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SEA MANUAL

SEA MANUAL

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 1.1 2.0 2.1 2.2 2.3 3.0 3.1 3.2 3.3 3.4 4.0 4.1 4.2 SECTION ONE DEVELOPING POLICIES FOR THE UPDATE OF THE GPRS............................................... 6 PROCESS TO UPDATE THE GPRS ........................................................................................................ 6 SECTION 2: CONTRIBUTION OF SEA TO GPRS UPDATE........................................................................... 7 HOW THE SEA CONTRIBUTES TO THE UPDATE ................................................................................... 7 ROLE OF THE SEA TEAM...................................................................................................................... 7 OUTPUT OF THE ASSIGNMENT: ................................................................................................................... 8 SECTION 3: TOOLS FOR SEA AND SUSTAINABILITY APPRAISAL ............................................................ 8 INTRODUCTION .................................................................................................................................... 8 THE COMPATIBILITY MATRIX................................................................................................................ 8 COMPOUND MATRIX.......................................................................................................................... 11 THE SUSTAINABILITY TEST ................................................................................................................ 15 SECTION FOUR DEVELOPING PROGRAMMES AND BUDGET FOR THE UPDATED GPRS................... 20 INTRODUCTION .................................................................................................................................. 20 BROAD OUTLINE FOR DEVELOPING BOTH MDA AND DISTRICT MTDP............................................... 20

PART TWO:-OTHER APPLICATIONS OF SEA......................................................................................................... 21 5.0 5.1 5.2 5.3 5.4 5.5 5.6 5.7 5.8 ANNEX1 SECTION 5 SECTORAL AND DISTRICT LEVEL SEA................................................................................ 21 OUTLINE OF SEA METHODOLOGY ..................................................................................................... 21 DEFINE SECTOR/DISTRICT ASSEMBLY OBJECTIVES OF SEA ............................................................ 21 TARGETS AND INDICATORS............................................................................................................... 21 STRATEGIC ACTION ........................................................................................................................... 22 ANALYSE STRATEGY/ PLAN ELEMENTS AND THEIR ALTERNATIVES AND ASSESS POTENTIAL ........... IMPACTS ............................................................................................................................................ 22 DEVELOP AND APPLY PUBLIC CONSULTATION PROCESSES ............................................................ 23 PREPARE SEA REPORT AND PRESENT TO DECISION MAKERS......................................................... 23 PROPOSED MONITORING AND EVALUATION ..................................................................................... 24 OUTLINE ON PROCESS OF UPDATING THE GPRS PHASE 1 ...................................................... 25

SEA MANUAL

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 sectoral and district levels. This manual is an output of the phase 2 of the SEA of the GPRS (2003-2005) and will be updated periodically as and when necessary. The manual is intended primarily to be used by officers of MDAs and District Assemblies who are directly responsible for PPPs (PPMEDs, RPCUs and DPCUs). The manual may also be useful to NGOs, 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 produce the 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 to other 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 and Sanitation Plans). It is important to note that the manual will be most effective if used at the formulation stage of developing the intended strategic action. Users are encouraged to adopt a broad consultation and participatory 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 be taken in a transparent manner with the view to achieving the desired sustainable development objectives. 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 recommendations of 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 Impact Assessment (PSIA), Macro Economics and Health Initiative, As part of the GPRS update there is the need to integrate some of the findings and recommendations of 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 Impact Assessment (PSIA), Macro Economics and Health Initiative, etc. There is also the need to ensure that government policies in the updated GPRS support the achievement of the goals of other global/international development initiatives such as Millennium Development Goals (MDG), New Partnership for Africas Development (NEPAD) etc.

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

Gender

NEPAD

Others

Environment

SEA

MDG

PSIA Macro Economic Health initiative

Population

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GLOSSARY

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

Mitigation measure: Measures that avoid, reduce, remediate or compensate for the negative
impacts 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 development
of nuclear power in country A; whether to institute a carbon/CO2 tax; whether to promote more intensive forms of agricultural production.

Plan: A set of co-ordinated and timed objectives for the implementation of the policy: for instance how
much nuclear power to produce by 2020; who should be charged how much carbon tax starting when; a staged 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 with
X capacity in area Y by 2020; proposals for Z hectares of tree planting by 2015 in area A to act as carbon 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 is
the process of predicting and evaluating the impact of a strategic action on the environment, and using that information in decision-making. Lots of other terms are used for SEA-type activities, including sustainability appraisal, environmental appraisal, sectoral assessment, programmatic environmental impact 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 environmental issues. Used particularly in the UK: there it denotes a specific approach to SEA, which is relatively subjective, quick and non-quantitative. Target: A desired (environmental) end-state, often with a specified timescale

SEA MANUAL

PART ONE - UPDATE OF THE GPRS

1.0 1.1

SECTION ONE DEVELOPING POLICIES FOR THE UPDATE OF THE GPRS 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 in September 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 sixth group 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 development agenda. 2. Inauguration of CSPGs This activity formalises the status of MDAs representation in the five CSPGs, and enables members to know which of the thematic groups they belong to for the update proceedings to begin. 3. Director General (D-G), NDPC meets with Lead Consultant and Consultants of CSPGs thematic areas to agree and firm up the Terms of Reference for the consultants and the groups and 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 in the groups, a common approach to the process, the expected output, and other relevant details bearing on the update. 5. Update Core Management Team meets with SEA team and consultant to discuss the significance and role of the SEA in the GPRS update process. 6. Update Core Management Team and SEA team meet with lead consultant and CSPG consultants 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 will be 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 the thematic 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 the opportunity 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 into the 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 the recommendations derived from the SEA process into the update. The SEA of the GPRS led to a series of 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 for pro-poor, pro-environment PPPs which will eventually lead to the achievement of poverty reduction through 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 to ensure effective adaptation of SEA methodology in the update process. To provide recommendations to each thematic group on existing policies and proposing new policies 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 thematic groups. To stimulate discussions on sustainability within each thematic group and recording critical decisions involving alternatives. To assist the GPRS Update Core Team and Lead Consultants in synthesizing inputs from a range of stakeholders and checking for compatibility and synergy in delivering GPRS and MDG goals. 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 update report, which will be submitted to the NDPC Commission and also to meet SEA implementation requirements of development partners. To specifically monitor the progress of incorporating the SEA findings in the GPRS update and report to the SEA Steering group.

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To provide other support activities to the GPRS update process as determined by the DirectorGeneral 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 and Sustainability Appraisal of PPPs. It is important to note that the tools, in the form of Matrices, a Sustainability Test and record sheets, are provided simply to guide discussion and to ensure that all the key issues are covered. They are not intended 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 first column and the other set is listed across the top row. Analysis is undertaken by considering the interactions between columns and rows. The results are recorded using numbers or symbols and a separate 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 is particularly 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 enables PPP 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 each other. Policies may be either mutually supportive or work against each other; for example, a policy to develop small farm dams to store surplus water for crop irrigation may be strongly sustainable in its own right, but may run counter to another equally valid health policy of zero-ponding designed to eliminate mosquitoes as the vector of malaria. The aim of the compatibility matrix is to determine whether or not policies support or work against each other 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.

Extend area of irrigation

Create new farm ponds

Drain open water areas

Build new feeder roads

Develop new market 7

Build new housing

Activity No 1 2 3 4 5 6 7 8 Build new housing Build new feeder roads Extend irrigation Create ponds Drain areas area new open of farm water

Build new schools Develop new market Introduce new microbusiness

Having created the matrix, a review group needs to be established. A matrix can be reviewed by one individual 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 first column with each of the remaining policies numbered 2 upwards, appearing across the top of the matrix. Where two policies are mutually supportive with each other this should be recorded by marking a in the relevant box. Where two policies have the potential to conflict with each other this should be recorded by marking an X in the relevant box. If there is no significant interaction this should be recorded by O.

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Introduce new businesses 9

Build new schools

micro-

An example of a partially completed compatibility matrix is shown below. microDevelop new market 7 6 8 Introduce new businesses 10 Build new schools

Extend area of irrigation

Create new farm ponds 4 x 0

Activity No 1 2 3 4 5 6 7 8 Build new housing

1 Build new feeder roads Extend area of irrigation Create new farm ponds Drain open water areas Build new schools Develop new market Introduce new businesses micro-

3 x 0

5 0

Use of the Record Sheet A record sheet should be used to record the basic issues that have been identified in the process of completing 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 having positive, negative or neutral impacts. Record sheets can also be used for checking revisions and refinements of policies on an on-going basis.

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Drain open water areas

Build new feeder roads

Build new housing

COMPATIBILITY MATRIX -RECORD SHEET Title of Sector/District Plan

No.

Activity No. (Column)

Activity No. (Row)

REASONS FOR INCOMPATIBILITY

3.3 COMPOUND MATRIX This is used to determine the effect of PPPs on the relevant Poverty-Environment criteria. It enables PPP initiator to refine the PPP to determine/minimise any potential adverse effects of the PPP. To do this 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 of the poverty-environment dimensions appearing across the top of the matrix should be examined. 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 dimension negatively 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 one individual 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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Water Availability Land (access) FOREST Wildlife Non Timber Forest Products Water Quality Sanitation Air quality NTFP drought bushfire floods Degradation Crises & conflicts Epidemics Participation Credits Human Rights

COMPOUND MATRIX FOR ANALYSIS OF SECTOR PPPS AGAINST POVERTY-ENVIRONMENT DIMENSIONS Poverty Dimension Livelihood Health Vulnerability Environmental Components

Policies

Institutional

Use of the Record Sheet A record sheet should be used to record the basic issues that have been identified in the process of completing the Compound 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 having positive, negative or neutral impacts. Record sheets can also be used for checking revisions and refinements of policies on an on-going basis. COMPOUND MATRIX RECORD SHEET State Policy, Programme or Project under review: LIVELIHOOD Access to Water Access to Land Access to Forestry resources Protection 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 No.

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EXAMPLE OF A RECORD SHEET IN A COMPOUND MATRIX Statement of Policy under review: Promoting efficiency in production and marketing of fuel wood, and Non-timber forest products, including wildlife/bushmeat, medicinal plants, honey/beeswax, shea butter etc. This sheets record the reasons for the scores obtain when the policy under review is matched against the environment poverty dimensions
LIVELIHOOD Access to Water Access to Land Access to timber resources Protection 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 Harvesting would remove waterside vegetation, expose water areas to evaporation, siltation and increased runoff reducing available water The policy is unlikely to have a direct effect on access to land, but it could make waterside areas more accessible and lead to other forms of development. The policy may give improved access for timber removal which is beneficial, but may impact adversely on other forest products. Harvesting may disturb the habitats of species relying on water The policy should broaden the base of forest products which is advantageous, (positive) but may also damage existing resources (e.g. edible snails) which is negative Harvesting may expose stream banks and cause erosion and siltation The policy should have no direct interaction The policy should have no direct interaction The policy may lead to destruction of some important medicinal plants The policy should have no direct interaction Accelerated runoff could add to flooding risk Clearance and accelerated runoff could lead to further land degradation The policy should have no direct interaction Clearance and accelerated runoff could reduce local water supplies and exacerbate the effects of drought The policy should have no direct interaction O? -/o -/o

O O O O O

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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 each PPP 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, economic and 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 for specialist knowledge (although that helps) to analyse PPPs. The tool is designed to give a visual and quantitative measure of the extent to which a particular policy, plan or programme is capable of providing sustainable growth and development. There are four basic steps to follow. 1) Describe the classification; providing enough information to allow an informed judgement to be made 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.). 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. 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. Summarise the findings in a report to decision-makers.

2) 3) 4)

The criteria listed in the first column of the table are based on measures that should help to minimise environmental 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: Effects: Colour: 0 Not Relevant Black 1 Works strongly against the aim Red 2 3 On balance Works against the has neutral effects on aim the aim Red Yellow 4 Supports the aim Green 5 Strongly supports the aim Green

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

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The validity of the outcome is enhanced when the matrix is completed independently by more than one group of stakeholders (i.e. developers, local community representatives and professional staff, district planning 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. Examples of sustainability test and record sheets are presented below.

Sustainability Test PPP/Activity (To be inserted here) PERFORMANCE MEASURE (0) 1 (0) 1 (0) 1 (0) 1 (0) 1 (0) 1 (0) 1 (0) 1 (0) 1 (0) 1 (0) 1 (0) 1 (0) 1 (0) 1 (0) 1 (0) 1 (0) 1 (0) 1
(0) 1

CRITERIA BASIC AIMS AND OBJECTIVES EFFECTS ON NATURAL RESOURCES Protected Areas and Wildlife: should be conserved, and these resources should be enhanced where practical. Degraded Land: and areas vulnerable to degradation should be avoided. Alalready degraded land should be enhanced. Energy: The PPP should encourage efficient energy use, and maximise use of renewable rather than fossil fuels. Pollution: Discharges of pollutants and waste products to the atmosphere, water and land should be avoided or minimised. Use of Raw Materials: All raw materials should be used with maximum efficiency, and recycled where practical. Rivers and Water bodies: should retain their natural character. EFFECTS ON SOCIAL AND CULTURAL CONDITIONS Local Character: and cohesion of local communities should be maintained and enhanced where practical. Health and Well-being: The PPP should benefit the work force, and local communities in terms of health and well-being, nutrition, shelter, education and cultural expression. Gender: The PPP should empower women. Work for Local People: Priority should be given to providing jobs for local people and particularly women and young people. Participation: Active participation and involvement of local communities should be encouraged (especially vulnerable and excluded sections). Access: of the poor to land should be improved. Access of the poor to water should be improved Access of the poor to transport should be improved. Sanitation: Should be improved. Equity: Adverse and beneficial impacts from development should be distributed equitably and should not discriminate against any groups, especially vulnerable and excluded people. Vulnerability and Risk: of drought, bushfire, floods crises and conflicts and epidemics should be reduced. EFFECTS ON THE ECONOMY Growth: The PPP should result in development that encourages strong and stable conditions of economic growth. Local materials and services: PPP should encourage use of raw materials and services from local industries where possible. Local Investment of Capital: Development should encourage the local retention of capital and the development of downstream industries, utilising local raw materials, products and labour.

INDICATORS Sensitive areas shown on maps Vulnerable areas shown on maps Quantity and type of fuel/energy to be identified Quantity and type of pollutants and waste to be identified Quantity and type of materials to be assessed Minimum flows/ water levels to be set Opinions of local communities to be assessed Number of people exposed to waterborne disease, or lacking adequate food and shelter to be assessed Number of women to be empowered Number of people to be employed Level of participation proposed Number of the poor to be assisted Number of the poor to be assisted Number of the poor to be assisted Number of the poor to be assisted Number of the poor to benefit on equitable terms Occurrence to be noted and monitored

2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2
2

3 4 5 3 4 5 3 4 5 3 4 5 3 4 5 3 4 5 3 4 5 3 4 5 3 4 55 3 4 5 3 4 5 3 4 5 3 3 3 3 4 4 4 4 5 5 5 5

3 4 5 3 4 5
3 4 5

Economic output to be evaluated Description of sources Description of investment strategy

(0) 1 (0) 1 (0) 1

2 2 2

3 4 5 3 4 5 3 4 5

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Sustainability Test: Record Sheet


Description of PPP/Activity: CRITERIA BASIC AIMS AND OBJECTIVES EFFECTS ON NATURAL RESOURCES Protected Areas and Wildlife: should be conserved, and these resources should be enhanced where practical. Degraded Land: Areas vulnerable to degradation should be avoided, 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 the atmosphere, water and land should be avoided or minimised. Use of Raw Materials: All raw materials should be used with maximum efficiency, and recycled where practical. Rivers and Water bodies: should retain their natural character. EFFECTS ON SOCIAL AND CULTURAL CONDITIONS Local Character: and cohesion of local communities should be and enhanced where practical. Health and Well-being: The Activity should benefit the work force, 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 people particularly women and young people. Participation: Active participation and involvement of local communities should be encouraged (especially vulnerable and excluded 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 to transport. Sanitation: Activity should improve sanitation. Equity: Adverse and beneficial impacts from development should be distributed equitably and should not discriminate against any groups, especially vulnerable and excluded people. Vulnerability and Risk: of drought, bushfire, floods crises and conflicts and epidemics should be reduced. EFFECTS ON THE ECONOMY Growth: The PPP should result in development that encourages strong and stable conditions of economic growth. Use of local materials and services: The PPP should result in the use of raw materials and services from local industries where possible. Local Investment of Capital: Development should encourage the local retention of capital and the development of downstream industries, utilising local raw materials, products and labour. SCORE REASONS

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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 INDICATORS PERFORMANCE ASURE

EFFECTS ON NATURAL RESOURCES Protected Areas and Wildlife: should be conserved, and these resources should be enhanced where practical. Degraded Land: Areas vulnerable to degradation should be avoided, 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 the atmosphere, water and land should be avoided or minimised. Use of Raw Materials: All raw materials should be used with maximum efficiency, and recycled where practical. Rivers and Water bodies: should retain their natural character. EFFECTS ON SOCIAL AND CULTURAL CONDITIONS Local Character: and cohesion of local communities should be and enhanced where practical. Health and Well-being: The Activity should benefit the work force, 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 people particularly women and young people. Participation: Active participation and involvement of local communities should be encouraged (especially vulnerable and excluded 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 to transport. Sanitation: Activity should improve sanitation. Equity: Adverse and beneficial impacts from development should be distributed equitably and should not discriminate against any groups, especially vulnerable and excluded people. Vulnerability and Risk: of drought, bushfire, floods crises and conflicts and epidemics should be reduced. EFFECTS ON THE ECONOMY Growth: The PPP should result in development that encourages strong and stable conditions of economic growth. Use of local materials and services: The PPP should result in the use of raw materials and services from local industries where possible. Local Investment of Capital: Development should encourage the local retention of capital and the development of downstream industries, utilising local raw materials, products and labour. Economic Output to be evaluated Description of sources (0) 1 (0) 1 2 2 3 4 5 3 4 5 Opinions of local communities to be assessed Number of People exposed to water borne disease, or lacking adequate food and shelter to be assessed Number of women to be empowered Number of people to be employed (0) 1 2 3 4 5 Sensitive areas shown on maps Vulnerable areas shown on maps Quantity and type of fuel/energy to be identified Quantity /type of pollutants and waste to be identified Quantity and type of materials Minimum flows/ water levels to be set (0) 1 (0) 1 2 2 3 4 5 3 4 5

(0) 1 (0) 1 (0) 1 (0) 1

2 2 2 2

3 4 5 3 4 5 3 4 5 3 4 5

(0) 1

3 4 5

(0) 1 (0) 1

2 2

3 4 5 3 4 5

Level of participation proposed

(0) 1

3 4 5

Number of the poor to be assisted Number of the poor to be assisted Number of the poor to be assisted Number of the poor to be assisted Number of the poor to be to benefit on equitable terms Occurrence to be noted and monitored

(0) 1 (0) 1 (0) 1 (0) 1

2 2 2 2

3 4 5 3 4 5 3 4 5 3 4 5

(0) 1

3 4 5

(0) 1

3 4 5

Description of investment strategy

(0) 1

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 INDICATORS PERFORMANCE ASURE

EFFECTS ON NATURAL RESOURCES Protected Areas and Wildlife: should be conserved, and these resources should be enhanced where practical. Degraded Land: Areas vulnerable to degradation should be avoided, 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 the atmosphere, water and land should be avoided or minimised. Use of Raw Materials: All raw materials should be used with maximum efficiency, and recycled where practical. Rivers and Water bodies: should retain their natural character. EFFECTS ON SOCIAL AND CULTURAL CONDITIONS Local Character: and cohesion of local communities should be and enhanced where practical. Health and Well-being: The Activity should benefit the work force, and local communities in terms of health and well-being, nutrition, shelter, education and cultural expression. Opinions of local communities to be assessed Number of People exposed to water borne disease, or lacking adequate food and shelter to be assessed Number of women to be empowered Number of people to be employed (0) 1 2 3 4 5 Sensitive areas shown on maps Vulnerable areas shown on maps Quantity and type of fuel/energy to be identified Quantity /type of pollutants and waste to be identified Quantity and type of materials Minimum flows/ water levels to be set (0) 1 (0) 1 (0) 1 (0) 1 (0) 1 (0) 1 2 2 2 2 2 2 3 4 5 3 4 5 3 4 5 3 4 5 3 4 5 3 4 5

(0) 1

3 4 5

Gender: The Activity should empower women. Job Creation: The activity should create jobs for local people particularly women and young people. Participation: Active participation and involvement of local communities should be encouraged (especially vulnerable and excluded 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 to transport. Sanitation: Activity should improve sanitation. Equity: Adverse and beneficial impacts from development should be distributed equitably and should not discriminate against any groups, especially vulnerable and excluded people. Vulnerability and Risk: of drought, bushfire, floods crises and conflicts and epidemics should be reduced. EFFECTS ON THE ECONOMY Growth: The PPP should result in development that encourages strong and stable conditions of economic growth. Use of local materials and services: The PPP should result in the use of raw materials and services from local industries where possible. Local Investment of Capital: Development should encourage the local retention of capital and the development of downstream industries, utilising local raw materials, products and labour.

(0) 1 (0) 1

2 2

3 4 5 3 4 5

Level of participation proposed

(0) 1

3 4 5

Number of the poor to be assisted Number of the poor to be assisted Number of the poor to be assisted Number of the poor to be assisted Number of the poor to be to benefit on equitable terms Occurrence to be noted and monitored

(0) 1 (0) 1 (0) 1 (0) 1

2 2 2 2

3 4 5 3 4 5 3 4 5 3 4 5

(0) 1

3 4 5

(0) 1

3 4 5

Economic Output to be evaluated Description of sources

(0) 1 (0) 1

2 2

3 4 5 3 4 5

Description of investment strategy

(0) 1

3 4 5

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4.0

SECTION FOUR DEVELOPING PROGRAMMES AND BUDGET FOR THE UPDATED GPRS

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 Medium Term Development Plans (MTDP). (Refer to NDPC Guidelines) Ministries, Departments and Agencies (MDAs) will use the Guidelines for the preparation of sector MTDP Districts will use the Guidelines for the preparation of District Medium Term Development Plans (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 the District Plan Coordinating Units (DPCUs) Series of meetings including periodic reviews and consultations to draw up policies programmes 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 the analytical tools have already been developed for related EIA processes and there is a logical framework, which can be followed, which is outlined below. Prepare a sound baseline including up to date information and utilizing GIS (if available). The purpose of this is to describe the existing environmental (natural resource and socio-cultural) conditions against which the PPPs expected impacts can be measured. Where practical, this assessment should be based on quantitative as well as qualitative data. Where PPPs have spatial dimensions it is recommended 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 three sustainability components namely; natural resources, socio-cultural and economic. This should be done considering the overall institutional framework in which they operate. Sectors and districts should therefore define relevant objectives with associated criteria. Example for a transport policy; SEA Components/Objective
Natural resources

Criteria Energy consumption, air pollution, etc.

1. To reduce fuel consumption 2. To minimise air pollution


Socio-cultural

Access to transportation, job creation, etc.

1. To provide mass transportation 2. To create more jobs


Economic

1. To provide affordable transportation 2. 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 set targets for each criterion. These must be done by taking into account the basic elements of the national/ international objectives An indicator is information, which is used to measure and track the status and progress of a complex system.

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Indicators are the link between the strategic action's objectives and how they are implemented, and can also be used during the strategic action's implementation to monitor and test whether the objectives are being 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) SEA Component/Objective Natural Resources To reduce fuel wood consumption To minimise air pollution Socio-cultural To provide mass transportation To create more jobs Economic To provide affordable housing To boost the local economy Support Economy Criteria Energy consumption Pollution Access transportation Indicator Households LPG Target using Number of households using LPG by 2010

Percentage reduction in NOx, CO, CO2 by 2010 to No. of people using Number of people using mass transportation mass transportation by 2010

NOx, CO, CO2 levels

Job creation Affordability

Number of jobs created by 2010 Number of people Number of people who who have bought have bought their own their own houses houses by 2010

No. of jobs created

local Increase in income Percentage increase in levels/ productivity local level incomes by 2010

5.4 STRATEGIC ACTION Define the appropriate strategic action required to achieve target. Explore whether there are other more efficient 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 ASSESS POTENTIAL IMPACTS This involves determining the type and magnitude of the potential effects of the PPP, including whether or 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 to compatibility, composite and compound matrices. The shortcomings and opportunities for improvement in the existing PPP will have been exposed and identified in this step. The scope for revising and improving PPPs and recommendations are made for new 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 may be 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 the process. The report should provide a comprehensive analysis of the factors influencing the choice of alternatives and the reasons for selecting the preferred PPPs, although the final judgement will rest with the 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 the PPP should be monitored and evaluated to check whether the individual activities of the PPP are actually 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 relating to 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

Provide Soft Copies of GPRS and other documentations like the MDG, NEPAD, MDBS, MC Account, SEA Report, APRs, NED report, Undertake review of above literatures Undertake a current situation assessment of the thematic area Extract All policies and the relevant indicators from the GPRS Undertake status update with inputs from CSPG members/ Identify specific policy issues / areas in the GPRS relevant to CSPG thematic area Facilitate discussions on identification of new policies for update of GPRS Subject identified Policies to SEA Sustainability Test and check internal consistency and compatibility as well as with national and international policy commitments (NEPAD, MDG, MCA) Produce CSPG Policy Report Organize Harmonisation Workshop for all CSPGs to do cross referencing of policies /trade-off and produce a Zero/Initial draft Policy Framework Organise Peer Review Workshop to look at the technical content, logical flow and quality of the Policy framework Public Consultations/Presentation of Policy Framework to broader civil society Incorporation of feed back from Public Consultation into Draft Policy Framework Validation of Policy Framework Produce updated GPRS

Desk Work

Sept 15 Oct 4

DG

Identified documents made available Review report Current Situation of thematic area Policy extract

1 2 3 4

Desk work/CSPG Desk work/CSPG Desk work CSPG working session

Consultants / Assistants / Coordinators/CSPG Consultants / Assistants / Coordinators Consultants / Assistants / Coordinators CSPG

5 6

CSPG meetings Desk work / research

Consultants / Assistants / Coordinators Consultants / Assistants / Coordinators

CSPG Policy Report

7 8

Desk work / research Workshop

Consultants / Assistants / Coordinators Lead Consultant / Consultants / Assistants / Coordinators Consultants / Assistants / Coordinators Consultants / Assistants / Coordinators Lead Consultant / Consultants / Assistants / Coordinators Consultants / Assistants / Coordinators Lead Consultant / Consultants / Assistants / Coordinators

Zero/Initial Updated GPRS Policy Framework

CSPG meetings / deskwork Public fora Desk work

First Draft Policy Framework Public Consultation Report Second Draft

10 11

12 13

Validation workshops Desk Dec 15

Report GPRS 2006-2008 (2006-2010)

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