Strategic Environmental Assessment for Policies

Strategic Environmental Assessment for Policies

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Environmentally and socially sustainable policies are essential for good governance. Strategic Environmental Assessment (SEA) is the key tool for integrating environmental considerations into policies, programs and plans. This book focuses on SEA applied to policies. Through lessons learned from previous use of SEA on policies, it draws lessons on the strengths and weaknesses of current SEA methodology. It then goes on to analyze how policies are formulated and implemented and proposes a new conceptual framework for conducting SEA of policies thatpotentially could be more useful in influencing decision makers to integrate environmental sustainability considerations into policy formulation and implementation.

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Publié le 30 avril 2008
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EAN13 9780821367636
Langue English
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An Instrument for Good Governance
STRATEGIC ENVIRONMENTAL ASSESSMENT FOR POLICIES
“A great contribution to an exciting new field of SEA
application: policy design and implementation. This book
contains important lessons on how to improve the
effectiveness of SEA at the policy level. It builds bridges
between the worlds of impact assessment and political
decision making. Specifically, convincing arguments are
given to pay more attention to institutional and
governance dimensions in policy SEA. The book shows
ways forward in applying SEA as a continuous process
rather than as a discrete intervention.”
Rob Verheem
Deputy Director,
The Netherlands Commission for Environmental Assessment
“This book suggests how an institutional lens can be
applied systematically to improve public policy design
and implementation and sectoral governance both from
supply and demand perspectives. Environmental and
natural resources policies are the focus of the book, but
the lessons are much broader and should be of interest
to both policy makers and development professionals.”
Sanjay Pradhan
Director,
Public Sector Governance, World Bank
Strategic
Environmental
Assessment for Policies
ISBN 978-0-8213-6762-9 An Instrument for Good Governance
Kulsum Ahmed and Ernesto Sánchez-Triana, Editors
SKU 16762
ENVIRONMENT AND DEVELOPMENTStrategic Environmental
Assessment for PoliciesENVIRONMENT
AND
DEVELOPMENT
A fundamental element of sustainable development is environmental sustainability.
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.
Also in this series:
International Trade and Climate Change: Economic, Legal, and Institutional
Perspectives
Poverty and the Environment: Understanding Linkages at the Household LevelStrategic
Environmental
Assessment for
Policies
An Instrument for Good
Governance
Kulsum Ahmed and
Ernesto Sánchez-Triana, Editors© 2008 The International Bank for Reconstruction and
Development/The World Bank
1818 H Street, NW
Washington, DC 20433
Telephone 202-473-1000
Internet www.worldbank.org
E-mail feedback@w
All rights reserved.
1 2 3 4 :: 11 10 09 08
This volume is a product of the staff of the International Bank for
Reconstruction and Development / The World Bank. The findings, inter-
pretations, 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 informa-
tion 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.
RIGHTS AND PERMISSIONS
The material in this publication is copyrighted. Copying and/or transmit-
ting portions or all of this work without permission may be a violation of
applicable law. The International Bank for Reconstruction and
Development / The World Bank encourages dissemination of its work and
will normally grant permission to reproduce portions of the work promptly.
For permission to photocopy or reprint any part of this work, please
send a request with complete information to the Copyright Clearance Center
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8400; fax: 978-750-4470; Internet: www.copyright.com.
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: 202-522-2422;
e-mail: pubrights@worldbank.org.
ISBN-13: 978-0-8213-6762-9
eISBN-13: 978-0-8213-67636
DOI: 10.1596/978-0-8213-6762-9
Library of Congress Cataloging-in-Publication Data
Strategic environmental assessment for policies: an instrument for good
governance / Kulsum Ahmed and Ernesto Sánchez-Triana, editors.
p. cm.
“This edited book derives from the background papers originally prepared
as the basis for a World Bank study published in 2005, titled Integrating
Environmental Considerations in Policy Formulation: Lessons from Policy-
Based SEA Experience (Report No. 32783).”
ISBN 978-0-8213-6762-9 — ISBN 978-0-8213-6763-6 (electronic)
1. Environmental policy. 2. Environmental impact analysis. 3. Sustainable
development. 4. Strategic planning—Environmental aspects. I. Ahmed,
Kulsum, 1964- II. Sánchez Triana, Ernesto.
GE170.S766 2008
333.72—dc22
2008001297
Cover photo/illustrations:
Waterfall in Guyana/Louie Psihoyos/Corbis; Girl in Central African
Republic/Giacomo Pirozzi/Panos
Cover design:
Auras Design, Silver Spring, MarylandCONTENTS
ix About the Editors and Authors
xi Acknowledgments
xiii Abbreviations
CHAPTER 1
1 SEA and Policy Formulation
Kulsum Ahmed and Ernesto Sánchez-Triana
2 Evolution of SEA
3 Impact-Based SEA
5 Applying SEA to Policies
6 Toward an “Institution-Centered” SEA Approach
8Notes
9 References
CHAPTER 2
11 Policy-Level Strategic Environmental Assessments:
Process Integration and Incentives of Policy
Proponents
Leonard Ortolano
12 Case Studies
21 Analysis of Case Studies
25 Assessments of SEA Requirements for Policy Proposals in
Canada and the Netherlands
30 Conclusions
32 Notes
34 References
CHAPTER 3
37 The Continuous Process of Policy Formation
Martha S. Feldman and Anne M. Khademian
38 Policy Formation as Decision Making
47 Pormation as a Continuous Process
55 Conclusion
56 Note
56 References
CHAPTER 4
61 Toward Environmental Priority Setting in Development
Richard D. Morgenstern
62 Background
vvi CONTENTS
65 Comparative Risk Analysis
78 Economic Damage Assessment
86 Conclusions
88 Notes
89 References
91 Bibliography
CHAPTER 5
95 Giving the Most Vulnerable a Voice
Caroline Kende-Robb and Warren A. Van Wicklin III
97 Why the Vulnerable Should Be Involved in
Policy Formulation
98 Definition of the Vulnerable and How They Are Affected
103 Creation of an Enabling Environment in Which
the Vulnerable Can Be Heard
104 Entry Points for Giving Vulnerable Groups Voice
106 Levels of Participation in Policy Processes
107 Tools for Giving the Vulnerable Voice
114 Case Studies
121 Conclusions
122 Notes
122 References
CHAPTER 6
127 Building and Reinforcing Social Accountability for Improved
Environmental Governance
Harry Blair
128 Definitions and Causal Linkages
131 Causal Linkages
135 Case Studies
146 Patterns and Themes
151 Conclusion
152 Notes
155 References
CHAPTER 7
159 Learning in Environmental Policy Making
and Implementation
Alnoor Ebrahim
160 What Is Organizational Learning?
163 Framing Policy Learning
164 Cases of Pearning
172 Conclusions
175 Notes
177 ReferencesCONTENTS vii
CHAPTER 8
181 Using Strategic Environmental Assessments to Design and
Implement Public Policy
Kulsum Ahmed and Ernesto Sánchez-Triana
184 SEA for Policies
185 Policy Formation and Challenges for Applying SEA
187 Proposed Policy SEA Approach
194 Lessons from Good Practice
198 Conclusions and Future Directions
200 Notes
202 References
207 Index
BOX
4 1.1 Impact-Based SEA Procedures
FIGURES
39 3.1 Spectrum of Decision-Making Models
51 3.2 Continuous Policy Process
54 3.3 Continrocess: Green Forest
97 5.1 Benefits of Participation and Consultation in Policy Formulation
106 5.2 Flowchart of Participatory Policy Processes
112 5.3 How Tools Fit into the Participatory Policy Cycle
132 6.1 Policy Making as a Linear Process
132 6.2 The Policy-Making Process as It Actually Works
141 6.3 PROPER II Annual Cycle
148 6.4 Environmental Policy-Making Process for Air Pollution
Abatement in Delhi
149 6.5 Environmental Policy-Making Process Under Indonesia’s
PROPER II Program
165 7. 1 Policy Learning as a Technical, Conceptual, and Social Process
183 8.1 The Three Pillars of Institution-Centered SEA
TABLES
5 1.1 Examples of SEAs for Policies
22 2.1 Integration of SEA into Policy Making
22 2.2 Level of Integration of SEAs in Case Studies
40 3.1 Similarities between Rational Decision-Making Model and
Strategic Evaluation Assessment
69 4.1 Comparison of International Comparative Risk Analyses
72 4.2 Health Risk Rankings in Selected Comparative Risk Analyses
82 4.3 Measured Costs of Environmental Degradation in Selected Countries
84 4.4 Damage from Indoor and Outdoor Pollution in Selected Countries
108 5.1 Tools for Participation in Policy Processes
146 6.1 Accountability, Transparency, and Long-Term Constituencies
in Two Case StudiesAbout the Editors and Authors
Kulsum Ahmed is lead environmental specialist at the World Bank and team
leader for the Environmental Institutions and Governance program (which includes,
among other activities, the SEA program) and Environmental-Health program in
the Environment Department. She has considerable experience as an operations
task manager and led the team that prepared the Bank’s first structural adjust-
ment loan to integrate environmental considerations in key sectors of a country’s
economy. She is the World Bank’s representative on the OECD Development
Assistance Committee’s task team on strategic environmental assessment.
Ms. Ahmed has authored numerous publications on energy, the environment,
health, strategic assessment, and industrial pollution. She holds a Ph.D. from
Imperial College, London, and a natural sciences degree from Cambridge University.
Ernesto Sánchez-Triana is senior environmental engineer at the World Bank
South Asia Region. Before joining the Bank he taught at Colombia’s National
University, managed the Special Division of Environmental Policy in Colombia’s
Department of National Planning, and worked at the Inter-American Development
Bank. At the World Bank, he has led the preparation of policy-based loans that
aim to incorporate environmental considerations into economic and sectoral poli-
cies, as well as the conduction of comprehensive assessments to identify and correct
the institutional weaknesses that contribute to environmental degradation. Mr.
Sánchez-Triana is the author of numerous publications on environmental and
energy policy, political economy, and the use of economic instruments for envi-
ronmental protection. He holds a Ph.D from Stanford University.
Harry Blair is a senior research scholar and lecturer in political science at Yale
University.
Alnoor Ebrahim is a visiting associate professor at the John F. Kennedy School
of Government and the Wyss visiting scholar at the Harvard Business School.
Martha S. Feldman holds the Johnson Chair for Civic Governance and Public
Management at the University of California–Irvine.
ix