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SEA MANUAL

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TABLE OF CONTENT

INTRODUCTION ....................................................... ........................................................... ..................................... 3

CONSOLIDATING GHANAS POLICIES WITH MILLENNIUM DEVELOPMENT GOALS AND NEPAD............................ 3

GLOSSARY.................................................... ........................................................... ............................................... 5

PART ONE - UPDATE OF THE GPRS..................................................... ........................................................... ....... 6

1.0 SECTION ONE DEVELOPING POLICIES FOR THE UPDATE OF THE GPRS............................................... 6

1.1 PROCESS TO UPDATE THE GPRS .......................................................... .............................................. 6

2.0 SECTION 2: CONTRIBUTION OF SEA TO GPRS UPDATE.......................................................... ................. 7

2.1 HOW THE SEA CONTRIBUTES TO THE UPDATE ........................................................ ........................... 7

2.2 ROLE OF THE SEA TEAM .................................................... ........................................................... ....... 7

2.3 OUTPUT OF THEASSIGNMENT: ........................................................... ........................................................ 8

3.0 SECTION 3: TOOLS FOR SEA AND SUSTAINABILITY APPRAISAL ..................................................... ....... 8

3.1 INTRODUCTION........................................................ ........................................................... ................. 8

3.2 THE COMPATIBILITY MATRIX........................................................ ........................................................ 8

3.3 COMPOUND MATRIX.......................................................... ........................................................... ..... 11

3.4 THESUSTAINABILITY TEST .......................................................... ...................................................... 15

4.0 SECTION FOUR DEVELOPING PROGRAMMES AND BUDGET FOR THE UPDATED GPRS...................20

4.1 INTRODUCTION........................................................ ........................................................... ............... 20

4.2 BROAD OUTLINE FOR DEVELOPING BOTH MDA AND DISTRICT MTDP............................................... 20

PART TWO:-OTHER APPLICATIONS OF SEA ................................................... ...................................................... 21

5.0 SECTION 5 SECTORAL AND DISTRICT LEVEL SEA ....................................................... ......................... 21

5.1 OUTLINE OF SEA METHODOLOGY ......................................................... ............................................ 21

5.2 DEFINE SECTOR/DISTRICT ASSEMBLY OBJECTIVES OF SEA ................................................... ......... 21

5.3 TARGETS AND INDICATORS......................................................... ...................................................... 21

5.4 STRATEGIC ACTION ........................................................... ........................................................... ..... 22

5.5 ANALYSE STRATEGY/ PLAN ELEMENTS AND THEIR ALTERNATIVES AND ASSESS POTENTIAL ...........

IMPACTS ........................................................ ........................................................... ......................... 22

5.6 DEVELOP AND APPLY PUBLIC CONSULTATION PROCESSES ................................................... ......... 23

5.7 PREPARE SEA REPORT AND PRESENT TO DECISION MAKERS................................................ ......... 23

5.8 PROPOSED MONITORING AND EVALUATION ............................................... ...................................... 24

ANNEX1 OUTLINE ON PROCESS OF UPDATING THE GPRS PHASE 1 ...................................................... 25

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INTRODUCTION

This manual has been prepared for the purpose of ensuring that Strategic Environmental Assessment(SEA) and Sustainability Appraisal (SA) principles and methodologies are applied in the formulation,

analysis and refinement of strategic actions (Policies, Plans and Programmes - PPPs) at both sectoraland district levels. This manual is an output of the phase 2 of the SEA of the GPRS (2003-2005) andwill be updated periodically as and when necessary.

The manual is intended primarily to be used by officers of MDAs and District Assemblies who aredirectly responsible for PPPs (PPMEDs, RPCUs and DPCUs). The manual may also be useful toNGOs, CSOs, Development Partners, etc. who are involved in various development activities.

The manual, in the form of a folder, has a flexible structure consisting of two parts with five sections.Part one, which covers sections 1to 4, is to be used for the update of the GPRS (2003-2005) to producethe GPRS (2006-2008). Section 1to 3 provides guidance for policy formulation, analysis and refinement

while section 4 deals with the methodology for producing the related costed programme for the GPRS(2006-2008) using the NDPC Sector and District Planning Guidelines

Section 5 in part 2 contains generic guidelines for applying SEA/SA principles and methodologies toother strategic initiatives at both sector and district levels. These include sector specific strategic plans(e.g. Public and Private sector strategic plans) and district pilot initiatives (e.g. District Health andSanitation Plans).

It is important to note that the manual will be most effective if used at the formulation stage ofdeveloping the intended strategic action. Users are encouraged to adopt a broad consultation andparticipatory approach and to record all the various stages of engagements in the process. It is

recommended that appropriate reviews/inputs from relevant experts are sought as part of the process.

The aim of SEA/SA is to provide decision makers with alternative choices for strategic action to betaken in a transparent manner with the view to achieving the desired sustainable developmentobjectives.

CONSOLIDATING GHANAS POLICIES WITH MILLENNIUM DEVELOPMENT GOALS AND NEPAD

As part of the GPRS update there is the need to integrate some of the findings and recommendationsof various studies, strategies and programmes that have been carried out within the broader framework

of sustainable development and poverty reduction. Some of these are Poverty and Social ImpactAssessment (PSIA), Macro Economics and Health Initiative,

As part of the GPRS update there is the need to integrate some of the findings and recommendationsof various studies, strategies and programmes that have been carried out within the broader frameworkof sustainable development and poverty reduction. Some of these are Poverty and Social Impact

Assessment (PSIA), Macro Economics and Health Initiative, etc. There is also the need to ensure thatgovernment policies in the updated GPRS support the achievement of the goals of otherglobal/international development initiatives such as Millennium Development Goals (MDG), NewPartnership for Africas Development (NEPAD) etc.

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SEA is the most appropriate tool for integrating these initiatives in the poverty reduction strategy asindicated in figure 1 below.

Gender

EnvironmentSEA

NEPAD

Population

MDG

Others

Macro Economic

Health initiative

PSIA

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GLOSSARY

Indicator: A piece of information which is used to measure and track the status and progress of acomplex system

Mitigation measure: Measures that avoid, reduce, remediate or compensate for the negativeimpacts of a strategic action.

Objective: the aim of the strategic action or SEA, what it tries to achieve

Policy: An inspiration and guidance for action: for instance whether or not to promote the developmentof nuclear power in country A; whether to institute a carbon/CO2 tax; whether to promote moreintensive forms of agricultural production.

Plan: A set of co-ordinated and timed objectives for the implementation of the policy: for instance howmuch nuclear power to produce by 2020; who should be charged how much carbon tax starting when; astaged approach to testing and introducing genetically modified foods.

PPP: A policy, plan or programme: a strategic action.

Programme: A set of projects in a particular area: for instance four new nuclear power stations withX capacity in area Y by 2020; proposals for Z hectares of tree planting by 2015 in area A to act ascarbon sequesterisation; a series of test sites for genetically modified foods.

SEA report: A document that records the process and findings of the SEA process.

Stakeholder: Someone affected by the strategic action: they have a stake in it.

Strategic action: A decision that is "above" the project level: a policy, plan or programme.

Strategic environmental assessment (SEA): The most basic definition is probably that SEA isthe process of predicting and evaluating the impact of a strategic action on the environment, and usingthat information in decision-making. Lots of other terms are used for SEA-type activities, including

sustainability appraisal, environmental appraisal, sectoral assessment, programmatic environmentalimpact assessment etc. In this course, they are all considered to come under the umbrella term of SEA.

Sustainability appraisal: An SEA that considers economic and social as well as environmentalissues. Used particularly in the UK: there it denotes a specific approach to SEA, which is relativelysubjective, quick and non-quantitative.

Target: A desired (environmental) end-state, often with a specified timescale

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PART ONE - UPDATE OF THE GPRS

1.0 SECTION ONE DEVELOPING POLICIES FOR THE UPDATE OF THE GPRS

1.1 PROCESS TO UPDATE THE GPRS

1. Formation of Cross Sectoral Planning Groups (CSPGs) for GPRS thematic areas.Programmed activities for the update of the 2003-2005 GPRS have been scheduled to begin inSeptember 2004. The process will begin with the formation of Cross-Sectoral Planning Groups(CSPGs) based on the original five identified thematic areas as expressed in the GPRS. A sixthgroup will also be formed to handle excluded/omissions and new/emerging initiatives (e.g.MDGs, NEPAD, etc) and other global issues as they relate to the overall national developmentagenda.

2. Inauguration of CSPGsThis activity formalises the status of MDAs representation in the five CSPGs, and enablesmembers to know which of the thematic groups they belong to for the update proceedings tobegin.

3. Director General (D-G), NDPC meets with Lead Consultant and Consultants of CSPGsthematic areas to agree and firm up the Terms of Reference for the consultants and the groupsand modalities for the update. These will include date to start the process, number of meetings,and venue of meetings, among others.

4. Lead Consultant meets with CSPG Consultants to discuss the roles of each consultant inthe groups, a common approach to the process, the expected output, and other relevant detailsbearing on the update.

5. Update Core Management Team meets with SEA team and consultant to discuss thesignificance and role of the SEA in the GPRS update process.

6. Update Core Management Team and SEA team meet with lead consultant and CSPGconsultants

7. Lead Consultant and CSPG Consultants to interact with members of CSPGs on the agreed

modalities for the conduct of the update.

8. Series of CSPG working sessions will be held during which members representing MDAs willbe given the opportunity to make appropriate inputs. Group members will discuss the inputs.Record will be taken of the proceedings as well as the decision of the group.

9. The Lead Consultant and the Group Consultants will input the updates as agreed by thethematic group members into a draft revised GPRS.

10. A validation workshop: this is a plenary during which members of the thematic groups, the

Lead Consultant as well as the Group Consultant will be in attendance. This forum will give theopportunity for members also to make inputs in other thematic areas.

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11. The output of the validation workshop will form the revised GPRS. Copies will then be

printed for submission to the Director-General of the NDPC.

12. Submission of revised GPRS the Director-General of the NDPC will submit the revised GPRS

to the Board of Governors. Further discussion will take place and these will serve as inputs intothe document.

2.0 SECTION 2: CONTRIBUTION OF SEA TO GPRS UPDATE

2.1 HOW THE SEA CONTRIBUTES TO THE UPDATE

Each member of the SEA team will be assigned to a thematic group to facilitate the incorporation of therecommendations derived from the SEA process into the update. The SEA of the GPRS led to a seriesof recommendations for refining existing as well as proposing new policies. These will lead to the

mainstreaming of environment into the upcoming update of the GPRS. It offers a range of choices forpro-poor, pro-environment PPPs which will eventually lead to the achievement of poverty reductionthrough sustainable growth.

2.2 ROLE OF THE SEA TEAM

The SEA Team will be required:

To provide adequate support to the GPRS Update Core Team and the Lead consultants toensure effective adaptation of SEA methodology in the update process.

To provide recommendations to each thematic group on existing policies and proposing newpolicies in the light of the SEA review of the GPRS (2003-2005).

To facilitate the use of basic tools for assessment and sustainability appraisals by the thematicgroups.

To stimulate discussions on sustainability within each thematic group and recording criticaldecisions involving alternatives.

To assist the GPRS Update Core Team and Lead Consultants in synthesizing inputs from arange of stakeholders and checking for compatibility and synergy in delivering GPRS and MDGgoals.

To ensure that emerging GPRS policies take account of district aspirations.

To ensure that emerging policies are supported by actions in the update GPRS.

To assist in preparing an SEA report including alternatives to accompany the draft updatereport, which will be submitted to the NDPC Commission and also to meet SEA implementationrequirements of development partners.

To specifically monitor the progress of incorporating the SEA findings in the GPRS update andreport to the SEA Steering group.

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To provide other support activities to the GPRS update process as determined by the Director-General of NDPC and the Lead Consultants.

2.3 Output Of The Assignment:

The SEA Team will ensure the timely preparation of the SEA Report of the GPRS update process.

Refer to annex 1 for the outline of the process of updating the GPRS - PHASE 1

3.0 SECTION 3: TOOLS FOR SEA AND SUSTAINABILITY APPRAISAL

3.1 INTRODUCTION

This section of the manual describes the basic tools that will be used to carry out SEA andSustainability Appraisal of PPPs.

It is important to note that the tools, in the form of Matrices, a Sustainability Test and record sheets, areprovided simply to guide discussion and to ensure that all the key issues are covered. They are notintended to be an end in themselves.

A matrix is a table that allows two sets of criteria to be compared. One set of criteria is listed in the firstcolumn and the other set is listed across the top row. Analysis is undertaken by considering theinteractions between columns and rows. The results are recorded using numbers or symbols and aseparate record sheet.

The two main matrices be used are;

1. Compatibility Matrix:

This is used to determine whether PPPs are in conflict or are mutually supportive of each other. It isparticularly useful when dealing with cross-sectoral PPPs.

2. Compound Matrix:

This is used to determine the effect of PPPs on the relevant Poverty-Environment criteria. It enablesPPP initiator to refine the PPP to determine/minimise any potential adverse effects of the PPP.

3.2 THE COMPATIBILITY MATRIX

The compatibility matrix is used to compare the way in which different policies inter-react with eachother. Policies may be either mutually supportive or work against each other; for example, a policy todevelop small farm dams to store surplus water for crop irrigation may be strongly sustainable in its ownright, but may run counter to another equally valid health policy of zero-ponding designed to eliminatemosquitoes as the vector of malaria.

The aim of the compatibility matrix is to determine whether or not policies support or work against eachother in other words how compatible they are.

The matrix is created by:

listing a set of PPPs down the rows in the first column.

listing these same PPPs across the columns in the top row.

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An example of the matrix is shown below.

Activity

Buildnew

housing

Buildnew

feederroads

Extendareaofirrigation

Createnew

farmp

onds

Drainopenwaterareas

Buildnew

schools

Developnew

market

Introduce

new

micro-

businesses

No 1 2 3 4 5 6 7 8

1 Build new housing

2 Build new feeder roads

3Extend area ofirrigation

4Create new farmponds

5 Drain open waterareas

6 Build new schools

7 Develop new market

8Introduce new micro-business

Having created the matrix, a review group needs to be established. A matrix can be reviewed by oneindividual but it helps if a group of 5 or 6 people is established to get a consensus of opinion.

The group should review the matrix by examining the interactions of policy 1 identified in the firstcolumn with each of the remaining policies numbered 2 upwards, appearing across the top of thematrix.

- Where two policies are mutually supportive with each other this should be recorded bymarking a in the relevant box.

- Where two policies have the potential to conflict with each other this should be recorded bymarking an X in the relevant box.

- If there is no significant interaction this should be recorded by O.

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An example of a partially completed compatibility matrix is shown below.

Activity

Buildnew

housing

Buildnew

feederroads

Extendareaofirrigation

Createnew

farmp

on

ds

Drainopenwaterare

as

Buildnew

schools

Developnew

market

Introduce

new

micro-

businesses

No 1 2 3 4 5 6 7 8

1 Build new housing x x

2 Build new feeder roads 0 0 0

3 Extend area of irrigation

4 Create new farm ponds

5 Drain open water areas

6 Build new schools

7 Develop new market

8Introduce new micro-businesses

Use of the Record Sheet

A record sheet should be used to record the basic issues that have been identified in the process ofcompleting the Compatibility Matrix. The record sheet helps in communicating to people who have not

been involved in the discussions, the reasons why particular policies have been identified as havingpositive, negative or neutral impacts. Record sheets can also be used for checking revisions andrefinements of policies on an on-going basis.

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COMPATIBILITY MATRIX -RECORD SHEET No.

Title of Sector/District Plan

ActivityNo.(Column)

ActivityNo.(Row)

REASONS FOR INCOMPATIBILITY

3.3 COMPOUND MATRIX

This is used to determine the effect of PPPs on the relevant Poverty-Environment criteria. It enablesPPP initiator to refine the PPP to determine/minimise any potential adverse effects of the PPP. To dothis a matrix should be formulated which

- Should list a set of revised policies/new policy Initiatives in the rows in the first column.

- The components of the poverty environment dimensions should be listed across the

columns in the top row.

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- The interactions of the Policies, identified in the first column with each component ofthe poverty-environment dimensions appearing across the top of the matrix should beexamined.

- Where the policy, programme or project affect the poverty-environment dimension

positively this should be recorded by marking a (+) in the relevant box.

- Where the policy, programme or project affect the poverty-environment dimensionnegatively this should be recorded by marking a ( ) in the relevant box.

- If there is no significant interaction this should be recorded by an (O).

- If the interaction is doubtful it should be recorded as both (+) and ( )

Having created the matrix, a review group needs to be established. A matrix can be reviewed by oneindividual but it helps if a group of 5 or 6 people is established to get a consensus of opinion.

An example of the matrix is shown on the next page.

.

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COMPOUND MATRIX FOR ANALYSIS OF SECTOR PPPS AGAINST POVERTY-ENVIRONMENT DIMENSIONS

Poverty Dimension Livelihood Health Vulnerability

EnvironmentalComponents

Policies

WaterAvailab

ility

Land(access

)

FOREST

Wildlife

NonTimberF

orest

Products

WaterQuality

Sanitation

Airquality

NTFP

drought

bushfire

floods

Degradation

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Use of the Record Sheet

A record sheet should be used to record the basic issues that have been identified in the process ofcompleting the Compound Matrix. The record sheet helps in communicating to people who have notbeen involved in the discussions, the reasons why particular policies have been identified as having

positive, negative or neutral impacts. Record sheets can also be used for checking revisions andrefinements of policies on an on-going basis.

COMPOUND MATRIX RECORD SHEETNo.

State Policy, Programme or Project under review:

LIVELIHOOD

Access to Water

Access to Land

Access to Forestry resourcesProtection of Wildlife

Use of Non Timber Forest Products

HEALTH

Water Quality

Sanitation

Air Quality

NTFP (Medicinal Plants)VULNERABILITY

Bushfires

Floods

Land Degradation

Crises/Conflicts

Drought

Epidemics

INSTITUTIONAL

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3.4 THE SUSTAINABILITY TEST

Another tool to be used in refining the PPP is the sustainability test. The purpose is to subject eachPPP to a simple test of the overall sustainability of the policy, plan or programme.

It is different from an impact assessment matrix in that it gives equal weight to social/cultural, economicand natural resource issues which are the three components of sustainability.

This test provides a simple technique that can be used by all stakeholders without the need forspecialist knowledge (although that helps) to analyse PPPs. The tool is designed to give a visual andquantitative measure of the extent to which a particular policy, plan or programme is capable ofproviding sustainable growth and development.

There are four basic steps to follow.

1) Describe the classification; providing enough information to allow an informed judgement to bemade about the likely effects of the PPP on each of the Sustainability Criteria (for example:

area affected, number of jobs created, value of future production etc.).

2) Assess the performance of the PPP in relation to each criterion, and score that performance

using a scale of (0) 1 -5 as set out below.

3) Where the score for any criteria is 1 and 2, it is important to determine what actions are needed

to shift from 1 or 2 to 4 or 5. this will lead to refining the PPP.

4) Summarise the findings in a report to decision-makers.

The criteria listed in the first column of the table are based on measures that should help to minimiseenvironmental degradation, reduce poverty, enhance quality of life improve social and cultural assets

and create better economic conditions.

For each criterion and indicator, a scale of 0-5 with appropriate colour code is used to reflect the extent

to which the activity supports, is neutral to, or works against the sustainability aim. The scale and

colour code are as follows:

Scale: 0 1 2 3 4 5

Effects: NotRelevant

Worksstronglyagainst theaim

Worksagainst theaim

On balancehas neutraleffects onthe aim

Supportsthe aim

Stronglysupportsthe aim

Colour: Black Red Red Yellow Green Green

The test gives an instant visual impression of the overall performance of the PPP but care must betaken in summing or aggregating scores (because not all of the criteria will warrant equal weight). Thetool is particularly valuable when it is used to support revisions to PPPs since alternatives can be testedby comparing their relative performance.

______________________________________________________________________________________

- -

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The validity of the outcome is enhanced when the matrix is completed independently by more than onegroup of stakeholders (i.e. developers, local community representatives and professional staff, districtplanning committee etc.).

It will be helpful to get stakeholders to prepare their own list of sustainability criteria (through a public

participation exercise) before using the matrix. This allows local circumstances to be taken into account

It is important to complete a record sheet assigning reasons for all the scores in the matrix. Examplesof sustainability test and record sheets are presented below.

Sustainability Test

PPP/Activity (To be inserted here)

CRITERIA BASIC AIMS AND OBJECTIVES INDICATORSPERFORMANCEMEASURE

EFFECTS ON NATURAL RESOURCESProtected Areas and Wildlife: should be conserved, and theseresources should be enhanced where practical.

Sensitive areas shown on maps(0) 1 2 3 4 5

Degraded Land: and areas vulnerable to degradation should beavoided. Alalready degraded land should be enhanced.

Vulnerable areas shown on maps (0) 1 2 3 4 5

Energy: The PPP should encourage efficient energy use, andmaximise use of renewable rather than fossil fuels.

Quantity and type of fuel/energy to beidentified

(0) 1 2 3 4 5

Pollution: Discharges of pollutants and waste products to theatmosphere, water and land should be avoided or minimised.

Quantity and type of pollutants andwaste to be identified

(0) 1 2 3 4 5

Use of Raw Materials: All raw materials should be used withmaximum efficiency, and recycled where practical.

Quantity and type of materials to beassessed

(0) 1 2 3 4 5

Rivers and Water bodies: should retain their natural character. Minimum flows/ water levels to be set (0) 1 2 3 4 5

EFFECTS ON SOCIAL AND CULTURAL CONDITIONS (0) 1 2 3 4 5

Local Character: and cohesion of local communities should be

maintained and enhanced where practical.

Opinions of local communities to be

assessed(0) 1 2 3 4 5

Health and Well-being: The PPP should benefit the work force, andlocal communities in terms of health and well-being, nutrition, shelter,education and cultural expression.

Number of people exposed to water-borne disease, or lacking adequatefood and shelter to be assessed

(0) 1 2 3 4 55

Gender: The PPP should empower women. Number of women to be empowered (0) 1 2 3 4 5

Work for Local People:Priority should be given to providing jobs forlocal people and particularly women and young people.

Number of people to be employed (0) 1 2 3 4 5

Participation: Active participation and involvement of localcommunities should be encouraged (especially vulnerable andexcluded sections).

Level of participation proposed (0) 1 2 3 4 5

Access: of the poor to land should be improved. Number of the poor to be assisted (0) 1 2 3 4 5

Access of the poor to water should be improved Number of the poor to be assisted (0) 1 2 3 4 5

Access of the poor to transport should be improved. Number of the poor to be assisted (0) 1 2 3 4 5

Sanitation: Should be improved. Number of the poor to be assisted (0) 1 2 3 4 5

Equity: Adverse and beneficial impacts from development should bedistributed equitably and should not discriminate against any groups,especially vulnerable and excluded people.

Number of the poor to benefit onequitable terms

(0) 1 2 3 4 5

Vulnerability and Risk: of drought, bushfire, floods crises andconflicts and epidemics should be reduced.

Occurrence to be noted and monitored (0) 1 2 3 4 5

EFFECTS ON THE ECONOMY (0) 1 2 3 4 5

Growth: The PPP should result in development that encouragesstrong and stable conditions of economic growth.

Economic output to be evaluated (0) 1 2 3 4 5

Local materials and services: PPP should encourage use of rawmaterials and services from local industries where possible.

Description of sources (0) 1 2 3 4 5

Local Investment of Capital: Development should encourage thelocal retention of capital and the development of downstreamindustries, utilising local raw materials, products and labour.

Description of investment strategy (0) 1 2 3 4 5

______________________________________________________________________________________

- -

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Sustainability Test: Record Sheet

Description of PPP/Activity:

CRITERIA BASIC AIMS AND OBJECTIVESSCORE REASONS

EFFECTS ON NATURAL RESOURCES

Protected Areas and Wildlife: should be conserved, and theseresources should be enhanced where practical.

Degraded Land: Areas vulnerable to degradation should beavoided, and already degraded land should be enhanced.

Energy: The Activity should encourage efficient energy use,and maximize use of renewable rather than fossil fuels.

Pollution: Discharges of pollutants and waste products to theatmosphere, water and land should be avoided or minimised.

Use of Raw Materials: All raw materials should be used withmaximum efficiency, and recycled where practical.

Rivers and Water bodies: should retain their natural character.EFFECTS ON SOCIAL AND CULTURAL CONDITIONSLocal Character: and cohesion of local communities should beand enhanced where practical.

Health and Well-being: The Activity should benefit the workforce, and local communities in terms of health and well-being,nutrition, shelter, education and cultural expression.

Gender: The Activity should empower women.

Job Creation: The activity should create jobs for local peopleparticularly women and young people.

Participation: Active participation and involvement of localcommunities should be encouraged (especially vulnerable andexcluded sections).

Access to Land: Activity should improve access to land.

Access to Water: Activity should improve access to water.

Access to Transport: Activity should improve access totransport.

Sanitation: Activity should improve sanitation.

Equity: Adverse and beneficial impacts from developmentshould be distributed equitably and should not discriminateagainst any groups, especially vulnerable and excluded people.

Vulnerability and Risk: of drought, bushfire, floods crises andconflicts and epidemics should be reduced.

EFFECTS ON THE ECONOMY

Growth: The PPP should result in development that encouragesstrong and stable conditions of economic growth.

Use of local materials and services: The PPP should result inthe use of raw materials and services from local industries wherepossible.

Local Investment of Capital: Development should encouragethe local retention of capital and the development of downstreamindustries, utilising local raw materials, products and labour.

______________________________________________________________________________________

- -

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Sustainability Test

Description of PPP/Activity: Existing Situation: Water Drawn from local rivers and streams by hand

CRITERIA BASIC AIMS AND OBJECTIVES INDICATORSPERFORMANCE

SURE

EFFECTS ON NATURAL RESOURCES

Protected Areas and Wildlife: should be conserved, and these resources should beenhanced where practical.

Sensitive areas shown on maps (0) 1 2 3 4 5

Degraded Land:Areas vulnerable to degradation should be avoided, andAlready degraded land should be enhanced.

Vulnerable areas shown on maps (0) 1 2 3 4 5

Energy: The Activity should encourage efficient energy use, and maximize use of renewablerather than fossil fuels.

Quantity and type of fuel/energy to beidentified

(0) 1 2 3 4 5

Pollution: Discharges of pollutants and waste products to the atmosphere, water and landshould be avoided or minimised.

Quantity /type of pollutants and waste tobe identified

(0) 1 2 3 4 5

Use of Raw Materials: All raw materials should be used with maximum efficiency, and

recycled where practical.

Quantity and type of materials (0) 1 2 3 4 5

Rivers and Water bodies: should retain their natural character. Minimum flows/ water levels to be set (0) 1 2 3 4 5

EFFECTS ON SOCIAL AND CULTURAL CONDITIONS

Local Character: and cohesion of local communities should be and enhanced wherepractical.

Opinions of local communities to beassessed

(0) 1 2 3 4 5

Health and Well-being: The Activity should benefit the work force, and local communities interms of health and well-being, nutrition, shelter, education and cultural expression.

Number of People exposed to water bornedisease, or lacking adequate food andshelter to be assessed

(0) 1 2 3 4 5

Gender: The Activity should empower women. Number of women to be empowered (0) 1 2 3 4 5

Job Creation: The activity shouldcreatejobs for local people particularly women and young

people.

Number of people to be employed (0) 1 2 3 4 5

Participation: Active participation and involvement of local communities should beencouraged (especially vulnerable and excluded sections).

Level of participation proposed (0) 1 2 3 4 5

Access to Land: Activity should improve access to land. Number of the poor to be assisted (0) 1 2 3 4 5

Access to Water: Activity should improve access to water. Number of the poor to be assisted (0) 1 2 3 4 5

Access to Transport:Activity should improve access to transport. Number of the poor to be assisted (0) 1 2 3 4 5

Sanitation: Activity should improve sanitation. Number of the poor to be assisted (0) 1 2 3 4 5

Equity:Adverse and beneficial impacts from development should be distributed equitably andshould not discriminate against any groups, especially vulnerable and excluded people.

Number of the poor to be to benefit onequitable terms

(0) 1 2 3 4 5

Vulnerability and Risk: of drought, bushfire, floods crises and conflicts and epidemics shouldbe reduced.

Occurrence to be noted and monitored (0) 1 2 3 4 5

EFFECTS ON THE ECONOMY

Growth: The PPP should result in development that encourages strong and stable conditionsof economic growth.

Economic Output to be evaluated (0) 1 2 3 4 5

Use of local materials and services: The PPP should result in the use of raw materials andservices from local industries where possible.

Description of sources (0) 1 2 3 4 5

Local Investment of Capital: Development should encourage the local retention of capitaland the development of downstream industries, utilising local raw materials, products and

labour.

Description of investment strategy (0) 1 2 3 4 5

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Sustainability Test

Description of PPP/Activity: Purchase two water tankers and deliver water to 500 people a day

CRITERIA BASIC AIMS AND OBJECTIVES INDICATORSPERFORMANCE

SURE

EFFECTS ON NATURAL RESOURCES

Protected Areas and Wildlife: should be conserved, and these resources should beenhanced where practical.

Sensitive areas shown on maps (0) 1 2 3 4 5

Degraded Land:Areas vulnerable to degradation should be avoided, and already degradedland should be enhanced.

Vulnerable areas shown on maps (0) 1 2 3 4 5

Energy: The Activity should encourage efficient energy use, and maximize use ofrenewable rather than fossil fuels.

Quantity and type of fuel/energy to beidentified

(0) 1 2 3 4 5

Pollution: Discharges of pollutants and waste products to the atmosphere, water and landshould be avoided or minimised.

Quantity /type of pollutants and waste to beidentified

(0) 1 2 3 4 5

Use of Raw Materials: All raw materials should be used with maximum efficiency, andrecycled where practical.

Quantity and type of materials (0) 1 2 3 4 5

Rivers and Water bodies: should retain their natural character. Minimum flows/ water levels to be set (0) 1 2 3 4 5

EFFECTS ON SOCIAL AND CULTURAL CONDITIONS

Local Character: and cohesion of local communities should be and enhanced wherepractical.

Opinions of local communities to beassessed

(0) 1 2 3 4 5

Health and Well-being: The Activity should benefit the work force, and local communities interms of health and well-being, nutrition, shelter, education and cultural expression.

Number of People exposed to water bornedisease, or lacking adequate food andshelter to be assessed

(0) 1 2 3 4 5

Gender: The Activity should empower women. Number of women to be empowered (0) 1 2 3 4 5

Job Creation: The activity shouldcreatejobs for local people particularly women and youngpeople. Number of people to be employed (0) 1 2 3 4 5

Participation: Active participation and involvement of local communities should beencouraged (especially vulnerable and excluded sections).

Level of participation proposed (0) 1 2 3 4 5

Access to Land: Activity should improve access to land. Number of the poor to be assisted (0) 1 2 3 4 5

Access to Water: Activity should improve access to water. Number of the poor to be assisted (0) 1 2 3 4 5

Access to Transport:Activity should improve access to transport. Number of the poor to be assisted (0) 1 2 3 4 5

Sanitation: Activity should improve sanitation. Number of the poor to be assisted (0) 1 2 3 4 5

Equity: Adverse and beneficial impacts from development should be distributed equitablyand should not discriminate against any groups, especially vulnerable and excluded people.

Number of the poor to be to benefit onequitable terms

(0) 1 2 3 4 5

Vulnerability and Risk: of drought, bushfire, floods crises and conflicts and epidemicsshould be reduced.

Occurrence to be noted and monitored (0) 1 2 3 4 5

EFFECTS ON THE ECONOMY

Growth: The PPP should result in development that encourages strong and stableconditions of economic growth.

Economic Output to be evaluated (0) 1 2 3 4 5

Use of local materials and services: The PPP should result in the use of raw materials andservices from local industries where possible.

Description of sources (0) 1 2 3 4 5

Local Investment of Capital: Development should encourage the local retention of capitaland the development of downstream industries, utilising local raw materials, products and

labour.

Description of investment strategy (0) 1 2 3 4 5

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4.0 SECTION FOUR DEVELOPING PROGRAMMES AND BUDGET FOR THE UPDATEDGPRS

4.1 INTRODUCTION

This section deals with translating the updated GPRS policies and strategies into planned programmes,

projects and activities. This process is facilitated by the use of Guidelines for the preparation of MediumTerm Development Plans (MTDP). (Refer to NDPC Guidelines)

Ministries, Departments and Agencies (MDAs) will use the Guidelines for the preparation ofsector MTDP

Districts will use the Guidelines for the preparation of District Medium Term DevelopmentPlans (DMTDP)

4.2 BROAD OUTLINE FOR DEVELOPING BOTH MDA AND DISTRICT MTDP.

Formation of plan preparation team (sector and districts)

Circulation and discussion of NDPC Sector and District Guidelines

Appointment of facilitator for Plan Preparation Committees within the MDAs and theDistrict Plan Coordinating Units (DPCUs)

Series of meetings including periodic reviews and consultations to draw up policiesprogrammes and budgets using planning guidelines

Submission of plans to NDPC for harmonisation into national development plan

(refer to NDPC guidelines)

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PART TWO:-OTHER APPLICATIONS OF SEA

5.0 SECTION 5 SECTORAL AND DISTRICT LEVEL SEA

5.1 OUTLINE OF SEA METHODOLOGY

The methodology for conducting SEA is evolving and there is no fixed formula. However, many of theanalytical tools have already been developed for related EIA processes and there is a logicalframework, which can be followed, which is outlined below.

Prepare a sound baseline including up to date information and utilizing GIS (if available). The purposeof this is to describe the existing environmental (natural resource and socio-cultural) conditions againstwhich the PPPs expected impacts can be measured. Where practical, this assessment should bebased on quantitative as well as qualitative data. Where PPPs have spatial dimensions it isrecommended that GIS be used for analysis

5.2 DEFINE SECTOR/DISTRICT ASSEMBLY OBJECTIVES OF SEA

In order to achieve sustainable outcomes, there is the need to define objectives covering the threesustainability components namely; natural resources, socio-cultural and economic. This should be doneconsidering the overall institutional framework in which they operate. Sectors and districts shouldtherefore define relevant objectives with associated criteria. Example for a transport policy;

SEA Components/Objective CriteriaNatural resources

1. To reduce fuel consumption2. To minimise air pollution

Energy consumption, air pollution, etc.

Socio-cultural

1. To provide mass transportation2. To create more jobs

Access to transportation, job creation, etc.

Economic

1. To provide affordable transportation2. To boost the local economy

Affordability, improvement in local economy,etc

5.3 TARGETS AND INDICATORS

To work towards the achievement of the set objectives it is necessary to derive indicators and settargets for each criterion. These must be done by taking into account the basic elements of thenational/ international objectives

An indicator is information, which is used to measure and track the status and progress of a complexsystem.

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Indicators are the link between the strategic action's objectives and how they are implemented, and canalso be used during the strategic action's implementation to monitor and test whether the objectives arebeing achieved.

A target is a desired end-state, which often has a specified timescale. The achievement of targets can

be monitored through the use of indicators.

Hypothetical examples of indicators and targets are shown below;

(Actual figures must be utilized)

SEAComponent/Objective

Criteria Indicator Target

Natural Resources

To reduce fuel woodconsumption

Energyconsumption

Households usingLPG

Number of householdsusing LPG by 2010

To minimise air pollution Pollution NOx, CO, CO2 levels Percentage reduction inNOx, CO, CO2 by 2010

Socio-cultural

To provide masstransportation

Access totransportation

No. of people usingmass transportation

Number of people usingmass transportation by2010

To create more jobs Job creation No. of jobs created Number of jobs created

by 2010Economic

To provide affordablehousing

Affordability Number of peoplewho have boughttheir own houses

Number of people whohave bought their ownhouses by 2010

To boost the localeconomy

Support localEconomy

Increase in incomelevels/ productivity

Percentage increase inlocal level incomes by2010

5.4 STRATEGIC ACTION

Define the appropriate strategic action required to achieve target. Explore whether there are other moreefficient and less costly ways of achieving the same objectives and delivering the goals of the PPP.

5.5 ANALYSE STRATEGY/ PLAN ELEMENTS AND THEIR ALTERNATIVES AND ASSESSPOTENTIAL IMPACTS

This involves determining the type and magnitude of the potential effects of the PPP, including whetheror not they are:

Large or small (affecting national, regional or local areas),

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Positive or negative,

Short term or long term (and reversible or irreversible),

Cumulative,

Directly or indirectly induced by the PPP,

Likely or unlikely to occur,

Distributed evenly or concentrated (in terms of area and target groups),

Easy or difficult to mitigate.

This step may be carried out using simple but purpose made matrices, of a similar nature tocompatibility, composite and compound matrices.

The shortcomings and opportunities for improvement in the existing PPP will have been exposed andidentified in this step. The scope for revising and improving PPPs and recommendations are made fornew PPPs as well as refining existing ones.

5.6 DEVELOP AND APPLY PUBLIC CONSULTATION PROCESSES

Identify various stakeholders that may be relevant to the strategic decision-making. The following maybe consulted;

Chiefs

District Assembly members

Local pastors

School teachers

NGOs

CSOs

Various approaches may be used in the public consultation process. These may include;

Public hearings

Public for a

Interviews

Questionnaire

Public notices

Seminars

5.7 PREPARE SEA REPORT AND PRESENT TO DECISION MAKERS

A crucial component of the SEA is the report which details out the actions taken at each step of theprocess. The report should provide a comprehensive analysis of the factors influencing the choice ofalternatives and the reasons for selecting the preferred PPPs, although the final judgement will rest withthe decision makers.

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5.8 PROPOSED MONITORING AND EVALUATION

Once the first iteration of the SEA has been completed it is important that the future performance of thePPP should be monitored and evaluated to check whether the individual activities of the PPP areactually delivering what is required and expected.To achieve this purpose the following should serve as a guide;

Identify in detail the baseline situation of each project or programme before implementation;

The monitoring and evaluation

should be continuous throughout the implementation of the PPPs

process should be simple and devoid of any obstruction;

variables should be as specific as possible;

exercises should be based on factual evidence

process should involve stakeholders to ensure acceptability of results

exercise should lead to lessons worth consolidating, expansion, or replicating relatingto the PPPs in other areas.

Monitoring and evaluation should be guided by the indicators. (refer to section 5.3)

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Annex1 OUTLINE ON PROCESS OF UPDATING THE GPRS PHASE 1

TASK DESCRIPTION NATURE OF WORK TIME FRAME RESPONSIBILITY OUTPUT

0 Provide Soft Copies of GPRS andother documentations like theMDG, NEPAD, MDBS, MC

Account, SEA Report, APRs,NED report,

Desk Work Sept 15 Oct 4DG Identified

documents made

available

1 Undertake review of aboveliteratures

Desk work/CSPG Consultants /Assistants /Coordinators/CSPG

Review report

2 Undertake a current situationassessment of the thematic area

Desk work/CSPG Consultants /Assistants /Coordinators

Current Situationof thematic area

3 Extract All policies and therelevant indicators from theGPRS

Desk work Consultants /Assistants /Coordinators

Policy extract

4 Undertake status update with

inputs from CSPG members/Identify specific policy issues /areas in the GPRS relevant toCSPG thematic area

CSPG working

session

CSPG

5 Facilitate discussions onidentification of new policies forupdate of GPRS

CSPG meetings Consultants /Assistants /Coordinators

6 Subject identified Policies to SEASustainability Test and checkinternal consistency andcompatibility as well as withnational and international policycommitments (NEPAD, MDG,

MCA)

Desk work / research Consultants /Assistants /Coordinators

7 Produce CSPG Policy Report Desk work / research Consultants /Assistants /Coordinators

CSPG PolicyReport

8 Organize HarmonisationWorkshop for all CSPGs to docross referencing of policies/trade-off and produce aZero/Initial draft PolicyFramework

Workshop Lead Consultant /Consultants /

Assistants /Coordinators

Zero/InitialUpdated GPRSPolicy Framework

9 Organise Peer Review Workshopto look at the technical content,logical flow and quality of the

Policy framework

CSPG meetings /deskwork

Consultants /Assistants /Coordinators

First Draft PolicyFramework

10 Public Consultations/Presentationof Policy Framework to broadercivil society

Public fora Consultants /Assistants /Coordinators

PublicConsultationReport

11 Incorporation of feed back fromPublic Consultation into DraftPolicy Framework

Desk work Lead Consultant /Consultants /

Assistants /Coordinators

Second Draft

12 Validation of Policy Framework Validation workshops Consultants /Assistants /Coordinators

Report

13 Produce updated GPRS Desk Dec 15 Lead Consultant /Consultants /

Assistants /Coordinators

GPRS 2006-2008(2006-2010)

25