Handbook for trade sustainability impact assessment.
Date: 2016-08-18
Institutions: Directorate-General for Trade and Economic Security
Subjects: evaluation method, foreign trade, impact study, international negotiations, trade agreement, trade policy, user guide

Handbook
for

trade
sustainability
impact
assessment
2nd edition

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Trade

 
 
 
 
 
 
 
 
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Handbook for trade 
sustainability impact 
assessment  
second edition

April 2016

2

Table of contents

Foreword by Commissioner Malmström � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � 3

Introduction � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � 4

Chapter I — The European Commission’s evidence-based policymaking for trade 
agreements � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � 7

Chapter II — SIAs: an integrated process � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � 9

Chapter III — SIAs: the analytical exercise � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � 14

Chapter IV — Stakeholder consultation: a key component of the SIA analysis � � � � � � � � � � � 25

Annex: main list of SIA themes  � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � 31

HANDBOOK FOR TRADE SUSTAINABILITY IMPACT ASSESSMENT — SECOND EDITION3

Foreword by Commissioner Malmström

The  European  Commission’s  trade  policy  has  two  goals:  creating 
prosperity and furthering the common, universal values that under-
pin the European Union. Achieving these goals is a complex task and 
one that must start from a deep understanding of all the implica-
tions of each and every policy initiative. 

I  have  committed  in  the  Trade  for  All  Communication,  adopted  in 
October 2015, to a more responsible trade and investment policy. 
In particular, I have made a number of commitments in relation to 
assessing the impacts of our policy to ensure that trade delivers re-
sults for consumers, workers and companies small and large, with-
out compromising our core values such as human rights. 

Since  1999,  the  Commission  has  been  carrying  out  Sustainability 
Impact Assessments (SIA) on all negotiated trade agreements. The 
SIAs take place during the negotiations and feed into the work of 
the  negotiators  as  the  negotiations  evolve.  They  assess  the  eco-
nomic,  social,  environmental  and  now  human  rights  impacts  of 
trade  agreements  in  the  EU,  the  partner  country  and  in  develop-
ing countries. They include wide-ranging consultations involving all 
interested  stakeholders  in  partner  countries  and  in  the  EU.  This  complements  the  initial 
impact assessment that the Commission carries out before starting the negotiations, con-
tributes to the Commission’s decision-making process and enables it to make facts-based 
policy  choices  as  the  negotiations  progress.  Since  1999,  we  have  concluded  22  SIAs  in 
support of major EU trade negotiations and, as of March 2016, another six are underway. 

This handbook offers a primer for officials, external experts and stakeholders on how the 
EU’s current framework for sustainability impact assessments works. The first edition was 
published in 2006. This new edition incorporates a number of important lessons drawn from 
both the Commission’s own experience and the views and requests of stakeholders. 

For instance, it makes clear that SIAs must provide analysis in more dimensions and based 
on more evidence than was foreseen ten years ago. It also calls for the systematic integra-
tion of the important strides forward made by the Commission in its impact assessment 
practices with the adoption of the Better Regulation Agenda. 

In  addition,  the  handbook  underlines  the  importance  of  close  dialogue  with  all  relevant 
stakeholders, including the more vulnerable ones. These exchanges are essential to capture 
the wider implications of our policy choices and to prevent unintended side-effects. With 
this prevention-driven approach, we can ensure that our trade policy genuinely works for all.

The handbook should however not be seen as an exhaustive guide, but as a methodological 
basis on which future SIAs should build. It is now up to all of us – stakeholders, external 
experts and Commission – to work together to ensure that SIAs help produce a more re-
sponsible trade and investment policy for the EU.

HANDBOOK FOR TRADE SUSTAINABILITY IMPACT ASSESSMENT — SECOND EDITION4

Introduction

Background

Sustainability impact assessment (SIA) is a trade-specific tool developed for supporting 
major trade negotiations conducted under the aegis of the EU Commissioner for Trade. 
SIAs are a key tool for the conduct of sound, evidence-based and transparent trade ne-
gotiations. They were first developed by the European Commission’s Directorate-General 
for Trade (DG Trade) in 1999 for the World Trade Organization Doha Development Agenda 
(DDA) negotiations. At the beginning of 2016, 22 SIAs had been conducted in support of 
all major EU trade negotiations, and six were ongoing (1).

A first edition of the SIA handbook was published in 2006. It detailed DG Trade’s experi-
ence to date in carrying out SIAs and described their methodological framework. 10 years 
later, many of the principles outlined in the first edition of the handbook are still relevant. 
However, methods for conducting impact analyses have evolved and improved over time 
and  the  experience  of  conducting  SIAs  over  the  years  has  led  to  improvements  in  the 
approach.

The  way  SIAs  are  conducted  has  significantly  evolved  since  2006.  For  example,  since 
2012 SIAs systematically assess the potential human rights consequences of the trade 
agreement under negotiation, although the SIA handbook, published in 2006, did not pro-
vide any guidance to consultants on the expected approach in this respect. The handbook 
therefore needed to be revised to reflect the various improvements introduced in the con-
duct of SIAs in the light of experience; the recommendations made by stakeholders over 
the years (2); and the commitments made by the Commission in its Trade for all communi-
cation (3) to further reinforce the analysis carried out in SIAs in its various dimensions. This 
second edition also reflects the feedback received from stakeholders that resulted from 
the public consultation (4) on a draft of the revised text, as well as the views exchanged at 
a civil society dialogue (CSD) meeting in July 2015 (5).

The  second  edition  of  the  handbook  sets  out  the  main  characteristics,  objectives  and 
principles of the new generation of SIAs, set against the new international framework for 
sustainable development which follows the adoption of the 2030 Agenda for Sustainable 
Development, including the Sustainable Development Goals (SDGs) (6). It will be the main 
reference point for consultants, civil society and all potentially involved stakeholders on 
how to carry out an SIA.

(1) 

(2) 

(3) 

(4) 

(5) 

(6) 

Please refer to the DG Trade section on the Europa website for more information on conducted and 
ongoing SIAs: http://ec.europa.eu/trade/policy/policy-making/analysis/sustainability-impact-assessments/
In particular the opinion of the European Economic and Social Committee on sustainability impact 
assessments (SIA) and EU trade policy, REX/313 - CESE 818/2011, 5.5.2011, and the European Court 
of Auditors’ Special Report No 2/2014: Are preferential trade arrangements appropriately managed?, 
22.5.2014.
Trade for all: towards a more responsible trade and investment policy. COM(2015)0497 of 14 October 
2015: http://trade.ec.europa.eu/doclib/docs/2015/october/tradoc_153846.pdf 
Held between 30 April and 14 August 2015; the summary of responses to the public consultation can be 
accessed on: http://trade.ec.europa.eu/doclib/html/154357.htm 
Minutes of the CSD meeting of 8 July 2015: http://trade.ec.europa.eu/doclib/docs/2015/july/
tradoc_153658.pdf 
https://sustainabledevelopment.un.org/sdgs 

HANDBOOK FOR TRADE SUSTAINABILITY IMPACT ASSESSMENT — SECOND EDITION5

SIAs and EU policy

As highlighted in the Trade for all communication, SIAs are a key instrument in the for-
mulation  of  sound,  transparent  and  evidence-based  trade  policies.  They  contribute  to 
fulfilling the commitments for better regulation embodied in the Better Regulation agenda 
adopted on 19 May 2015.

Transparency  is  a  central  element  of  SIAs.  By  relying  on  a  genuine,  wide-ranging  and 
continuous  consultation  of  stakeholders,  SIAs  contribute  to  fulfilling  the  Commission’s 
commitment to ensure transparent trade negotiations. They are a prime opportunity for 
stakeholders to inform EU negotiators of their views on the potential economic, social, 
human rights and environmental consequences of ongoing trade negotiations.

SIAs are an important instrument for integrating issues of sustainable development into 
trade policy. Sustainable development is a principle enshrined in the EU treaties (7), which 
stands on three interdependent and mutually reinforcing pillars: economic development, 
social development and environmental protection. As highlighted in its Sustainable Devel-
opment Strategy (SDS) of 2006, the European Union is committed to stepping up efforts 
to see that international trade and investment are used as a tool to achieve genuine glob-
al sustainable development. SIAs contribute to this objective by assessing in depth the po-
tential economic, social and environmental impacts of a proposed trade agreement whilst 
its negotiation is ongoing; as well as by providing recommendations on the accompanying 
measures that should be put in place (if a deal is agreed and implemented) in order to 
maximise likely benefits or mitigate possible negative impacts. SIAs also provide the op-
portunity for an analysis of the impact of the trade agreement on developing countries, in 
line with commitments stemming from the EU treaties (8) on policy coherence for devel-
opment, and particularly in relation to least developed countries (LDCs) as announced in 
the Trade for all communication (9).

In addition, since 2012, all SIAs systematically include an analysis of the potential human 
rights impacts of the trade agreement under negotiation. This is in line with Article 21 of 
the Treaty on European Union, which reaffirms the EU’s determination to promote human 
rights and democracy through all its external actions, as well as with the EU Strategic 
Framework and Action Plan on Human Rights and Democracy, which reiterates the EU’s 
commitment to the promotion and protection of all human rights, whether civil and polit-
ical, or economic, social and cultural.

SIAs’ characteristics and purpose

SIAs are independent ex ante assessments carried out by external consultants during ma-
jor trade negotiations. They feed into and steer the negotiations, assessing the changes 
that are likely to be caused by the trade agreement, helping to identify possible trade-offs, 
and ensuring that the related policy choices are optimised.

SIAs consist of two equally important and complementary components:

(i)  a robust analysis of the potential economic, social, human rights and environmental 
impacts that the trade agreement under negotiation could have, in the EU, in the part-
ner country(ies) and in other relevant countries;

(7) 
(8) 
(9) 

Article 3 TUE and Article 11 TFUE.
Article 208 TFUE.
Trade for all communication, p. 23.

HANDBOOK FOR TRADE SUSTAINABILITY IMPACT ASSESSMENT — SECOND EDITION6

(ii)  a continuous and wide-ranging consultation process which ensures a high degree of 
transparency and the engagement of all relevant stakeholders in the conduct of the 
SIA inside and outside the EU.

Integrated
Integrated

Independent

Proportionate

SIA key 
principles

Evidence-
based

Participatory

Transparent

Picture 1: SIA key principles

SIA key principles

SIAs are:

• 

• 

• 

• 

 Integrated:  SIAs  are  based  on  a  com-
prehensive  approach  which  looks  at 
both benefits and costs; and covers eco-
nomic,  social,  human  rights  and  envi-
ronmental considerations all in a single 
document.

 Independent:  SIAs  are  carried  out  by 
external  consultants  in  a  neutral  and 
unbiased  manner,  under  strict  rules  on 
the absence of conflicts of interest.

 Evidence-based: SIAs should be based 
on the best available research, informa-
tion  and  data  presented  in  a  transpar-
ent manner.

 Transparent:  SIAs  contribute  to  the 
transparency of the analysis and of the 
ongoing trade negotiations by providing 
stakeholders with comprehensive infor-
mation  on  the  possible  impacts  of  the 
agreement.

•  Participatory: SIAs work as a platform for systematic dialogue between stakeholders 
and  trade  negotiators,  through  in-depth  consultation  in  which  all  stakeholders  are 
given an opportunity to participate.

•  Proportionate: The scope and the depth of each SIA should be calibrated to the impor-
tance and the type of trade measures being negotiated, as well as to the magnitude 
of the expected impacts.

HANDBOOK FOR TRADE SUSTAINABILITY IMPACT ASSESSMENT — SECOND EDITION7

Chapter I — The European Commission’s 
evidence-based policymaking for trade 
agreements

The Commission employs a wide set of ev-
idence-based policy tools covering the full 
policymaking  cycle,  from  when  a  policy  is 
designed to when it is implemented, evalu-
ated and revised. SIAs, which are specific to 
major trade negotiations conducted by DG 
Trade,  are  one  such  tool,  operating  during 
the course of the underlying negotiations.

In  line  with  the  commitment  made  in  the 
2010  communication  Trade,  Growth  and 
World  Affairs,  four  major  types  of  assess-
ments  and  evaluations  will  be  conducted 
during  the  life  of  a  proposed  new  trade 
agreement: an impact assessment at the 
initial design stage; an SIA during the nego-
tiations;  an  economic  assessment  of  the 
negotiated  outcome  after  the  conclusion 
of  the  negotiations  and  before  the  signa-
ture  of  the  agreement;  and  finally,  an  ex 
post evaluation, after implementation.

Key features of major trade 
impact assessments and 
evaluations

Impact assessments (IAs)

Preparation

Impact 
Assessment

SIA

Negotiatio

n
s

Ex post 
Evaluation

I

m

plementation

Economic 
Assessment 
of the 
Negotiated 
Outcome

n

Signature - Conclusio

Commission-wide 
instruments

DG Trade-speciﬁc 
instruments

Picture 2: assessment and evaluation 
tools and the trade policy cycle

The European Commission’s impact assess-
ment system was first established in 2002 
and  has  undergone  continuous  strengthening  over  the  years.  IAs  are  Commission-wide 
analytical tools which are prepared for Commission initiatives that are likely to have signifi-
cant and clearly identifiable economic, environmental or social impacts. IAs are prepared by 
Commission services in accordance with the related Commission guidelines and tools (10).

With respect to trade agreements, IAs accompany the decision by the College of Commis-
sioners to request a negotiating authorisation from the Council of the EU, together with 
the draft negotiating directives to be issued by the Council of the EU. They aim to provide 
answers to such questions as ‘Is a trade negotiation the best course of action for our trade 
relations with partner X, Y, Z?’, ‘Which issues should be covered in the negotiations?’, ‘What 
potential impacts could a trade agreement have?’

(10) 

For more details please visit the ‘Better regulation’ webpage: http://ec.europa.eu/smart-regulation/index_en.htm

HANDBOOK FOR TRADE SUSTAINABILITY IMPACT ASSESSMENT — SECOND EDITION8

IAs are about gathering and analysing evidence to support decision-making. In this pro-
cess, an IA verifies the existence of a problem, identifies its underlying causes, assesses 
whether EU action is needed and analyses the advantages and disadvantages of available 
solutions and their impacts. On this basis, the IA identifies the best course of action and 
accompanies the proposal when it is sent to the other EU institutions, such as the Europe-
an Parliament and the Council.

Sustainability impact assessments (SIAs)

SIAs,  for  which  this  handbook  provides  methodological  guidance,  are  specific  to  major 
trade negotiations. SIAs were first developed in 1999 and have been carried out for all 
major EU trade negotiations ever since (11).

They help to answer the question: ‘How should we run these negotiations?’

SIAs are independent studies taking place hand-in-hand with the negotiations. They com-
plement IAs by allowing a more in-depth analysis of the potential economic, social, human 
rights and environmental impacts of the trade agreement under negotiation, as well as by 
facilitating a wider outreach to stakeholders in both the EU and partner countries.

For further information on the key features of an SIA, please refer to Chapter II.

Economic assessment of the negotiated outcome (12)

Once the negotiations are concluded, and before the trade agreement is signed, an eco-
nomic analysis of the proposed agreement for the EU is prepared by Commission services 
for the European Parliament and the Council. The analysis assesses the impact of the ac-
tual outcome of the negotiations in terms of reduction of trade barriers (as distinct from 
IAs or SIAs, where estimation of the likely impact of a proposed trade agreement is based 
on assumptions about the level of such reductions that will be achieved).

The economic assessment of the negotiated outcome is a trade-specific instrument and 
relates only to negotiations conducted by DG Trade.

Ex post evaluations

Finally, after the trade agreement has entered into force, commitments have been phased 
in and sufficient time has passed to gather a robust body of data and evidence, an ex 
post evaluation is conducted to analyse the observed economic, social, human rights and 
environmental impacts. Evaluations are prepared by Commission services in accordance 
with the related Commission guidelines and tools (13).

Ex post evaluations are Commission-wide tools that use evidence to assess whether a spe-
cific intervention was justified and whether it worked (or is working) as expected in achieving 
its objectives and why. Ex post evaluations also look for unintended effects (i.e. those which 
were not anticipated at the time of the IA or SIA) and look for evidence of causality.

(11) 

(12) 

(13) 

Please refer to the DG Trade section on the Europa website for the full list of SIAs conducted: http://
ec.europa.eu/trade/policy/policy-making/analysis/sustainability-impact-assessments/
The economic assessment of the negotiated outcome is referred in the 2010 Trade, Growth and World 
Affairs communication as ‘an analysis of the consequences of the proposed deal’, which should be prepared 
for the Parliament and Council once negotiations are concluded and before the signature of the agreement’.
For more details please visit the ‘Better regulation’ webpage: http://ec.europa.eu/smart-regulation/index_en.htm

HANDBOOK FOR TRADE SUSTAINABILITY IMPACT ASSESSMENT — SECOND EDITION9

Chapter II — SIAs: an integrated process

SIAs are trade-specific and independent ex ante assessments carried out by external con-
sultants simultaneously with major trade negotiations. They assess in depth the potential 
economic, social, human rights and environmental impacts of the agreement under ne-
gotiation. SIAs help to steer the trade negotiations by feeding them with evidence on an 
ongoing basis.

Analysis

a robust analysis of 
economic, social, 
human rights and 
environmental impacts

SIA

Consultation

a wide consultation 
process involving all the 
relevant stakeholders

Picture 3: SIAs, an integrated process

Trade SIAs consist of two complementary components of equal importance:

(i)  a robust analysis of economic, social, human rights and environmental impacts, using, 
among other methods, modelling techniques and causal chain analysis. This compo-
nent is undertaken in a clear and objective manner using state-of-the-art techniques;

(ii)  a wide consultation process involving stakeholders both in the EU and in the partner 
country, which provides opportunities for information-gathering and dissemination of 
results.

For more detail on the analysis, please refer to Chapter III.

For more detail on stakeholder consultation, please refer to Chapter IV.

The SIA methodological framework (14) is in line with the Commission’s impact assessment 
guidelines (15), though several elements of the process are specific to SIAs (16).

The conduct of an SIA is an integrated process that includes several steps and different 
players.

(14) 

(15) 
(16) 

A certain set of elements which are spelled out in this handbook as the methodological framework 
should be common to all SIAs (e.g. consultation features). They should be distinguished from the particular 
mix of techniques that will be proposed by the contractors (the methodological approach) to analyse 
a specific agreement (e.g. type of economic modelling).
For more details please visit the Better Regulation webpage: http://ec.europa.eu/smart-regulation/index_en.htm
For instance, an SIA should not repeat the IA, but complement it. While an IA will verify the existence 
of a problem, identify its underlying causes, assesses whether EU action is needed, and analyse the 
advantages and disadvantages of available solutions, the SIA will focus on the in-depth analysis of 
the potential economic, social, human rights and environmental impacts of the trade agreement under 
negotiation, as defined by the negotiating directives.

HANDBOOK FOR TRADE SUSTAINABILITY IMPACT ASSESSMENT — SECOND EDITION10

1.  SIAs: main players

Three main players are involved in the conduct of an SIA: the consultants, stakeholders 
and the Commission’s services. Their cooperation and regular interactions are key in en-
suring the quality of the SIA findings and their effective feeding into the trade negotiation.

SIA consultants

SIAs are carried out by independent consultants selected through a competitive tendering 
procedure.

The consultants are responsible for carrying out the work in a transparent and independ-
ent  manner.  In  particular,  they  are  expected  to  analyse  the  likely  impacts  of  the  trade 
agreement under negotiation, conduct open and far-reaching stakeholder consultations 
and liaise with the Commission services as appropriate.

To ensure the accuracy and quality of the SIA analytical exercise and process, the con-
sultants  are  required  to  have  proven  expertise  and  knowledge  in  economic,  social,  hu-
man rights and environmental impact analyses. In particular, this covers areas such as 
international trade policy and trade negotiations, quantitative analysis and modelling in 
economics and social sciences, quantitative and qualitative analysis of complex matters 
such  as  trade  rules,  competitiveness  and  environmental,  social,  consumer  and  human 
rights issues.

In addition, consultants are expected to have experience in conducting consultations with 
stakeholders, including in carrying out surveys or roundtables and organising other forms 
of activities that engage with civil society representatives.

SIA stakeholders

Stakeholders  both  in  the  EU  and  in  the  partner  country(ies)  are  key  SIA  players.  They 
include non-governmental organisations, businesses, social partners (including trade un-
ions), academia and national administrations. Stakeholders in developing countries, in par-
ticular LDCs should also be considered whenever relevant.

Stakeholders provide additional and constructive perspectives at each and every stage 
of  the  study.  In  particular,  their  input  on  SIAs’  specific  methodological  approaches  and 

HANDBOOK FOR TRADE SUSTAINABILITY IMPACT ASSESSMENT — SECOND EDITION11

the potential sustainability consequences of the trade agreement under negotiation, as 
well as their help in identifying priority areas and key issues in the trade negotiation, are 
essential for the SIA analysis.

The involvement of stakeholders is paramount in ensuring both the transparency of the 
SIA itself and that their opinions and concerns are taken into account.

The European Commission

While the SIA is an independent study, Commission services should provide relevant infor-
mation and guidance for the conduct of the SIA and be regularly informed of the progress 
of the study so that it can feed into the negotiation.

In particular, the SIA inter-service steering group (ISG) must ensure systematic coordina-
tion between the consultants and the Commission services and mobilise the relevant ex-
pertise of Commission services. The ISG is set up at the beginning of the SIA and involved 
in all key phases of the SIA; providing input and information to the consultants and ensur-
ing the quality, impartiality and usefulness of the final product. All interested Commission 
services and the European External Action Service (EEAS) are invited to participate in the 
ISG. This encourages a pooling of knowledge and brings together a range of different per-
spectives. Depending on the specificities of the negotiations, the exact composition of the 
ISG may vary. To ensure full transparency of the SIA process, consultants must provide 
a list of the departments represented on the SIA ISG in the inception report.

In addition to the meetings with the ISG, interaction between the consultants and EU offi-
cials should take place regularly. In order to help shape better-informed EU positions, the 
consultants should provide EU negotiators with frequent updates on their findings; in return, 
they should receive regular feedback from EU officials on developments in the negotiations, 
and on specific sectors or cross-cutting issues which should be analysed more closely. EU 
delegations in the partner country(ies) may also provide the consultants with relevant infor-
mation, in particular regarding the consultation of stakeholders outside the EU.

2.  The launch of an SIA

SIAs are launched soon after the Council of the European Union has formally authorised 
the Commission to enter into trade negotiations; in general not later than 6 months after 
the start of negotiations, to ensure that the analysis can usefully feed into the negotiating 
process at a useful stage.

The SIA process can usually (17) be divided into three main phases which lead to the pub-
lication for comments of draft reports by the consultants.

3.  First phase — inception report: development of the 
methodological approach and identification of key 
sustainability issues

The inception phase lays the foundation for the entire SIA: it describes the methodological 
approach that the consultants propose in order to ensure an in-depth and comprehensive 

(17) 

This will typically include an inception, an interim and a final report, although in some cases, depending on 
the scope of the SIA, only two phases/reports may be necessary.

HANDBOOK FOR TRADE SUSTAINABILITY IMPACT ASSESSMENT — SECOND EDITION12

analysis of economic, social, human rights and environmental impacts of the potential 
trade agreement. It further outlines a draft consultation plan, including a preliminary list 
of key stakeholders.

A preliminary screening and scoping (18) is carried out already in the inception phase in 
order to identify the elements being negotiated which are likely to have a significant im-
pact (19).

This phase is also meant to identify a selected number of sectors which should be subject 
to further detailed analysis, in order to provide deeper insights into the effects of the trade 
negotiations on the given sectors, and in particular the effects on their functioning and 
competitiveness.

The draft inception report, which is made public for comments, is subsequently presented 
to the SIA ISG and discussed with civil society stakeholders in the framework of DG Trade’s 
CSD (20).

Taking stakeholders’ contributions into account, the consultants then finalise the inception 
report which is published on the SIA dedicated website (21) as well as on DG Trade’s SIA 
webpage (22).

The inception phase is a prime opportunity for stakeholders to comment on the meth-
odological approach proposed by the consultants for the conduct of a specific SIA. It is 
a crucial phase where interested parties can contribute to the SIA in its early stages.

4.  Second phase — interim report: overall and sectoral 

assessment of identified sustainable impacts

The  interim  phase  implements  the  methodological  approach  proposed  in  the  inception 
report.  The  interim  report  presents  the  preliminary  findings  of  the  in-depth  economic, 
social, human rights and environmental impacts of the expected outcome of the trade 
negotiation. The analysis is further detailed for the selected sectors identified in the in-
ception report (23).

Throughout this phase the consultants ensure consultation and dialogue with stakehold-
ers through the various channels established for this purpose, such as the dedicated SIA 
website,  digital  media,  specific  questionnaire(s),  targeted  interviews,  meetings  or  work-
shops, which may take place in the EU and/or partner countries (see Chapter IV).

As in the first phase, the draft interim report is publicly released for comments, subse-
quently  presented  to  the  SIA  ISG  and  discussed  with  civil  society  stakeholders  in  the 
framework of DG Trade’s CSD.

After taking stakeholders’ contributions into account, the consultants finalise the interim 
report which is published on the dedicated website as well as on DG Trade’s SIA webpage.

(18) 
(19) 

(20) 
(21) 
(22) 

(23) 

For more details on the screening and scoping process, please refer to Chapter III — Section 2.
The SIA focuses on the analysis of the impact of the trade agreement under negotiation as defined by the 
negotiating directives.
For further detail on the CSD, please refer to Chapter IV, number 3.
For more detail on the SIA dedicated website, please refer to Chapter IV.
All finalised SIA reports can be found in: http://ec.europa.eu/trade/policy/policy-making/analysis/
sustainability-impact-assessments/assessments/
The way the overall and sectoral analyses are performed is detailed in Chapter III.

HANDBOOK FOR TRADE SUSTAINABILITY IMPACT ASSESSMENT — SECOND EDITION13

5.  Third phase — final report: completion of the SIA process

Building on the previous phases, the consultants refine the overall and sectoral analyses 
performed  so  far  and  produce  a  final  report  which  must  be  clear  and  understandable, 
taking into account the need to address both expert and non-expert readers.

The final report recapitulates the outcomes and findings of the assessment, together with 
a summary of the methodological approach adopted to arrive at those outcomes. It must 
summarise and exploit stakeholders’ comments in a transparent manner.

In  the  final  report,  consultants  should  also  make  recommendations  and  proposals  for 
flanking measures to maximise the benefits of the proposed agreement and prevent or 
minimise potential negative impacts. When making those recommendations the consult-
ants should also analyse their feasibility and estimate their cost and possible impact.

The findings will have already been widely disseminated and discussed among all stake-
holders as well as with Commission services and negotiators throughout the SIA process 
in order to fuel the negotiations and make sure that the SIA findings are appropriately 
taken into account.

As in the previous phases, a draft final report is publicly released for comments, subse-
quently presented to the SIA ISG and discussed with civil society stakeholders within the 
framework of DG Trade’s Civil Society Dialogue.

After  incorporating  any  further  comments  received,  the  consultants  conclude  the  final 
report which is published on the dedicated website as well as on DG Trade’s SIA webpage.

This concludes the work of the consultants, but not of the Commission: following the com-
pletion of the SIA, Commission services explain in a position paper how the SIA findings 
have or will contribute to decision-making. In particular, taking into account the specifics 
of  the  negotiation  and  the  actual  progress  made  in  it,  the  Commission  sets  out  in  the 
position paper its own views on the identified impacts and the policy measures proposed 
to address them. Finally, the Commission publishes the position paper on DG Trade’s SIA 
webpage, bringing the SIA process to an end.

Inception Report

Interim Report 

Final Report

·  Outlining methodological 

approach

·  Dra(cid:127)ing consultation plan 

(including a preliminary list of 
key stakeholders)

·  Preliminary screening and 

scoping

·  Identifying sectors for detailed 

analysis

·  Presentation of the 

preliminary ﬁndings of 
the in-depth economic, 
social, human rights 
and environmental 
impacts

·  Consultation and 
dialogue with 
stakeholders

·  Reﬁnement of the 
overall and sectoral 
analyses

·  Recapitulation of the 
outcomes and ﬁndings 
of the assessment
·  Recommendations and 
proposals for ﬂanking 
measures

civil society dialogue & comments from stakeholders

Picture 4: typical phases of an SIA 

HANDBOOK FOR TRADE SUSTAINABILITY IMPACT ASSESSMENT — SECOND EDITION14

Chapter III — SIAs: the analytical 
exercise

SIAs complement IAs by providing an in-depth analysis of the economic, social, human 
rights and environmental impacts of the trade agreement under negotiation.

The analysis starts with a screening and scoping exercise, and is then followed by overall 
and sectoral impact analyses which lead to conclusions and recommendations.

While  the  methodological  approach  should  be  tailored  for  each  trade  negotiation,  this 
chapter spells out the common elements to be complied with in order to ensure the rele-
vance and coherence of the analytical exercise (the methodological framework). However, 
an appropriate degree of flexibility is maintained in order to allow for further develop-
ments of the methodological approach.

1.  General approach

The sustainability impact assessment of the trade agreement under negotiation should 
be undertaken in a clear, objective, proportionate and evidence-based manner. ‘Propor-
tionate’ means that the level of depth and detail of the analysis should be adapted to 
the likely significance of the trade measure and impact as well as to possible analytical 
constraints.

As a matter of principle, the consultants should take into account relevant Commission 
guidelines and tools on impact assessments (24).

The consultants should ensure that the following elements are reflected in their method-
ological approach.

Causal chain analysis and baseline scenario

SIAs are based upon causal chain analysis that identifies the significant cause-effect links 
between a proposed change in trade policy and its economic, social, human rights and 
environmental impacts.

This requires the development of a baseline scenario outlining what the likely economic, 
social,  human  rights  and  environmental  developments  are  in  the  absence  of  the  trade 
agreement and against which the likely impacts of the trade agreement under negotiation 
will be measured and compared. The baseline scenario should have a strong factual basis, 
be expressed as far as possible in quantitative terms, and be set for an appropriate time 
horizon.  The  baseline  takes  into  account  recent  trends  and  implementation  of  existing 
policy including agreements already concluded even if not in force yet and, when relevant, 
agreements that are being finalised.

(24) 

For more details please visit the ‘Better regulation’ webpage: http://ec.europa.eu/smart-regulation/index_
en.htm

HANDBOOK FOR TRADE SUSTAINABILITY IMPACT ASSESSMENT — SECOND EDITION15

Quantitative and qualitative analysis

The analysis should combine both quantitative and qualitative approaches covering po-
tential impacts in the EU as well as in the negotiating partner’s country and in relevant 
non-EU countries, including Turkey (which is linked to the EU by a customs union agree-
ment) and LDCs.

Quantitative analyses aim to estimate the expected costs and benefits of identified individual 
elements under negotiation. They should use state-of-the-art methods of quantification (25).

Qualitative  analysis,  including  case  studies,  complements  the  quantitative  assessment 
and is an essential element of the analysis — in particular, whenever quantitative ap-
proaches are constrained by data limitations. It should be rigorous, thorough and rely on 
available evidence and on illustrative examples.

The systematic use of indicators is strongly encouraged so as to ensure that the conclu-
sions and recommendations of the SIA are based, to the extent possible, on measurable 
and easily comprehensible information. The analysis should be based on state-of-the-art 
available indicators, in particular for the main themes provided in the annex. The indica-
tors  may  be  quantitative  in  nature  (e.g.  GDP  increase)  or  partially/fully  qualitative  (e.g. 
health and safety effects).

Data

The analysis should be based upon the most up-to-date economic, social, human rights 
and environmental data available (including at the firm-level). The main source should be 
Eurostat (26). This can be complemented whenever necessary by Eurobarometer (27), the 

(25) 

(26) 
(27) 

For more detail on the economic, social, human rights and environmental analyses please refer to Section 
3 of this chapter.
http://epp.eurostat.ec.europa.eu/portal/page/portal/eurostat/home/
http://ec.europa.eu/public_opinion/index_en.htm

HANDBOOK FOR TRADE SUSTAINABILITY IMPACT ASSESSMENT — SECOND EDITION16

EU open data portal (28), other pertinent EU data collections (29), relevant international or-
ganisations (e.g. United Nations (30), World Trade Organization (31), World Bank (32), Organ-
isation for Economic Co-operation and Development (33), International Labour Office (34)) 
and other available reliable sources.

Any limitations in collecting or analysing the data (e.g. measurement errors, aggregation 
bias) should be acknowledged in the SIA report. It should be clearly indicated if the evi-
dence is limited or inconclusive.

Case studies

Well-designed case studies can provide empirical material on wider policy questions and 
be used to shed light on complex situations and key sustainability issues, as a comple-
ment to other analytical methods. When other analytical methods cannot provide reliable 
and robust findings, case studies may sometimes be used as the main analytical input.

The selection and the design of case studies should allow for more general conclusions to 
be drawn on the likely sustainability impacts of the trade negotiations.

Stakeholder inputs

Inputs from stakeholders are highly valued throughout the SIA process; they constitute 
a key pool of expertise in many areas, thereby contributing to the identification of poten-
tial impacts and sectors or cross-cutting issues for detailed analysis (35).

2.  Screening and scoping

Screening and scoping constitute the initial steps of the analytical exercise. They aim at 
identifying (by means of causal chain analysis) significant sustainability impacts associ-
ated with the individual elements under negotiation. They should build on findings from 
the impact assessment.

Screening

Screening aims at identifying which trade measures under negotiation, (according to the 
instructions given in the negotiating directives) are likely to have significant positive or 
negative impacts, in the EU, in the partner country/ies or in developing countries, in par-
ticular LDCs.

Such as consumer scoreboards and market studies available at http://ec.europa.eu/consumers/consumer_
evidence/index_en.htm
http://data.un.org

(28)  www.open-data.europa.eu
(29) 

http://data.worldbank.org

(30) 
(31)  www.wto.org
(32) 
(33)  www.oecd.org
(34) 
(35) 

http://www.ilo.org/global/statistics-and-databases/lang--en/index.htm
Please refer to Chapter IV on the conduct of stakeholder consultations.

HANDBOOK FOR TRADE SUSTAINABILITY IMPACT ASSESSMENT — SECOND EDITION17

Screening is a means to select the key sustainability issues that will be assessed in fur-
ther detail and to explain why a particular focus should be put on those elements. Several 
criteria should be used including the following.

—  The current economic, social, human rights or environmental conditions in the EU and 

in the partner country(ies).

—  The characteristics and specificities of the trade agreement under negotiation.

—  The  magnitude  of  the  expected  economic,  social,  human  rights  and  environmental 
impacts. Their nature, geographical scope and duration, as well as their potential cu-
mulative effect should be taken into account.

—  The relevance of the issue for specific stakeholders (e.g. businesses and in particular 

SMEs, NGOs, trading partners) and in the ongoing trade negotiations.

In doing so, careful consideration should be given to the many linkages between the eco-
nomic, social, human rights and environmental impacts, and to the fact that many of the 
key sustainability issues to be analysed are cross-cutting.

Scoping

Scoping aims at identifying which components of the trade measures, identified and nar-
rowed down during the screening exercise, are likely to be the main drivers of the predict-
ed impact. These components should be described in detail, explaining how they would 
operate and which particular elements are likely to be potentially significant to the sus-
tainability impacts.

Screening and scoping should also identify the sectors which should be subject to further 
detailed analysis (36).

3.  Overall economic, social, human rights and environmental 

analysis

Further to the screening and scoping exercise, a robust and informative in-depth analysis 
is then undertaken to produce an estimate of the most significant sustainability impacts, 
taking as reference the Sustainable Development Goals, with an enhanced focus on social, 
human rights and environmental impact analyses. When doing so, the SIA should also ex-
amine the capacity of the parties to ensure proper implementation of rules of origin issues 
of the trade agreement under negotiation.

Key impacts on non-EU countries may also be considered. In line with the commitment 
made in the Trade for all communication, SIAs in support of a new free trade agreement 
should analyse in-depth the impact which the agreement may have on LDCs, with a view 
to proposing flanking measures when necessary.

(36) 

For further information see Section 4 on sectoral analysis.

HANDBOOK FOR TRADE SUSTAINABILITY IMPACT ASSESSMENT — SECOND EDITION18

Economic analysis

The SIA should include a quantitative assessment of the likely effects of the agreement 
under negotiation on the EU (37), partner country/ies and other relevant countries (includ-
ing Turkey), especially LDCs, using state-of-the-art economic tools to provide aggregated 
effects as well as a general overview of sectors impacted (38).

Economic modelling should be used to as-
sess the likely consequences of the policy 
changes on variables such as output, trade 
flows,  prices,  fiscal  revenues  (including 
revenues  foregone),  income  and  welfare. 
Attention should also be paid to expected 
impacts on competitiveness and impact on 
SMEs, making use of the respective Com-
mission guidance (39)

In cases where economic modelling has al-
ready been conducted (i.e. in support of an 
IA), the SIA economic analysis should make 
full use of the available material and com-
plement  the  analysis  with  other  relevant 
information  of  qualitative  or  quantitative 
nature, including results from case studies 
and other modelling exercises available in 
the recent economic literature. The consult-
ants  will  be  expected  to  complement  the 
existing  analysis,  notably  on  employment, 
and examine more in-depth issues such as 
the  impact  of  the  trade  agreement  under 
negotiation (including compliance costs) on 
specific  sectors,  and  on  their  functioning 
and competitiveness.

Efforts should be made to take into consid-
eration the informal economy, particularly 
in  cases  where  this  may  make  up  a  sub-
stantial  portion  of  the  partner  country’s 
total economy. Although data on the infor-
mal economy may not be sufficiently reliable to be used in a quantitative analysis, a best 
attempt should be made at estimating the effect that the trade agreement may have on 
it  in  both  the EU  and in the trading partner. Efforts should also be made to  determine 
the  impact  that  the  trade  agreement  under  negotiation  may  have  on  the  fight  against 
corruption and promotion of good governance, particularly in sensitive areas (e.g. public 
procurement). Consideration could also be given to assessing the potential impact of the 
trade agreement under negotiation on possible tax avoidance strategies.

In developing the economic analysis for an SIA, particular attention should be given to 
identifying  and  assessing  where  the  impacts  could  be  particularly  significant  and/or 

(37) 
(38) 
(39) 

Including the EU’s outermost regions when relevant.
Specific sectors will also be singled out for in-depth analysis (see Section 4).
‘Better regulation’ tool #17: impacts on sectoral competitiveness (http://ec.europa.eu/smart-regulation/
guidelines/tool_17_en.htm) and #19: the SME test (http://ec.europa.eu/smart-regulation/guidelines/
tool_19_en.htm).

HANDBOOK FOR TRADE SUSTAINABILITY IMPACT ASSESSMENT — SECOND EDITION19

potentially disproportionate; and/or could specifically affect (positively or negatively) par-
ticular individuals or groups.

For example, due to their size and limited resources, SMEs are arguably more affected by 
regulatory costs than their larger competitors. With this in mind, the Commission made 
a commitment in the Small Business Act (2015) to implementing the ‘think small first’ prin-
ciple in its policymaking; by assessing the impact of forthcoming legislation and adminis-
tration on SMEs (the ‘SME test’), and by taking this into account when designing proposals. 
SIAs should reflect this commitment in each analytical step to the extent that data allows.

Open trade gives consumers access to a wider variety of goods and services, and con-
sumers in the EU and worldwide have been the big beneficiaries of trade in past decades. 
But  consumers  must  be  confident  in  the  products  they  buy  in  a  global  economy.  SIAs 
should assess the likely effect of the agreement under negotiation on consumers, on their 
rights and protection; including impacts on consumer prices, quality, availability, choice 
and safety of goods and services, consumer information, knowledge and trust. In doing so, 
the consultants should make use of the relevant Commission guidance (40).

Social analysis

SIAs should provide a detailed assessment of the likely significant social impacts of the 
trade agreement under negotiation and identify which groups of people or actors will be 
affected, using a mix of quantitative and qualitative approaches as well as the relevant 
Commission guidance (41).

Particular attention should be given to the assessment of the impacts on employment 
(overall job creation or losses, job creation or losses for specific sectors, professions or 
skill levels), on working conditions (wage level, work standards, health and safety at work, 

(40) 

(41) 

See ‘Better regulation’ tool #28: impacts on consumers (http://ec.europa.eu/smart-regulation/guidelines/
tool_28_en.htm).
See ‘Better regulation’ tool #25: employment, working conditions, income distribution and inequality 
(http://ec.europa.eu/smart-regulation/guidelines/tool_25_en.htm).

See also: http://ec.europa.eu/smart-regulation/impact/key_docs/docs/guidance_for_assessing_social_impacts.pdf

HANDBOOK FOR TRADE SUSTAINABILITY IMPACT ASSESSMENT — SECOND EDITION20

social dialogue) as well as distributional impacts (poverty, income inequalities, disposable 
income, vulnerable consumer groups). Potential impacts on the health and safety of in-
dividuals or populations should also be considered (42). The SIA should explain how these 
effects might be measured or quantified with reference to labour market analysis, decent 
work indicators, International Labour Office (ILO) sources, information on labour standards 
and other relevant sources.

In  conducting  the  social  impact  analysis,  the  interaction  between  the  potential  trade 
agreement and the effective implementation of ILO conventions on core labour standards 
and the promotion of the ILO Decent Work Agenda should also be considered, taking into 
account the proportionality principle, in the EU as well as in the trade partners, under con-
sideration. Other conventions from ILO and UN bodies should also be taken into consider-
ation, where relevant. The consultants should also assess how the trade agreement under 
negotiation could contribute to the uptake of internationally agreed principles and guide-
lines on corporate social responsibility (CSR) and on responsible business conduct (RBC), 
such as the Organisation for Economic Co-operation and Development (OECD) Guidelines 
for Multinational Enterprises (43), the UN’s Global Compact (44) and its Guiding Principles 
on Business and Human Rights (45), as well as the ILO Tripartite Declaration of Principles 
concerning Multinational Enterprises and Social Policy (46).

The assessment should, whenever possible, be based on quantitative research, which will 
be complemented by case studies whenever relevant and by a detailed qualitative assess-
ment; and should include analysis of the impact on women and vulnerable groups (e.g. low 
income, children, people with disabilities, ethnic minorities, indigenous peoples, unskilled 
workers and older or less educated consumers) (47).

Consultations with stakeholders, including consultations with social partners, are impor-
tant sources of information on the social dimension (see Chapter IV).

(42) 

(43) 
(44) 
(45) 

(46) 

(47) 

See ‘Better Regulation’: tool #27: impacts on health (http://ec.europa.eu/smart-regulation/guidelines/
tool_27_en.htm) 
The OECD Guidelines for Multinational Enterprises: http://www.oecd.org/corporate/mne
The United Nations Global Compact: www.unglobalcompact.org
The United Nations Guiding Principles on Business and Human Rights: http://www.ohchr.org/Documents/
Publications/GuidingPrinciplesBusinessHR_EN.pdf
The ILO Tripartite Declaration of Principles concerning Multinational Enterprises and Social Policy: http://www.
ilo.org/wcmsp5/groups/public/---ed_emp/---emp_ent/---multi/documents/publication/wcms_094386.pdf
The concept of ‘vulnerability’ will depend on the specific context in which the trade agreement would be 
implemented.

HANDBOOK FOR TRADE SUSTAINABILITY IMPACT ASSESSMENT — SECOND EDITION21

Human rights (48) analysis

The SIA should analyse the potential impact of the agreement under negotiation on hu-
man rights issues in the countries or territories concerned.

This analysis is not intended to pass judgement on the actual human rights situation in 
a country, nor to decide whether the country is eligible for the conclusion of trade negotia-
tions; but rather to bring to the attention of negotiators the potential impacts of the trade 
measures under negotiation and thus to support sound policymaking.

The analysis undertaken in the SIA should complement the analysis already performed in 
the IA by analysing the possible impacts on human rights of the trade agreement under 
negotiation in greater depth, and by making full use of the expertise provided through 
extensive consultation of stakeholders, including in the partner country.

The consultants should use the guidance on the analysis of human rights impacts in IAs 
as developed by Commission services, in particular the Guidelines on the analysis of hu-
man rights impacts in impact assessments for trade-related policy initiatives (49) as well 
as other relevant Commission guidance (50).

Following a normative approach, the consultants should refer to human rights as set out 
in the Charter of Fundamental Rights of the European Union, the core UN treaties and con-
ventions (51), ILO conventions on core labour standards (52) and the European Convention 
on Human Rights and other regional human rights conventions as well as, where relevant, 
customary international law.

The consultants should keep in mind that human rights are interdependent and interre-
lated (53). Consultants should therefore consider the likely multiple impacts of a particular 
measure. Some issues to be analysed may also pertain to more than one category and 
should be envisaged as cross-cutting. Indeed, the analysis of potential impacts on human 

(48) 

(49) 
(50) 

(51) 

(52) 

(53) 

The term ‘fundamental rights’ is used in the EU to express the concept of ‘human rights’ within a specific EU 
internal context. Traditionally, the term ‘fundamental rights’ is used in a constitutional setting whereas the 
term ‘human rights’ is used in international law. Indeed, the two terms refer to a similar substance as many 
parallels can be found when comparing the content of the Charter of Fundamental Rights of the EU (CFR) 
and the core UN conventions on human rights. Therefore, the SIA handbook refers to the term ‘human rights’. 
Nevertheless, this should be understood as also encompassing fundamental rights as enshrined in the CFR.
http://trade.ec.europa.eu/doclib/docs/2015/july/tradoc_153591.pdf
See Better Regulation Tool #24: Fundamental Rights and Human Rights (http://ec.europa.eu/smart-
regulation/guidelines/tool_24_en.htm) and Operational Guidance on Fundamental Rights in Commission 
Impact Assessments (SEC(2011) 567 final, 6.5.2011) (http://ec.europa.eu/justice/fundamental-rights/files/
operational-guidance_en.pdf).
Core UN human rights treaties: International Convention on the Elimination of All Forms of Racial 
Discrimination (ICERD); International Covenant on Economic, Social, and Cultural Rights (ICESCR); 
International Covenant on Civil and Political Rights (ICCPR); Convention on the Elimination of All Forms 
of Discrimination against Women (CEDAW); Convention against Torture and Other Cruel, Inhuman or 
Degrading Treatment or Punishment (CAT); Convention on the Rights of the Child (CRC); International 
Convention on the Protection of the Rights of All Migrant Workers and Members of Their Families (ICMW); 
International Convention for the Protection of All Persons from Enforced Disappearance (CPED); and 
Convention on the Rights of Persons with Disabilities (CRPD).
Freedom of Association and Protection of the Right to Organise Convention, 1948 (No. 87); Right to 
Organise and Collective Bargaining Convention, 1949 (No. 98); Forced Labour Convention, 1930 (No. 29); 
Abolition of Forced Labour Convention, 1957 (No. 105); Minimum Age Convention, 1973 (No. 138); Worst 
Forms of Child Labour Convention, 1999 (No. 182); Equal Remuneration Convention, 1951 (No. 100); 
Discrimination (Employment and Occupation) Convention, 1958 (No. 111).
Interdependent means that the enjoyment of one’s right may require the enjoyment of other rights; 
interrelated is to say that several rights share common characteristics such as their provenance from UN 
bodies, legal character, etc.

HANDBOOK FOR TRADE SUSTAINABILITY IMPACT ASSESSMENT — SECOND EDITION22

rights might overlap with the analysis of impacts on certain social rights (e.g.as in the 
case, for example, of fundamental labour rights that are also considered to be human 
rights).  In  cases  of  this  kind,  findings  related  (eg.)  to  fundamental  labour  rights  should 
be analysed together with other social impacts, while the impact on other human rights 
should be covered separately in the report and in the executive summary.

As part of the analysis of human rights impacts, the consultants should:

—  identify the specific human rights most likely to be affected by particular measures 

included in the agreement under negotiation;

—  analyse the extent to which the particular measures foreseen in the agreement may 
enhance  or  impair  the  enjoyment  of  the  relevant  rights  and/or  may  strengthen  or 
weaken the ability of the EU and partner countries to fulfil or progressively realise their 
human rights obligations (54);

—  identify individuals or specific groups of people that are likely to be specifically affect-

ed by those impacts.

In  doing  so,  attention  should  be  given  to  the  pre-existing  legal  situation  in  the  EU  and 
country(ies) concerned (e.g. in terms of the human rights arising either from the human 
rights treaties by which the parties have consented to be bound — taking into account 
any reservations expressed — or from constitutional or other domestic law); pre-existing 
conditions of stress or vulnerability should be highlighted, including in relation to particu-
lar vulnerable groups. Particular attention should also be paid to women’s rights and the 
effect that the agreement under negotiation could have on gender equality (55). Existing 
human rights dialogue mechanisms led by the EEAS (where human rights issues are dis-
cussed with the partner country(ies)) and issues discussed in the context of the stabilisa-
tion and association process or EU accession negotiations for relevant countries should 
also be taken into account, and the consultants should consider how these mechanisms 
could be used to contribute to the analysis.

The analysis should combine both quantitative and qualitative approaches. Figures gener-
ated by the economic modelling should be used, as well as qualitative analyses and, when 
relevant, case studies. To the extent possible, available quantitative information on affect-
ed individuals and/or groups of people or actors in relevant sectors should be presented.

In  their  work,  consultants  can  use  as  sources  the  reports  and  recommendations  of  the 
European Union Agency for Fundamental Rights and of the Council of Europe; or refer to 
international work in this area, such as the output of UN human rights treaty bodies, the 
universal periodic review (UPR), or the work of the special rapporteurs on the various coun-
tries and/or themes.

Stakeholders’ consultations are a particularly important source of information. They should 
ensure inclusive participation with a view to contributing to the identification of potential im-
pacts as well as of individuals or groups of people likely to be affected. Consultants are given 
a wide mandate to conduct far-reaching consultations with all relevant stakeholders including 
women and vulnerable groups (e.g. low income, children, people with disabilities, ethnic mi-
norities, indigenous peoples and unskilled workers) in the EU and the partner country(ies) (56).

(54) 

The contractor may also refer to Human rights indicators: a guide to measurement and implementation 
(OCHCR, 2012).

(55)  DG Employment, Social Affairs and Inclusion’s manual for gender mainstreaming can provide guidance in 
this regard: http://ec.europa.eu/social/main.jsp?catId=738&langId=en&pubId=70&type=2&furtherPubs=yes
For further detail on the SIA consultations, please refer to Chapter IV.

(56) 

HANDBOOK FOR TRADE SUSTAINABILITY IMPACT ASSESSMENT — SECOND EDITION23

Environmental analysis

International trade can serve as an important catalyst for global climate action and envi-
ronmental protection. SIAs should contain a detailed assessment of likely environmental 
impacts of the trade agreement under negotiation. The analysis should in principle include 
the impact of the potential agreement on aspects such as climate change, including the 
most important types of greenhouse gas (GHG) emissions, air quality, use of energy, water 
quality and resources, land use, soil quality, waste and waste management, biodiversity, 
ecosystem services and protected areas.

The study should also try to identify how the agreement under negotiation could contrib-
ute to greening the economy, to resource efficiency objectives, and to promoting sustain-
able consumption and production.

Building on the overall economic modelling, the environmental analysis is conducted using 
various supplementary economic models as well as qualitative analysis and case studies.

The consultants should, where appropriate, break down the impact of the trade agreement 
under negotiation into scale, structural, technology and product effects. Scale effects refer 
to  environmental  impacts  resulting  from  trade-induced  economic  growth  (e.g.  increased 
resources for environmental protection, impacts on biodiversity); structural effects refer to 
changes in production or consumption patterns at the microeconomic level (e.g. changes in 
the cost of raw materials or labour); technology effects are those affecting the processes or 
production methods used in product supply (e.g. potential for facilitated access to environ-
mental technologies); product effects refer to the changes in the use of specific goods and 
services following liberalisation (57). The analysis should be based on the most up-to-date 
and reliable decomposition techniques and complementary approaches.

In conducting the analysis, attention should be given to the interaction between the po-
tential trade agreement and relevant multilateral environmental agreements.

(57)  Mayrand and Paquin (2007), p. 21; http://unisfera.org/IMG/pdf/Unisfera_-_EAs_of_Services_Trade_

Liberalisation_-_Literature_Review_19_April_2007.pdf

HANDBOOK FOR TRADE SUSTAINABILITY IMPACT ASSESSMENT — SECOND EDITION24

4.  Sectoral analysis

Detailed sectoral analysis is conducted in order to provide deeper insight into the effects 
of trade negotiations on the key economic sectors identified at the screening and scoping 
phase (although the list of sectors could be adjusted based on the outcome of the overall 
economic, social and environmental impacts’ analysis).

Sectors  that  will  be  subject  to  further  detailed  analysis  in  the  SIA  should  be  selected 
according to several criteria, such as their weight (e.g. GDP, share of employment, share 
of household consumption) in the EU, in partner country(ies) or developing countries, in 
particular LDCs (58); the particularly significant (positive or negative) expected economic, 
social, human rights or environmental impacts of the agreement in these sectors; their 
integration  in  global  value  chains;  and  concerns  and  priorities  raised  by  stakeholders. 
Indeed, stakeholder consultations are a vital element for identifying sectors for further 
detailed analysis.

The aim is to assess quantitatively and qualitatively the economic, social, human rights 
and environmental impacts of the agreement under negotiation on the selected sectors 
as well as knock-on effects on other indirectly affected sectors identified in the overall 
analysis.

The  in-depth  sectoral  analyses  should  identify  and  highlight  specific  subsectors,  activ-
ities, products, vulnerable social groups and geographical areas that are most likely to 
be affected, either positively or negatively, by the outcome of the negotiations. Particular 
attention should be given to a detailed analysis of the likely impact on the functioning of 
the market, competitiveness, job creation or losses, SMEs and consumers. Other potential 
economic,  social,  human  rights  and  environmental  impacts  should  also  be  analysed  in 
depth at sectoral level. Sectoral analyses may also contribute to analysing the impact that 
the trade agreement under negotiation could have on corruption.

The  methodology  to  be  used  for  this  purpose  is  likely  to  be  multifaceted.  It  should  be 
based as much as possible on the existing economic modelling results developed for the 
overall analysis, but should go beyond that in terms of the actual analysis. Case studies 
can be a particularly useful approach in this regard. The analysis should also rely on ex-
tensive stakeholders’ feedback, technical experts’ opinions, surveys, etc.

5.  Conclusions and recommendations

The analytical exercise should lead to conclusions and recommendations which will help 
EU officials in the conduct of the trade negotiations. Conclusions should be substantiated 
with evidence and stakeholder views. The consultants should also make recommendations 
and proposals for flanking measures to maximise the benefits of the proposed agreement 
and prevent or minimise potential negative effects. When making those recommendations 
the consultants should also analyse their feasibility and estimate their cost and possible 
impact.

(58) 

The in-depth analysis of the selected sectors should then consider the impact in the LDCs concerned.

HANDBOOK FOR TRADE SUSTAINABILITY IMPACT ASSESSMENT — SECOND EDITIONChapter IV — Stakeholder 
consultation: a key component 
of the SIA analysis

SIAs are highly participatory; an open, transparent and wide-ranging consultation process 
is at the core of SIAs’ analysis.

Stakeholder consultations are conducted by the consultants and should be tailored to the 
specific needs of each SIA. Nevertheless, some guidance on key elements and consultation 
activities is presented in order to ensure the consistency and quality of the dialogue.

1.  Purpose

Consultations are key to ensuring the transparency, quality, credibility and legitimacy of 
SIAs by providing a dynamic and robust framework for interaction and dialogue with all 
relevant stakeholders.

By directly involving those affected by or interested in the envisaged trade measures, the 
SIA consultation provides additional and constructive perspectives on the potential sus-
tainability consequences of the trade agreement under negotiation.

The main objectives of the consultation process are:

—  to actively engage with all interested parties in order to reflect their experience, prior-

ities and concerns;

—  to contribute to the transparency of the SIA analysis;

—  to help identify priority areas and key issues in the trade negotiations.

2.  Key principles

The consultants must ensure a far-reaching, open and continuous consultation process. 
The  consultants  should  take  into  account  and  refer  to  the  Commission  guidelines  and 
tools for stakeholder consultation (59). In particular, the consultants should make specific 
efforts to ensure that the consultation is the following.

—  Comprehensive: all relevant stakeholders should be given the opportunity to express 

their views.

—  Balanced: the consultants should ensure an adequate and balanced coverage of all 
relevant interested parties during the consultation in order to be representative and 
avoid capture of the process by specific constituencies.

(59) 

See Better Regulation Tool #50: Stakeholder Consultation Tools (http://ec.europa.eu/smart-regulation/
guidelines/tool_50_en.htm).

26

—  Timely: in order to maximise the usefulness of stakeholders’ contributions, consulta-
tions should start at an early stage of the SIA process and be conducted throughout 
the SIA study. Participants should be informed without delay of consultation activities 
and given sufficient time to provide their input and contributions.

—  Tailored:  consultation  activities  and  documents  are  adapted  and  tailored  to  meet 
the needs of all target  audiences. In  particular, SIA reports  should  be clear,  concise 
and easily understandable, taking into account the need to address both experts and 
non-expert readers, as well as provide a clear executive summary of the findings.

—  Incorporated:  stakeholders’  contributions  are  appropriately  taken  into  account,  re-
sponded  to  and  exploited  in  the  conduct  of  the  SIA.  All  inputs  received  should  be 
summarised in a dedicated section of the SIA website and, where relevant, integrated 
and  addressed  in  the  analysis.  The  SIA  final  report  should  summarise  and  refer  to 
stakeholders’  contributions  in  a  transparent  manner  and  include  an  analysis  of  the 
effectiveness of the consultation process.

3.  The consultation process

Consultations ensure dynamic and continuous interaction with stakeholders. The consult-
ants provide regular information to relevant stakeholders on the progress of the analysis 
and  regularly  seek  their  input.  Stakeholders  are  also  encouraged  to  proactively  convey 
their views as soon as the dedicated SIA website is set up, and throughout the whole SIA 
process.

Definition of the consultation plan and identification of stakeholders

The consultants are responsible for establishing a consultation plan which describes how 
the SIA consultation will be carried out. In particular, the consultation plan should identify 
key  stakeholders  to  be  consulted  in  the  EU  and  partner  country(ies),  describe  the  con-
sultation objectives, map the nature and level of interests of the various categories of 
stakeholders, identify any risks (e.g. non-participation of major stakeholders, constraints 
on freedom of association, illiteracy, cultural obstacles) and how these risks will be ad-
dressed to ensure constructive dialogue and useful inputs from stakeholders. Consulta-
tion means and activities foreseen should also be described in detail.

Stakeholders to be consulted include non-governmental organisations, businesses, social 
partners (including trade unions), academia and national administrations. The consultants 
should seek to involve experts from the EU and partner countries as well as from appro-
priate international organisations such as the ILO.

Social partners, via the Sectoral Social Dialogue Committees (SSDC) (60), but also expert 
groups such as the European consumer consultative group (ECCG) (61) or the EU Health 
Policy Forum (62) may also usefully be consulted (63). As highlighted in the Trade for all 

(60) 
(61) 

(62) 

(63) 

The European social dialogue: http://ec.europa.eu/social/main.jsp?catId=480&langId=en
The ECCG: http://ec.europa.eu/consumers/eu_consumer_policy/consumer_consultative_group/eccg/index_
en.htm
The EU Health Policy Forum: http://ec.europa.eu/health/interest_groups/eu_health_forum/policy_forum/
index_en.htm 
The consultation of the abovementioned stakeholders can be organised by DG Trade with the help of DG 
Employment, Social Affairs and Inclusion, DG Justice and Consumers and DG Health and Food Safety, 
respectively.

HANDBOOK FOR TRADE SUSTAINABILITY IMPACT ASSESSMENT — SECOND EDITION27

communication, SIAs should contribute to enhancing the consultation of social partners 
on the possible impacts of trade and investment agreements on jobs.

The consultants should ensure a balanced coverage of all relevant interests among iden-
tified  stakeholders  and  clearly  explain  how  and  why  particular  stakeholders  have  been 
invited to participate in the process.

The consultants should consult with the Commission, the European Economic and Social 
Committee  and,  through  the  Commission,  the  ECCG  and  SSDC  in  order  to  identify  key 
stakeholders.

The  consultants  should  also  identify  target  groups  that  run  the  risk  of  being  excluded. 
There  might  be  differences  between  stakeholder  groups  regarding  their  access  to  con-
sultations or in the availability of resources that they can dedicate to participation; this 
may be the case especially with vulnerable groups. To help identify these stakeholders, 
the consultants may consult national human rights institutions (NHRIs) (64) through the 
respective regional network.

The consultation plan is presented to and discussed at the meeting of DG Trade’s CSD and 
the meeting with the SIA ISG where the draft inception report will be discussed.

Consultation activities

Consultation is not a one-off event but a dynamic and systematic process that includes 
a wide range of complementary activities. These will typically include interviews, meet-
ings, surveys of stakeholders and workshops, as well as dissemination of the findings at 
all the main stages of the analysis via digital media, and publication of the draft reports 
for comments and their discussion in meetings with civil society before they are finalised.

Dedicated website and electronic communications

To ensure dynamic and continuous interactions with civil society and all other relevant 
stakeholders throughout the conduct of the SIA, the consultants must set up a dedicated 
SIA website as well as use other digital channels.

SIA dedicated website

The  dedicated  website  provides  an  essential  channel  for  publicising  the  SIA,  communi-
cating with stakeholders and disseminating its findings. The website should be designed 
to  facilitate  regular  interactions  with  stakeholders  and  serve  as  a  discussion  forum  to 
further stimulate the involvement of stakeholders on the basis of SIA information made 
available online.

To this end, the SIA website includes a specific feedback mechanism, a home page with 
an easily accessible summary of the stages of the SIA process and all appropriate SIA-re-
lated information.

In particular, all reports — inception, interim and final — in their draft version as well as 
in their final forms are made publicly available on the website. Other relevant outputs, 
including regular updates on the SIA process, findings and documentation sources are also 
published on the SIA website.

(64) 

The UN OHCHR and NHRIs: http://www.ohchr.org/EN/Countries/NHRI/Pages/NHRIMain.aspx

HANDBOOK FOR TRADE SUSTAINABILITY IMPACT ASSESSMENT — SECOND EDITION28

All meetings with civil society should be appropriately advertised on the SIA website and 
through  other  channels  such  as  SIA  newsletters  issued  by  the  consultants  and  the  EU 
trade newsletters (EUTN) (65), etc. The dates, venues and other relevant information are 
clearly communicated well in advance of the events.

Finally, to ensure that the SIA consultation is open and transparent, the consultants should 
also publish all the inputs received from stakeholders together with the names of their 
authors in a section of the website specifically created to this end, unless respondents 
indicated that they do not wish their contributions to be made public.

The consultants should create the SIA dedicated website no later than the date of publi-
cation of the draft inception report; it should remain active for at least 2 years after the 
date of approval of the final report. In addition, all finalised reports are published on DG 
Trade’s SIA webpage (66).

Other electronic tools

The  consultants  are  also  expected  to  contact  stakeholders  by  various  means  such  as 
email, electronic newsletter, Twitter, etc. to inform them regularly and pro-actively about 
the SIA process including consultation activities and the main findings. In particular, at the 
beginning of the SIA consultation process and at each of the main stages of the analysis, 
the consultants should contact identified stakeholders to inform them about progress in 
the SIA study and to invite them to provide contributions via dedicated channels.

Interviews, meetings and questionnaires

Interviews, meetings, roundtables and questionnaires should be conducted as part of the 
consultation process.

Interviews, meetings and roundtables

The consultants should undertake a wide range of interviews and one-to-one meetings, 
particularly at an inter-professional level. These meetings should facilitate detailed dis-
cussions on the ongoing negotiations and their potential sustainability impacts. Consult-
ants are also encouraged to organise roundtable discussions for specific issues.

The  consultants  should  identify  existing  platforms  for  dialogue  that  they  could  use  to 
enhance communication with stakeholders. In this respect, the consultants should consult 
with  the  Commission,  the  European  Economic  and  Social  Committee  and,  through  the 
Commission, the Social Dialogue Committees to determine whether existing conferences 
or meetings that they should attend are taking place.

Questionnaires

The consultants should also make use of a general public consultation, and to that end 
must develop a questionnaire which can be understood by all stakeholders and is open 
to everyone. Targeted consultation of specific stakeholders or stakeholder groups should 
also be considered. In particular, use should be made whenever relevant of a question-
naire specifically directed to SMEs (the ‘SME survey’) and a detailed and targeted con-
sumer survey.

(65) 

(66) 

For detailed information on EUTN, please refer to the DG Trade section on the Europa website: http://trade.
ec.europa.eu/eutn/
All finalised SIA reports can be found in: http://ec.europa.eu/trade/policy/policy-making/analysis/
sustainability-impact-assessments/assessments/

HANDBOOK FOR TRADE SUSTAINABILITY IMPACT ASSESSMENT — SECOND EDITION29

The consultants should make sure that the questionnaires are appropriately disseminated 
and that all relevant stakeholders can reply to them. With respect to the SME survey, the 
consultants should make full use of the Commission’s SME panel consultations through 
the Enterprise Europe Network managed by DG Internal Market, Industry, Entrepreneur-
ship  and  SMEs  (67),  while  consumers  should  be  consulted  via  the  European  Consumer 
Consultative Group (ECCG) managed by DG Justice and Consumers (68).

Civil society dialogue meetings and workshops

Consultants should present ongoing work to interested stakeholders, giving them the op-
portunity to provide direct input.

At least one meeting per draft report (inception, interim and final) should take place in 
Brussels with civil society as part of DG Trade’s CSD (69). These are regular meetings be-
tween civil society and the Commission held to discuss aspects of the EU’s trade policy. 
The  consultants  are  expected  to  participate  in  the  meeting,  to  present  the  SIA  meth-
odological approach and findings as well as to hold an open discussion with interested 
stakeholders.

The consultants and the Commission undertake to make the draft reports public as soon 
as possible in advance of these meetings in order to allow for informed discussions; ad-
ditional time for comments is provided as a follow-up to these meetings. The draft report 
is then finalised, taking into account contributions received. It should be noted that stake-
holders  can  comment  on  the  draft  reports  regardless  of  their  participation  to  the  CSD 
meetings.

(67) 

(68) 

(69) 

For further information, please visit DG Internal Market, Industry, Entrepreneurship and SMEs website 
http://ec.europa.eu/growth/smes/
For further information, please visit DG Justice and Consumers website http://ec.europa.eu/consumers/
eu_consumer_policy/consumer_consultative_group/eccg/index_en.htm
For more information on the CSD, please visit the DG Trade section on the Europa: http://trade.ec.europa.
eu/civilsoc/index.cfm

HANDBOOK FOR TRADE SUSTAINABILITY IMPACT ASSESSMENT — SECOND EDITION30

Where appropriate, workshops may also be organised, in particular in the partner coun-
try(ies), to strengthen the element of consultation of local stakeholders. As highlighted in 
Chapter II, the EU delegation in the partner country(ies) can provide valuable support in 
the consultation of local stakeholders.

Final remarks

The  SIA  consultants’  work  feeds  continuously  into  the  trade  negotiations  throughout  the 
whole  duration  of  the  study.  The  final  report  should  also  include  recommendations  and 
proposals for flanking measures to maximise the benefits of the proposed agreement and 
prevent or minimise potential negative impacts. When making those recommendations the 
consultants should also analyse their feasibility and estimate their cost and possible impact.

Once the SIA is finished, the Commission services set out their views on the consultants’ 
findings and recommendations by means of a position paper. The position paper explains 
how  the  SIA  has  and  will  contribute  to  the  negotiations;  it  highlights  the  Commission 
services’ views on the impacts identified in the SIA and on the measures proposed by the 
consultants and explains how the SIA findings have or will be used.

Finally, it is important to keep in mind that while this handbook sets out the broad meth-
odological  framework  of  the  new  generation  of  SIAs,  this  is  inevitably  a  dynamic  and 
learning-by-doing process. The methodological approach will continue to be refined with 
each SIA in order to further strengthen the consultation process wherever necessary and 
to  reflect  the  state-of-the-art  in  relation  to  data  collection  tools,  indicators  and  quan-
titative  and  qualitative  analysis  techniques.  In  this  way,  SIAs  can  help  ensure  that  the 
EU’s trade agreements continue to contribute simultaneously to the EU’s jobs and growth 
agenda, as well as to overarching sustainable development objectives.

STAKEHOLDERS

e.g. non-governmental organisations, businesses, social partners 
(including trade unions), academia and national administrations

PROVIDE INPUTS 
AND CONTRIBUTIONS

RECEIVE INFORMATION 
AND FEEDBACK

Targeted meetings 
and interviews

Meetings with 
civil society

·  Identiﬁed stakeholders in a 

balanced 
representation of interests
·  2nd phase of the SIA, a€er 

publication 
of inception report

e.g. one-on-one interviews in 
various locations.

·  All registered civil 

society 
organisations
·  One a€er the 
publication 
of each dra€ report

e.g. CSD meeting in 
Brussels to discuss dra(cid:129) 
interim report.

SIA Website and 
other electronic 
tools

·  All interested 
stakeholders

·  Throughout the SIA 

process

e.g. speciﬁc feedback 
mechanism on SIA 
website.

Questionnaires

·  All relevant 

stakeholders, speciﬁc 
for SMEs and 
consumers when 
appropriate

·  2nd phase of the SIA, 
a€er publication 
of inception report 

e.g. online questionnaire 
open to all stakeholders.

RECEIVE INFORMATION 
AND FEEDBACK

PROVIDE INFORMATION 
AND FEEDBACK

SIA CONSULTANTS

Picture 5: SIA consultation activities

HANDBOOK FOR TRADE SUSTAINABILITY IMPACT ASSESSMENT — SECOND EDITION 
31

Annex: main list of SIA themes

Below is an indicative list of themes that may be of particular relevance when assessing 
the impacts of a trade agreement under negotiation. The list is intentionally broad and 
non-exhaustive.  It  has  been  organised  under  five  categories  (economic,  social,  human 
rights, environmental and institutional) but several of the themes mentioned may pertain 
to more than one category. Indeed, some themes listed below may be pertinent for the 
analysis of several types of impacts. Depending on the specifics of each trade negotiation, 
some of the below-mentioned themes may not be relevant while other unlisted themes 
should also be considered.

ECONOMIC

• Macro-economy 
(including GDP, 
trade and 
investment ﬂows, 
household income, 
consumption, terms 
of trade, sectoral 
output, government 
resources)

• Labour market 

(including 
wages as well 
as employment 
overall, by 
sectors, by 
skills and by 
professions)

ENVIRONMENTAL

• Air and 
climate

• Land
• Water, 
oceans, 
seas and 
coast

• Biodiversity
• Energy
• Waste
• Transport
• Chemicals

• Functioning of 
markets for 
businesses and 
consumers

MAIN
SIA
THEMES

SOCIAL

• Decent work (full and 

productive 
employment, rights 
at work, social 
protection and social 
dialogue)
• Housing
• Education
• Health/public health

• Equality (e.g. 

gender equality, 
discrimination, 
people with 
disabilities, 
consumer 
protection)

• Security
• Population
• Child labour

INSTITUTIONAL 
& ADMINISTRATIVE

• Institutional 

framework and 
capacity (e.g. 
international 
cooperation)

• Governance (e.g. 
transparency 
and rule of law, 
integrity and 
corruption risks)

• Administrative capacity 
(e.g. to apply and verify 
rules of origin issues)

HUMAN RIGHTS

• Adequate 

standard of living

• Property
• Fair trial
• Freedom of 

expression and 
opinion

• Privacy
• Cultural life
• Indigenous 
peoples

• Right to water

HANDBOOK FOR TRADE SUSTAINABILITY IMPACT ASSESSMENT — SECOND EDITIONHOW TO OBTAIN EU PUBLICATIONS

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