1	MODULE 6 GOVERNANCE ANALYSIS & STAKEHOLDER INVOLVEMENT Stakeholder Consultation Institutional Analysis Legal / Policy analysis
2	STRUCTURE OF MODULE 6
3	OBJECTIVES After examining Module 6, you should be able to: General Explain the role and importance of governance analysis in the TDA/SAP process Explain the importance of regional comparative assessments Design a process for carrying out institutional and policy/legal analyses Identify the strengths and weaknesses of the governance/stakeholder aspects of several case-studies
4	OBJECTIVES (Continued) Stakeholder consultation Explain how ethical, cultural and political issues are handled when setting up stakeholder consultation Describe how to determine the relevant stakeholder groups Describe potential problems in ensuring participation Design a stakeholder interview Critically assess stakeholder questionnaire design Describe how to set up and conduct a meeting with a group of stakeholders
5	OBJECTIVES (Continued) Institutional Analysis Describe the aims of an institutional analysis and its basic components List the macro-institutional aspects that should be taken into account
6	OBJECTIVES (Continued) Legal/policy Analysis Explain the need for, and scope of, legal/policy analysis in the TDA Describe a basic approach for analysing policy/legal content, implementation, compliance and enforcement Appreciate the need for the policy/legal analysis to be integrated into the Causal Chain exercise
7	PART 1 GENERAL PRINCIPLES OF GOVERNANCE
8	GENERAL PRINCIPLES NOT ALL PUBLIC POLICY OR SUSTAINABLE DEVELOPMENT ISSUES CAN BE SOLVED BY GOVERNMENTS POWER AND DECISIONS ARE ALSO EXERCISED BY SOCIAL ORGANIZATIONS AND ACTORS GOVERNANCE ANALYSIS CAN THUS BE CONSIDERED A CORNERSTONE OF SUSTAINABILITY AND EFFECTIVENESS IN THE TDA-SAP PROCESS
9	THE 3 ELEMENTS OF GOVERNANCE
10	LINKS BETWEEN THE THREE ELEMENTS OF GOVERNANCE ANALYSIS AND THE TDA
11	IMPORTANCE OF GOVERNANCE ANALYSIS IN THE TDA-SAP PROCESS Consultation with all stakeholders dominates the whole TDA/SAP process Understanding of policy and institutional frameworks (including budgetary) provides crucial information for SAP formulation and implementation Enables the SAP elaboration process to keep its ‘feet on the ground’
12	HOW IS A GOVERNANCE ANALYSIS DONE? Should be carried out by a group of independent experts (the GA team) A good option is an independent research centre or NGO with expertise in at least some of the relevant areas. mechanisms are necessary for ensuring a thorough analysis of the regional dimension The Technical Task Team (TTT) must supervise work in this area carefully, to ensure coordination of the time-frames and development themes among the various countries.
13	AN EXAMPLE OF GOVERNANCE ANALYSIS Refer to Pages 23 and 24 of the Participant’s Manual
14	PART 2 STAKEHOLDER ANALYSIS & CONSULTATION
15	WHO ARE STAKEHOLDERS? Stakeholders are any party that is involved in or affected by an environmental problem or its solution. Consequently, a wide range of stakeholders are involved in a typical TDA/SAP process.
16	THREE BROAD CATEGORIES OF STAKEHOLDERS
17	EXAMPLES OF STAKEHOLDER LISTS
18	STAKEHOLDERS SHOULD BE…..
19	STAKEHOLDER INVOLVEMENT Stakeholders should be frequently consulted from the initial identification of the problem, through the fact-finding phase, to the discussion of possible options and the agreement on quality objectives Should be formed into committees who choose the expert analysts, and take part in brainstorming of possible and practicable solutions
20	GUIDING PRINCIPLES OF STAKEHOLDER INVOLVEMENT
21	THE KEY STAKEHOLDER ACTIVITIES DURING THE PREPARATORY PHASE: Identify and consult with stakeholder groups Conduct Stakeholder Analysis and Power analysis Prepare Public Involvement Plan (PIP) WHEN THE TDA REPORT IS IN DRAFT: Hold Stakeholders meeting to review TDA WHEN THE SAP REPORT IS IN DRAFT: Hold broad–based consultations to endorse SAP.
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23	IDENTIFICATION & CONSULTATION WITH STAKEHOLDERS GROUPS KEY OBJECTIVES: To identify perceptions regarding the nature and severity of the problems (which feeds into the preliminary analysis of transboundary problems) To identify the main persons with power to resolve the issues and problems (a ‘power analysis’) To identify stakeholders not appearing on the initial list.
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25	STAKEHOLDER ANALYSIS Remember: The stakeholder analysis is a prerequisite for formal project approval It is different from the initial identification and consultation process, as it tries to verify the interest of groups and individuals in the project concept.
26	STAKEHOLDER ANALYSIS AND POWER ANALYSIS SALIENT CHARACTERISTICS: The analysis is made on the basis of structured questionnaires The analysis should include information on the affected populations, and on the relevant organisations Power Analysis: This is an informal opinion survey, which seeks to identify who are the real leading actors and decision-makers.
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28	PUBLIC INVOLVEMENT PLAN (PIP) Objective: The PIP describes the strategy chosen to build a system for participation of a large number of stakeholders in the process of assessment, management, protection and rehabilitation of the environment.
29	PUBLIC INVOLVEMENT PLAN (PIP) Procedure: the representatives meet with key members of the TTT and the facilitator to: learn about the TDA/SAP process examine the project concept and stakeholder analysis agree on the best means of involving the general public This dialogue represents another foundation stone in the stepwise consensus building process.
30	4 STRATEGIC COMPONENTS OF THE PIP
31	STAKEHOLDERS MEETING TO REVIEW TDA Salient characteristics: Should involve at least one meeting of the key stakeholders Documentation needed: Draft executive summary in relevant languages Graphical representation of the impacts and immediate causes A public version of the TDA
32	NATIONAL ENDORSEMENT OF THE SAP The regional draft SAP and appropriate NAPS should be endorsed in each participant country Should be conducted under the auspices of the National Interministry Committee (NIC) Should include broad–based consultations with affected populations and stakeholders
33	AN EXAMPLE OF STAKEHOLDER CONSULTATION Refer to Page 30 of the Participant’s Manual
34	PART 3 INSTITUTIONAL ANALYSIS
35	INSTITUTIONAL ANALYSIS Centres on key institutions or organizations that either have direct mandates for environmental management or whose activities have environmental impacts (especially sectoral line agencies) It is not limited to government agencies, but includes private sector organisations, community-based organisations, academic and research institutions Both formal and informal actors must be included
36	TWO LEVELS OF ANALYSIS
37	STATIC ANALYSIS It is an overview of the political structure of the countries involved. It looks at the form of government, the balance between the different branches, and characteristics of each, taking into account the relative importance of environmental matters It should review issues such as:
38	DYNAMIC ANALYSIS Objective: to develop an institutional map that describes as many key linkages and relationships as possible among the various actors Focus: the main or “obvious” institutions and organisations that are relevant to environmental management & key sectoral agencies. Analysis: will zoom-in on particularly pivotal points or relations identified by the GA team or through the causal chain exercise.
39	KEY ISSUES TO EVALUATE
40	KEY INSTITUTIONAL ANALYSIS ACTIVITIES
41	PART 4 POLICY/LEGAL ANALYSIS
42	POLICY/LEGAL ANALYSIS What Is it? is a thorough overview of relevant instruments, with special emphasis on their actual implementation, compliance and enforcement. Aims? to provide bases for recommending policy and legal reforms Purpose? Identify and build up linkages between the TDA-SAP process and existing development and environment plans
43	TWO LEVELS OF ANALYSIS Static Analysis Involves formal aspects of policies and legislation specifically directed at the environment as well as sectoral policies that have significant environmental impacts Key elements to be included in this analysis are priorities for action and for policy development contained in: existing national development plans/strategies national environmental strategies/plans relevant investments
44	STATIC ANALYSIS Examples of basic issues that need to be looked at: Are policy-making processes largely sectoral, or is there room for inter-sectoral discussion and decision-taking? Is there conflict between any sectoral policies and laws? What are the environmental impacts of sectoral policies? Has priority been given to controlling/remediating environmental impacts over strategies for preventing environmental impacts, or vice versa?
45	TWO LEVELS OF ANALYSIS Dynamic Analysis Issues under consideration:
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47	THE NATIONAL DIMENSION: Intersectoral Workshops To enable sectoral experts to gain insight into the inter-sectoral linkages, and the environmental impacts that they may generate To help identify conflicting policies and also synergies To sensitise experts (e.g. energy, mining, transport) to the environmental dimension of their sector and the challenges of sound environmental governance
48	THE REGIONAL DIMENSION: GA Workshop A second draft of the policy/legal analysis is distributed to corresponding GA Teams in other countries The event enables them to compare the respective national policy/legal frameworks, and to provide inputs for the regional analysis
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50	KEY ISSUES TO REMEMBER There are close parallels in the development of the three components of governance Synergies between them and the causal chain analysis should be exploited Stakeholder identification and analysis are used to gather information on all three components of GA as well as for the scientific TDA fact-finding The information is gathered at the same time, using the same instruments, but the information is used in different ways Though the three elements of Governance Analysis are carried out in parallel, then they are integrated into the TDA