This course has been designed primarily to support government agencies to understand why SEAs are important, steps involved in conducting an SEA, and SEA implementation within the Thai context.
Welcome to the course!
Course Outline
The course consists of three modules and an accompanying toolbox of analytical methods and checklists:
Introduction: Principles of SEA
1
Case Study:
SEA application in Rayong Province
3
SEA Process: Methodology
2
The materials may also be useful for private sector organizations wishing to improve their sustainability performance, consultants involved in conducting SEAs, and for individuals or organizations involved in research, teaching or training in this field.
Toolbox and checklists*
Introduction: Principles of SEA
1
i. Key features of SEA
ii. Benefits to undertaking SEA
iii. SEA in Asia
iv. Key principles of SEA
Module 1: Introduction
Methodology:
SEA process and application in Rayong Province
2
Case study:
SEA application in Rayong Province
3
Strategic Environmental Assessment: An analytical and participatory process that aims to integrate environmental and social considerations into strategic planning and decision-making to enhance sustainability
i. Key features of SEA
Environmental Impact Assessment (EIA) is used to assess individual projects. It is a reactive tool, usually applied once a project is proposed.
SEAs can be applied to a range of sectors (such as energy and transport), geographical areas (national, regional or local) or issues (such as trade agreements, climate change or biodiversity).
SEAs do not focus on individual projects. They are used to assess the environmental and social implications of broader policies, plans and programs at the earliest stages of decision making.
Line Ministries and lead agencies generally initiate the SEA process as the plan “owners”.
SEA
Implementation
EIA
“Proactive”
“Reactive”
Implementation
Policies
Plans
Programs
Projects
Module 1: Introduction
ii. Why undertake SEA?
SEAs save time and money
Helping to avoid unplanned and unwanted environmental and social effects and irreversible ecological degradation and wasteful use of natural resources;
Helping to avoid costs associated with controversial strategic decisions delays due to opposition;
Allowing for significant public input; and
Helping to focus and streamline project EIAs which are proposed within the umbrella of the target plan.
Module 1: Introduction
Through…
ii. Why undertake SEA?
Module 1: Introduction
SEAs improve good governance
Increasing coherence in strategic planning;
Enabling early resolution of conflicts that may later slow implementation of strategic decisions;
Mobilising support of key stakeholders for implementation of optimised plans; and
Supporting a shift in economic planning towards sustainable development.
Through…
Module 1: Introduction
In Asia, SEAs are most commonly applied to the energy, waste and water sectors, and on area based plans such as special economic regions, river basins and provinces.
Module 1: Introduction
In Thailand currently, there is no regulatory provision for mandatory SEAs. That may change with the adoption of the National SEA Guidelines which includes a list of the plans for which SEAs must be conducted.
iii. SEA in Asia
In some countries such as China and Vietnam and within the European Union, SEAs are mandatory for most types of plans.
The SEA process must be based on unbiased, adequate, accessible and complete information. Information and analysis should be communicated effectively in plain language.
4. Reliability and accessibility
SEAs should be independent of real or perceived conflicts of interest and bias.
6. Independence
The collaborative SEA process should seek stakeholder consensus and facilitate the building of positive relationships. This can be difficult when there has been past conflict over development options.
7. Build consensus
The most important goal of SEA is conserving and enhancing resources so that ecosystems maintain their essential functions and biodiversity is protected.
1. Promote Ecological Sustainable Development (ESD)
SEA should seek to involve stakeholders who consider themselves or their interests to be affected by a plan.
2. Participatory
3. Transparency
Stakeholders must understand the SEA process. Without transparency, the process will not be trusted and the results will not be accepted.
SEAs should contribute original analysis and knowledge so that the quality of decision-making is improved and future plans and assessments can build on an enhanced evidence base.
8. Promote learning
5. Choice of appropriate tools
No single methodology will apply to all situations. SEA teams should make use of suitable SEA tools to meet the needs of the particular circumstances.
Module 1: Introduction
iv. Key principles of SEA
i. Screening and scoping
ii. Baseline Assessment
iii. Sustainability
Analysis
iv. Mitigation: Sustainable development pathway definition
v. Monitoring, Evaluation and Review
Module 2: Methodology
Methodology:
SEA process and application in Rayong Province
2
Case study:
Application in Rayong Province
3
Introduction: Principles of SEA
1
Module 2: Methodology
4
2
3
Screening & Scoping
Baseline Assessment
Sustainability Analysis
Sustainable Development Pathway
Overview: Stages of SEA
However it is important to note, that there is no single best way to conduct an SEA.
This methodology presents a common set of SEA stages as detailed in the national SEA guidelines.
1
The exact process needs to be shaped by the SEA team, the SEA proponent and the stakeholders, depending on the nature of the plan being assessed, the capacities of the SEA team and the resources and time available.
Module 2: Methodology
Screening responds to the question “is an SEA required?”
Is the policy, plan or programme listed for mandatory SEA as prescribed by national law, regulation or Prime Minister’s Order?
Is the plan likely to have significant environmental and/or social impacts?
YES
YES
Proponent must prepare an SEA TOR to engage an independent technical team to conduct the SEA
NO
NO
SEA not necessarily required. Proponent should indicate this in the proposal when submitting to the relevant authority
In Thailand, the decision to proceed with an SEA can be made by Cabinet, the National Environment Board or by a line ministry with approval of Cabinet.
i. Screening and Scoping
If the response is YES to one of these and NO to the other, an SEA may still be required.
Module 2: Methodology
Scoping should establish the focus of an SEA, scope of analysis needed and relevant criteria for assessment
1. Set out spatial boundaries and temporal scale of SEA
2. Identify key issues and areas of concern and group them into strategic themes
4. Identify indicators for the defined sustainable development objectives
5. Undertake stakeholder analysis and prepare consultation and communications plan
6. Prepare scoping report for stakeholder and public review and comment
7. Identify baseline and other data requirements and initiate collection
i. Screening and Scoping
3. Identify sustainable development objectives for each strategic theme
Key stakeholders should be included in all screening stages
Module 2: Methodology
i. Screening and Scoping
At the scoping stage, information gathering is through consultation with stakeholders in the plan
External experts may be involved to help highlight strategic issues
Consultation with stakeholders should include a scoping workshop with participatory working sessions
Other methods can be used such as in-depth interviews, questionnaires and public meetings
Scoping is an iterative process. The SEA scope can be sharpened and adjusted as the SEA proceeds
Module 2: Methodology
ii. Baseline assessment
Baseline assessment responds to the question “what are the past trends and current status of the strategic themes and issues of concern to the plan?”
Data should be gathered for the strategic themes and issues and in response to the linked indicators developed at the scoping stage
Particular attention should be paid to ecological systems and services, their resilience and vulnerability, and their significance for human well-being
Existing environmental and social protection measures and/or objectives set out in international, regional, national and local plans or programme should be reviewed
What data should be collected?
Baseline assessment should be strategic: it is not about collecting vast amounts of data with no analysis
2010
2020
2030
2040
2000
Module 2: Methodology
ii. Baseline assessment
An especially important method during the baseline assessment to ensure the key issues are focused on is trend analysis
Trend analysis takes the strategic themes and issues identified by stakeholders and maps out the past trends for each and the drivers which shape those trends.
Where resources and capacities are available, modelling should be undertaken as part of the trend analysis. Models might relate to hydrology, climate change, macro-economic analysis, alternative routings, biodiversity assessment or demographics.
*Additional analytical techniques which can be utilized at the baseline stage are provided in the toolbox
Module 2: Methodology
iii. Sustainability analysis
Sustainability analysis responds to the question “what impacts will the target plan or program have on sustainability?
Assessment of the sustainability of the plan and identified alternatives against the SEA sustainable development objectives framework
A
B
C
2
The sustainability analysis has two main components:
+
+
+
-
--
Identification of alternatives to the plan
A
B
C
1
Module 2: Methodology
iii. Sustainability analysis
Development scenarios
Alternatives can be grouped as overall alternative development scenarios.
For example, an SEA into a river basin with many planned hydropower projects may develop scenarios with different combinations of hydropower projects and their implications for key issues and strategic themes such as: i) economic development, ii) ecological impact and iii) local livelihoods.
One scenario might exclude all dams on the main-stem while allowing for the proposed tributary dams
The different outcomes for these features under each scenario are the “trade-offs”. For example, its likely that a greater emphasis on economic development would have a more damaging ecological impact.
Another might exclude main-stem dams and all dams on some key tributaries which have important ecological values
A third scenario might exclude all dams from the river system and instead emphasise the importance of watershed rehabilitation and the maintenance of fisheries, and sediment and nutrient transport to the delta.
A
B
C
In the SEA of a river basin:
A “business as usual” scenario projects how things would develop if existing policies continue and the plan is not implemented
BAU
Unless the SEA has substantive modelling resources and capacities, it is advised to minimize the number of alternatives considered
Module 2: Methodology
iii. Sustainability analysis
Identifying alternatives for sustainability analysis against the SD objectives
Alternative approaches should consider the following aspects:
Instead of thinking about supply, are there ways to reduce demand, e.g. through regulatory, economic or administrative tools, or behavioral change?
?
Strategic | High level policy options |
Sectoral | Addressing opportunities, limitations and linkages between different sectors |
Spatial | Examining appropriateness of plan to geographic area and potential alternative locations or uses of land |
Modal | Considering available technologies and alternative methods |
Staging | Implementing the plan in stages, e.g. to monitor the impacts of one stage and adjust accordingly |
Institutional | Involving decentralised structures for managing plan implementation, sharing responsibilities more effectively between various levels of government or sector agencies and/or reforms to staffing and budget allocations |
Many plans have hierarchies of alternatives, with higher-level decisions (e.g. on the amount of development needed to respond to population growth) influencing lower-level decisions (e.g. where development should go) (Gonzalez et al., 2018, p24)
?
For example, for a waste management plan at the modal level, alternatives could include promoting recycling and efficient use of materials, as well as choices between incineration and landfill (Gonzalez et al., 2018, p.23)
Module 2: Methodology
iii. Sustainability analysis
Assessing the sustainability of alternative development scenarios
After the scenarios have been developed, they should be assessed against the SEA’s sustainable development objectives and the evidence base established during the baseline assessment.
This is normally done qualitatively, using expert judgment that takes account of stakeholder and local knowledge. GIS analysis, review of international good practice multi-criteria assessment, participatory/consultative techniques, cost-benefit analysis, modelling approaches and trend analysis are also commonly applied.
Alternatives can be ranked according to scoring against the sustainability objectives with results shown in colour coded matrices or diagrams.
*Additional analytical techniques which can be utilized for the sustainability analysis are provided in the toolbox
Module 2: Methodology
iv. Sustainable Development Pathway
The Sustainable Development (SD) Pathway stage of the SEA asks: “what measures will best meet the sustainable development objectives?
From the sustainability assessment of alternative development scenarios, a preferred pathway will be defined
The pathway will outline the measures that should be taken across the strategic themes
Measures should enhance environmental, economic and social benefits, avoid, minimise or remedy adverse impacts and ensure that any unavoidable impacts are kept within acceptable levels
It should also include institutional arrangements and roles required for effective implementation
Module 2: Methodology
iv. Sustainable Development Pathway
Final SEA report
The final SEA report sets out out the SD pathway and recommended priorities for action
By the final stage there should be no surprises: stakeholders should already be familiar with what the SEA has found and where it is headed in terms of recommendations
The report will be subject to stakeholder review and comment, then submitted formally to Government
FINAL
Module 2: Methodology
Monitoring and Evaluation
A structured, consistent and recorded monitoring and evaluation strategy with indicators should be put in place, which asks: “are the measures implemented contributing to the SD objectives as planned?”
The strategy should make use of existing environmental monitoring networks and should specify details such as objectives, methods and techniques, area, timeframe, monitoring frequency, budget, roles and responsibilities.
Monitoring and review of measures should be an iterative process, used to continually improve policies and practices.
If results of the monitoring show there is little to no impact, or trends are worsening, then an evaluation should be carried out to determine whether there is a need to modify the plan, or whether the original SD objectives are still appropriate.
Theme
Strategic issue
SD objective
Indicator
Module 2: Methodology
Review
Technical review processes are put in place to ensure SEAs are of the highest quality, adhere to national standards and take place in a systematic fashion
There are two main points at which SEA reports are formally reviewed: Internal Technical Review by the plan proponent, and External Technical Review by an external regulatory review agency.
Internal review
External review
Questions which should be asked by the proponent of an SEA before submission to external review could include*:
Are the goals and objectives of the proposed plan clear?
?
Were stakeholders consulted throughout the process?
?
Does the SD analysis identify reasonable/adequate alternatives?
?
Have measurable indicators linked to the SD objectives been described?*
?
*A full checklist is included in the toolbox
Module 3: Case study: Rayong Province
Methodology:
SEA process and application in Rayong Province
2
Case study:
Application in Rayong Province
3
Introduction: Principles of SEA
1
i. Background and context of the project
ii. SEA overview: goals and phases
iii. Implementation of SEA by phase
Module 3: Case study: Rayong Province
RAYONG
PROVINCE,
THAILAND
i. Background of the project
The Asian Development Bank funded a pilot SEA in Rayong Province, within Thailand’s Eastern Economic Corridor (EEC) to inform and review completion of the draft SEA guidelines prepared by the Thai National Subcommittee on SEA under the National Committee for Sustainable Development (CDS) with technical support from the National Economic and Social Development Council (NESDC).
The SEA aimed to demonstrate good practice for the sector, area wide and provincial SEAs, addressing environmental and socio-economic issues within Rayong Province.
Key purpose
Thailand’s EEC
Rayong Province
Module 3: Case study: Rayong Province
i. Context: Rayong Provincial Development Plan (RPDP)
U-Tapao Airport
Map Ta Phut Port
Rayong City
Chonburi Province
Rayong Province
Chachoengsao
Province
Since the mid 1980s, the three Eastern Thai Provinces of Chachoengsao, Chonburi, and Rayong have been promoted as strategic areas for industrial growth and production.
Under the EEC Development Plan, approved in February 2018, these provinces will be the focus of accelerated economic growth, including new industrial areas, new urban centres, expansion of ports and airports and new railway lines toward the goal of developing the region as an arterial hub for trade, investment, tourism and regional transportation.
Module 3: Case study: Rayong Province
ii. Goals of the SEA
The pilot SEA in Rayong sought to enhance the ecological sustainability and social equity of the RPDP.
The SEA:
Considered the variety of national, regional and sectoral plans that influence development in Rayong Province
Took an integrated approach to assessing the sustainability of development by examining relationships between key sectors
Applied spatial planning tools and processes to analyze natural resource availability and usage
Took an ecosystem based approach to assess development implications for natural systems and environmental quality
It addressed socio-economic and environmental implications of existing and planned development within the province, linked river basis and the adjacent coastal and marine environment.
Analyses demographic and socio-economic trends and impacts which are both influencing, and being shaped by development plans
Module 3: Case study: Rayong Province
ii. Phases of the SEA
Screening & Scoping
Scoping workshop
Baseline Assessment
Sustainability Analysis
SD Pathway
INPUTS
OUTPUTS
Baseline assessment report
Impact assessment workshop
Sustainability analysis report
SD pathway workshop
SD pathway
Methods and scoping report
Module 3: Case study: Rayong Province
Screening and Scoping
The scoping phase set the spatial, temporal and substantive boundaries of the SEA
Spatial
Chonburi Province
Chachoengsao
Province
Temporal
The temporal scope of the SEA incorporates both historical trends and future perspectives, e.g. to 2050 for climate change.
In determining geographical scope it is also important to recognize areas outside the province which have significant influence. This includes development activities in the Khlong Yai and Prasae River Basins, as well as in Chonburi, and Chachoengsao provinces.
Identification of strategic issues
A scoping workshop and several round table meetings at national and provincial levels were conducted to determine the substantive boundaries: the identification of strategic issues and grouping them into strategic themes.
Prasae River Basin
Khlong Yai River Basin
Module 3: Case study: Rayong Province
Baseline assessment
13 Strategic themes were identified for Rayong province:
1. Macro-economic development
2. Social issues & demographics
3. Energy
4. Industry
5. Transport
6. Urban development
7. Water resources
8. Agriculture
9. Tourism
10. Coastal & marine environment
11. Terrestrial biodiversity
12. Environmental quality
13. Climate change
Module 3: Case study: Rayong Province
Baseline assessment
Within each theme, stakeholders identified strategic issues of concern and formulated sustainable development objectives
4. Industry
Strategic issues of critical concern:
Sustainable development objectives:
7. Water resources
Strategic issues of critical concern:
Sustainable development objectives:
Module 3: Case study: Rayong Province
Sustainability analysis
In the sustainability analysis phase, trends for the key strategic issues for each of the 13 thematic areas were projected into the future under two different development scenarios: a business as usual (BAU) scenario, and a scenario where the RPDP was implemented in full and the two scenarios compared.
Comparison and analysis of the scenarios was focused around the question “is the RPDP positively or negatively influencing the issue in terms of achieving the theme’s SD objective?”
The figure on the left shows transport projections conducted under the sustainability analysis for the BAU and RPDP implementation scenarios
Module 3: Case study: Rayong Province
Sustainable Development Pathway
The SD pathway provides measures for inclusion in the next RPDP as well as measures that are outside of the scope of Rayong authorities but which are nevertheless critical for supporting and enhancing sustainable development in the province. A summarized table of measures for the strategic theme of industry is provided below.
Strategic issue | Action | Responsible agency | Time |
Increased generation of industrial pollution | Develop a sequenced master plan for industrial pollution control, including i) first, second and third tier industries to be targeted and supported, ii) timelines for phasing, iii) defining how land use planning will be integrated with the pollution control mechanisms | EEC Office, Ministry of Environment | Next 3 years |
Review national legislation and institutional arrangements for industrial pollution control and developing an implementation plan to reform pollution control administration | DIW, IEAT, OOG, National Board of Investment, PCD, REO, PEO | Next 5 years | |
Develop a national industrial pollution control fund for large strategic scale industries such a petrochemicals to enable them to implement pollution control measures | DIW, IEAT, OOG, National Board of Investment, Ministry of Finance, PCD | Next 5 to 10 years |
Module 3: Case study: Rayong Province
Monitoring and Evaluation
Following the implementation of the measures contained in SD pathway, a structured monitoring and review strategy with indicators should be put in place. An example of how indicators can be developed from the strategic themes is shown below for the theme of water.
Theme | Strategic issue | SD objective | Indicators |
Water resources | Water demand and supply | Rehabilitate and manage river basins and water resources for ecological sustainability and environmental quality |
|
Water quality | Provide a secure supply of clean water that meets demand in each sector, within ecological limits, without causing conflict between different user groups or within neighbouring provinces |
| |
Use water efficiently and equitably to eliminate wastage and reduce demand |
|
As situations change and new issues come to light, the monitoring process should include reflection on whether the SD objectives are still fulfilling their functions, or whether they could be improved to better reflect the needs and goals of Rayong province and its inhabitants.
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