Analysis of SEA Trainings1 In the context of the OECD Development Assistance Committee (DAC) Guidance:

Applying Strategic Environmental Assessment. Good Practice Guidance for Development Co-operation

September 2007

Written by Alfred Eberhardt on behalf of BMZ/GTZ (contact: Harald.Lossack@gtz.de; Axel.Olearius@gtz.de)

Table of contents 1. Context and purpose of the analysis 2. Approach of analysis 3. Main results of analysis 4. Conclusions and further recommendations Annex 1: Overview on analyzed SEA trainings Annex 2: Analysis of courses along defined parameters

1. Context and purpose of the analysis The main purpose of this analysis is to compile and characterize relevant existing training courses on Strategic Environmental Assessment (SEA) and evaluate in which way they are capable of supporting capacity development aiming at implementing the OECD DAC Guidance. This definition implies: The main application context for the training courses in question should be on development co-operation. The target groups of the training have to come from the two main users groups of the Guidance, namely developing/partner countries and development co-operation agencies. This includes also that this analysis will in no way judge whether a training course is good or bad, but only whether it is supportive in the context of the OECD DAC Guidance. 2. Approach of analysis The analysis will evaluate a number of existing training courses. This will be done against the main guiding principles of the Guidance. Among these, the following are considered especially relevant in respect to capacity development through training: Non-blueprint approach: The course should not be based on a rigid understanding on how a perfect SEA should look like. Actual assessments in developing countries might have very different shapes according to local practices and institutional conditions, to the concrete aims, to the available resources and capacities etc.. The course should support a meaningful and flexible application of core elements of an SEA. Outcome/result orientation: The final goal of capacity development for SEA is not a well done SEA but better decisions in respect to sustainability and environmental soundness. Therefore, a training should not focus merely on certain techniques for assessment but on the interlinkages between planning, SEA and decision-making. Learning orientation: Training should strengthen the capabilities to continuously improve the decision making and implementation process. It should stimulate these institution building processes rather than enable a stand-alone SEA. And it should use specific capacities and potentials already existing in the country of application rather then establishing new ones. This implies that the training should be tailored along the concrete conditions and institutional systems of the country.

Resulting from the main purpose of analysis and the guiding principles as described, the following concrete parameters are being derived against which the analysis of training courses will be conducted:
Feature area Parameter Explanation Relevance for application in development cooperation The composition of the course will highly influence its relevance to building /strengthening practice oriented capacities

Type of course/manual

Classification into the following categories: Lecture Demonstration cases Group discussion Exercises Combination Level of elaboration

Usually a course might comprise several of the components listed.

Use of modules

Is the course fully elaborated including slides, illustrations, working materials etc. or is it restricted to a manual which has to be translated into a concrete course? Is the course based on different modules which can be composed according to the concrete training needs? Does the course communicate that assessments might have different forms according to the concrete challenges? Does the course communicate ways to cope with imperfections in respect to institutional and capacity prerequisites? How far does the course focus on intellectual / academic reflections of SEA application? How far does the course communicate messages through examples? How far are different didactical approaches combined in one course? How far are participants invited to work on practical exercises / simulations during the course? How far does the course include reflections on the

In concrete situations of training needs it might be difficult to have longer preparatory challenges for course development prior to the course performance. A module based structure would support the adaptation of a course to the concrete challenges in the country.

Contents

Openness for different SEA concepts

Reflection of imperfections

Due to limited capacities in partner countries, adaptations of assessment can be crucial for the acceptance of its application. It is most crucial for the relevance of a training in a partner country whether it reflects existing imperfections. Too academic reflections might deduce from practice oriented learning as required for partner countries. Experience shows that exemplifications make the lessons more relevant for the participants. The change of methods in line with modern didactics can intensify the impact of training. Praxis orientation as required for training in developing countries will gain significantly from practical exercises. Due to imperfections in the institutional set-up of many

Didactical approaches

Intellectual level

Use of exemplifications

Change of didactical methodologies

Practical case work/exercises

Instructions for transfer to day-to-

day work

transfer of lessons learnt to the day-to-day work of participants? Does the course provide working materials and instructions such as matrices, checklists, etc.? Does the course exemplify its lessons for a particular sector of application (e.g. transport planning)?

Provided tool boxes, practical instruction materials etc..

partner countries, reflections on the transfer are crucial for the practical relevance of the course. Working materials will support the use of lessons learnt by participants in their daily work. Specifications might enable stronger relevance to the tasks within the developing country but, on the other hand, hamper generalisation of the lessons. Specifications support the transfer of lessons learnt into day-to-day work. This would enable handtailored courses for a particular developing country. Trainers instructions might support train-the-trainers mechanisms and, though that, replication of training in a particular developing country.

Adaptation / specification

Degree of specification to concrete sectors or fields

Degree of specification to concrete country / regulatory system Options to easily adopt course to concrete application

How far is the concrete institutional set-up in the country of application reflected by the course? Is it possible to adjust the curse to a concrete sector or country situation with reasonable efforts? Does the course provide trainers instructions?

inbuilt replication mechanisms (trainers instructions etc.)

Availability of trainers instructions

3. Main results of analysis The analysis focuses on the available courses according to the overview in Annex 1. The results of the analysis along the parameters of the chart in chapter 2 are shown in Annex 2. The comprehensive analysis can be condensed to some key results, especially with a view to the principles formulated in chapter 2: All courses address more or less the same target group, namely professionals potentially involved in SEA from administration, planning, consultancies, and NGOs. Practically all courses can also be used for training of trainers. One course (World Bank Institute (WBI) Distance Learning Course) mentions decision-makers as target group. However, experiences show that decision-makers at least at higher level can only be exposed to very condensed versions of training. Also in respect to the underlying SEA concept, more or less all courses/manuals are following a quite flexible, non-blueprint orientation which allows partner countries useful assessments also under imperfect institutional conditions. Quite in contrast, the practical suitability for application to partner countries in respect to didactics can only be assumed for few courses/manuals. Crucial features such as a high practice orientation, provision of working-materials and tools, case-based exercises/simulations and explicit modules on the transfer of knowledge to day-to-day work can be found only in a few courses. Most of the trainings are based on a module-type structure or at least organised in systematic chapters which allow composing a concrete training out of modules of relevance to a concrete country situation. However, it seems to be important for practical Technical Assistance (TA) co-operation, that this hand-tailored composition can be

achieved efficiently and with limited resource input. This seems to be possible in a few cases (e.g. UNU/Oxford Brookes and others). Other courses would require intensive consultancy inputs to adapt them to concrete situations. The flexible module structure of some of the courses allows significant synergisms and options for links among them. It is easily possible to include e.g. working sheets or practical examples of one course into another of these three.

4. Conclusions and further recommendations Against the above findings of the analysis, the following challenges in respect to future supply of suitable trainings seem to be crucial: Especially with a view to the challenge of broader institution building and learning processes in partner countries in the context of SEA application, it is necessary to not only address professionals practically involved in SEA implementation but also high-level decision-makers, broader stakeholder groups etc.. In this respect, training courses should allow to extract components for highly condensed courses of an awareness-rising type. A further aspect of the envisaged broader capacity development processes in developing countries is that a course should be suitable for training of trainers and regular applications in the country without further outside support. With this goal, courses should be tailored to the concrete institutional set-up in the respective country. Further, a course application should not be performed as a stand-alone exercise but in close cooperation with training institutions in the country to incorporate it into regular training activities. It seems to be necessary to provide courses which specifically address challenges in developing and emerging economies resulting from concrete planning situations. For this purpose, case simulations are highly efficient. These cases need to be tailored to the concrete challenges. Finally, training activities should be seen in the context of knowledge management in the country. In this respect, Wiki type tools connected with a course and links to new or existing country based SEA/EIA websites might provide important potentials. A recently launched SEA Wiki is based on content and extensive research in the Impact Assessment Unit at Oxford Brookes University. (see http://sea.unu.edu/wiki/index.php/Main_Page)

Annex 1 Overview on analyzed SEA trainings

Name of course, www-link, year of publication

Providing organisation

Brief characterization

Aims and objectives of course

Target groups

Methodology of training

Distance learning course on SEA http://sea.unu.edu/course/?page_id=92 2006

UNU, Oxford Brookes University

Interactive, IT based training course which includes videos, encyclopedia and instruction guide. Designed as distance learning course, but can also be used for presentation courses.

Enable participants to understand and organise SEA, as well as carry out many steps involved in SEA. The goal of the SEA encyclopaedia is to serve as a collaboratively built online information resource used to support, i.a., training activities. It can also be used for identifying suitable cases for training. Ienable them

Professionals involved in SEA from administration, planning, consultants, NGOs

Module based training course, supported by interactive multimedia. Includes some practical exercises.

Duration of course, necessary resources/ modalities Variable according to module character. Free access through internet, no resources required if used as online course.

GTZ/InWEnt SEA Training Course http://www.seataskteam.net/index.cfm?m odule=Forums&page=Forum&ForumID=2

GTZ/InWEnt

Case based training course, which through simulations

Professionals involved in SEA from administration,

Module based, highly practiceorientedcourse based on a

2 - 4 days; curtailment possible due to module

68 2006

Biodiversity in EIA & SEA Voluntary Guidelines on BiodiversityInclusive Impact Assessment. Background Document to CBD Decision VIII/28 http://www.commissiemer.nl/ncea/pdfs/bi odiversityeiasea.pdf 2006

Netherlands Commission for Environmental Assessment

leads through an entire SEA process. Changes of methodology encourage participants to acquire knowledge through alternating perspectives. Guidance on how to ensure a biodiversityinclusive EIA and SEA process. Guidance elements can be used for training.

planning, consultants, NGOs

concrete case which leads through the whole course

character. To be conducted only by certified trainers familiar with Harvard Case Methodology. Guidelines have to be transferred into training course, which requires resources. The design of this course will determine duration and needs for resources. Manual has to be used for tailoring concrete course, which requires resources. The design of this course will determine duration and needs for

Provides conceptual background and methodologies for biodiversityinclusive impact assessment.

Professionals confronted with biodiversity aspects of impact assessment.

Schemes, lists, graphics and boxes provide materials for teaching modules to be individually tailored. Reference list of cases may be used to identify exemplifications.

Resource Manual to Support Application of the UNECE Protocol on SEA (Draft for consultation) http://www.unece.org/env/sea/ 2006

UNECE, Regional Environmental Center for Central and Eastern Europe

Manual on the main requirements of the UNECE Protocol on SEA, which also provides comprehensive materials for training and capacitydevelopment programmes supporting

Support implementation of the UNECE Protocol on SEA

Professionals involved in SEA from administration, planning, consultants, NGOs. Trainers.

Comprehensive theoretical explanations have to be transferred into lessons. The manual includes trainers instructions for practical exercises. Comprehensive toolboxes in the annex provide

application of the Protocol. SEA and Land Use Planning in Lebanon Training Manual http://www.undp.org/fssd/docs/lebanonse atrainingmodule.zip 2005 UNDP, European Commission, Lebanon Ministry of Environment Instruction manual which leads through the steps of SEA. Comprehensive matrices, examples, toolboxes, graphics etc. can be used for training. Support capacity development for implementing SEA requirements in Lebanon. Professionals involved in SEA from administration, planning, consultants, NGOs. Trainers.

additional training materials. Illustrated stepby-step guidance for SEA implementation under the concrete conditions of Lebanon. Concrete courses have to be tailored out of the materials provided. Module based lectures including many illustrations, schemes, case studies etc..

resources.

SEA Distance Learning Course http://web.worldbank.org/WBSITE/EXTE RNAL/WBI/WBIPROGRAMS/ENRLP/0,,c ontentMDK:20380450~pagePK:64156158 ~piPK:64152884~theSitePK:460957,00.ht ml 2004 (?)

WBI, IAIA, SEPA China

SEA Course Manual Current practices, future demands and capacity-building needs www.iaia.org/Non_Members/EIA/SEA/SE AManual.pdf 2003

IAIA

Lecture type training course based on various modules. Included is special part which is adjusted to Chinese conditions (including language). Comprehensive scripts, slide shows and videos. Script of lecture type course including various exemplification, tools, illustrations etc.

Capacity building for environmental assessment of development policies and plans. Assistance to implementation of Chinese EIA Law.

Decisionmakers, officials and practitioners for SEA. Trainers.

Manual has to be used for tailoring concrete course, which requires resources. The design of this course will determine duration and needs for resources. Free access to training materials through internet. Easily to be used by professional trainers. Duration depending on selected modules.

Introduce key concepts and issues that significantly distinguish SEA from other environmental

Not specified.

Lectures, illustrated by schemes, case studies, graphics etc..

2 days course. Needs some time for preparations (designing slides etc.).

assessment and management tools; offer a discussion forum on current SEA experiences.

Annex 2 Analysis of courses along defined parameters

Feature area

Parameter

Type of course/manual

Classification into the following categories: Lecture Demonstration cases Group discussion Exercises Combination Level of elaboration

UNU/Oxford Brookes Distance Learning Course Interactive lectures and exercises. Wiki with access to cases, tools and materials.

GTZ/InWEnt SEA Training Course

NCEA Course on Biodivinclusive assessment Guidance which can be used to design a course.

UNECE SEA Course

UNDP Course for Lebanon

WBI Distance Learning Course

IAIA Course Manual

Combination of lectures, exercises, case work and group discussions.

Guidance for implementation of UNECE Protocol including trainers guide.

Instruction manual which leads through the steps of SEA.

Lecture type training course based on various modules.

Lecture type course.

Ready for lecture application. Exercises might need some adaptations.

Ready for application as full course.

Schemes, lists, graphics and boxes provide materials for teaching modules to be individually tailored.

Comprehensive guidance and instructions for training exercises have to be transferred into a concrete course. Possible through design of concrete course. Flexibility to different SEA concepts.

Use of modules

Free choice of relevant modules.

Free choice of relevant modules.

Not provided for.

Comprehensive explanations, schemes, matrices, examples, toolboxes, graphics etc. can be used for designing a concrete training. Depending on the design of a concrete course.

Comprehensive scripts, slide shows and videos available.

Script-type manual which has to be transformed into concrete course.

Free choice of relevant modules.

Not provided for.

Contents

Openness for different SEA concepts

Flexibility to different SEA concepts.

Flexibility to different SEA concepts.

Flexibility to different SEA concepts.

Assumes a quite rigid SEA implementation process in line with Lebanon regulations.

Flexibility to different SEA concepts.

Flexibility to different SEA concepts.

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Reflection of imperfections

Focus on imperfections and challenges but little on concrete options for developing countries to cope with it. Appropriate for target groups in developing countries.

Focus on imperfections and challenges. Discussions on options to cope with imperfections. Appropriate for target groups in developing countries.

Reflection on imperfections through case analyses.

Reflection on imperfections within several exercises.

Discussion of challenges for SEA implementation in Lebanon.

Focus on imperfections and challenges mainly in case studies.

Reflection on imperfections through case analyses.

Didactical approaches

Intellectual level

Use of exemplifications

Change of didactical methodologies

Use of exemplifications to a limited extent. Access to many examples through Wiki. Mixture of lectures, videos, interactive question-answer elements and exercises. Set of exercises with references to real cases of SEA to be analysed. Not specified for developing countries.

High extent of exemplification through case work.

Mixture of lectures, case work, exercises, discussions.

Relatively high level argumentation, including complex conceptual reflections. Many examples given in the text. Reference list of cases may be used to identify further exemplifications. Not provided for.

Appropriate for target groups in developing countries.

Relatively high intellectual level.

Partly quite academic/at high intellectual level.

Relatively high intellectual level. Many conceptual reflections.

Some illustrations but to a limited extent.

Exemplifications to a limited extent.

Many provided cases and examples.

Various exemplification,

Practical case work/exercises

Simulations of a real case throughout the whole case.

Not provided for.

Depending on the design of a concrete course following trainers instructions. Instructions given do design an exercise on a practical case. Reflected in some tasks.

Depending on the design of a concrete course.

Mainly lecture type but also videos provided.

Not provided for.

Instructions for transfer to day-today work

Separate module on day-to-day transfer with peer-to-peer

Not provided for.

Depending on the design of a concrete course. No cases provided by the Manual. Many recommendations for the practical situation in Lebanon.

Not provided for.

Not provided for.

Reflected in comprehensive case studies.

Reflected to a limited extent in some case descriptions.

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Provided tool boxes, practical instruction materials etc..

Several provided materials such as checklists, criteria lists etc.

advice. Various provided checklists, matrices, maps etc.

Not provided for.

Comprehensive toolboxes in the annex.

Comprehensive schemes, matrices, toolboxes, graphics etc. can be used for training. Some specifications for land use planning.

Practical tools provided only to a limited extent.

Various tools, illustrations, boxes etc.

Adaptation / specification

Degree of specification to concrete sectors or fields

Only partially through exemplifications. Possible to focus on sector through exercises.

Degree of specification to concrete country / regulatory system

Possible to focus on country case through exercise.

High degree of sector specification through case work. Until now only two cases available (transport, PRSP). Specification to a fictive developing country.

Only partially through exemplifications and explained cases.

Depending on the design of a concrete course following trainers instructions.

Possible through selection of case studies.

No specifications given by the manual.

Only partially through exemplifications and explained cases.

Depending on the design of a concrete course following trainers instructions. Possible in the course of the design of the concrete course. The manual includes trainers instructions for practical exercises.

Specifically tailored towards the concrete institutional system in Lebanon.

Options to easily adopt course to concrete application

Through selection of modules and exercises.

Through selection of modules and case.

Needs significant input.

Possible in the course of the design of the concrete course.

Included is special part which is adjusted to Chinese conditions (including language). Through selection of modules.

No specifications given by the manual.

Through selection of chapters.

Inbuilt replication mechanisms (trainers instructions etc.)

Availability of trainers instructions

Only for implementation of exercises.

Trainers instruction for designing new cases.

Not provided for.

Manual also intended as an instruction for trainers.

No trainers instructions but course can be used for trainthe-trainers.

No trainers instructions.

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