Annex 6. Model terms of reference for a Strategic Environmental Assessment

Terms of Reference for the Strategic Environmental Assessment of (name of the strategic/planning document and/or EU support programme) in (country/region)

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Background

This section should enable to get an understanding of the subject of the SEA i.e. the strategic document or the EU budgetary or strategic level support, and its relevant preparation process, and thus allow to outline an approach to the SEA, compose the team with appropriate expertise, and to estimate the budget.

Rationale

A Strategic Environmental Assessment (SEA) is required for the preparation of (name of the EU sector support programme) and/or as support to (name of the partner country/region policy/strategy/planning document).

Explain the status of the strategic document and EU support programme subject of the SEA, e.g. if it is being developed, updated or already under implementation. Explain the reasons why an SEA is required and how the outcomes of the SEA will be considered – i.e., informing policy development/strategic planning or their update, informing the implementation of the strategic document, informing the development of investment plans or pipelines; and/or informing the preparation of the support to be provided by the EU.

If the SEA is prepared in the context of a sector budget support, reference should be made to the need to ensure that the sector strategy being supported is environmentally sustainable and that compliance with the ‘do no harm’ principle should be ensured. Reference should also be made to the need to align EU support to the Global Gateway and European Green Deal and maximise opportunities for the EU support to promote an environmentally sustainable, low carbon and climate resilient development of the sector.

1.  Main features of the strategic document and/or EU support programme

Briefly provide the following information regarding the strategic document and/or EU support programme subject to SEA:

• Level of the strategic document (national, regional).
• Sector and geographical area covered by the strategic document and/or EU support programme.
• State of the strategic document and/or EU support programme (e.g. under preparation, under revision, under implementation).
• Main priorities and objectives as well as specific activities or projects covered by the strategic document and/or EU support programme and that will be subject of the SEA (keeping in mind that the SEA does not necessarily have to cover the whole scope of the strategic document).
• Main alternatives being considered in the planning / policy-making process for the sector strategy, or by the EU delegation (in relation to the preparation of the EU support programme).

Preparation process of the strategic document and/or of the EU support programme

The following information is important to properly outline the approach and workplan for the SEA. Not all points may be relevant, depending on the state of the strategic document.

• Steps and milestones for the preparation and approval of the strategic/planning document and/or the EU support programme.
• Who will coordinate and supervise the preparation process, who will do the actual drafting.
• Any analyses being (or to be) conducted as a part of the preparation process.
• Consultations with relevant stakeholders to be carried out as a part of the preparation process.
• Governmental body responsible for adoption or approval of the strategic document.

2.  Objectives of the SEA

The objective of this SEA is to inform the decision-makers (in the partner country as well as the EU and other donors, and in case of potential transboundary impacts the affected third countries) on the potential significant environmental, climate and social challenges and opportunities related to the (name of the strategic document, investment plan and/or EU support programme).

This includes the identification of potential significant impacts on the environment and climate that may result from the implementation of the strategic document, investment plan and/or EU support programme; the identification of measures to avoid or minimize adverse impacts and to maximize positive impacts.

The SEA will also identify the challenges that environmental degradation and climate change pose to the sustainability and feasibility of the strategy and/or EU support programme and identify measures to be integrated in the strategic document and/or EU support programme to take them into account and enhance their resilience.

The SEA will thus provide elements that will contribute to enhance the state of the environment and health, build climate resilience of the sector and the population, contribute to disaster risk reduction, and promote low carbon development and the transition to a green economy.

3.  Main activities and deliverables

The following main activities will be performed during the SEA:

3.1. General activities

• Overall coordination of the SEA, including communication with the EU delegation, and the governmental body responsible for the strategic document and, if relevant, the SEA Competent Authority (to be specified according to the national SEA legislation or system).
• Coordination of the stakeholders’ participation, including identification of relevant stakeholders, facilitation of their involvement throughout the SEA process, and ensuring that comments and suggestions received are given due consideration.

3.2. Specific activities

• Preparation of the SEA approach, methodology and workplan.
• Conducting the SEA scoping, including consultations with key stakeholders including, inter alia,
  • Literature review
  • Fact finding/data collection
  • Review of prior public consultations (if relevant and accessible)
  • Identification of stakeholders
  • Engagement of stakeholders
  • Site visits
  • Analysis
• Preparation of the scoping report, including validation of its findings through a workshop and consultation of key stakeholders.
• Refinement of the SEA approach, methodology and workplan based on scoping outcomes and feedback from (indicate relevant actors that will review the scoping report).
• Conducting the SEA study, including consultations with key stakeholders including, inter alia,
  • Fact finding/data collection
  • Site visits
  • Engagement of stakeholders
  • Identification and detailed analysis of potential environmental and climate-related risks, impacts, constraints and opportunities
  • Identification of measures to avoid, minimise and offset adverse impacts on environment, on climate and on climate vulnerability; as well as to maximise positive impacts and enhance the sustainability of the sector strategy
• Preparation of the draft SEA report.
• Carrying out consultations on the strategic document and the draft SEA report (depending on the objectives of the SEA, the strategic document may not be subject to consultation).
• Preparation of the final SEA report (integrating feedback from the consultations).

3.3. Reports

The SEA is composed of two parts: a scoping study and an SEA study proper. The scoping study will define the key issues that need to be addressed in the SEA study, considering the specific context in which the support is being developed and is likely to be implemented. Detailed activities and calendar for the SEA study will be determined based on the conclusions of the scoping study.

Key deliverables are as follows:

• SEA approach, methodology and workplan.
• Scoping report (see the details below).
• Draft SEA report (see the details below).
• Final SEA report.

3.4. Other deliverables

• Presentations for the consultation workshop(s).
• Minutes of the consultation workshop(s).

 4.  Outline of the scoping and SEA reports

4.1. Information to be provided in the scoping report

The indicative length of the scoping report is 25 pages.

The following text should appear on the inside front cover of the report:

This report is financed by the European Union and is presented by the (name of consultants/consortium) for (national institution) and the European Union. It does not necessarily reflect the opinion of (national institution) or the European Union.

The scoping report should outline:

• The alternatives or options that should be addressed in the SEA study.
• The key environmental and climate aspects to be examined in the SEA study, the spatial boundaries that will be covered for the different aspects, and the depth or detail of the information and data to be used
• Analytical methods and tools to be used, as well as sources of relevant data.
• Key stakeholders to be consulted (including environmental, climate and health authorities and CSOs, as well as the public).
• The level and nature of stakeholder involvement in the SEA procedure and participatory approaches and methods.
• SEA work-plan and timescale, taking into account the available resources.

Considering the above, the following information should be provided in the scoping report:

• Executive summary
• Introduction
  • Purpose and objectives of the scoping and scoping report
  • Approach to scoping
• Information about the context and the strategic document/ investment plan / EU support programme subject to SEA (see section 1 above), including:
  • A brief description of the relevant strategic planning process and the entry points for the integration of environment, and climate change aspects.
  • If relevant, a short description of the strategic alternatives being considered in the planning process. (These can be defined by the planning entity/EU delegation or proposed by the consultants).
• The specific policy making/planning decisions and processes that will be informed by the SEA; institutional, policy and regulatory framework.
  • A brief description of the policy, institutional and regulatory framework relating to the sector, including relevant environmental and climate policy and legislation.
  • Overview of the environmental and climate objectives relevant to the sector: these objectives should be optimally taken from official strategic documents at the international, national, and/or local/ municipal levels. Typically, they include e.g. national environmental strategy and action plan, National Biodiversity Strategy and Action Plan (NBSAP), Nationally Determined Contributions to the Paris Agreement (NDC), etc.
  • Overview of relevant environmental and climate objectives and criteria at EU level against which the sector strategy / EU support programme should also be measured (e.g. excluded activities under Article 29 of the NDICI-GE Regulation, European Green Deal, MIP objectives and indicators).
• Overview of the environmental and climate change context, of relevance to the sector, including:
  • Brief description of the main environmental and climate-related issues in the likely affected area (e.g. main sources of water pollution or biodiversity decline).
  • Brief description of existing and planned future activities with a potential to create cumulative impacts with the proposed strategic document and/or EU support programme.
  • Brief description of the current and expected impacts of climate change in the area of influence of the strategic document and/or EU support programme.
  • Outline of the trends and drivers for the key issues identified i.e., main factors affecting situation so far (e.g. agriculture can be a major source of the water pollution, poaching a key source of biodiversity decline, etc.)
  • An overview of sensitive areas or hotspots relevant for a given environmental or climate-related topic e.g. areas with unsatisfactory water quality or availability, nature-protected areas, areas prone to erosion and/or floods, etc. This section can use maps and schemes. If the area cannot be clearly determined, at least a ‘type of area’ should be described (e.g. ‘river sections downstream to large cities can be considered a geographic area of water pollution by municipal waste waters’).
• Main gaps in the existing information and data needed for further analyses of the likely effects.
• Overview of the characteristics of environmental and climate aspects likely to be significantly affected by the implementation of the sector strategy and/or EU support programme, indicating the potential causal link with the sector strategy (Note: the list below needs to be adjusted to the strategic document subject of the SEA. The key is to focus the analysis and SEA on relevant areas and issues, not to provide a thorough overview for all environmental components and aspects):
  • Climate (i.e., greenhouse gas emissions and degradation of carbon sinks) and climate change vulnerability
  • Air quality
  • Geology, land, and soil (including land use, soil degradation, and pollution)
  • Water quantity, i.e. river basins including transboundary linkages, lakes and other surface waters and groundwater aquifers (rate of renewal); water use and allocation; quality of water resources, main types and sources of pollution. Waste and wastewater management
  • Ecosystems and biodiversity, including protected areas and protected species; ecosystem services and their uses / users (dependency, vulnerability, status)
  • Culture heritage
  • Key social aspects (poverty, vulnerable groups, gender issues, education and training, etc.)
  • Environmental health
  • Nuisances (e.g. odour, vibrations, visual impacts)
• Overview of the state of the natural resources and climatic conditions necessary for the development of the sector and for the effective implementation of the strategic document and/or EU support programme (e.g. water availability for electricity production, quality of soils for agricultural production, predictability of rainfall).
• Initial identification of the key environmental and climate issues relevant to the strategic document and/or EU support programme, which will be addressed in SEA study, in the light of:
  • Potential significant impacts on the environment, significant contributions to greenhouse gas emissions (in relation to national emissions), and increased climate change vulnerability associated to the implementation of the strategic document.
  • Key environmental, natural resources and climate change aspects that impinge on sector performance and are not adequately addressed by the strategic document.
  • Key opportunities for the strategic document to make a significant contribution to environmental sustainability, climate resilience, low carbon development and the transition to a green and circular economy, including through the adoption of nature-based solutions.
  • Potential conflicts between the sector strategic document and environmental and climate change policy objectives (at national or sub-national level, as well as those of the EU).
• Depending on expected impacts on society and the scope of other studies, there is also a need to determine the extent to which social impacts should be assessed (In this case, likely impacts on the population should be disaggregated by gender, age, or other relevant social criteria), notably from the perspective of livelihoods, poverty reduction, gender-related impacts, and the position of vulnerable groups.
• Analyses and surveys to be conducted during the SEA, methods and tools to be used, as well as sources of relevant data: Special attention should be given to identifying those environmental interactions that will require quantitative analyses and those for which qualitative analyses should be carried out.
• Identification of relevant stakeholders, including the public, to be involved in the SEA; and the consultation plan.
• Results of the stakeholders’ workshop validating the key issues identified and to be addressed in the SEA study.
• Revised calendar for the completion of the SEA study.

4.2. Information to be provided in the SEA study report

The indicative length of the SEA report is 100 pages.

The following text should appear on the inside front cover of the report:

This report is financed by the European Union and is presented by the (name of consultants/consortium) for (national institution) and the European Union. It does not necessarily reflect the opinion of (national institution) or the European Union.

The SEA report will be based on the results of the scoping phase and should include:

• An environmental and climate baseline study.
• Identification of significant environmental and climate change risks, constraints and opportunities (largely informed by the scoping study but validated at this stage).
• Identification and assessment of the potential significant environmental and climate-related impacts, and mechanisms/approaches to avoid or minimize the potential adverse effects and maximise the positive ones.
• Description of how negative and positive effects will affect different groups in society; in other words, who are the winners and who are the losers (with special attention to vulnerable groups and gender division). 
• The identification of options for the strategic document and/or EU support programme to make positive contributions to environmental sustainability, climate resilience, low-carbon development and the transition to a green and circular economy.
• An analysis of the performance indicators of the strategic document and/or EU support programme, and appreciation of the institutional capacities to address the environmental and climate change challenges identified.

The contents of the SEA report are as follows:

• Executive summary
• Introduction
  • Purpose and objectives of the SEA and the SEA report
  • SEA approach and methodology, methods and tools used: A description of how the assessment was undertaken, any difficulties (such as technical deficiencies, lack of cooperation by key stakeholders) encountered in compiling the required information.
  • A description of gaps in data and information and how these have been addressed in the assessment.
• Information about the context and the strategic document / EU support programme subject to SEA (see section 1 above) including: 
  • A brief description of the relevant strategic planning process and the entry points for the integration of environment and climate change aspects.
  • If relevant, a short description of the strategic alternatives being considered in the planning process. (These can be defined by the planning entity/EU delegation, proposed by the consultants, or preferably developed in a participatory process with relevant stakeholders).
  • Relationship of the strategic document to other strategic planning documents.
  • The specific policy making/planning decisions and processes that will be informed by the SEA.
• Outcomes of scoping, i.e., the key environmental and climate change aspects identified and subject of the SEA study, and the results of the scoping consultations (including explanation how comments and suggestions raised during scoping have been addressed in the SEA Report).
• Environmental and climate baseline, focusing on the key environmental and climate components identified during scoping and necessary to understand the key issues identified, as well as on the geographical areas relevant to each variable.
  • The state of the key environment and climate-related aspects and the likely evolution without implementation of the strategic document (i.e., ‘business as usual’ scenario), taking into account the effects of climate change (to the extent that they can be predicted with some reliability), as well as other approved plans and development projects affecting the areas in question;
  • An overview of the key drivers of environmental degradation affecting the quality of the key environmental and climate aspects identified.
  • A description of the environmental and climate-related objectives established at national and international levels relevant to the strategic document, as well as relevant EU environmental and climate objectives and criteria (e.g. excluded activities under Article 29 of the NDICI-GE Regulation, European Green Deal, MIP objectives and indicators).
• A description of the likely significant effects expected from the implementation of the strategic document and/or EU support programme on the environment and climate, including (as identified in the scoping phase) biodiversity, population, human health, fauna, flora, soil, water, air, climatic factors, greenhouse gas emissions, vulnerability to climate change, material assets, cultural heritage, landscape, livelihoods, etc., as well as the interrelationship between the above factors (the likely effects to be examined should include secondary, cumulative, short-, medium- and long-term permanent and temporary, positive and negative effects, and possible transboundary effects). The causal links (direct and indirect) should be explained.
• The measures and/or strategic options envisaged to avoid, minimise, offset (in that order of priority) any significant adverse effects on the environment and climate (mitigation and adaptation) of implementing the strategic document, including possible alternative options to be considered in the strategic document and/or EU support programme.
• A description of measures and/or strategic options to bring about net-gains to environmental sustainability, climate resilience and low carbon development, including options to phase-out environmentally harmful subsidies to fossil fuels, and the promotion of nature-based solutions.
• A description of measures and/or strategic options to maximise positive impacts on environment and climate (mitigation and adaptation) expected from the implementation of the strategic document and/or the EU support programme. A description of measures and/or strategic options necessary to provide an adequate response to the environment degradation processes and climate change that have an impact on the sector’s performance and the effectiveness of the strategic document and/or the EU support programme.
• (If relevant) evaluation and comparison of the alternatives of the strategic document from an environmental and climate (mitigation and adaptation) impacts point of view. A justified recommendation on the best alternative.
• A description of the adequacy of the institutional, policy and regulatory framework to address the potential key environmental and climate change challenges and opportunities related to the implementation of the strategic document. This includes the institutional capacity to perform the required tasks.
• A description of the adequacy of the performance indicators of the strategic document and/or the EU support programme to reflect key environmental and climate concerns, taking into account potential conflicts with existing environmental and climate objectives and indicators at national, sectoral and EU levels.
• A description of proposed indicators and measures to monitor the adverse environmental and climate effects that may arise during the implementation of the strategic document, and that should be integrated in the set of performance indicators of the strategic document and/or the EU support programme.
• Conclusions – a summary of the main recommendations which should be considered in decision-making and implementation of the strategic document and/or the EU support programme:
  • This section will summarise the key environmental and climate-related issues for the sector, including policy and institutional constraints, challenges and main recommendations.
  • Recommendations should be made on how to optimise positive impacts, produce net gains on environment and climate change (mitigation and adaptation), and on how to avoid, mitigate and/or offset adverse effects, adapt to environmental and climate constraints and manage risks.
  • Recommendation can suggest the selection of an alternative (in cases where more than one alternative is envisaged), potential changes in the design of the sector strategic document and/or the EU support programme, implementation and monitoring modalities, or cooperation actions.
  • Recommendations to enhance the sector strategic document should be distinguished from those for the formulation of the EU support. The recommendations for enhancing the sector strategic document should be incorporated in the policy dialogue of the EU with the partner government. Recommendations to the EU for the formulation of its sector support programme may outline complementary measures to address specific weaknesses in the environmental and climate change institutional, legal and policy framework.

 5.  Organisation of the stakeholder consultations and participation process

The objective of stakeholder consultations and participation in SEA is to create a transparent process and provide for early, timely and effective opportunity to all relevant stakeholders so that they can contribute their inputs into the SEA process, when options and alternatives are open.

Identify and invite key stakeholders into the process. These should include, but not limited to, environmental and health governmental agencies, climate change related institutions, non-governmental organisations, the public and the public concerned, including those groups potentially affected by the implementation of the strategic document. Particular attention should be paid to involving typically less represented groups such as women, indigenous peoples, minority groups and vulnerable groups.

Organise consultations during scoping and the SEA study phase and make the draft scoping report and draft SEA report publicly available for review, by means of written comments and/or preferably by means of consultation workshops. (Think of local language summary translations!)

Collect comments, questions and suggestions – both submitted in writing as well as those verbally raised and report on these in the SEA report. Indicate how the values and attitudes of the public towards the plan or programme are reflected in the SEA. Indicate how their involvement during the implementation of the plan or programme after its approval is organised.

Provide suggestions for relevant additional consultations based on stakeholders’ interests and concerns – this may include ad hoc meetings with the vulnerable groups, working sessions with NGOs and CSOs, etc.

To increase effectivity of the consultations, it may be recommended to include an ‘education’ component in the stakeholder engagement process (to promote participation in contexts where the public are not used to engage in participatory processes.

6.  SEA workplan

The timing below is tentative and may be adjusted following possible changes of the planning process, as well as to the context of the SEA in question. It needs to be emphasised that if the SEA is carried out parallel to or integrated in the preparation of the strategic document, the SEA activities should – to a large extent – follow the planning steps. Such approach maximises the chances that the SEA recommendations will be integrated in the strategic document during its preparation.

The indicative timing for the SEA is as follows:

• SEA approach, methodology, workplan and stakeholders’ engagement plan: within two weeks after kick-off
• Draft scoping report: within two months after initiating the work on SEA
• Stakeholders’ workshop: within two weeks after completing the draft scoping report
• Final scoping report: within two weeks after receiving comments on the draft report
• Draft SEA report: within 4 months after approval of the scoping report
• Consultations on the draft strategic document and the draft SEA report (as relevant, according to the context of the SEA): within 2 months after publishing the draft strategic document and the draft SEA report
• Final SEA report: within 1 month after the consultations on the draft SEA report

The consultants must adjust and provide their detailed workplan.

Normally at least two missions should be foreseen, one for the scoping phase and another for the SEA study phase. Provision should be included for site visits and attendance to consultation workshops.

7.  Expertise required

The team will consist of (number) experts: a Team Leader (senior expert), (number) sectoral, environmental and climate experts (senior and/or junior) and (complete as necessary, e.g. an expert on social impacts, on a specific environmental issue, on GIS mapping, or on public consultations).

The Team Leader must have, at least, a master’s degree in a relevant area, such as environment, climate change or natural resources management with at least 10 years of relevant professional experience. (S)he will have proven experience in the preparation of SEAs, preferably in the context of EU development cooperation. (S)he must have experience as team leader in at least 3 assignments, preferably one of which for an SEA. (S)he must have good knowledge of the EU interventions cycle. Experience in the sector, country and region will be an asset.

The sectoral, environmental and/or climate experts (specify sector, or theme) must have, at least, a master’s degree in a relevant area (specify) with at least 10 years of relevant professional experience in (specify subject areas). (S)he must have proven experience in (specify country or region). Participation in Strategic Environmental Assessments and knowledge of the EU interventions cycle will be an asset.

All experts must be fluent in (English, French, Spanish, Portuguese) and at least one expert must be fluent in (specify local language, if relevant).

(This section is to be adapted and completed based on the required expertise)

For each expert proposed, a curriculum vitae must be provided or no more than (four) pages, setting out the relevant qualifications and experience.

8.  Reporting

All reports should be submitted in electronic format (Microsoft Word).

The EU will provide compiled feedback to the consultants on the different deliverables no later than two weeks (one week for the SEA approach, methodology and stakeholders engagement plan) after their delivery.

Requirements for hard copies should be avoided, otherwise they should be kept to a minumum, in which case they are to be printed double-sided on recycled or certified paper (for sustainable forestry).

9.  Technical proposal

The technical proposal must include an understanding of the Terms of Reference and a description of the following:

• Proposed general approach to SEA including:
  • An outline of the proposed SEA approach and methodology to be applied, specification of models and analytical methods proposed to be used, etc.
  • Project management including way of communication and coordination with the EU delegation and the focal person for the SEA in the partner government.
  • Consultations with relevant stakeholders.
• The proposed work plan with a detail of the activities and tasks outlined above as well as with any additional activities as considered relevant for the SEA.
• A description of the team following the specifications stipulated above.
• CVs of proposed experts clearly showing that the experts meet the required qualification criteria.

10. Financial proposal

The financial proposal will not exceed maximum budget i.e., XXX EUR. It will be structured as follows:

• Expert costs: Following the expertise required, the financial proposal will (i) allocate necessary number of working days for each expert position, (ii) define daily rate for each expert position, and (iii) provide summary of the overall expert costs.
• Direct costs: The direct costs may include the travel costs, administrative support, printing, venue and refreshments for the stakeholder workshops, interpreting, translations etc. A provision must be included for the offsetting of all air travel related greenhouse gas emissions. For each item included in the budget, a short explanation will be provided why this item is needed for the SEA, the costs that will be allocated, and the overall direct cost will be summarised. Travel by railways or waterways should be prioritised over air travel, whenever feasible.
• Total costs: A sum of the expert and direct costs.

11. Evaluation of the proposal

The proposals will be evaluated using the principle of quality and cost-based selection with a weight of 80 % given to the technical proposal and a weight of 20 % given to the financial proposal.

The following criteria shall be used as a basis for evaluation of technical proposals:

Criteria                               Weight 

Proposed approach             40%

Proposed work plan            20%

Team composition              40%

The level of responsiveness for each criterion shall be rated on a scale using the following discrete grades:

• poor: 40 points
• satisfactory: 70 points
• good: 90 points
• very good: 100 points

The rating of each criterion shall then be weighted and added to give to total score.

The technical proposal shall be considered unsuitable if it fails to achieve a minimum score of 75 out of 100 points and the entire proposal rejected.