efining the Conceptual Model of Policy SEA
53 C onclusion
54 N otes
54 R eferences
C H A P T E R 3
57 Guidance for Applying SEA in Development Policy and Sector
Reform
57 P reparatory Policy SEA Work
60 I mplementing SEA in Policy and Sector Reform
79 E nvironmental and Social Mainstreaming Beyond Policy SEA
83 C onclusion
v
vi CONTENTS
83 N otes
84 R eferences
C H A P T E R 4
85 Conclusions and Recommendations for Ways Forward
85 M ain Findings of the Evaluation
89 Promoting Policy SEA: A Phased Approach
92 Promoting Policy SEA: Issues to Consider in the Partner Country
Context
96 P romoting Policy SEA: Issues for Consideration by Development
Agencies
99 C onclusion
100 Notes
100 References
Appendixes
103 Appendix A: Summaries of the Policy SEA Pilots
127 Appendix B: Conceptual Analysis and Evaluation Framework for
Institution-Centered Strategic Environmental Assessment
199 Appendix C: Policy SEA Process Methods
205 Appendix D: Summary of International Workshop, “SEA for
Development Cooperation: Taking Stock and Looking Forward”
215 Index
Boxes
13 1.1 B rief Summary of the Policy SEA Pilots
17 1.2 S EA for Development Cooperation: Taking Stock and Looking
Forward
18 1.3 H ow Can One Generalize from Case Studies?
52 2.1 C ontextual Influencing Factors
58 3.1 Rapid Policy SEA
60 3.2 T he Need for Multisector Ownership of SEA When the Counterpart
Sector Agency Is Not Strong
64 3.3 A pproaches to Situation Assessment in the Sierra Leone SESA and
the WAMSSA
71 3.4 F raming the SEA Work in the Context of Forest Sector Reform
Priorities
72 3.5 T ransforming Relationships for Intercultural Dialogue and
Sustainable Development: Las Bambas Mining Project in Peru
74 3.6 Selection of Environmental and Social Priorities: Sierra Leone SESA
Ranking Methodology
76 3.7 I nstitutional and Capacity Assessment in the Sierra Leone Mining
Sector SESA
82 3.8 Kenya Forests Act SEA Policy Action Matrix
93 4.1 S caling Up and Threats to Established Authority: The Hubei
Transport Planning Pilot
CONTENTS vii
Figures
15 1.1 T he Policy SEA Pilot Program Evaluation Approach
16 1.2 I nitial Conceptual Model of Policy SEA: Process Steps, Process
Outcomes, and Objective
29 2.1 E xample of a Long-Term Constituency Proposal: The West Africa
Mineral Governance Program Implementation Framework
51 2.2 O utcomes and Influence of Policy SEA
53 2.3 R efined Conceptual Model of Policy SEA: Process Steps, Process
Outcomes, and Objective
62 3.1 P olicy SEA Process Steps
66 3.2 M apping of Key Stakeholders: Hubei Road Transport Planning
SEA Pilot
67 3.3 S takeholder Interest in and Influence over Decision Making:
WAMSSA Pilot
70 3.4 I nteraction with Stakeholders: WAMSSA
137 1 S chematic Representation of I-SEA in Policy Formation
140 2 C onceptual Model of I-SEA: Process Steps, Process Outcomes,
and Objective
160 3 I nstitutions as Formal and Informal Rules
161 4 L evels in Institutional Analysis
Tables
36 2.1 P olicy-Level SEA Outcomes (excluding social learning)
38 2.2 I nfluence of SEA Pilots on Policy Capacities, Policy Horizons, and
Decision Regimes
43 2.3 C ontextual Factors that Constrain or Enable Achievement of Policy
SEA Goals
79 3.1 S napshot from the Policy Action Matrix Produced in the Kenya
Forests Act Policy SEA
90 4.1 P hased Approach to Scaling Up of SEA in Policy and Sector Reform
(10 years)
172 1 T ypology of Problem Situations with Indicated Support Approach