Transcript Module 2: National IEA process design and organization Module 2 at a Glance Session 1: Session 2: Session 3: Introduction Key Features Stages of the IEA Process.

Module 2: National IEA process
design and organization
Module 2 at a Glance
Session 1:
Session 2:
Session 3:
Introduction
Key Features
Stages of the IEA
Process
Purpose of Module 2
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.
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.
Structure Of Module 2
1. Introduction and objectives
2. IEA process features
3. 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
3.5.1 Start-up
3.5.2 Institutional set-up
3.5.3 Scoping and design
3.5.4 Planning
3.5.5 Implementation
3.5.6 Product communication and outreach
3.5.7 Monitoring, Evaluation and Learning
Module 2 Sessions at a Glance
Session 1:
Session 2:
Session 3:
Overview
Key Features
Stages of the IEA
Process
Key Features of the IEA Process
 Participatory
 Multi-disciplinary &
Multi-sectorial
 Integrated
 Multi-product
 Institutionalized
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
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.
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.
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.
Basic Conditions For IEA Process
1. 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 .
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
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?
Module 2 at a Glance
Session 1:
Session 2:
Session 3:
Overview
Key Features
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
The GEO Approach to IEA addresses 5
Questions:
Stages of the GEO-based IEA Process
Stages of the GEO-based IEA Process
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.
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.
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.
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.
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.
Stage 1: Start-up
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
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.
Key Outputs from Start-Up
1. 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
Stage 2: Institutional Set-Up and
Identification of Stakeholders
STAGE 2: Institutional Set-Up(s)
Typical institutional framework, Latin America and Caribbean
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.
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
Selecting the Lead Institution
Criteria:
1. Capacity to engage key stakeholders
2. Sufficient capacity to manage the process (i.e., no
need to depend on consultants)
3. Acceptable to a wide range of stakeholders
4. Recognized ability to carry out high quality
assessment and reporting on time and on budget
Local Technical Team
Criteria for selection:
1. Experience in environmental assessment
2. High public profile and recognized leadership capacity
3. Good relationship with the national environmental
authority
4. Capacity to dialogue with different stakeholders
5. Experience in organizing and facilitating workshops
6. Sufficient human resources to dedicate time to a
demanding assessment
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
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
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
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
Other Example Institutional Frameworks
Typical institutional framework from the Africa region
Other Example Institutional Frameworks
IEA institutional framework in the case of Panama
Developing an Impact Strategy
Why an Impact Strategy?
•
Increase impact a national IEA process has on policies
Key Steps:
1.
2.
3.
4.
5.
Anchor the assessment with a change statement
Relationship management
Knowledge management
Opportunity management
Monitor, evaluation and improvement
Steps for Developing an Impact Strategy
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.
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.
Identifying Stakeholders, their Roles
and Interests
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
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.
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:
1. Write the name of each important stakeholder on a
white card. Stick them on a blackboard.
2. Identify the main interest of the suggested stakeholders
related to the key issues of the IEA process.
Exercise: Constructing a
Stakeholder Map
3. 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.
Exercise: Constructing a
Stakeholder Map
4. 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.
Stage 3: Scoping and Design
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
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
Report
Structure
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?
Exercise: Identify Challenges and
Strategies for a National IEA
• In groups of 3, identify 3 strategies you
might pursue to overcome those
constraints.
Stage 4: Planning
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 UNEPDEWA 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.
Example: Process Timetable
Example: Budget Structure
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.
Stage 5: Implementation
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.
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
(see Module 4: Data and indicators)
First workshop:
1 or 2 days
Technical team
should work these
topics in advance
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)
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.
Stage 6: Communication & Outreach
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.
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 e-mail
Stage 7: Monitoring, Evaluation and
Learning
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 policymakers, policy and environmental trends?
 Recommend and make improvements for the next
IEA process.
For more details, see Module 8.
Discussion: Evaluation and Learning
In groups of 5–7, discuss the following questions:
1. Why is it important to evaluate National IEA processes?
2. Which measures will be good to keep track of the
process?
3. Which mechanisms could be implemented to promote
continuity and continuous improvement of the IEA
reporting processes?
Report group discussion results in plenary.