University of Ghana http://ugspace.ug.edu.gh UNIVERSITY OF GHANA, LEGON COLLEGE OF BASIC AND APPLIED SCIENCES MAINSTREAMING AND MEASURING SUSTAINABILITY IN THE DEVELOPMENT PLANNING PROCESS: THE USE OF STRATEGIC ENVIRONMENTAL ASSESSMENT AS A TOOL IN GHANA BY CHRISTINE OKAE ASARE (10443709) THIS THESIS IS SUBMITTED TO THE UNIVERSITY OF GHANA, LEGON IN PARTIAL FULFILLMENT OF THE REQUIREMENTS FOR THE AWARD OF A DOCTOR OF PHILOSOPHY DEGREE IN ENVIRONMENTAL STUDIES JULY 2017 University of Ghana http://ugspace.ug.edu.gh DECLARATION I declare that this thesis “Mainstreaming and Measuring Sustainability in the Development Planning Process: The Use of Strategic Environmental Assessment (SEA) as a Tool in Ghana” is entirely my own work. All references made to other works have been acknowledged, and that no part of this research work has been presented for another degree elsewhere. .......................................................... ……………………………… CHRISTINE OKAE ASARE DATE (STUDENT) This thesis has been submitted for examination with the expressed consent and supervision of my supervisors. ............................................................. ……………………………… PROF. CHRIS GORDON DATE (PRINCIPAL SUPERVISOR) ............................................................. ……………………………… DR. TED Y. ANNANG DATE (SUPERVISOR) ii University of Ghana http://ugspace.ug.edu.gh ABSTRACT Environmental assessments began in the 1960s in the United States of America, to increase environmental awareness. Currently, environmental assessments have gained legislative backing in most countries of the world. They are guided by regulations that stipulate administrative procedures with respect to the participation of the public, and records that document the decision-making process, and may be subjected to review by the judiciary. In this light, two major environmental assessment frameworks are usually employed. They are the Strategic Environmental Assessment (SEA) and the Environment Impact Assessment (EIA). EIA is employed when assessing projects whilst SEA is carried out for policies, plans and programmes (PPPs). The Ghana SEA approach uses a set of user-friendly tools and it is carried out based on a number of steps. This approach was initiated by the experience of using SEA for the Ghana Poverty Reduction Strategy (GPRS) I, which set a benchmark for subsequent SEAs conducted under the guidance of the Environmental Protection Agency (EPA) and National Development Planning Commission (NDPC) at sectoral and district levels. A major development in the Ghana SEA approach has been the expansion of the usual three (3) pillars of sustainability as set out by the Brundtland Commission’s Agenda 21 to four (4) pillars. The “social” pillar has also been broadened to incorporate cultural diversity. Thus, sustainability pillars in Ghana include; the natural resources, socio-cultural, economic, and the institutions. The institutional pillar has been added as the fourth pillar of sustainability. In Ghana, these four pillars define and constitute the term environment. Thus, to ensure that sustainability is effectively mainstreamed into the development planning system all four pillars should be at par in any policy, plan or programme. iii University of Ghana http://ugspace.ug.edu.gh The application and use of SEA has been central to the development planning process of the Metropolitan, Municipal and District Assemblies (MMDAs) in Ghana since the year 2002. However, in 2012 the government of Ghana created forty-six (46) new districts bringing the total number of districts in the country to two hundred and sixteen (216). These forty-six (46) new districts (untreated) were carved out of the old (treated) one hundred and seventy (170) districts. Although these new districts (untreated) had knowledge of the SEA tool, they were not applying it because they had not been trained on its use and application with respect to the preparation of their Medium-Term Development Plans. The study examines the impact of using the SEA as a tool for mainstreaming environmental sustainability considerations and dimensions in Ghana especially because of the absence of empirical studies on the effectiveness of using SEA as a sustainability mainstreaming tool. It further evaluates the perception of respondents on SEA’s sustainability mainstreaming capabilities as well as to ascertain the level of understanding of respondents concerning the use and application of SEA. The two hundred and sixteen (216) MMDAs in the ten (10) regions of Ghana were considered in the study. Two (2) out of the four (4) core members of the District Planning Coordinating Unit (DPCU) were randomly sampled to respond to the questionnaire. A total of four hundred and thirty-two (432) questionnaires were administered: three hundred and eight (308) of the respondents fully responded. The analysis of the data was thus based on three hundred and eight (308) responses. The Chi Square, Propensity Score Matching, and Likert frameworks were employed in analyzing the data. The study examined the impacts of using the SEA on the four (4) pillars of sustainability as per the “Ghana SEA Approach”. With respect to the institutional pillar, the overall results of the study indicated that SEA has not significantly impacted the institutional dimensions of MMDAs, especially when it iv University of Ghana http://ugspace.ug.edu.gh comes to implementation. Based on the rating criteria of the “Akoben” Environmental Performance Rating and Disclosure System (EPA, 2015), all MMDAs sampled scored 52.94 percent on Green budgeting, which indicated that the manner in which MMDAs incorporated environmental factors in the budgeting process was “Good”. The results indicated that the procurement design of MMDAs was “Unsatisfactory” with a score of 41.18 percent. This could mean that procurement activities undertaken at the MMDA level did not create opportunities and synergies for environmental sustainability. The results also showed that a good number of MMDAs were enforcing their environmental bye-laws and had in place mechanisms for environmental communication. The scores for MMDAs’ enforcement of environmental bye-laws and the existence of an environmental communication strategy were 55.29 and 54.12 percent respectively. The impact of using SEA on the economic pillar, however, was significant. According to the study, economic dimensions of the MMDAs have been positively impacted, particularly with respect to employment levels, which have been on a sustained increase. There was also a positive and significant impact on the natural resource pillar as a result of the use and application of SEA by MMDAs. This implies that natural resource and environmental management were adequately incorporated into the District Medium Term Development Plans of the various MMDAs. On the socio-cultural pillar, the study showed that the use of the SEA framework had positive impacts on the three (3) socio-cultural variables and indicator considered in the study. Whilst sanitation, under-five child and maternal mortality rates were on the low side, housing settlement was on the high side. In order to determine the impact of SEA in the development planning process, looking at both the old districts which have been trained in the use of SEA and the new districts which have not been trained in the use of SEA, a Propensity Score Matching was also carried out. The estimates revealed that using SEA increased annual expenditure of the MMDAs by v University of Ghana http://ugspace.ug.edu.gh 4.5%. That is, MMDAs that used SEA had their annual expenditure increased by this percentage. This is because the use of SEA in drawing up policies, plans and programmes (PPPs) has an impact on budget (Green budgets) preparation and resource allocation, which has led to the integration of environmental issues into the decision-making process i.e. during planning and implementation at the MMDA level. The model estimates further revealed that Metropolitan, Municipal and District Assemblies using SEA as a tool for mainstreaming environmental sustainability issues into their District Medium Term Development Plans have maternal mortality and under-five child mortality decreased by 1.7 and 2.5 percentage points, respectively. The study therefore concludes that the use and application of SEA as a sustainability mainstreaming tool in development planning is effective. Possible explanations for this is the building of capacity in SEA for core members of the District Planning Coordinating Units in the one hundred and seventy (170) District Assemblies over the years by the Environmental Protection Agency and the National Development Planning Commission. The study recommends that government strengthens the institutional capacity of the MMDAs to enable the institutional pillar to be at the same level as the other three pillars to ensure that sustainable development is achieved. In addition, respondents perceive that SEA can enhance sustainable economic growth if it is effectively employed. On the issues of environmental mainstreaming gaps, the study showed that SEA, as currently applied in Ghana, does not influence implementation of the District Medium Term Development Plans of MMDAs, since all four pillars were not at par. Finally, the study showed that all MMDAs in Ghana have significant levels of understanding of the SEA framework as well as a good perception. vi University of Ghana http://ugspace.ug.edu.gh The study recommends that the gaps that exist be filled by putting in place the necessary legislation and regulations to back the effective implementation of SEAs in Ghana. It is also recommended that a monitoring and evaluation regime be established within the EPA to track progress of activities on the impact of SEA, particularly at the MMDA level. This will enhance the activities of the EPA and the MMDAs in the effective utilization of the SEA tool in order to achieve sustainable development. vii University of Ghana http://ugspace.ug.edu.gh DEDICATION This study is dedicated to my dearest father, the late Prof. Ebenezer Okae Asare, my beloved mother, Mrs. Beatrice Asare and my dear son, Nana Yaw Owusu Atakora for their support and love in the course of my studies. viii University of Ghana http://ugspace.ug.edu.gh ACKNOWLEDGEMENT I am grateful to the staff of the Strategic Environmental Assessment Unit of the Environmental Protection Agency (EPA) for their immense support and assistance in the course of my studies. I want to express my utmost thanks to the staff of all the two hundred and sixteen (216) Metropolitan, Municipal, and District Assemblies (MMDAs) for providing me with the relevant information for this study. I would like to thank my supervisors, Prof. Chris Gordon and Dr. Ted Y. Annang for their patience, time, invaluable comments and guidance that have made this work a success: I am much obliged. Finally, I would like to acknowledge the invaluable contributions and inputs from my colleagues, lecturers and staff of the Institute for Environment and Sanitation Studies (IESS), University of Ghana, Legon. ix University of Ghana http://ugspace.ug.edu.gh LIST OF ABBREVIATIONS AIDS Acquired Immune Deficiency Syndrome ANOVA Analysis of Variance ANS Adjusted Net Savings ATE Average Treatment Effect ATT Average Treatment Effect on the Treated ATTU Average Treatment Effect on the Untreated BLI Better Life Index BP Bank Policy CE Council of Europe CIDA Canadian International Development Agency CIW Canadian Index of Wellbeing CSOs Civil Society Organizations DA District Assembly DAC Development Assistance Committee DANIDA Danish International Development Agency DACF District Assemblies Common Fund DCD District Coordinating Director DCE District Chief Executive DDF District Development Facility DFID Department for International Development DMTDP District Medium Term Development Plan DMTP District Medium Term Plan DPCU District Planning Coordinating Unit x University of Ghana http://ugspace.ug.edu.gh EA Environmental Assessment EC Executive Committee EIA Environmental Impact Assessment EIS Environmental Impact Statement EPA Environmental Protection Agency EPC Environmental Protection Council ESIA Environmental and Social Impact Assessment ESMF Environmental and Social Management Framework EU European Union FOAT Functional Organizational Assessment Tool FRR Financial Rate of Return GDP Gross Domestic Product GEACaP Ghana Environmental Assessment Capacity Development Project GEASP Ghana Environmental Assessment Support Project GESS Ghana Environmental Sector Study GIZ German International Cooperation GNI Gross National Income GNS Gross National Savings GoG Government of Ghana GPHA Ghana Ports and Harbour Authority GPI Genuine Progress Indicator GPRS I Ghana Poverty Reduction Strategy I GPRS II Growth and Poverty Reduction Strategy II GS Genuine Savings GSGDA Ghana Shared Growth and Development Agenda HDI Human Development Index HIV Human Immune Deficiency Virus xi University of Ghana http://ugspace.ug.edu.gh HLE Happy Life Expectancy IAIA International Association for Impact Assessment IDGs International Development Goals IESS Institute for Environment and Sanitation Studies IGF Internally Generated Funds ISEW Index of Sustainable Economic Welfare IUCN International Union Conservation of Nature KPI Key Person Interviews LI Legislative Instrument M&E Monitoring and Evaluation MDAs Ministries, Departments and Agencies MDGs Millennium Development Goals MESTI Ministry of Environment, Science, Technology and Innovation MLGRD Ministry of Local Government and Rural Development MMDAs Metropolitan, Municipal and District Assemblies MoF Ministry of Finance MoT Ministry of Transport MSY Maximum Sustainable Yield MTDP Medium Term Development Plan N/A Not Applicable NCEA Netherlands Commission for Environmental Assessment NDPC National Development Planning Commission NDPF National Development Policy Framework NEMA National Environmental Management Act NEP National Environmental Policy NEPA National Environmental Policy Act NGO Non-Governmental Organization xii University of Ghana http://ugspace.ug.edu.gh NRCD National Redemption Council Decree NREG Natural Resources and Environmental Governance OD Operational Directive OECD Organization for Economic Cooperation and Development OLS Ordinary Least Squares OP Operational Policy PHC Population and Housing Census PNDCL Provisional National Defense Council Law PPPs Policies, Plans and Programmes PRS Poverty Reduction Strategy PSM Propensity Score Matching PV Present Value RCC Regional Coordinating Council RCTs Randomized Control Trials RM Regional Minister RNE Royal Netherlands Embassy SADC Southern African Development Community SD Sustainable Development SDGs Sustainable Development Goals SEA Strategic Environmental Assessment SESA Strategic Environmental and Social Assessment SFM Stochastic Frontier Model TCPD Town and Country Planning Department (now Land Use and Spatial Planning Department) ToR Terms of Reference UK United Kingdom UKAID United Kingdom Agency for International Development xiii University of Ghana http://ugspace.ug.edu.gh UNDP United Nations Development Programme UNECE United Nations Economic Commission for Europe UNEP United Nations Environment Programme UNRISD United Nations Research Institute for Social Development US United States US/MCC United States/ Millennium Challenge Corporation USA United States of America USAID United States Agency for International Development USCEQ United States Council for Environmental Quality WB World Bank WCED World Commission on Environment and Development WDI World Development Indicator WES Water and Environmental Sanitation WS Weak Sustainability WSSD World Summit on Sustainable Development xiv University of Ghana http://ugspace.ug.edu.gh TABLE OF CONTENTS DECLARATION ................................................................................................................. ii ABSTRACT ....................................................................................................................... iii DEDICATION ................................................................................................................. viii ACKNOWLEDGEMENT .................................................................................................. ix LIST OF ABBREVIATIONS ............................................................................................. x TABLE OF CONTENTS .................................................................................................. xv LIST OF FIGURES .......................................................................................................... xxi LIST OF TABLES ......................................................................................................... xxiii CHAPTER ONE: INTRODUCTION ................................................................................. 1 1.1 Background to the Study ........................................................................................... 1 1.1.1 SEA Practice in Sub-Saharan Africa ................................................................... 4 1.1.2 SEA and Sustainability Mainstreaming in Ghana ............................................... 5 1.1.3 SEA Practice in Ghana ........................................................................................ 7 1.1.4 SEA Legislation ................................................................................................... 8 1.1.4.1 First Generation SEAs .................................................................................... 10 1.1.4.2 Second Generation SEAs ................................................................................ 11 1.1.5 The Ghana SEA Approach ................................................................................ 13 1.1.6 Conduct of SEA in Ghana ................................................................................. 14 1.1.6.1 District Level SEA Process ............................................................................. 15 1.1.6.2 Sector Level SEA Process .............................................................................. 16 1.1.7 Ghana SEA Guidelines ...................................................................................... 19 1.1.8 Application and Use of SEA Tools .................................................................... 19 1.1.8.1 Sustainability Test Matrix ............................................................................... 20 1.1.8.2 Compound Matrix ........................................................................................... 21 1.1.8.3 Internal Consistency ....................................................................................... 21 xv University of Ghana http://ugspace.ug.edu.gh 1.1.8.4 Opportunities and Risk Matrix ....................................................................... 22 1.2 Problem Statement .................................................................................................. 22 1.3 Research Questions ................................................................................................. 22 1.4 Objectives of the Study ............................................................................................ 23 1.4.1 Specific Objectives ............................................................................................ 23 1.5 Relevance of the Study ........................................................................................... 23 1.6 Scope of the Study .................................................................................................. 24 1.6.1 Ashanti Region .................................................................................................. 24 1.6.2 Brong Ahafo Region ......................................................................................... 26 1.6.3 Central Region .................................................................................................. 26 1.6.4 Eastern Region ................................................................................................... 29 1.6.5 Greater Accra Region ........................................................................................ 29 1.6.6 Northern Region ................................................................................................ 32 1.6.7 Upper East Region ............................................................................................. 32 1.6.8 Upper West Region ............................................................................................ 35 1.6.9 Volta Region ...................................................................................................... 35 1.6.10 Western Region ................................................................................................ 38 1.7 Organization of the Study ........................................................................................ 38 CHAPTER TWO: LITERATURE REVIEW ................................................................... 40 2.1 The Origin and Theories of Sustainability ............................................................... 40 2.1.1 Economic Approach to Sustainability ............................................................... 41 2.1.2 The Ecological Approach to Sustainability ....................................................... 48 2.1.3 Sustainability Measurement ............................................................................... 50 2.1.3.1 Sustainability Measurement Frameworks ....................................................... 51 2.1.3.2 Economic Welfare Indicators ......................................................................... 52 2.1.3.2.1 GDP Adjusted Indicators ............................................................................. 55 xvi University of Ghana http://ugspace.ug.edu.gh 2.1.3.2.2 GDP Integrated Indicators ........................................................................... 57 2.1.3.2.3 GDP Replacing Indicators ........................................................................... 58 2.2 Development Planning ............................................................................................. 61 2.2.1 The Development Planning Process .................................................................. 64 2.2.1.1 Decentralization and Participation .................................................................. 66 2.3 Environmental Impact Assessment (EIA) ................................................................ 68 2.3.1 Evolution of Environmental Impact Assessment ............................................... 69 2.4 Strategic Environmental Assessment (SEA) Concepts, Definitions and Historical Developments ......................................................................................................... 71 2.5 International Perspectives of SEA Practice .............................................................. 77 2.6 The Role of SEA in the Attainment of the Sustainable Development Goals ........... 82 2.7 Policy Impact Evaluation ......................................................................................... 88 2.7.1 Types of Evaluation Research Designs ............................................................. 91 2.8 Empirical Studies on Policy, Plan, Programme and Project Evaluation .................. 92 2.9 Summary .................................................................................................................. 94 CHAPTER THREE: RESEARCH METHODOLOGY .................................................... 95 3.1 Introduction .............................................................................................................. 95 3.2 Description of Local Governance and Decentralization Processes in Ghana .......... 96 3.2.1 MDAs and MMDAs in Ghana’s Development Planning Process ................... 101 3.3 Conceptual Framework of the Impact of SEA on Communities ........................... 103 3.4 Impact of SEA on Various Sustainable Policy-Making Dimensions ..................... 106 3.5 Impact of SEA on the Development Planning Process of Ghana .......................... 106 3.5.1 The Theoretical Framework ............................................................................. 106 3.5.2 The Analytical Framework .............................................................................. 108 3.5.3 Operationalizing the Propensity Score Matching ............................................ 112 xvii University of Ghana http://ugspace.ug.edu.gh 3.6 Sustainability Mainstreaming Gaps and Understanding of SEA among MMDAs in Ghana .................................................................................................................... 118 3.7 Data Type and Sources ........................................................................................... 118 3.7.1 Sample Size and Sampling Frame ................................................................... 118 3.7.2 Questionnaire Design ....................................................................................... 119 3.7.3 Field Work ....................................................................................................... 119 3.7.4 Ethical Issues ................................................................................................... 120 CHAPTER FOUR: RESULTS ........................................................................................ 123 4.1 Introduction ............................................................................................................ 123 4.2 Summary of Statistics from MMDAs .................................................................... 123 4.2.1 Impact of SEA on the Natural Environment in Districts ................................. 128 4.2.2 Impact of SEA on Economic Activities of the Districts .................................. 129 4.2.3 Impact of SEA on Socio-cultural Activities in the Districts ............................ 130 4.2.4 Socio-cultural Impact of SEA on MMDAs ..................................................... 135 4.2.5 Institutional Impacts of SEA in the Development Planning Process ............... 136 4.3 Quasi-experiment of the Impact of SEA on the Development Planning Process of Ghana .................................................................................................................... 141 4.3.1 Propensity Score Estimates .............................................................................. 142 4.3.2 Tests of Matching Quality ............................................................................... 144 4.3.3 Estimates of SEA Impacts ............................................................................... 147 4.4 Sustainability Mainstreaming Gaps and Understanding of SEA among MMDAs in Ghana .................................................................................................................... 150 4.5 Perception of MMDAs on SEA Sustainability Mainstreaming ............................. 150 4.6 Understanding of MMDAs on SEA Usage ........................................................... 152 xviii University of Ghana http://ugspace.ug.edu.gh CHAPTER FIVE: DISCUSSION ................................................................................... 154 5.1 Introduction ............................................................................................................ 154 5.2 Impacts of SEA on Sustainable Policy Dimensions .............................................. 154 5.3 Propensity Score Matching Estimates .................................................................... 156 5.4 Perception of MMDAs on SEA Sustainability Mainstreaming ............................. 158 5.5 Understanding of MMDAs on SEA Usage ............................................................ 159 5.6 Weaknesses in the Ghana SEA Approach ............................................................. 162 CHAPTER SIX: SUMMARY, CONCLUSIONS AND RECOMMENDATIONS ....... 164 6.1 Introduction ............................................................................................................ 164 6.2 Research Summary ................................................................................................. 164 6.3 Conclusions ............................................................................................................ 171 6.4 Policy Recommendations ....................................................................................... 172 REFERENCES ................................................................................................................ 173 ANNEXES ...................................................................................................................... 199 Annex 1: List of Metropolitan, Municipal and District Assemblies ............................ 199 Annex 2: Population of District Assemblies in the Ashanti Region ............................ 209 Annex 3: Population of District Assemblies in the Brong Ahafo Region ................... 210 Annex 4: Population of District Assemblies in the Central Region ............................. 211 Annex 5: Population of District Assemblies in the Eastern Region ............................ 212 Annex 6: Population of District Assemblies in the Greater Accra Region .................. 213 Annex 7: Population of District Assemblies in the Northern Region .......................... 214 Annex 8: Population of District Assemblies in the Upper East Region ...................... 215 Annex 9: Population of District Assemblies in the Upper West Region ..................... 216 Annex 10: Population of District Assemblies in the Volta Region ............................. 217 xix University of Ghana http://ugspace.ug.edu.gh Annex 12: A Sample of the Sustainability Test ........................................................... 219 Annex 13: Sample of the Internal Consistency Matrix ................................................ 221 Annex 14: A Sample of the Compound Matrix ........................................................... 222 Annex 15: A Sample of the Opportunities and Risk Matrix ........................................ 230 Annex 16: Research Study Questionnaire ................................................................... 258 xx University of Ghana http://ugspace.ug.edu.gh LIST OF FIGURES Figure 1.1: The Ghana Sustainability Concept as used in Ghana’s SEA Approach ......... 13 Figure. 1.2: District Level SEA Process ............................................................................ 15 Figure 1.3: Sector Level SEA Process .............................................................................. 18 Figure 1.4: Map of District Assemblies in the Ashanti Region ........................................ 25 Figure 1.5: Map of District Assemblies in the Brong Ahafo Regio .................................. 27 Figure 1.6: Map of District Assemblies in the Central Region ......................................... 28 Figure 1.7: Map of District Assemblies in the Eastern Region ......................................... 30 Figure 1.8: Map of District Assemblies in the Greater Accra Region .............................. 31 Figure 1.9: Map of District Assemblies in the Northern Region ...................................... 33 Figure 1.10: Map of District Assemblies in the Upper East Region ................................. 34 Figure 1.11: Map of District Assemblies in the Upper West Region ................................ 36 Figure 1.12: Map of District Assemblies in the Volta Region .......................................... 37 Figure 1.13: Map of District Assemblies in the Western Region ...................................... 39 Figure 2.1: Economic Activity in the Natural Environment ............................................. 42 Figure 2.2: Sustainable Harvest ......................................................................................... 49 Figure 2.3: A Typology of Sustainability .......................................................................... 52 Figure 2.4: Trends in the Canadian Index of Wellbeing and its Eight Domains, Compared with GDP (1994 to 2008) ............................................................................... 59 Figure 2.5: McLoughlin Concept of Systems Planning .................................................... 65 Figure 2.6: Sustainable Development Goals ..................................................................... 86 Figure 2.7: SEA Information Material .............................................................................. 89 Figure 3.1: The Local Government Structure in Ghana .................................................... 99 Figure 3.2: Planning Institutions and their Functions ..................................................... 103 Figure 3.3: Conceptual Framework of the Impact of SEA on Communities .................. 104 Figure 4.1: MMDAs Responses by Region ..................................................................... 124 Figure 4.2: Location of MMDAs ..................................................................................... 126 xxi University of Ghana http://ugspace.ug.edu.gh Figure 4.3: Thematic Areas of the Last MTDP ............................................................... 127 Figure 4.4: Impact of DMDTPs Implementation on Local Economic Activities ........... 132 Figure 4.5: Expansion of Economic Activities with the Aid of SEA .............................. 134 Figure 4.6: Effects of SEA on Housing Settlements ....................................................... 136 Figure 4.7: Involvement of District Planning Coordinating Unit Members in Environmental Management ........................................................................ 137 Figure 4.8: Institutional Impacts of SEA in Ghana ......................................................... 138 Figure 4.9: Institutional Impacts of SEA in the Northern Belt ........................................ 139 Figure 4.10: Institutional Impacts of SEA in the Middle Belt ........................................ 140 Figure 4.11: Institutional Impacts of SEA in the Southern Belt ...................................... 141 Figure 4.12: Distribution of Propensity Scores Graphs Before Matching ...................... 145 Figure 4.13: Distribution of Propensity Scores Graphs After Matching ......................... 146 xxii University of Ghana http://ugspace.ug.edu.gh LIST OF TABLES Table 1.1: Strategic Environmental Assessment Practice in Ghana .................................... 6 Table 2.1: Main Differences between SEA and EIA ........................................................ 76 Table 2.2: Status of SEA in Selected West African Countries .......................................... 80 Table 3.1: Characteristics of MMDAs to be Used in Estimating the Propensity Scores 115 Table 4.1: Summary of Statistics of Socio-economic and Demographic Characteristics 125 Table 4.2: Impact of SEA on Deforestation and Pollution .............................................. 129 Table 4.3: Impact of SEA on MMDAs’ Economy .......................................................... 130 Table 4.4: Impact of SEA on MMDAs’ Socio-cultural Activities in the District ........... 131 Table 4.5: The Propensity Score Estimates ..................................................................... 143 Table 4.6: Covariate Balance Indicators Before and After Matching ............................. 147 Table 4.7: Estimates of SEA Impacts .............................................................................. 148 Table 4.8: Perception of MMDAs on SEA Sustainability Mainstreaming ..................... 150 Table 4.9: Understanding of MMDAs on SEA Usage .................................................... 152 xxiii University of Ghana http://ugspace.ug.edu.gh CHAPTER ONE INTRODUCTION 1.1 Background to the Study Environmental assessments commenced in the 1960s in the United States of America as part of increasing environmental awareness. Environmental assessment is the framework used for assessing environmental consequences, whether positive or negative, of a policy, plan, programme, or project before the proposed action is implemented. “Environmental assessments are governed by rules of administrative procedure regarding public participation and documentation of decision-making and may be subject to judicial review. The purpose of environmental assessments is to ensure that decision-makers consider the environmental impacts when deciding whether or not to proceed with a project” (Fischer, 2016). In view of this, two major environmental assessment frameworks are usually employed. These are the Environmental Impact Assessment (EIA) and Strategic Environmental Assessment (SEA). EIA is employed when assessing projects whilst the application of SEA is on policies, plans and programmes. In the early 1990s, it was EIA of projects that was extensively used (Gachechildze, 2010). A number of factors accounted for the use of EIA. First of all, EIA was a tool important at that particular time to address environmental impacts of developmental projects (Petts, 1999). Secondly, EIA processes were more formalized and feasible and assessing the impacts of project development on the environment appeared to be easier than assessing goals, strategic objectives of policies, plans or programmes that are usually vague and, in some 1 University of Ghana http://ugspace.ug.edu.gh cases, may not fully be implemented. Thirdly, EIAs were set within legal frameworks that made it enforceable in the USA. Numerous lawsuits against governments were filed by environmental activists, who perceived the National Environmental Policy Act 1969 as a means of protecting the environment (Glasson et al., 2005). Consequently, the Federal Government of the United States of America began to examine the environmental consequences of very important federal actions as per the provisions of the National Environmental Policy Act (NEPA), 1969. The major federal actions included individual projects and other policies, plans, and programmes (PPPs) adopted by the Government. Therefore, “the process of assessing environmental impacts of strategic initiatives referred to as Strategic Environmental Assessment” (Wood & Djeddour, 1989) began from the mid to late 1980s. The SEA was widely recognized and accepted for its ability to address some of the limitations of EIA, particularly because it was capable of dealing with the cumulative impacts. “Strategic Environmental Assessment was also seen as a sustainability tool capable of ensuring the achievement of sustainable development in the early 1990s” (Sadler & Verheem, 1996; Stinchcombe & Gibson, 2001; Dalal-Clayton & Sadler, 2005). The concept and principles of SEA reached different countries, which resulted in its rapid evolution and a myriad of literature on its theoretical foundations and practice became available (Dalal-Clayton & Sadler, 1998). The broad motivations of Strategic Environmental Assessment (SEA) have allowed its Patrons to differently interpret its roles and objectives leading to a diversification of SEA theory and practice. SEA objectives have evolved from more straightforward ones, for 2 University of Ghana http://ugspace.ug.edu.gh instance, “evaluating the environmental impacts of policies, plans, and programmes (PPP) and its alternatives” (Therivel et al., 1992), to more complex ones, for instance, “provide guidance for decision-making towards the achievement of sustainable development” (Noble, 2002). Generally, the aims and objectives of SEA are to influence higher tier decision-making and PPP formulation by taking into account alternatives; guide decision-making towards sustainability; create new knowledge and a learning process; and increase participation of a wider range of actors in the formulation of policies, plans, and programmes and strategic decision-making (Therivel, 2004; Partidario, 2000; Noble, 2002). The outcomes of SEA of policies, plans and programmes may include the development of appropriate policy recommendations that will ensure sound and sustainable environmental management and governance practices that lead to sustainable development; and ensure that the objectives of the respective strategic document is consistent and compatible with other policy objectives and actions within and across sectors. SEAs identify the critical environmental issues that could emanate from the implementation of the PPP and examine their possible effects on the environment. This usually involves the identification and evaluation of environmental risks and opportunities associated with proposed policies, plans or programme strategies and actions. Thus, the purpose of any SEA among others is to adequately mainstream environmental sustainability into policies, plans and programmes. 3 University of Ghana http://ugspace.ug.edu.gh 1.1.1 SEA Practice in Sub-Saharan Africa Strategic Environment Assessment has been widely employed in Sub-Saharan Africa to mainstream environmental sustainability practices into policies, plans, and programmes. In 2006, Namibia applied SEA to a programme funded by the Millennium Challenge Corporation. The programme had, as its principal objective, “poverty reduction and the acceleration of economic growth by targeting investments in the education, agriculture and tourism sectors” (OECD, 2012a). According to OECD (2012a), “the principal objective of the SEA process is to consolidate a list of assessment topics and evaluate existing baseline data and potential environmental impacts relevant to the planned activities. The SEA should also identify gaps in baseline data collection and assessments to date, using professional judgment and meaningful public consultation”. An SEA framework thus identifies risks and provides recommendations for its mitigation thereof. In 2007, Mauritius conducted an “SEA of its Multi-Annual Adaptation Strategy for the sugar cane sector in order to ensure environmental sustainability” (Palerm et al., 2012). “The SEA pointed to the fact that the strategy will make a positive contribution to the environment and went further to identify some associated risks. It provided critical information for policy makers and development partners to minimize environmental risks in the implementation of the strategy”. SEA was used to “mainstream environmental issues into the Poverty Reduction Strategy Plan of the Republic of Benin in 2007” (Dagba et al., 2012). The SEA emphasized the need to incorporate environmental issues in both sectoral and crosscutting areas in its second 4 University of Ghana http://ugspace.ug.edu.gh Poverty Reduction Strategy Plan ensuring that sustainability considerations were adequately mainstreamed. In Sierra Leone, Strategic Environmental and Social Assessment (SESA) was used to mainstream environmental sustainability issues into the mining sector. The study took place between the years 2006 and 2007. The SESA “created a platform for dialogue, which included stakeholders from the mining industry and other non-state actors. Based on the results, it was important that Sierra Leone strengthen its governance structure and build capacity to address mining sector issues” (World Bank, 2008). 1.1.2 SEA and Sustainability Mainstreaming in Ghana Ghana, over the years, has been a model for SEA practice in Sub-Saharan Africa. It has adopted SEA as a tool for mainstreaming sustainability issues into PPPs in different sectors of the economy including its growing oil and gas sector. SEA was first employed to integrate environmental concerns into the Ghana Poverty Reduction Strategy (GPRS) I, which led to the Growth and Poverty Reduction Strategy (GPRS) II (OECD, 2012a). The ability of the SEA to enhance issues related to sustainable development in the GPRS I made it an attractive tool for assessing the environmental consequences of PPPs. The use of SEA as a tool for ensuring environmental sustainability in Ghana attracted the support of development partners (OECD, 2012a). In all, about twenty-one (21) SEAs were carried out in Ghana from the year 2004 to 2012. Table 1.1 shows the list of the sectors that successfully carried out SEA and which development partner provided financial support. 5 University of Ghana http://ugspace.ug.edu.gh Table 1.1: Strategic Environmental Assessment Practice in Ghana Title of Policy, Plan, No. Subject Area Year Agents/ Donors Programme, Project Districts with Drylands 1. Agriculture 2006 UNDP Programme in Ghana Ghana’s Country 2. Development Programme Agriculture 2007 CIDA /Framework Water and Sanitation Water/Sanitati 3. 2009 CIDA Programme on Ghana’s Urban Development 4. Urban Growth 2013 WB and Growth Policy 5. Ghana’s Agriculture Policy Agriculture 2012 GIZ Transport Integration Plan for 6. Transport In progress EU Ghana Pilot on Ghana’s District 7. Planning 2008 EPA, TCPD, NDPC Development Plan 8. SEA in the Mining Sector Mining 2008 EU 9. National Energy Policy Energy 2008 UNDP Ghana’s Wetlands 10. Wetlands 2008 EPA/GEASP Conservation Strategy Millennium Development 11. Agriculture 2008 US/MCC Challenge Tourism Policy Strategy and 12. Tourism 2008 GEASP Action Plan for Ghana Food and Agricultural 13. Agriculture 2007 CIDA Development Support 14. Tema Port Master Plan Ports 2006 GPHA Transport Sector Development 15. Transport 2006 MoT Plan for Ghana National 16. GPRS II 2005 WB/DFID/UNDP Policy National Transport Plan for 17. Transport 2005 DANIDA Ghana National Water Basins and 18. Water 2005 DANIDA Water Policy for Ghana SEA on Health and Health/Sanitati 19. 2005 DANIDA RNE Environmental Sanitation on 20. Mining Sector EIA Mining 2005 EU 21. Shelter Policy Shelter 2010 GoG Source: OECD, 2012a 6 University of Ghana http://ugspace.ug.edu.gh 1.1.3 SEA Practice in Ghana Ghana’s Environmental Assessment (EA) system is based on the fundamental principle of the ‘preventive approach’, whereby EA is used as a tool to proactively reduce the impacts of proposed undertakings on the environment. The broad objectives of the Ghana EA system are elaborated in the Ghana National Environmental Action Plan (NEAP). Two of these objectives are to:  “Integrate environmental management and economic decisions at the earliest stages of planning an undertaking, programme or investment”; and  “Provide avenues for the involvement of stakeholders; public, proponents, civil society, private sector and government agencies in the process”. All project proposals developed were to be endorsed by the then Environmental Protection Council (EPC), according to a government directive published in 1989. The establishment of an effective EIA system received formal support when the EPA Act, Act 490 was passed in December 1994. The practice of EIA was further enhanced with the passage of the Environmental Assessment Regulations, 1999 (LI 1652), which incorporated the relevant guidelines and schedules for the effective conduct and administration of EIA. Currently, EIA and SEA are predominant among the family of tools utilized in the conduct of EA in Ghana. 7 University of Ghana http://ugspace.ug.edu.gh Other forms of environmental assessment such as Environmental and Social Impact Assessment (ESIA) and Environmental and Social Management Framework (ESMF) are also utilized. Environmental assessment development in Ghana has been bolstered by international organizations such as the UK Department for International Development, the European Union, and World Bank, among others. Three of the projects that have contributed significantly to the development of EA in Ghana are:  Environmental Assessment Capacity Development Project of Ghana (GEACaP 1999-2001)  Environmental Assessment Support Project of Ghana (GEASP 2006-2008)  Natural Resources and Environmental Governance (NREG), 2009-2015 Programme These projects enhanced the evolution of the EA system in Ghana significantly through capacity building among the key stakeholders, the development of guidelines and putting in measures to strengthen the EA administrative processes. Since 2009, the Natural Resource and Environmental Governance (NREG) programme has been the main source of support for progress in the development of SEA. In the mid-90s, quite a number of EIAs were done for proposed projects in different sectors. The Ghana Environmental Sector Study (GESS) concluded that the number of proposed projects subjected to EIA increased over the years and the expertise gradually improved (EPA, 2016). 1.1.4 SEA Legislation SEA implementation as a whole, whether at the sector or the district level, has been covered so far by the existing EA legislation. 8 University of Ghana http://ugspace.ug.edu.gh The Environmental Assessment Regulations 1999 and its Legislative Instrument (LI) 1652) refer to "undertakings" instead of policies, plans, programmes or projects. Specifically, the definition of "undertaking" in the LI as quoted directly below refers to plans and programmes. LI 1652 defines "Undertaking" “as any enterprise, activity scheme of development, construction, project, structure, building, work, investment, plan, programme and any modification, extension, abandonment, demolition, rehabilitation or decommissioning of such undertaking, the implementation of which may have a significant impact.” This would suggest that a gap exists for dealing with “policies” as a category. However, a closer examination of the whole Legislative Instrument seems to point more to meeting the requirements of an EIA. Consequently, SEA implementation has developed along the lines of EIA. A significant milestone in the evolution of SEA in Ghana is the enactment of the National Development Planning System Regulation, 2016 (LI 2232), which states categorically in Section 29 (5) under the preparation, collation and integration of district development plan that “the district planning coordination unit shall integrate strategic environmental considerations into a district development plan”. This marks a major transformation in the history of the evolution of SEA in Ghana. This is because, for the first time in the country, SEA is backed by planning regulations. The mandate of the NDPC as per Section 2 of the National Development Planning Act, 1994 (Act 479) include:  “Make proposals for the protection of the natural and physical environment with a view to ensuring that development strategies and programmes are in conformity 9 University of Ghana http://ugspace.ug.edu.gh with sound environmental principles”; and  “Monitor, evaluate and co-ordinate development policies, programmes and projects”. These clearly empower the NDPC to ensure mainstreaming of environment in national development planning. The National Development Planning (System) Act, 1994 (Act 480) Section 1(3)(4), 2 to 11 requires the NDPC to periodically issue guidelines and legislative instruments to regulate planning at the local and national level. A review of SEAs carried out in Ghana identified two broad categories of SEA, namely first-generation SEAs and second-generation SEAs. 1.1.4.1 First Generation SEAs First generation SEAs were mainly carried out for development programmes co-funded by donors. The common feature of first generation SEAs is the fact that, apart from the multiple infrastructure developments and interventions proposed under each ‘project’, specific sites for the implementation of interventions were not yet known and therefore EIA could not be applied (EPA, 2016). For instance, in the case of Tema Export Processing Zone, while the location of the two thousand (2000) hectares was known, the range of possible industrial developments was not known and thus the need for the application of SEA. It was a relatively complex (integrated), multi-sectoral programme for which an outright EIA would have been a challenge. 10 University of Ghana http://ugspace.ug.edu.gh The conduct of these first-generation SEAs was initiated based on the donor conditions relating to environmental compliance, and Ghana’s EA requirements. In the absence of a formal SEA procedure, first generation SEAs relied on the EIA procedures and methodologies in the conduct of the assessments and reporting. The review and interviews indicated a lack of adequate capacity within the relevant institutions to make the recommendations of the SEAs actionable. In addition, the lack of emphasis on capacity building within these SEAs did not enhance the objectives of SEAs. 1.1.4.2 Second Generation SEAs The SEA of the GPRS I initiated in 2002 built national capacity at various levels. The assessment was carried out within a collaborative structure involving the EPA, the NDPC, the Netherlands Commission for Environmental Assessment (NCEA) and local and international consultants. One characteristic of these SEAs was its coverage of all the then one hundred and seventy (170) District Assemblies who all received training on the use of SEA tools (EPA, 2016). With the second generations SEAs, the process went further to involve all relevant stakeholders, as compared to the first-generation SEAs, which placed emphasis on the ‘technical’ analyses and reporting its results without ensuring that stakeholders understood the definitions, concepts and main objectives of carrying out SEAs. A strong point of the SEA of the GPRS I was awareness creation on environmental mainstreaming. The work at district and sector levels resulted in changes in existing plans making them more sustainable. This SEA created specific SEA tools, including the 11 University of Ghana http://ugspace.ug.edu.gh poverty-environment compound matrix (refer to Annex 14), the internally consistent matrix (refer to Annex 13) and the sustainability test (refer to Annex 12). The two (2) main accomplishments of the SEA of GPRS were:  The recognition of the high economic costs of environmental degradation;  The requirement to subject all public-sector policies to SEA; and  The requirement to subject all District Medium Term Development Plans to SEA. Subsequent to the lessons learned and experiences gained from the conduct of the SEA of the GPRS, the practice of SEA in Ghana has been promoted and supported jointly by the EPA and the NDPC as a means of mainstreaming environment into policies, plans and programmes with the ultimate goal of achieving sustainable development for Ghana through its development planning process. The conduct of the SEA of the GPRS can be described as the catapulting point of Ghana’s SEA evolution. Following from the successful collaboration with EPA in the SEA of the GPRS processes, NDPC has used its legal mandate per its Legislative Instrument to incorporate SEA requirements into both the District and Sector Planning Guidelines. To this end, NDPC has supported EPA in extensive capacity building in SEA at the district level. This process has achieved significant success and SEA is routinely carried out as part of the process of producing the Medium-Term District Development Plans (EPA, 2016). At the sector level, the lack of adequate engagement with the planning units has constrained the consistent application of SEA in sector plans. SEAs are carried out on a demand driven 12 University of Ghana http://ugspace.ug.edu.gh basis notwithstanding the fact that strategic sectors such as Water and Environmental Sanitation (WES), Energy, Petroleum, Transport, and Tourism. have undertaken sector SEAs, the findings from which are integrated in their respective sector plans. This further underscore the need to work towards SEA legislation, which should then cater for the policy level i.e. the sector level SEA. 1.1.5 The Ghana SEA Approach The Ghana SEA approach is characterized by a certain sequence of steps and a set of SEA tools. This approach was initiated by the experience of using SEA for the GPRS, which set a benchmark for subsequent SEAs conducted under the guidance of EPA and NDPC at sectoral and district levels. A major development in the Ghana SEA approach has been the move to expand the usual three pillars of sustainability as set out by the Brundtland Commission’s Agenda 21 Report (United Nations, 1987). The concept of the four pillars is depicted by a simple Venn diagram as shown in Figure 1.1. The Black Rings represents the th Institutions (4 Pillar) Source: EPA, 2004 Figure 1.1: The Ghana Sustainability Concept as used in Ghana’s SEA Approach 13 University of Ghana http://ugspace.ug.edu.gh The three circles depict, first of all, the natural resources pillar, secondly the, socio-cultural pillar, which has been expanded to incorporate the cultural dimensions which “includes all human aspects of the social questions that affect the individuals and the communities, together as well as the cultural aspects. It also takes into consideration the conservation of the tangible and intangible cultural heritage, health, education, ways of life and customs, human identity and development” (Gutiérrez, 2015a). Thirdly, there is an economic pillar; and fourthly, the institutional pillar, which is the additional pillar. The institutional covers issues of governance, legal frameworks, transparency, participation and the institutions that run these three pillars. These are depicted by the black rings. Thus, in Ghana the term “Environment” is used to describe the natural resources, socio-cultural conditions, economic conditions, and the institutional arrangements that govern them. This is what sustainability means in the context of Ghana and its SEA approach. This approach has been widely accepted in international circles and has assisted to address the challenges faced by many developing countries in addressing constraints faced in the development and implementation of PPPs. 1.1.6 Conduct of SEA in Ghana Strategic environmental assessment is applied to PPPs at both the sector and district levels. However, the process differs as shown in Figures 1.2 and 1.3. 14 University of Ghana http://ugspace.ug.edu.gh 1.1.6.1 District Level SEA Process All MMDAs are required by NDPC to mainstream environmental considerations into their District Medium Term Development Plans using Strategic Environmental Assessment (SEA). Figure 1.2 llustrates the SEA process at the district level. National SEA Core Team Application & Carry out capacity building for use of SEA Tools district officers NDPC District planning guidelines Draft Develop district plans by district plan/SEA incorporating SEA report SEA Core Team reviews the draft district plan Provide feedback to the districts Districts finalize the district medium term development plan Monitoring & Evaluation Figure. 1.2: District Level SEA Process 15 University of Ghana http://ugspace.ug.edu.gh A crucial part of the SEA process is capacity building in the use and application of SEA for officers of the District Assemblies. The target group are the core District Planning Coordinating Unit members who are the District Directors of Health, Education, Agriculture and the physical planning officers. They form the District SEA Team. Capacity building, is also given to the District Chief Executives (DCE), District Coordinating Directors and Budget Officers for smooth implementation of the SEA at the district level. A hands on approach is used at the capacity building training sessions. SEA Focal Points at the Regional and District Offices of the Environemtal Protection Agency work with the Assemblies in preparation of their plans. The preparation of the Medium Term Plans is done by core District Planning Unit members who constitute the district SEA teams within each MMDAs. The plans are then submitted to the EPA/NDPC for review and approval. The implementation of the plans is monitored and evaluated at various stages using tools such as the Akoben Environmental Performance Rating and Disclosure System for MMDAs, among others. 1.1.6.2 Sector Level SEA Process Sector level SEAs follow a similar but differentiated approach from district level SEAs as indicated in Figure 1.3. The process is coordinated by the National SEA Core Team in collaboration with the Policy, Plan, Programme (PPP)/Sector specific SEA Team. Capacity building is a key element at this level too. Stakeholder and institutional analyses are carried out to identify the relevant stakeholders i.e. primary, secondary and tertiary, as well as institutional mandates with respect to the PPP/sector. 16 University of Ghana http://ugspace.ug.edu.gh Stakeholder and community consultations are held to assist in the identification and development of an issue-register, and the subsequent preparation of a scoping report. This leads to the assessment phase where the SEA tools are applied to the PPP to ascertain its linkages with other sector related PPPs, the internal consistency of its objectives, associated risks and opportunities, among others. Finally, a detailed SEA report organized into an exective summary, process and content is prepared for publicly accountable decision- making. In Ghana, SEAs, whether conducted at the district or sector level have two (2) main dimensions i.e. the process and content dimensions. The process dimension of SEA encapsulates the various participatory fora, which involves relevant stakeholders, raising of awareness, building capacity and ensuring transparency. This dimension of the Ghana SEA seeks to foster and ensure stakeholders understand and own the SEA process at various levels. The content dimension, on the other hand, deals with the rationale and objective of assessing the environmental implications of the proposed interventions. This usually involves the refinement of the policy structure, consideration of sustainable alternatives or options, and examining the existing institutional arrangements for the effective implementation of the PPP and outlining recommendations to guide transparent decision- making. 17 University of Ghana http://ugspace.ug.edu.gh National SEA Core Team Bring in coopted experts Establish the PPP/Sector Specific SEA Team SEA Core Team Capacity Building for the SEA Team Carry out Stakeholder Analysis Carry out Institutional Analysis Develop a Consultation Plan Conduct Stakeholder USE of Workshops SEA Tools Develop an Issues Register Prepare a Scoping Report Scoping Report Recommen dations and Carry out Assessments Advisory Notes 1. Executive Summary Prepare SEA Reports 2. SEA Process Report High Level 3. SEA Content Meeting Conduct Dissemination Report Key Workshops Stakeholder meeting Monitoring & Evaluation Figure 1.3: Sector Level SEA Process 18 University of Ghana http://ugspace.ug.edu.gh 1.1.7 Ghana SEA Guidelines Ghana has SEA guidelines as outlined in the document “Review of SEA Practice in Ghana”, (EPA, 2009). These guidelines outline the processes and procedures for the conduct of SEA in Ghana. Box 1 below details these steps: Box 1: Basic Steps for the Conduct of SEA in Ghana Step 1: Preparation/ Screening. Understanding the context, writing the ToR, describing the PPP Step 2: Scoping. Determining objectives and targets, scope of the SEA (content, timescale, key issues) Step 3: Defining baseline conditions. Existing environmental conditions against which impacts can be measured using quantitative and qualitative data. Step 4: Evaluating the existing PPP Step 5: Predicting effects of the PPP Step 6: Developing environmental indicators Step 7: Considering alternatives. Alternatives are to achieve the same objectives as the PPPs Step 8: Scope for mitigation. Recommendations are made for new or refined PPPs. Step 9: Report writing Step 10: Monitoring and evaluation. Learning and Communication Source: EPA, 2009 1.1.8 Application and Use of SEA Tools The Ghana SEA uses simple and user-friendly tools for the assessment of PPPs. These tools are usually in the form of matrices and include sustainability, the internal consistency, compound, and the opportunities and risks matrices. The use and application of these tools are done by stakeholders in a series of engagements and consultative workshops that take place as part of the SEA process. 19 University of Ghana http://ugspace.ug.edu.gh 1.1.8.1 Sustainability Test Matrix The sustainability test is subjected to each activity in the policy, plan or programme (PPP) to test the effect (work against, supportive or neutral) of the activity on pillars of sustainability (natural resources, socio-cultural, economic and institutions). It provides a simple technique that can be used by all stakeholders without the need for specialist knowledge to analyse activities. 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. It is different from an impact assessment matrix in that it gives equal weight to social/cultural, economic and natural resource issues. There are three (3) basic steps to follow when using the sustainability test matrix:  Describe the classification and provide enough information to allow an informed judgement to be made about the likely effects of the activity on each of the sustainability criteria (for example: area affected, number of jobs created, value of future production etc.);  Assess the performance of the activity in relation to each criterion, and score that performance using a scale of ‘(0)1 -5’ as set out below; and  Summarise the findings in a report to decision-makers. The criteria listed in the first column of the matrix 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, among others. 20 University of Ghana http://ugspace.ug.edu.gh For each criterion and indicator, a scale of 0-5 with an appropriate colour code is used to reflect the extent to which the activity supports, is neutral to, or works against the sustainability aim. A sample of the sustainability test matrix is attached in Annex 12. 1.1.8.2 Compound Matrix The compound matrix is used principally at national level to evaluate individual policies, plans and programmes (PPPs) against a range of criteria. These criteria may relate to livelihood, health, vulnerability and institutional constraints, among others. Each individual PPP is assessed in turn, using one matrix and one record sheet per PPP. The description of the PPP is entered in the space provided at the head of the matrix. The way in which the PPP will interact with each criterion in the matrix is discussed by the review group and a view is taken as to whether or not the PPP is likely to alleviate the conditions of poverty, result in negative effects or be largely neutral. A sample of the compound matrix is attached in Annex 14. 1.1.8.3 Internal Consistency The internal consistency matrix is used to compare the way in which different PPPs interact with each other. Sometimes PPPs are mutually supportive but may work against each other at times. The aim of the internal consistency matrix is to determine the degree to which policies support or work against each other – in other words, how compatible they are. A sample matrix is attached in Annex 13. 21 University of Ghana http://ugspace.ug.edu.gh 1.1.8.4 Opportunities and Risk Matrix The risks and opportunities are defined in terms of the four (4) main areas of sustainability: opportunities and risks to natural resources; opportunities and risks to socio-cultural conditions; opportunities and risks to economic issues; and opportunities and risks to institutional issues. A sample matrix is attached in Annex 15. 1.2 Problem Statement The SEA framework has been incorporated in the developing planning process of the various Ministries, Departments and Agencies (MDAs) and MMDAs in Ghana since 2002. From Table 1.1, the application of SEA to various policies, plans and programmes signals that environmental concerns and the issue of environmental mainstreaming are leading to sustainable development. Ghana’s development agenda is of much concern to the Ghanaian policy maker. Nonetheless, there has not been any empirical study on the SEA framework as a tool for environmental mainstreaming to ascertain its impact on development at the Municipal, Metropolitan and District Assemblies (MMDA) level. This thesis thus fills the existing gap created from the absence of a study on the impact of the use of SEA in Ghana. 1.3 Research Questions  What has been the impact of using SEA as a sustainability mainstreaming tool in development planning in Ghana?  What are the existing sustainability mainstreaming gaps  What is the level of understanding in the use and application of SEA, and the perception of using SEA as a sustainability mainstreaming tool at the MMDA level in Ghana? 22 University of Ghana http://ugspace.ug.edu.gh 1.4 Objectives of the Study The objective of the study was to evaluate the impact of SEA on the development planning process in Ghana. 1.4.1 Specific Objectives The specific objectives are:  Evaluate the impact of SEA on various sustainable policy-making dimensions. This will involve evaluating the impact of SEA on the MMDAs’ natural environment, the local economy, socio-cultural wellbeing, and institutional arrangements.  Perform a quasi-experiment of the impact of SEA in the development planning process of Ghana. This will entail estimating the Average Treatment Effect of SEA, estimating the Average Treatment of the Treated (SEA using MMDAs i.e. old districts), and estimating the Average Treatment of the Untreated (Non-SEA using MMDAs i.e. new districts).  Investigate the perception, sustainability mainstreaming gaps, and understanding of SEA among the policy-making institutions in Ghana. This will describe the perception and sustainability mainstreaming gaps of MMDAs using SEA and examine the level of understanding of MMDAs in SEA. 1.5 Relevance of the Study The study is relevant in many respects. Firstly, the findings will inform government and environmental policy makers on the performance of the SEA framework since its implementation in terms of mainstreaming environmental concerns into development planning at the MMDA level in Ghana. 23 University of Ghana http://ugspace.ug.edu.gh Secondly, the findings will guide environmental policy makers, particularly the Environmental Protection Agency (EPA), the Ministry of Local Government, and Rural Development, and NDPC in the formulation of PPPs at the district level. Thirdly, the study will add to the knowledge stock of academia and researchers interested in environmental sustainability and SEA related issues. 1.6 Scope of the Study The study evaluates the impact of SEA on the development planning process in Ghana. Thus, modelling of EIA and SEA is not employed in the study. Data and information employed in the study are drawn from the two hundred and sixteen (216) MMDAs in the country. A list of all MMDAs as at the time of the study is attached in Annex 1. 1.6.1 Ashanti Region The Ashanti Region is located in the central part of the middle belt of Ghana with Kumasi as the Regional Capital. It is bounded in the north by the Brong Ahafo Region, Central Region in the south, in the east by the Eastern Region, and the Western Region in the south west. According to the Ghana Statistical Service (2015), the region’s population stood at 5,038,966 of which 2,570,644 were female and 2,468,322 male. The population of the region by District Assembly is attached as Annex 2. The region has thirty (30) District Assemblies. A map of the region showing the District Assemblies is shown in Figure 1.4. 24 University of Ghana http://ugspace.ug.edu.gh Figure 1.4: Map of District Assemblies in the Ashanti Region 25 University of Ghana http://ugspace.ug.edu.gh 1.6.2 Brong Ahafo Region This region is located in the southern part of Ghana. It is bordered in the north by the Northern Region, and in the south by the Ashanti Region. The regional capital is Sunyani. According to Ghana Statistical Service (2015), the region’s population stood at 2,479,918. 1,265,136 of which are females and 1,214,782 males. The population of the region by District Assembly is attached as Annex 3. The region has twenty-seven (27) District Assemblies. A map of the region showing the District Assemblies is shown in Figure 1.5. 1.6.3 Central Region The region covers an area of about 9,826 square kilometres. It is bordered in the west by the Ashanti Region, in the north by the Eastern Region, in the east by the Greater Accra Region and in the south by the Atlantic Ocean. The region has a coastline of about one hundred and sixty-eight (168) kilometres. The regional capital is Cape Coast. According to Ghana Statistical Service (2015), the region’s population stands at 2,314,608. 1,197,457 of which are female and a male population of 1,117,151. The population of the region by District Assembly is attached as Annex 4. The region has twenty (20) District Assemblies. A list of these District Assemblies is shown in Figure 1.6. 26 University of Ghana http://ugspace.ug.edu.gh Figure 1.5: Map of District Assemblies in the Brong Ahafo Region 27 University of Ghana http://ugspace.ug.edu.gh Figure 1.6: Map of District Assemblies in the Central Region 28 University of Ghana http://ugspace.ug.edu.gh 1.6.4 Eastern Region This region is bordered by four (4) regions namely; the Central, Brong Ahafo, Greater Accra and Volta Regions. The Eastern Region is also bounded in the east by the Volta Lake. The regional capital is Koforidua, and spans a land area of nineteen thousand, three hundred and twenty-three (19,323) square kilometres, which is about 8.1 per cent of the total land area of the country. According to Ghana Statistical Service (2015), the region’s population stands at 2,822,874. 1,440,100 of which are female and a male population of 1,382,774. The population of the region by District Assembly is attached as Annex 5. The region has twenty-six (26) District Assemblies. A map of the region showing the District Assemblies is shown in Figure 1.7. 1.6.5 Greater Accra Region The Greater Accra Region is bordered in the north by the Eastern Region, in the east by the Volta Region and the Volta Lake, in the west by the Central Region, in the south by the Atlantic Ocean or the Gulf of Guinea. The regional capital is Accra, which is also the national capital of Ghana. The Greater Accra Region spans an area of three thousand, two hundred and forty-five (3,245) square kilometres, which is about 1.4 per cent of the total land area of the country. According to Ghana Statistical Service (2015), the region’s population stands at 4,300,142. 2,193,680 of which are female and 2,106,462, male. The population of the region by District Assembly is attached as Annex 6. The region has sixteen (16) District Assemblies. A map of the region showing the District Assemblies is shown in Figure 1.8. 29 University of Ghana http://ugspace.ug.edu.gh Figure 1.7: Map of District Assemblies in the Eastern Region 30 University of Ghana http://ugspace.ug.edu.gh Figure 1.8: Map of District Assemblies in the Greater Accra Region 31 University of Ghana http://ugspace.ug.edu.gh 1.6.6 Northern Region The regional capital of the region is Tamale, and spans an area of seventy thousand, three hundred and eighty-three (70,383) square kilometres. The region has the largest land area in Ghana. It is bordered in the north by the Upper West and the Upper East Regions, to the south by the Brong Ahafo and the Volta Regions, as well as two (2) countries i.e. the Republic of Togo to the east, and Cote d’Ivoire to the west. According to Ghana Statistical Service (2015), the region’s population stands at 2,664,585. 1,359,343 of which are female and 1,305,242, male. The population of the region by District Assembly is attached as Annex 7. The region has twenty-six (26) District Assemblies. A map of the region showing the District Assemblies is shown in Figure 1.9. 1.6.7 Upper East Region The Upper East Regional capital is Bolgatanga and is located at the north-eastern part of the country. The region spans an area of eight thousand, eight hundred and forty-two (8,842) square kilometres, which is about 2.7 percent of the total land area of Ghana. It is bordered in the west by the Upper West Region, in the north by the Republic of Burkina Faso, in the east by the Republic of Togo, and in the south by the Northern Region. According to Ghana Statistical Service (2015), the region’s population stands at 1,108,042. 565,266 of which are female and a male population of 542,776. The population of the region by District Assembly is attached as Annex 8. The region has thirteen (13) District Assemblies. A map of the region showing the District Assemblies is shown in Figure 1.10. 32 University of Ghana http://ugspace.ug.edu.gh Figure 1.9: Map of District Assemblies in the Northern Region 33 University of Ghana http://ugspace.ug.edu.gh Figure 1.10: Map of District Assemblies in the Upper East Region 34 University of Ghana http://ugspace.ug.edu.gh 1.6.8 Upper West Region The Upper West Regional capital is Wa, and is located at the north-western part of the country. The region spans an area of eighteen thousand, four hundred and seventy-six (18,476) square kilometres, which is about 12.7 percent of the total land area of Ghana. It is bordered in the west and north by the Republic of Burkina Faso, in the east by the Upper East and Northern Regions, and in the south by the Northern Region. According to Ghana Statistical Service (2015), the region’s population stands at 738,692. 376,842 of which are female and a male population of 361,850. The population of the region by District Assembly is attached as Annex 9. The region has eleven (11) District Assemblies. A map of the region showing the District Assemblies is shown in Figure 1.11. 1.6.9 Volta Region The Volta Region is located at the eastern part of Ghana, and spans an area of twenty thousand five hundred and seventy (20,570) square kilometres. It is bordered in the west by Brong Ahafo Region, Eastern Region, and the Volta Lake, in the south by the Greater Accra Region, in the north by the Northern Region, and in the east by the Republic of Togo. According to Ghana Statistical Service (2015), the region’s population stands at 2,268,857. 1,157,462 of which are female and a male population of 1,111,395. The population of the region by District Assembly is attached as Annex 10. The region has twenty-five (25) District Assemblies. A map of the region showing the District Assemblies is shown in Figure 1.12. 35 University of Ghana http://ugspace.ug.edu.gh Figure 1.11: Map of District Assemblies in the Upper West Region 36 University of Ghana http://ugspace.ug.edu.gh Figure 1.12: Map of District Assemblies in the Volta Region 37 University of Ghana http://ugspace.ug.edu.gh 1.6.10 Western Region The Western Region is located at the south-western part of Ghana. The region spans an area of twenty-three thousand, nine hundred and twenty-one (23,921) square kilometres. It is bordered in the west by La Cote d’ivoire, in the south by the Atlantic Ocean i.e. a coastline of about one hundred and ninety-two (192) kilometres, in the north by the Ashanti and Brong Ahafo Regions, and in the east by the Central Region. According to Ghana Statistical Service (2015), the region’s population stands at 2,690,957. 1,372,797 of which are female and a male population of 1,318,160. The population of the region by District Assembly is attached as Annex 11. The region has twenty-two (22) District Assemblies. A map of the region showing the District Assemblies is shown in Figure 1.13. 1.7 Organization of the Study The study has five (5) chapters. Chapter one provides the introduction and background to the study. It outlines the problem statement, the research questions, the objectives, relevance, scope and organization of the study. Chapter two presents a theoretical and empirical review of the literature. The general research methodology for the study is presented in chapter three. The fourth and fifth chapters present the analysis and discussion of results as well as the summary, conclusions, and policy recommendations, respectively. 38 University of Ghana http://ugspace.ug.edu.gh Figure 1.13: Map of District Assemblies in the Western Region 39 University of Ghana http://ugspace.ug.edu.gh CHAPTER TWO LITERATURE REVIEW 2.1 The Origin and Theories of Sustainability According to Hollander (2017), sustainability has long been conceptualized by Malthus (1766-1834) and Richardo (1772-1823). Issues of sustainability became important subsequent to the publishing of the World Conservation Strategy of IUCN (1980) and the report of WCED (1987), “Our Common Future”. “There are two broad approaches to sustainability; the economic and ecological approach” (Perman et al., 2003). Currently, there is no widely accepted definition for the concept of sustainability. Pezzey (1997) writes that “there is little point in expanding the collection of fifty sustainability definitions, which I made in 1989, to the five thousand definitions that one could readily find today”. According to him, while economists define sustainability to mean a state in which utility is “non-declining through time or one in which resources are managed to maintain production opportunities for the future generation”, ecologists however, view “sustainability from the point of an ecological system in which humans are just a part” (Costanza, 1991). Ecologists maintain that sustainability is a state where “all resource stocks exploited by the economy are harvested sustainably” (Perman et al., 2003). The locus that gives this sustainable harvest is often termed the ‘maximum sustainable yield’ (MSY). 40 University of Ghana http://ugspace.ug.edu.gh From the ecologist perspective, the maximum sustainable yield is zero for non-renewable resources. Thus, for production opportunities to be available for the future, all non- renewable resources must be exploited, and the proceeds invested in reproducible capital. 2.1.1 Economic Approach to Sustainability The economists’ attachment to economic growth is to ensure poverty reduction and, if possible, alleviate it (Perman et al., 2003). However, continued growth implies an extensive usage of resources. This has raised critical questions as to whether the global economic system can maintain growth without undermining the natural environment that is its ultimate foundation. The search for a comprehensive technique that alleviates poverty and ensures economic development in ways that do not affect the natural system has come to be known as the ‘sustainability problem’. Figure 2.1, as crafted by Perman et al. (2003) illuminates this problem and the extent to which economic activity depends on the natural environment. 41 University of Ghana http://ugspace.ug.edu.gh Source: Perman et al., 2003 Figure 2.1: Economic Activity in the Natural Environment The thick black boundary lines connote the natural environment that provides life-support services and other vital services that ensure the system functions properly. From the top of the figure, the natural environment receives a critical resource of solar radiation, and then uses part of the energy for its internal environmental processes and expels the excess back into space. 42 University of Ghana http://ugspace.ug.edu.gh The three boxes describing the energy behavior depict three functions the environment performs in connection with economic activity. It can be seen that economic activities such as production and consumption both draw from environmental services. It must be noted however that not everything that is produced is consumed but can be re-used at a later time. The theoretical starting point of the economics of sustainability dates back to Dasgupta & Heal (1974), Stiglitz (1974), and Solow (1974) on “The Optimal Depletion of Exhaustible Resources”, “Growth with Exhaustible Natural Resources: Efficient and Optimal Growth Paths”, and “Intergenerational Equity and Exhaustible Resources” respectively. Other studies include Riley (1980), and Becker (1982).and Dasgupta & Tapan (1983). These works followed the pioneering publication of Meadows (1972) on the limit of growth. Meadows (1972) envisaged an economic growth where non-renewable natural resources, and human-made capital, are important components in aggregate production. The study was based on “five key variables: world population, industrialization, pollution, food production, and resources depletion”. These variables were considered to grow exponentially, while the ability of technology to increase resources availability was linear. The authors developed three scenarios to find out whether or not there were sustainable feedbacks when the growth patterns of the variables are altered. “They noted that their projections for the values of the variables in each scenario were predictions “only in the most limited sense of the word” and were only indications of the system's behavioral tendencies. Two of the scenarios resulted in an “overshoot and collapse” of the global system by the mid part of the 21st century, while a third scenario resulted in a stabilized world”. 43 University of Ghana http://ugspace.ug.edu.gh The models of Stiglitz (1974), Dasgupta & Heal (1974), and Solow (1974) also note that natural resources are exhaustible, and play a crucial role in the production process, and as such they must not be ignored altogether, as it has been in the case in economic growth theory. The authors suggest that capital (human-made) is indefinitely substitutable for resources through a Cobb–Douglas production function. The following equation summarizes the main points of these authors:  max C (t ),R(t ) U[C(t)](t)dt 0 Eq.1 “where: U(C) C1 /(1 )   C  F(K , R,t)  KK R  KRet  KK R  R  SG(S) K(0)  K0  0 S(0)  S0  0 0 ,    1   0,  0 C,R,K,S  0 ” In Equation 1, “U denotes instantaneous utility; C denotes flow of consumption;  represents the utility discount factor; R represents the rate of resource depletion;  is a parameter that gives the curvature of the utility function; F denotes flow of output; K represents capital stock;  is the rate of capital depreciation;  denotes the per unit cost of resource extraction;  is the rate of exogenous technical progress; S is the resource stock; 44 University of Ghana http://ugspace.ug.edu.gh , , ,K ,S G(S) is renewable resource growth; and 0 0 are exogenous parameters of the model. The model holds that a representative agent’s objective is the maximization of the present value (PV) of instantaneous utility using a constant discount rate”. Dasgupta & Heal (1974; 1979), and Pezzey & Withagen (1998) showed “the constancy of the utility discount rate and proved it to be: (t)  e t where   0 denotes the rate of time preference. To fix ideas, a crucial stand is taken with regards to technical progress, depreciation, and extraction costs. The technical progress is assumed to be absent ( = 0) whilst the depreciation rate and extraction costs are also ignored ( = 0,  = 0). The resource is a fixed non-renewable stock (G(S) = 0 for all S)”. Dasgupta & Heal (1974) indicated that “the present value of the maximal outcome is not promising in the future. After an initial increase, consumption and utility eventually approach zero in the very long run. Nonetheless, this outcome cannot be attributed to the fact that sustained consumption and utility are technically not feasibly attributed to the consequence of a positive utility discount rate, coupled with the scarcity of the non- renewable resource. Consumption is concentrated in earlier years of relative resource plenty, and capital investment is not adequate to offset the effects of resource depletion on output under these conditions”. Stiglitz (1974) indicates that “one way to avoid this undesirable outcome is ongoing technical progress. The rate of exogenous technical progress should be large enough to offset the effects of resource depletion”. This means that the present value of optimal path can have sustained increases in per capita consumption, even with a growing population, which is absent in Dasgupta & Heal (1974). Stiglitz (1974) reports that “the Cobb–Douglas 45 University of Ghana http://ugspace.ug.edu.gh production function is not consistent with minimum energy and material requirements, which could also be the case for a sustained exponential rate of technical change”. According to Solow (1974), the answer to the problem faced by Dasgupta & Heal (1974) is that of a moral one. The pivot of Solow’s argument was on the condition that consumption is constant. Solow (1974) notes that, in the absence of technical progress with respect to the Cobb–Douglas production, constant consumption would be sustained although it may result in a declining flow of resources “by a suitable path of capital accumulation”. Solow refers to “ <, i.e. the resource flow accounts for less than half the value of production in order to achieve constant consumption, referring to the principle of maximizing the minimum realized consumption level by Rawl (1971)”. “This constant path is seen as the intertemporally efficient outcome of maximizing discounted utility in Eq. 1 above with a non-constant discount rate” (Takayama 1985). Solow’s (1974) study derived its inspiration from “Intergenerational Equity and the Investing of Rents from Exhaustible Resources” put forward by Hartwick (1977). Hartwick (1977), and later extensions (Hartwick 1978a, 1978b), show what has come to be known as Hartwick’s rule. The rule espoused that, “under many circumstances in an economy with depletable resources, the rent derived from resource depletion is exactly the level of capital investment that is always needed to achieve constant consumption over time. In the economy of Eq.1, this level is sales revenue (FRR) minus both the value of natural resource growth [FRG(S)] and the value of extraction costs ( R). For constant consumption to be feasible when the resource is non-renewable, some kind of unlimited capital resource substitutability is needed [as with the Cobb–Douglas production function in Eq.1]”. Hartwick’s (1977) rule, 46 University of Ghana http://ugspace.ug.edu.gh also known as the weak sustainability approach, indicates that capital investment minus resource rents is the net investment in all the economy’s productive stocks, the rule also indicates that, “Zero net investment forever results in constant consumption forever”. Hartwick’s (1977) investment rule implies that government must intervene in capital markets as suggested by Stiglitz (1974)). Similar to Hartwick’s (1997) rule, Solow (1986) showed that the rule is the same as maintaining aggregate wealth, which would be “[K + FRR in Eq.1] at a constant level over time”. This, however, does not apply to the economies assumed by Dasgupta & Heal (1974), and Solow (1974). Solow (1986) also assumed a constant interest rate. According to Dasgupta & Heal (1974) and Solow (1974), “there is a reduction in the interest rate which is caused by an increasing capital accumulation and resource depletion, which emphasizes the need for aggregate wealth to rise over time, in order for the product of the interest rate and aggregate wealth to maintain constant output and consumption”. Similar to Dasgupta & Heal (1974) and Solow (1974), is Asheim (1986). Theoretically, Asheim’s assertion assumes a “closed economy” with three main classes of people, namely: capitalists, owners of non-renewable resource, and workers. Asheim (1986) notes that “decentralizing Hartwick’s rule is impossible because owners of non-renewable resources use rising resource prices to make up for their diminishing stocks, achieving constant consumption and no investment although the price of capital i.e. interest rate would be falling”. Asheim (1986) argues that, “in order to maintain consumption, this class of people have to augment their capital stocks”. Consequently, capitalists do all the investing, although their resource consumption is zero, which implies that resource rents in the economy need to be 47 University of Ghana http://ugspace.ug.edu.gh invested in proportion to ownership of human-made capital, and not proportion to ownership of resource stock. As an extension to open economies, Asheim (1986) suggests that “economies which have abundant resources should invest less of their resource rents, and economies with limited resources invest more of their resource rents”. 2.1.2 The Ecological Approach to Sustainability The focus of the ecologists is premised on the properties of the biosphere, such as resilience, than on human standards of living (Daly, 1999). Ludwig et al. (1993) states that “sustainability is assessed in terms of the extent to which the prevailing structure and properties of the ecosystem can be maintained”. The ecologists maintain that “human interests are not paramount; they are identified with the continuing existence and functioning of the biosphere in a form more or less similar to that which exists at present”. Costanza (1991) thus notes that “sustainability is a relationship between human economic systems and a larger dynamic, but normally slower-changing ecological systems in which; (1) human life can continue indefinitely, (2) human individuals can flourish, and (3) human cultures can develop; but in which effects of human activities remain within bounds, so as not to destroy the diversity, complexity, and function of the ecological life support system”. Thus, the stand of ecologists on the concept of sustainability is that natural resources are necessary in the production process but must be extracted or harvested at sustainable levels. 48 University of Ghana http://ugspace.ug.edu.gh Perman et al. (2003) offer a remarkable analysis on the ecologist view on sustainability for renewable resources. They maintain that “given that renewable resources are biotic populations, if in any period the harvest of the resource is less than its natural growth rate, the stock size grows. If the harvest size is larger than the natural growth rate, the stock size declines; and will continue to fall to extinction. If the harvest is always the same as the natural growth, the resource can be used indefinitely”. This “harvest rate” is what is known as the ‘sustainable yield’ shown in Figure. 2.2. G(S) H*= G(S*) H2 H1 S S1 S* Smax Figure 2.2: Sustainable Harvest Source: Perman et al., 2003 Figure 2.2 describes the sustainable harvest, “where stock size, S, is measured along the horizontal axis and absolute growth, G(S), is measured on the vertical axis. The maximum amount of growth, G(S*), occurs when the stock size is S*, and the harvest, H*, that equate this amount of growth is the Maximum Sustainable Yield”. 49 University of Ghana http://ugspace.ug.edu.gh 2.1.3 Sustainability Measurement The emergence of the sustainable development concept shifted emphasis from assessing economic phenomena to that of sustainable development. The latter has to do with:  Whether or not resources should be used to maximize human welfare;  Preserving resources for future utilization; or  Maximizing the human welfare at the expense of others (UNECE, 2013). With regards to measuring sustainability, the literature presents diverse efforts of scholastic works (Atkinson & Dietz, 1993). Given the diverse views on the measurement of sustainability, researchers are converging on the use of indictors with the Bellagio principles summarizing the need for indictors and standard measurements (Principle 5). The Agenda 21 ‘action plan’, which sought to implement sustainable development at the lowest level of governance prioritizes monitoring and evaluation through the use of indicators for sustainable development (UN, 1993). See chapter 40 of Agenda 21. Gahin et al. (2003) notes that “indicators provide critical information about current trends and conditions and help to track progress towards achieving goals”. Crabtree & Bayfield (1998) hold a similar view. The authors maintain that “indicators quantify change, identify processes and provide a framework for setting targets and monitoring performance”. However, White et al. (2006) hold that indicators act as catalyst for change, providing an early warning system therefore enabling the policy-maker to act appropriately to changes: indicators, by themselves, do not accomplish the necessary change. 50 University of Ghana http://ugspace.ug.edu.gh 2.1.3.1 Sustainability Measurement Frameworks For the economic and ecological approaches, different indicators are key in measuring sustainability (Atkinson & Dietz, 1993). Proponents of the economic approach, under the Weak Sustainability (WS) paradigm, emphasize the “substitutability of produced and natural assets and hence are focused on aggregate measures such as: genuine savings (the net savings rate in an extended or green national accounting framework) or the net change in wealth per capita, and Green National Income or Green Net National Product”. The focus of the ecological approach under the Strong Sustainability (SS) paradigm is on the theoretical level, on measures such as the Sustainable Gap Approach, which is a measure of the carrying capacity, ecological footprint or environmental space, and measures of resilience (Atkinson & Dietz, 1993). Figure 2.3 illustrates various indicators adopted by the two paradigms. Although, ecologists do not favour the line of indicators used by the weak sustainability school, Atkinson & Dietz (1993) holds the view that very few of them actually argue that natural resources must be conserved. Pelenc & Ballet (2015) maintain that implementing strong sustainability requires a trans-disciplinary approach in order to identify and conserve critical natural capital. They further argue that the knowledge provided by natural science constitutes crucial contributions for identifying ecological thresholds and planetary boundaries but they are not sufficient on their own. This makes the use of weak sustainability indicators popular as they are enshrined in national accounting frameworks. 51 University of Ghana http://ugspace.ug.edu.gh Source: Atkinson & Dietz, 1993 Figure 2.3: A Typology of Sustainability 2.1.3.2 Economic Welfare Indicators The most conventional measure of economic welfare and development used by many countries is the Gross Domestic Product (GDP). It is an indicator that measures the total market value of goods and services produced over a one-year period. Similar indicators such as the Gross National Income (GNI), Gross National Products (GNP), among others are used as a measure of economic welfare. GNP is the aggregated measure of economic activity within and outside the country. 52 University of Ghana http://ugspace.ug.edu.gh Country by country comparisons on the basis of GDP, GNI or GNP indicate that economic growth is the primary objective of economic policy that seeks to enhance the welfare of citizens in a country. Simon Kuznets, the 1971 noble prize winner in economic sciences, is the pioneer of modern national income accounting systems. He was the first scholar who proposed that these accounting systems be used by United States of America. It is, however, worth noting that Kuznets himself considered GDP as an “approximate measure of the monetary flow of goods and services produced by a country within a stated period, and not an indicator of welfare and wellbeing” (Kuznets, 1934). Kuznets’s goal was to measure the levels of agricultural and industrial production and to find out the proportion of national income that is due to consumption and investment. He argues that “the welfare of a nation can scarcely be inferred from a measurement of national income”. This important assertion has, however, not been adequately internalized in the measurement of sustainable economic growth and development as policy-makers, governments, and economists still used the GDP as an indicator of welfare. Over time, the limitations and weaknesses of using the GDP as the foremost measure of welfare have been uncovered by different studies. These studies called for a theoretical paradigm shift in the measurement of welfare and the need to critically examine the assumptions that underpin the economic growth goal of development. Notable among these works include; “First Things First: Meeting Basic Human Needs in Developing Countries” (Streeten et al., 1981; Stewart, 1985), “Human Development Report: Concepts and Measurement of Human Development” (UNDP, 1990), and early 1960s work on social development indicators by the United Nations Research Institute for Social Development (UNRISD). 53 University of Ghana http://ugspace.ug.edu.gh Similar to this, Sen (1984; 1985) proposed the heterodox approach, the capability approach and the paradigm of economic development, all of which espouse that the aim of economic policy must transcend GDP. This will bring out the linkages that exist between the economy and other social development issues like inequality, poverty and unemployment (Meier & Seers, 1984). The Scandinavian school on the quality of life developed during the 1970s and 1980s has had a great bearing on the differing discussions on the real objectives of economic and social policies in various countries. These discussions on real objectives have brought about a systematic shift in the direction of non-economic aspects of life (Morris, 1976). The field of environmental economics assert the likely trade-offs between economic growth and the environment and the management of natural resources (Hamilton, 1994). Four (4) major limitations and weakness of the use of GDP as a measure of welfare were identified by Burchi & Gnesi (2013). Firstly, GDP uses a money metric to define the weights of goods and services. Secondly, it does not consider goods and services without direct market value such as domestic work, environmental services, and education. Thirdly, it is an aggregate measure that is obtained by using data on the production of goods and services. Therefore, it is not able to provide information on real life conditions of people. The last limitation is that GDP does not take into consideration issues of human, environmental, social, and institutional diversity. All these limitations and weaknesses, as explained by Burchi & Gnesi, (2013), coupled with the proposal of differing indicators for the measurement of welfare by various researchers and organizations, have led to the development of a series of well-being 54 University of Ghana http://ugspace.ug.edu.gh indicators that go beyond GD, which can be categorized into indicators that seek to adjust, integrate and replace GDP. 2.1.3.2.1 GDP Adjusted Indicators The works of Nordhaus & Tobin (1972) and Daly & Cobb (1989) on GDP adjusted indicators paved the way for a lot of other studies and discussions to correct the standard GDP to take into account the welfare of people. This body of literature has proposed different ways of measuring of “economic welfare”. In recent times, indicators such as the Index of Sustainable Economic Welfare (ISEW) and the Genuine Progress Indicator (GPI) have been proposed by Jackson et al. (2007), Jackson & Marks (2002) and Hamilton & Clemens (1999) respectively as advanced indicators for the measurement of welfare. Countries such as the U.S.A, Chile, and Thailand have computed the ISEW and, according to Jackson et al. (2007), a regional ISEW has been computed for all English-speaking regions. The two (2) indicators differ somewhat in methodology but both indices incorporate environmental and social benefits and make allowances for their costs thereof from GDP. The Index of Sustainable Economic Welfare (ISEW) is computed as a measure of the overall impact of economic activity on human welfare. This is calculated by adding public expenditures on education and health, the value of domestic labour and volunteering, and other important economic benefits to personal consumption expenditures after it has been corrected for income inequality. Defensive private expenditures, depreciation of natural capital and costs of environmental degradation are then deducted. 55 University of Ghana http://ugspace.ug.edu.gh This is mathematically expressed as: ISEW = PCE − II + VDL + DPuENon − DPrE ± CAdj − CoED − δNC “where: PCE = Private consumption expenditures II = Losses from income inequality VDL = Value of domestic labour DPuENon = Non-defensive public expenditures DPrE = Defensive private expenditures CAdj = Capital adjustments CoED = Cost of environmental degradation δNC = Depreciation of natural capital” Hamilton (1994) proposed another adjustment mechanism of GDP referred to as the Genuine Savings (GS) Indicator, which is also referred to as the Adjusted Net Savings. According to Hamilton & Hepburn (2014), “Genuine Savings is a measure of how a nation’s total capital stock changes year-on-year”. The concept is based on the idea of wealth accounting. “It strives to increase the rate of savings in an economy taking into account depletion of natural resource assets, investments in human capital, and environmental degradation”. According to Bolt et al. (2002), “Adjusted Net Savings (ANS) is a clear, and relatively simple indicator for assessing the sustainability of a country’s investment policies”. The ANS is a user-friendly indicator for national, and high-level decision-makers. 56 University of Ghana http://ugspace.ug.edu.gh In 1997, the World Bank published cross-country estimates of Genuine Savings (World Bank, 1997), and in 1999 began including it in the World Development Indicators (WDI). The Genuine Savings are estimated by adjusting Gross National Savings (GNS) for depreciation allowance for produced capital stocks and depletion allowances for natural capital such as timber, minerals, etc., and adding human capital investments. According to Bolt et al. (2002), this is expressed as: (GNS - Dh + CSE - ∑ Rn,i - CD) GS = GNI “where GS = Genuine Savings/Adjusted Net Savings (ANS) Dh = Depreciation of produced capital CSE = Current (non-fixed-capital) expenditure on education Rn,i = Rent from depletion of natural capitali CD = Damages from carbon dioxide emissions GNI = Gross National Income at market prices” 2.1.3.2.2 GDP Integrated Indicators GDP integrated indicators incorporate economic and social dimensions in the assessment of sustainable development. The Human Development Index (HDI), developed by the United Nations Development Programme (UNDP, 1990; 2010), is the predominant indicator in this group. “The HDI measures progress and achievement of key parameters of human development, which include long and healthy life, knowledge and decent standard of living”. 57 University of Ghana http://ugspace.ug.edu.gh The long and healthy life parameter is assessed by life expectancy at birth; the knowledge parameter considers education i.e. mean years of schooling for adults who are above age twenty (25); and expected years of schooling for children of school entering age. The decent standard of living looks at the Gross National Income per capita of a country. The HDI is then computed as the aggregated composite index using geometric mean of indices of the three parameters. 2.1.3.2.3 GDP Replacing Indicators Some indicators transcend GDP and bring to the fore differing levels of well-being. A lot of the indicators in this group are multidimensional and composite in nature. The Better Life Index (BLI) developed by the Organization for Economic Co-operation and Development (OECD) in its “How’s life?” initiative, is an example worth considering (Burchi & Gnesi, 2013). The initiative notes that “a better understanding of people’s well- being is central to developing better policies for better lives” (OECD, 2015). The BLI has been used to compare the quality of life in a number of countries. The index is computed based on eleven (11) essential parameters that cover broad areas of quality of life as well as material living conditions. They include housing, jobs, education, civic engagement, life satisfaction, work-life balance, income, community, environment, safety and health. The same weight is assigned to all the parameters and then normalized to compute the BLI. The BLI allows users to assess well-being based on their preferences and circumstance. For instance, an indicator of well-being for high income countries is the Canadian Index of Wellbeing (CIW). 58 University of Ghana http://ugspace.ug.edu.gh According to the Institute of Wellbeing (2011), the most recent version of the CIW builds on eight (8) dimensions, which include education, living standards, health, community vitality, time use, environment, leisure and culture, and democratic engagement. The first report of the CIW was released in 2011. The report showed a robust growth in the economy between 1994 and 2010 but that did not translate into comparable increases in the well- being of citizens. The report, coupled with GDP estimates, thus provided an in-depth understanding of the quality of life of the Canadian people. This is illustrated in Figure 2.4. Source: Michalos et al., 2011 Figure 2.4: Trends in the Canadian Index of Wellbeing and its Eight Domains, Compared with GDP (1994 to 2008) 59 University of Ghana http://ugspace.ug.edu.gh Another indicator in this group is the “Calvert-Henderson Quality of Life Indicator”, which is based on a systems approach, and allows users to assess comprehensively the quality of life of people. This indicator considers twelve (12) parameters that include environment, national security, recreation, shelter, public safety, energy, employment, income, education, infrastructure, human rights, and health (Henderson et al., 2000). A number of arguments and discussions have been advanced in the literature of sustainability on the broader subject of “happiness”. It has been argued that there is a direct correlation between happiness and quality of life. This means that people are generally happy if there are improvements in their standard of living, increased access and affordability of health care, high income streams, living in a secure and safe environment, among others. Based on this, Veenhoven (1996) proposed the Happy Life Expectancy Index (HLE). The Happy Life Expectancy Index (HLE) is premised on the idea that people generally want to live long. Therefore, the longer people live in a country inherently implies that the provisions and opportunities that are available to citizens of that country supports their needs, aspirations, capabilities and capacities at any point in time. The HLE is computed as a product of the life expectancy in years of a country and the average happiness, which is expressed on a zero (0) to one (1) range scale. Mathematically, it is expressed as: Happy Life Expectancy (HLE)= 𝐿𝐸𝑠× 𝐻𝐴𝑣 where LEs= Standard life expectancy measured in years HAv = Average Happiness; scale (0-1) 60 University of Ghana http://ugspace.ug.edu.gh For instance, if a county has a standard life expectancy of seventy-five (75) years, and an average happiness of 8, then the Happy Life Expectancy Index of that country is sixty (60) years (60 x 0.8). Generally, a country with a high HLE implies that the citizens of that country live long and happy lives, a low HLE means that citizens are unhappy and live short lives. A medium HLE however, could have some varying reasons that may need to be probed further. 2.2 Development Planning Development planning is defined by Shapiro (2001) as “the systematic process of establishing a need and then working out the best way to meet the need, within a strategic framework that enables identification of priorities and determination of operational principles”. Mitchell (2008) defines development planning as “a process that develops strategic actions in order to achieve desired objectives, to resolve problems, and to facilitate the strategic action”. Ghana has practiced its current decentralized development planning system since 1998. The objective of decentralization was to encourage an all-inclusive participation in the development planning process from the sub-national levels and to open up development at the grassroots. The NDPC and the Local Government Service are jointly mandated to manage the decentralized development planning system. Currently, Ghana has two hundred and sixteen (216) District Assemblies in Ghana. 61 University of Ghana http://ugspace.ug.edu.gh Ghana’s development planning system is decentralized. Planning is carried out at the national, sectoral, regional, district and sub-district/community levels with collaboration with other agencies, private sector, non-state actors and academia, which makes the planning process participatory. The laws that mandate institutions involved in the development planning processes in Ghana stipulates the adoption of a combined “top-down”, “bottom-up” approach to development planning. This ensures that development planning takes places at the district and sector levels based on the goals and guidelines provided by the NDPC, which is the apex coordinating body in charge of national development planning. The development policy goals are formulated through a national goal-setting exercise with the involvement of all relevant Ministries, Departments and Agencies of Government. Financial resource mobilization at the MMDA level is one of the major challenges that confront decentralization, although Section 240 (2)(c) of the Local Government Act makes provision for respective local government units to have a sound, reliable, adequate financial base and revenue sources. This situation hampers the activities of many District Assemblies. The District Assemblies Common Fund (DACF) is the major source of funding, with other forms of revenue coming from grants, land and property rates, royalties from the exploitation of some natural resources, among others. These other forms of revenue form part of the Assemblies’ Internally Generated Funds (IGF), which in most cases are used for management and operations. 62 University of Ghana http://ugspace.ug.edu.gh The DACF was set up by a constitutional provision (Article 252) as a means by which the central government, through the Ministry of Finance, cede financial resources to the various Metropolitan, Municipal and District Assemblies (MMDAs). Development in the mid-1950s was defined and measured mainly in economic terms. Various degrees of development or underdevelopment were measured in terms of national income. The common indicators of development were per capita income and the average annual growth rate of national income. In the words of Rogers (1969), “development is a kind of social change in which new ideas are introduced into special systems in order to produce higher per capita and levels of living through modern production methods and improved social organization”. In his definition, Myrdal (1973) noted that development is “the upward movement of the entire social system”. According to him, the social system comprises both economic and non-economic factors, which include education, health, water, employment, recreation as well as other economic and social needs. It can thus be deduced from the definitions of both Rogers (1969) and Myrdal (1973) that development is multifaceted in both concept and actuality. Development has, therefore, been treated as a multidimensional process, involving major changes in social structures, acceleration of economic growth, reduction of inequality, and eradication of absolute poverty (Todaro & Smith, 2012; Mohammed, 2010); and Nazneen (2004) expands the development debate. The authors hold that the “development process deals not only with the ideas of economic enhancement but also with greater human dignity, security, self- reliance, equity and justice”. 63 University of Ghana http://ugspace.ug.edu.gh Development in this study is concerned primarily with the improved quality of life that can be attained at all levels in the Ghanaian setting. 2.2.1 The Development Planning Process Planning is perceived as “the systematic process of establishing a need and the working out of the best way to meet that need, within a strategic framework that enables the identification of priorities and determination of operational principles” (Shapiro, 2001). Hall (1992) noted that “the basic concept of planning must be based on a systematic approach”. This view of planning suggests that there are various forms of planning and each of them constitutes a distinctive human activity. Hall (1992) observed that there is interaction between two (2) parallel systems, the planning system itself, and the system (or systems) that it seeks to control. Spatial planning which involves planning for an entire region in terms of transportation, the environment, and economic growth is a sub-category of planning. For the process of planning to be effective, monitoring and evaluation must play an integral role in the process. Monitoring and evaluation can be carried out at various stages in the planning process i.e. the policy setting, planning and development, project selection, or the project implementation stage. The planning process monitors the effects to find out if the controls have been effective or whether they need modifications. Based on this, Hall (1992) carried out a comparative analysis on the conceptualization of the planning process by McLoughlin (1967) shown in Figure 2.5 64 University of Ghana http://ugspace.ug.edu.gh Decision to adopt Planning Figure 2.5: McLoughlin Concept of Systems Planning The concept of systems planning begins with the decision to adopt planning, which is followed by the drawing up of goals and identification of objectives. This leads to an examination of the consequences of the possible courses of action by using models to simplify the operation of the system. Other alternatives are considered in relation to the objectives and resources availability. Finally, Azizu (2014) indicates that “planners take action to implement the preferred alternative, which is followed by a review of the state of the system and appropriate action taken to bring the system into conformity with the plan”. 65 University of Ghana http://ugspace.ug.edu.gh The distinction in Chadwick (1966)'s account is that “at each stage in the process, the planners have to interrelate their observations of the system with the development of the control measures they intend to apply to it. The immediate concern for this group is that the systems approach deviated from the traditional method of planning in both the process as well as the end product. Hall (1992) notes that “the traditional method, referred to as the “survey-analysis-plan” method employed basically uses the sieve-mapping approach to produce a single detailed blueprint of the desired future end state”. According to Hall (1992), “the systems approach lays emphasis on a continuous process, focusing on the goals of the plan and exploring alternative paths to the attainment of the objectives”. The emphasis was thus on formulating alternative courses of actions from which the consequences can be traced in order to choose the preferred course of action. In essence, there are four stages in planning:  Definition of goals and objectives;  Exploring alternatives to achieving the objectives;  Translating the policies into actions; and  Evaluating the effects of the said objectives on the development. 2.2.1.1 Decentralization and Participation Effective development planning involves decentralization. Decentralization has been said to mean different things to different people at different places. “Decentralization is usually referred to as the transfer of power from central government to lower levels in a political- administrative and territorial hierarchy” (Crook & Manor, 1998; Agrawal & Ribot, 1999). 66 University of Ghana http://ugspace.ug.edu.gh According to Smith (1985), “it is any act in which a central government formally cedes powers to actors and institutions at lower levels in a political-administrative and territorial hierarchy”. These definitions underscore the importance of local level involvement in decision-making to promote their development. “It provides further opportunities to be involved in various aspects of governmental planning process” (Oquaye, 1995). It is “the means to allow for the participation of people and local governments” (Morell, 2004). Egbenya (2009) identifies three (3) major forms of administrative decentralization as deconcentration, delegation, and devolution and explained them as: “while deconcentration is the redistribution of decision making authority and financial management responsibilities among different levels of the central government, delegation, is a more extensive form of decentralization in which the central government transfers the responsibility for decision- making and administration of public functions to semi-autonomous organizations not wholly controlled by the central government, but ultimately accountable to the government. Devolution is a situation in which the government transfers responsibilities for services to municipalities that elect their own mayors and councils, raise their own revenues and have independent authority to make investment decisions”. According to Work (2002), “decentralization attracted attention in the 1950s and 1960s when British and French colonial administrations prepared colonies for independence by devolving responsibilities for certain programmes to local authorities”. He continued, that in the 1980s, decentralization came to the forefront of the development agenda alongside the renewed global emphasis on governance and human-centered approaches to human development. “Today, both developed and developing countries are pursing decentralization policies” (Sana, 2011). 67 University of Ghana http://ugspace.ug.edu.gh The term participation became an “integral part of developmental process since 1970 during which same period, decentralization also gained much recognition from the developmentalists toward effective and efficient management of development activities. Decentralization and participation are like twin sisters; where participation was identified as one of the goals of development, decentralization was considered a means to achieve it or when decentralization was seen as a reform package, participation was regarded as one of its vital objectives” (Mohammad, 2010). Because of the paradigm shift in the concept of governance with its focus on “decentralization” and “participation”, the second half of the 20th century saw the rise of local government institutions in various parts of the world. 2.3 Environmental Impact Assessment (EIA) EIA is a tool usually used for decision making in project development to predict the environmental consequences of any development project (Issah, 2012). Environmental Impact Assessment ensures that potential environmental challenges are foreseen and addressed at the earliest phase of project development and planning. Some countries have adapted EIA as a tool as a result of strong advocacy from two very important conferences, namely: World Commission on Environment and Development, which led to the publication of the Brundtland report, 1987; and UN Conference on Environment and Development (1992). The tool was adopted by the international community as a key approach for safeguarding and protecting the environment in order to achieve sustainable development. 68 University of Ghana http://ugspace.ug.edu.gh “The Brundtland Commissions report brought EIA to the fore as an important tool for achieving of sustainable development” (Gilpin, 1995). However, it was during the UN Conference on Environment and Development (UNCED, 1992) that an explicit principle (17) on EIA was adopted. Furthermore, EIAs were considered in the light of preventing, minimizing or offsetting adverse effects on biophysical, social, governance and economic conditions (IAIA, 1996). 2.3.1 Evolution of Environmental Impact Assessment Environmental Impact Assessment mitigation measures were widely developed in the late 1960s when EIA got legal backing in the USA as per the National Environmental Policy Act (NEPA). The National Environmental Policy Act required EIA to be conducted for projects that were funded by the federal government that could pose a risk to the environment. Many countries then adopted EIA as a decision-making tool in developmental projects. “The tool was adopted in countries like Germany, France, Canada, and Australia” (Campion & Essel, 2013). In determining whether EIA systems are effective, Weston’s (1997) main point was that “comparing EIA systems in developed and developing countries will not be appropriate”. It might not be wise to compare systems operated in, say, Ghana with those of the UK and USA. The reason being that origins, legislation and operating environments conditions are different. The Commission of European Communities (1992) and Alo (1999) reported that “a practical and systematic examination of alternatives to the project in the assessment is central to any good EIA project”. Skeham (1993) and West et al. (1993) reported that “the use of experienced EIA experts is a fundamental requirement towards which EIA projects should evolve”. 69 University of Ghana http://ugspace.ug.edu.gh The authors observed a relationship between the quality of EIA and the experience of experts and planning authorities. Bulleid (1997) stated that “EIA systems should evolve through providing technical guidelines on environmental impact statements. This is a fundamental feature that leads to standardizing Environmental Impact Statements”. Lee- Wrights (1997) reported that using experts with multidisciplinary backgrounds is another important aspect of a good EIA system. She indicated that EIA is a multifaceted process and should not be undertaken by an individual. Alo (1999) reported that, for “any good EIA system, EIA assessors must possess substantial analytical and strategic thinking capabilities for fieldwork, laboratory testing, research, and data processing”. Andrews et al. (1977), Beanlands & Dunker (1982), Westman (1985) and Read (1997) consider that scoping mechanisms should be addressed at the earliest stage in the EIA process. The application of EIA in countries like the United Kingdom (UK) initially started with the oil and gas industries in the early 1970’s when there was the demand for land in environmentally sensitive areas. Clark (1981) reported that planning authorities lacked the requisite knowledge and capacity for the development projects’ appraisal. Partidário (2003) is of the view that “EIA as currently practiced, is unable to respond to the increasing complexities of the number of policies, plans, and projects. It is also unable to provide for global, sustainable and sound decision-making”. Therivel et al. (1992), Wood & Djeddour (1992) and Sadler & Verheem (1996) also argue that EIA is not effective in assessing developmental projects at the strategic level. 70 University of Ghana http://ugspace.ug.edu.gh 2.4 Strategic Environmental Assessment (SEA) Concepts, Definitions and Historical Developments Strategic Environmental Assessment (SEA) has become recognized as an Environmental Assessment (EA) tool that can facilitate effective and sustainable policy, planning and programme decisions. In many instances, SEA is seen as playing a significant role in enhancing the integration of environmental concerns in the policy formulation and planning processes to ensure sustainable development. It leads to a system of planning where environmental and sustainability criteria are integrated throughout the policy or planning processes as, for example, in the assessment of policy or programme alternatives. Strategic Environmental Assessment (SEA) defies easy definition (Dalal-Clayton & Sadler 2005). Only a few scholars in the field have ventured further to say that SEA is the environmental assessment of policies, plans and programmes (Partidário, 2003). Therivel et al. (1992) defined SEA as “the formalized, systematic and comprehensive process of evaluating the environmental impacts of a policy, plan or programme and its alternatives, including the preparation of a written report on the findings of that evaluation, and using the findings in publicly accountable decision-making”. This definition characterizes the periods where SEA was an extension of EIA. Sadler & Verheem (1996) defined SEA as a “systematic process for evaluating the environmental consequences of proposed policy, plan or programme initiatives in order to ensure they are fully included and appropriately addressed at the earliest appropriate stage of decision-making on par with economic and social considerations”. 71 University of Ghana http://ugspace.ug.edu.gh Partidário (1999) defined SEA as a “systematic, on-going process for evaluating, at the earliest appropriate stage of publicly accountable decision-making, the environmental quality, and consequences, of alternative visions and development intentions incorporated in policy, planning or programme initiatives, ensuring full integration of relevant biophysical, economic, social and political considerations”. The World Bank has referred to SEA as: “a participatory approach for upstreaming environmental and social issues to influence development planning, decision-making and implementation processes at a strategic level” (Mercier & Ahmed, 2004). Strategic environmental assessment considers definite institutional settings with the aim of capably adapting decision-making procedures and to ensure that it is not seen as a costly external instrument that makes difficult development actions. The fact that SEA "in strategic thinking is conceptualized with respect to its capacity to influence decisional contexts and the formulation of strategic initiatives, adjusting to the flow and dynamics of strategic decision-making, it is perceived as having the prospective to make constructive contribution to sustainability: both socioeconomic and environmental” (Noble, 2002). Strategic Environmental Assessment was raised worldwide to ensure that environmental issues are integrated into policies, plans and programmes (Rega & Bonifazi, 2014). According to Mukherjee & Rajvanshi (2016), it helps in bridging problem perceptions with technical solutions and steering the impact assessment to facilitate the integration of environmental values into decision-making processes, influencing decision-makers’ capacity of acceptance of any plan. 72 University of Ghana http://ugspace.ug.edu.gh Several other terms are used to refer to environmental assessment at the strategic level, including:  Policy environmental assessment’  Policy impact assessment;  Regional environmental assessment;  Sectoral environmental assessment; and  Programmatic environmental impact statement. The history of SEA is best understood when it is seen from the perspective of the development of EIA. Historically, the United States’ National Environmental Policy Act (NEPA) of 1969 served as the reference point for the initiation of Environmental Assessments (EA), which has led to the development of EIA, and later SEA. Section 102(2c) of the National Environmental Policy Act (1969) requires U.S. federal agencies to consider and assess all proposals for legislation and other major federal actions significantly affecting the quality of the human environment. Some of the significant milestones in the evolution and consolidation of EA (EIA/SEA) are presented below:  The National Environmental Policy Act (NEPA) passed by the U.S. Congress, mandating all federal agencies and departments to consider and assess the environmental effects of proposals for legislation and other major projects in 1969; 73 University of Ghana http://ugspace.ug.edu.gh  US Council for Environmental Quality (USCEQ) issued regulations for NEPA, which apply to USAID and specific requirements for programmatic assessments in 1978;  The World Bank adopted an internal directive (O.D. 4.00) on EIA, which allowed for the preparation of sectoral and regional assessments in 1989;  The United Nations Economic Commission for Europe (UNECE) Convention on EIA in a Transboundary Context promoted the application of EA for policies, plans and programmes in 1991;  The Organization for Economic Cooperation and Development’s (OECD) Development Assistance Committee (DAC) adopted principles calling for specific arrangements for analyzing and monitoring environmental impacts of programme assistance in 1991;  The UNDP introduced the environmental overview as a planning tool in 1995;  The Council of the European Union adopted a proposal for a Council Directive on the assessment of the effects of certain plans and programmes on the environment in 1997;  The UNECE issued a draft protocol on Strategic Environmental Assessment applying to policies, plans and programmes in 2001;  Council of the European Union adopted the Council Directive 2001/42/CE on 27 June on the assessment of the effects of certain plans and programmes on the environment in 2001;  World Summit on Sustainable Development (WSSD) Plan of Implementation called for a more integrated and strategic approach to implement sustainable development in 2002; 74 University of Ghana http://ugspace.ug.edu.gh  SEA Protocol to the Espoo Convention adopted by the 5th Ministerial Conference ‘Environment for Europe’, Kiev, May 2003; and  World Bank Board Development Lending Policy (OP/BP 8.60) required the Bank to determine if specific country policies supported by the lending are likely to have significant effects on the environment and natural resources of the client/borrower country in 2004. Judging from the above milestones, Dalal-Clayton & Sadler (2004) noted that the development and evolution of SEA may be divided into three main phases:  Phase 1: Formative stage (1970-1989). During this phase, legal and policy precedents for SEA were laid out but with limited application;  Phase 2: Formalization stage (1990-2001). During this phase, different forms of SEA were instituted by various countries and international agencies; and  Phase 3: Expansion stage (from 2001 onwards) This phase saw international legal and policy developments catalyze wider adoption and use of SEA worldwide, particularly in Europe. There are some differences between Strategic Environmental Assessment (SEA) and Environmental Impact Assessments (EIA). The main differences are outlined in Table 2.1. 75 University of Ghana http://ugspace.ug.edu.gh Table 2.1: Main Differences between SEA and EIA SEA EIA Construction / operation Nature of action Strategy, visions, concepts actions Critical decision moments (decision Products of decision processes Focus windows) along decision processes (final outcomes) Level of decision Policy, planning Project Relation to Evaluator, often Facilitator Decision administrative requirement Spatial balance of location, technologies, fiscal measures, Specific alternative locations, Alternatives economic, social or physical design, construction, operation strategies Macroscopic, mainly global, Scale of impacts Microscopic, mainly local national, regional Sustainability issues, Environmental with a economic and social issues may be sustainability focus, Scope of impacts more tangible than physical or physical or ecological issues, ecological issues and also social and economic Time scale Long to medium term Medium to short term State of the Environment Reports, Field work, sample analysis, Key data sources Local Agenda 21, statistical data, statistical data policy and planning instruments Mainly descriptive but mixed with Data Mainly quantifiable Quantifiable Rigor of analysis Less rigor/more uncertainty More rigor/less uncertainty (uncertainty) Assessment Sustainability benchmarks (criteria Legal restrictions and best benchmarks and objectives) practice Outputs Broad brush Detailed Public perception Vague / distant More reactive Other strategic actions or project Objective evidence / Post-evaluation planning construction and operation Source: Partidário (2001) 76 University of Ghana http://ugspace.ug.edu.gh 2.5 International Perspectives of SEA Practice The implementation of SEA on the broad international scene is driven on two fronts. On one hand is the adoption of the SEA Protocol to the UNECE Convention, which has driven widespread implementation in Europe; and, on the other hand, are the initiatives by development agencies, such as the World Bank, in making aid financing comply with the principles of SEA or SEA type assessments to ensure sustainable development. Since 1989, the World Bank, through a series of operational directives and bank policies (OP/BP) has worked effectively to ensure compliance with its environmental and social safeguards system. Since 2004, OP/BP 8.60 recognizes the need for upstream analysis of social and environmental conditions and risks and mentions SEA as one of the tools to be used to carry out such analysis (Wood, 2002; Dalal-Clayton & Sadler, 2005). With the coming into force of the EC Directive 2001/42/EC in July 2004, SEA implementation within Europe has expanded and this has wider implications for international application of SEA since it has the necessary legal backing. With the United Nations Economic Commission for Europe Protocol (UNECE) (2003) on SEA coming into force in 2010, the application of SEA globally has been strengthened making it a tool for ensuring environmental sustainability. SEA has gathered international recognition and has been institutionalized in entire regions (Posas, 2011; Sheate et al., 2004) and has been implemented by international organizations to make stronger development planning (Dalal-Clayton & Sadler, 2005). 77 University of Ghana http://ugspace.ug.edu.gh It is clear that SEA is undertaken, both formally and informally, in a lot of countries and international organizations (Sadler et al., 2011). The spread of SEA, according to Fundingsland, Tetlow & Hanusch (2012), accelerated rapidly from that point in time, partly due to three important triggers:  Donor agencies stimulating SEA practice in the development co-operation context;  Adoption and transposition of the European SEA Directive; and  Adoption and negotiation of the SEA Protocol to the Espoo Convention. Numerous activities of the UNDP, UNEP, World Bank and other bilateral and multilateral donor agencies led to strengthening the link between the concept of SEA and development co-operation and helped to establish SEA as a crucial tool for capacity building in developing countries as well as in countries of transition (Partidário, 2011). In Africa international development assistance agencies promoting SEA include:  The United Kingdom’s Department for International Development (DFID), now United Kingdom Agency for International Development (UKAID) partly supported SEA of GPRS in Ghana, SEA of Transport Policy in Tanzania and various initiatives in Uganda;  The Canadian International Development Agency (CIDA) developed SEA handbooks for Cabinet liaison staff, programme and project analysts, policy-makers and environmental specialists. CIDA has also promoted SEA in Ghana and other developing countries; 78 University of Ghana http://ugspace.ug.edu.gh  The Netherlands Commission on Environmental Assessment (NCEA) promoted SEA in many countries in Europe, Asia and Africa. They have supported the development of SEA in Ghana extensively and provided expert reviews occasionally when needed;  The United Nations Development Programme (UNDP) through its Environmental Overview has assisted in developing strategic tools similar to SEA for integrated programming and assessment; and  The United Nations Environment Programme (UNEP) also promotes integrated assessment with a relevant framework and guidelines for analyzing environmental, social and economic impacts of trade liberalization. Within the African continent, the application of SEA is growing rapidly and is mainly based on existing laws covering EIA. South Africa has had extensive application of SEA through the introduction of Integrated Environmental Management by the Department of Environmental Affairs in 1992. The National Environmental Management Act (NEMA) of 1998 defines activities that need to be assessed for environmental effects to include policies, plans, programmes and projects. The developments in South Africa have influenced the development and application of SEA in the countries of the Southern African Development Community (SADC) region. SEA is now applied routinely in countries like Swaziland, Mozambique, Kenya, Tanzania, Namibia, etc. Among Ghana’s neighbors within the West Africa sub-region, various levels of advances in the development and application of SEA are taking place. Table 2.2 presents an overview of the status of SEA in a number of countries. 79 University of Ghana http://ugspace.ug.edu.gh Table 2.2: Status of SEA in Selected West African Countries References to No Country Legal Basis for EA Remarks SEA Articles 3,6, 59,  Decree No. 95-47 21, 54,87,88 refer 1995 to Plans and  Law on SEA carried out on Programmes 1. Benin Environment Tourism, National 1999 Parks. Article 2 refers to  Decree No. 2015- Policies and 382 of 2015 Strategies  Decree No. 2002- 542 Article 2 covers PRES/PM/MECV ESIA of National Policies and  Decree No. 2001- Ecosystems 2. Burkina Faso Strategies 342/PRES/PM/M Management EE Programme, Phase II Article 2 covers  Environment Programmes Code Law 1977  Environment Article 35 covers SEA of the Coastal 3. Cote d’Ivoire Code Law No. Policies, Plans Management 96-766, 1996 and Programmes Programme  Environment No specific 4. Togo Code Law No. references to PPP 88-14, 1996  EIA Decree No. 86, 1992  DPR EIA Procedural Environmental No specific 5. Nigeria Guidelines issued in Guidelines and references 1995 Standards (EGAS) 1991 PRES/PM/MECV Source: Adapted from Dalal-Clayton & Sadler (2004) SEA implementation in Africa continues to grow in response to demands by development partners. The African experience points to an increasing trend towards the use of legal instruments to promote the application of SEA. Information gathered from countries that the NCEA has worked with such as Uganda, Mozambique and Kenya are far advanced in the legislative process to mandate SEA application. 80 University of Ghana http://ugspace.ug.edu.gh Francophone countries within the West Africa sub-region have used various decrees/laws to back their systems. However, there are issues of capacity and resource constraints as well as lack of political support, which are gradually being addressed. The ‘Good practice guidance for development co-operation’ (OECD, 2006) prepared by the SEA Task Team within the OECD’s Development Assistance Committee (DAC) built on the network of Environment and Development Cooperation was the pivot for catapulting SEA practice worldwide. The OECD/DAC prepared a number of guidance documents covering aspects such as SEA and adaptation to climate change; SEA and disaster risk reduction; SEA and ecosystem services; and SEA and post conflict development and offered training in these fields. The evolution of SEA in the development co-operation context not only provided for capacity building, but also enhanced the concept of SEA in other contexts. For example, it strengthened the role of SEA in promoting public participation and extended its scope to cover policy-based approaches including lending and sector level programming (Dalal- Clayton & Sadler, 2005). The European SEA Directive (European Commission, 2001) required all Member States to bring into force the laws, regulations and administrative provisions necessary to implement the Directive by 21 July 2004. On the due date of transposition, only nine Member States had transposed the Directive. There were 15 Member States at the time of adoption of the Directive, and 25 by the time it came into force. 81 University of Ghana http://ugspace.ug.edu.gh By 2009, all twenty-seven (27) Member States had transposed it. Despite formal transposition, twenty-three (23) infringement procedures against individual Member States were launched by the European Commission, mainly related to the scope of SEA. As of September 2011, eight of these infringement cases were still open (Kremlis, 2011). The SEA Protocol to the Espoo Convention was adopted on 21 May, 2003 during the Ministerial ‘Environment for Europe’ Conference in Kiev. It entered into force in July 2010, being ratified by sixteen (16) states. The Protocol introduces a non-mandatory application of SEA to policies and legislation in addition to plans and programmes (which is the scope of the European SEA Directive) and is therefore envisaged to stimulate increased application of SEA in these areas (Aulavuo, 2011). It also places a strong emphasis on the consideration of health within environmental assessments. Being open to all UN Member States, the SEA Protocol has a potentially global application. 2.6 The Role of SEA in the Attainment of the Sustainable Development Goals The widespread adoption of SEA procedures is inextricably linked to the need for the nation states to grasp the understanding of the relationship between development and environment, which has undergone profound change since the beginning of the modern environmental movement in the 1960s and 1970s. The need to integrate environmental considerations with development was firmly established by the Brundtland report and it brought to birth the understanding of national governments to the issue of sustainability and its link to development. 82 University of Ghana http://ugspace.ug.edu.gh The 1992 UNCED Earth Summit, the Rio Declaration and Agenda 21 provided further impetus for national governments to incorporate environmental considerations into all levels of decision-making. The UNECE Aarhus Convention on Access to Information, Public Participation in Decision-making and Access to Justice in Environmental Matters was signed in 1998 and entered into force in 2001. It catalyzed inclusive public participation in SEA. By 2001, less than 20 countries globally had made formal provisions for the SEA of PPPs (Sadler, 2001). In 2014, following a decision taken at the Rio+20 Conference and after more than a year of intergovernmental work of what was called an Open Working Group, UN Member States proposed a set of Sustainable Development Goals or SDGs (United Nations, 2014a). The SDGs succeeded the Millennium Development Goals (MDGs) as reference goals for the international community for the period 2015-2030. The development of the new set of goals was widely seen as an ambitious challenge, as these goals cover a much broader range of issues than their predecessors. They aimed to be universal by being applied to all countries and not only developing countries and served as guideposts for a difficult transition to sustainable development, which had eluded the international community since the Earth Summit in 1992. The lack of integration across sectors in terms of strategies, policies and implementation has long been perceived by various schools of thought (Partidario, 2000), (Sadler, 2001), as one of the main pitfalls of previous approaches to sustainable development. Insufficient understanding and accounting of trade-offs and synergies across sectors have resulted in incoherent and inconsistent policies, which have had adverse impacts, and have ultimately led to diverging outcomes and trends resulting in unsustainable development. 83 University of Ghana http://ugspace.ug.edu.gh In terms of the Millennium Development Goals (MDGs) for example, it is well acknowledged that many of the targets encapsulated in MDG7, which relates to environmental sustainability, were not achieved. There were also policies and actions that negatively impacted the achievement of the other goals (United Nations, 2014b; 2014c; UNEP, 2012c). Achieving greater integration at various levels was a pivotal issue of concern for the international community at the Rio+20 conference held on the 20th anniversary of the Earth Summit, which reflected in the outcome document of the conference (United Nations, 2012). All these efforts culminated in the adoption of the Sustainable Development Goals (SDGs) on 25th September 2015 by Member States of the United Nations. The intergovernmental process that led to the SDGs was characterized by intense negotiations and agreements. Finally, a set of seventeen (17) goals and one hundred and sixty-nine (169) targets were agreed upon by member states as the next global developmental agenda. The goals are officially known as “Transforming our world: the 2030 Agenda for Sustainable Development, the Sustainable Development Goals (SDGs)”. The goals have currently been signed onto by all member states of the United Nations. The Sustainable Development Goals (SDGs) aim at ending poverty, protecting the planet, and ensuring prosperity for all. The seventeen (17) Sustainable Development Goals (SDGs) include the following: - Goal 1: End poverty in all its forms everywhere; Goal 2: End hunger, achieve food security and improved nutrition and promote sustainable agriculture; 84 University of Ghana http://ugspace.ug.edu.gh Goal 3: Ensure healthy lives and promote well-being for all at all ages; Goal 4: Ensure inclusive and quality education for all and promote lifelong learning; Goal 5: Achieve gender equality and empower all women and girls; Goal 6: Ensure access to water and sanitation for all; Goal 7: Ensure access to affordable, reliable, sustainable and modern energy for all; Goal 8: Promote inclusive and sustainable economic growth, employment and decent work for all; Goal 9: Build resilient infrastructure, promote sustainable industrialization and foster innovation; Goal 10: Reduce inequality within and among countries; Goal 11: Make cities inclusive, safe, resilient and sustainable; Goal 12: Ensure sustainable consumption and production patterns; Goal 13: Take urgent action to combat climate change and its impacts; Goal 14: Conserve and sustainably use the oceans, seas and marine resources; Goal 15: Sustainably manage forests, combat desertification, halt and reverse land degradation, halt biodiversity loss; Goal 16: Promote just, peaceful and inclusive societies; and Goal 17: Revitalize the global partnership for sustainable development. Figure 2.6 shows a visualized concept of the Sustainable Development Goals (SDGs). 85 University of Ghana http://ugspace.ug.edu.gh Figure 2.6: Sustainable Development Goals After the adoption and signing onto the Sustainable Development Goals (SDGs), the focus now is on pragmatic steps, approaches and the kind of frameworks and tools that could be used to achieve the goals. The use of Strategic Environmental Assessment (SEA) in the achievement of the sustainable development goals is seen as a possibility. So, the integration of the Sustainable Development Goals and its targets into the planning process with the execution of SEA becomes more and more important. Sustainable Development is a recognized vision for any kind of development; but how attainable is this in sustainable development planning processes? The SEA is well- positioned to thoroughly help in the achievement of the sustainable development goals, as the appropriate application of SEA in polices, plans, and programs (PPPs) ultimately leads to sustainable development. 86 University of Ghana http://ugspace.ug.edu.gh The Organization for Economic Cooperation and Development’s (OECD) guidance proposes that SEA can fulfill one or more of the functions in relation to the realization of the sustainable development goals. The SEA procedures are sound and rounded to assist the world achieve the sustainable development goals if countries apply it to their development planning processes. Considering the fact that development planning processes, just like the SEA process, promote and should inevitably lead to the achievement of sustainable development. SEA may be an important tool to address the problems and support actions to achieve the goals and targets of the Sustainable Development Goals. There is the need for further empirical research from the scientific community if SEA is to assist in the attainment of such goals and targets (Suzaul-Islam & Yanrong, 2016). Gachechiladze (2010) identified three clusters of theories that direct and strengthen the implementation of SEA. They include:  Theories of planning/policy and decision-making. These theories allow policy makers and researchers to assess the relation between SEA and its objectives and to critically address initially simplistic assumptions of SEA, such as those of rational planning, and linear policy making (Therivel & Partidario, 1996; Fischer & Seaton, 2002; Hilden et al., 2004; Lichfield, 1997; Sadler & Verheem, 1996b; Richardson, 2005).  Theories of strategy formation. These theories focus on strategic changes that SEA is supposed to deliver, while making it possible to elaborate on the assumptions of SEA (Therivel & Brown, 1999; Dalal-Clayton & Sadler, 2005; Noble, 2000; Verheem & Tonk, 2000). 87 University of Ghana http://ugspace.ug.edu.gh  Theories of learning and information management. The theory focuses on the learning components and assumptions of SEA from different perspectives, but importantly helps emphasize the ways learning and knowledge can be managed to allow SEA to guide and influence PPPs towards desired strategic changes (Fischer, 2007; Rauschmayer & Risse, 2005). UNDP et al. (2006) developed a framework for researchers and policy makers to detect when to appropriately apply SEA. The author’s design asks a few questions regarding the project or programme under consideration to ascertain whether or not SEA is required to examine the policy’s feasibility. This framework is shown in Figure 2.7. 2.7 Policy Impact Evaluation A policy impact evaluation is defined as an assessment that determines the changes in the well-being of a policy or programme (Kumar, 2005). This level of change in the outcome may be short, medium or long term. The duration, however, is usually determined by the type of policy, plan or programme. Babbie (2003) observes that the impact of a policy is the difference between the outcome after the policy intervention and the outcome before the policy intervention. Policy impact evaluation is also an assessment of how policy interventions affect outcomes. These outcomes may sometimes be intended or unintended. 88 University of Ghana http://ugspace.ug.edu.gh Source: UNDP et al. (2006) Figure 2.7: SEA Information Material 89 University of Ghana http://ugspace.ug.edu.gh Policy impact evaluation plays an essential role in policy analysis. Firstly, it provides reliable and detailed information on the performance of the policy i.e. the extent to which needs, values, and opportunities have been realized (Dunn, 2004). It also helps to identify and establish the inter-linkages between outputs and outcome that will inform policy decisions and the public. The concept is widely used in a number of fields and disciplines to answer a variety of questions on the effectiveness of policy interventions. Several approaches can be used in this regard, and the decisions about which evaluation model to use is dependent on the strategic goals and objectives of the policy. Some key questions that need to be asked during the evaluation of policy impacts may include the following:  How the policy operates on the ground? Process evaluation can be employed to address this particular question. Evaluation of government policy usually includes elements of process evaluation. Process evaluation verifies the nature of the policy and ascertains whether it has delivered to the target based on the intended aims and objectives.  What are the desired outcomes of the policy? The primary aim of policy impact evaluation is to measure whether the respective policy has achieved its desired outcomes. These outcomes should thus be measured in comparison to the state of affairs before the introduction of the policy intervention i.e. counterfactual. 90 University of Ghana http://ugspace.ug.edu.gh According to Purdon et al. (2001), it is usually difficult to assess the exact impact of the policy. However, one way to carry out such an assessment is to use the counterfactual approach by measuring or analyzing what is likely to happen to the target if the policy intervention is not implemented. The counterfactual should be estimated when the primary outcomes of a policy or programme are expressed in terms of change. The Strategic Environmental Assessment (SEA) is also a resourceful tool or approach for predicting, identifying, and evaluating the potential impacts i.e. risks and opportunities of policies, plans and programmes (PPPs) to ensure sustainable development. Future environmental conditions can be predicted based on extrapolation of current trends in development briefs, land use and spatial plans, economic development plans, traffic and employment forecasts, assumptions about new technologies, among others. 2.7.1 Types of Evaluation Research Designs According to Babbie (2003), there are three main types of research designs that can be used to evaluate the impacts of strategic actions (policies, plans and programmes): quasi- experimental designs, experimental designs, and qualitative designs. The experimental designs or the randomized trial is the most preferred for policy impact evaluation. It is, however, not always used in practice due to some technical difficulties in its implementation. Quasi-experimental designs include; the matched area comparison design, the before-after designs, and the matched comparison group design (Purdon et al., 2001). For the purpose of the quasi-experimental evaluation research, the matched area comparison design is employed to analyze the impact of the PPP. 91 University of Ghana http://ugspace.ug.edu.gh 2.8 Empirical Studies on Policy, Plan, Programme and Project Evaluation Empirical studies on impact evaluation has been conducted in many areas, ranging from agriculture productivity, health care, impact of education earnings and impact of environmental programmes on the environment. However, literature on the impact of SEA on the environment is scanty. Most policy, plan, programme and project evaluation in the literature employ quantitative methods with the majority adopting quasi-experimental designs to estimate their effects (Mendola, 2007; Pufahl & Weiss, 2008; Nquezet et al., 2011; Doyle 2011; Wainaina et al., 2012; Zick, 2013). However, a few studies have adopted experimental designs (Newman et al., 2002) and non-experimental designs (Maluccio & Flores, 2004). Davis et al. (2010), however, combined both quantitative and qualitative estimation methods to assess the impact of farmer field schools on agricultural productivity and poverty in East Africa. The type of data employed in programme evaluation analysis is mainly dependent on the type of evaluation technique being adopted. Some programme evaluation studies include studies by Maluccio & (2004), Dinar et al. (2007), Pufahl & Weiss (2008), Liane & Awudu (2008), Becerril & Abdulai (2009), Davis et al. (2010), Owusu et al. (2011b), Nquezet et al. (2011) and Doyle (2011). Most of these studies assessed the effect of several agricultural programmes such as extension services programmes (Dinar et al., 2007), irrigation programmes (Owusu et al., 2011b) and adoption programmes (Mendola, 2007; Liane & Awudu, 2008; Nquezet et al., 2011) on incomes and poverty status of the target group. 92 University of Ghana http://ugspace.ug.edu.gh Maluccio & Flores (2004), Mendola (2007), Liane & Awudu (2008), Becerril & Abdulai (2009), Owusu et al. (2011b) and Nquezet et al. (2011) all carried out studies that focused on improvement in the natural environment. In addition, while Mendola (2007), Pufahl & Weiss (2008), Liane & Awudu (2008), Becerril & Abdulai (2009) and Owusu et al. (2011b) used Propensity Score Matching (PSM), Nquezet et al. (2011) and Doyle (2011) employed the instrumental variable approach with Davis et al. (2010) employing the double differencing method to evaluate the effect of the various programmes on various outcome variables. Generally, most studies found a positive and significant effect of participation in the various programmes on their outcome variables. These findings are, however, consistent with the World Bank (2011) study that analyzed several studies evaluating agricultural and environmental programmes and concluded that more than half of all the evaluation studies analyzed had positive effects on their various outcome variables with a few not finding any significant effect. Largely, most of the literature on project evaluation used quasi-experimental designs and employed propensity score matching (a type of matching method) to assess intervention or project effects and this is due mainly to its ease of applicability compared to the other approaches (double differencing and instrumental variable approach) and will thus be adopted for this study as used by Mendola (2007), Pufahl & Weiss (2008), Liane & Awudu (2008) Becerril & Abdulai (2009) and Owusu et al. (2011b). 93 University of Ghana http://ugspace.ug.edu.gh 2.9 Summary The chapter reviewed theoretical literature on sustainability and its measurements as well as the stance of the two schools on the subject matter. Whereas the weak sustainability paradigm holds the strong view that natural capital and human-made capital to a large degree cannot be substituted to a larger degree, the strong sustainability paradigm argues otherwise. They maintain that natural and human-made capital cannot be substitutes. Various indicators have been developed to measure sustainable development by the two schools of thoughts. However, indicators of the weak sustainability school have gained dominance in the literature. Two important environmental assessment tools have gained attention in the literature: EIA and SEA, with the latter gaining attention over the former in recent times due to the evidence of ineffectiveness associated with the former. SEA has gained an appreciable endorsement by governments of African countries with Ghana showing greater signs of becoming the beacon of SEA in the region. 94 University of Ghana http://ugspace.ug.edu.gh CHAPTER THREE RESEARCH METHODOLOGY 3.1 Introduction This study employs a quasi-experimental statistical framework to evaluate the impact of SEA in the development planning process at the MMDA level. Specifically, the Propensity Score Matching (PSM) evaluation technique is employed to examine the performance of the SEA. This chapter details the overall methodology of the study. Specifically, it deals with the research design, the conceptual frameworks, and the statistical and econometrics models employed. The chapter is organized into seven sections. Section one describes Ghana’s local governance and the decentralization process. It gives a concise description of the various Ministries, Departments, and Agencies (MDAs), as well as Metropolitan, Municipalities, and District Assemblies (MMDAs). The second section gives a conceptual framework regarding the MMDAs and the communities they serve. Fiscal, budgetary, and policy inputs are used to demonstrate the connection between the inputs and outputs (community services) of MMDAs. In section three, a mathematical relationship connecting the inputs to outputs is espoused, which forms the theoretical framework of the study. The fourth section addresses the first objective of the study using the Chi Square Test Statistics. 95 University of Ghana http://ugspace.ug.edu.gh The fifth section addresses the second objective using the quasi-experimental workhorse of Propensity Score Matching (PSM). The last but one section employs the Ordinal Regression Technique to address the third objective of the study. The final section describes the data type and sources as well as the instruments used in the data collection process. The section also outlines the various ethical issues observed. 3.2 Description of Local Governance and Decentralization Processes in Ghana Gold Coast, now Ghana after being colonized by the British, attained independence and became a republic in 1957 and 1960, respectively. The country, soon after attaining independence, adopted constitutional rule, which was toppled by the military in 1966. Until 1993, the country did not enjoy constitutional rule due to frequent military interventions (Adei & Boachie-Danquah, 2002). Ghana’s population is composed of a variety of ethnic groups1 who live together peacefully in ten (10) administrative regions2. Aryee (2000) notes that the history of Ghana’s decentralization dates back to the colonial period. It came into existence when the British authorities employed the indirect rule in 1878, which lasted until 1951 (Azizu, 2014). Azizu (2014) maintains that the decentralization practiced in that period heavily relied on the traditional authorities i.e. chiefs and their elders. 1 Akan, Mole-Dagbani, Ewe, Ga-Adangbe, Gurma, Guan, Gurunsi, and Bissa 2 Greater Accra, Volta Region, Central Region, Eastern Region, Western Region, Brong- Ahafo Region, Northern Region, Upper West Region, Upper East Region, and Ashanti Region. 96 University of Ghana http://ugspace.ug.edu.gh Due to the various political upheavals that bedeviled the country, local governance and decentralization policies enshrined in the constitution of toppled governments could not be undertaken effectively (Azizu, 2014). Examples are the Local Government Act, Act 359, 1971 and Local Administration (Amendment) degree, NRCD 258, 1974. In order to ensure rapid economic development and all-inclusive governance, chapter 20 of the 1992 constitution spells out the approach to the decentralization and local governance process. This is further elaborated in other legislation including, the Local Governance Act (2016) Act 936, the Local Government Act, 1993, Act 462; the National Development Planning Act, 1994, Act 480; and its LI 2232, the Civil Service Law, 1993, PNDCL 327; the District Assemblies Command Fund Act, 1993, Act 455 and the Local Government Service Act, 2003, Act 656. Decentralization has been said to mean different things to different people at different places (Ahwoi, 2010). Thus, what constitutes decentralization must clearly be defined. Decentralization refers to the transfer of power from central government to lower levels in a political-administrative and territorial hierarchy (Crook & Manor, 1998; Agrawal & Ribot, 1999). Smith (1985) holds that decentralization is any act in which the central government cedes political power to actors and institutions at the lower echelons in a political-administrative and territorial hierarchy. Decentralization allows for the participation of people and local governments (Aryee, 2000; 2008). The local government system in the Local Government Act, 1993, Act 462 is made up of a four-tier Metropolitan and three-tier Municipal / District Assemblies. 97 University of Ghana http://ugspace.ug.edu.gh The Act shows the various levels of authority and the integrated economic, social, political and spatial development system with the bottom-up structures which are the unit committees (Agyemang, 2010). The decentralization levels include: a) The Ministry of Local Government and Rural Development - National level b) The Regional Co-ordination Councils c) The Metropolitan, Municipal and District Assemblies d) The Sub-District Structures (Sub-Metropolitan, Urban / Town /Area / Zonal Councils and Unit Committees) The decentralization policy operates on four interrelated pillars (Azizu, 2014). These are political decentralization, administrative decentralization, decentralized planning, and fiscal decentralization. However, a fifth pillar - public-private partnerships - has gained prominence in the recent past (MLGRD, 2010) cited in Azizu (2014). Under Ghana’s decentralization policy, there are two hundred and sixteen (216) Metropolitan, Municipal and District Assemblies (MLGRD, 2010). Figure 3.1 shows Ghana’s local governance structure. 98 University of Ghana http://ugspace.ug.edu.gh Figure 3.1: The Local Government Structure in Ghana With reference to Figure 3.1, each of the ten (10) administrative regions in Ghana has a Regional Coordinating Council (RCC) headed by a Regional Minister (RM) who is appointed by the President. Other members of the RCC include the Deputy Regional Minister, the Presiding Members and District Chief Executives (DCEs) from the districts in the region. The remaining members are two chiefs from the Regional House of Chiefs elected by the chiefs, and heads of the decentralized Ministries in the region. The RCC monitors, co-ordinates, and evaluates the performance of the District Assemblies in the Regions (Act, 462). 99 University of Ghana http://ugspace.ug.edu.gh The District Assembly (DA) is the mainstay of the decentralization policy in Ghana. Thus, Article 241 (3) and Act 462 stipulate that DAs are the highest political and administrative authorities in the districts. A typical DA comprise of two-thirds or 70% elected and one- third or 30% appointed members with the DCE as an ex-officio member and the District Coordinating Director (DCD) as the Secretary. The DAs have a committee structure of which its Executive Committee (EC) is responsible for general policy and overall development planning of the district. The EC is composed of the chairpersons of the various sub-committees. It is chaired by the DCE. Under the auspices of the EC are five statutory sub-committees, which consist of the Assembly members and heads of the decentralized departments that deal with specific subjects. These are the Development Planning, Finance and Administration, Works, Social Services and Justice, and Security sub-committees. The DAs have a District Planning Coordinating Unit (DPCU), which is responsible for handling technical activities. The DPCU is headed by the DCD. The decentralization process makes the Town and Area Councils integral parts of the Metropolitan and District Assemblies. The Town Councils are established for settlements with population between 5000 and 15000. The Area Councils are, however, established for settlements and villages which, grouped together, have a population of less than 5000. They are points responsible for rallying support for the development goals of the DAs. To add to this, and as positioned in Figure 3.1, the Unit Committees form the base structure of the local government system in Ghana. 100 University of Ghana http://ugspace.ug.edu.gh According to Azizu (2014), a Unit is usually a settlement or a group of settlements with a population between 500 and 1000 in the rural areas and a higher population of 15000 for the urban areas. 3.2.1 MDAs and MMDAs in Ghana’s Development Planning Process Ministries, Departments, and Agencies are the bureaucratic and technocratic institutions of government. The MDAs play dual role in the decentralization process. At the national level, they play the role of general policy making, planning evaluation, and monitoring of all government activities. At the regional level MDAs operate as departments for the national MDAs. The MDAs at the regional level therefore coordinate and harmonize the plans and programmes of the MMDAs. Currently, there are forty-eight (48) MDAs (IMANI, 2013) and two hundred and sixteen (216) MMDAs in Ghana (RAG, 2014). Out of the forty-eight MDAs, the National Development Planning Commission (NDPC) is mandated to co-ordinate and regulate the decentralized national development policy system. This is in accordance with the National Development Planning (System) Act, 1994, Act 480. In connection with this, the NDPC prepares and issues national development policy frameworks and guidelines for the preparation of district plans as specified under Section 1 subsections (3) and (4), and Sections 2 to 11 of Act 480. The MMDAs therefore prepare their medium-term plans in accordance with these guidelines. Sana (2011) outlined the following as the essential features of the MMDAs planning process:  Planning at the district level begins with the communities’ problems, goals and objectives from Unit Committee level through the Urban/Zonal/Town/Area Councils to the MMDAs; 101 University of Ghana http://ugspace.ug.edu.gh  The Sub-Committees consider the problems and opportunities of the communities, define priorities and submit them to the EC;  The Departments of the MMDAs, sectoral specialists, non-governmental organizations and other functional agencies confer and collaborate with one another to prepare the district plan;  The District Planning Coordinating Unit integrates and co-ordinates the district sectoral plans into long-term, medium-term, short-term plans and annual plans and budget for consideration of the EC and debate by the DA; and  The approved plan is then sent to the Regional Coordinating Council (RCC) for co- ordination and harmonization with the plans of the other DAs in the region. The implication is that the planning process is bottom-up as it starts with the communities. This is illustrated in Figure 3.2 102 University of Ghana http://ugspace.ug.edu.gh Source: PMP Book, 2005, Adapted from Sana (2011) Figure 3.2: Planning Institutions and their Functions 3.3 Conceptual Framework of the Impact of SEA on Communities The usage of SEA is expected to sustainably enhance the welfare of the communities as well as the environment. According to the framework, MMDAs make use of various inputs that include SEA to produce a composite service (output) to their communities in the form of programmes, projects, and plans. The inclusion of SEA is to ensure sustainable production of the outputs. 103 University of Ghana http://ugspace.ug.edu.gh These outputs of MMDAs are in the categories of economic, natural resources, socio- cultural, and institutional pillars. Feedback of the impacts of the outputs are transmitted back to the MMDAs through the Unit Committees which are at the base of the local governance structure with the community members. Adequate budgetary supports are required in all resource acquisition processes. Figure 3.3 shows the conceptual framework of the impact of SEA on communities. Budgetary Support Economic Inputs Resources Output Natural MMDAs including PPPs resources SEA Socio-cultural Sustainable Impact Institutions Unit Community Committee Source: Author’s Compilation, 2016 Figure 3.3: Conceptual Framework of the Impact of SEA on Communities However, usage of the SEA tool varied among the MMDAs: whilst some used it, others have never deployed SEA in their operations. Out of the 216 MMDAs, 172 employ SEA as part of their inputs in their service delivery process; the remaining 44 do not use SEA (EPA, 2015). Thus, participation in the usage of SEA is dependent on each MMDA’s specific characteristics such as the time the MMDA was created, the Gross Domestic Product of the MMDA, the population of the MMDA, among others. 104 Feedback University of Ghana http://ugspace.ug.edu.gh The Environmental Protection Agency offered series of training and capacity building programmes for the MMDAs (EPA, 2015). It is thus expected that non-participating MMDAs would undertake policies as requested by law to improve the economic and socio- cultural conditions of their people. These MMDAs are to formulate plans that have both natural resource and institutional bearings. However, their output in terms of enhancing their communities’ welfare sustainably is not expected to be as high as MMDAs that make use of SEA. In other words, non-SEA using MMDAs do not sustainably mainstream environmental considerations in the development planning process. The study thus seeks to measure the difference between the level of sustainability mainstreaming and the measurement of SEA using and non-SEA using MMDAs. The study used mixed-methods approach including document analysis and interviews. Quantitative methods, namely the Chi Square, Propensity Score Matching, and Likert frameworks were employed in analyzing the data. Document analysis was carried out for information on the study areas in regard to the customs and habitual practices of the people, the social setting, appropriate rural protocols, and any prior research findings on the sites. Government policies and regulations on the conduct of SEA, District medium term development plans of the districts, NDPCs guidelines for plan development at the MMDA level; EPAs reports on SEAs conducted at the district level, the “Akoben” report; a public disclosure tool of the application of SEA at the district level; consultant evaluation and mission reports by development partners on SEA in Ghana, and field reports of the EPA regional directors on the use of SEA at the district level were also analyzed. These provided inputs into the interview guides used for the key informants and focus groups interviews and the design of the questionnaire. 105 University of Ghana http://ugspace.ug.edu.gh 3.4 Impact of SEA on Various Sustainable Policy-Making Dimensions In order to determine the impact of SEA on sustainable policy making dimensions, the Chi Square Test Statistics would be employed. The Chi Square is a non-symmetrical distribution. It is a measure used in the context sampling analysis for comparing a variance to a theoretical variance. It is usually used to determine if categorical data shows dependency or the two classifications are independent (Kothari, 2004). The Chi Square Test is expressed as: 2 𝜒2 (𝑂 = ∑ 𝑖 −𝐸𝑖) 𝑐 Eq. 3.4.1 𝐸𝑖 Where: O = Observed frequency E = Expected Frequency 3.5 Impact of SEA on the Development Planning Process of Ghana This section details the theoretical framework and the empirical method employed to study the impact of the SEA on the development planning process of Ghana. 3.5.1 The Theoretical Framework The theory underpinning this section is rooted from the microeconomic theory of production. The theory postulates the channel of converting inputs to outputs in the production process (Jehle & Reny, 2011). 106 University of Ghana http://ugspace.ug.edu.gh Given MMDAs output as the outcome variable of interest (Q), and participating in the usage of SEA as one of the inputs (D), together with some other control inputs (X), the canonical production function for the outcome variable (Q) as specified by Flux (1894) is: 𝑄𝑖𝑗 = 𝑓(𝑋𝑖, 𝐷) 𝐸𝑞. 3.5.1.1 Where: D = Dummy, equal to 1 for participating in the usage of SEA, and 0 for non- participating MMDAs. X = A set of control inputs used by MMDAs, which can be MMDA specific or institutional variables, and production variables. Qij = the outcome variable for output j If Eq.3.5.1.1 is estimated with Ordinary Least Squares, the coefficient of D would be interpreted as the impact of SEA on MMDAs output. However, problems arise when this method of estimation is employed (Agyekum, 2013; Heinrich et al., 2010). The two major problems in this scenario are project placement bias or targeting bias and self-selection bias. According to Davis et al. (2010), Heinrich et al. (2010) and Agyekum (2013), project placement bias occurs in projects where the location or target population of the project is non-random whilst self-selection exists in projects where the participant groups choose whether or not to take part in the exercise. This implies that the participants and non- participants may differ both in their participating status and other characteristics that impact participation and the outcome variable (Agyekum, 2013). These characteristics may be observable, for instance, MMDA, Gross Domestic Product (GDP) and population, or unobservable. 107 University of Ghana http://ugspace.ug.edu.gh Whereas observable characteristics can be measured, unobservable characteristics cannot be measured. Therefore, if unobserved factors induce an MMDA’s decision to participate in SEA usage, then the stochastic term in estimating equation 3.5.1.1, which captures the unobserved characteristics, would contain variables that correlate with the participating variable (D). Heinrich et al. (2010) maintain that this phenomenon leads to unobserved selection bias. This implies that the covariance between (D) and the stochastic term would not equal zero. This is classically referred to as endogeneity. That is, a violation of a key property of Ordinary Least Squares (OLS). Another method that can be employed to estimate Eq.3.5.1.1 is the Stochastic Frontier Model (SFM). However, Cerdan-Infantes et al. (2008) are of the view that the SFM suffer the same identification defect if participation in the usage of SEA is not random and includes unobserved characteristics. The above findings regarding the estimation of Eq.3.5.1.1 indicate that, to obtain efficient and consistent estimates for the coefficient of D, an evaluation method must be employed. The “With’’ or “Without” evaluation technique is therefore used to estimate the impact of SEA on the outcome variable of MMDAs. The “With’’ or “Without” evaluation technique solves the problem of selection bias in Eq.3.5.1.1. This is discussed below. 3.5.2 The Analytical Framework The “With’’ or “Without” technique of estimating the participation or treatment effect of a programme uses a comparison group to evaluate what would have happened to participants of a programme in the absence of the programme (Wainaina et al., 2012; Agyekum, 2013; Heinrich et al., 2010). 108 University of Ghana http://ugspace.ug.edu.gh This comparison group is often termed as the counterfactual outcome. Thus, following from above, since the inception of the SEA approach in mainstreaming development planning in the MMDAs, some MMDAs have not participated in its usage, the comparison group in this study are the non-participating MMDAs. This group is used as a benchmark to measure the effect of SEA on the participating MMDAs if they had not used SEA in their development planning process. According to Heinrich et al. (2010), the counterfactual outcome is not observed. Thus, a quasi-experimental design must be adopted to obtain estimates for counterfactual outcomes. Wainaina et al. (2012) concludes that quasi-experimental methods must be used in evaluating interventions for which there is no possibility of constructing participants and non-participant groups through natural experimental designs such as the Randomized Control Trials (RCTs). The quasi-experimental techniques reduce or eliminate the selection and placement bias that engulfs the OLS model above by picking a comparison group (non-participating) that is very similar in characteristics to the participant group (Khandker et al., 2010). This enables the participants to have outcomes similar to those in the non-participating group in the absence of the treatment. That is in the absence of the programme. To investigate the effect of participation in the usage of SEA on the outcome variable (Q) of the treatment group using the quasi-experimental technique, the expected impact of participation or the expected average treatment effect on the treated (ATT′) (which is the difference between the output level of participating MMDAs and what would have been their output if they had not participated or used SEA in their development planning), needs to be computed. 109 University of Ghana http://ugspace.ug.edu.gh This is specified as: ATT′ = E(Q1i − Q0i|Di = 1) Eq. 3.5.2.1 Where: 𝑄1𝑖 = the output variable of the ith MMDA who participates in the use of SEA 𝑄0𝑖 = the output variable of the ith MMDA whose participated output would have been if the MMDA had not participated (that is, the counterfactual) and therefore cannot be measured. This notwithstanding, the output variable of the non-participating MMDAs can be measured. Thus, if the expected output variable of the non-participating MMDAs is given as: E(Q0i|Di = 0) Eq.3.5.2.2 Then, adding and subtracting Eq.3.5.2.2 from Eq.3.5.2.1, and simplifying, results in: ATT′ = E(Q1i − Q0i|Di = 1) + E(Q0i|Di = 0) − E(Q0i|Di = 0) Eq.3.5.2.3 ATT′ = E(Q1i|Di = 1) − E(Q0i|Di = 1) + E(Q0i|Di = 0) − E(Q0i|Di = 0) Eq.3.5.2.4 ATT′ = E(Q1i|Di = 1) − E(Q0i|Di = 0) + E(Q0i|Di = 1) − E(Q0i|Di = 0) Eq.3.5.2.5 Substituting ATT for 𝐸(𝑄1𝑖|𝐷𝑖 = 1) − 𝐸(𝑄0𝑖|𝐷𝑖 = 0)and B for 𝐸(𝑄0𝑖|𝐷𝑖 = 1) − 𝐸(𝑄0𝑖|𝐷𝑖 = 0) in Eq.3.5.2.6 gives: ATT′ = ATT + B Eq.3.5.2.7 110 University of Ghana http://ugspace.ug.edu.gh Where: 𝐴𝑇𝑇′ = the expected average treatment effect on the treated. That is, the impact of SEA on the participating MMDAs. 𝐴𝑇𝑇 = the estimated average treatment effect 𝐵= the error term Eq. 3.5.2.7 shows that the expected treatment effect (𝐴𝑇𝑇′) is only equal to the estimated treatment if the error equals zero. Statistically, the magnitude of the error term cannot be estimated. This is because the 𝐸(𝑄1𝑖|𝐷𝑖 = 1) aspect of the error term cannot be measured empirically (Khandker et al., 2010). This indicates that one may never know the actual difference between the treated and untreated groups: in this case, the treated MMDAs and non-treated MMDAs. The error thus creates a bias (selection and placement bias) in Eq. 3.5.2.7 and needs to be minimized to a negligible level for efficient, consistent, and accurate treatment effects estimates. As Khandker et al. (2010) stated above, this bias is handled by picking a comparison group very similar in characteristics to the participating group. One efficient method of the quasi- experimental techniques that reduces the bias is the Propensity Matching Method (PSM) (Heinrich et al., 2010; Khandker et al., 2010). The PSM is thus adopted to investigate the impact of the SEA on sustainability mainstreaming in the development planning process in Ghana. 111 University of Ghana http://ugspace.ug.edu.gh 3.5.3 Operationalizing the Propensity Score Matching The PSM was propounded by Rosenbaum & Rubin (1983). The technique is widely used to evaluate the impact of programmes or projects due to its ability to solve the placement and selection bias problem. The PSM solves the issue of the bias based on two conditions. First, there must exist conditional independence. This means that selection into an intervention or programme must be based solely on observable features of the participating group. So that after conditioning on the observable features influencing participation, the expected output in the absence of participation does not depend on treatment status (Khandker et al., 2010 cited in Agyekum, 2013). Second, the propensity scores across participating and non-participating groups must allow for a possible matching of the participating MMDAs to closely related non-participating MMDAs. Rosenbaum & Rubin (1983) refer to this as the common support region. The technique uses information from non-participants of a programme or policy - as a control group - to obtain what would happen to participants (known as the treated group) in the absence of the programme or policy. The method assumes very close and similar features between the participating and non-participating group before the commencement of the programme. This makes it possible to attribute the differences in outcome of the programme. It is therefore imperative that the control group closely bears a resemblance to the treated group for the selected characteristics. The PSM estimates the effect of a programme by comparing the outcome of treated and non-treated groups. 112 University of Ghana http://ugspace.ug.edu.gh This is arrived at by matching the average outcomes of the treated group and non-treated group using propensity scores. Bake (2000) holds that the closer the propensity score for the treated and non-treated, the better the estimates. The PSM goes through three steps to estimate the impact of a programme. First, the propensity score is estimated using a logit or probit model (Heinrich, 2010). One of these choice models is used because the treatment is dichotomous. That is, an MMDA either participates or does not participate. Participants are assigned the value of one (1) whilst non-participants are assigned zero (0). However, Wainaina et al. (2012) and Baker (2000) argue that the logit provides more consistent estimates than the probit model because it assumes that the error term maintains a logistic distribution. Following Wainaina et al. (2012), this study uses the logit model to estimate the propensity scores. Following Agyekum (2013), the empirical logistic model is espoused as:  Di 1 X  ln i    0  i X i Eq. 3.5.3.1  1 pr(Di 1 X  i  Where: 0 = the intercept,  i are the model coefficients Di = the binary dependent variable. Di = 1 if the MMDA uses SEA. Di = 0 if the MMDA does not use SEA X i = the set of pre-participation MMDA characteristics 113 University of Ghana http://ugspace.ug.edu.gh From Eq. 3.5.3.1, the estimated parameters (0 and i ) are employed in estimating the propensity scores for each MMDA. The equation further provides information on which of the parameters are statistically significant in influencing MMDA participation in the usage of SEA. Owusu et al. (2011b) defines the propensity score P(X i ) as the conditional probability of participating in the SEA programme given pre-participation features ( X i ). Formally, the propensity score is specified as: P(X i )  PDi  1 X i EDi X i Eq.3.5.3.2 Empirically, the propensity score for each MMDA is given as: 1 P(X i )  (0 X ) Eq.3.5.3.3 1 e i i Table 3.1 below shows the MMDAs characteristics to be employed in estimating the propensity scores. The characteristics range from economic, environmental, and socio- cultural to institutional pillars. 114 University of Ghana http://ugspace.ug.edu.gh Table 3.1: Characteristics of MMDAs to be Used in Estimating the Propensity Scores Variable Meaning Mode of Measurement This measures how long the DA has The variable is measured in Time been in existence years It is the average annual revenue of the The variable is measured in Revenue DA Cedis The size in terms of population of the It is measured in the Population DA number of people Measured in kilometers Area Area covered by the DA squared This measures the sanitation situation of Sanitation 0 = poor, 1= fair, 2 = Good the DA Measured as the percentage It measures the proportion of people in of people of 15 years and Literacy the DA who can read, write, and handle above who are literate in arithmetic the DA’s population It is the number of people who are 0 = high, 1= moderate, 2= Unemployment without jobs in the DA low Maternal mortality The number of female deaths per 0 = high, 1= moderate, 2= rate 100,000 live births in the DA low This measures the number of children 0 = high, 1= moderate, 2= Child mortality who die by the age of 5 per 1000 live low births 0 = high, 1= moderate, 2= Air pollution It measures the ambient air quality low 0 = high, 1= moderate, 2= Soil pollution This measures the level of soil quality low It measures the quality of the water 0 = high, 1= moderate, 2= Water pollution bodies low It is the level of harm emitted on the 0 = high, 1= moderate, 2= Ecosystem ecosystem as well as the extinction of low wildlife 2=well resourced, 1= It measures whether the DA is well Resources moderately resourced, 0 = resourced poorly resourced Source: Author’s Definition 115 University of Ghana http://ugspace.ug.edu.gh Second, the matching algorithm that would employ the estimated propensity scores of Eq. 3.5.3.2 to match the participating MMDAs who are closely related to the non-participating MMDAs in characteristics is selected. Matching reduces the biases between the two groups of MMDAs. A number of matching algorithms have been presented in the literature (Dehejia & Wahba, 2002; Guo et al., 2006; Caliendo & Kopeinig, 2008; Heinrich et al., 2010; Wainaina et al., 2012). These matching algorithms include the nearest neighbour matching, radius matching, and the Kernel matching methods. The nearest neighbor matching algorithm matches non-participating MMDA to a participating MMDA using the closest propensity scores. This can be undertaken with or without replacement. Matching with replacement uses a non-participating MMDA more than once as a match whilst without replacement involves using a non-participating MMDA only once in the matching process. Heinrich et al. (2010), however, argues that, when the non-participating group is small, matching without replacement can lead to inefficient performance. In line with Heinrich et al. (2010), Agyekum (2013) found that many studies resort to matching with replacement. Radius matching specifies a maximum propensity score distance to match many non- participating groups to participating groups. This can also be done with or without replacement. The Kennel matching algorithm, according to Heinrich et al. (2010), uses a weighted average of the outcome variable of all the non-participating units to match participants to non-participants. The author argues that the Kennel matching method has an advantage of low variance, which is due to the use of more information in its estimation. 116 University of Ghana http://ugspace.ug.edu.gh Agyekum (2013) posited that there is no clear rule for selecting a more appropriate matching algorithm. Thus, this study adopts the near neighbour matching algorithm to match participating MMDAs to non-participating MMDAs. The final step in operationalizing the PSM is the estimation of the participation effect of the programme and conducting sensitivity analysis. In this step, the Average Treatment Effect (ATE) of the SEA on the communities is computed. Three common impact evaluation coefficients are often computed (Owusu et al., 2011b). These include the Average Treatment Effect, Average Treatment Effect on the Treated (ATT) or the participation impact, and the Average Treatment Effect on the Untreated (ATU). The ATE measures the impact of the SEA programme on all MMDAs. The ATT measures the impact of the SEA on only the participating MMDAs whilst the ATU computes the impact of the SEA on the non-participating MMDAs. Generally, the parameter of interest in this study is the ATE. However, ATT and the ATU have been computed. The three impact evaluation coefficients are computed as follows: ATE  EEQ1i Di  1, p(X i ) EQ0i Di  0, p(X i ) Eq. 3.5.3.4 ATT  EEQ1i Di  1, p(X i ) EQ0i Di  0, p(X i )Di  1 Eq.3.5.3.5 ATU  EEQ1i Di  1, p(X i ) EQ0i Di  0, p(X i )Di  0 Eq.3.5.3.6 Positive values of ATE, ATT, and ATU indicate that the SEA has enhanced the welfare of the communities while their magnitudes indicate the extent that SEA has enhanced welfare. 117 University of Ghana http://ugspace.ug.edu.gh Given the four thematic areas SEA is conceptualized to impact in Figure 3.3, four impact scenarios were evaluated. Specifically, the impact of the SEA on the economy, environment, socio-cultural, and institutional aspects of the DAs have been analyzed. 3.6 Sustainability Mainstreaming Gaps and Understanding of SEA among MMDAs in Ghana The third objective of the study is to evaluate the perception of MMDAs about the SEA framework in Ghana, and sustainability mainstreaming gaps. Respondents were made to express their opinions on statements such as: “the adoption of SEA in the development planning process would effectively mainstream environmental concerns in all PPP”; “the adoption of SEA would not slow economic growth at the district, regional, and national levels”; I would recommend the continuous usage of the SEA in Ghana because it would ensure sustainable development at all levels. A five-point Likert-scale type was employed to score as: 1 for “Strongly disagree”, 2 for “Disagree”, 3 for “Indifferent”, 4 for “Agree” and 5 for “Strongly Agree”. 3.7 Data Type and Sources 3.7.1 Sample Size and Sampling Frame Primary data used for the study were sourced from the MMDAs. All the two hundred and sixteen (216) MMDAs in the ten (10) regions were selected. Two (2) out of the four (4) core members (officers) of the District Planning Coordinating Units (DPCU) were randomly selected using a table of random numbers. The core members consisted of the Agriculture, Education, Health and Planning Officers (NDPC District Guidelines, 2014). 118 University of Ghana http://ugspace.ug.edu.gh A well-structured questionnaire was administered to collect the primary data required for the study. A provisional set of questionnaires was developed and pre-tested in January, 2016 to identify all ambiguities, uncertainties, and omissions. This further shaped the final questionnaires issued. 3.7.2 Questionnaire Design The questionnaire for the study was divided into two major parts: Part A and Part B. Part A was further divided into four (4) sections. Section one focused on the background as well as institutional conditions of Metropolitan, Municipal, and District Assemblies in Ghana. Section two focused on the local economic conditions in the MMDAs whilst section three sought information on the local socio-cultural conditions. Local environmental conditions of the MMDAs were reserved for sections four. Part B has two sections. Section one sought information on the perception of the MMDAs about the SEA framework, and information on the limitations of the current SEA used by the MMDAs. Section two sought information on the level of comprehension of SEA among MMDAs. Various information from the Ghana Living Standards Survey of Ghana Statistical Service (2014), MMDAs and EPA were used in designing the questionnaire. 3.7.3 Field Work The field work commenced in the first week of June, 2016 and continued for four weeks. The purpose of the study was explained to respondents to make the data collection process convenient to both the interviewer and interviewee. It was to further ensure accuracy and consistency in the data during the analysis stage. 119 University of Ghana http://ugspace.ug.edu.gh 3.7.4 Ethical Issues The research processes were subject to the University of Ghana’s ethics procedures. Recruitment of respondents was by verbal consent. Quality assurance and control Proper quality assurance procedures and precaution was taken to ensure the reliability and validity of the data. Five “able and willing to help” research assistants were identified through expert advice and were given adequate training and used in this study to carry out the local key informant interviews and the administering of the questionnaires across the country. The five research assistants had environmental science backgrounds. The content of the training involved: the purpose and objectives of the study, data collection techniques and tools to be used, translation of questionnaires into various local languages, and data collection ethical guidelines. The principal investigator was part of the team during the interviews to ensure that relevant information collected was in line with the objectives of the study. After training, the interview guides were pre-tested with the trainees themselves to gauge their readiness for the interviews. Corrections and clarifications were made where necessary. The trainees were then deployed in the communities to interview two persons each and submit the responses for vetting. A few responses for some of the questions during the pre-testing, however, pointed to the fact that they were not clear to respondents. The research assistants had to pre-test again for vetting and adjustment of the semi-structured questionnaire. The questionnaire was checked for mistakes and completeness before final entry into the appropriate software for statistical analysis. 120 University of Ghana http://ugspace.ug.edu.gh Privacy and confidentiality In order to ensure privacy and confidentiality, the questionnaires were coded and names of respondents were not required in filling out the questionnaire. The interview was conducted in an isolated area with individual respondents so as to guarantee their privacy. Participants’ names were not mentioned in the report of the study and information gathered on participants was kept strictly confidential between the principal investigator and the study participants. Compensation Study participants were not given any compensation for participating in the study. This was made known to participants before they chose to take part in the study or not. However, participants were given refreshments or snacks after administering the questionnaires. Risks and Benefits Apart from the time that was lost by study subjects in answering the questionnaires, there was no risk or cost associated in participating in the study. Voluntary withdrawal A consent note was attached to each questionnaire and read out to each respondent before any interview or questionnaire was administered. Key issues in the consent note included: absolutely voluntary participation; assurance of no risk to the respondent and that at any time during the research if a respondent felt at risk the exercise would be terminated; or a respondent could withdraw from an interview at any time for any reason without explanation and penalty (Annex 16). 121 University of Ghana http://ugspace.ug.edu.gh Participants were not forced to answer questions they did not feel comfortable with. Participants were given the liberty to withdraw from the study at any point in time. However, participants were asked and encouraged to fully participate to ensure that findings from the study would be a true reflection of the objectives of the study. In the event of any withdrawal by a participant, all data gathered on the participant were deleted and destroyed. Informed Consent and Consenting Process Informed consent was obtained from participants before commencement of the study. Respondents in the study were approached individually to explain the objectives of the study to them and their consent sought. The decision to take part in the study was absolutely voluntary and refusal to take part did not affect the relationship between the participant(s) and the researcher. Assurances of observance of anonymity and confidentiality were explained to each person interviewed. Data Storage and Usage Data collected in this study was strictly for research purposes. The data was stored with passwords on electronic media and in safely locked boxes. Anonymity was ensured in the dissemination of findings from this study since participants were not identified by their names. Declaration of Conflict of Interest The researcher, as the principal investigator, does hereby declare no conflict of interest in this study. 122 University of Ghana http://ugspace.ug.edu.gh CHAPTER FOUR RESULTS 4.1 Introduction This chapter presents the results of the study. The chapter is divided into four broad sections. The first section presents the summary of statistics from the MMDAs. The second section presents the results of the impacts of SEA on the various policy dimensions, and the third section presents the Propensity Score Matching results on the impact of the SEA. The last section presents the perception of MMDAs regarding SEAs sustainability mainstreaming and the understanding level of SEA in Ghana. 4.2 Summary of Statistics from MMDAs Figure 4.1 presents the responses from the various regions where the research was carried out. Four hundred and thirty-two (432) Core District Planning Coordinating Officers interviewed in the 216 districts. Out of this, one hundred and twenty-four (124) were incomplete, and three hundred and eight (308) fully completed by respondents. This represents a 71.3 percent response rate. 15.91% of the total respondents were from the Brong-Ahafo Region, with Central Region (4.22%), Volta Region (3.57%), Ashanti Region (18.51%), Western Region (5.84%), Greater Accra Region (3.90%), Eastern Region (17.21%), Northern Region (13.31%), Upper East Region (9.42%) and Upper West Region (8.12%). 123 University of Ghana http://ugspace.ug.edu.gh Cenrtral Upper East Volta 4.22% 9.42% 3.57% Upper West 8.12% Ashanti 18.51% Brong Ahafo 15.91% Western 5.84% Northern Greater Accra Eastern 13.31% 3.90% 17.21% Source: Author’s Estimation Figure 4.1: MMDAs Responses by Region Table 4.1 presents the summary of statistics of socio-economic and demographic characteristics of the MMDAs that responded to the questionnaires. From the Table 4.1, respective MMDAs have existed for 17.52 years on average, the minimum MMDA age is 2 years, whilst the maximum is 88 years. The average population of a given MMDA stands at 102,832. On average a MMDA covers 811.86 square kilometres; and health centers, financial institutions, and markets in the MMDAs are estimated at 12.56, 4.93, and 4.84 units, respectively. 124 University of Ghana http://ugspace.ug.edu.gh Table 4.1: Summary of Statistics of Socio-economic and Demographic Characteristics Std. Variable Mean Minimum Maximum Deviation MMDA age 17.52 7.93 2.00 88.00 Population 102,832.20 6,639.15 11,031.00 635,956.00 Area coverage 811.86 817.24 13.00 1,287,765.00 MMDA GDP 1,768,580.00 3,700,353.00 60.00 10,000,000.00 MMDA officials 314.39 215.78 7.00 32,321.00 MMDA senior 44.42 16.40 2.00 654.00 officials MMDA middle 51.75 15.97 3.00 350.00 officials MMDA lower 78.75 23.57 3.00 1,393.00 officials Annual revenue 24,300,000.00 2,410,000.00 3,200.00 3,000,000,000 Annual expenditure 27,200,000,000.00 33,000,000.00 520.00 4,000,000,000,000 Financial institutions 4.93 1.78 0.00 48.00 Health centres 12.56 6.11 1.00 76.00 Basic schools 127.88 97.34 1.00 525.00 Secondary schools 4.00 1.62 1.00 49.00 Vocational & 1.64 0.21 0.00 10.00 technical institutions Markets centres 4.84 2.92 0.00 14.00 Labour force 43,068.42 3,094.83 40.90 22,0761.00 Household earnings 2,298.06 510.50 50.00 30,845.00 Employed 404.70 123.44 7.24 34,839.00 Source: Author’s Estimation 125 University of Ghana http://ugspace.ug.edu.gh The study revealed that majority (specifically 60%) of the MMDAs in Ghana are in the rural areas. This corroborates the findings of the Population and Housing Census (PHS), 2010. Out of the remaining 40 percent, 25 percent are in the semi-urban areas whilst 15 percent are found in the urban areas of the country. See Figure 4.2. - 25% 60% 15% Rural Urban Semi-Urban Figure 4.2: Location of MMDAs In addition, with respect to the major religious groups, more than half of the MMDAs (59.9%) had Christianity as the major religious group, 32.1% and 8.0%, respectively, had Islam and traditional religion as their dominant religious groups. The major source of revenue for the majority (88.7%) of the MMDAs is the District Assembly Common Fund. 126 University of Ghana http://ugspace.ug.edu.gh The other major sources of revenue include basic rates and market fees (2.8%), District Development Fund (4.2%), NGOs and multilateral organizations (2.8%) and other sources (1.4%). All the new districts received their main revenue from the District Assembly Common Fund. The development process of Ghana is enshrined in the successive Medium- Term Development Plan (MTDP) of Government, which is implemented by the MMDAs and MDAs. As a result, the study sought to investigate the thematic areas of the last MTDP. Policy areas in the last MTDP is significant for this study, particularly due to the fact that the resulting effects of the policies implemented in it are relatively easy to identify. Figure 4.3 gives the thematic areas of the last MTDP. Infrastructure and Human Settlement 8.12 Human Development 7.79 Ensuring and Sustainaing Macroeconmic 30.52 Stability Competitiveness in the Ghanaian Private 20.13 Sector Accelerated Agriculture Development 33.44 0 5 10 15 20 25 30 35 40 Figure 4.3: Thematic Areas of the Last MTDP 127 University of Ghana http://ugspace.ug.edu.gh About 33.44 percent of the respondents indicated that the thematic areas of the last MTDP focused on accelerated agriculture and development. Also, 30.52 percent revealed that the MTDP concentrated on ensuring and sustaining macroeconomic stability whilst 20.13 percent divulged that it focused on competitiveness of the Ghanaian private sector. In addition, the results showed that 7.79 and 8.12 percent of the respondents maintained that the MTDP was centered on infrastructure and human settlement and human development, respectively. 4.2 Impact of SEA on Various Sustainable Policy-Making Dimensions This section presents the results, analyses on the impact of SEA on the natural environment, MMDAs’ economies, and the socio-cultural wellbeing as well as institutional factors of the MMDAs. 4.2.1 Impact of SEA on the Natural Environment in Districts In this study, deforestation entails man-made activities that reduce forest cover, destruction of wildlife protection and the entire biological ecosystem. Pollution, on the other hand, covers the issue of soil, water, and land pollution. The results showed that the majority of respondents from the new districts were uncertain (77.3%) that the usage of SEA has an impact on deforestation. This was statistically significant at 5 percent significance level (P≤0.05) whilst most respondents in the old district (38.9%) asserted that the use of SEA has a positive impact and helps to reduce deforestation. It was thus statistically significant (P ≤0.05). 128 University of Ghana http://ugspace.ug.edu.gh With regards to pollution, the results showed that the majority of respondents from the new districts were uncertain (66.7%) that the usage of SEA has an impact on pollution. This was found not to be statistically significant at 5 percent significance level (P≤0.05). However, most respondents from the old districts indicated that the usage of SEA has had an impact on reducing pollution and was statistically significant. Table 4.2 shows the impact of SEA on the natural resources of Ghana, specifically aspects of deforestation and pollution were studied. Table 4.2: Impact of SEA on Deforestation and Pollution P- Variable New Districts (N= 31) Old District (N=185)  2 Value Deforestation Frequency (%) Frequency (%) 5.8 0.001* High 2 6.5 108 38.9 Moderate 2 6.5 97 35.0 Low 3 9.7 42 15.2 Uncertain 24 77.3 30 10.9 Pollution High 3 11.1 115 40.9 14.5 0.486 Moderate 2 7.4 87 30.9 Low 4 14.8 46 16.4 Uncertain 18 66.7 33 11.8 *Significant (P ≤ 0.05) Source: Author’s Estimation 4.2.2 Impact of SEA on Economic Activities of the Districts Majority of the respondents (54.5%) from the new districts asserted that the impact of SEA on economic activities is negative. In other words, economic activities in the MMDAs are on the decrease. Nonetheless, 59.8 percent of the respondents in the old districts maintained that the impact of SEA on economic activities is positive, and that economic activities are on the rise. This result is statistically significant at 5 percent significant level. 129 University of Ghana http://ugspace.ug.edu.gh Furthermore, the impact of SEA on employment is statistically significant at 5 percent level. This is due to the fact that majority (71.1%) of the respondents from old districts reported that employment is increasing, which is attributable to SEA. However, 93.6 percent of the respondents from new districts are uncertain with regards to the impact of SEA on employment. Table 4.3 shows the economic impact of SEA on the MMDAs. Table 4.3: Impact of SEA on MMDAs’ Economy Variable New Districts (N= Old District  2 P- 31) (N=185) Value Economic Frequency (%) Frequency (%) 6.1 0.035* Activities Increasing 6 27.3 171 59.8 Decreasing 12 54.5 70 24.5 Uncertain 4 18.2 45 15.7 Employment Increasing 1 3.2 197 71.1 Decreasing 1 3.2 36 12.9 4.2 0.004* Uncertain 29 93.6 44 16.0 *Significant (P≤0.05) Source: Author’s Estimation 4.2.3 Impact of SEA on Socio-cultural Activities in the Districts Majority (53.5%) of the respondents from the new districts revealed that the impact of SEA on the sanitation status in the MMDAs was poor; 73.6 percent, being the majority of the respondent in the old districts, reported that it was fairly good. The finding was statistically significant (p≤0.05). 130 University of Ghana http://ugspace.ug.edu.gh With regards to the impact of SEA on maternal and child under-five mortality, the results show that 72.9 percent and 53.1 percent for new and old districts, respectively, asserted that SEA had a moderate impact on maternal and child under-five mortality. This is also statistically significant at 5 percent. Finally, the respondents had divergent views on the impact of SEA on housing settlements. While 70.6 percent of respondents from the new districts were uncertain that SEA impacts on housing settlements, 74.5 percent of respondents from the old districts maintained that the SEA framework had an impact on housing settlements. The results of the impact of SEA on housing settlements was statistically significant at 5 percent level. Table 4.4 presents the results of the impact of SEA on the sanitation status, maternal and child under- five mortality rate, and housing settlements in the MMDAs. Table 4.4: Impact of SEA on MMDAs’ Socio-cultural Activities in the District 2 P- Variable New Districts Old Districts  Value Sanitation Status Frequency (%) Frequency (%) 4.1 0.018 Good 5 17.9 25 8.9 Fairly good 8 28.6 206 73.6 Poor 15 53.5 49 17.5 Maternal and Child Under-Five Mortality High 0 0.0 11 4.1 Moderate 27 72.9 144 53.1 3.9 0.021* Low 5 13.5 101 37.3 Uncertain 5 13.6 15 5.5 Housing Settlements Positive 5 14.7 205 74.5 5.3 0.033* Negative 5 14.7 24 8.7 Uncertain 24 70.6 46 16.8 Source: Author’s Estimation 131 University of Ghana http://ugspace.ug.edu.gh Figure 4.4 gives the responses to conditions where the implementation of the DMTDPs impact negatively on local economic activities of the District Assembly. Created Opportunities 12.3 No Compensation 52.1 Compensated 35.6 0 10 20 30 40 50 60 Figure 4.4: Impact of DMDTPs Implementation on Local Economic Activities Provisions of the SEA require that, right from the drawing board when developmental plans are being formulated, environmental considerations should be mainstreamed, consequently mitigating negative impacts. The results from the figure shows that more than half of the developmental projects within the DMTDP that were implemented caused economic losses within the Assembly (i.e. the communities in the Assembly) and no measures were put in place to mitigate this loss. Probing further through consultations with respondents through focus group discussions and interviews resulted in the following findings: - i. The districts had had no training in the use of the SEA tool; ii. Improper use of the SEA tool; iii. Failure to consider alternatives; 132 University of Ghana http://ugspace.ug.edu.gh iv. SEA is a conceptual tool and, as such, the judgment of the users of the tool may be flawed (Chanchitpricha & Bond, 2013; Acharibasam & Noble, 2014); and v. Lack of monitoring, which would have led to the development of mitigative measures such as compensation. These findings numbered (i) to (iv) above are corroborated by Partidario & Clark (2000). Specifically, on the issue of non – compensation conditions where the implementation of the DMTDPs impact negatively on local economic activities of the District Assembly. It was estimated at 52.1 percent of the total responses. This result was consistent with Sekyi et al., (2017). It implies that majority of the communities within the districts as a result of the economic strategies in the DMTDPs were thrown into poverty as no mitigation measures were put in place. This could be attributed to the reasons numbered (i) to (v). This category was made up of all the new districts sampled i.e. those who had not been trained in the use of SEA and the rest were the old districts who had been trained. Nevertheless, 35.6 percent of the respondents who belonged to the old districts maintained that economic strategies in the DMTDPs that had a negative impact had mitigation measures put in place in the form of compensation. In addition, 12.3 percent of the respondents who belonged to the old districts that had been trained in the use of the SEA tool maintained that, in situations where negative impacts arose, new opportunities were created. 133 University of Ghana http://ugspace.ug.edu.gh The study further revealed that SEA has reinforced the PPPs in the DMTDP in boosting general economic activities (see Figure 4.5). About 77.35 percent of the respondents indicated that SEA has helped in increasing economic activities significantly. However, 10.68 percent of the respondents revealed that SEA has not affected the expansion of economic activities in the MMDAs. The remaining 11.88 percent divulged that the issue of SEAs influence on economic activities through the DMTDP was not applicable to them. These respondents belonged to the new districts that do not employ SEA in their development planning process. 80 70 60 50 40 77.35 30 20 10 10.68 11.88 0 Significantly No effect Not applicable Figure 4.5: Expansion of Economic Activities with the Aid of SEA 134 University of Ghana http://ugspace.ug.edu.gh 4.2.4 Socio-cultural Impact of SEA on MMDAs Generally, about 72.0 % of the participants mentioned that the sanitation status of the District Assemblies was fairly good, 19.2% mentioned that it was poor and only 8.8% mentioned that the sanitation status of the district was good. This suggests that the effects of the SEA in mainstreaming environment concerns has positive spillover effects on the sanitation status of the MMDAs. This is in line with Aalto et al. (2015). More than half of the participants (58.5%) indicated that the trend of maternal mortality was low and 60.1% said that the trend of under-five mortality in the districts was low. Figure 4.6 shows that 70.04 percent of respondents said that the socio-cultural strategies in the DMTDP had a positive impact on the housing and settlement of the communities in the assembly as a whole, and more than one-fifth (26.07%) mentioned that the socio- cultural strategies in the DMTDP had had no effect on them. These were a mixture of old and new districts. Another 3.89 percent, however, maintained that the socio-cultural strategies in the DMTDP had a negative effect on the housing and settlement of the communities in the assembly as a whole. Again, these belonged to the new districts who had had no training in SEA. Probing further through focus group discussions and interviews, these results were attributed to the strong presence of qualified developmental planners and land use and spatial planners at the District Assembly. 135 University of Ghana http://ugspace.ug.edu.gh Their in-depth knowledge of the SEA tools as a result of the training, coupled with their area of specialization i.e. development planning, land use and spatial planning, which was brought to bear on the application of the SEA, made the application of SEA successful showing the percentages obtained in Figure 4.6. 80 70.04 70 60 50 40 26.07 30 20 3.89 10 0 No effect Positive Negative Figure 4.6: Effects of SEA on Housing Settlements 4.2.5 Institutional Impacts of SEA in the Development Planning Process Generally, the results show that the members of district planning coordinating units were being consulted often in the management of the environment. Bina (2006) and Darko- Mensah & Okereke (2013) also found similar results. This suggests that the MMDAs have mainstreamed the SEA aspect of galvanizing the assembly members in managing the environment. The results show that 63 percent of the respondents maintained that the community members were involved very often (Figure 4.7). 136 University of Ghana http://ugspace.ug.edu.gh In addition, 34 percent indicated that the assembly members were sometimes involved. The remaining 3 percent revealed that the community members were rarely involved. Figure 4.7 shows how staff of the assembly, assembly members, and unit committee members, i.e. those involved in the plan formulation process, as a whole, were involved in the management of the environment. 3% Very often 34% Sometimes 63% Rarely Figure 4.7: Involvement of District Planning Coordinating Unit Members in Environmental Management In accordance with the Ghana Environmental Protection Agency (EPA) “Akoben” rating methodology, the sampled regions were rated as follows on the four institutional factors: 80 percent and above, excellent; 65-79 percent, very good; 50-64 percent, Good; 41-49 percent, Unsatisfactory; 40 percent and below, Poor (EPA, 2015). 137 University of Ghana http://ugspace.ug.edu.gh Figure 4.8 shows the institutional impacts of SEA in Ghana. The results show that all MMDAs sampled scored 52.94 percent on Green budgeting. This implies that the manner in which MMDAs incorporated environmental factors in the budgeting process was “good”. As found by EPA (2015), the results confirm MMDAs mainstream environmental concerns in budgeting. However, the results indicate that environmental benefits due to procurement design was unsatisfactory. MMDAs scored 41.18 percent on this variable. This means that the various procurement activities undertaken at the MMDA levels creates opportunities for the environment. The study further finds that enforcement of environmental bye-laws and existence of environmental communication strategy scored 55.29 and 54.12% (Good) on average respectively, on these variables. Figure 4.8 presents the results on the institutional impacts of SEA on MMDAs in the development planning process. Green Budgeting process 52.94% Good Environmental Benefits of procurement 41.18% design Unsatisfactory Existence of Environmental 54.12% Good Communication Strategy Enforcement of environmental bye-laws 55.29% Good 0.00 20.00 40.00 60.00 Figure 4.8: Institutional Impacts of SEA in Ghana 138 University of Ghana http://ugspace.ug.edu.gh The figure details the following four institutional factors: incorporation of environmental concerns in the budgeting process; the environmental benefits of MMDAs procurement design; the existence of environmental communication strategy (e.g. reports publication); and the enforcement of environmental bye-laws. Figure 4.9 shows institutional impacts of SEA in the Northern Belt. On a disaggregated level, the study found that all MMDAs from the three northern regions scored unsatisfactory for all the four variables. This corroborates the “Akoben” ratings of the MTDP of MMDAs between 2010 and 2013 (EPA, 2015). 46.12% Green Budgeting process Unsatisfactory 45.6% Environmental Benefits of procurement Unsatisfactory design 43.5% Existence of Environmental Unsatisfactory Communication Strategy 48.2% Enforcement of environmental bye-laws Unsatisfactory 40 42 44 46 48 50 Figure 4.9: Institutional Impacts of SEA in the Northern Belt 139 University of Ghana http://ugspace.ug.edu.gh Figure 4.10 shows the institutional impacts of SEA in the middle belt. The study reveals that MMDAs from the Middle Belt performed a little above the other two belts. Apart from scoring unsatisfactory at the green budgeting process, the remaining three factors were at least “good”. This suggests that MMDAs in the Middle Belt are more proactive in dealing with environmental issues. 66.12% Very Good 58.18% 70.00 55.29% Good Good 48.94% 60.00 Unsatisfactory 50.00 40.00 30.00 20.00 10.00 0.00 Enforcement of Existence of Environmental Green environmental Environmental Benefits of Budgeting bye-laws Communication procurement process Strategy design Figure 4.10: Institutional Impacts of SEA in the Middle Belt Figure 4.11 shows the institutional impacts of SEA in the Southern Belt. MMDAs in the Southern Belt i.e. the Greater Accra and Western Regions do not satisfactorily mainstream environmental issues into their institutional strategies. With the exception of scoring “Good” on having communication strategies, the MMDAs scored unsatisfactory for the remaining institutional factors. 140 University of Ghana http://ugspace.ug.edu.gh 48.29% 54.12% Good 60.00 Unsatisfactory 47.94% 41.18% Unsatisfactory 50.00 Unsatisfactory 40.00 30.00 20.00 10.00 0.00 Enforcement of Existence of Environmental Green environmental Environmental Benefits of Budgeting bye-laws Communication procurement process Strategy design Figure 4.11: Institutional Impacts of SEA in the Southern Belt 4.3 Quasi-experiment of the Impact of SEA on the Development Planning Process of Ghana As already stated in Chapter Three, the quasi-experiment tool employed in the study is the Propensity Score Matching technique. Thus, to measure the impact of SEA on the development planning process in Ghana, four measurable socio-economic variables were used (Agyekum, 2013). These variables include average expenditure of the MMDA in its location; proportion of labour force employed; maternal mortality rate; and child under five mortality rate. 141 University of Ghana http://ugspace.ug.edu.gh Out of the 121 MMDAs that responded, 31 do not employ SEA in the development planning process whilst the remaining 90 used the SEA framework in their policy planning. 4.3.1 Propensity Score Estimates To enable the estimation of the effect of SEA on the MMDAs using SEA, the similarities between the SEA using MMDAs (old district or treated) and non-SEA (new district or untreated) using MMDAs were found by matching them using the propensity scores derived with the variables in Table 4.5. From the list of variables, all variables except literacy and unemployment rates are statistically insignificant in determining whether an MMDA will adopt SEA in its development planning process or otherwise. Time and revenue are statistically significant at all levels. The signs of these variables are positive, indicating that they are more likely to influence the MMDA to adopt the use of SEA. The population and area covered by a respective District Assembly are more likely to influence it to implement SEA. Statistically, these variables are significant at 1 percent and 5 percent, respectively. The probable reason for this finding is that Districts with a large population and wide area cover are more likely to have environmental and economic challenges. This corroborates the results of Sekyi et al., (2017). 142 University of Ghana http://ugspace.ug.edu.gh Table 4.5: The Propensity Score Estimates Variables Estimates Time 0.0950*** (0.008) Revenue 0.0510*** (0.0031) Population 0.0580*** (0.0047) Area 0.811** (0.0010) Sanitation 0.00874* (0.0246) Literacy 0.610 (0.0232) Maternal mortality rate 0.023** (0.007) Child mortality rate 0.159*** (0.018) Unemployment rate -0.289 (0.923) Air population 0.377*** (0.128) Water pollution 0.013*** (0.003) Resources 0.594*** (0.106) Ecosystem 0.471* (0.004) Constant 2.967*** (0.0670) Observations 307 Standard Errors in parentheses *** p<0.01, ** p<0.05, * p<0.1 Source: Author’s Estimation, 2017 143 University of Ghana http://ugspace.ug.edu.gh In addition, sanitation is positive and statistically significant at 10 percent in the logistic model, an indication that MMDAs with many sanitation problems will adopt the SEA framework. Maternal mortality and child mortality rates are statistically significant at all levels. Furthermore, air and water pollution are statistically significant at all levels and indicate that Districts with air and water pollution are likely to adopt SEA. Finally, the resource item shows that MMDAs that are well resourced and those that have unhealthy ecosystems are more likely to use the SEA framework. Statistically, these variables are significant at 1 percent and 5 percent, respectively. Darko-Mensah & Okereke (2013 found that SEA is often used in communities where the environment and sanitation are threatening the progress of life. 4.3.2 Tests of Matching Quality As already stated, estimates obtained from the propensity scores are used to match the treated and untreated Metropolitan, Municipal and District Assemblies (MMDAs). Treated MMDAs i.e. old districts are the SEA using MMDAs whilst the untreated MMDAs i.e. new districts are the non-SEA using MMDAs respectively. Before the examination of the impact of the SEA on the MMDAs, the quality of matching the untreated to the treated MMDAs must be tested (Li, 2013). The idea behind the matching to estimate the effect of SEA, for example, is that, if the SEA using and non-SEA using MMDAs have the population and land size (area), then any difference in the improvement of the SEA using MMDAs can be attributed to SEA (Agyekum, 2013; Khandker et al., 2010). 144 University of Ghana http://ugspace.ug.edu.gh Figures 4.12 and 4.13 present the distribution of the propensity scores graphs before and after matching. It can be observed that, before matching, the propensity scores were unevenly and widely distributed. This indicates a vast variation between the propensity scores of the SEA using MMDAs and non-SEA using MMDAs due to the presence of biases. Figure 4.12: Distribution of Propensity Scores Graphs Before Matching Nonetheless, the after matching, as shown in Figure, 4.13, shows an evenly narrowly distributed propensity scores across the SEA using MMDAs and non-SEA using MMDAs, signifying the removal of the biases by imposing the common support leading to the exemption of MMDAs that were not best matches and, thus, not in the common support region. This shows that the estimation of the propensity scores balances the SEA using MMDAs and non-SEA using MMDAs well and justifies the need for estimating the propensity scores. 145 University of Ghana http://ugspace.ug.edu.gh Figure 4.13: Distribution of Propensity Scores Graphs After Matching Table 4.6 presents the covariate balancing indicators before and after matching. Generally, before matching, the pseudo R2 and the likelihood ratio test are high and highly significant with a higher mean bias level. However, after matching, the pseudo R2 was very low and the likelihood ratio test was statistically insignificant with the mean bias level greatly reduced. The low pseudo R2 and the insignificant likelihood ratio test after matching support the hypothesis that both the SEA using MMDAs and non-SEA using MMDAs have the same distribution in covariates after matching. This shows that the matching procedure is able to greatly reduce the level of bias across the characteristics of the SEA using MMDAs and non-SEA using MMDAs, and thus balances the characteristics across the SEA using MMDAs and non-SEA using MMDAs. The matching was, thus, used to estimate the effect of the SEA on the development planning process of the MMDAs. 146 University of Ghana http://ugspace.ug.edu.gh Table 4.6: Covariate Balance Indicators Before and After Matching Matching Pseudo R2 LR Chi2 %Bias P>Chi2 Mean Bias Type Reduction Before 0.441 184.21 0.000 21.12 51.25 Matching After 0.022 14.89 0.597 11.32 Matching 4.3.3 Estimates of SEA Impacts The outcome variables are average MMDAs’ annual expenditures, maternal mortality rate and child under-five mortality rate. The impact of SEA on the development of SEA using MMDAs is shown by the ATT index. The results show that the use of SEA has a positive impact on MMDAs. This is statistically significant at all levels. The use of the SEA framework increases the average MMDAs’ annual expenditures by 5.5 percent. This result is consistent with Darko-Mensah & Okereke (2013). The authors maintain the use of SEA encourages MMDAs to spend on critical areas for the development of the District, Municipality, or Metropolitan Assembly. The impacts of SEA on the economic and socio-cultural activities of the MMDAs are shown in Table 4.7, using the nearest neighbour matching with replacement method. 147 University of Ghana http://ugspace.ug.edu.gh Table 4.7: Estimates of SEA Impacts Common Outcome Treatment Effects Gamma Support Level Variable (No. On Support) (γ) ATT ATU ATE Treated Control Average MMDA 11.21- annual expenditure 0.055*** 0.036*** 0.045** 85 21 11.55 (GH₵) (6.44) (3.88) (4.08) Maternal mortality 7.95- -1.890** -1.312 -1.687** 54 28 rate 8.01 (6.55) (2.10) (4.10) Under-5 child 6.20- -2.62*** -1.301* -2.451** 71 27 mortality rate 6.73 (4.13) (1.99) (3.22) *** p<0.01, ** p<0.05, * p<0.1 ATT= the impact of SEA on MMDAs ATU= the impact of SEA on non-SEA using MMDAs ATE= the average impact of SEA on the sampled MMDAs In addition, the use of SEA has a positive impact on non-SEA using MMDAs. Statistically, this is significant at all levels, so that annual expenditures of non-SEA using MMDAs would have increased by 3.6 percent if they had adopted the SEA framework in their development planning process. This is measured by the ATU index. Furthermore, the Average Treatment Effect is measured by the ATE index. Table 4.7 indicates that the average increase in annual expenditures is 4.5 percent. 148 University of Ghana http://ugspace.ug.edu.gh This implies that all sampled SEA using MMDAs, have their expenditures increased by 4.5 percent on average. With respect to maternal mortality rate, the results show that the usage of SEA reduces the impact on maternal mortality rate, which means that when MMDAs adopt and sustain the usage of SEA, maternal mortality will diminish, a finding that corroborates MLGRD (2010). The results indicate that employment of SEA reduces maternal mortality by 1.9 percentage points. One reason for this result is that SEA in the policy framework puts across strategies that protect the vulnerable. As ATU of maternal mortality is 1.3 percent, this implies that non-SEA using MMDAs would have decreased maternal mortality by 1.3 percentage points if they had employed this strategic tool. However, this is statistically insignificant. Finally, on the maternal mortality rate, the results show that maternal mortality decreased in each SEA using MMDA by 1.7 percentage points. The results show that ATT and ATE on maternal mortality rate is statistically significant at 5 percent. SEA has a significant impact on the under-five child mortality rate. The results show that the adoption of SEA reduces the child mortality rate by 2.62 percentage points. Under- five child mortality rate would have decreased by 1.30 percentage points if non-SEA using MMDAs had adopted SEA in their development planning process. Finally, the employment of SEA reduces the under-five child mortality rate by 2.5 percentage points on average in each SEA using MMDA. Statistically, ATT, ATU, and ATE are significant at 1%, 10 % and 5 %, respectively. 149 University of Ghana http://ugspace.ug.edu.gh 4.4 Sustainability Mainstreaming Gaps and Understanding of SEA among MMDAs in Ghana This section presents the results of the perception of respondents on the SEA sustainability mainstreaming and the level of comprehension of respondents on the usage of the SEA framework. 4.5 Perception of MMDAs on SEA Sustainability Mainstreaming Table 4.8 presents the perception of respondent on SEA sustainability mainstreaming with five statements. Table 4.8: Perception of MMDAs on SEA Sustainability Mainstreaming No. of Strongly Strongly Statement Agree Neutral Disagree Resp. Agree Disagree SEA can enhance sustainable economic 210 92 6 0 0 308 growth if it is effectively (68.2) (29.8) (1.9) (0.0) (0.0) employed SEA is inherently a 15 27 71 98 91 302 political process (4.8) (8.8) (23.1) (31.8) (29.5) SEA effectively integrate environmental concerns 198 72 0 20 18 308 into the decision-making (64.3) (23.4) (0.0) (6.5) (5.8) process Is there a need to design a new SEA framework to 205 40 0 23 43 effectively mainstream 311 (66.6) (12.9) (0.0) (7.5) (13.9) development policies in Ghana? The SEA framework currently used by the MDAs and MMDAs has 60 180 0 40 28 308 not effectively closed the (19.5) (58.4) (0.0) (12.9) (9.1) sustainability mainstreaming gaps Percentages in parentheses 150 University of Ghana http://ugspace.ug.edu.gh Since the instruments consist of five statements, the following score values are revealed: The total score for any respondent would fall between five (5) and twenty-five (25), with a median score of fifteen (15). If the total score of a respondent falls above the median, then it indicates a higher perception. If the score falls below the median, it indicates a lower perception, and a score of exactly the median is suggestive of neutral. With regards to whether SEA can enhance sustainable economic growth if it is effectively employed, most respondents (68.2%) strongly agree to the assertion, indicating a higher perception. The majority of the respondents had a lower perception (31.8%) when they were asked if SEA is inherently political process since they disagree with the assertion. When the views of respondents were ascertained as to whether SEA effectively integrates environmental concerns into the decision-making process, most respondents strongly agree (67.3%) to the assertion indicating a higher perception. With regards to whether there is a need to design a new SEA framework to effectively mainstream development policies in Ghana, most respondents strongly agree (66.6%) indicating a higher perception. Finally, when the respondents were asked if the SEA framework currently used by the MMDAs had not effectively closed the sustainability mainstreaming gaps, most respondents agree (58.4%) indicating a higher perception. 151 University of Ghana http://ugspace.ug.edu.gh 4.6 Understanding of MMDAs on SEA Usage Table 4.9 presents the results on the understanding of MMDAs with regards to the application of SEA. Table 4.9: Understanding of MMDAs on SEA Usage No. of Strongly Strongly Statement Agree Neutral Disagree Resp. Agree Disagree The techniques of 308 240 68 0 0 0 SEA are easy to (77.8) (22.1) (0.0) (0.0) (0.0) understand I can easily practice 308 210 60 0 38 0 the skills effectively in (68.2) (19.5) (0.0) (12.3) (0.0) my department I could as a matter of urgency train another 108 150 0 30 20 308 official to use SEA if (35.1) (48.7) (0.0) (9.7) (6.5) the need arises Additional workshops are required to effectively train users 70 108 0 60 70 308 of the framework to (22.7) (25.1) (0.0) (19.5) (22.7) increase their efficiency On a five-point scale, the study found that MMDAs understand the concepts of the SEA framework. Specifically, 77.8 percent of the respondents strongly agree to the query of whether the techniques of SEA are easy to comprehend: another 22.1 percent of the respondent agreed. A question was posed on whether respondents can easily practice the skills of the SEA in their departments. The study indicated that 68.2 percent of the respondents strongly agreed whilst 19.5 percent agreed. However, 12.3 percent of the respondent disagreed. 152 University of Ghana http://ugspace.ug.edu.gh Respondents were also asked if they could train another official to use the SEA framework. The majority of the respondents (48.7%) agreed to this query whilst 35.1 percent strongly agreed; and 9.7 percent and 6.5 percent strongly disagreed and disagreed, respectively. In order to assess the comprehension level of respondents, the study sought to find out if additional workshops are required to effectively train users to be more efficient in the application of SEA. It was revealed that 25.1 percent of the respondent agreed to the query. Another 22.7 percent strongly agreed. Furthermore, 19.5 percent disagreed whilst 22.7 percent strongly disagreed. 153 University of Ghana http://ugspace.ug.edu.gh CHAPTER FIVE DISCUSSION 5.1 Introduction This chapter discusses the research findings in accordance with the literature. It begins with discussions on the impacts of SEA on the various sustainable policy making dimensions, then discusses the results of the propensity score matching technique, and concludes with discussions on perception of the sustainability mainstreaming and understanding of SEA in the various MMDAs. 5.2 Impacts of SEA on Sustainable Policy Dimensions Generally, the findings of the study corroborate in a significant way the results found in the literature. Firstly, the SEA’s positive impact on deforestation is corroborated by Sadler & Verheem (1996), Partidário (2003), Gachechiladze (2010) and EPA (2015), in that the usage of the framework reduces the impact of PPP’s on the natural environment. The probable reasons for the effectiveness of the SEA in this direction is that trainers of the SEA were effective in building the capacity of the implementers of the SEA framework at the district level. Another reason is that the SEA approach does not deviate significantly from the environmental policy of Ghana, which, as already indicated, adopts preventive principles. 154 University of Ghana http://ugspace.ug.edu.gh Secondly, in line with Sadler & Verheem (1996) and Partidário (2003), SEA implementation has a dampening effect on pollution (air, water and soil pollution). These results could be due to the reduction of air pollution from a culmination of projects being implemented at the district level, as environmental concerns have been mainstreamed in most construction projects in districts throughout the county. For instance, it is not uncommon for contractors to barricade the entire site of construction in Ghana. Ametepey et al. (2015) found empirical evidence on this in Ghana where pollution is minimized as a result of this practice. The authors, however, noted that natural resource consumption (e.g. water) by implementers of PPPs was not sustainable. Thirdly, consistent with the Medium-Term Development Plan (MTDP) Progress Report (2015) of the National Development Planning Commission (NPDC) and the Ghana Living Standards Survey Report (2014), SEA impacted positively on economic activities and employment trends of the MMDAs. This is in line with Partidário (2003) who found that the SEA promotes the economic wellbeing of the people. The probable reason for its positive economic impact can be attributed to the sustainability concepts inherent in the SEA. The SEA ensures that the environment is managed efficiently to facilitate continuous sustainable consumption and production economic activities, which are increased and sustained. Generally, the SEA framework has positive effects on the three socio-cultural measures of the MMDAs, namely, sanitation, under-five child and maternal mortality rates, which are on the low side; and housing settlement, which is on the high side. This may be due to the all-inclusive developmental frameworks that are shaped by SEA in the MTDPs. 155 University of Ghana http://ugspace.ug.edu.gh The rates of under-five child and maternal mortality are outcomes of the level of economic activities, sanitation, employment and medical services in the MMDAs. Thus, the downward trends of under-five child and maternal mortality rates could probably be connected to the improvement in economic activities and employment, which reduce, at least marginally, the poverty levels that drive the issues of under-five child and maternal mortality rates. These results obtained for the under-five child mortality rate do not corroborate the findings of Ghana MDG Reports (2015). The report revealed that, between the periods of 1990 to 2015, under-five child and maternal mortality reduced by two-thirds and three-thirds, respectively. However, it must be noted that all the success in the reduction of under-five child and maternal mortality cannot be attributed to the MTDPs that make use of the SEAs. As found by EPA (2015), the study confirms that MMDAs make use of institutional channels such as budgeting, procurement and enforcement of environmental by-laws to mainstream environmental concerns in the development planning process of Ghana. As already indicated, the use of institutional factors is unique to Ghana’s SEA approach. Development and making use of institutions play critical roles in the progress of developing countries like Ghana. 5.3 Propensity Score Matching Estimates Employment of the SEA framework increases average MMDA annual expenditures by 5.5 percent. This is consistent with Darko-Mensah & Okereke (2013). The authors maintain that usage of SEA encourages MMDAs to spend on critical areas of the District, Municipality, or Metropolitan. 156 University of Ghana http://ugspace.ug.edu.gh The SEA induced expenditures include compensation to victims of construction works who have to vacate their lands or houses to enable a project be executed. It also includes, among others, the extension of budgets (Green budgets) to cover pro- environmental decisions that must be made when the implementation of a PPP will have an adverse impact on the environment. As a result, it is not surprising that the usage of SEA places an additional expenditure burden (5.5% of MMDAs expenditure) on the MMDAs. As already indicated, the study found evidence of SEA’s impact on maternal mortality rates. The Propensity Score Matching (PSM) results give the quantitative impact of the SEA on this variable in question (maternal mortality rates). The result implies that when MMDAs adopt and sustain the usage of SEA, maternal mortality will diminish, a finding that corroborates the Ministry of Local Government and Rural Development (2010), and Ghana MDG Reports (2015). One reason for this result is that SEA in the plan formulation processes puts across strategies that protect the vulnerable in the society and the environment. Consistent with the Ghana Millennium Development Goals (MDG) Reports (2015) and the Ghana Demographic Survey Report (2015), the Propensity Score Matching (PSM) technique found significant impact of SEA on under-five child mortality in Ghana, suggesting that a sustained use of SEA in Ghana will reduce, to a significant level, the under-five child mortality cases in the country. 157 University of Ghana http://ugspace.ug.edu.gh 5.4 Perception of MMDAs on SEA Sustainability Mainstreaming Knowledge of the perception of people regarding a policy framework is necessary in measuring its success. Thus, the perception of the respondents about the SEA is important as the respondents are key stakeholders and as such are core to the successful implementation of the SEA at the district level. The respondents hold a high perception regarding the ability of the SEA to enhance sustainable economic growth. This suggests that respondents believe that, for sustainable development to take place in Ghana, the nation cannot compromise on the use of SEA. However, the high perception of respondents on the need to design a new SEA framework to effectively mainstream development policies in Ghana, suggests that there are still some sustainability mainstreaming gaps that need to be closed. One can draw the conclusion that the issue of monitoring and evaluation is the missing link in Ghana’s SEA process. There is no effective system to ascertain whether or not a PPP has had environmental considerations mainstreamed. Thus, having a sustainable PPP as a document, does not mean that the district is “walking the talk” drawn up in its PPP, or is actually translating its sustainable document into actual actions on the ground which should then ultimately translate to the attainment of sustainable development (EPA, 2015). There is the need to put in place an effective system that will look at the translation of the strategic actions in the plan to measurable impacts. Without such a system of monitoring and evaluation, no matter what laws are put in place and strictly adhered to (as is the case of most countries that apply SEA), it will be difficult to establish actual impact of SEAs whether or not the framework is appropriate and it makes a contribution to sustainable development of a country. 158 University of Ghana http://ugspace.ug.edu.gh Furthermore, within the context of developing countries, it is noted that ‘funding conditionalities’ applied by development partners, both bilateral and the multilateral organizations, have been effective in driving conformance and as such have facilitated the growth of SEA in many countries including Ghana. This is evidenced in the literature review of the number of SEAs conducted. Ghana needs to adequately budget for strategic actions, which are found in the district medium term development plans and this should translate into budgets, and these budgets should be released by the central government. It is only until then that translation of these strategic actions into tangible results i.e. “walking the talk” can be realized. 5.5 Understanding of MMDAs on SEA Usage The results show that the understanding level of the SEA at the district level is good. Although respondents revealed that some additional workshops would be required to enable efficient and effective implementation of the SEA framework, the results further suggest that respondents who understand the framework can even train other people to apply it. The finding is probably due to the nature of the Ghana’s SEA approach (EPA, 2015). Capacity building is a major strength of the ‘Ghana SEA approach’ and contributes to strengthening awareness, ensuring ownership of the process and commitment to the implementation of the process in all institutions (private, public and civil society organizations). Stakeholder participation is a generally accepted element of SEA in Ghana. Apart from the use of widely accepted participatory techniques (focus group discussions, workshops), most SEA tools that were developed by the EPA are participatory in nature. This makes the respondents familiar with the tool. 159 University of Ghana http://ugspace.ug.edu.gh The ‘Ghana SEA approach’ is characterized by a range of workshops involving representatives of key stakeholders. If the budget allows for this, three sets of workshops are organized: during scoping, for assessment, and for discussions on the policy recommendations. These workshops generally have a double objective of (i) capacity building and training (on environmental mainstreaming and SEA tools), and (ii) application of the SEA tools to undertake the actual assessment. Thus, a lot of MMDA officials have been trained on SEA and the relevance of environmental mainstreaming. As a result, the number of officials having been actively involved in the SEA at the district level is impressive. In addition, several sectoral SEAs have adopted a multi-level approach, whereby interviews and workshops at local (District) level are part of the SEA process and aimed to inform the national policy process. This was apparent in the SEA of the GPRS I, SEA in energy sector, SEA in mining, and SEA in transport. From the SEA workshop participants’ lists, it was observed that Government agencies are always well represented. In many cases, high level representatives are among the participants. NGOs and the private sector are strongly represented since their participation enhances accountability in the conduct of SEA. With regard to District Level SEAs, participants are mainly well-educated Government staff, important stakeholders such as private sector agencies (e.g. mining companies), local NGOs, women and other vulnerable groups. Effective planning processes are required for assemblies to respond adequately to local development needs. 160 University of Ghana http://ugspace.ug.edu.gh A Review of SEA Practice identified the main characteristics of SEA to include:  Broad focus on sustainability (bio-physical, socio-cultural, economic, institutional);  Participatory process involving a wide range of stakeholders;  Simple tools, not data demanding;  Capacity building and awareness raising as key components;  Application at National and District levels;  Main goal of mainstreaming sustainability in PPPs;  Aid in monitoring and evaluation of PPPs;  EPA and NDPC jointly playing central roles in the process;  Ownership with national agencies;  Overall goal to achieve sustainable development; and  To assist in the achievement of the SDGs. In addition, some of the elements of good practices identified include:  Use of SEA tools that generate insights into sustainability issues, linkages between social and environmental issues;  Institutional analysis as a first step;  Support for a more systematic and integrated planning process;  Establishment of linkages between environment and poverty;  Effective use of baseline data and expert studies into PPP design;  Broad involvement of different stakeholders from different levels;  Expert studies on key sustainability issues; and  SEA leading to Advisory Notes for improved PPPs. 161 University of Ghana http://ugspace.ug.edu.gh 5.6 Weaknesses in the Ghana SEA Approach From the results of this study one can draw the conclusion that the issue of monitoring and evaluation is the missing link in Ghana’s SEA process. There is no effective system in place to ensure that a PPP that has had environmental considerations mainstreamed and, as such, having a sustainable plan doesn’t mean that the district will achieve sustainable development. This is evidenced by the results in the study that only two pillars have had some impact. There is the need to put in place an effective system that will look at the translation of the strategic actions in the plan to measurable impacts. Without such a system of monitoring and evaluation, no matter what laws are put in place and these laws are strictly adhered to (as is the case of most countries that apply SEA), it will be difficult to establish the actual impact of SEAs, whether or not the framework is appropriate and it makes a contribution to sustainable development of a country. Furthermore, within the context of developing countries, it is worthy to note that ‘funding conditionalities applied by Development Partners, both bilateral and the multilateral organizations have been effective in ensuring conformity and has facilitated the growth of SEA in many countries including Ghana. A literature review of SEAs conducted in Ghana show that there the need to adequately budget for all strategic actions, which are implemented through the District Medium-Term Development Plans. It is only by budgeting and allocating resources that will ensure that strategic actions can be translated into tangible results i.e. “walking the talk”. There is also the need to provide a suitable administrative structure to support SEA implementation with clearly defined roles for EPA, NDPC, MMDAs as well as Civil Society Organizations (CSOs) and the public. 162 University of Ghana http://ugspace.ug.edu.gh These efforts should be backed by some form of legal instrument which is needed to ensure a consistent application of SEA in Ghana. Getting decision-makers (such as politicians, policy-makers, senior bureaucrats etc.) to appreciate what SEA is all about and how it can be applied is a challenge. However, the buy-in and push received from decision-maker is very important among others to ensure that the SEA process receives the needed support including funding and participation. Another challenge has to do with how the results of SEA will be used in transparent and publicly accountable decision-making to promote sustainable development to the benefit of all. This also requires securing the appropriate ‘buy-in’ and political will at the highest levels. These constraints will need to be addressed as part of any efforts to promote the consistent application of SEA to PPPs in Ghana. 163 University of Ghana http://ugspace.ug.edu.gh CHAPTER SIX SUMMARY, CONCLUSIONS AND RECOMMENDATIONS 6.1 Introduction This chapter presents the summary and conclusions of the study. It begins by summarizing the study from the introduction though the literature review and methodology as well as the results, analyses and discussions sections of the study. Subsequently, the conclusions of the study are drawn from the summary. The chapter ends with a section on policy recommendations. 6.2 Research Summary Environmental assessments began in the 1960s in the United States of America to increase environmental awareness. Currently, environmental assessments have gained legislative backing. Environmental assessments are, thus, governed by rules of administrative procedure regarding public participation and documentation of decision- making, which may be subjected to judicial review. In view of this, two major environmental assessment frameworks are usually employed. These are the Environment Impact Assessment (EIA) and Strategic Environmental Assessment (SEA). EIA is employed when assessing projects whilst SEA is applied to policies, plans and programmes (PPP). The general objective of SEA is to: strengthen project-level EIA; influence higher tier decision-making and PPP formulation by taking into account alternatives; support decision-making towards sustainability; create new knowledge and a learning process; and increase participation of a wider range of actors in policy, plans, and programmes and strategic decision-making (Therivel, 2004). 164 University of Ghana http://ugspace.ug.edu.gh The framework (SEA) has been prominent in mainstreaming environmental considerations in Ghana and on the African continent. Ghana has been judged a model of SEA in Sub-Sahara Africa. Ghana adopted SEA for environmental sustainability concerns in 2002. Since then, the framework has been applied in different sectors of the economy including its growing oil and gas sector. SEA was first employed to integrate environmental concerns into the Ghana Poverty Reduction Strategy (GPRS) I, and Growth and Poverty Reduction Strategy (GPRS) II (OECD, 2012). Since the application in these two prominent policies, the framework has played prominent roles in twenty-one (21) policy frameworks in Ghana from 2004 to 2012. For the purposes of sustainable development at all levels, the SEA framework has been integrated into the development planning process of the Metropolitan, Municipal and District Assemblies since 2002. The Ghana SEA approach is characterized by a certain sequence of steps and a set of SEA tools. This approach was initiated by the experience of using SEA for the GPRS, which set a benchmark for subsequent SEAs conducted under the guidance of EPA and NDPC at sectoral and at district levels. A major development in the Ghana SEA approach has been the move to expand the usual three pillars of sustainability as set out by the Brundtland Commission’s Agenda 21 to four pillars. These pillars are natural resources, socio-cultural, economic and institutional. The socio-cultural pillar was expanded to take care of the cultural dimension and includes all human aspects of the social questions that affect the individuals and the communities, together with the cultural aspects, including the conservation of the tangible and intangible cultural heritage, health, education, ways of life and customs, human identity and development (Gutiérrez, 2015). 165 University of Ghana http://ugspace.ug.edu.gh The institutional dimensions cover issues of governance, legal frameworks, transparency, participation and the institutions that run these three pillars. Thus, in Ghana, the term “Environment” is used to describe the natural resources, the socio- cultural, and the economic pillars and the institutions that run them. This is what sustainability means in the Ghana SEA approach. Capacity building is a major strength of the ‘Ghana SEA approach’ and contributes to strengthening awareness, ensuring ownership of the process and commitment to the implementation of the process. Stakeholder participation is a generally accepted element of SEA in Ghana. Apart from the use of widely accepted participatory techniques (focus group discussions, workshops), most SEA tools that were developed by EPA are participatory in nature. Despite being in existence among the MMDAs for several years, the SEA framework has not been rigorously evaluated to ascertain its impact on the development planning at the country’s local level. Among other objectives, the study sought to evaluate the impact of SEA on various sustainable policy-making decisions of the MMDAs. It investigated the perceptions of sustainable mainstreaming gaps, and level of understating of the framework in Ghana. The study covered all the 216 MMDAs in Ghana. A well-structured questionnaire was administered to two District Planning Coordinating Officials of the MMDAs on a random sampling basis. Prior to the main data collection exercise, a pre-test exercise was undertaken to control for any uncertainties and irregularities that may have arisen in the main survey. 166 University of Ghana http://ugspace.ug.edu.gh In all, four hundred thirty-two (432) officials from the MMDAs were sampled of which three hundred and eight (308) fully responded. Thus, the analyses were undertaken based on three hundred and eight responses. The Chi Square statistics was employed to analyze the impacts of SEA on the various sustainable policy dimensions. In addition, formal statistical methods such as the Propensity Score Matching (PSM), ratios, percentages, Likert Scale, charts and tables were employed to analyze the data. The PSM is a quasi-experimental technique used to formally evaluate the impact of policies. It works by matching participants to a policy to non-participants of the policy. This enables the model to estimate actual impact of the policy. Out of the 216 MMDAs selected, 31 of them were entirely new and had not been trained to use the SEA framework. Thus, these new MMDAs were judged as non- participants of SEA whilst the remaining 185 MMDAs were participants of SEA. Descriptive SEA impact analyses were undertaken on the institutional, economic, socio- cultural and environmental (natural resource) pillars of the SEA in Ghana. The analyses on the economic, socio-cultural, and environmental were supported by the Chi Square technique. With regards to the institutional pillar, the study sought to obtain information on factors such as: the incorporation of environmental concerns in the budgeting process, the environmental benefits of MMDAs procurement design, the existence of environmental communication strategy (e.g. reports publication), and the enforcement of environmental bye-laws. Generally, the results showed that SEA does not significantly impact the institutional activities of the MMDAs. Specifically, the results showed that all MMDAs sampled scored 52.94 percent of Green budgeting. 167 University of Ghana http://ugspace.ug.edu.gh This indicates that the manner in which MMDAs incorporated environmental factors in the budgeting process was “good”. As found by EPA (2015), the results confirm that MMDAs mainstream environmental concerns in budgeting. However, the results indicate that environmental benefits due to procurement design was unsatisfactory: MMDAs scored 41.18 percent on this variable. This means that the various procurement activities undertaken at the MMDA levels did not benefit the environment. The study also found that enforcement of environmental bye-laws and existence of environmental communication strategy scored 55.29 and 54.12% (Good) on average respectively, on these variables. Furthermore, the study revealed that that SEA has had a significant impact on the economic activities of the MMDAs. Respondents revealed that economic activities and employment levels in the MMDAs were on a sustained increase. This finding corroborates Partidário (2003) that the SEA promotes the economic wellbeing of the people. The probable reason for its positive economic impact can be attributed to the sustainability concepts inherent in the SEA. As the SEA ensures that the environment is managed efficiently to facilitate continuous production and consumption, economic activities are increased and sustained. On the impact of SEA on the natural environment, the results show that SEA has a significant positive impact on the natural environment. The results indicate that issues of deforestation and pollution are mainstreamed by SEA. This confirms the findings of Sadler & Verheem (1996), Partidário (2003), Gachechiladze (2010) and EPA (2015) that the usage of the framework reduces the impact of PPP’s on the natural environment. The probable reasons for the effectiveness of the SEA in this direction is that trainers of the SEA were effective in up skilling the implementers of the framework at the district level 168 University of Ghana http://ugspace.ug.edu.gh The study showed that the SEA framework has positive effects on the three socio-cultural measures of the MMDAs. Whilst sanitation, under-five child and maternal mortality rates are on the low side, housing settlement is on the high side. This may be due to the all- inclusive developmental frameworks, which are shaped by SEA in the MTDP. The rates of under-five child and maternal mortality are outcomes of the level of economic activities, sanitation, employments and medical services in the MMDAs. Thus, the downward trends of under-five child and maternal mortality rates could probably be connected to the improvement in economic activities and employment, which reduces, at least marginally, the poverty levels that drive the issues of under-five child and maternal mortality rates. These results corroborate the findings of Ghana MDG Reports (2015). The formal impact evaluation exercise was performed on annual expenditures, maternal mortality rates, and under-five mortality rates. These were undertaken with the PSM. The results revealed that SEA increases annual expenditures on the MMDAs by 4.5%. That is, MMDAs that used SEA have their annual expenditures increased by this percentage. The results agree with Darko-Mensah & Okereke (2013). The authors argue that the usage of SEA encourages MMDAs to spend on critical areas of the District, Municipality, or Metropolitan. The SEA induced expenditures include compensation to victims of construction works who have to vacate their lands or houses to enable a project be executed. It also includes, among others, the extension of budgets (Green budgets) to cover pro-environmental decisions that must be made when the implementation of a PPP will pose a risk to the environment. 169 University of Ghana http://ugspace.ug.edu.gh The PSM estimates further revealed that SEA using MMDAs have maternal mortality and under-five child mortality decreased by 1.7 and 2.5 percentage points, respectively. The result implies that, when MMDAs adopt and sustain the usage of SEA, maternal mortality will diminish, a finding that corroborates Ministry of Local Government and Rural Development (2010), and Ghana MDG Reports (2015). One reason for this result is that SEA in the policy framework puts across strategies that protect the vulnerable in the society: this is consistent with the Ghana MDG Reports (2015) and Ghana Demographic Survey Report (2015). The PSM technique found significant impact of SEA on under-five child mortality in Ghana, suggesting that a sustained employment of SEA in Ghana will reduce, to a significant level, the under-five child mortality cases in the country. The study further revealed that the participants, on average, agreed that SEA can enhance sustainable economic growth if it is effectively employed, indicating that officials in charge of the deployment of SEA have positive perceptions about the framework. This positive perception may be due to the effectiveness of SEA in sustainable development planning when appropriately applied. On the issues of environmental mainstreaming gaps, the study indicated that SEA, as currently applied in Ghana, does not effectively mainstream environmental issues into the development planning and implementation of the MMDAs. Finally, the study showed that all MMDAs in Ghana have significant understanding of the SEA framework. The finding is probably due to the nature of the Ghana’s SEA approach (EPA, 2015), which is based on awareness ensuring ownership of the process and commitment to the implementation of the process in all institutions (private, public and civil society organizations). 170 University of Ghana http://ugspace.ug.edu.gh 6.3 Conclusions SEA has been employed in the MMDAs of Ghana for more than a decade. This warranted an impact evaluation of the performance of the tool in Ghana. The study thus sought to formally investigate the impact of SEA on its four pillars. From the discussion above, SEA in the Ghanaian context can be defined as: “A system by which the opportunities and risks of a policy, plan, or programme (PPP) in relation to the environment are considered at the conceptual stage of decision-making to ensure that the sustainability dimensions, i.e. natural resources, economic, socio- cultural and institutional, are at par resulting in the documentation of the process and translating into implementation results”. (Author’s Definition, 2017) With cross-sectional data from the 216 MMDAs in Ghana, the study concludes that SEA does not significantly impact the institutional activities of the MMDAs; however, SEA has a positive impact on the economic activities of MMDAs. Furthermore, the SEA has a significant effect in reducing maternal mortality and under-five child mortality rates. In addition, the SEA has a significant and positive effect on the natural environment in the areas of deforestation and pollution. The study concludes that there is significance in the level of understanding of the framework across MMDAs in the country. Finally, officials have a positive perception regarding SEA as a tool for effective mainstreaming of environmental concerns. However, there is high perception from respondents on the need to design a new SEA framework to effectively mainstream environmental issues into development policies in Ghana, suggesting that there are still some sustainability mainstreaming gaps that need to be closed. 171 University of Ghana http://ugspace.ug.edu.gh 6.4 Policy Recommendations Based on the findings of the study, the following policy recommendations are made:  It is recommended that government strengthens the institutional capacity of the MMDAs to enable the institutional pillar to work effectively and efficiently. This can be done by providing a legal and regulatory framework to back the implementation of SEA in Ghana.  Government must ensure the timely release of funds and establish a monitoring and evaluation section in the EPA to track the activities and impact of SEA. This will accelerate the activities of the Environmental Protection Agency and the MMDAs in the effective deployment of the SEA tool.  It is further recommended that government, through the Local Government Ministry, ensures that all MMDAs, including the new ones, employ the SEA in their development planning and policy implementation processes. This is particularly important because the study found evidence of SEA reducing maternal mortality and under-five child mortality.  It is recommended that the MMDAs recruit personnel with technical backgrounds in environmental studies. This will ensure the efficient use of the SEA framework in mainstreaming critical environmental issues in all policy, plans and programmes. 172 University of Ghana http://ugspace.ug.edu.gh REFERENCES Aalto, A., et al. (2015). From Waste to Wealth: Overcoming the Barriers to Sanitation Development with Co-Design of Low-Cost Urine-Diversion Dry Toilet Technology. Dry Toilet 2015 5th International Dry Toilet Conference, August 2015 Acharibasam, J.B., & Noble, B.F. (2014). Assessing the impact of strategic environmental assessment. Impact Assessment and Project Appraisal 32:3, 177- 187. Online publication date: 3-Jul-2014 Adei, S., & Boachie-Danquah, Y. (2002). The Civil Service Performance Improvement Programme (CSPIP) in Ghana: Lessons of Experience. November, 2002. Accra, Ghana. Agrawal, A., & Ribot, J. (1999). Accountability in Decentralization: A Framework with South Asian and West African Environmental Cases. Journal of Developing Areas 33, 473-502. Agyekum, A. F. (2013). Effect of MiDA Intervention on Productivity of Maize Farmers in The Farm Base in Ghana. Unpublished Master of Philosophy Thesis, University of Ghana. Agyemang, M. (2010). “An Investigation into the Effects of Ghanaian Decentralized Development Planning System in the Provision of Health and Educational Infrastructure: The Case of the New Juaben Municipality”. Unpublished B.Sc. (Planning) Special Study Submitted to the Department of Planning, Kwame Nkrumah University of Science and Technology, Kumasi. 173 University of Ghana http://ugspace.ug.edu.gh Ahwoi, K. (2010). “Local Government and Decentralization in Ghana”, Accra, Unimax Macmillan Ltd. Alo, B. (1999). Environmental Impact Analysis: Policy Formulation and Implementation in Nigeria. Paper presented at the FEDEN National Training Session for the 6th Cohort of LEAD Associates in Nigeria. Ametepey, O., Aigbavboa, C., & Ansah, K. (2015). Barriers to Successful Implementation of Sustainable Construction in the Ghanaian Construction Industry. Procedia Manufacturing, 3 (2015), 1682- 1689. Andrews, R.N.L., Cromwell, P., Enk, C.A., Farnworth, E.G., Hibbs, J., & Sharp, V.L. (1977). Substantive guidance for Environmental Impact Assessment. Washington D.C.: Institute of Ecology. Aryee, J.R.A. (2000). Saints, Wizards, Demons and Systems. Explaining the success or failure of public policies and programs. Department of Political Science, University of Ghana, Legon. Aryee, J.R.A. (2008). The Balance Sheet of Decentralization in Ghana, Journal of Public Administration and Governance, retrieved on 15th November, 2013 from www.macrothink.org/jpag. Asheim, G.B. (1986). Hartwick's Rule in Open Economies, Canadian Journal of Economics, 86: 395-402. 174 University of Ghana http://ugspace.ug.edu.gh Atkinson, G., & Dietz, P.W. (1993). Capital Theory and The Measurement of Sustainable Development: An Indicator of Weak Sustainability, Ecological Economics, 8, 103– 8. Aulavuo, T. (2011). SEA in Europe, the Caucasus and Central Asia: Implementation of the SEA Protocol to the Convention on EIA in a Transboundary Context. UN Economic Commission for Europe. Opening plenary. IAIA Special Conference on SEA, Prague, 21–23 September. Azizu, A. (2014). Stakeholder Participation in Development Planning Process in Yilo Krobo Municipality. Unpublished Master of Philosophy Thesis, Kwame Nkrumah University of Science and Technology. Babbie, E. (2003). The Practice of Social Research. Belmont, CA: Wadsworth. Baker, J. L. (2000). Evaluating the Impact of Development Projects on Poverty. A Handbook for Practitioners. The World Bank, Washington D. C. ISBN 0-8213- 4697-0. Beanlands, G. E., & Duinker, P. N. (1982). Environmental Impact Assessment in Canada—An Ecological Contribution. Halifax: Institute for Resource and Environmental Studies, Dalhousie University. Becerril, J., & Abdulai, A. (2009). The Impact of Improved Maize Variety on Poverty in Mexico: A Propensity Score Matching Approach. World Development Volume 38, No. 7, pp 1024-1035. Elsevier Ltd. 175 University of Ghana http://ugspace.ug.edu.gh Becker, R. A. (1982). "Intergeneration Equity: The Capital-Environment Trade-Off." Journal of Environmental Economics and Management 9(2), 165 -185 Bina, O. (2006). Strategic Environmental Assessment. Paper Presented at Workshop “Innovation in Environmental Policy? Integrating the Environment for Sustainability”, 6-7 December, 2006. Bolt, K., Matete, M., & Clemens, M. (2002). Manual for Calculating Adjusted Net Savings, (September), 1–23. Bulleid, P. (1997). Environmental Impact Assessment. In: Weston, J. ed., Planning and Environmental Impact Assessment in Practice. Addison Wesley Longman, pp. 26– 41. Burchi, F., & Gnesi, C., (2013). "A Review of the Literature on Well-Being in Italy: A Human Development Perspective," Departmental Working Papers of Economics - University 'Roma Tre' 0175, Department of Economics - University Roma Tre. Caliendo, M., & Kopeing, S. (2008). Some Practical Guidance for the Implementation of Propensity Score Matching. Journal of Economic Surveys, 22, 31-72. Campion, B.B. & Essel, G. (2013). Environmental Impact Assessment and Sustainable Development in Africa: A Critical Review, Environment and Natural Resources Research; Vol. 3, No. 2; 2013 ISSN 1927-0488 E-ISSN 1927-0496, Canadian Center of Science and Education. 176 University of Ghana http://ugspace.ug.edu.gh Cerdan-Infantes, P., Maffioli, A., & Ubfal, D. (2008). The Impact of Agricultural Extension Services: The Case of Grape Production in Argentina. Working Paper OVE/wp-05/08. Inter-American Development Bank, Washington D. C. Chadwick, G. F. (1966). A Systems View of Planning. Journal of the Town Planning Institute, 52, IBq.-6 Chanchitpricha, C., & Bond, A. (2013). Conceptualizing the Effectiveness of Impact Assessment Processes. Environmental Impact Assessment Review, 43, pp.65–72. Clark, B. D. (1981). A Manual for the Assessment of Major Development Proposals. London, United Kingdom. Costanza, R. (Ed.). (1991). Ecological Economics: The Science and Management of Sustainability. New York: Columbia University Press. Crabtree, B., & Bayfield, N. (1998). Developing Sustainability Indicators for Mountain Ecosystems: A Study of the Cairngorms, Scotland. Journal of Environmental Management, 52 (1), 1-14. Crook, R. & Manor, J. (1998). Democracy and Decentralization in South Asia and West Africa. Cambridge, Cambridge University Press. Dagba C-A, Olearius A, Nikov K, van Tilborg H, van Boven G. 2012. Benin: Strategic Environmental Assessment of the Poverty Reduction Strategy. In: OECD. Strategic Environmental Assessment in Development Practice: A Review of Recent 177 University of Ghana http://ugspace.ug.edu.gh Experience. Paris: Organization for Economic Cooperation and Development; p. 61–68. Dalal-Clayton, B., & Sadler, B. (2004). Strategic Environmental Assessment (SEA): A Sourcebook and Reference Guide to International Experience. Dalal-Clayton, B., & Sadler, B. (1998). Strategic Environmental Assessment: A Rapidly Evolving Approach. In Donnelly, A., et al. Eds. A Directory of Impact Assessment Guidelines. Nottingham: Russell Press. Dalal-Clayton, B., & Sadler, B. (2005). Strategic Environmental Assessment: A Source and reference guide to international experience. UK: Earthscan. Daly, H., & Cobb J.B. (1989). For the Common Good: Redirecting the Economy Towards Community, the Environment and a Sustainable Future. Daly, H. E. (1999). Ecological Economics and the Ecology of Economics. Cheltenham: E Elgar Publications. Darko-Mensah, A. & Okereke, C. (2013), Can environmental performance rating Programmes succeed in Africa? An evaluation of Ghana’s “AKOBEN” project. Management of Environmental Quality, 25 (5). pp. 599-618. ISSN 1477-7835. doi: 10.1108/MEQ-01-2012-0003 Available at http://centaur.reading.ac.uk/33199/ Emerald Group Publishing Limited. Dasgupta, P., & Heal, G.M. (1979). Economic theory and exhaustible resources. University Press, Cambridge. 178 University of Ghana http://ugspace.ug.edu.gh Dasgupta, P. S., & Heal, G. M. (1974). The Optimal Depletion of Exhaustible Resources. Review of Economic Studies, Symposium on the Economics of Exhaustible Resources. Edinburgh, Scotland, Longman Group Ltd. Dasgupta, S., & Tapan, M. (1983). Intergenerational Equity and Efficient Allocation of Exhaustible Resources. International Economic Review, 24,133–53. Davis, K., Nkonya, E., Kato, E., Mekonnen, D. A., Odendo, M., Miiro, R., & Nkuba, J. (2010). Impact of Farmer Field Schools on Agricultural Productivity and Poverty in East Africa. International Food Policy Research Institute (IFPRI). Discussion Paper 00992. Knowledge, Capacity and Innovation Division of IFPRI. Dehejia, R. H., & Wahba, S. (2002). Propensity score matching methods for non- experimental casual studies. Review of Economics and Statistics, 84(1), 151-161. Dinar, A., Karagiannis, G., & Tzouvelekas, V. (2007). Evaluating the Impact of Agricultural Extension on Farms Performance in Crete: A Non-Neutral Stochastic Frontier Approach. Agricultural Economics, 36, 133-144. Doyle, J. J. Jr. (2011). Causal Effect of Foster Care: An Instrumental Variables Approach. Children and Youth Service Review. Doi: 10.1016/j.childyouth.2011.03.014. University of Ghana (Available at http://ugspace.ug.edu.gh). Dunn, W. N. (2004). Public Policy Analysis: An Introduction (3rd ed.) New Jersey, Pearson Prentice Hall. 179 University of Ghana http://ugspace.ug.edu.gh Egbenya, G. R. K. (2009). The Effectiveness of Decentralization Policy in Ghana; A Case Study of Komenda-Edina-Eguafo-Abrim (KEEA) and Abura-Asebu- Kwamankese (AAK) Districts in Ghana. Environmental Protection Agency Act 1994, Act 490. Accra, Ghana. Environmental Assessment Regulations, 1999 (LI 1652) Environmental Protection Agency (2004). Strategic Environmental Assessment of the Ghana Poverty Reduction Strategy Report. Accra, Ghana. Environmental Protection Agency (2009). A Review of Strategic Environmental Assessment (SEA) in Ghana. Accra, Ghana. Environmental Protection Agency (2015). “Akoben” Environmental Performance Rating and Disclosure System for Metropolitan, Municipal and District Assemblies (MMDAs) in Ghana Concept Note. Accra, Ghana. Environmental Protection Agency (2016). Preparation of an Implementation Framework for Operationalizing Strategic Environmental Assessment (SEA) Practice in Ghana. Accra, Ghana Fischer, T. B., & Seaton, K. (2002). Strategic Environmental Assessment: Effective Planning Instrument or Lost Concept? Planning Practice and Research, 17(1), 31– 44. 180 University of Ghana http://ugspace.ug.edu.gh Fischer, T. B. (2016). 25 years of the UK EIA System: Strengths, weaknesses, opportunities and threats. Environmental Impact Assessment Review 61, 19-26. Online publication. Fischer, T. (2007). The Theory and Practice of Strategic Environmental Assessment: Towards a More Systematic Approach. Earthscan. July 2007. ISBN: 1844074528. Flux, A.W. (1894). Review of Wicksteed's Essay. Economic Journal, 4, 305-8. Fundingsland Tetlow, M., & Hanusch, M. (2012). Strategic Environmental Assessment: The State of the Art. Impact Assessment and Project Appraisal, 30(1), 15–24. Gachechildze, M. (2010). Strategic Environmental Assessment Follow up: From promise to Practice: Case studies from the UK and Canada; doctoral dissertation environmental science and policy, Central European University Budapest 13. Gahin, R., Veleva, V., & Hart, M. (2003). Do indicators help create sustainable communities? Local Environment, 8(6), 661-666. Ghana Demographic Survey Report (2015). Ghana Demographic and Health Survey Report: Key Indicators 2014. The Global Fund. Ghana MDG Report, (2015). Ghana Millennium Development Goals Reports, United Nations Development Programme. Accra, Ghana. Ghana Statistical Service (2014). Ghana Living Standards Survey Report (GLSS6). Accra, Ghana 181 University of Ghana http://ugspace.ug.edu.gh Ghana Statistical Service (2015). Statistical Yearbook 2010-2013, 1–276. Accra, Ghana Gilpin A. (1995). Environmental Impact Assessment (EIA): Cutting edge for the twenty- first Century. Cambridge University Press Page 79 Glasson, J., Therivel, R., & Chadwick, A. (2005). Introduction to Environmental Impact Assessment. London: UCL Press. Guo, S., Barth, R. P., & Gibbons, C. (2006). Propensity score matching strategies for evaluating substance abuse services for child welfare clients. Children and Youth Services Review, 28, 357-383. Gutiérrez, L. (2015a). The Environmental Effects of Tourism Architecture on Island Ecosystem in Cayo Guillermo, Cuba. Journal of Environmental Protection, 6, 1057-1065. Available at: http://dx.doi.org/10.4236/jep.2015.69093. Hall, P. (1992). Urban and Regional Planning. Fourth edition, Routledge, London. Hamilton, K. (1994). "Green Adjustments to GDP" Resources Policy 20(3) 1550168. Hamilton, K. & Hepburn, C. (2014). Wealth. Oxford Review of Economic Policy, 30(1), 1–20. Available at: http://doi.org/10.1093/oxrep/gru010. Hamilton, K., & Clemens M. (1999). Genuine saving in developing countries, World Bank Economic Review 13:2, pp. 33-56. 182 University of Ghana http://ugspace.ug.edu.gh Hartwick, J.M. (1977). Intergenerational Equity and the Investing of Rents from Exhaustible Resources. American Economic Review, 67, 972-4. Hartwick, J. M. (1978a). Substitution among Exhaustible Resources and Intergenerational Equity. Review of Economic Studies, 45, 347-354. Hartwick, J.M. (1978b). Investing Returns from Depleting Renewable Resource Stocks and Intergenerational Equity. Economic Letters, 1, 85-88. Heinrich C., Maffioli, A., & Vazquez, G. (2010). A Primer for Applying Propensity Score Matching. Impact Evaluation Guidelines. Technical Notes No. IDB-TN-161. Office of Strategic Planning and Development Effectiveness, Inter-American Development Bank. Henderson, H., Lickerman, J., & Flynn, P. (2000). Calvert-Henderson Quality of Life Indicators: A New Tool for Assessing National Trends. Bethesda, MD: The Calvert Group. Hilden, M., Furman, E., & Kaljonen, M. (2004). Views on Planning and Expectations of SEA: The Case of Transport Planning. Environmental Impact Assessment Review, 24, 519–536. IMANI (2013). Internet-Present Ranking of Government Institutions. (https://www.myjoyonline.com/news/2014/February-11th/imani-2013-internet- presence-rankings-of-government-institutions.php Accessed: 24th May, 2018) 183 University of Ghana http://ugspace.ug.edu.gh Issah, M.N. (2012). The Role of Environmental Impact Assessment in Nigeria’ Oil and Gas Industry. Unpublished Doctor of Philosophy Thesis, Cardiff University. UK. Institute of Wellbeing (2011). “How are Canadian really doing?” Institute of Wellbeing, Canada. International Association for Impact Assessment (IAIA). (1996). Environmental Impact Assessment and Environmental Auditing in the Pulp and Paper Industry. Page 79. International Union for the Conservation of Nature and Natural Resources (IUCN). (1980). World Conservation Strategy Living Resource Conservation for Sustainable Development. IUCN-UNEP-WWF. Gland, Switzerland. Jackson, T., & Marks, N. (2002). "Measuring Progress", New Economics Foundation and Friends of the Earth, London. Page 69. Jackson, T., McBride, N., Marks, N., & Abdallah, S. (2007). "Measuring Regional Progress: Developing a Regional Index of Sustainable Economic Well-being for the English Regions", New Economics Foundation, London. Page 69. Jehle, G.A., & Reny, P.J. (2011). Advanced Microeconomic Theory, 3rd edition, Prentice Hall 2011. Khandker, S. R., Koolwal, G. B., & Samad, H. A. (2010). Handbook on Impact Evaluation. Quantitative Methods and Practices. The International Bank for Reconstruction and Development. World Bank. ISBN: 978-0-8213-8028-4. 184 University of Ghana http://ugspace.ug.edu.gh Kothari, C.R. (2004). Research Methodology: Methods and Techniques. 2nd Edition, New Age International Publishers, New Delhi. Kremlis, G. (2011). Main Achievements and Challenges in The Implementation of the SEA Directive. Keynote address from DG Environment. IAIA Special Conference on SEA, Prague, 21–23 September. Kumar, R. (2005). Research methodology: A Step-By-Step Guide for Beginners, Second Edition, Page 87. London: Sage Publication Kuznets, S. (1934). "National Income, 1929-1932, "NBER Books, National Bureau of Economic Research, Inc., number kuzn34-1. Lee-Wright, M. (1997). Taking charge of the environmental team. In: Weston, J. ed., Planning and Environmental Impact Assessment in Practice. Addison Wesley Longman; 42– 59. Liane, F., & Awudu, A. (2008). The Adoption of Water Conservation and Intensification Technologies and Farm Income: A Propensity Score Matching Analysis for Rice Farmers in Northern Ghana. Selected Paper Prepared for Presentation at the American Agricultural Economics Association Annual Meeting, Orlando, FL, July 27-29, 2008. Lichfield, N. (1997). Community Impact Evaluation in The Development Process in Kirkpatrick and Lee (1997c, forthcoming). University College London 185 University of Ghana http://ugspace.ug.edu.gh Ludwig, D., Hilborn, R., & Walters, C., (1993). Uncertainty, Resource Exploitation, and Conservation: Lessons from History. Science, l, 260. Maluccio, J. A., & Flores, R. (2004). Impact Evaluation of a Conditional Cash Transfer Program: The Nicaraguan RED DE PROTECCIÓN SOCIAL. Food Consumption and Nutrition Division. International Food Policy Research Institute (IFPRI). FCND Discussion Paper No. 184. McLoughlin, J. B. (1967). “A Systems Approach to Planning”, Report of the Town and Country Planning Summer School, London, 38–53. Meadows, D. H. (1972). The Limits to Growth. New York, Universe Books. Meier, G., & Seers, D. (Eds) (1984). Pioneers in Development, Oxford: Oxford University Press. Mendola, M. (2007). Agricultural Technology Adoption and Poverty Reduction: A Propensity Score Matching Analysis for Rural Bangladesh. Food Policy 32, 372- 393. Available at: https://www.journals.elsevier.com/food-policy. Mercier, J. R., & Ahmed, K. (2004). Strategic Environment Assessment at the World Bank. In CEAA (2004, in press) Status of Progress and Emerging Challenges in EIA and SEA: Ten Years after the Quebec Summit, Proceedings of the 8th Intergovernmental Policy Forum on Environmental Assessment (April 25 2004, Vancouver, BC), Canadian Environmental Assessment Agency, Ottawa. 186 University of Ghana http://ugspace.ug.edu.gh Michalos, A.C., Smale, B., Labonté, R., Muharjarine, N., Scott, K., Moore, K., Swystun, L., Holden, B., Bernardin, H., Dunning, B., Graham, P., Guhn, M., Gadermann, A.M., Zumbo, B.D., Morgan, A., Brooker, A.-S., & Hyman, I. (2011). The Canadian Index of Wellbeing. Technical Report 1.0. Waterloo, ON: Canadian Index of Wellbeing and University of Waterloo. Ministry of Local Government and Rural Development (2010). Street Naming and Property Numbering System (Street Addressing System) Operational Guidelines. Accra, Ghana. Mitchell, B. (2008), Resource and environmental management: connecting the academy with practice. The Canadian Geographer / Le Géographe canadien, 52: 131-145. doi:10.1111/j.1541-0064.2008.00205.x Mohammad, S.N. (2010). “Peoples’ Participation in Development Projects at Grass- root Level: A Case Study of Alampur and Jagannathpur Union Parishad”. Master’s Thesis, North South University, Bangladesh, Retrieved on August 12, 2013, from Bangladesh North South University Digital Thesis. Morell, M. (2004). FAO Experience in Decentralization in the Forest Sector. Interlaken Workshop. FAO, Rome. Morris, D. (1976). A physical quality of life index. In the United States and world development agenda (pp. 147–171). Washington: Overseas Development Council. Mukherjee, D., & Rajvanshi, A. (2016). Application of strategic environmental assessment as a land use planning tool in India: A case of Gurgaon-Manesar 187 University of Ghana http://ugspace.ug.edu.gh development plan. Haryana, India. J Environmental Assessment Policy Management, 18, 21. Myrdal, G. (1973). Against the Stream: Critical Essays on Economics. Pantheon Books. National Development Planning Act, 1994 (Act 479) National Development Planning Commission (2014). Guidelines for the Preparation of District Medium-Term Development Plans. Accra. Ghana. National Development Planning Commission (2015). Implementation of the Ghana Shared Growth and Development Agenda (GSGDA) Ii, 2014-2017. Annual Progress Report (2015). Accra, Ghana. National Development Planning System Regulation, 2016 (LI 2232) National Environmental Policy Act (NEPA), 1969 Nazneen, D.R.Z.A. (2004). “Popular Participation in Local Administration: A Case Study of Bangladesh. Gyan Bitarani, Dhaka. Newman, J., Pradhan, M., Rawlings, L. B., Ridder, G., Coa, R., & Evia, J. L. (2002). An Impact Evaluation of Education, Health, And Water Supply Investments by The Bolivian Social Investment Fund. World Bank Economic Review, 16(2). 188 University of Ghana http://ugspace.ug.edu.gh Noble, B. F. (2000). Strategic Environmental Assessment: What Is It and What Makes It Strategic? Journal of Environmental Assessment Policy & Management 2 (2): 203- 224, Page 85. Noble, B. F. (2002). The Canadian experience with SEA and sustainability. Environmental Impact Assessment Review, 22(1), 3-16. Nordhaus, W.D., & Tobin, J. (1972). Is Growth Obsolete? Economic Research: Retrospect and Prospect. Volume 5, Economic Growth, 1972, pp 1-80 from National Bureau of Economic Research, Inc. Nquezet, P. M. D., Diagne, A., Okoruwa, V. O., & Ojehomon, V. (2011). Impact of Improved Rice Technology on Income and Poverty among Rice Farming Households in Nigeria. A Local Average Treatment Effect (LATE) Approach. Contributed Paper Prepared for the 25th Conference of the Centre for the Studies of African Economies (CSAE). St. Catherine College, University of Oxford, UK 20-22. OECD, (2015). Multilingual Summaries How’s Life? 2015 Measuring Well-being - How’s life, overall? 2009, 2014–2016. Available at: http://doi.org/10.1787/how_life-2015-en OECD (2012a). Strategic Environmental Assessment in Development Practice: A Review of Recent Experience. OECD Publishing. Available at: http://dx.doi.org/10.1787/9789264166745-en. 189 University of Ghana http://ugspace.ug.edu.gh OECD. (2006). Applying Strategic Environmental Assessment – good practice guidance for development co-operation. DAC Guidelines and Reference Series, New York: OECD. Oquaye, M. (1995). Decentralization and Development: The Ghanaian Case under Provisional National Defence Council (PNDC). Journal of Commonwealth and Comparative Politics, 33, 209- 239. Owusu, E. S., Namara, R. E., & Kuwornu, J. K. M. (2011b). The Welfare Enhancing Role of Irrigation in Farm Households in Northern Ghana. Journal of International Diversity, 2011 (1), 61-87 Palerm, J., J. Dusik & K. Deepchand (2012), "Mauritius: Strategic Environmental Assessment on the sugar cane sector", in Strategic Environmental Assessment in Development Practice: A Review of Recent Experience, OECD Publishing, Paris, http://dx.doi.org/10.1787/9789264166745-10-en. Partidário, M. R. (2000). Elements of an SEA framework – improving the added-value of SEA. Environmental Impact Assessment Review, 20, 647-663. Pelenc, J & Ballet, J. (2015). Strong sustainability, critical natural capital and the capability approach. Ecological Economics, 112 (C), 36-44. Perman, R., Common, M., McGilvray, J., & Ma, Y. (2003). Natural Resource and Environmental Economics (3rd ed.). Pearson / Addison Wesley. 190 University of Ghana http://ugspace.ug.edu.gh Petts, J. (1999). Environmental Impact Assessment – Overview of Purpose and Process. In Petts, J. ed. Handbook of Environmental Impact Assessment. London: Blackwell. Pezzey, J. C. V. (1997). Sustainability Constraints versus “Optimality” versus Intertemporal Concern, and Axioms versus Data. Land Economics, 73 (4)448–66. Pezzey, J. C. V., & Withagen, C. A. (1998). The Rise, Fall, and Sustainability of Capital- Resource Economies. Scandinavian Journal of Economics, 100 (2), 513–27. Posas, P. J. (2011). Exploring climate change criteria for strategic environmental assessments. Programme Plan, 75, 109-154. Pufahl, A., & Weiss, C. R. (2008). Evaluating the Effect of Farm Programs: Results from Propensity Score Matching. 12th Congress of the European Association of Agricultural Economics-EAAE, 2008. Purdon, S., Lessof, C., Woodfield, K., & Bryson, C. (2001). `Research methods for policy Evaluation', Department for Work and Pensions Research Working Paper No. 2, DWP, London. Rauschmayer, F., & Risse N. (2005). A Framework for the Selection of Participatory Approaches for SEA. Environmental Impact Assessment Review 25, 650–666. Read, R. (1997). Planning authority review. In: Weston, J. ed., Planning and Environmental Impact Assessment in Practice. Addison Wesley Longman. 191 University of Ghana http://ugspace.ug.edu.gh Rega, C., & Bonifazi, A. (2014). Strategic environmental assessment and spatial planning in Italy: sustainability, integration and democracy. J Environ Plan Manag, 57, 1333-1358. Richardson, T. (2005). Environmental Assessment and Planning Theory: Four Short Stories about Power, Multiple Rationality and Ethics. Environmental Impact Assessment Review, 25, 341–365. Riley, J. G. (1980). The Just Rate of Depletion of a Natural Resource. Journal of Environmental Economics and Management 7(4), 291-307. Rogers, C. R. (1969). Freedom to Learn: A View of What Education Might Become. Columbus, Ohio: Charles E. Merrill Publishing Company. Rosenbaum, P., & Rubin, D. B. (1983). The Central Role of the Propensity Score in Observational Studies for Causal Effects. Biometrika, 70 (1) 4155. Sadler, B., & Verheem, R. (1996). Strategic Environmental Assessment: Status, Challenges and Future Directions. Publication No. 54, Ministry of Housing, Spatial Planning and the Environment. The Hague, Netherlands. Sadler, B. (2001). A Framework Approach to Strategic Environmental Assessment: Aims, Principles and Elements of Good Practice in Dusik J. (ed.) Proceedings of the International Workshop on Public Participation and Health Aspects in Strategic Environmental Assessment, Regional Environmental Center for Central and Eastern Europe. Szentendere, Hungary. 192 University of Ghana http://ugspace.ug.edu.gh Sana, M.C. (2011). Decentralization and the Politics of Participation: A Case of Project Planning and Implementation in Asutifi District, Master’s Thesis, KNUST, Ghana, Retrieved on September 20, 2013, from Ghana KNUST Digital Thesis. Sekyi, S., Nkegbe P.K., Kuunibe, N., & Aye, G. (2017). Poverty and malaria morbidity in the Jirapa District of Ghana: A count regression approach. Cogent Economics & Finance, 5. Sen, A. K. (1984). Resources, Values and Development. Oxford: Blackwell. Sen, A. K. (1985). Commodities and Capabilities. Oxford: Elsevier Science Publishers. Shapiro, J. (2001). Toolkit on Overview of Planning. Civicus, Washington DC, USA. Sheate, W.R., Byron, H.J., & Smith, S.P. (2004). Implementing the SEA Directive: Sectoral challenges and opportunities for the UK and EU. Europe Environ, 14, 73- 93. Skeham, D.C. (1993). EIA in Ireland. Paper Presented at EIA Conference, London (25– 26 November). Smith, B.C. (1985). Decentralization: The Territorial Dimension of the State‖, London: George Allen. Solow, R. (1974). The Economics of Resources and the Resources of Economics. American Economic Review, Vol. 64, No. 2, Papers and Proceedings of the Eighty- 193 University of Ghana http://ugspace.ug.edu.gh Sixth Annual Meeting of the American Economic Association. (May, 1974), pp. 1-14 Solow, R. M. (1986). On the Intergenerational Allocation of Natural Resources. Scandinavian Journal of Economics, 88,141-149. Stewart, F. (1985). Basic Needs in Developing Countries. Baltimore, M.D: Johns Hopkins University Press. Stiglitz, J.E. (1974) Growth with Exhaustible Natural Resources: Efficient and Optimal Growth Paths. The Review of Economic Studies, Symposium on the Economics of Exhaustible Resources, 41, 123-138. https://doi.org/10.2307/2296377 Stinchcombe, K., & Gibson, R.B. (2001). Strategic Environmental Assessment as a Mean of Pursuing Sustainability: Ten Advantage and Ten Challenges. Journal of Environmental Assessment Policy and Management, 3(3) 343-372. Streeten, P., Burki, J.S., Haq, M., Hicks, N., & Stewart, F. (1981). First Things First: Meeting Basic Human Needs in Developing Countries, New York and Oxford: Oxford University Press. Suzaul-Islam, M. D., & Yanrong, Z. (2016). Strategic Environmental Assessment and Sustainable development: Climate Change Perspective. J Earth Science Climate Change 7, 379. doi: 10.4172/2157-7617.1000379. Takayama, A. (1985). Mathematical Economics (2nd ed.). Cambridge, U.K.: Cambridge University Press. 194 University of Ghana http://ugspace.ug.edu.gh Therivel, R., & Partidário, M. R. (1996). The Practice of Strategic Environmental Assessment. London: Earthscan -Page 24. Therivel, R. (2004). Strategic Environmental Assessment in Action. London: Blackwell. Therivel, R., & Brown, A. (1999). Methods of strategic environmental assessment. In: J Petts, Editor, Handbook of Environmental Assessment, Vol. 1. Oxford: Blackwell Science; 441-64. Therivel, R., Wilson, E., Thompson, S., Heaney, D., & Pritchard, D. (1992). Strategic Environmental Assessment. London, Earthscan. Todaro, M. P., & Smith, S. C. (2012). Economic Development‖ (11th ed.). Pearson Education Inc., Boston, USA. UNDP (1990). Human Development Report 1990: Concepts and Measurement of Human Development, New York: Oxford University Press. UNDP (2010). UNDP and Energy Access for the Poor: Energizing the Millennium Development Goals. Paris. UNDP, REC, Government of Georgia (2006). A Guide to Strategic Environmental Assessment: Georgian perspective. Tbilisi, Georgia. UNEP. (2012c). The Need for Numbers - Goals, Targets and Indicators for the Environment. GEAS Bulletin March 2012. United Nations Environment 195 University of Ghana http://ugspace.ug.edu.gh Programme, Nairobi. Available at: http://www.unep.org/pdf/GEAS_Mar2012_Indicator.pdf . United Nations (1987). Report of the World Commission on Environment and Development: Our Common Future. United Nations: New York. United Nations, Economic Commission for Europe Conference of European Statisticians (UNECE) (2013). Measuring Human Capital: leading initiatives and challenges ahead. Note prepared by OECD and an expert group chaired by New Zealand. Sixty-first plenary session, Geneva. ECE/CES/2013/5. Veenhoven, R. (1996). Happy Life-Expectancy. A Comprehensive Quality-of-Life in Nations. Social Indicators Research, (39), 1-58. Verheem, R., & Tonk, J. (2000). Strategic Environmental Assessment: One Concept, Multiple Forms. Impact Assessment & Project Appraisal, 19(3) 177-182.Page 85. Wainaina, P. W., Okello, J. J., & Nzuma J. (2012). Impact of Contract Farming on Smallholder Poultry Farmers’ Income in Kenya. Selected Paper for Presentation at the International Association of Agricultural Economists (IAAE) Triennial Conference, Foz do lguagu, Brazil. University of Ghana. Available at: http://ugspace.ug.edu.gh. WCED. (1987). Our Common Future, the Report on the World Commission on Environment and Development, Oxford University Press, Oxford. [Central to the establishment of the concept of Sustainable Development within the political and policy process. 196 University of Ghana http://ugspace.ug.edu.gh Westman, W.E. (1985). Ecology, Impact Assessment and Environmental Planning. John Wiley & Sons, Toronto, Ont. Weston, J. (1997). Planning and environmental impact assessment in practice. Addison Wesley Longman. White V., McCrum G., Blackstock K.L., and Scott A. (2006). Indicators and Sustainable Tourism: A Literature Review. Aberdeen: The Macaulay Institute. Wood, C. M. (2002). Environmental Impact Assessment: A Comparative Review. 2nd eds. Harlow: Prentice Hall. Wood, C., & Djeddour, M. (1989). Environmental Assessment of Policies Plans and Programmes. Interim report to the commission of the European Communication. UK; EIA Centre, University of Manchester. Wood, C., & Djeddour, M. (1992). Strategic Environmental Assessment: EA of Policies, Plans and Programmes. Impact Assessment Bulletin, 10 (1), 3-21. “World Bank. 2008. Sierra Leone - Mining Sector Reform: A Strategic Environmental and Social Assessment. Washington, DC. © World Bank. https://openknowledge.worldbank.org/handle/10986/8087 License: CC BY 3.0 IGO.” World Bank (2011). Impact Evaluation in Agriculture: An Assessment of the Evidence. A Report presented by the Independent Evaluation Group. The World Bank, Washington, D.C. 197 University of Ghana http://ugspace.ug.edu.gh World Bank (1997). Expanding the Measure of Wealth. Washington, DC: World Bank. Zick, D. C. (2013). Re-visiting the Relationship between Neighborhood Environment and BMI: An Instrumental Variables Approach to Correcting for Residential Selection Bias. International Journal of Behavioral Nutrition and Physical Activity. Available at: http://www.ijbnpa.org/content/10/1/27. 198 University of Ghana http://ugspace.ug.edu.gh ANNEXES Annex 1: List of Metropolitan, Municipal and District Assemblies No. Regions Metropolitan Municipal District 1. Ashanti Kumasi Asante Akim Central Adansi North 2. Asokore Mampong (New) Adansi South 3. Bekwai Afigya-Kwabre 4. Ejisu Juaben Ahafo Ano North 5. Mampong Ahafo Ano South 6. Obuasi Amansie Central 7. Offinso South Amansie West 8. Asante Akim North (New) 9. Asante Akim South 10. Atwima Kwanwoma 11. Atwima Mponua 12. Atwima Nwabiagya 13. Bosome Freho 14. Bosomtwe 15. Ejura Sekyedumase 199 University of Ghana http://ugspace.ug.edu.gh No. Regions Metropolitan Municipal District 16. Kwabre East 17. Offinso North 18. Sekyere Afram Plains (New) 19. Sekyere Central 20. Sekyere East 21. Sekyere South 22. Kumawu 23. 24. Brong Ahafo Asunafo North Asunafo South 25. Atebubu Amantin Asutifi 26. Berekum Asutifi South (New) 27. Dormaa Banda (New) 28. Kintampo North Dormaa East new Sunyani Dormaa West (New) 29. 30. Techiman Jaman North 31. Wenchi Jaman South 32. Kintampo South 200 University of Ghana http://ugspace.ug.edu.gh No. Regions Metropolitan Municipal District 33. Nkoranza North 34. Nkoranza South 35. Pru 36. Sene 37. Sene West (New) 38. Sunyani West 39. Tain 40. Tano North 41. Tano South 42. Techiman North (New) 43. 44. Central Cape Coast Agona West Abura/Asebu/Kwamankese 45. Assin North Agona East 46. Effutu Ajumako/Enyan/Essiam 47. Komenda/Edina/Eguafo/Abire Asikuma/Odoben/Brakwa 48. Mfantseman Assin South 49. Upper Denkyira East Awutu Senya East (New) 50. Awutu Senya 201 University of Ghana http://ugspace.ug.edu.gh No. Regions Metropolitan Municipal District 51. Ekumfi (New) 52. Gomoa East 53. Gomoa West 54. Twifo/Heman/Lower/Denkyira 55. Twifo-Ati Mokwa 56. Upper Denkyira West 57. 58. Eastern Birim Central Afram Plains South (New) 59. East Akim Akuapim South (New) 60. Kwahu West Akuapim North 61. Lower Manya Krobo Akyemansa 62. New Juaben Asuogyaman 63. Nsawam Atiwa 64. West Akim Ayensuano (New) 65. Yilo Krobo Birim North 66. Birim South 67. Fanteakwa 68. Kwaebibirem 202 University of Ghana http://ugspace.ug.edu.gh No. Regions Metropolitan Municipal District 69. Kwahu East 70. Kwahu North 71. Kwahu South 72. Suhum Upper Manya Krobo 73. 74. Denkyembour (New) 75. Upper West Akim (New) 76. 77. Greater Accra Accra Adenta Ada West (New) 78. Tema Ashaiman Danme East 79. Ga East Dangme West 80. Ga West Kpone katamanso (New) 81. Ga Central (New) Ningo Prampram 82. Ga South 83. La Dade-Kotopon 84. LA-Nkwantanang-Madina 85. Ledzokuku-Krowor 203 University of Ghana http://ugspace.ug.edu.gh No. Regions Metropolitan Municipal District 86. 87. Northern Tamale Yendi Bole 88. Bunkprugu-Yunyoo 89. Central Gonja 90. Chereponi 91. East Gonja 92. East Mamprusi 93. Gushegu 94. Karaga 95. Kpandai 96. Kumbungu (New) 97. Mamprugu Moaduri (New) 98. Mion (New) 99. Nanumba North 100. Nanumba South 101. North Gonja (New) 102. Saboba 103. Sagnarigu (New) 204 University of Ghana http://ugspace.ug.edu.gh No. Regions Metropolitan Municipal District 104. Savelugu/Nanton 105. Sawla-Tuna-Kalba 106. Tatale Sangule (New) 107. Tolon 108. West Gonja 109. West Mamprusi 110. Zabzugu/Tatale 111. 112. Upper East Bawku Bawku West 113. Bolgatanga Binduri (New) 114. Bongo 115. Builsa 116. Builsa South 117. Garu-Tempane 118. Kassena Nankana West 119. Kassena Nankana East 120. Nabdam (New) 121. Pusiga (New) 205 University of Ghana http://ugspace.ug.edu.gh No. Regions Metropolitan Municipal District 122. Talensi-Nabdam 123. 124. Upper West Wa Daffiama Bussie Issa (new) 125. Jirapa 126. Lambussie Karni (New) 127. Lawra 128. Nadowli 129. Nandom (New) 130. Sissala East 131. Sissala West 132. Wa East 133. Wa West 134. 135. Western Sekondi/Takoradi Nzema East Ahanta West 136. Tarkwa Nsuaem Aowin/Suaman 137. Bia 138. Bia East (New) 139. Bibiani/Ahwiaso/Bekwai 206 University of Ghana http://ugspace.ug.edu.gh No. Regions Metropolitan Municipal District 140. Bodi (New) 141. Ellembele 142. Jomoro 143. Juaboso 144. Mpohor (New) 145. Mpohor/Wassa East 146. Prestea-Huni Valley 147. Sefwi Akontobra 148. Sefwi-Wiawso 149. Shama new 150. Suaman (New) 151. Wassa Amenfi East 152. Wassa Amenfi West 153. Wassa Amenfi Central (New) 154. 155. Volta Ho Adaklu (New) 156. Hohoe Akatsi South 157. Keta Afadjato 207 University of Ghana http://ugspace.ug.edu.gh No. Regions Metropolitan Municipal District 158. Ketu South Agortime Ziope 159. Kpando Akatsi North 160. Biakoye 161. Jasikan 162. Kadjebi 163. Ketu North 164. Krachi East 165. Krachi Nchumuru (New) 166. Krachi West 167. Nkwanta South 168. Nkwanta North 169. North Tongu (New) 170. South Dayi 171. South Tongu 208 University of Ghana http://ugspace.ug.edu.gh Annex 2: Population of District Assemblies in the Ashanti Region 2010 2011 2012 2013 Districts Both Both Sexes Male Female Both Sexes Male Female Male Female Both Sexes Male Female Sexes Ashanti Region 4,780,380 2,316,052 2,464,328 4,839,022 2,350,590 2,488,432 4,921,427 2,408,810 2,512,617 5,038,966 2,468,322 2,570,644 Atwima Mponua 119,180 61,090 58,090 120,564 61,196 59,368 122,985 61,728 61,257 125,202 62,327 62,875 Amansie West 134,331 67,485 66,846 135,927 67,592 68,335 138,828 68,585 70,243 141,327 69,265 72,062 Amansie Central 90,741 45,275 45,466 92,027 45,645 46,382 94,194 46,534 47,660 95,898 47,001 48,897 Adansi South 115,378 58,039 57,339 117,214 58,368 58,846 118,993 58,787 60,206 121,122 59,359 61,763 Obuasi Municipal 168,641 81,015 87,626 169,890 81,557 88,333 172,872 84,316 88,556 176,648 86,577 90,071 Adansi North 107,091 53,055 54,036 108,080 53,226 54,854 109,079 53,886 55,193 111,043 54,425 56,618 Bekwai Municipal 118,024 55,615 62,409 118,380 55,754 62,626 118,699 55,884 62,815 119,129 56,082 63,047 Bosome Freho 60,397 29,753 30,644 61,720 30,293 31,427 63,899 31,293 32,606 65,617 32,160 33,457 Asante Akim South 117,245 57,951 59,294 119,107 58,261 60,846 122,942 60,229 62,713 126,164 61,835 64,329 Asante Akim Central 71,508 33,942 37,566 72,807 34,956 37,851 74,355 36,235 38,120 75,701 37,101 38,600 Municipal Ejisu Juaben Municipal 143,762 68,648 75,114 145,550 69,836 75,714 148,301 72,278 76,023 151,407 74,206 77,201 Bosumtwi 93,910 44,793 49,117 95,499 45,629 49,870 98,350 48,180 50,170 100,929 49,470 51,459 Atwima Kwanwoma 90,634 43,792 46,842 91,650 44,274 47,376 93,436 45,775 47,661 95,886 46,993 48,893 Kumasi Metropolis 1,730,249 826,479 903,770 1,750,101 843,793 906,308 1,774,703 866,649 908,054 1,827,014 895,455 931,559 Atwima Nwabiagya 149,025 71,948 77,077 149,826 72,241 77,585 151,682 73,919 77,763 155,657 75,888 79,769 Ahafo Ano South 121,659 61,745 59,914 123,324 61,977 61,347 125,146 62,434 62,712 127,162 62,824 64,338 Ahafo Ano North 94,285 47,956 46,329 96,255 48,361 47,894 99,146 48,981 50,165 100,938 49,470 51,468 Offinso Municipal 76,895 37,068 39,827 77,480 37,286 40,194 78,705 38,180 40,525 80,763 39,584 41,179 Afigya Kwabre 136,140 66,350 69,790 137,216 66,909 70,307 139,284 68,582 70,702 141,314 69,256 72,058 Kwabre East 115,556 55,106 60,450 116,664 55,931 60,733 118,250 57,280 60,970 121,127 59,367 61,760 Afigya Sekyere 94,009 44,691 49,318 95,493 45,631 49,862 97,158 46,986 50,172 100,144 48,670 51,474 Mampong Municipal 88,051 42,653 45,398 88,501 42,928 45,573 90,026 44,092 45,934 90,851 44,528 46,323 Sekyere East 62,172 29,511 32,661 63,083 30,301 32,782 64,232 31,137 33,095 65,611 32,157 33,454 Sekyere Afram Plains 65,402 30,981 34,421 67,535 32,628 34,907 68,696 33,579 35,117 70,656 34,634 36,022 Sekyere Central 71,232 35,225 36,007 72,743 35,836 36,907 74,067 36,441 37,626 75,704 37,106 38,598 Ejura Sekye Dumasi 85,446 42,892 42,554 87,298 43,407 43,891 89,251 44,089 45,162 90,848 44,529 46,319 Offinso North 56,881 28,300 28,581 57,877 28,554 29,323 59,500 29,394 30,106 60,569 29,683 30,886 Asokore Mampong 304,815 145,779 159,036 308,731 149,068 159,663 314,279 153,740 160,539 323,009 158,305 164,704 Municipal Asante Akim North 69,186 33,731 35,455 69,452 33,902 35,550 69,992 34,290 35,702 70,657 34,629 36,028 Sekyere Afram Plains 28,535 15,184 13,351 29,028 15,250 13,778 30,377 15,327 15,050 30,869 15,436 15,433 North Source: Ghana Statistical Service, 2015 209 University of Ghana http://ugspace.ug.edu.gh Annex 3: Population of District Assemblies in the Brong Ahafo Region 2010 2011 2012 2013 Districts Both Sexes Male Female Both Sexes Male Female Both Sexes Male Female Both Sexes Male Female Brong Ahafo Region 2,310,983 1,145,271 1,165,712 2,363,905 1,156,837 1,207,068 2,422,061 1,185,484 1,236,577 2,479,918 1,214,782 1,265,136 Asunafo South 95,580 48,836 46,744 97,662 48,967 48,695 99,518 49,373 50,145 101,949 49,854 52,095 Asunafo North 124,685 62,854 61,831 127,251 63,008 64,243 130,258 64,074 66,184 134,231 65,650 68,581 Municipal Asutifi North 52,259 26,761 25,498 53,455 26,805 26,650 55,007 27,362 27,645 56,533 28,054 28,479 Dormaa Municipal 112,111 53,589 58,522 114,781 54,770 60,011 117,846 56,942 60,904 121,052 58,806 62,246 Dormaa Central 50,871 23,970 26,901 51,662 24,496 27,166 52,654 25,296 27,358 54,226 26,280 27,946 Municipal Tano South 78,129 38,299 39,830 80,000 38,880 41,120 81,990 40,229 41,761 84,232 41,349 42,883 Tano North 79,973 39,593 40,380 82,717 40,145 42,572 85,016 41,509 43,507 87,035 42,569 44,466 Sunyani Municipal 123,224 61,610 61,614 126,038 61,876 64,162 129,186 63,312 65,874 131,799 64,462 67,337 Sunyani West 85,272 41,388 43,884 87,544 42,263 45,281 89,683 43,694 45,989 92,013 45,000 47,013 Berekum Municipal 129,628 59,869 69,759 132,271 61,893 70,378 134,741 64,114 70,627 137,790 66,644 71,146 Jaman South 92,649 43,459 49,190 94,108 44,548 49,560 96,314 46,287 50,027 99,467 48,651 50,816 Jaman North 83,059 39,889 43,170 84,941 40,702 44,239 87,056 42,306 44,750 89,515 43,782 45,733 Tain 88,104 43,508 44,596 89,609 43,717 45,892 92,137 44,900 47,237 94,505 46,224 48,281 Wenchi Municipal 89,739 44,065 45,674 91,641 44,383 47,258 94,483 46,004 48,479 96,982 47,436 49,546 Techiman Municipal 147,788 71,732 76,056 150,839 72,661 78,178 155,068 75,484 79,584 159,127 77,841 81,286 Nkoranza South 100,929 50,071 50,858 101,393 50,181 51,212 101,831 50,372 51,459 102,223 50,537 51,686 Nkoranza North 65,895 33,263 32,632 67,127 33,587 33,540 69,385 34,348 35,037 71,095 35,268 35,827 Atebubu Amantin 105,938 53,674 52,264 109,028 53,802 55,226 112,140 54,957 57,183 114,384 55,944 58,440 Sene West 57,734 29,263 28,471 59,465 29,357 30,108 60,949 29,868 31,081 62,164 30,407 31,757 Pru 129,248 65,832 63,416 133,215 66,045 67,170 136,516 66,899 69,617 139,255 68,125 71,130 Kintampo South 81,000 42,129 38,871 82,908 42,213 40,695 85,100 42,407 42,693 86,536 42,571 43,965 Kintampo North 95,480 47,302 48,178 97,539 47,489 50,050 99,544 48,582 50,962 101,954 49,866 52,088 Municipal Asutifi South 53,584 28,285 25,299 54,987 28,418 26,569 56,484 28,614 27,870 57,461 28,750 28,711 Dormaa West 47,678 24,681 22,997 49,210 24,813 24,397 50,678 25,082 25,596 51,917 25,542 26,375 Techiman North 59,068 28,766 30,302 60,696 29,121 31,575 62,782 30,464 32,318 64,658 31,622 33,036 Banda 20,282 10,372 9,910 20,810 10,421 10,389 21,441 10,553 10,888 22,182 10,942 11,240 Sene East 61,076 32,211 28,865 63,008 32,276 30,732 64,254 32,452 31,802 65,633 32,606 33,027 Source: Ghana Statistical Service, 2015 210 University of Ghana http://ugspace.ug.edu.gh Annex 4: Population of District Assemblies in the Central Region 2010 2011 2012 2013 Districts Both Sexes Male Female Both Sexes Male Female Both Sexes Male Female Both Sexes Male Female Central Region 2,201,863 1,050,112 1,151,751 2,237,199 1,071,382 1,165,817 2,274,254 1,094,169 1,180,085 2,314,608 1,117,151 1,197,457 Abura-Asebu-Kwamankese 117,185 55,275 61,910 118,838 56,607 62,231 119,984 57,453 62,531 120,408 57,546 62,862 Agona East 85,920 41,035 44,885 87,733 42,248 45,485 89,135 43,073 46,062 91,327 44,175 47,152 Agona West Municipal 115,358 54,159 61,199 117,307 55,513 61,794 119,793 57,424 62,369 122,079 59,211 62,868 Ajumako-Enyan-Essiam 138,046 64,418 73,628 139,612 65,365 74,247 140,503 65,959 74,544 140,712 66,130 74,582 Asikuma-Odoben Brakwa 112,706 54,293 58,413 115,248 55,770 59,478 116,710 56,468 60,242 119,709 58,053 61,656 Assin North Municipal 161,341 80,254 81,087 164,392 81,360 83,032 167,992 83,181 84,811 171,323 84,384 86,939 Assin South 104,244 50,936 53,308 106,222 51,889 54,333 108,524 53,007 55,517 111,158 54,333 56,825 Awutu Senya East 108,422 52,197 56,225 110,727 53,578 57,149 112,881 55,002 57,879 115,573 56,331 59,242 Municipal Cape Coast Metropolis 169,894 82,810 87,084 171,426 83,808 87,618 173,656 85,325 88,331 174,933 85,831 89,102 Effutu Municipal 68,597 32,795 35,802 69,591 33,443 36,148 71,027 34,407 36,620 73,045 35,568 37,477 Ekumfi 52,231 24,102 28,129 53,051 24,625 28,426 54,112 25,333 28,779 54,949 25,935 29,014 Ewutu Senya 86,884 40,903 45,981 88,502 42,153 46,349 90,159 43,432 46,727 92,232 45,081 47,151 Gomoa East 207,071 98,323 108,748 210,631 101,000 109,631 214,942 103,914 111,028 221,419 107,765 113,654 Gomoa West 135,189 60,417 74,772 137,662 62,216 75,446 140,064 64,030 76,034 143,483 66,894 76,589 Komenda-Edina-Egyafo- 144,705 69,665 75,040 145,940 70,516 75,424 147,318 71,452 75,866 148,300 71,904 76,396 Abirem Municipal Mfantsiman 144,332 64,923 79,409 145,873 65,754 80,119 147,024 66,423 80,601 148,132 67,383 80,749 Twifo Heman Lower 55,131 27,370 27,761 56,222 27,830 28,392 57,535 28,482 29,053 58,744 28,901 29,843 Denkyira Twifo Ati Morkwa 61,743 30,254 31,489 62,789 30,616 32,173 64,520 31,447 33,073 66,217 32,363 33,854 Upper Denkyira East 72,810 35,790 37,020 74,387 36,575 37,812 76,195 37,597 38,598 77,574 38,148 39,426 Municipal Upper Denkyira West 60,054 30,193 29,861 61,046 30,516 30,530 62,180 30,760 31,420 63,291 31,215 32,076 Source: Ghana Statistical Service, 2015 211 University of Ghana http://ugspace.ug.edu.gh Annex 5: Population of District Assemblies in the Eastern Region 2010 2011 2012 2013 Districts Both Sexes Male Female Both Sexes Male Female Both Sexes Male Female Both Sexes Male Female Eastern Region 2,633,154 1,290,539 1,342,615 2,690,821 1,316,820 1,374,001 2,757,024 1,349,430 1,407,594 2,822,874 1,382,774 1,440,100 Birim South 119,767 57,981 61,786 121,507 59,285 62,222 124,618 60,986 63,632 127,392 62,446 64,946 Birim Municipal 144,869 69,304 75,565 147,881 71,829 76,052 151,314 73,522 77,792 155,213 75,827 79,386 West Akim Municipal 108,298 52,208 56,090 110,175 53,491 56,684 113,148 55,161 57,987 116,071 56,896 59,175 Suhum Municipal 90,358 43,962 46,396 92,024 45,020 47,004 94,156 46,071 48,085 96,251 47,183 49,068 Nsawam Adoagyiri 86,000 42,733 43,267 88,307 43,698 44,609 90,890 44,715 46,175 93,417 45,792 47,625 Municipal Akwapem North 136,483 64,028 72,455 138,944 66,047 72,897 142,000 68,460 73,540 146,202 71,157 75,045 New Juaben Municipal 183,727 88,687 95,040 187,940 91,173 96,767 192,838 93,856 98,982 197,535 96,547 100,988 Yilo Krobo 87,847 42,378 45,469 89,029 43,202 45,827 90,883 44,216 46,667 93,119 45,494 47,625 Lower Manya 89,246 41,470 47,776 91,123 43,012 48,111 93,160 44,568 48,592 95,455 46,382 49,073 Asuogyaman 98,046 47,030 51,016 100,150 48,386 51,764 102,041 49,720 52,321 104,236 50,839 53,397 Upper Manya 72,092 36,500 35,592 73,372 36,754 36,618 74,970 37,086 37,884 76,434 37,470 38,964 Fanteakwa 108,614 54,010 54,604 110,965 54,490 56,475 113,540 55,562 57,978 116,068 56,897 59,171 East Akim Municipal 167,896 81,767 86,129 172,206 83,736 88,470 177,245 86,723 90,522 181,187 88,819 92,368 Kwaebibirem 113,721 55,746 57,975 116,183 56,734 59,449 119,083 58,276 60,807 121,724 59,670 62,054 Akyem Mansa 97,374 48,003 49,371 99,850 48,790 51,060 102,468 50,140 52,328 104,744 51,343 53,401 Birim North 78,907 39,572 39,335 80,488 39,823 40,665 82,672 40,652 42,020 84,926 41,624 43,302 Atiwa 110,622 54,671 55,951 113,383 55,620 57,763 116,307 56,908 59,399 118,909 58,286 60,623 Kwahu West Municipal 93,584 44,875 48,709 95,940 46,168 49,772 98,689 47,777 50,912 101,418 49,459 51,959 Kwahu South 69,757 33,094 36,663 70,988 33,930 37,058 72,050 34,729 37,321 73,306 35,781 37,525 Kwahu East 77,125 37,620 39,505 78,298 38,205 40,093 80,011 38,997 41,014 81,793 39,939 41,854 Kwahu Afram Plains 102,423 54,183 48,240 105,331 54,450 50,881 108,301 54,764 53,537 111,208 54,926 56,282 North Upper West Akyem 87,051 42,839 44,212 89,227 43,603 45,624 91,390 44,721 46,669 93,417 45,795 47,622 Akwapim South 37,501 18,174 19,327 38,021 18,453 19,568 38,515 18,720 19,795 38,950 18,953 19,997 Ayensuano 77,193 38,440 38,753 78,798 38,708 40,090 80,315 39,304 41,011 82,094 40,240 41,854 Denkyembuor 78,841 38,814 40,027 80,901 39,427 41,474 83,076 40,651 42,425 84,927 41,632 43,295 Kwahu Afram Plains 115,812 62,450 53,362 119,790 62,786 57,004 123,344 63,145 60,199 126,878 63,377 63,501 South Source: Ghana Statistical Service, 2015 212 University of Ghana http://ugspace.ug.edu.gh Annex 6: Population of District Assemblies in the Greater Accra Region 2010 2011 2012 2013 Districts Both Sexes Male Female Both Sexes Male Female Both Sexes Male Female Both Sexes Male Female Greater Accra Region 4,010,054 1,938,225 2,071,829 4,099,102 2,006,006 2,093,096 4,199,780 2,055,679 2,144,101 4,300,142 2,106,462 2,193,680 Ga South Municipal 411,377 201,222 210,155 425,664 207,893 217,771 437,812 212,709 225,103 451,180 217,660 233,520 Ga West Municipal 219,788 107,742 112,046 224,212 111,348 112,864 229,452 113,951 115,501 234,584 116,613 117,971 Ga East Municipal 147,742 72,987 74,755 150,575 75,359 75,216 153,932 77,045 76,887 157,227 78,768 78,459 Accra Metropolis 1,665,086 800,935 864,151 1,704,349 831,774 872,575 1,750,144 855,146 894,998 1,795,115 878,989 916,126 Adenta Municipal 78,215 39,366 38,849 79,525 40,432 39,093 81,101 41,134 39,967 82,652 41,858 40,794 Ledzokuku/Krowor 227,932 109,185 118,747 232,091 112,768 119,323 237,165 115,328 121,837 242,120 117,949 124,171 Municipal Ashaiman Municipal 190,972 93,727 97,245 194,558 96,742 97,816 198,858 98,891 99,967 203,052 101,078 101,974 Tema Metropolis 292,773 139,958 152,815 298,060 144,522 153,538 304,532 147,795 156,737 310,853 151,142 159,711 Shai Osudoku 51,913 25,292 26,621 52,807 26,075 26,732 53,911 26,633 27,278 54,986 27,200 27,786 Ada East 71,671 34,012 37,659 72,908 35,104 37,804 74,448 35,886 38,562 75,937 36,678 39,259 Ga Central Municipal 117,220 57,321 59,899 119,341 59,138 60,203 121,891 60,413 61,478 124,398 61,733 62,665 La Dade Kotopon 183,528 86,738 96,790 186,812 89,597 97,215 190,851 91,639 99,212 194,812 93,742 101,070 Municipal La Nkwantanang 111,926 54,271 57,655 114,023 56,092 57,931 116,466 57,323 59,143 118,852 58,576 60,276 Madina Municipal Kpone Katamanso 109,864 53,376 56,488 111,829 55,065 56,764 114,219 56,268 57,951 116,541 57,487 59,054 Ningo Prampram 70,923 33,514 37,409 72,184 34,610 37,574 73,719 35,387 38,332 75,243 36,194 39,049 Ada West 59,124 28,579 30,545 60,164 29,487 30,677 61,279 30,131 31,148 62,590 30,795 31,795 Source: Ghana Statistical Service, 2015 213 University of Ghana http://ugspace.ug.edu.gh Annex 7: Population of District Assemblies in the Northern Region 2010 2011 2012 2013 Districts Both Sexes Male Female Both Sexes Male Female Both Sexes Male Female Both Sexes Male Female Northern Region 2,479,461 1,229,887 1,249,574 2,539,951 1,242,984 1,296,967 2,602,429 1,273,774 1,328,655 2,664,585 1,305,242 1,359,343 Bole 61,593 31,022 30,571 63,229 31,162 32,067 64,941 31,769 33,172 66,588 32,618 33,970 Sawla-Tuna-Kalba 99,863 48,269 51,594 101,920 49,338 52,582 103,887 50,835 53,052 106,425 52,132 54,293 West Gonja 41,180 20,681 20,499 42,496 20,969 21,527 44,151 21,600 22,551 45,233 22,156 23,077 Gonja Central 87,877 43,860 44,017 89,992 43,973 46,019 90,925 44,496 46,429 93,144 45,629 47,515 East Gonja 135,450 69,721 65,729 139,361 69,975 69,386 143,586 70,641 72,945 146,303 71,659 74,644 Kpandai 108,816 54,997 53,819 111,659 55,155 56,504 114,280 55,923 58,357 117,070 57,347 59,723 Nanumba South 93,464 46,776 46,688 95,804 46,876 48,928 98,701 48,295 50,406 101,114 49,532 51,582 Nanumba North 141,584 69,997 71,587 145,254 70,328 74,926 148,043 72,434 75,609 151,613 74,263 77,350 Zabzugu 63,815 31,306 32,509 65,742 32,077 33,665 67,524 33,040 34,484 69,180 33,885 35,295 Yendi Municipal 117,780 58,920 58,860 120,656 59,217 61,439 124,674 61,000 63,674 127,706 62,556 65,150 Tamale Metropolis 223,252 111,109 112,143 228,172 111,390 116,782 233,783 114,397 119,386 239,465 117,301 122,164 Tolon 72,990 36,360 36,630 74,584 36,465 38,119 75,317 36,852 38,465 77,169 37,799 39,370 Savelugu Nanton 139,283 67,531 71,752 142,699 69,094 73,605 145,450 71,164 74,286 148,982 72,976 76,006 Karaga 77,706 37,336 40,370 79,201 38,244 40,957 80,523 39,400 41,123 82,484 40,411 42,073 Gushiegu 111,259 54,186 57,073 114,643 55,503 59,140 116,858 57,185 59,673 119,703 58,637 61,066 Saboba 65,706 32,320 33,386 68,080 33,312 34,768 70,131 34,316 35,815 71,846 35,195 36,651 Chereponi 53,394 26,206 27,188 55,448 27,142 28,306 57,145 27,963 29,182 58,534 28,672 29,862 Bunkpurugu Yonyo 122,591 60,240 62,351 124,852 60,444 64,408 127,264 62,269 64,995 130,370 63,859 66,511 Mamprusi East 121,009 59,453 61,556 124,037 60,448 63,589 127,270 62,273 64,997 130,371 63,861 66,510 Mamprusi West 121,117 59,566 61,551 124,036 60,447 63,589 127,270 62,274 64,996 130,372 63,863 66,509 North Gonja 43,547 21,592 21,955 45,035 22,211 22,824 46,750 22,889 23,861 47,883 23,479 24,404 Kumbumgu 39,341 19,686 19,655 39,939 19,737 20,202 41,557 20,336 21,221 42,570 20,856 21,714 Sagnerigu Municipal 148,099 74,886 73,213 151,119 75,013 76,106 155,013 75,837 79,176 158,252 77,505 80,747 Mion 81,812 40,649 41,163 83,146 40,798 42,348 85,715 41,940 43,775 87,804 43,010 44,794 Tatale 60,039 29,779 30,260 61,061 30,032 31,029 62,327 30,497 31,830 63,853 31,279 32,574 Mamprugu Moagduri 46,894 23,439 23,455 47,786 23,634 24,152 49,344 24,149 25,195 50,551 24,762 25,789 Source: Ghana Statistical Service, 2015 214 University of Ghana http://ugspace.ug.edu.gh Annex 8: Population of District Assemblies in the Upper East Region 2010 2011 2012 2013 Districts Both Sexes Male Female Both Sexes Male Female Both Sexes Male Female Both Sexes Male Female Upper East Region 1,046,545 506,405 540,140 1,062,175 516,887 545,288 1,082,197 529,690 552,507 1,108,042 542,776 565,266 Builsa North 56,477 27,792 28,685 57,262 28,075 29,187 58,364 28,561 29,803 59,759 29,258 30,501 Kasena Nankana West 70,667 34,747 35,920 71,993 35,350 36,643 73,513 35,975 37,538 75,255 36,866 38,389 Kasena Nankana East 109,944 53,676 56,268 111,730 54,581 57,149 113,532 55,577 57,955 116,217 56,929 59,288 Bolgatanga Municipal 131,550 62,783 68,767 133,418 64,296 69,122 136,238 66,682 69,556 139,475 68,334 71,141 Talensi 81,194 40,831 40,363 82,701 40,985 41,716 84,334 41,276 43,058 86,354 42,299 44,055 Bongo 84,545 40,084 44,461 85,743 41,215 44,528 87,565 42,863 44,702 89,667 43,923 45,744 Bawku West 94,034 45,114 48,920 95,424 46,349 49,075 97,299 47,624 49,675 99,632 48,802 50,830 Garu Tempane 130,003 62,025 67,978 131,871 63,718 68,153 134,056 65,617 68,439 137,261 67,248 70,013 Bawku Municipal 98,538 47,254 51,284 99,885 48,419 51,466 101,625 49,747 51,878 104,052 50,970 53,082 Builsa South 36,514 18,100 18,414 37,091 18,338 18,753 37,845 18,520 19,325 38,742 18,977 19,765 Nabdam 33,826 16,871 16,955 34,022 16,905 17,117 34,586 16,930 17,656 35,425 17,352 18,073 Binduri 61,576 29,612 31,964 62,476 30,365 32,111 63,787 31,224 32,563 65,324 31,999 33,325 Pusiga 57,677 27,516 30,161 58,559 28,291 30,268 59,453 29,094 30,359 60,879 29,819 31,060 Source: Ghana Statistical Service, 2015 215 University of Ghana http://ugspace.ug.edu.gh Annex 9: Population of District Assemblies in the Upper West Region 2010 2011 2012 2013 Districts Both Sexes Male Female Both Sexes Male Female Both Sexes Male Female Both Sexes Male Female Upper West 702,110 341,182 360,928 709,094 344,592 364,502 721,458 353,118 368,340 738,692 361,850 376,842 Region Wa West 81,348 40,227 41,121 82,104 40,342 41,762 83,573 41,164 42,409 85,427 41,848 43,579 Wa Municipal 107,214 52,996 54,218 108,068 53,146 54,922 110,176 54,218 55,958 112,695 55,200 57,495 Wa East 72,074 36,396 35,678 73,060 36,635 36,425 73,945 36,803 37,142 75,859 37,158 38,701 Sissala East 56,528 27,503 29,025 56,826 27,614 29,212 58,059 28,437 29,622 59,649 29,219 30,430 Nadowli-Kaleo 61,561 28,753 32,808 62,240 29,340 32,900 63,278 30,311 32,967 64,810 31,748 33,062 Jirapa 88,402 41,592 46,810 89,866 42,961 46,905 91,303 44,246 47,057 92,793 45,458 47,335 Sissala West 49,573 24,151 25,422 50,006 24,204 25,802 50,898 24,938 25,960 52,286 25,612 26,674 Lambussie Karni 51,654 24,952 26,702 52,106 25,227 26,879 53,058 25,999 27,059 54,505 26,701 27,804 Lawra 54,889 26,346 28,543 55,228 26,594 28,634 56,174 27,327 28,847 57,446 28,137 29,309 Daffiama Bussie 32,827 15,971 16,856 33,105 16,028 17,077 33,703 16,519 17,184 34,613 16,957 17,656 Nandom 46,040 22,295 23,745 46,485 22,501 23,984 47,291 23,156 24,135 48,609 23,812 24,797 Source: Ghana Statistical Service, 2015 216 University of Ghana http://ugspace.ug.edu.gh Annex 10: Population of District Assemblies in the Volta Region 2010 2011 2012 2013 Districts Both Sexes Male Female Both Sexes Male Female Both Sexes Male Female Both Sexes Male Female Volta Region 2,118,252 1,019,398 1,098,854 2,174,659 1,058,389 1,116,270 2,215,925 1,084,591 1,131,334 2,268,857 1,111,395 1,157,462 South Tongu 87,950 40,019 47,931 89,820 41,525 48,295 91,567 43,096 48,471 93,471 44,880 48,591 Keta Municapal 147,618 68,556 79,062 150,408 70,867 79,541 153,265 73,472 79,793 157,151 76,149 81,002 Ketu South 160,756 75,648 85,108 164,360 78,634 85,726 167,580 81,530 86,050 172,842 84,907 87,935 Ketu North 99,913 46,551 53,362 102,058 48,398 53,660 103,548 49,639 53,909 105,879 51,485 54,394 Akatsi 98,684 45,497 53,187 101,133 47,726 53,407 104,007 50,241 53,766 106,059 52,098 53,961 Central Tongu 59,411 27,790 31,621 60,479 28,579 31,900 61,572 29,556 32,016 62,851 30,453 32,398 Agotime Ziope 28,013 13,498 14,515 28,884 14,125 14,759 29,138 14,299 14,839 29,559 14,522 15,037 Ho Municipal 177,281 83,819 93,462 180,572 86,818 93,754 184,409 89,819 94,590 189,809 92,597 97,212 South Dayi 46,661 22,132 24,529 47,674 22,961 24,713 48,454 23,690 24,764 49,732 24,277 25,455 Kpando Municipal 53,736 25,904 27,832 54,834 26,836 27,998 55,641 27,499 28,142 56,848 27,922 28,926 Hohoe Municipal 167,016 79,967 87,049 172,075 83,901 88,174 174,817 85,880 88,937 179,641 88,250 91,391 Biakoye 65,901 33,057 32,844 67,891 34,283 33,608 68,839 34,418 34,421 70,503 34,636 35,867 Jasikan 59,181 29,142 30,039 61,346 30,402 30,944 62,325 30,802 31,523 63,677 31,278 32,399 Kadjebi 59,303 29,951 29,352 61,199 30,940 30,259 62,140 31,107 31,033 63,176 31,280 31,896 Krachi East 116,804 60,730 56,074 121,082 62,684 58,398 123,913 62,979 60,934 126,925 63,285 63,640 Krachi West 49,417 25,370 24,047 51,186 26,214 24,972 52,225 26,329 25,896 53,131 26,526 26,605 Nkwanta South 117,878 58,482 59,396 122,106 60,590 61,516 124,647 61,603 63,044 127,360 62,561 64,799 Nkwanta North 64,553 32,394 32,159 66,471 33,491 32,980 67,365 33,589 33,776 68,535 33,831 34,704 North Tongu 89,777 42,492 47,285 91,468 43,991 47,477 93,361 45,580 47,781 95,517 46,920 48,597 Akatsi North 29,777 13,668 16,109 30,794 14,301 16,493 32,038 15,016 17,022 33,146 15,627 17,519 Adaklu 36,391 17,800 18,591 37,512 18,330 19,182 38,136 18,698 19,438 38,664 18,993 19,671 Ho West 94,600 45,361 49,239 96,956 47,024 49,932 99,133 48,470 50,663 101,819 49,752 52,067 Afadzato South 95,030 46,272 48,758 98,244 48,314 49,930 99,649 48,982 50,667 102,026 49,959 52,067 North Dayi 39,913 18,649 21,264 41,112 19,712 21,400 41,968 20,382 21,586 42,908 20,919 21,989 Krachi Nchumuru 72,688 36,649 36,039 74,995 37,743 37,252 76,188 37,915 38,273 77,628 38,288 39,340 Source: Ghana Statistical Service, 2015 217 University of Ghana http://ugspace.ug.edu.gh Annex 11: Population of District Assemblies in the Western Region 2010 2011 2012 2013 Districts Both Sexes Male Female Both Sexes Male Female Both Sexes Male Female Both Sexes Male Female Western Region 2,376,021 1,187,774 1,188,247 2,519,340 1,255,283 1,264,057 2,628,193 1,286,378 1,341,815 2,690,957 1,318,160 1,372,797 Jomoro 150,107 73,561 76,546 158,915 78,729 80,186 165,730 81,023 84,707 169,477 83,018 86,459 Ellembelle 87,501 42,317 45,184 92,674 45,570 47,104 97,382 47,609 49,773 99,577 48,777 50,800 Nzema East 60,828 29,947 30,881 65,348 32,235 33,113 68,451 33,468 34,983 70,018 34,302 35,716 Ahanta West 106,215 50,999 55,216 112,603 55,329 57,274 118,404 57,889 60,515 121,083 59,311 61,772 Sekondi Takoradi 559,548 273,436 286,112 595,158 296,064 299,094 618,303 302,265 316,038 632,382 309,764 322,618 Metropolis Shama 81,966 38,704 43,262 86,412 42,084 44,328 89,459 43,742 45,717 91,501 44,821 46,680 Wassa East 81,073 40,984 40,089 85,911 42,633 43,278 89,461 43,738 45,723 91,498 44,820 46,678 Tarkwa Nsuaem 90,477 46,662 43,815 95,145 47,826 47,319 99,988 48,884 51,104 102,260 50,095 52,165 Municipal Prestea/Huni Valley 159,304 80,493 78,811 170,085 84,798 85,287 176,295 86,188 90,107 180,286 88,311 91,975 Wassa Amenfi East 83,478 42,896 40,582 88,475 43,929 44,546 92,088 45,019 47,069 94,178 46,134 48,044 Wassa Amenfi West 92,152 47,361 44,791 97,734 49,136 48,598 102,615 50,162 52,453 104,940 51,404 53,536 Aowin 117,886 61,262 56,624 125,210 63,447 61,763 131,557 64,319 67,238 134,550 65,907 68,643 Sefwi Akontombra 82,467 43,603 38,864 87,130 44,670 42,460 90,481 45,030 45,451 94,179 46,129 48,050 Sefwi Wiawso 139,200 69,753 69,447 148,108 73,005 75,103 155,238 75,891 79,347 158,762 77,769 80,993 Sefwi Bibiani- 123,272 60,855 62,417 131,157 64,972 66,185 136,819 66,892 69,927 139,933 68,547 71,386 Ahwiaso Bekwai Juabeso 58,435 29,742 28,693 62,225 31,449 30,776 65,785 32,162 33,623 67,272 32,957 34,315 Bia west 88,939 45,717 43,222 91,908 46,083 45,825 94,728 46,314 48,414 96,873 47,454 49,419 Mpohor 42,923 21,486 21,437 45,464 22,555 22,909 47,364 23,157 24,207 48,447 23,731 24,716 Wassa Amenfi 69,014 35,866 33,148 72,511 36,655 35,856 76,302 37,304 38,998 78,033 38,227 39,806 Central Suaman 20,529 10,646 9,883 21,990 11,168 10,822 23,140 11,579 11,561 24,220 11,869 12,351 Bodi 53,314 27,111 26,203 55,876 27,872 28,004 57,886 28,301 29,585 59,206 29,000 30,206 Bia East 27,393 14,373 13,020 29,301 15,074 14,227 30,717 15,442 15,275 32,282 15,813 16,469 Source: Ghana Statistical Service, 2015 218 University of Ghana http://ugspace.ug.edu.gh Annex 12: A Sample of the Sustainability Test Description of Activity: Existing Situation: Water Drawn from local rivers and streams by hand CRITERIA – BASIC AIMS AND PERFORMANCE INDICATORS OBJECTIVES MEASURE EFFECTS ON NATURAL RESOURCES Protected Areas and Wildlife: should be Sensitive areas conserved, and these resources should be enhanced (0) 1 2 3 4 5 shown on maps where practical. Degraded Land: Areas vulnerable to degradation Vulnerable areas should be avoided, and already degraded land (0) 1 2 3 4 5 shown on maps should be enhanced. Energy: The Activity should encourage efficient Quantity and type of energy use and maximize use of renewable rather fuel/energy to be (0) 1 2 3 4 5 than fossil fuels. identified Pollution: Discharges of pollutants and waste Quantity /type of products to the atmosphere, water and land should pollutants and waste (0) 1 2 3 4 5 be avoided or minimised. to be identified Use of Raw Materials: All raw materials should Quantity and type of be used with maximum efficiency and recycled (0) 1 2 3 4 5 materials where practical. Rivers and Water bodies: should retain their Minimum flows/ (0) 1 2 3 4 5 natural character. water levels to be set EFFECTS ON SOCIAL AND CULTURAL CONDITIONS Local Character: and cohesion of local Opinions of local communities should be and enhanced where communities to be (0) 1 2 3 4 5 practical. assessed Number of People Health and Well-being: The Activity should exposed to water benefit the work force, and local communities in borne disease, or (0) 1 2 3 4 5 terms of health and well-being, nutrition, shelter, lacking adequate education and cultural expression. food and shelter to be assessed Number of women Gender: The Activity should empower women. (0) 1 2 3 4 5 to be empowered Job Creation: The activity should create jobs for Number of people to (0) 1 2 3 4 5 local people particularly women and young people. be employed Participation: Active participation and Level of involvement of local communities should be participation (0) 1 2 3 4 5 encouraged (especially vulnerable and excluded proposed sections). Access to Land: Activity should improve access Number of the poor (0) 1 2 3 4 5 to land. to be assisted 219 University of Ghana http://ugspace.ug.edu.gh Description of Activity: Existing Situation: Water Drawn from local rivers and streams by hand CRITERIA – BASIC AIMS AND PERFORMANCE INDICATORS OBJECTIVES MEASURE Access to Water: Activity should improve access Number of the poor (0) 1 2 3 4 5 to water. to be assisted Access to Transport: Activity should improve Number of the poor (0) 1 2 3 4 5 access to transport. to be assisted Number of the poor Sanitation: Activity should improve sanitation. (0) 1 2 3 4 5 to be assisted Equity: Adverse and beneficial impacts from Number of the poor development should be distributed equitably and to be to benefit on (0) 1 2 3 4 5 should not discriminate against any groups, equitable terms especially vulnerable and excluded people. Vulnerability and Risk: of drought, bushfire, Occurrence to be floods crises and conflicts and epidemics should be (0) 1 2 3 4 5 noted and monitored reduced. EFFECTS ON THE ECONOMY Growth: The PPP should result in development Economic Output to that encourages strong and stable conditions of (0) 1 2 3 4 5 be evaluated economic growth. Use of local materials and services: The PPP Description of should result in the use of raw materials and (0) 1 2 3 4 5 sources services from local industries where possible. Local Investment of Capital: Development should encourage the local retention of capital and Description of (0) 1 2 3 4 5 the development of downstream industries, investment strategy utilising local raw materials, products and labour. 220 University of Ghana http://ugspace.ug.edu.gh Annex 13: Sample of the Internal Consistency Matrix Activity 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 √ x 0 0 0 4 Create new farm ponds √ 0 √ √ 5 Drain open water areas √ √ √ 6 Build new schools √ √ 7 Develop new market √ Introduce new micro- 8 businesses 221 Build new housing Build new feeder roads Extend area of irrigation Create new farm ponds Drain open water areas Build new schools Develop new market Introduce new micro- businesses University of Ghana http://ugspace.ug.edu.gh Annex 14: A Sample of the Compound Matrix PILLARS OF NATURAL INSTITUTIONAL ISSUES SOCIO-CULTURAL ECONOMIC ISSUES SUSTAINABILITY RESOURCES Environmental Concerns No Policy Objectives Build consensus through effective advocacy for all stakeholders to be familiar with and +/ 1 + 0 + + + + + + + + + + + + + + + + + + + + + + committed to 0 sustainable implementation of the RSMS at all levels 222 Pollution of water source Land Degradation Deforestation Open defecation Climate change issues Sanitation related diseases Social inclusion Negative socio-cultural beliefs and practices Indiscriminate refuse disposal chocked gutter & refuse littering Lack of partnership with the informal sector Inadequate investment (funding) in Sanitation Job creation Poverty Reduction Inadequate funding for disposal of waste and its management Waste disposal and management Financial inadequacy Weak implementation and enforcement of policies and plans Lack of designated dumping sites Poor drainage system Inadequate access to improved latrines Lack of cesspool emptiers and inadequate waste collection system Blockage in sewer lines Poor location of toilet facilities Enforcement of codes and bye-laws in relation to toilet facilities University of Ghana http://ugspace.ug.edu.gh PILLARS OF NATURAL INSTITUTIONAL ISSUES SOCIO-CULTURAL ECONOMIC ISSUES SUSTAINABILITY RESOURCES Environmental Concerns No Policy Objectives Mainstream RSMS into the DESSAP and DMTDPs of all Districts assemblies, as a 2 + 0 0 + + + + + + + + + + + 0 + + + + + + + + + + precondition for receiving related national and regional level support Identify and utilize appropriate financing models 3 + 0 0 + 0 + 0 0 + + + + + + + + + 0 + + + + + + + for sustainable implementation of RSMS 223 Pollution of water source Land Degradation Deforestation Open defecation Climate change issues Sanitation related diseases Social inclusion Negative socio-cultural beliefs and practices Indiscriminate refuse disposal chocked gutter & refuse littering Lack of partnership with the informal sector Inadequate investment (funding) in Sanitation Job creation Poverty Reduction Inadequate funding for disposal of waste and its management Waste disposal and management Financial inadequacy Weak implementation and enforcement of policies and plans Lack of designated dumping sites Poor drainage system Inadequate access to improved latrines Lack of cesspool emptiers and inadequate waste collection system Blockage in sewer lines Poor location of toilet facilities Enforcement of codes and bye-laws in relation to toilet facilities University of Ghana http://ugspace.ug.edu.gh PILLARS OF NATURAL INSTITUTIONAL ISSUES SOCIO-CULTURAL ECONOMIC ISSUES SUSTAINABILITY RESOURCES Environmental Concerns No Policy Objectives Develop and implement incentive packages to attract private 4 + 0 0 + 0 + + + + + + + + + + + + + + + + + + + + sector participation in the implementation of RSMS. Develop human resource capacity for RSMS trainer 5 + + + 0 0 + + + + + 0 + + 0 + + + 0 0 + 0 0 + of trainers (tot) and facilitation at all levels 224 Pollution of water source Land Degradation Deforestation Open defecation Climate change issues Sanitation related diseases Social inclusion Negative socio-cultural beliefs and practices Indiscriminate refuse disposal chocked gutter & refuse littering Lack of partnership with the informal sector Inadequate investment (funding) in Sanitation Job creation Poverty Reduction Inadequate funding for disposal of waste and its management Waste disposal and management Financial inadequacy Weak implementation and enforcement of policies and plans Lack of designated dumping sites Poor drainage system Inadequate access to improved latrines Lack of cesspool emptiers and inadequate waste collection system Blockage in sewer lines Poor location of toilet facilities Enforcement of codes and bye-laws in relation to toilet facilities University of Ghana http://ugspace.ug.edu.gh PILLARS OF NATURAL INSTITUTIONAL ISSUES SOCIO-CULTURAL ECONOMIC ISSUES SUSTAINABILITY RESOURCES Environmental Concerns No Policy Objectives Improve behavioural change in latrine usage, 6 hand washing with + 0 0 + 0 + + + + + 0 0 0 0 0 + 0 0 + + + + + + 0 soap/ash and safe drinking water handling Maximise synergy between improved 7 sanitation and + 0 0 + + + + + + + 0 0 0 0 0 + 0 0 + + + + + + 0 hygiene at homes and schools To develop and utilise communication 8 channels and + 0 0 + + + + + + + + + 0 + + + + + + 0 0 + + + materials to + improved sanitation and hygiene 225 Pollution of water source Land Degradation Deforestation Open defecation Climate change issues Sanitation related diseases Social inclusion Negative socio-cultural beliefs and practices Indiscriminate refuse disposal chocked gutter & refuse littering Lack of partnership with the informal sector Inadequate investment (funding) in Sanitation Job creation Poverty Reduction Inadequate funding for disposal of waste and its management Waste disposal and management Financial inadequacy Weak implementation and enforcement of policies and plans Lack of designated dumping sites Poor drainage system Inadequate access to improved latrines Lack of cesspool emptiers and inadequate waste collection system Blockage in sewer lines Poor location of toilet facilities Enforcement of codes and bye-laws in relation to toilet facilities University of Ghana http://ugspace.ug.edu.gh PILLARS OF NATURAL INSTITUTIONAL ISSUES SOCIO-CULTURAL ECONOMIC ISSUES SUSTAINABILITY RESOURCES Environmental Concerns No Policy Objectives Provide oversight responsibility for ODF status 9 + 0 0 + + + + + + + + + 0 0 0 + 0 + + + + + + + 0 verification and recognition/celebrat ion To facilitate formative research that will lead to the 10 0 0 0 0 0 0 + + + 0 + 0 0 0 0 0 0 0 + 0 + 0 + + 0 formulation of efficient models to be replicated in other districts 226 Pollution of water source Land Degradation Deforestation Open defecation Climate change issues Sanitation related diseases Social inclusion Negative socio-cultural beliefs and practices Indiscriminate refuse disposal chocked gutter & refuse littering Lack of partnership with the informal sector Inadequate investment (funding) in Sanitation Job creation Poverty Reduction Inadequate funding for disposal of waste and its management Waste disposal and management Financial inadequacy Weak implementation and enforcement of policies and plans Lack of designated dumping sites Poor drainage system Inadequate access to improved latrines Lack of cesspool emptiers and inadequate waste collection system Blockage in sewer lines Poor location of toilet facilities Enforcement of codes and bye-laws in relation to toilet facilities University of Ghana http://ugspace.ug.edu.gh PILLARS OF NATURAL INSTITUTIONAL ISSUES SOCIO-CULTURAL ECONOMIC ISSUES SUSTAINABILITY RESOURCES Environmental Concerns No Policy Objectives To support ongoing research and development of appropriate 11 sanitation + 0 0 + + + + + + + + + + + + 0 0 + + + + + + 0 technology options and marketing strategies suitable to all To secure funds and other resources for the 12 implementation of + 0 0 + + + + + + + + + + + + + + + + + + + + + the CLTS approach + to attain ODF status 227 Pollution of water source Land Degradation Deforestation Open defecation Climate change issues Sanitation related diseases Social inclusion Negative socio-cultural beliefs and practices Indiscriminate refuse disposal chocked gutter & refuse littering Lack of partnership with the informal sector Inadequate investment (funding) in Sanitation Job creation Poverty Reduction Inadequate funding for disposal of waste and its management Waste disposal and management Financial inadequacy Weak implementation and enforcement of policies and plans Lack of designated dumping sites Poor drainage system Inadequate access to improved latrines Lack of cesspool emptiers and inadequate waste collection system Blockage in sewer lines Poor location of toilet facilities Enforcement of codes and bye-laws in relation to toilet facilities University of Ghana http://ugspace.ug.edu.gh PILLARS OF NATURAL INSTITUTIONAL ISSUES SOCIO-CULTURAL ECONOMIC ISSUES SUSTAINABILITY RESOURCES Environmental Concerns No Policy Objectives To create and sustain 100% open defecation free 13 + 0 0 + + + + + + + + - + + + + 0 0 + + + + + + 0 communities, districts and regions by 2025 To improve sanitation coverage 14 rate from 15% in + 0 0 + + + + 0 + + + 0 0 + + + + 0 + + + + + + + 2013 to 54% in 2015 To harmonize and create synergies for 15 sanitation and + 0 0 + + + + + + + + + + + + + + + + + + + + + + hygiene promotion approaches 228 Pollution of water source Land Degradation Deforestation Open defecation Climate change issues Sanitation related diseases Social inclusion Negative socio-cultural beliefs and practices Indiscriminate refuse disposal chocked gutter & refuse littering Lack of partnership with the informal sector Inadequate investment (funding) in Sanitation Job creation Poverty Reduction Inadequate funding for disposal of waste and its management Waste disposal and management Financial inadequacy Weak implementation and enforcement of policies and plans Lack of designated dumping sites Poor drainage system Inadequate access to improved latrines Lack of cesspool emptiers and inadequate waste collection system Blockage in sewer lines Poor location of toilet facilities Enforcement of codes and bye-laws in relation to toilet facilities University of Ghana http://ugspace.ug.edu.gh PILLARS OF NATURAL INSTITUTIONAL ISSUES SOCIO-CULTURAL ECONOMIC ISSUES SUSTAINABILITY RESOURCES Environmental Concerns No Policy Objectives To increase access to improved, affordable, 16 + 0 0 + + + + + + + + + + + + + + + + + + + + + + appropriate hardware for all aspects of ISH 229 Pollution of water source Land Degradation Deforestation Open defecation Climate change issues Sanitation related diseases Social inclusion Negative socio-cultural beliefs and practices Indiscriminate refuse disposal chocked gutter & refuse littering Lack of partnership with the informal sector Inadequate investment (funding) in Sanitation Job creation Poverty Reduction Inadequate funding for disposal of waste and its management Waste disposal and management Financial inadequacy Weak implementation and enforcement of policies and plans Lack of designated dumping sites Poor drainage system Inadequate access to improved latrines Lack of cesspool emptiers and inadequate waste collection system Blockage in sewer lines Poor location of toilet facilities Enforcement of codes and bye-laws in relation to toilet facilities University of Ghana http://ugspace.ug.edu.gh Annex 15: A Sample of the Opportunities and Risk Matrix REASONS ENVIRONMENTAL MITIGATION IMPLEMENTING NO. OBJECTIVES ACTIVITIES FOR EVALUATION MEASURES INSTITUTION EVALUATION OPP. RISK NEUTRAL A PILLAR 1: Build the Enabling Environment GOAL 1: To create the enabling environment for effective and sustainable implementation of RSMS in Ghana SC: This will help SC & INS: to improve knowledge habits/Behavioural processing and 1.1 Identify and strengthen change dissemination centres for CLTS NR NR NR INS: Enhance should be knowledge processing, SC SC SC capacity appropriate for Build consensus management and EC EC EC EC/INS: risk of behavior change at dissemination INS INS INS adequate funding community levels through effective for activities EC/INS: budget advocacy for all implementation and secure adequate stakeholders to be funding for activities familiar with and implementation 1 committed to SC create more World Toilet Day & sustainable awareness and also Global Hand implementation of the 1.2 Acknowledge and reduce disease washing day should RSMS at all levels celebrate ODF burden be commemorated at NR NR NR EC saving of through the country: communities as part of SC SC SC medical bills, and at national, regional activities marking World EC EC EC income generating district and Toilet Day and Global INS INS INS opportunity community levels. Hand washing Day EC/INS: risk of EC/INS: budget inadequate funding and secure adequate for activities funding for activities implementation implementation 230 University of Ghana http://ugspace.ug.edu.gh REASONS ENVIRONMENTAL MITIGATION IMPLEMENTING NO. OBJECTIVES ACTIVITIES FOR EVALUATION MEASURES INSTITUTION EVALUATION OPP. RISK NEUTRAL 1.3 Incorporate RSMS into NR NR NR INS: capacity Orientation of tutors the curriculum of SC SC SC building of change of schools of Schools of Hygiene EC EC EC agents for hygiene to able to INS INS INS facilitation effectively apply the implementation of curriculum in the RSMS. schools SC: facilitation of appropriate EC/INS: budget behavior change and secure adequate for good sanitation funding for activities practices at in implementation communities EC/INS: risk of inadequate funding for activities implementation INS: Commitment of school authorities. 1.4 Incorporate basic NR NR NR Orientation of environmental sanitation SC SC SC INS: capacity teachers of basic and hygiene education in EC EC EC building of change schools (including INS INS INS agents for those still at training the curriculum of Basic facilitation colleges) to enable Schools implementation of effective application RSMS. of the curriculum in SC: facilitation of the schools. appropriate EC/INS: ensure behavior change budgeting and for good sanitation secure adequate 231 University of Ghana http://ugspace.ug.edu.gh REASONS ENVIRONMENTAL MITIGATION IMPLEMENTING NO. OBJECTIVES ACTIVITIES FOR EVALUATION MEASURES INSTITUTION EVALUATION OPP. RISK NEUTRAL practices at in funding for activities schools and implementation communities EC/INS: risk of inadequate funding for activities implementation 3.1 Develop and circulate NR NR NR INS: enhance guidelines for SC SC SC institutional INS:MLGRD mainstreaming of RSMS EC EC EC capacity for /MOFEP/DACF INS INS INS mainstreaming should ensure timely into DESSAP, MTDPs INS: release of funds to and Budget Budgets/funds MMDAs for Mainstream RSMS allocation for implementation of into the DESSAP and RSMS activities at DESSAP/MTDPs district levels. DMTDPs of all EC: sustainable INS: MMDAs Districts assemblies, financing of should prioritize and 2 as a precondition for sanitation activities mobilize receiving related at district levels alternative/additional national and regional EC/INS: funding funding for their level support for other activities sanitation plans of the Districts may be reduce INS: funds may not be available, adequate or timely release for districts sanitation activities. 232 University of Ghana http://ugspace.ug.edu.gh REASONS ENVIRONMENTAL MITIGATION IMPLEMENTING NO. OBJECTIVES ACTIVITIES FOR EVALUATION MEASURES INSTITUTION EVALUATION OPP. RISK NEUTRAL 3.2 Train District NR NR NR INS: enhance stakeholders on the use SC SC SC institutional INS:MLGRD of the guidelines for EC EC EC capacity for /MOFEP/DACF INS INS INS mainstreaming should ensure timely integrating RSMS into INS: release of funds to DESSAP, MTDPs and Budgets/funds MMDAs for Budgets allocation for implementation of RSMS activities at DESSAP/MTDPs district levels. EC: sustainable financing of INS: MMDAs sanitation activities should prioritize and at district levels mobilize INS: funding for alternative/additional other activities of funding for their the Districts may be reduced sanitation plans INS: funds may not be available, EC/INS: budget adequate or timely and secure adequate release for districts funding for activities sanitation activities implementation 233 University of Ghana http://ugspace.ug.edu.gh REASONS ENVIRONMENTAL MITIGATION IMPLEMENTING NO. OBJECTIVES ACTIVITIES FOR EVALUATION MEASURES INSTITUTION EVALUATION OPP. RISK NEUTRAL 3.3 Establish a NR NR NR NR/SC/EC/INS: INS: the reward/ reward/incentive system SC SC SC improved incentive system for Districts EC EC EC sanitation and should be INS INS INS health outcome of implemented demonstrating communities; equitably in the excellence in RSMS reduce context of the integration environmental competing districts degradation; programs institutional capacity for fundraising. INS: motivation for implementation the other activities of the Districts may be reduced. 4.1 Seek Cabinet’s approval NR NR NR NR/SC: improved to allocate 2% of the SC SC SC sanitation and INS:MLGRD District Assemblies EC EC EC health outcome of /MOFEP/DACF Identify and utilize INS INS INS communities; should ensure timely 3 Common Fund (DACF) appropriate financing reduce release of funds to for sanitation promotion environmental MMDAs for models for sustainable degradation; implementation of implementation of INS: DESSAP/MTDPs RSMS Budgets/funds allocation for RSMS activities at district levels. 234 University of Ghana http://ugspace.ug.edu.gh REASONS ENVIRONMENTAL MITIGATION IMPLEMENTING NO. OBJECTIVES ACTIVITIES FOR EVALUATION MEASURES INSTITUTION EVALUATION OPP. RISK NEUTRAL EC: sustainable INS: MMDAs financing of should prioritize and sanitation activities mobilize at district levels alternative/additional INS: funding for funding for their other activities of the Districts may sanitation plans be reduced INS: funds may EC/INS: budget not be available, and secure adequate adequate or timely funding for activities release for districts implementation sanitation activities INS: cabinet may INS: sensitize and not prioritize lobby cabinet on the sanitation and the need for approval of approval of 2% DACF 2% of the from DACF District Assemblies Common Fund (DACF) for sanitation promotion 4.2 Establish a revolving NR NR NR EC: Provide fund for sanitation SC SC SC NR/SC: improved alternative support to promotion to be EC EC EC sanitation and poor households not INS INS INS health outcome of being able to meet administered by micro- communities; requirement for finance institutions and reduce accessing loans for 235 University of Ghana http://ugspace.ug.edu.gh REASONS ENVIRONMENTAL MITIGATION IMPLEMENTING NO. OBJECTIVES ACTIVITIES FOR EVALUATION MEASURES INSTITUTION EVALUATION OPP. RISK NEUTRAL rural banks for house environmental construction of hold latrine construction degradation; household latrine INS: improve EC: proper capacity for targeting, provision of community improve sanitation sensitization and services monitoring of loans EC: sustainable beneficiaries financing of sanitation activities EC/INS: budget at district levels and secure adequate EC: enhance funding for activities partnership with implementation private sector and job creation INS: funding for other activities of the Districts may be reduced INS: funds may not be available, adequate or timely release for districts sanitation activities EC: Poor household not being able to meet requirement for accessing loans for 236 University of Ghana http://ugspace.ug.edu.gh REASONS ENVIRONMENTAL MITIGATION IMPLEMENTING NO. OBJECTIVES ACTIVITIES FOR EVALUATION MEASURES INSTITUTION EVALUATION OPP. RISK NEUTRAL construction of household latrine EC: Risk of low or non-recovery loans 4.3 Encourage communities NR NR NR EC/INS: access to proper targeting, to use their own systems SC SC SC sustainable community of mutual savings e.g. EC EC EC financing for sensitization and INS INS INS household latrine monitoring of loans “nnoboa system” to construction beneficiaries finance household latrine SC may construction discriminate EC/INS: budget against those and secure adequate funding for activities members of the implementation household unable to contribute to scheme. EC/INS: risk of inadequate funding for activities implementation 4.4 Integrate RSMS NR NR NR activities into the SC SC SC DESSAPs with budgets EC EC EC INS INS INS 237 University of Ghana http://ugspace.ug.edu.gh REASONS ENVIRONMENTAL MITIGATION IMPLEMENTING NO. OBJECTIVES ACTIVITIES FOR EVALUATION MEASURES INSTITUTION EVALUATION OPP. RISK NEUTRAL and have the full support of Assembly members. 5.1 Facilitate access to credit NR NR NR SC SC SC EC EC EC INS INS INS 5.2 Provision of tax NR NR NR Develop and incentives SC SC SC EC EC EC implement incentive INS INS INS packages to attract 4 private sector participation in the implementation of RSMS. 5.3 Institute National and NR NR NR District awards schemes SC SC SC to recognise private EC EC EC INS INS INS sector participation as part of World Toilet Day and Global Hand washing Day celebration. 238 University of Ghana http://ugspace.ug.edu.gh REASONS ENVIRONMENTAL MITIGATION IMPLEMENTING NO. OBJECTIVES ACTIVITIES FOR EVALUATION MEASURES INSTITUTION EVALUATION OPP. RISK NEUTRAL 5.4 Encourage Public- NR NR NR Private-Partnerships in SC SC SC the provision of EC EC EC INS INS INS Sanitation and hygiene services in public places and institutions (e.g. markets, schools, health etc) PILLAR 2: Capacity Building GOAL: Build adequate capacity for effective implementation of the model towards improved sanitation and hygiene 6.1 Develop a Training NR NR NR INS: strengthen EC/INS: budget Manual, Facilitators SC SC SC institutional and secure adequate Develop human EC EC EC capacity for funding for activities resource capacity for Guide and Visual Aids INS INS INS CLTS implementation RSMS trainer of for National CLTS SC: facilitation of trainers (ToT) and Trainer of Trainers. appropriate facilitation at all levels behavior change 5 for good sanitation practices at in communities EC/INS: adequate funding for activities implementation 239 University of Ghana http://ugspace.ug.edu.gh REASONS ENVIRONMENTAL MITIGATION IMPLEMENTING NO. OBJECTIVES ACTIVITIES FOR EVALUATION MEASURES INSTITUTION EVALUATION OPP. RISK NEUTRAL 6.2 Mainstream CLTS in NR NR NR Orientation of training curriculum at all SC SC SC INS: capacity teachers of basic educational levels with a EC EC EC building of change schools (including INS INS INS agents for those still at training strong emphasis on facilitation colleges) to enable practical field training. implementation of effective application RSMS. of the curriculum in SC: facilitation of the schools. appropriate behavior change EC/INS: budget for good sanitation and secure adequate practices at in funding for activities communities implementation EC/INS: inadequate funding for activities implementation 6.3 Training of Trainers at NR NR NR INS: capacity Monitor, Support, the Regional and SC SC SC building of change and motivate TOT District Levels EC EC EC agents for trainers for INS INS INS facilitation replication at lower implementation of levels. RSMS. SC: facilitation of EC/INS: budget appropriate and secure adequate behavior change funding for activities for good sanitation implementation practices at in communities 240 University of Ghana http://ugspace.ug.edu.gh REASONS ENVIRONMENTAL MITIGATION IMPLEMENTING NO. OBJECTIVES ACTIVITIES FOR EVALUATION MEASURES INSTITUTION EVALUATION OPP. RISK NEUTRAL SC create more awareness and also reduce disease burden EC saving of medical bills, and income generating opportunity EC/INS: inadequate funding for activities implementation 6.4 Mainstream slab NR NR NR INS: capacity EC/INS: budget building/latrine SC SC SC building of change and secure adequate upgrading/promotion EC EC EC agents for funding for activities INS INS INS facilitation implementation skills in implementation of technical/vocational RSMS. colleges’ curriculum SC: facilitation of Orientation of tutors appropriate of schools of behavior change hygiene to able to for good sanitation effectively apply the practices at in curriculum in the communities schools EC: Job creation SC: reduce environmental degradation. EC/INS: adequate funding for 241 University of Ghana http://ugspace.ug.edu.gh REASONS ENVIRONMENTAL MITIGATION IMPLEMENTING NO. OBJECTIVES ACTIVITIES FOR EVALUATION MEASURES INSTITUTION EVALUATION OPP. RISK NEUTRAL activities implementation 7.1 Facilitate discussions NR NR NR INS: enhanced EC/INS: budget (focus group, etc) on SC SC SC capacity building and secure adequate improved sanitation, EC EC EC for implementation funding for activities INS INS INS of RSMS. implementation hand washing and safe SC: facilitation of water handling. appropriate SC: Ensure FDG behavior change are done in socially for good sanitation inclusive manner practices at in Improve behavioural communities change in latrine EC: Job creation usage, hand washing SC: reduce 6 with soap/ash and safe environmental drinking water degradation handling EC/INS: inadequate funding for activities implementation 7.2 Facilitate focus group NR NR NR INS: enhanced EC/INS: budget discussions to identify SC SC SC capacity building and secure adequate key risk behaviour, EC EC EC for implementation funding for activities INS INS INS of RSMS. implementation conduct behaviour trials, SC: facilitation of agree replacement appropriate 242 University of Ghana http://ugspace.ug.edu.gh REASONS ENVIRONMENTAL MITIGATION IMPLEMENTING NO. OBJECTIVES ACTIVITIES FOR EVALUATION MEASURES INSTITUTION EVALUATION OPP. RISK NEUTRAL behaviour & support behavior change Ensure FDG should needed for good sanitation be done in socially practices at in inclusive and communities sustainable manner EC: Job creation SC: reduce environmental degradation EC/INS: inadequate funding for activities implementation 7.3 Support stakeholders NR NR NR Monitor, support (Environmental Health SC SC SC INS: enhanced and motivate the Assistants (EHAs)/ EC EC EC capacity building relevant stakeholders INS INS INS for implementation to organize periodic Environmental Health of RSMS. sanitation campaign Officers (EHOs), SC: facilitation of in socially inclusive community based appropriate and sustainable hygiene volunteers and behavior change manner natural leaders, etc) to for good sanitation organize periodic practices at in EC/INS: budget sanitation campaign communities and secure adequate EC: poverty funding for activities including household reduction and Job implementation creation SC: reduce environmental degradation 243 University of Ghana http://ugspace.ug.edu.gh REASONS ENVIRONMENTAL MITIGATION IMPLEMENTING NO. OBJECTIVES ACTIVITIES FOR EVALUATION MEASURES INSTITUTION EVALUATION OPP. RISK NEUTRAL INS: inadequate funding for activities implementation 7.4 Organize periodic NR NR NR Monitor, support and sanitation campaign SC SC SC INS: enhanced motivate the relevant EC EC EC capacity building stakeholders to INS INS INS for implementation organize periodic of RSMS. sanitation campaign SC: facilitation of in socially inclusive appropriate and sustainable behavior change manner for good sanitation practices at in EC/INS: budget communities and secure adequate EC: poverty funding for activities reduction and Job implementation creation SC: reduce environmental degradation INS: inadequate funding for activities implementation 7.5 Develop and rollout folk NR NR NR INS: enhanced Monitor, support and dramas, street theatre, SC SC SC capacity building motivate the relevant sketches, road shows EC EC EC for implementation stakeholders to INS INS INS of RSMS. organize periodic 244 University of Ghana http://ugspace.ug.edu.gh REASONS ENVIRONMENTAL MITIGATION IMPLEMENTING NO. OBJECTIVES ACTIVITIES FOR EVALUATION MEASURES INSTITUTION EVALUATION OPP. RISK NEUTRAL SC: facilitation of sanitation campaign appropriate in socially inclusive behavior change and sustainable for good sanitation manner practices at in communities EC/INS: budget EC: poverty and secure adequate reduction and Job funding for activities creation implementation SC: reduce environmental degradation EC/INS: inadequate funding for activities implementation 7.6 Develop community ISH NR NR NR INS: enhanced EC/INS: budget inventory to fit in district SC SC SC institutional and secure adequate monitoring process EC EC EC capacity building funding for activities INS INS INS for implementation implementation of ISH at district vel. INS: inadequate funding for activities implementation 245 University of Ghana http://ugspace.ug.edu.gh REASONS ENVIRONMENTAL MITIGATION IMPLEMENTING NO. OBJECTIVES ACTIVITIES FOR EVALUATION MEASURES INSTITUTION EVALUATION OPP. RISK NEUTRAL 7.7 Strengthen household NR NR NR INS: inadequate Ensure outreach outreach programmes SC SC SC funding for programmes are EC EC EC activities done in a socially INS INS INS implementation inclusive and INS: enhanced sustainable manner capacity building for implementation EC/INS: budget of RSMS. and secure adequate SC: facilitation of funding for activities behavior change implementation for good sanitation practices at in communities EC: poverty reduction and Job creation SC: reduce 8.1 Support GES/SHEP to NR NR NR INS: capacity Orientation, prepare and make School SC SC SC building of monitoring and Led Total Sanitation EC EC EC implementation of support, teachers and INS INS INS RSMS. educational (SLTS), hygiene and SC: facilitation of authorities for Maximize synergy sanitation inputs into appropriate effective between improved 7 National School Health behavior change implementation of sanitation and hygiene Policy and Strategic for good sanitation the policy as part of at homes and schools framework practices at in the National communities Education Strategic EC: poverty plan. reduction and Job EC/INS: budget creation and secure adequate 246 University of Ghana http://ugspace.ug.edu.gh REASONS ENVIRONMENTAL MITIGATION IMPLEMENTING NO. OBJECTIVES ACTIVITIES FOR EVALUATION MEASURES INSTITUTION EVALUATION OPP. RISK NEUTRAL NR: reduce funding for activities environmental implementation degradation EC/INS: inadequate funding for activities implementation 8.2 Support GES/SHEP to NR NR NR INS: capacity Orientation, develop selection criteria SC SC SC building of monitoring and and selects schools. EC EC EC implementation of support, teachers and INS INS INS RSMS in SHEP. educational Support District SC: facilitation of authorities for Directors of GES, SHEP appropriate effective Coordinators, Circuit behavior change implementation Supervisors and School for good sanitation SHEP Based Health practices at in Coordinators to communities EC/INS: budget coordinate the activities EC: poverty and secure adequate reduction and Job funding for activities of SHEP creation implementation NR: reduce environmental degradation EC/INS: inadequate funding for activities implementation 247 University of Ghana http://ugspace.ug.edu.gh REASONS ENVIRONMENTAL MITIGATION IMPLEMENTING NO. OBJECTIVES ACTIVITIES FOR EVALUATION MEASURES INSTITUTION EVALUATION OPP. RISK NEUTRAL 8.3 Train school ToTs NR NR NR INS: capacity Monitor, Support, SC SC SC building of change and motivate TOT EC EC EC agents for trainers for INS INS INS facilitation replication at lower implementation of levels. RSMS. SC: facilitation of EC/INS: budget appropriate and secure adequate behavior change funding for activities for good sanitation implementation practices at in communities SC create more awareness and also reduce disease burden EC saving of medical bills, and income generating opportunity EC/INS: inadequate funding for activities implementation 248 University of Ghana http://ugspace.ug.edu.gh REASONS ENVIRONMENTAL MITIGATION IMPLEMENTING NO. OBJECTIVES ACTIVITIES FOR EVALUATION MEASURES INSTITUTION EVALUATION OPP. RISK NEUTRAL 8.4 Facilitate the formation NR NR NR INS: capacity Monitor, Support, and functionality of SC SC SC building of change and motivate school school health EC EC EC agents for clubs for activities INS INS INS facilitation on SLTS clubs/committees. implementation of RSMS. Encourage /motivate SC: facilitation of Educational appropriate Authorities to behavior change remind committed to for good sanitation support school practices schools WASH. and in communities EC/INS: budget and secure adequate SC create more funding for activities awareness and also implementation reduce disease burden NR: reduce environmental degradation EC saving of medical bills, and income generating opportunity EC/INS: risk of inadequate funding for activities implementation 249 University of Ghana http://ugspace.ug.edu.gh REASONS ENVIRONMENTAL MITIGATION IMPLEMENTING NO. OBJECTIVES ACTIVITIES FOR EVALUATION MEASURES INSTITUTION EVALUATION OPP. RISK NEUTRAL Provide appropriate Hand NR NR NR INS: inadequate School authorities be washing facilities and SC SC SC funding for WASH encourage to organize competitions EC EC EC activities at integrate WASH in INS INS INS schools. their School INS: enhance Performance institutional improvement Plans capacity for RSMS as part of Capitation implementation in Grants management. schools. SC: facilitation of Encourage /motivate appropriate Educational behavior change Authorities to among school remind committed to children to adopt support sustainable good sanitation WASH in all schools and hygiene practices schools EC/INS: budget and in and secure adequate communities funding for activities implementation SC create more EC/INS: solicit awareness and also support from 250 University of Ghana http://ugspace.ug.edu.gh REASONS ENVIRONMENTAL MITIGATION IMPLEMENTING NO. OBJECTIVES ACTIVITIES FOR EVALUATION MEASURES INSTITUTION EVALUATION OPP. RISK NEUTRAL reduce disease MMDAs, private burden sector and DP EC saving of medical bills, and income generating opportunity B Pillar 3: Create Demand Goal: Create demand through effective coordination, communication, research and appropriate technology for improved sanitation and hygiene 10.1 Use the media to NR NR NR NR There would effectively communicate SC SC SC be improvement in the message of Rural EC EC EC the natural EC: Explore INS INS INS environment alternative sources Sanitation and hygiene EC Increased of funding to the stakeholders - financial support media, soap opera, a for the To develop and utilize popular song, football implementation of communication link (approach football the RSMS 8 channels and materials celebrity), CLTS Film, EC: Inadequate to improved sanitation national poster funding will affect and hygiene implementation of competitions, private the activities sector sponsors, (Design SC Behavioral and display ‘clean and changes healthy’ banner) INS There would be feedback for the effective 251 University of Ghana http://ugspace.ug.edu.gh REASONS ENVIRONMENTAL MITIGATION IMPLEMENTING NO. OBJECTIVES ACTIVITIES FOR EVALUATION MEASURES INSTITUTION EVALUATION OPP. RISK NEUTRAL implementation of the model (RSMS) 10.2 Promote powerful NR NR NR NR People would EC: Explore advocacy through the SC SC SC be aware of actions alternative sources launch of the National EC EC EC that affect the of funding INS INS INS environment and Regional District EC: Funds may not Sanitation and Hygiene be available to league tables launch the league tables SC Behavioral change ISN There would support for best performing districts. 10.3 Advocate the timely NR:SC:EC:INS release and effective use There would be EC: Seek NR NR NR of the District sanitation support for all Sponsorship from SC SC SC fund – including special rural sanitation the private sector EC EC EC catch up incentives for programmes INS INS INS EC: Funds maybe laggards. not be forthcoming 252 University of Ghana http://ugspace.ug.edu.gh REASONS ENVIRONMENTAL MITIGATION IMPLEMENTING NO. OBJECTIVES ACTIVITIES FOR EVALUATION MEASURES INSTITUTION EVALUATION OPP. RISK NEUTRAL 10.4 Continuously INS: Employing NR:SC:EC:INS engage Members of relevant There would be Parliament (MPs) and participatory support for rural methods to Regional Ministers to NR NR NR sanitation adequately engage confirm their support for SC SC SC programmes them Ghana to achieve EC EC EC INS: There is INS: The Improved Sanitation and INS INS INS limited guarantee assessment of MPs for support Hygiene (endorsing by CSO should towards sanitation minimum standard) support towards activities RSMS 10.5 Establish RSMS SC: Support for EC: There should be network management at the implementation alternative sources MLGRD with website, of RSMS funding NR NR NR INS Facilitate the newsletter, and league SC SC SC implementation of tables, etc at all levels EC EC EC the RSMS INS INS INS EC: Establishing the networks would have cost implications 10.6 Identify and assign NR:SC:EC:INS responsibilities for each NR NR NR Facilitate the sector e.g. education, SC SC SC implementation of EC EC EC the RSMS and its Agric, sanitation INS INS INS impact on all the sectors 10.7 Support EHAs, NR NR NR NR Environmental CBSVs, Natural Leaders SC SC SC issues manifest in 253 University of Ghana http://ugspace.ug.edu.gh REASONS ENVIRONMENTAL MITIGATION IMPLEMENTING NO. OBJECTIVES ACTIVITIES FOR EVALUATION MEASURES INSTITUTION EVALUATION OPP. RISK NEUTRAL to develop folk dramas, EC EC EC the natural street theatre, sketches INS INS INS environment and road shows SC Communication of sanitation messages leading to behavioral change INS There would institutional support for the EHAs, CBSVs 10.8 Promote and NR:SC There Strengthen household would an enhanced NR NR NR outreach programmes behavioral change SC SC SC which would EC EC EC support natural INS INS INS resources 9 Provide oversight Engage District Assemblies NR NR NR NR:SC ODF responsibility for ODF (DAs) and Chief Executives SC SC SC encompasses status verification and (CEs) to sign ODF contract EC EC EC behavioral change and commit them to the goal INS INS INS which would cause recognition/celebration of achieving improved positive impact on sanitation and hygiene in the environment their respective districts INS Would boost them up on the league table 254 University of Ghana http://ugspace.ug.edu.gh REASONS ENVIRONMENTAL MITIGATION IMPLEMENTING NO. OBJECTIVES ACTIVITIES FOR EVALUATION MEASURES INSTITUTION EVALUATION OPP. RISK NEUTRAL Prepare a District plan and NR NR NR INS Existing INS: Institutions budget (based on SC SC SC international and should be prevailed DESSAP/DWSP) for CLTS EC EC EC national interest in upon to commit which entails a sanitation INS INS INS environmental resources to the profiling/baseline and a list management/ effective of prioritized communities sanitation implementation of for CLTS and SanMark and INS: Weak the ODF or RSMS Area council level clustering implementation EC: Secure for first round of ToT due to changing alternative sources political interests of funding to EC: Erratic nature implement the plans. of the release of funds could affect the implementation of the plans. Establish District ISH or NR NR NR INS Members CLTS and SanMark Team SC SC SC capacity would be EC EC EC built for the INS INS INS implementation of RSMS Prepare an Action Plan for EC Job for latrine ODF target to include artisans and the EC: Explore other NR NR NR household latrines, hand informal sector alternative sources SC SC SC washing and safe drinking SC:NR Change in of funding. EC EC EC water handling– agree behavior and INS INS INS timeframe and set latrine usage community bye-laws which would cause 255 University of Ghana http://ugspace.ug.edu.gh REASONS ENVIRONMENTAL MITIGATION IMPLEMENTING NO. OBJECTIVES ACTIVITIES FOR EVALUATION MEASURES INSTITUTION EVALUATION OPP. RISK NEUTRAL minimal pollution of the natural environment INS: Capacity building for the plan preparation EC: Lack of funds to prepare the plans NR NR NR INS: Enhance Establish recognition SC SC SC implementation of structure and system EC EC EC RSMS INS INS INS NR: Polluted areas would be mapped EC: Additional INS: Enhanced funding should be NR NR NR capacity in the sourced Design Map based on SC SC SC map preparation selection criteria EC EC EC EC: The INS INS INS preparation of the maps would have budget implications 10 To facilitate formative Identify key risk behaviour NR NR NR NR: Support research that will lead through focus group SC SC SC improvement on to the formulation of discussions, conduct EC EC EC natural resources efficient models to be behaviour trials, agree INS INS INS SC: Change in Social behaviors 256 University of Ghana http://ugspace.ug.edu.gh REASONS ENVIRONMENTAL MITIGATION IMPLEMENTING NO. OBJECTIVES ACTIVITIES FOR EVALUATION MEASURES INSTITUTION EVALUATION OPP. RISK NEUTRAL replicated in other replacement behaviour & towards sanitation districts. support needed and hygiene issues INS: There would be feedback for the RSMS implementation Facilitate market research to NR test impact of different NR NR INS: Enhanced SC communication methods SC SC knowledge for EC EC EC effective INS INS INS implementation of the model 257 University of Ghana http://ugspace.ug.edu.gh Annex 16: Research Study Questionnaire SEA IMPACT EVALUATION QUESTIONNAIRE TOPIC: MAINSTREAMING AND MEASRING SUSTAINABILITY IN DEVELOPMENT PLANNING PROCESSES: THE USE OF STRATEGIC ENVIRONNMENTAL ASSESSMENT AS A TOOL IN GHANA (YEAR, 2016) REGION: ………………………. DISTRICT NAME: ………………………………… DATE OF INTERVIEW: 258 University of Ghana http://ugspace.ug.edu.gh INTRODUCTION Hello, I am ………………………………………………, a research enumerator from the Environmental Protection Agency assisting in data collection for an ongoing research by Mrs. Christine Asare for the award of a Doctor of Philosophy Degree in Environmental Studies. We are interviewing all Metropolitan, Municipal, and District Assemblies as well as Ministries, Department, and Agencies with the general objective of evaluating the impact of SEA in the Development Planning Process in Ghana. Please be ensured that information provided by your outfit would be treated with the utmost confidentiality it deserves. This interview is thus confidential and strictly for academic purposes and therefore honest discussion is the way forward. 259 University of Ghana http://ugspace.ug.edu.gh PART A Please, this questionnaire generally seeks information about the economic, socio- cultural, environmental and institutional conditions of the Metropolitan, Municipal, and District Assemblies, kindly help me out with the information requested below. PLEASE INDICATE OR TICK WHERE APPROPRIATE SECTION 1: BACKGROUND INFORMATION OF METROPOLITAN, MUNICIPAL, OR DISTRICT ASSEMBLY 1. How long has this District been in existence?............................................................ 2. What is the population of this District Assembly?..................................................... 3. What is the area in square kilometers covered by the District Assembly? ……………............................................................................................................... 4. What is the nature of the District Assembly? i. Rural ii. Urban iii. Semi-Urban 5. What is the Gross Domestic Products in USD of the District Assembly?................. 6. What is the major religious group of the District Assembly?................................... 7. How many officials work in this District Assembly?............................................... 8. Please indicate how many of the officials above are: i. Senior level ii. Middle level iii. Lower Level 9. What is the literacy rate of the District Assembly?...................................................... 10. What is the major source of revenue for the District Assembly? i. Basic rates and market fees ii. District Assembly Common Fund iii.District Development Fund iv. NGOs & Multilateral Organizati ons v. Others Please specify …………………………………………………… 11. What is the average annual revenue of the District in Ghana Cedis ……………… 12. What is the average annual expenditure of the District in Ghana Cedis? ………………………………………………………………………………………… 13. When was the last and last but one MTDP taken? i. Last MTDP ……………………………… ii. Last but one MTDP ………………… 260 University of Ghana http://ugspace.ug.edu.gh 14. Which thematic areas did the last MTDP seek to improve? 1. 11. 2. 12. 3. 13. 4. 14. 5. 15. 6. 16. 7. 17. 8. 18. 9. 19. 15. Does the district employ the Strategic Environmental Assessment tool in its planning process? i. Yes ii. No 16. What is the main mode of transportation of goods and services in the District Assembly? i. Road ii. Water iii. Air 17. If question 10 above is (i), what is the dominant commercial transport systems? i. Taxi ii. Trotro iii. Metro Mass Transit Services iv Motor Cycle 18. What is the general condition of the road network in the District? i. Excellent ii. Somewhat good iii Poor 19. What is the dominant telecommunication service provider in the District Assembly? i. MTN ii. TIGO iii. VODAFONE iv. AIRTEL v. GLO 20. How many financial institutions operate in the District Assembly?.......................... 21. How many health centers are there in the District Assembly?..................................... 22.Which disease is the number one cause of OPD attendance in the District? …… 261 University of Ghana http://ugspace.ug.edu.gh 23. What is the dominant ownership of educational institutions in the Assembly? i. Private ii. Public 24. How many schools are there in terms of: i. Basic Schools ii. Secondary Schools iii. Vocational & Technical institutions iv. Tertiary institutions 25. Does the District have a police station and post? Yes No 25a If Yes, how many police stations and posts are there? 26. What is the security situation in the District Assembly? i. Good Bad 27. Does the District have a court? Yes No 28. If Yes, how many courts are there? 29. How many markets are there in the District? ……………………………………… 30. How well is the District Assembly Office resourced? i. Well-resourced ii. Moderately resourced iii. Poorly resourced 31. What are the departments in the District Assembly office structure? 1. 11. 2. 12. 3. 13. 4. 14. 5. 15. 6. 16. 7. 17. 8. 18. 9. 19. 262 University of Ghana http://ugspace.ug.edu.gh SECTION 2: LOCAL ECONOMIC CONDITIONS OF THE METROPOLITAN, MUNICIPAL, OR DISTRICT 1. What is the size of the labour force in this district? ……………………………………… 2. What is the dominant economic activity in this district?...................................................... 3. What is the average annual household earnings from this activity?.................................... 4. What proportion of the labour force does it employ?........................................................... 5. Comparatively, what is the general unemployment rate of the district? i. High ii Somewhat high iii. Low 6. Have there been reports from the community members that the implementation of a DMTP has some marginal negative effects on this economic activity? i. Yes ii. No 6a. If Yes, what were the measures taken to address these negative effects i. Affected persons where compensated ii. The District Assembly could not duly compensate them because provisions were not made for that ii. The DMTP created other opportunities for affected persons to exploit 6b. If No, what preempted the arousal of these negative effects? i. The SEA framework predicted all negative effects of the plan so they were captured in the plan ii. Although the district officials realized such problems, the assembly members failed to report 7. Generally, how has the SEA helped DMTP to reinforce economic activities in the district? i. Significantly ii. No effect iii. This question not applicable to us 263 University of Ghana http://ugspace.ug.edu.gh 8. For the past five years what has been the behavior of economic activities in the district? i. Increasing ii relatively stable iii. Decreasing 9. What has been the average annual household income for the five years? i. Increasing ii. Relatively stable iii. Decreasing 10. What has been the trend of jobs created from the DMTPs over the past five years? i. Increasing ii. Decreasing iii. No jobs SECTION 3: LOCAL SOCIO-CULTURAL CONDITIONS OF THE METROPOLITAN, MUNICIPAL, OR DISTRICT 1. Generally, what is the sanitation status of the district assembly? i. Poor ii. Fairly good iii. Good 2. What is the trend of maternal mortality rate in the District? i. High ii. Moderate iii. Low 3. What is the trend of child under five mortality rate? i. High ii. Moderate iii. Low 4. How has the implementation of the various DMTPs impact on the Housing and Settlements of the assembly members? i. No effect ii. Positive iii. Negative 264 University of Ghana http://ugspace.ug.edu.gh SECTION 4: LOCAL ENVIRONMENTAL CONDITIONS OF THE METROPOLITAN, MUNICIPAL, OR DISTRICT 1. What are the major environmental issues in this Assembly? i. Deforestation ii. Discharge of Pollutants and waste products in to water bodies, air, and soil iii. Destruction of protected areas and wildlife iv. Inefficient extraction of raw materials 2. How the DMTPs has helped improve environmental sanitation in the district? ……………………………………………………………………………………………… 3. How many protected areas and wildlife have been converted by the District Assembly for developmental purposes over the past five years?....................................................... 3a. Could this have been avoided? i. Yes ii. No 3b. What was done to mitigate the effect of this development on the environment? ……………………………………………………………………………………………… 4. What is often done to reduce air pollution when the District Assembly is undertaking construction activities…………………………………………………………………… 5. How often does the District Assembly encourage the local people in environmental management? i. Very often ii. Sometimes iii. Rarely iv. Never 6. Has the District experience the effect of climate change? i. Yes ii. No 6a. If Yes, how has it manifested itself? i. Decreasing Agricultural yield iii. Irregular rainfall patterns ii. Dryness of water bodies iv. Increase in temperature iv. O ther Please specify ……………………………………………………………………………… 265 University of Ghana http://ugspace.ug.edu.gh 7. What is the level of air pollution in the District Assembly? i. High ii. Moderate iii. Low 8. What is the level of water pollution in the District Assembly? i. High ii. Moderate iii. Low 9. What is the level of soil pollution in the District Assembly? i. High ii. Moderate iii. Low 10. Generally, how would you assess the harm emitted onto the District Assembly’s Ecosystem? i. High ii. Moderate iii. Low 11. How effective has SEA been in integrating environmental concerns in the development planning process? …………………………………………………… 12. On scale of 1 to 5, with 1 denoting the highest, rank the performance of the MMDA in communication strategy………. 13. On scale of 1 to 5, with 1 denoting the highest, rank the performance of the MMDA in terms of green budgeting………. 14. On scale of 1 to 5, with 1 denoting the highest, rank the performance of the MMDA in terms of enforcement of environmental bye-laws………. 15. On scale of 1 to 5, with 1 denoting the highest, rank the performance of the MMDA in terms of environmental benefits of procurement design…………. PART B SECTION 1: PERCEPTION OF MDAs AND MMDAS, AND SUSTAINABILITY MAINSTREAMING GAPS 1. SEA can enhance sustainable economic growth if it is effectively employed i. Strongly agree ii. Agree iii. Disagree 266 University of Ghana http://ugspace.ug.edu.gh 2. SEA would reinforce the socio-cultural and institutional ties in Ghana’s development planning process i. Strongly agree ii. Agree iii. Disagree 3. SEA is inherently a political Process. i. Strongly agree ii. Agree iii. Disagree 4.SEA effectively integrate environmental concerns into the decision making process i. Strongly agree ii. Agree iii. Disagree 5. SEA often covers large projects. This makes collection and analyzing of data complex i. Strongly agree ii. Agree iii. Disagree 6. SEA provides a forum for discussion and information sharing for decision makers and stakeholders i. Strongly agree ii. Agree iii. Disagree 7. SEA assess capacity gaps and institutional effectiveness i. Strongly agree ii. Agree iii. Disagree 8. I would recommend SEA for all Policies, plans, and Programmes i. Strongly agree ii. Agree iii. Disagree 9. The SEA framework currently used by the MDAs and MMDAs has not effectively closed the sustainability mainstreaming gap i. Strongly agree ii. Agree iii. Disagree 10. Is there a need to design a new SEA framework to effectively mainstream development policies in Ghana? i. Yes ii. No 10a.Kindly give your reason………………………………………………………............ ……………………………………………………………………………………………… ……………………………………………………………………………………………... 267 University of Ghana http://ugspace.ug.edu.gh SECTION 2: UNDERSTANDING LEVEL OF MDAS AND MMDAS OF SEA IN GHANA 1. The techniques of SEA are easy to comprehend i. Strongly agree ii. Agree iii. Disagree 2. I can easily practice the skills effectively in my department i. Strong agree ii. Agree iii. Disagree 3. I could as a matter of urgency train another official to use SEA if the need arises i. Strongly Agree ii. Agree iii. Disagree 4. Additional workshops are required to effectively train users of the framework to increase their efficiency i. Strongly Agree ii. Agree iii. Disagree 268