1. General introduction to SEAN

Origins

In 1995, the Netherlands Development Organisation (SNV) requested AIDEnvironment to develop a methodology that would allow integration of environmental concerns into development policies and strategies in order to put into practice environmental sustainability objectives. Particularly in regions with limited economic potential, the use of natural resources in the immediate surroundings is the major activity to meet socio-economic development goals. Thus there is need for systematic environmental analysis to answer such questions as:

· What are the insights and interests of different stakeholders regarding proper environmental management?

· What social norms and environmental thresholds are involved in defining environmental problems? What is the problem perception by different actors? Whose problem is it?

· What are structural causes of environmental problems and how to tackle these?

· What are promising opportunities and initiatives to improve both the economic and environmental situation? What innovators and partners are involved? How may coalitions be formed to tackle complex problems and expand promising initiatives?

· How may environmental priorities be integrated with economic, social and gender priorities? What are priority long term development goals that meet sustainability criteria?

These questions may be addressed during environmental assessments of projects and programmes. However, in order to achieve fundamental change of policies and strategic plans, a more pro-active approach is required. This brings us to strategic planning, whereby in early planning stages, root causes and key actors of environmental problems (of institutional, political and socio-economic nature) can be identified, as well as existing opportunities, to identify win-win options, strategic partners and set sustainability goals. The analysis can focus on the interrelations between environmental concerns and socio-economic development (e.g. poverty alleviation).

In many places the absence of a clear long-term strategy has led to confusion, lack of co-ordination and the setting of incorrect development priorities. There is need for integrated (holistic, multi-sectoral) strategic planning, to give direction to development efforts and make these more effective.

Strategic environmental analysis (SEAN) was developed as a strategic analysis and planning method, addressing the following challenges:

· Rigorous, by setting environmental standards for environmental sustainability;

· Integrative and holistic, by focusing on the interface between environment and development;

· Pro-active, by being applied during early stages of decision making;

· Supportive to strategic planning, by being linked to decision- and policy making processes;

· Practical, light and flexible and aimed at defining concrete outputs for policy makers;

· Participatory, involving relevant stakeholders in the entire planning process.

Objectives and background

SEAN can be defined as a participatory process to analyse the environmental problems and opportunities for human development, to identify the main actors involved, and to define a long-term vision and strategic goals at early stages of planning and decision making. The SEAN method is scale independent, and has been applied for different objectives.

SEAN has the long-term objective to mainstream environmental issues into development planning processes by raising the level of knowledge on the environmental context and its relevance for sustainable development. Short-term objectives are:

· In terms of substance: To analyse the environmental context of human development for an area, its potentials and constraints, and to design a vision and strategic orientations.

· In terms of process: To initiate and support an interactive process with relevant stakeholders and actors, generating insights and commitment to undertake actions and sustain the process.

The analytical framework of SEAN is rooted in several concepts introduced in previous chapters.

1. Sustainable development. The main long-term target of SEAN is to secure an acceptable level of environmental quality, as one of the pillars of sustainable development. Although SEAN takes the environmental dimension as a starting point, priorities are set, opportunities and problems are defined, etc., on the basis of societal needs.

2. Environmental sustainability. Recognising the various environmental functions for multiple stakeholders is necessary to specify the importance of the environment for society. This includes environmental values for future generations. Recognising norms and thresholds for acceptable environmental change to ensure resilience of ecosystems and human livelihoods that depend upon these is an essential element.

3. Problem in Context. Central is the understanding of the social causality of environmental problems, and the identification of the actors involved, their options and motivations, their interrelations, their intentionality and perceptions.

4. Adaptive management. The aim of SEAN is to identify a vision and strategy, as a fundament for detailed planning and learning, in line with adaptive management principles.

5. Opportunities and initiatives as strategic building blocks. Existing opportunities for change and promising initiatives at various levels form the basis for identifying strategic options. Strategic partnerships with key actors are important elements of the strategy.

6. Micro–meso-macro linkages. Problems, threats, root causes and opportunities (levers and potentials) of the local situation, as well as the long-term and large-scale contextual changes and the factors involved, form the basis for making strategic choices.

The SEAN process is participatory and transparent. One could speak of horizontal and vertical integration of participants, by involvement of insiders and outsiders and actors from different institutional levels, by using local (traditional / indigenous) and scientific knowledge, formal and informal information sources. Particular attention is given to so-called ‘absent stakeholder’ groups, including future generations, outside communities and critical nature values. These should be represented by environmentally or socially oriented organisations.

The SEAN analytical framework

To structure the analysis and design process, an analytical framework was developed, consisting of 10 analytical modules (Figure 1). The analytical framework provides a logical structure to assure that relevant environmental issues are not overlooked and are integrated with sustainable development dimensions:

· Modules 1 to 4 focus at the analysis of the local and wider contextual interface between society and the environment.

· Modules 5 and 6 focus at the identification and analysis of environmental problems.

· Modules 7 and 8 focus at the existing opportunities (both operational and structural ones).

· Modules 9 and 10 focus at the design of a vision and strategic orientations.

Figure 1: The 10 modules of the SEAN analytical framework

Figure 2: The five phases of the SEAN process

The SEAN process, whereby participants apply the 10 analytical modules, is structured by 5 phases which can be summarised as: preparation, scoping, detailed studies, synthesis & planning, follow-up & monitoring (Figure 2). During these phases, the above-mentioned modules are applied in different ways: training/ learning, scoping, field assessments, planning and design, and monitoring. During phase 1, for instance, a local team is trained on SEAN modules 1 to 10. Then in phase 2 steps 1 to 8 are applied in a scoping way based on existing knowledge. On average, the whole SEAN process may take about 6 months, including a range of workshops, thematic studies, interviews and public consultations.

The integrative character of SEAN

The SEAN method is integrative in three ways.

1. In terms of substantive integration, SEAN takes the environmental dimension as a starting point in order to assure that environmental aspects are properly analysed and integrated in the planning process. However, this does not mean that environmental issues are necessarily more important than others. The critical question is that of the importance (weight) of environmental sustainability issues as compared to the other dimensions, and whether in case of conflicting interest integration is sought (as a form of consensus) or a choice is made. This refers to the need to have sustainability standards and norms (see section 2.4). The level of integration depends upon whether other analyses have been or are carried out alongside the SEAN process, and whether other methods and tools provide ‘linkages’ to other dimensions. The strategy has an integrated (sustainable development) or environmental character.

2. In terms of procedural integration, the aim is to integrate environmental considerations as early as possibly in design processes (similar to spatial planning), and to outputs that are useful for decision-makers: guidelines, criteria and standards for environmental management, strategic goals and priorities, potential partners, opportunities and win-win options, defined tasks and functions for institutions, etc..

3. In terms of methodological integration, variable use is made of tools and methods from a system-analytical and a process-analytical perspective. Process-analytical tools will help generate strong and broadly based ownership of the SEAN results. Planners, decision-makers and stakeholders are involved at different moments in the process.

SEAN in the policy cycle

SEAN is normally and ideally applied as early as possible in the policy or planning cycle. This corresponds to the identification of problems and opportunities. It can then effectively contribute to the design of policy solutions. However, in some cases it could also be used for ex-ante assessment of policies or plans in the process of being formulated, or or ex-post assessment of existing policies or plans.

Figure 3: The position of SEAN in the policy or planning cycle

The strategic character of SEAN

The aim of the SEAN method is to help define a vision and strategic plan. At this level long-term and large scale sustainability issues can be addressed. The vision and strategic plan provide direction and contours for concrete actions to be identified ‘along the way’, as part of a ‘learning-by-doing’ approach, with new insights and monitoring results as inputs to detailed planning. The strategy may also emerge during the decision-making process. The desirable structure of the strategic plan is presented in Figure 4. It includes:

1. Current situation: insight in the current situation and its context, the qualities, trends, expectations, causing factors, opportunities, interrelations, actors and institutions involved

2. Vision: a powerful image of a desirable future situation giving direction and motivation

3. Strategic orientations: paths to bridge the gap between the current situation and the desirable future, characterised by targets, actions based on opportunities and indicators. A strategic orientation can be set in action any time.

4. Actions that can generate early successes

5. Operational principles: this will include social and environmental principles or bottom-line standards to be respected during application of the strategy

6. Institutional development orientations: organisational and institutional requirements to realise the strategy, by implementing organisation. A good monitoring and learning mechanism.

Figure 4: The basic structure of a strategic plan based on SEAN, in line with an adaptive management approach

Overview of experiences

By mid 2002 the SEAN method has been applied numerous times in several developing countries. Most common has been the application for supporting the formulation of an integrated development strategy at regional or local level, in developing countries mainly. The applications show much flexibility, which is a strength of the method.

In terms of scale:

At national level: formulation of a sustainable development strategy for Benin
At regional level: formulation of sustainable development strategy for Atacora (Benin)
At local level: municipality plans in Honduras

In terms of objectives:

Formulation of an integrated development strategy for a certain area: see above
Formulation of a sectoral strategy: wetland strategy in Benin
Formulation of an organisational strategy: SNV in Cameroon

In terms of the owner of the process:

Government agencies: national or decentralised government agencies
Non-governmental organisation: NGO strategy on sustainable development

In terms of time required:

Rapid applications taking only one workshop of a few days
Applications taking more than 1 year

Most common has been the application of the SEAN method for supporting the formulation of an integrated development strategy at regional or local level. The results of these applications can be summarised as ‘substantive’ and ‘process’:

1. Substantive results: analysis of environmental problems and opportunities, identification of key actors, defining a vision and a strategy, priority action fields.

2. Process results: awareness among stakeholders, mutual trust, networking, improved co-ordination, strategic partnerships and coalitions.

2. Principles for the SEAN process

Conducting the SEAN process in a proper way is at least as important as dealing with the right issues. Process guidelines will be presented in this chapter. The analytical modules and guidelines will be presented in the next chapter. Note that both are equally important:

· Executing the analytical modules without attention for the process gives you an outcomes that will not be implemented, because no one will be committed to do so;

· Undertaking a perfect process but not following the analytical modules, will give you a plan that does not tackle the important sustainability issues.

The SEAN process phases

The SEAN process is normally conducted in 5 phases, see Figure 2. Box 1 gives some more details. However, more important than following these phases is the application of certain principles for conducting a good process, as elaborated hereunder.

Box 1: Details on phases of SEAN process.

Phase 1: Initiation and preparation. Meetings with decision makers and the (potential) owner, defining objectives of the SEAN application, organising the SEAN process in connection to existing plans and planning processes, lobby work and information sessions to stimulate commitment among stakeholders and key actors, agreement on the ToR for the SEAN application, thematic studies to collect and analyse existing information and data sources, training workshop(s) for SEAN working groups, selection of SEAN modules to apply.

Phase 2: Scoping workshop. Preparation of scoping workshop/s, scoping workshop with introductions on SEAN modules, working groups and plenary sessions, field visits, analysis of available information and data, agreement on key issues and gaps of knowledge, communication and publicity to key actors, policy makers and the public.

Phase 3: Detailed analysis on key issues. Informal and formal meetings and (mini-) workshops with stakeholders and key actors, field and desk studies per theme, sector, target group or geographical area, analysis and synthesis of all information and results, information sessions and/or communication to inform key actors and policy makers.

Phase 4: Synthesis and planning. Preparation of planning workshop, consultation of experts, planning workshop with presentations on results, feed-back and additional information supply, agreement on strategic orientations and inter-sectoral programmes, agreement on follow-up, defining who does what among participating organisations, draft strategic plan.

Phase 5: Monitoring and follow-up. Broad publicity, meetings and workshops to inform stakeholders, key actors and decision makers, design of monitoring system with indicators, agreement on tasks for follow-up, monitoring and co-ordination activities, lobby for funding of resulting plan, networking with relevant parties involved to promote sharing of experiences and information.

Generic principles

Generic principles for conducting the SEAN process can be derived from principles of good governance. The following are generic principles of general validity derived from concepts such as good governance, environmental governance or environmental justice. These general principles have been worked out hereunder, for use in the SEAN process, but with the greater scope of use in any strategic environmental assessment or planning process.

1. Equitable participation by all relevant stakeholders

2. Legitimate local ownership

3. Access to information and transparency

4. Accountability, respect of rules and regulations

Specific principles and guidelines

Principle 1: Integration into existing planning process/es, strengthening these, avoiding parallel processes and ensure continuity.

Application of the analytical modules should be integrated with and strengthen existing (strategic) planning processes, possibly based upon perceived weaknesses and needs for improvement. This should avoid SEAN being applied as a parallel process from other planning processes. The analytical modules can be progressively introduced within the structure of an existing planning process, and may eventually lead to a planning process with full integration of sustainability focus. The results can be considered as an advice to planners or decision-makers, for new policies or plans, or adjustment of existing ones. Continuity of the planning process is required because both the sustainable development and policy context are unpredictable and variable, so that regular updates are required. The assigned SEAN team may continue to play a role in coordination of monitoring and early warning activities focused at priority sustainability issues, respect of agreed-upon sustainability standards, updates at regular instances (once every 3-5 years), coordination of a stakeholder platform.

Guidelines principle 1:

1. Make an inventory of existing plans and policies relevant for objectives of using SEAN: environmental plans, development plans, national environmental action plan, sustainable development strategy, etcetera.

2. Make an inventory of existing planning methods. Make sure you know what are the formal planning procedures and requirements to comply with.

3. Assess the strengths and weaknesses of the existing plans and policies. You can do this in a simple way, by just looking whether environmental issues have been well covered.

4. Do the same thing for the planning methods. For that purpose, a self-evaluation framework of existing plans and planning processes is available (see Annex 1).

5. In doing this you can involve stakeholders. Are they satisfied with the existing plans? Are they satisfied with the existing planning procedures and methods?

6. Draw conclusions on strengths and weaknesses of existing plans and planning methods. Also mention ‘good practices’ and ‘lessons learned’.

Proposed format

Plans or planning process	Weaknesses	Strengths	Best practices	Lessons learned
Plan 1
Planning process 1
Etc.

Principle 2: Clearly define and agree on the general purpose, the scope and the context of the SEAN application

Plan what you want to achieve by applying the SEAN method, as follows:

· With respect to the general purpose, consider: well-defined concrete outcomes, links to local capacity building, inputs to new or existing plans or policies, integration into existing planning processes, importance of awareness raising and communication, importance of technology transfer, external facilitation;

· With respect to the scope, consider: the sector and/or sub-sector/s concerned, the spatial boundaries, the time horizon, the level of desirable detail, the actors to be involved at different levels;

· With respect to the context, consider: existing information, data sources and studies; political constraints and opportunities; factors influencing success (see Box 2).

Box 2: Success factors / factors influencing successful SEAN application

· Free access to information

· Freedom and capacity to organise

· Freedom to express needs and concerns

· A non-discriminatory social environment

· Absence of severe conflicts

· Confidence in the respect of agreements

· Relatively stable political climate

· Relatively well educated participants.

Guidelines principle 2:

1. With stakeholders, agree upon the general purpose of applying SEAN, the scope of using SEAN, and the characteristics in the context that need most attention. Most important is to involve the owner of the SEAN process (see next principle).

2. For inspiration, look at similar experiences. What were good points we want to achieve as well? What were bad points we want to avoid?

3. How do we make maximum use of past experiences and existing information and data?

4. Make a written document on the conclusions. These are the terms of reference for the SEAN application. Make sure everyone is informed and receives a copy. Give some time for feed-back and possible adjustments. Box 3 gives a checklist for Terms of Reference.

Box 3: Checklist of Terms of Reference for SEAN application

· The owner of the process

· Objectives, scope and context

· Activities and planning

· Participants at different stages

· The role of NGOs

· Methods used

· Costs

· Assumptions and conditions, risks.

Principle 3: Ensure clear ownership based on a motivated local demand

Applying SEAN should be based on an expressed demand from an ‘owner of the process’, and should not be donor-driven or otherwise imposed by external agencies. Normally, this will be one or more (local) Government agencies. The owner/s should be accountable, legitimate, trusted by different social groups, and have a good track record. The owner of the process should be motivated, have sufficient time, human resources and funds available, and clearly be prepared to make effective use of the outcomes. However, an expressed demand can be pushed a little (by information supply, lobby, training), as sustainable development is too important an issue to be entirely optional. Eventually, by adopting a participatory approach, ownership should become more broad-based.

Guidelines principle 3:

1. Discuss who will or should benefit most from a SEAN application. And also who have little to gain. Make a list of proponents (favouring SEAN application) and opponents (having little to gain).

2. Among the beneficiaries, who is an accountable, legitimate and trusted person or agency, with a good track record? Who has the capacity to implement the resulting plan and assure continuity.

3. Contact potential owners and explain the possible objectives of applying SEAN. Make sure there are no false expectations. Also make sure there are no wrong assumptions (e.g. that an NGO will determine the outcomes).

4. Agree with the owner upon what you expect him/her to do. During the whole SEAN process, keep close contacts, communicate findings.

Principle 4: Stimulate local funding or co-funding arrangements

Local planning including a SEAN application should normally be funded by the responsible Government agency/ies. However, budgets are often limited. Moreover, where national environmental, social and economic interests are involved, there are arguments for co-funding by international agencies. External funding will particularly be required for participation, facilitation, workshops, monitoring and networking / learning activities, as these tend to get low priority by Governments and have wide spin-off.

Guidelines principle 4:

1. Make a list of expected costs for the SEAN application. There are costs for material, travel, workshops, documentation, facilitation, communication, etc.

2. Discuss what contribution the local owner and implementing agency can make to the SEAN application and planning process. Costs for participation are normally not permitted. Make maximum use of locally available resources, venues, travel possibilities, etc. Negotiate. Draw attention to the local interests to have a good plan: a good long-term plan improves efficiency by reducing transaction costs of conflicting policies or the need for frequent adaptations.

3. Make a budget with clear indication of contributions by external agencies and by the owner and implementing agency.

4. Discuss and anticipate upon costs for implementation of the plan. What budget is available for implementation? Possibly discuss potential external sources of funding the plan, and decide who will contact external funding agencies. External funding agencies should be informed right from the beginning, not only when the plan is ready.

Principle 5: Involve multiple sectors and disciplines from different levels

The SEAN process will deal with a limited area (spatial setting, e.g. a municipality) and may also focus upon a certain sector or sub-sector (e.g. agricultural land-use, waste management, energy use). However, it is essential that the application, and the actors to participate, have a broad scope that extends beyond the (sub-)sector and the spatial area concerned, to take into account critical inter-sectoral linkages and trade-off to other sectors and areas. Large and complex sectors might be split up into sub-sectors for reasons of simplicity (e.g. agricultural land-use split into sub-themes), but the interlinkages should remain clear.

The owner of the process will commission a team to undertake the SEAN. The SEAN team should have representatives from economic, social and environmental interest groups. To a large extent this concurs with different disciplines (technical, social, cultural, environmental, institutional), not only from the sector in consideration. In addition, there should be a balance between Government, civil society and the private sector (Table 1). International groups or institutions could participate to take into account international policies or agreements.

Table 1. Categories of societal organisations

Societal organisation

Specifications

1. Government

· National

· Subnational (decentralised) by sector, or by territories

· Supra-national (optional)

2. Civil society

· Indigenous communities and people’s organisations (POs)

· Environmental, human rights and other non-governmental organisations (NGO’s)

· International NGO’s (optional)

3. Private sector

· National enterprises

· Small and medium-sized (local) enterprises

· Multinational enterprises (optional)

Guidelines for principle 5:

1. On the basis of discussions with the owner and other stakeholders, and general knowledge of the area, determine the key areas to focus upon for the SEAN application. These can be either problem areas or areas where new potentials or opportunities occur. Agree upon main themes and sub-themes.

2. For main themes and sub-themes decide who are the key participants to be involved. On the basis of a long-list, determine who will form the SEAN team. Make sure there is balance between disciplines, and gender balance. Make sure there are representatives from the private sector. The SEAN team should be of limited size to work effectively.

3. Discuss the interests and environmental dynamics that exceed the local context, e.g. through water flows, air pollution, transport, agricultural trade, etc. Make sure these interests will be represented some way or another during the SEAN process, either within the SEAN team or as participants during workshops or meetings. Think about representatives from the national level, to be involved in the SEAN team.

Principle 6: Ensure equitable participation, including affected communities and sectors

Apart from the SEAN team, relevant stakeholders should be selected for participation in different ways: workshops, consultations, peer review to draft results, public reviews, etc. This requires insight in all relevant stakeholders, and careful selection of critical ones. Here use can be based on a stakeholder analysis (see analytical module 1). Groups affected by present and expected environmental and social problems are often forgotten (see Box 4).

Guidelines for principle 6:

1. Make a preliminary overview of the various stakeholders to be involved. Determine who will be involved in the SEAN process and in what way. Possibilities are interviews, workshops, meetings. There are different methods and levels of participation (Box 5). Where possible strive for the highest level of participation. What are your experiences?

2. Be selective in determining which stakeholders should participate. Actively involving all stakeholders is not functional, and will be costly. For sensitive stakeholder groups (Box 4), determine how these can be represented. Box 6 lists some possibilities.

Box 4: Sensitive stakeholder groups

· Poor groups (e.g. forest dwellers, pastoralists in arid regions, farmers in remote areas)

· Minority groups (e.g. hunter-gatherers, certain ethnic groups)

· Marginal groups (e.g. labourers, urban squatters, landless)

· Women (e.g. women farmer groups, women cooperatives) and children (e.g. youth groups)

· Future generations

· Outside communities (e.g. downstream communities, areas of immigration)

· Biodiversity / intrinsic values of nature

Box 5: Participation ladder

1. Being informed, listening

2. Giving information on request

3. Being consulted, no sharing

4. Functional to achieve pre-set goals

5. Interaction, within set framework

6. Self-mobilisation

Box 6: Possibilities of involving commonly underrepresented stakeholder groups

· Physical presence; this may require active support to ensure access to information and effective participation, maybe additional training.

· Direct representation; for instance by a mayor or local leader showing good leadership, accountability and legitimacy.

· Indirect representation; for instance by NGOs, CBOs, interest groups, cooperatives, etc. who express the views of the ‘victims’.

· The normative observer; this is someone with an independent position and representing the interests of absent stakeholders based on ethical and universal values (e.g. human rights). It refers to the possible role of an external agency in the processes.

Principle 7: Improve access to and efficient use of different information sources

There should be attention for different types of knowledge and information, such as scientific and indigenous, objectively verifiable and subjective, qualitative and quantitative, insiders and outsiders knowledge, implicit and explicit knowledge. Existing information and data bases should be adequately used, before (taking stock) and during (consultation) of the SEAN process. Sensitive issues and conflicting interests should not be avoided, but must be subject of debate aimed at reaching consensus.

Guidelines for principle 7:

1. Make an overview of all relevant existing information and data sources.

2. Contact stakeholders for their information and data sources. Screen the internet.

3. Make a short summary of available information and data sources, focused on the key themes and sub-themes that have been decided upon. This can be considered as a ‘state of the art paper’. Make a file with all background papers, available for insight to everyone.

4. Indicate absence of information (on specific issues), gaps of knowledge, conflicting information and unreliable data sources.

5. Send around the ‘state of the art’ paper to key actors, policy makers and participants, and ask for additional information and comments.

Principle 8: Adopt transparent and equitable working modalities

Participants should have independency and objectivity with respect to their involvement in the SEAN process and its outcomes. Important are a proper mix of participants, definition and respect of clear procedures and transparency of outcomes. It must be avoided that certain interests will predominate. During the SEAN process transparency is needed in three respects:

· The substance (what): it must be clear to everyone what are the purpose, the scope, the boundaries and the expected outputs of the planning process, and how (intermediary) outcomes can be communicated to the public.

· The process (how): working procedures should be clear and agreed-upon. The SEAN team will need to define procedures for equitable participation and transparency, mechanisms to set priorities and take decision (in case of conflicting interests or opinions)

· The participants (who): it must be clear who participates, how and when in the process.

Guidelines for principle 8:

1. Discuss within the SEAN team the methods and tools that will be used during the SEAN process, to ensure transparency, equitability between participants, objectivity and independency. Make use of existing experiences, possibly in other localities.

2. Make a long-list of possible methods and tools, assess strengths and weaknesses, best practices and lessons learned, focus on transparency aspects as elaborated above.

3. In particular consider moments of public participation, peer reviews, expert consultations, public reviews, publication and communication.

4. Discuss how to deal with conflicts and conflicting interests. Possibilities are consensus, majority voting, expert opinion, mediation. Agree on the methods to use.

Proposed format

Method and tools	Weaknesses	Strengths	Best practices	Lessons learned
Method 1
Method 2
Etc.

Principle 9: Make a communication plan to inform key actors and decision-makers

The aim is to strengthen evidence-based decision-making during the SEAN process. To motivate decision-makers to take into account the outcomes and ensure follow-up, key actors and decision-makers should be actively involved in the SEAN process as early as possible. Communication with key actors from the private sector and policy makers must be an ongoing point of attention during the planning process, based on their direct and indirect interests. A communication plan is required to do so.

Guidelines for principle 9:

1. Determine the key actors from private sector and policy makers. Determine their interests in the SEAN process. If they have weak interests, make sure you understand how they could be approached on their own interests. Box 7 gives a checklist.

2. Make a communication plan to keep informed key actors and policy makers. Think about: communication messages, communication tools, critical moments for communication, ways and means to get feed-back, responsibilities for communication, budget for communication, possible external assistance.

3. Start implementing the communication plan right from the beginning of the SEAN process.

Box 7: Possible benefits from SEAN for key actors and policy makers

1. Direct economic benefits:

· higher profits (e.g. through more productive activities, better access to markets, reduction of costs, better technologies, better skills through training);

· less risks (e.g. through more secured or exclusive resource ownership or access);

· greater efficiency through reduced transaction costs, less conflicting policies;

2. Indirect economic benefits:

· involvement in innovations, developing new (‘green’) products and opening new markets,

· reduced confrontation with other groups (e.g. consumers versus private sector, private sector vs. government)

· free publicity and marketing of products and services (tourism, eco-label products, FSC wood)

· network contacts

3. Image and perception benefits:

· better or ‘green’ image, improved reputation.

3. Analytical framework and modules

Apart from the process, there is an analysis to be carried out. To do so, Figure 1 gives an analytical framework. Based on that there are 10 analytical modules to be performed. The analytical modules will help unravel the complex relations between the environment and development, and help participants to decide upon priority issues to take up and work out in the resulting plan. Undertaking a perfect process but not following the analytical modules, will give you a plan that does not tackle the important sustainability issues.

Hereunder guidelines will be presented per analytical module. But first there is need to give some general principles of using these modules.

Analytical principles

1. Flexibility and integration within planning process

Users should make a selection of analytical modules, based on available information and previous work being done, and the need for strengthening of the existing (strategic) planning process on sustainability considerations. For that purpose a framework for self-evaluation of existing planning processes is proposed in Annex 1. The modules can then be used to strengthen plans or planning phases based on perceived needs. Applying the modules is part of an iterative process: outputs of initial modules may be adjusted or improved as based on later results or insights.

2. Mixed scanning approach

A mixed scanning approach increases efficiency of the planning process as no time is lost on detailed analyses of issues that are not priority, or on complete understanding of how a system operates (resource-use system / livelihoods / product chain). Instead, it focuses on critical knots and levers, action points and key sustainability issues and indicators. Adopting a mixed scanning approach implies that a balance is struck between:

· A qualitative approach that focuses at capturing key dynamics, patterns, interrelations, key factors and actors relevant to the sustainable development context of a certain sector. Tools that can be used are: descriptive case studies, public consultation, scenario building, multi-criteria analysis, life-cycle analysis.

· A quantitative detailed analysis of critical issues and priority themes. Tools that can be used are: modelling studies, benefit-cost analysis, risk assessment, economic valuation techniques.

3. Stakeholders determine outcomes

The stakeholders being involved, directly through the working group or indirectly through workshops, debate, feed-back, interviews, etc., determine the outcomes of the analytical modules, apart from existing documentation and studies.

4. Need for early actions and real change

The outcomes lead to policy options aimed at incremental improvements of sustainable development. Where there are strong obstructions, small steps may be required, assuming that a chain of ‘small wins’ will eventually make a change. Small steps can be made by identifying opportunities for early actions, in line with a desirable direction of change. Where possible, early actions should address causes of problems and the actors involved, and not symptoms.

Module 1a: Stakeholder analysis and mapping

Aims:

To map relevant stakeholders, i.e. those with primary (direct) and secondary (indirect) dependency on and interests in a certain (sub-)sector, including their interrelation, power relations, interests in the sector and poverty status.

Background:

A SEAN should be based on norms and perceptions of stakeholders. Actors are social entities (individuals or organisations). Stakeholders are one category of actors with a direct or indirect dependency on and interests in a certain sector. Because of their high dependency, stakeholders are a logical starting point for defining more sustainable development options. They are the first to perceive negative impacts, or benefit from improved management. Categories of stakeholders are listed in Table 1, sensitive stakeholders are listed in Box 4.

Guidelines:

1. List all stakeholder categories with dependency on the locality. Classify as follows:

Primary (direct) and secondary (indirect) dependency
Different positions along the product chain (producers, traders, consumers, etc.)
Local, regional, national and international level
Government, civil society and private sector (see Table 1)

2. Indicate interrelations between stakeholders, and type of relation (e.g. legal / contractual, market, information exchange, interpersonal, power, ..)

3. Cluster and set priorities. Possible criteria for setting priorities are numerical importance, interrelations, power, or level of dependency.

4. Make a visual presentation, either in the form of a map, table, matrix, etc. which indicates the main stakeholders with their dependencies / interests / tasks.

5. Make a matrix indicating which stakeholders have mutual or conflicting interests; make historical descriptions of roles, dependencies or interests; indicate power relations.

Inventory format - example

Category	Stakeholders	Interests	Poverty status
Local	Large landowners / cooperative Small landowners / cooperative Women Upstream watershed forest owners	Primary Primary Primary Secondary	Low Medium Medium Low
Consumers	Urban consumers	Secondary	Medium
Private sector rice commodity	Traders providing agricultural inputs Local / national rice traders International rice traders	Secondary Primary Secondary	Low Low Low

Relationship format - example

	Large landowners	Small landowners	Traders	Banks	Extension Dept.	Local NGOs
Large landowners		!	+	+	+	0
Small landowners	!		0	!	0	+
Traders	+	0		+	+	!
Banks	+	!	+		+	!
Extension Dept.	+	0	+	+		0
Local NGOs	0	+	!	!	0

+ = mutual interests; 0 = neutral, ! = conflicting
Module 1b: Identification of environmental functions

Aims:

To define the main environmental functions, based on stakeholder perceptions, particularly those of sensitive social groups.

Background:

Sustainable development is about striking a balance between environmental, social and economic dimensions, dealing with trade-off, avoiding unacceptable change and finding win-win opportunities. To do so, for the three dimensions should be defined specific values that are critical for sustainable development. For the environmental dimension, we speak of environmental functions. These allow one to be very specific about what is to be managed.

Guidelines:

1. List all environmental functions that are in some or another way important for stakeholders, and that can be found in the locality. Make a long-list. Use Box 8 and Annex 2 for inspiration. It might be useful first to identify resource-use systems (such as agriculture, fisheries, construction, waste disposal, etc.)

2. Set priorities, by asking oneself which of these functions is most important for whom. Make a short-list of the most important environmental functions.

3. Of each priority environmental function, make a brief description, including such issues as: current quality, major geographical variation within the area (preferably with maps). Describe unique ecosystems, plant and animal species (being rare, endangered or highly valued). At this stage it may be decided to make separate analyses for distinct geographical units within the area concerned (e.g. rural lowlands, rural highlands, urban).

Box 8: Categories of environmental functions (see for details Annex 2)

· Primary production functions, these are products directly derived from the environment, e.g. food, fibres, energy, fresh water, fodder, minerals, construction materials, etc.

· Secondary production functions, these are products that require human management, e.g. agricultural crops, livestock fodder, irrigated crops, etc.

· Regulation functions, this is the capacity to provide security and stability, and withstand external shocks, e.g. purification of air and water, protection against floods and droughts, dispersal of seeds, provision of micro-climate, regeneration of soil fertility, etc.

· Biodiversity functions, including the diversity of species, habitats and landscapes, with mainly indirect values for human well-being

· Enrichment / cultural functions, these are non material values, e.g. spiritual values, landscape values, historical sites, cultural traditions, …

Module 2: Trends of environmental functions

Aims:

To define of priority environmental functions the main trends, and the interrelations between trends.

Background:

While in module 1 we looked at a static situation, there is need to understand the underlying dynamics. How have environmental functions changed in the past, and what are changes that can be expected in the near future? To do so one should make use of indicators and observations by stakeholders.

Guidelines:

1. Of all important environmental functions (identified in module 1b), indicate the trends during the past 5-10 years. How have qualities or quantities of the environmental function changed?

2. List the indicators and observations that are at the basis of these assessments. Pay particular attention to per capita pressure indicators and demographic trends. The pressure on natural resources and other environmental functions will largely depend upon demographic changes, consumption patterns and the level of technology.

3. Of each trend, describe the time span involved, the location and the size of the area affected, the intensity and severity of change.

4. Describe positive exceptions on ‘average’ trends (where, when, how). These exceptions might be valuable starting points for innovations (opportunities). Avoid that the general view of environmental degradation predominates.

Proposed format

Environmental function	Trend	Underlying indicators / observations	Positive exceptions

5. Make cause-effect chains between environmental functions to get better insight in the dynamics between different environmental functions and processes. These can best be made per sector (e.g. agriculture) or per theme (e.g. forest exploitation). The SEAN Toolbox gives checklists for cause-effect chains.

Module 3: Impacts of environmental trends

Aims:

To assess the expected social and economic impacts of environmental trends on human society, in order to justify why it is important to do something about it, and improve environmental management.

Background:

Doing something about the environmental trends requires investments and efforts. So there is need to justify very clearly why such investments are required. What would happen if nothing is done about it? Here, we need an assessment of the current trends on societal social and economic values for different stakeholder groups. How will these be affected if the trend would persist? Box 9 gives some general values that can be used to assess the impacts of environmental changes.

Guidelines:

1. Cluster associated trends to make a short list of main environmental trends. This can be done by using insights from cause-effect chains. It can also be done by selecting one major environmental trend per natural resource (forest, water, soils, minerals, etc.)

2. Assess the social and economic impacts of these environmental trends on human society, using the general values listed in Box 9. These general values can be replaced by more specific values for the locality. Indicate the results in a trend-impact matrix (see SEAN Toolbox step 3). In the matrix, give indications of positive and/or negative impacts, and possibly specify as follows:

· which stakeholder group(s) is/are concerned;

· the severity of the impacts (positive or negative, reversible or irreversible);

· the associated risks;

· any geographical specifications.

3. Specifically assess impacts of environmental trends on sensitive stakeholders (Box 4)

Box 9: General values from social and economic dimensions of sustainable development

1. For the social and cultural dimension:

- Health (physical and mental),

- Security (safety, food security, income security, …)

- Education (formal, informal, access to information, …)

- Autonomy (traditions, management rights, …)

2. For the economic dimension:

- Production / incomes (quantity and quality of material and non-material goods and services)

- Efficiency (of production systems, capital and human inputs)

- Intergenerational and intragenerational equity (access to resources and control of benefits)

Module 4: Making a vision and bottom-line standards

Aims:

To define a vision for the locality, ideally shared by all stakeholders, and bottom-line standards, as boundaries to respect at all times.

Background:

Sustainable development is about avoiding and minimising unacceptable risks, undesirable change and negative impacts, and about realising a desirable future.

Risks and bottom-line standards à Effects / impact to avoid

Vision for desirable future à Sustainability goals to strive for

This requires definition of risks, bottom-line standards, and a vision for a desirable future. The vision serves as guidance for directing policies towards a more sustainable development trajectory. Bottom-line standards are useful as normative boundaries for any subsequent assessment of policies or plans, to assess what are acceptable and unacceptable impacts. Defining bottom-line standards should be based on unacceptable risks and limits of undesirable change.

Guidelines:

1. For defined key environmental functions, indicate risks or thresholds for irreversible or unacceptable change, particularly for unrenewable (social or environmental) resources. Risk perceptions and the criterion of ‘unacceptability’ is based on stakeholder perceptions.

2. Where possible, define bottom-line standards required to avoid unacceptable risks or undesirable / irreversible change. Quantify standards where possible. Draw conclusions on priority values.

3. Define a vision for desirable qualities of key values for the sector within its context. A good vision should meet criteria as indicated in Box 10.

4. Based on above, define sustainability goals, and then targets associated with bottom-line standards (not to surpass) and the vision (to strive for).

Box 10: Criteria for a good vision

· Sufficiently specific for the sector and context concerned, referring to specific values

· Constitute a challenge but also be realistic (e.g. it should be economically feasible, take into account existing tensions, look forward and deal with emerging pressures)

· Be stimulating and motivating

· Create an image of a desirable future.

Module 5: Defining the main environmental problem/s

Aims:

To define the main environmental problems, as one angle for defining solution strategies.

Background:

A problem is defined as a discrepancy between the current situation and a desirable situation. Where trends surpass (or will surpass) bottom-line standards a problem is apparent (or will become apparent). So a problem is largely based on stakeholder perceptions. The focus should be at integrated problems, i.e. trends that trigger changes in different dimensions (social, economic and environmental); this requires insight in intersectoral relations.

Guidelines:

1. Define main problems where trends lead to unacceptable risks, surpass bottom-line standards or are expected to do so in future (threats), especially for different priority environmental functions. The focus must be on integrated problems.

2. Indicate for each problem the stakeholders benefiting from trends (the ‘winners’), and those suffering from trends (the ‘losers’) and for whom the problem is most urgent. For each problem might also be indicated: risks for society, and associated costs if the problem is not solved.

3. Describe each environmental problem on the following criteria: location, stakeholders affected, responsible actors, urgency, underlying trends, current impacts and expected risks for society. See below checklist and format.

Proposed format

Criteria	Importance for identified problem
Location	·
Stakeholders affected	·
Responsible actors	·
Urgency	·
Underlying trends	·
Current impacts and expected risks for society	·

Module 6: Analysing causes of problems

Aims

To identify the underlying factors and policies causing the identified problems within different sectors, with the main responsible actors and opportunities for positive change.

Background:

Problems should be solved in a fundamental way, and to do so causes and underlying factors should be identified and addressed. Looking at potentials and opportunities is useful to identify win-win options and starting points for solution strategies. Underlying causes and opportunities might be referred to as ‘knots and levers’. This will allow identification of actions and policy options that can make a change. In almost all cases there will be need for a package or combination of interrelated policy options, because problems are in most cases caused by a combination of factors from different sectors.

Guidelines:

1. For each identified problem, indicate factors causing the problem. These may be found at local, national and international levels and within different dimensions. For identified factors, indicate the associated actors, i.e. social groups, organisations or institutions largely responsible for the existence of the identified factor. Use the below matrix to organise findings, do not necessarily fill in each cell. Be as specific as possible.

2. Also identify opportunities that will help solve the problem (see Box 11).

3. Discuss the interrelations between factors in different cells, and on the basis of that define priority cross-cutting issues. Maybe map the outcomes as presented in Figure 3.

4. Summarise by grouping the findings:

per problem: underlying policy issues and other factors, actors and opportunities (set of interrelated issues per problem)
for all problems: cross-cutting policy issues and other factors, actors and potentials / opportunities (of general validity)
uncertainties and gaps of knowledge; possibly hypotheses on causes and interrelations between factors that need to be tested.

Proposed format

Problem identified: ---------------------------------------------
Levels	Specific factors causing the problem., associated actors and opportunities to help solve the problem, within different dimensions and at different levels
Levels	Economic	Socio-cultural	Environmental	Institutional
Local	Factors: Actors: Opportunities:	Id.	Id.	Id.
National	Id.	Id.	Id.	Id.
NB: Under economic dimension also consider technical and financial factors Under socio-cultural dimension also consider demographic, knowledge and information factors Under institutional dimension also consider political factors

Module 7: Defining potentials and opportunities

Aims:

To define the main environmental potentials and opportunities, as another angle for defining more environmentally sustainable plans and policies.

Background:

Apart from looking at problems, it is useful to look at potentials and opportunities for improving the existing situation. Potentials are defined as human or natural resources that may be used more effectively to direct and focus a sustainable development process. Where positive change or initiatives appear with respect to a certain key sustainability value, these may constitute opportunities for support or wide-spread replication to be taken up in a policy option. Both potentials and opportunities are starting points for defining plans and policy options for more sustainable development.

Guidelines:

1. By brainstorming, make a long-list of the potentials of the locality. Involve the private sector and other stakeholders. Think differently, not about problems but about economic and other development potentials. Be creative. See Box 11 for examples.

2. Then brainstorm about opportunities. These are more operational. See Box 11 for the difference with potentials.

3. For both potentials and opportunities, make a short-list by setting priorities. This can be done on the basis of criteria such as: chances of being realised, contribution to development of the locality, earlier experiences.

Box 11: Potentials and opportunities to consider

· Potentials are defined as human or natural resources that may be used more effectively to direct and focus a sustainable development process. Examples are undervalued water resources, underdeveloped tourist potentials, high level of local knowledge, existing networks, religion-based nature awareness, ….

· Opportunities are promising starting points, such as private sector initiatives, new technologies, emerging markets, promising innovations, new laws, new policies, international pressure, international conventions, decentralisation policy, new elections, innovators, early adopters of new technology, promising pilot projects and case studies, new products, stakeholder platforms, ….

Module 8: Defining priority potentials and solutions

Aims:

To determine which potentials, opportunities and policy options are most desirable and promising, by checking these upon sustainability and other criteria. Where possible, win-win options are defined, i.e. options with positive impacts on both environment and development, and actions that can generate early successes.

Background:

Realistic policy options should meet sustainability criteria, be technically feasible, cost-effective and meet needs from society. Policy options are based on potentials and the need to tackle problems and their underlying causes. In some cases, win-win options can be defined. Some examples are given in Box 12. Lastly, there is need to define actions that are very promising, as being based on existing operational opportunities (see Box 11). A sustainability check is important to (1) avoid negative impacts on sustainability values, (2) make maximum use of potentials for synergy to reach sustainability goals by means of certain policy options, and (3) create maximum synergy between the different policy options.

Guidelines:

1. From the long-list of potentials and opportunities, look how these can be connected to problems or underlying causes of problems to form win-win options. The aim is to make use of existing potentials and opportunities to identify promising policy options and actions.

2. For the win-win policy options short-listed, and for other solution strategies, plans or actions, assess whether they meet criteria of sustainability, technically realistic, cost-effective and based on societal development needs.

3. On the basis of outcomes, set priorities.

Proposed format for check of potentials, opportunities and other policy options or actions

Type of expected impact and potential synergy	Option / action 1	Option / action 2	Option / action 3
On sustainability goals
On technical feasibility
On cost-effectiveness
On linkage to societal development needs

Box 12: Some win-win options, for inspiration

· Technologies that make more efficient use of scare natural resources, generate less waste and are less labour intensive

· Use and marketing of products from natural resources on a sustainable use basis

· Co-management arrangements with local communities, leading to better control and reduced illegal resource-use

· Production for organic agriculture or fair trade markets, based on good criteria

· Reuse of urban wastes for agricultural or other development purposes

· Recycling of wastes in an energy-efficient manner, with benefits for local communities

· Cost-effective renewable energy technologies, with reduced energy costs for citizens

Module 9: Defining a strategic plan

Aims:

To develop a strategic plan, based on insights on main problems, potentials, opportunities and solutions, as well as actions for early success. The strategic plan can consist of policy options and actions for decision makers to make choices and set priorities.

Background:

Strategic planning is not an easy task. It requires a good overview of the whole (a holistic view), in order to design policy options that have a long-term and large-scale validity. A good vision is one element of a strategic plan. The strategy is there to bridge the gap between the present and the vision, and is based on insights from other modules. The vision and strategic plan provide direction and contours for concrete actions to be identified ‘along the way’, as part of a ‘learning-by-doing’ approach, with new insights and monitoring results as inputs to operational planning. The desirable structure of the strategic plan is presented in Figure 4. Box 13 lists the elements of a good strategic plan.

Guidelines:

1. Formulate a new vision, or adjust the existing one, for the locality (see also module 4). Ideally, the vision is shared by all stakeholders.

2. Determine how one can best move from the present to the vision. What are the priority themes, win-win options, actions and long-term strategic orientations? These should have been checked in module 8. Make sure you make use of all insights from previous modules. This also includes bottom-line standards (module 4), to use for checking whether new actions, projects or programmes are sustainable.

3. For each long-term strategic orientation, list actions that can be started soon, and which can generate early successes. These are ideally based on opportunities, and fit into the long-term vision and strategy. So early actions might be replication of successful projects or initiatives.

4. Make a draft strategic plan, and make sure all stakeholders and decision-makers have sufficient time to provide feed-back on the draft plan. Be transparent in how feed-back and reactions are treated. Indicate conflicting interests or different views.

Box 13: Elements of a good strategic plan, see also Figure 4

· Description of current situation: insight in the current situation and its context, the qualities, trends, expectations, causing factors, opportunities, interrelations, actors and institutions involved

· The vision: a powerful image of a desirable future situation giving direction and motivation

· The Strategy or strategic orientations: paths to bridge the gap between the current situation and the desirable future, characterised by targets, actions based on opportunities and indicators. A strategic orientation can be set in action any time.

· Actions for early successes, based on opportunities

· Operational principles: this will include social and environmental principles or bottom-line standards to be respected during application of the strategy

· Issues for institutional strengthening: organisational and institutional requirements to realise the strategy, by implementing organisation. It includes a good monitoring and learning mechanism.

Module 10: Defining a monitoring plan

Aims:

To provide a concise set of indicators that can be used to monitor progress of implementation of the strategic plan and its activities.

Background:

There is need to monitor progress of the implementation of the strategic plan and the operational plans and activities derived from that. This can be done by means of a well designed monitoring plan that addresses both performance of the strategy and performance of the responsible institutions. Monitoring is an essential part of an adaptive management system (of a policy, plan or project), to find out whether interventions are effective, to foresee threats and benefit from opportunities. A good monitoring system goes together with flexible policies, and allows to respond to changes and unpredictable events. Like planning, investing in effective monitoring pays in the long term.

Guidelines:

1. There is a logical sequence of steps to design a monitoring framework (Box 14).

2. Critical is the design of good indicators to monitor. Environmental indicators must be based on local knowledge and existing indicator frameworks. Norms for indicators will be based on existing norms and standards. Indicators should be as much as possible quantitative and specific for the context concerned. Possibly make use of the state, pressure and response indicator framework (Box 15).

3. Keep the list of criteria and associated indicators at a credible and manageable size. In selecting criteria and indicators.

4. Possibly give the main characteristics of a monitoring and early warning system, making use of the defined criteria and indicators. A monitoring system should be simple by focusing at key indicators, making optimal use of existing data sources, and by involving stakeholders in data collection where possible. An early warning system is basically a network of observers and organisations at different (policy) levels.

Box 14: Steps for set up of an environmental monitoring system

Step 1: Context analysis to acquire insight in key issues for policy or project

Step 2: Definition of monitoring objectives (WHY monitoring environmental qualities?)

Step 3: Determining the indicators and the reference situation (WHAT to monitor?)

Step 4: Definition of the information flow (HOW to monitor the indicators being identified?)

Step 5: Definition of responsibilities, required means and costs (WHO will monitor the indicators?)

Step 6: Analysis of the data and evaluation (what to do with the results?)

Box 15: Environmental state, pressure and response indicators

· State or quality indicators: reflect the condition of the environment, have direct linkages with environmental qualities to be monitored

· Pressure indicators: reflect the pressures by human activities, have indirect linkages with environmental qualities to be monitored. There are:

- direct environmental pressure indicators

- indirect environmental pressure indicators

- indirect indicators in the field of politics, economics, social change

· Response indicators: reflect the human response measures to environmental problems.

Annex 1: Framework for self-evaluation of existing plans and planning processes

Phases of planning process

Questions to check sustainability considerations

1. Initiation

· Decision on purpose

· Design of the process

Process:

· Is it clear who is the owner? Is the owner legitimate?

· Has the public been adequately informed of the initiative?

· Is the planning process transparent? Can stakeholders influence the planning process?

· Does the initiative take into account existing relevant plans? Does it build on previous experiences? Has relevant information been identified?

· Is it clear what sectors, disciplines and stakeholders will be involved?

Substance

· Is the overall purpose of the planning process clear?

2. Analysis and design

· Identification of problems and opportunities

· Analysis of problems and opportunities

· Defining goals

· First design of options

Process:

· Have relevant stakeholders been actively involved? Same for marginalized groups?

· Has the public been informed of the results? Is there room for public feedback and inquiry? Is feedback taken serious? Can the public influence the analysis and design?

· Has a multi-disciplinary team been involved? Are different sectors / disciplines involved on an equal basis?

· Is available information actively used, quantitative and qualitative, scientific and local knowledge?

Substance:

· Are past and present trends assessed? Are problems well defined? Are winners and losers of the problem identified?

· Are root causes of problems identified, including relations with other sectors? Are the key actors involved identified? Also at national and international level?

· Is there insight in trade-off between sectors, spatial trade-off, trade-off in time (future)? Same for trade-off between environment, social and economic goals?

· Is there insight in promising initiatives, opportunities and win-win options? Do these offer scope for early successes?

· Are key sustainability issues identified, particularly those relevant to poverty alleviation? Are goals defined for key sustainability issues?

· Do solutions address root causes of problems? Do solutions make use of existing opportunities?

3. Planning

· Appraisal of solutions / options

· Setting priorities

· Formulation of plan

Process:

· Are procedures for decision-making and priority setting transparent?

· Has the public been informed of the results? Is there room for public inquiry? Is feedback taken serious? Can the public influence decision-making?

· Is there two-way communication between decision makers and civil society and private sector?

Substance:

· Have scenarios been developed? Has a vision been developed?

· Is the proposed strategy consistent with the vision, with analytical insights, and with sustainability objectives?

· Does the plan take into account vulnerable social groups and other key sustainability issues / goals?

· Have trade-offs between environment, social and economic goals been explained and justified? Does the plan provide solutions for identified trade-off by mitigation, compensation, alternatives or flanking policies?

· Is the operational plan consistent with the strategic goals?

· Have win-win options been identified? Have strategic partners been identified?

· Does the plan stimulate integration between development sectors? Is the plan consistent with other relevant plans and legislation?

4. Monitoring

Process:

· Are capacities and resources available for monitoring and updates of the plan?

· Will monitoring be done by multi-disciplinary teams?

· Will all monitoring results be available to the public?

Substance:

· Is there a monitoring plan to measure contribution of the strategy to relevant elements of sustainable development?

· Are monitoring indicators identified? Do these include sustainability indicators?

Annex 2: Environmental functions

I. Primary production functions

· Oxygen by vegetation;

· Vegetative food and nutrition for humans (directly edible);

· Fodder and nutrition for livestock (directly edible);

· Wildlife products and fisheries;

· Biochemicals and nutrients (for agricultural production mainly);

· Water for drinking by humans (safe drinking water, thus with a high quality);

· Water for drinking by animals / livestock (lower quality acceptable);

· Water for irrigation, fisheries, industries, cleaning etc.;

· Water as a transport medium;

· Genetic resources (for agro-biodiversity mainly - both flora and fauna);

· Medicinal products (flora and fauna);

· Fuel and other energy resources (e.g. petrol and wood);

· Raw materials for building, construction, clothing, handicrafts, etc;

II. Secondary production functions

· Livestock products;

· Agricultural crops;

· Construction materials;

· Forest plantations.

III. Regulation (protection) functions

· Regulation of run-off waters and erosion by vegetation;

· Regulation of flooding by river floodplains, marshes, etc.;

· Water catchment and groundwater recharge;

· Protection against flooding by dunes, mangrove and forest fringes;

· Water retention capacity of soils;

· Purification functions of waters and soils;

· Storage and break down (decomposition) of wastes;

· Biological control mechanisms, e.g. for crop protection;

· Forming of topsoil;

· Regeneration and maintenance of soil fertility;

· Reproduction and growth of animals and plants;

· Maintenance of biological and genetic diversity (among species and habitats);

· Micro-climate function of forests;

· Forests as carbon sinks in terms of global warming effect.

IV. Enrichment or cultural functions

· Aesthetic and tourist values (the beauty of landscapes and nature);

· Spiritual and religious values (e.g. holy trees, sacred forests);

· Intrinsic values of all biodiversity (‘the right to be there’);

· Historical, cultural, scientific and educational values.

Strategic Environmental Analysis (SEAN)

Short version

June 2003

Jan Joost Kessler

AIDEnvironment

Donker Curtiusstraat 7-523

1051 JL Amsterdam

web-site: www.aidenvironment.org

Amsterdam

Monitoring environmental qualities (English)

Table of contents

2. Principles for the SEAN process 7

3. Analytical framework and modules 15

2. Principles for the SEAN process

3. Analytical framework and modules

Box 15: Environmental state, pressure and response indicators

I. Primary production functions