Agriculture and Agri-Food Canada s Guide on the Environmental Assessment of Policy, Plan and Program Proposals - Strategic Environmental Assessments (SEAs)
This Guide has been prepared by: Kathy Wilson Environmental Policy Analyst Agri-Environmental Policy Bureau Environment Team wilsonka@agr.gc.ca The Guide was reviewed and commented on by AAFC s Departmental Working Group. Membership includes a representative from each horizontal and enabling team. For a list of working group members, see Annex IV. March 2005
Table of Contents Executive Summary AAFC s Commitment to Strategic Environmental Assessment (SEA) Page Number 1. History of SEA in Canada 1 2. Overview of the Cabinet Directive on the Environmental Assessment of Policy, Plan and Program Proposals 3. AAFC s Framework for Strategic Environmental Assessment (SEA) 2 4. Roles and Responsibilities of Key Departmental Groups 3 5. Involvement of the Portfolio Coordination Secretariat (PCS) 5 6. AAFC s Policy Statement on SEA 5 7. Other Types of SEAs involving AAFC 5 Conducting an SEA 8. An SEA involves... 7 9. Conducting a Preliminary Scan 7 10. Conducting a Detailed SEA 9 11. SEA Coordinator Review 12 12. Reporting on SEA results in Policy, Plan and Program Proposals - Memoranda to Cabinet, Treasury Board Submissions 13. Peer Review/Quality Assurance 13 14. Approval/Sign-off of Preliminary Scans and Detailed SEAs 13 15. Implementing the Follow-up and Monitoring Commitment 14 16. Overlapping Proposals 14 17. Special Cases (Exemptions) 14 Public Information on Detailed SEAs 18. Public Statements of SEA Results on Detailed SEAs 16 19. Making Detailed SEAs Public 16 20. SEA Website 17 i 1 13
Annexes I Definitions 18 II Brief Overview of AAFC s SEA Process 20 III Conducting a Preliminary Scan at AAFC AAFC s Preliminary Scan Template IV AAFC s Departmental Working Group Membership List 27 V Examples of Some Types of Environmental Impacts of Agriculturerelated Proposals VI Additional AAFC Resources for Environmental Analysis 31 VII Protocol Regarding Document Classification in Relation to SEA 33 VIII Protocol for Inter-departmental SEAs 34 IX Role of the Commissioner of the Environment and Sustainable Development (CESD) 22 24 28 35
EXECUTIVE SUMMARY This Guide outlines AAFC s Framework for Strategic Environmental Assessment (SEA) that received Management Council approval in November 2003 and has since been implemented. The Guide also addresses amendments that were made to the Cabinet Directive on the Environmental Assessment of Policy, Plan and Program Proposals in January 2004 which includes the requirement for departments to make public statements on the results of detailed SEAs. AAFC s Commitment to Strategic Environmental Assessment (SEA) AAFC s Framework for SEA is the department s action plan for SEA, in accordance with the Cabinet Directive that will: Integrate SEA into the development and approval process for AAFC policies, plans and programs. Monitor key stages to ensure a consistent and thorough examination of AAFC s new and revised policies, plans and programs. In order to implement AAFC s Framework for SEA, the SEA Coordinator has met with key departmental groups to discuss roles and responsibilities in the SEA process. The implementation of AAFC s Framework for SEA also included the establishment of a Departmental Working Group on SEA. A full membership list can be found in Annex IV. Finally, this section of the Guide also outlines AAFC s policy statement on SEA and other types of SEA involving AAFC. Conducting an SEA This section of the Guide outlines the steps involved in conducting an SEA: 1) Preliminary Scan: The first step in the SEA process is to conduct a preliminary scan, using AAFC s preliminary scan template in Annex III. A scan is conducted to determine potential environmental implications of policy, plan or program proposals. At the same time, potential project environmental assessment requirements under the Canadian Environmental Assessment Act, are also identified. If the scan determines that there are no significant environmental implications, the scan is finalized through the approval/sign-off process and the results of the scan are reported on in the Memorandum to Cabinet or Treasury Board Submission. For more information on conducting a preliminary scan, see page 7 of the Guide. 2) Detailed SEA: If the scan determines that significant environmental implications will result or if there is a high level of uncertainty or risk associated with the outcome or there is significant public concern, then more detailed analysis of the environmental effects is conducted through a detailed SEA. A detailed SEA is drafted by the Team Lead with guidance from the SEA Coordinator and using AAFC s Guide on the Environmental Assessment of Policy, Plan and Program Proposals - Strategic Environmental Assessments (SEAs). For more information on conducting a detailed SEA, see page 9 of the Guide. - i -
Public Information on Detailed SEAs There are several ways that AAFC provides the public with information on detailed SEAs once they are finalized including public statements of SEA results on detailed SEAs, making detailed SEAs public and the AAFC SEA website. This section outlines the departmental process for releasing this type of information. Annexes Through the annexes, further information and resources about AAFC s SEA process are provided including AAFC s preliminary scan template. - ii -
AAFC s COMMITMENT TO STRATEGIC ENVIRONMENTAL ASSESSMENT 1. History of SEA in Canada The Government of Canada is committed to the goal of sustainable development: development that meets the needs of the present, without compromising the ability of future generations to meet their own needs. To make informed decisions in support of sustainable development, decision makers at all levels must be able to integrate economic, social and environmental considerations. The environmental assessment of policy, plan and program proposals, also known as strategic environmental assessment, seeks to incorporate environmental considerations into the development of public policies. Through strategic environmental assessment, environmental considerations can be addressed at the earliest appropriate stage of planning, as are economic and social considerations. In 1990, Cabinet directed departments to consider environmental concerns at the strategic level of policies, plans and programs development. This Directive was updated in 1999 to strengthen the role of strategic environmental assessment at the strategic decision-making level by clarifying obligations of departments and agencies and linking environmental assessment to the implementation of Sustainable Development Strategies. The Directive was also updated again in 2004 to include the requirement that departments make a public statement of environmental effects when a detailed SEA is conducted. 2. Overview of the Cabinet Directive on the Environmental Assessment of Policy, Plan and Program Proposals Strategic environmental assessment (SEA) involves reviewing policy, plan and program proposals to incorporate environmental considerations into the development of public policies. The Cabinet Directive on the Environmental Assessment of Policy, Plan and Program Proposals requires departments to conduct an SEA of a policy, plan or program proposal to identify potential environmental impacts and propose mitigation measures when: Ministerial or Cabinet approval is required Important, positive or negative, environmental effects may result. Departments and agencies are also encouraged to conduct strategic environmental assessments for other policy, plan or program proposals when circumstances warrant. An initiative may be selected for assessment to help implement departmental or agency goals in sustainable development, or if there are strong public concerns about possible environmental consequences. Ministers expect the strategic environmental assessment to consider the scope and nature of the likely environmental effects, the need for mitigation to reduce or eliminate adverse effects, and the likely importance of any adverse environmental effects, taking mitigation into account. The strategic -1-
environmental assessment should contribute to the development of policies, plans and programs on an equal basis with economic or social analysis; the level of effort in conducting the analysis of potential environmental effects should be commensurate with the level of anticipated environmental effects. The environmental considerations should be fully integrated into the analysis of each of the options developed for consideration, and the decision should incorporate the results of the strategic environmental assessment. Departments and agencies should use, to the fullest extent possible, existing mechanisms to involve the public, as appropriate. Departments and agencies shall prepare a public statement of environmental effects when a detailed assessment of environmental effects has been conducted through a strategic environmental assessment. This will assure stakeholders and the public that environmental factors have been appropriately considered when decisions are made. 1 3. AAFC s Framework for Strategic Environmental Assessment (SEA) In November 2003, Management Council approved AAFC s Framework for SEA. The Framework is the department s action plan for SEA, in accordance with the Cabinet Directive, that will: Integrate SEA into the development and approval process for AAFC policies, plans and programs. Monitor key stages to ensure a consistent and thorough examination of AAFC s new and revised policies, plans and programs. The expected result is an integrated process with the following checks and balances. Cabinet Affairs/Finance and Resource Management Groups will inform Memorandum to Cabinet/Treasury Board Submission writers of the SEA requirement. Board Secretaries will confirm awareness and action on SEA requirements within their team. The SEA Coordinator will provide guidance and review completed SEAs to ensure a proper SEA has been conducted. Cabinet Affairs/Finance and Resource Management Groups will require proof of a completed SEA as part of final departmental approvals. AAFC s Framework for SEA also included the commitment to establish a Departmental Working Group on SEA. In order to implement AAFC s Framework for SEA, the SEA Coordinator met with key departmental groups to discuss roles and responsibilities in the SEA process. 1 The Cabinet Directive on the Environmental Assessment of Policy, Plan and Program Proposals. Government of Canada, 2004. -2-
4. Roles and Responsibilities of Key Departmental Groups Cabinet Affairs Inform writers of Memoranda to Cabinet of the SEA requirement and direct them to the SEA Coordinator. Provide the SEA Coordinator with upcoming AAFC Cabinet Business forecasts (when available). Inform the Team Lead that proof of a completed SEA preliminary scan or detailed SEA is required for the environmental considerations statement in an MC. (The SEA Coordinator will assist the Team Lead in conducting a scan or detailed SEA). Provide the Minister s Office, when required, with a copy of the detailed SEA, as approved by the SEA Coordinator, Director of the Agri-Environmental Policy Bureau and the Team Lead s Manager, accompanying the Memorandum to Cabinet. The SEA Coordinator will keep a file of completed SEAs. Include reference to the SEA requirement in discussions and material provided by Cabinet Affairs to teams when drafting Memoranda to Cabinet. Finance and Resource Management Group Inform writers of Treasury Board Submissions and Order-in-Councils of the SEA requirement and direct them to the SEA Coordinator (SEA Coordinator should be included in Tiger Teams). Provide the SEA Coordinator with AAFC Treasury Board Submission forecasts through the tracking and monitoring report. Inform the Team Lead that proof of a completed SEA preliminary scan or detailed SEA is required for the environmental impact assessment statement in a Treasury Board Submission. (The SEA Coordinator will assist the Team Lead in conducting a scan or detailed SEA). Provide the Minister s office (when required) with a copy of the detailed SEA, accompanying the Treasury Board Submission. Include reference to the SEA requirement in discussions and material provided by the Finance and Resource Management Group to the Team Lead when drafting Treasury Board Submissions and Order-in-Councils. Board Secretaries Act as a preliminary source of information on SEA for boards and teams (basic understanding of the SEA requirement) and knowledge of the SEA Coordinator as an initial point of contact. Help identify a team contact for the Departmental SEA working group. Direct proposal drafters to the SEA Coordinator for more information on the SEA requirement. and, Alert the SEA Coordinator of upcoming proposals developed within their team. -3-
SEA Coordinator Monitor upcoming department Cabinet and Treasury Board proposals. Provide guidance to Team Leads on conducting a preliminary scan or detailed SEA. Assist in the drafting of summary statements on the results of the SEA for the MC or TB submission. Review completed SEAs to ensure a proper SEA has been conducted. Follow-up with Team Leads to ensure that the SEA requirement is met. Maintain departmental inventory and keep final versions of preliminary scans and detailed SEAs on file. Team Lead drafting the Policy, Plan or Program proposal When drafting an MC or TB submission, contact the SEA Coordinator for more information on the SEA requirement. With guidance from the SEA Coordinator, conduct a preliminary scan or detailed SEA. Share a draft of the scan or detailed SEA for review and comment with the SEA Coordinator. Incorporate comments received by the SEA Coordinator and/or through a peer review of the document. Draft summary statements on the results of the SEA for the MC (environmental considerations) or TB submission (environmental impact assessment) paragraphs. With assistance from the SEA Coordinator, gain final approval of the scan or detailed SEA and summary paragraphs from the team s manager, the SEA Coordinator and the Director of the Agri-Environmental Policy Bureau and provide the SEA Coordinator with a copy of the final version. AAFC s Departmental Working Group Members Representation: Policy or program officers involved with the drafting of Memoranda to Cabinet and/or Treasury Board Submissions (one member from each team - horizontal and enabling). Through the working group, members will develop their knowledge and understanding of SEA. Although some experience with SEA is beneficial, working group members can also learn as they go. Roles and Responsibilities: The working group will be a forum for knowledge-sharing on SEA. Through regular meetings with the SEA Coordinator, team representatives will remain up-to-date on SEA-related developments in the federal community and internationally and will share this information, as appropriate, with members of their team. Working group members will provide support to their team, in addition to the SEA Coordinator, about how to meet the SEA requirement. Provide feedback on AAFC guidance material. Participate in the peer review of preliminary scans and detailed SEAs for quality and sufficient environmental analysis. -4-
5. Involvement of the Portfolio Coordination Secretariat (PCS) In addition to Agriculture and Agri-Food Canada, the organizations within the portfolio of the Minister of Agriculture and Agri-Food are: the Canadian Food Inspection Agency, the National Farm Products Council, the Canadian Dairy Commission, Farm Credit Canada and the Canadian Grain Commission. When AAFC is starting a preliminary scan or detailed SEA that involves one or more of the portfolio partners, the Portfolio Coordination Secretariat (PCS) should be notified. PCS will provide assistance to the SEA Coordinator and the Team Lead in engaging the portfolio partner(s) in the SEA. PCS s involvement will also be helpful when the approval process for the SEA takes place. 6. Agriculture and Agri-Food Canada s Policy Statement on SEA The department is committed to ensuring that strategic environmental assessments are conducted for departmental policy, plan and program proposals and that the results of the SEAs are incorporated into the proposals prior to seeking decision. 7. Other Types of SEAs involving AAFC There are two additional types of SEAs that are conducted at AAFC. The first type involves the Environmental Assessment of Trade Negotiations. The Department of Foreign Affairs and International Trade has produced a handbook to guide the environmental assessment of trade negotiations that was prepared with guidance from the Cabinet Directive. The second type, in regards to the Farm Income Protection Act, is not directly governed by the Cabinet Directive, but AAFC applies best practices it has developed to these assessments. Environmental Assessments of Trade Negotiations The Department of Foreign Affairs and International Trade (DFAIT) has produced a Handbook for Conducting Environmental Assessments of Trade Negotiations. The handbook, produced in April 2002, and updated in October 2004, is a guidance document that was developed for federal government officials engaged in conducting strategic environmental assessments (EA) of trade negotiations. The handbook supplements Canada s Framework for Conducting Environmental Assessments of Trade Negotiations issued in February 2001. The framework was prepared with guidance from the 1999 Cabinet Directive on the Environmental Assessment of Policy, Plan and Program Proposals and was developed to improve policy coherence within and between federal departments, while contributing to Canada s sustainable development objectives. Conducting an environmental assessment of trade negotiations has two key objectives: To assist Canadian negotiators integrate environmental considerations into the negotiating -5-
process by providing information on the environmental impacts of the proposed trade agreement; and To address public concerns by documenting how environmental factors are being considered in the course of trade negotiations. A copy of the handbook can be found on International Trade Canada s website at: http://www.dfait-maeci.gc.ca/tna-nac/env/env-ea-en.asp AAFC has contributed to DFAIT s Initial Environmental Assessments of Trade Negotiations for both the World Trade Organization (WTO) and the Free Trade Area of the Americas (FTAA). These Initial Environmental Assessments of Trade Negotiations can be found on the following websites, respectively: http://www.dfait-maeci.gc.ca/tna-nac/consult2-en.asp#wto http://www.dfait-maeci.gc.ca/tna-nac/consult2-en.asp#ea2 Environmental Assessments under the Farm Income Protection Act The Farm Income Protection Act (FIPA) requires an environmental assessment of most programs to be conducted within two years of the start of new programs and every five years thereafter. Specifically the FIPA states that an agreement respecting most programs shall, subject to any applicable laws of Canada or a province, provide for the circumstances and conditions under which insurance may be withheld, restricted or enhanced for the purpose of protecting the environment and of encouraging sound management practices to ensure environmental sustainability; and require an environmental assessment of most programs authorized under its authority to be conducted within two years after the coming into force of the agreement and every five years thereafter. 2 At AAFC, Environment Assessments under the FIPA are conducted by the Business Risk Management Team using SEA-related guidance material. Environmental Assessments conducted under FIPA, such as the Safety Net Review and the Federal-Provincial Crop Insurance Program: An Integrated Environmental Assessment, are usually made public. The Safety Net Review can be found at: http://www.agr.gc.ca/spb/fiap-dpraa/pub_e.php The Federal-Provincial Crop Insurance Program: An Integrated Environmental Assessment can be found at: http://www.agr.gc.ca/spb/rad-dra/publications/fedprov/fedprov_e.php 2 Farm Income Protection Act, 1991, c.22. Sections 5.2 and 12. -6-
CONDUCTING AN SEA 8. An SEA involves... Conducting a preliminary scan for each proposal to determine potential environmental implications. If the scan determines that significant environmental implications will result, or if there is a high level of uncertainty or risk associated with the outcome, or there is significant public concern, then more detailed analysis of the environmental effects is conducted through a detailed SEA. A statement summarizing the results of the scan or detailed SEA is included in the Memorandum to Cabinet or Treasury Board Submission. The Cabinet Directive requires departments to make a public statement about the results of a detailed SEA when the policy or program is announced. SEA is also a tool to forecast whether projects may result from the proposal as defined in the Canadian Environmental Assessment Act. Some examples of the types of proposals that may require a project-level environmental assessment include: physical projects such as renovating or expanding a building using federal funds, building a fence, parking lot etc. For more information, a copy of the AAFC s Guide for Environmental Assessment under the Canadian Environmental Assessment Act can be obtained from the Agri-Environmental Policy Bureau. 9. Conducting a Preliminary Scan As early as possible in the development of a proposal, the analyst should determine whether important environmental considerations are likely to arise from implementing the proposed policy, plan or program. The focus should be on identifying strategic considerations at a relatively general or conceptual level, rather than evaluating quantitative, detailed environmental impacts as in projectlevel assessment. For examples of some types of environmental impacts of agriculture-related proposals, see Annex V. In conducting the scan, the analyst should: 1. Identify the direct and indirect outcomes associated with implementing the proposal; and 2. Consider whether these outcomes could affect any component of the environment. A scan and detailed strategic environmental assessment generally addresses the following five questions: 1. What is the potential direct and indirect outcomes of the proposal? 2. How do these outcomes interact with the environment? 3. What is the scope and nature of these environmental interactions? 4. Can the adverse environmental effects be mitigated? Can positive environmental effects be enhanced? 5. What is the overall potential net environmental effect of the proposal after opportunities for -7-
mitigation have been incorporated? 3 If the scan does not identify the potential for significant environmental implications, no further analysis of environmental effects is required. The scan is then finalized through the SEA approval/sign-off process, as outlined on page 13, and the results of the scan are reported on in the Memorandum to Cabinet or Treasury Board Submission. If the scan determines that significant environmental implications will result, or if there is a high level of uncertainty or risk associated with the outcome or there is significant public concern, then more detailed analysis of the environmental effects is conducted through a detailed SEA. For more information, see the Conducting a Detailed SEA section. For example, if a proposal could potentially cause overcrowding in a barn or field, it could lead to improper manure disposition or access of animals to bodies of water. In both cases, some negative environmental impacts on surface and groundwater quality could be expected. The results of a preliminary scan would likely indicate that the department should conduct a detailed SEA in this case. The detailed SEA would provide additional analysis of the potential risks and impacts of the proposal. The detailed SEA would identify mitigation measures of these risks, such as government and industry initiatives in all provinces that provide information to producers regarding beneficial management practices with respect to the environment. Significant environmental implications may include: Water contamination - bacterial, nutrient or pesticide Soil erosion; Loss of organic matter, nutrients Air pollution - greenhouse gas emissions, odour Change in habitat quality AAFC s preliminary scan template is intended to provide a guideline for policy and program officers conducting a preliminary scan. For further information, see Annex III. AAFC s SEA Coordinator is also available to provide assistance in conducting a preliminary scan and review the scan once it is completed. The National Agri-Environmental Health Analysis and Reporting Program (NAHARP) and its reports may provide some useful background information when conducting the preliminary scan, http://www.agr.gc.ca/env/naharp-pnarsa/index_e.php. This can be helpful to learn about potential environmental issues, their extent and where they might be of more significance in Canada. NAHARP reports on agri-environmental indicators of the performance of the sector, covering: environmental farm management, soil quality, water quality, greenhouse gas emissions, and biodiversity. Another resource that may provide some useful suggestions when conducting the preliminary scan is AAFC s most recent Sustainable Development Strategy (SDS) entitled, Sustainable Agriculture: Our Path Forward. 3 The Cabinet Directive on the Environmental Assessment of Policy, Plan and Program Proposals. Government of Canada, 2004. -8-
10. Conducting a Detailed SEA If a preliminary scan determines that significant environmental implications will result, or if there is a high level of uncertainty or risk associated with the outcome or there is significant public concern, then more detailed analysis of the environmental effects is conducted through a detailed SEA. The following provides an outline of the information that should be included in an SEA: I. Introduction The introduction should mention that the SEA is being conducted in accordance with the Cabinet Directive and based on the results of the preliminary scan. It should also identify why the SEA is being conducted - i.e. the Memorandum to Cabinet, Treasury Board submission or departmental proposal it is associated with. II. Description of the Policy/Program This section should include a brief description of the program (including the objectives, budget and duration) and its outcomes. Identify both the direct and indirect outcomes of the proposal. III. Policy Context This section should include some background material about why the proposal is being brought forward at this time. Is there currently a crisis in the sector? Do improvements need to be made? Are there areas of concern from an environmental standpoint? Etc. IV. Scope of the Assessment This section should outline the focus of the assessment, the structure of the analysis and how the program will be assessed. This would likely follow the outline of the description of the policy or program proposal, but should also include the implications of not proceeding with the proposal, and possible alternatives. V. Potential Environmental Impacts and Analysis This section should outline what the potential direct and indirect outcomes of the proposal will likely be and the potential environmental impacts of these outcomes (i.e. how do these outcomes interact with the environment?) For examples of some types of environmental impacts of agriculture-related proposals, see Annex V. The scope and nature of these environmental interactions should be assessed (i.e. what kind of interactions will likely occur and the associated range of the impacts). Analysis should include an assessment of whether or not potential adverse environmental effects can be mitigated or if positive environmental effects can be enhanced. The overall potential environmental effects of the proposal after opportunities for mitigation have been incorporated should also be addressed. -9-
The analysis should systematically address each of these questions for each outcome of the proposal. a) How do these outcomes interact with the environment? (Impacts on soil, air, water quality, wildlife etc.) b) What is the scope and nature of these environmental interactions? c) Can the adverse environmental effects be mitigated? Can positive environmental effects be enhanced? d) What is the overall potential environmental effect of the proposal after opportunities for mitigation have been incorporated? e) Will the proposal alter producer decisions in some way that could impact on the environment? f) What are the potential impacts of not going forward with this outcome/proposal? g) Time lines - When are the results of this proposal expected - short of long term? *** Relevant potential economic and social impacts should also be incorporated into the analysis. VI. Alternatives This section should outline the alternatives to the proposal and their potential environmental impacts. Compare the environmental impacts of the alternatives to the proposed approach. If the proposal includes different policy or program options, provide analysis of those options and their associated impacts as well. If the potentially adverse environmental effects can not be mitigated, what are possible alternatives for the proposal? VII. Cumulative Effects Cumulative effects are changes to the environment that are caused by an action in combination with other past, present and future human actions, and changes that occur in the natural environment. While an individual agricultural policy may not have significant impacts on producer behaviour, the cumulative effect of many policies may be significant. If this proposal is one of a series of proposals to deal with a similar issue, outline the objectives of the previous proposals and their outcomes. How does this proposal and the previous proposal cumulatively effect the environment? -10-
VIII. Public Concerns As outlined by the Cabinet Directive, the analysis of potential environmental effects should indicate, where appropriate, concerns about these effects among those likely to be most affected, and other stakeholders (that is, those with an interest in the policy) and the public. For example, agricultural activities usually take place near or around rural communities. Through engagement with the Rural Secretariat, the department can help to ensure that rural issues are identified and addressed. Understanding public concerns can strengthen the quality and credibility of the policy, plan or program decision in several ways. 1. Through the involvement of interested parties, decision makers can, at an early stage, identify and address public concerns about a proposal that could otherwise lead to delays or the need for further analysis later in the process. 2. Stakeholders and the public can be an important source of local and traditional knowledge about likely environmental effects. 3. Decision makers may need to build a consensus among different or opposing interests; public involvement can help develop the credibility and trust in the decision-making process that is needed for consensus. 4. Public involvement can help communicate the results of the process and decisions back to the stakeholders. 5. Over time, a visible commitment to understanding and responding to public concerns can help build a sense of public trust and credibility in the decisions of the department or agency. Sources of information on public concerns could include: 1. Economic and social analysis under way on the proposal; 2. Ongoing public consultation mechanisms in the department; 3. Expert departments and agencies; and 4. Outside experts and organizations. The involvement of the public should be commensurate with public involvement on the overall development of the policy, plan or program proposal itself; and should make use of any public involvement activities that may be under way as part of the proposal. If public documents are prepared for use in a consultation exercise, it is advisable to incorporate them into the results of the strategic environmental assessment to address potential environmental concerns. 4 4 The Cabinet Directive on the Environmental Assessment of Policy, Plan and Program Proposals. Government of Canada, 2004. -11-
IX. Follow-up and Monitoring The Cabinet Directive states that, the SEA should consider the need for follow-up measures to monitor environmental effects of the policy, plan or program or to ensure that implementation of the proposal supports the department s or agency s sustainable development goals. In other words, the Team Lead should consider when it would be appropriate to follow-up on the implementation of the proposal and whether or not the SEA accurately captured the potential environmental implications. The Team Lead should also identify potential data and resource needs required to conduct the follow-up. An SEA should be a living document, so if further proposal details become available in the future, the Team Lead should revisit the SEA. The Team Lead may also conclude and indicate that follow-up will not be necessary. For example, if the SEA is being conducted at the time of a Memorandum to Cabinet, the Team Lead may propose that the SEA be revisited at the time of the Treasury Board Submission. Otherwise, the Team Lead should determine when would be appropriate to review the SEA (i.e. in six months or within a year) and determine whether the potential environmental impacts that were anticipated came to be or if other impacts arose. If other impacts arose that were not anticipated, further analysis would be needed and potential mitigation measures should be proposed. X. Conclusion The conclusion provides a summary of the results of the SEA - what did the analysis determine? The conclusion will also be used in drafting statements for the associated Memorandum to Cabinet and/or Treasury Board Submission. As of January 1, 2004, the Cabinet Directive requires that departments make public statements about the results of detailed SEAs. Details about how to make a public statement are outlined later in the Guide. 11. SEA Coordinator Review The first draft of the preliminary scan or detailed SEA should be shared with the SEA Coordinator for review and comment. The comments should be incorporated and any further analysis conducted, as required. The SEA Coordinator will also assist the Team Lead in preparing the summary statement for the Memorandum to Cabinet or Treasury Board Submission. Any comments or questions the SEA Coordinator raises should be addressed and answered. -12-
12. Reporting on SEA results in Policy, Plan and Program Proposals - Memoranda to Cabinet, Treasury Board Submissions A statement summarizing the results of the preliminary scan or detailed SEA is included in the Memorandum to Cabinet or Treasury Board Submission, in the environmental considerations statement or environmental impact assessment statement, respectively. The SEA Coordinator can provide assistance in developing appropriate language. These statements should not appear unless the appropriate analysis has been conducted and the SEA Coordinator has been contacted. For example, a summary statement might look like this: In accordance with the Cabinet Directive on the Environmental Assessment of Policy, Plan and Program Proposals, a preliminary scan (or detailed SEA) was conducted and determined that overall, the proposal will likely result in positive (or negative) environmental effects as it will... In addition, environmental assessments will be conducted under the Canadian Environmental Assessment Act where required. 13. Peer Review/Quality Assurance AAFC is continuing to develop best practices in terms of SEA. In September 2004, the department established a departmental working group on SEA, which includes representatives from all departmental horizontal and enabling teams. In an effort to improve the quality of SEAs, following an initial review by the SEA Coordinator, a draft of the preliminary scan or detailed SEA should be shared with the entire team working on the proposal, for their review and comment, and if time permits the departmental working group as well (which includes the SEA Coordinator). By providing colleagues with the opportunity to review and comment on the preliminary scan or detailed SEA, the quality of the SEA will improve. Before the approval and sign-off process begins, the SEA Coordinator will provide any further comments, as necessary. 14. Approval/Sign-off of Preliminary Scans and Detailed SEAs With assistance from the SEA Coordinator, the Team Lead will gain final approval of the preliminary scan or detailed SEA and summary statements for the Memorandum to Cabinet or Treasury Board Submission from the Team Lead, team s manager, the SEA Coordinator, and the Director of the Agri-Environmental Policy Bureau. The SEA Coordinator will keep a copy of the signed transmittal slip on file, along with the completed preliminary scan or detailed SEA. The signed transmittal slip will also provide proof to Cabinet Affairs and the Finance and Resource Management Groups that the SEA requirement has been met for the proposal. -13-
15. Implementing the Follow-up and Monitoring Commitment The Cabinet Directive states that, the SEA should consider the need for follow-up measures to monitor environmental effects of the policy, plan or program or to ensure that implementation of the proposal supports the department s or agency s sustainable development goals. While conducting the detailed SEA, the Team Lead should consider when it would be appropriate to follow-up on the outcomes of the proposal and revisit the SEA. The Team Lead should also identify potential data and resource needs required to conduct the follow-up. The Team Lead may also conclude and indicate that follow-up will not be necessary. Once the detailed SEA is finalized, the SEA Coordinator will remind the Team Lead of their commitment to follow-up and monitor the results of the SEA. For further information on implementing the follow-up and monitoring commitment, see the Conducting a Detailed SEA section. 16. Overlapping Proposals One of the questions that arises as departments implement the Cabinet Directive is whether SEAs are required for both Memoranda to Cabinet and Treasury Board Submissions, especially if the SEA requirement has been met at the MC stage. The Cabinet Directive states that an SEA should be conducted on policy, plan and program proposals. If an SEA is conducted at the MC stage and the details of the proposal remain unchanged, then the SEA remains relevant for the Treasury Board Submission. However, if the submission has changed significantly at the time of the Treasury Board Submission or additional information is available, the SEA should be revised at the TB submission stage. If an SEA was not conducted at the MC stage, it should be conducted at the Treasury Board Submission stage. 17. Special Cases (Exemptions) The Cabinet Directive outlines policy, plan or program proposals for which no strategic environmental assessment will be required. These special cases are: 1. Proposals prepared in response to a clear and immediate emergency where time is insufficient to undertake a strategic environmental assessment (ministers are responsible for determining the existence of an emergency); 2. Where the matter is of such urgency, for example, for the economy or a particular industrial sector, that the normal process of Cabinet consideration is shortened and even a simplified strategic environmental assessment cannot be presented; and -14-
3. Issues that have previously been assessed for their environmental impacts, for example, an initiative that is a subset of a policy, plan or program that was previously assessed, or Treasury Board submissions on matters already assessed under a previous proposal to Cabinet or assessed as a project under the Canadian Environmental Assessment Act. If the first and second special cases apply, there should be appropriate written documentation of the decision, which would be made by the Minister s Office and/or the Privy Council Office in consultation with the Team Lead, SEA Coordinator and Cabinet Affairs or the Finance and Resource Management Group. Written documentation of the decision should be provided to the SEA Coordinator. In addition, the special cases should be documented in the Memorandum to Cabinet or Treasury Board submission where the environmental considerations statement would usually be presented. For the third special case - If a project environmental assessment has already been carried out for the proposal, the project EA should also be reported on in the submission and it should be noted that an SEA is not required. If a situation requiring an exemption occurs, the SEA Coordinator will help the Team Lead develop appropriate language for the proposal to report on the exemption in the Memorandum to Cabinet or Treasury Board Submission. -15-
PUBLIC INFORMATION ON DETAILED SEAs As outlined previously, detailed SEAs include a section on public concerns/consultation. There are also several ways that AAFC provides the public with information on detailed SEAs once they are finalized. 18. Public Statements of SEA Results on Detailed SEAs As of January 1, 2004, the Cabinet Directive requires departments to make a public statement about the results of a detailed SEA. This is usually done when the policy or program is announced. The SEA Coordinator will provide assistance in drafting the public statement and publicizing it as appropriate. The public statement is approved as part of the approval/sign-off process for detailed SEAs. For more information, see the Approval/Sign-off of Preliminary Scans and Detailed SEAs section. Once the public statement is approved through this process, it is sent to the Communications and Consultations Team where it undergoes a second round of approvals that includes the Minister s Office. After the public statement is approved by the Minister s Office, it will be posted on the SEA website. AAFC has developed a website where public statements can be posted. The press release and backgrounder that announces the policy or program will also include a footnote directing interested parties to the SEA website where they can find the public statement. The associated press release will also be posted with the public statement for the convenience of readers. If there are any concerns associated with making a public statement on the results of a detailed SEA, they should be brought to the attention of the SEA Coordinator and appropriate managers, prior to the public statement being released. Once the public statement is made, the department may receive requests for more information and/or a copy of the detailed SEA. 19. Making Detailed SEAs Public The Commissioner of the Environment and Sustainable Development (CESD) is increasingly encouraging departments and agencies to make SEAs publicly available. The Government of Canada made changes to the Cabinet Directive in 2004 to make the SEA process more transparent. Although it may not always be possible due to Cabinet confidentiality or privacy issues, where possible, the department should try to make more detailed SEAs publicly available. For example, environmental assessments conducted under the Farm Income Protection Act are usually made public. For more information regarding document classification, see Annex VII. If the Team Lead is interested in making the detailed SEA public, the Team Lead should discuss this with their manager and the SEA Coordinator. If a decision is made by the respective manager and SEA Coordinator to make the SEA a public document, this will be considered during the -16-
approval/sign-off process and the Communications and Consultations Team will be consulted. When the detailed SEA is approved and ready to be made public, it will be posted on the department s SEA website. 20. SEA Website AAFC s SEA Website, which includes public statements on detailed SEAs, is located on AAFC On-line at: http://www.agr.gc.ca/env/sea-ees/sea_e.php -17-
Annex I - Definitions The following definitions are from the Cabinet Directive on the Environmental Assessment of Policy, Plan and Program Proposals: Environment The components of the earth, including: a. land, water and air, including all layers of atmosphere; b. all organic and inorganic matter and living organisms; and c. the interacting natural systems that include components referred to in paragraph a and b. Environmental effect a. any change that the policy, plan or program may cause in the environment, including any effect of any such change on health and socio-economic conditions, on physical and cultural heritage, on the current use of lands and resources for traditional purposes by Aboriginal persons, or on any structure, site or thing that is of historical, archaeological, paleontological or architectural significance, and b. any change to the policy, plan or program that may be caused by the environment, whether any such change occurs within or outside of Canada. Mitigation The elimination, reduction or control of the adverse environmental effects of the policy, plan or program, and includes restitution for any damage to the environment caused by such effects through replacement, restoration, compensation or any other means. Sustainable Development Development that meets the needs of the present, without compromising the ability of future generations to meet their own needs. -18-
The following are AAFC-Specific definitions: Team Lead The horizontal or enabling team drafting the proposal. Team Lead also refers to the assigned officer (or group of officers) within the horizontal or enabling team drafting the proposal. Policy, Plan and Program Proposal It should be noted that policy, plan and program proposals are not defined in the Cabinet Directive. However, given the nature of government business, policy, plan and program decisions are usually made through Memoranda to Cabinet and Treasury Board Submissions and as a result, an SEA would be required for these types of proposals. However, departments and agencies are required to conduct SEAs for other policy, plan or program proposals, including department-specific proposals, when circumstances warrant. Proof of a proper SEA An SEA transmittal slip with signatures of the Team Lead, team s manager, the SEA Coordinator, and the Director of the Agri-Environmental Policy Bureau. (Responsibility - Team Lead and SEA Coordinator). The transmittal slip must be completed and available to share with Cabinet Affairs or the Finance and Resource Management Group for the respective Memorandum to Cabinet or Treasury Board Submission. If the transmittal slip cannot be provided, the SEA Coordinator should be contacted to followup with the Team Lead and then report back to Cabinet Affairs or the Finance and Resource Management Group about whether or not the SEA requirement has been met. -19-
Annex II - Brief Overview of AAFC s SEA Process Strategic Environmental Assessment (SEA) involves reviewing policy, plan and program proposals to incorporate environmental considerations into the development of public policies. The Cabinet Directive on the Environmental Assessment of Policy, Plan and Program Proposals requires departments to conduct an SEA of a policy, plan or program proposal to identify potential environmental impacts and propose mitigation measures when: Ministerial or Cabinet approval is required Important, positive or negative, environmental effects may result. This means an SEA is most often required at the time of a Memorandum to Cabinet or Treasury Board Submission. However, departments and agencies are also required to conduct SEAs for other policy, plan or program proposals when circumstances warrant. It is important that an SEA is started early in the development of a policy, plan or program proposal. When drafting a Memorandum to Cabinet or Treasury Board Submission, the Team Lead should contact AAFC s SEA Coordinator, for more information on the SEA requirement. With guidance from the SEA Coordinator, the Team Lead will conduct an SEA. The SEA process is composed of two steps. 1) Preliminary Scan: The first step in the SEA process is to conduct a preliminary scan, using AAFC s preliminary scan template in Annex III. A scan is conducted to determine potential environmental implications of policy, plan or program proposals. At the same time, potential project environmental assessment requirements under the Canadian Environmental Assessment Act, are also identified. If the scan determines that there are no significant environmental implications, the scan is finalized through the approval/sign-off process and the results of the scan are reported on in the Memorandum to Cabinet or Treasury Board Submission. For more information, see page 7 of the Guide. 2) Detailed SEA: If the scan determines that significant environmental implications will result or if there is a high level of uncertainty or risk associated with the outcome or there is significant public concern, then more detailed analysis of the environmental effects is conducted through a detailed SEA. A detailed SEA is drafted by the Team Lead with guidance from the SEA Coordinator and using AAFC s Guide on the Environmental Assessment of Policy, Plan and Program Proposals - Strategic Environmental Assessments (SEAs). For more information, see page 9 of the Guide. -20-
A scan or detailed SEA generally addresses the following five questions: 1. What are the potential direct and indirect outcomes of the proposal? 2. How do these outcomes interact with the environment? 3. What is the scope and nature of these environmental interactions? 4. Can the adverse environmental effects be mitigated? Can positive environmental effects be enhanced? 5. What is the overall potential net environmental effect of the proposal after opportunities for mitigation have been incorporated? 5 A statement summarizing the results of the scan or detailed SEA is prepared to include in the Memorandum to Cabinet (environmental considerations) or Treasury Board Submission (environmental impact assessment statement). The SEA Coordinator will provide assistance in developing appropriate language. Please note: Statements of environmental impacts should not be made unless the SEA Coordinator has been contacted and the appropriate level of analysis has been conducted (i.e. a preliminary scan or detailed SEA has been conducted). While conducting the SEA, a draft of the scan or detailed SEA is shared with the SEA Coordinator for review and comment. With assistance from the SEA Coordinator, the Team Lead will gain final approval of the scan or detailed SEA and summary statements from the Team Lead, team s manager, the SEA Coordinator and the Director of the Agri-Environmental Policy Bureau. The SEA Coordinator will keep the signed transmittal slip and final version of the scan or detailed SEA on file. 5 The Cabinet Directive on the Environmental Assessment of Policy, Plan and Program Proposals. Government of Canada, 2004. -21-