strategic environmental assessment and urban planning system in egypt

Faculty of Engineering School of Environmental Science Department of Civic Design (Town and Regional Planning)

STRATEGIC ENVIRONMENTAL ASSESSMENT AND URBAN PLANNING SYSTEM IN EGYPT

Thesis submitted in accordance with the requirements of the University of Liverpool for the degree of Doctor of Philosophy

By Ibrahim Hegazy

Faculty of Engineering School of Environmental Science Department of Civic Design (Town and Regional Planning)

2010

Chapter 1

Introduction to the thesis

CHAPTER 1 INTRODUCTION TO THE THESIS

I

n the development planning process, it is increasingly recognised that it is important to identify potential environmental impacts, indicate significant environmental impacts, and try to develop mitigation

measures through the generation of alternatives to the proposed development. Recognising the wide range of potential impacts on the environment, a number of planning and assessment procedures have been developed as tools to help achieve more sustainable planning and development. Environmental assessment (EA) is a process for highlighting the possible effects of new development on the environment so that they can be taken into consideration in the decision making process. In this way, EA is intended to help ensure that development proposals are more sustainable and environmentally sound. Environmental Impact Assessment (EIA), the first generation of EA, is a systematic process that examines, in advance, the environmental consequences of a proposed development action (Dalal-Clayton and Sadler, 2005). Although EIA is now firmly established in the planning process in many countries, some limitations of its application and scope have become evident (Glasson et al., 1994; Lee and Walsh, 1992). EIAs are generally applied too late in the decision making process and often are used to give reason to decisions already taken. Therefore, researchers have realized that there is a need for EA at an earlier point related to policies, plans and programmes (PPPs). Their findings called for the introduction of something other than project level EIA to better address environmental considerations.

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Strategic environmental assessment (SEA), the second generation of EA, is interpreted here as the application of environmental assessment at the level of policies, plans and programmes. SEA aims to integrate environmental considerations into strategic decision-making (Therivel, 2004; Fischer, 2007). It has the potential to make the world a greener and more liveable place. However, SEA, as a concept and as a practiced decision-making support tool, is no longer considered a novelty. Its utility in terms of improving the consideration of environmental aspects in policy, plan and programme making and the incorporation of sustainability in the definition of strategies and objectives has been widely developed (Gazzola, 2006). Therivel et al. 1992 conclude that SEA may be the most direct way of making the sustainability concept operational by providing a comprehensive approach which moves planning processes from their conventional development centred perspective to one that is more environmentally-led. Moreover, SEA has been put forward as an improvement on the existing limited system of EIA. Researchers suggest that SEA can provide a basis for arriving at better-informed decisions at broader strategic levels (Partidario, 1996; Sadler and Verheem, 1996). They claim that SEA can actively integrate environmental concerns into strategic levels of decision making, which ultimately trickles down to the detailed project level. In Egypt, rapid urbanization and population growth are resulting in increasing environmental problems. The Egyptian EIA system has been in place since 1994, and has provided a planning tool that identifies the potential impacts associated with major new developments and determines their level of significance. Notwithstanding its extensive use in many planning sectors, certain limitations are now being increasingly recognized with regard to achieving sustainable development within planning processes (Sherif and Abou Elailah, 2002; Badr, 2009), as environmental degradation continues to be a major concern in Egypt. The EIA system has been criticised for its inability to stem the trend of environmental degradation. Project-level environmental assessment looks at developments in isolation without affecting the higher level of planning

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process. It reactively assesses the possible environmental consequences and develops mitigation measures for given projects, but can do little to influence decisions already taken at earlier points in the planning process (Therivel et al., 1992). These inherent limitations of EIA have led to consideration of the case for introducing strategic environmental assessment within the Egyptian planning context in order to promote a stronger linkage between sustainable development and urban planning processes.

1.1

The Research importance The research presented here is considered important at two levels:

1.1.1 Global concerns The need for a combination of development and environmental conservation in order to achieve an improved quality of life has been acknowledged by international organisations and many national governments, mainly from the developed countries, since the 1970s. The definition of sustainable development put forward by the World Commission on Environment and Development (WCED, 1987) encompasses three concepts: development, needs and future generations. Development is often confused with growth when in reality it is a qualitative concept encompassing ideas of improvement and progress; needs relate to the distribution of resources in a fair and equitable way, and future generations incorporates the idea of stewardship handing down an un-depleted environmental stock (Blowers, 1993). In the late 1980s, the environmental movement raised awareness for the need to take environmental aspects into account in policy making at an early stage. In 1989 the actual term (strategic environmental assessment) (SEA) was coined in the UK, an understanding of the concept was derived from that of project based EIA (Fischer, 1999). During the 1990s, debates on the meaning of SEA, of the need for SEA, of the contents and the procedures for an SEA intensified. However, most SEA literature focused on discussing the principles

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and institutional status of SEA in the world. At the time, little attention was given to the role of SEA in the decision-making processes. Only recently has this changed. The development and consequent adoption of SEA procedures have gained momentum in recent years as we have witnessed a growing body of literature addressing the development of an SEA theory, SEA principles, methodology, and performance evaluation. Nevertheless, it is appreciated that there cannot be one SEA model that can fit all planning processes and systems. Each planning system, with its own legal and institutional frameworks, has to establish its own SEA system that takes into account national and local policies, government machinery, planning legislation and other context factors. This research starts by drawing together a generic decision making model for designing SEA for use in the Egyptian context. This model may also provide guidance for other countries in setting up or refining their SEA systems. 1.1.2 Egyptian concerns Egypt, like most developing countries, has been undergoing rapid urbanisation and industrialisation. This has been followed by a rapid shift of population from rural to urban areas as the economy moves from an agricultural to an industrial economic structure. Moreover, Egypt is progressing in many planning sectors. The main sector that has received a high percentage of Egyptian investment is urban development planning. Nevertheless, it is argued that there have been many undesired effects on the environment resulted from these development processes (WB, 2002). In fact, it could be said that urban development, as a result of national policy over the past three decades, has been associated with the extensive exploitation of natural resources for urban growth. The rapid change in the nature of major economic activities from traditional agriculture to intensive production and industry has caused significant deterioration in the environmental condition of the countryside. In other words, Egypt has conflicting objectives of pursuing urban growth and preserving the

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environment with the former currently taking priority over the latter. Consequently, this results in extensive degradation of natural resources and environment leading to unacceptable levels of negative impacts (WB, 2002). The environmental problems associated with urban development in Egypt can be briefly classified into three major aspects: 

Deterioration of natural resources due to rapid economic growth which has been created at the expense of natural resources in rural areas. For example, loss of agricultural land, a result from urban expansion on cultivated lands, is often seen as one of the most adverse consequences of the national development policy, and if left to continue would mean sizable amounts of Egypt’s limited productive lands in the Nile Valley would be lost, with dire economic and social consequences (WB, 2005).



Diffusion of massive informal development areas (random and unplanned expansions without standards related to streets width, public space, land use, transport corridors or infrastructure networks) and lack of the tools necessary to guide urban growth around most of the existing Egyptian cities and towns, due to focus on planned development in the desert and a failure to deal with the informal dynamics of urbanism in the Nile Valley and Delta, which together contain over 95% of the country’s population (WB, 2005).



Poor quality of urban environment and the rapid growth of population because many urban cities and towns have expanded in land area and economic activities. Air pollution throughout Egypt is recognized to be one of the major reasons for poor quality of the environment, which comes from a number of sources, including industrial sites, vehicular emissions, and smoke from burned waste. Moreover, many urban areas, situated along rivers and canals, are facing water quality problems caused by pollution.

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It was during the 1990s, when the accumulated environmental consequences became apparent that the Egyptian government started to become aware of environmental issues. This period saw prominent calls for consideration of sustainable

development

in

formulating

national

policies

and

plans.

Notwithstanding a general acceptance that this is necessary, the machinery for achieving it is still not developed. There is at present no formal mechanism for identifying the real impact of urban planning PPPs on the environment. A change in this situation would definitely help decision makers to determine the developmental priorities in accordance with sustainable development ambitions. As discussed earlier, in order to develop a planning system, which takes economic and social aspects as well as environmental aspects into account, it is important to consider all these impacts at the earliest possible stage in the decision making process. SEA could be a useful tool to integrate this information as early as possible in strategy making. Paralleling the global concerns for the environment, the Egyptian national policy for growth considers that urban planning has to play its role in promoting sustainable development. One approach to this could be the development of a system for integrating SEA into urban planning processes as part of an integrated approach to sustainable development, as recommended in the framework of the national strategy for sustainable development (2006), within the wider national planning system for Egypt. This is the subject of this research. However, being a new phenomenon in Egypt, the logical first step is to investigate the Egyptian context in order to reveal factors which may promote the potential for SEA, and explore the possible consideration of environmental issues at the strategic level, which has not been looked at before. Then, it is essential to examine and develop its legislative, administrative and procedural frameworks.

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Chapter 1

1.2


Research aim and objectives The central aim of this thesis it to define and develop a system for SEA

application within urban planning and development processes in Egypt as one of the approaches towards achieving more sustainable development. In order to achieve this aim, the following research objectives are set out: 1. To critically review the theory and concept of SEA to understand its nature and role in decision making, benefits and principles, what factors support the adoption of SEA, and finally, to identify the core structural elements around which it is proposed that SEA systems should be composed from legal, administrative and procedural perspectives. 2. To investigate international SEA practice in different planning contexts to explore the practical experience of the current application of SEA, and how SEA is regulated, legally, administratively and procedurally in different countries which have a history of SEA, in order to set up a framework of alternatives related to the SEA core structural elements, and finally, to develop a generic model for designing SEA, which can guide the establishment of SEA in Egypt. 3. To review the current Egyptian planning systems through investigating both urban planning and environmental management frameworks, to evaluate the country context against the generic model criteria, and finally, to explore the status and potential of establishing SEA in Egypt. 4. To develop an appropriate SEA system which can be integrated with Egyptian urban planning and development, through exploring possible alternatives related to SEA core structural elements in order to propose a workable SEA system as a tool assisting in the consideration of environmental issues at the strategic level of decision making in urban planning in Egypt.

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Chapter 1

1.3


Research Questions Defining the research questions is the most important step to be taken in

any research study (Yin, 2003; Creswell, 1994), and it also indicates what kinds of research methods may be chosen. The major research question of this research is ‘How to develop and facilitate an SEA system that is appropriate for Egypt’s urban planning policy and practice?’. To respond to this question the research addresses several key issues and associated detailed research questions relating to each of the research objectives. In the light of suggestion made by Creswell (1994), the sub-questions should narrow the focus of the study and should, in turn, become topics which should be specifically explored. Table 1.1 clearly presents the relationship between the main question, the adopted research aim and objectives, and the sub-research questions. The research objectives suggest the targeted topic and issues which individual studies of the Ph.D. research should focus on.

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Research aim

Objectives Objective 1: To critically review the theory and concept of SEA in order to understand its nature and role in decision making, benefits and principles. The study identifies the context factors supporting the potential for the adoption of SEA; also identifies the core structural elements around which it is proposed that SEA systems should be composed from legal, administrative and procedural perspectives.

Objective 2: To investigate international SEA practice in different planning contexts in order to explore the practical experience of the current application of SEA from its legal, administrative and procedural approaches.

Sub research questions Q 1. What is the theory and concept of SEA? Q 2. What are the context factors supporting the potential of SEA? Q 3. What are the core structural elements which it is proposed that SEA systems should be composed?

Q 4. What is the current practice of SEA? Q 5. What are the different approaches related to SEA core structural elements in various contexts?

The study sets up a framework of alternatives related to the SEA core structural elements; also develops a generic model as guidance for designing SEA systems in Egypt.

Objective 3: To review the current Egyptian planning systems and to investigate urban planning framework, and environmental policy and management The study evaluates the country context against the generic model criteria; also investigates the status and potential of establishing SEA.

Objective 4: To develop an appropriate SEA system that can be integrated with Egyptian urban planning and development. The study explores possible alternatives related to SEA core structural elements, which conform to the Egyptian context in order to propose a workable SEA system.

Q 6. What is the current status of urban planning and development in Egypt? Q 7. What is the current status of environmental policy and management in Egypt? Q 8. What is the potential for SEA to be adopted in Egypt? Q 9. What are the context factors supporting the adoption of SEA in Egypt? Q 10. What are the core structural elements of a potential SEA system for Egypt? Q 11. How could SEA process be integrated with urban planning process in Egypt?


To define and develop a system for SEA application within urban planning and development processes in Egypt as one of the approaches towards achieving more sustainable development.

9

How to develop and facilitate an SEA system that is appropriate for Egypt’s urban planning policy and practice?

Main research question

Chapter 1

Table 1.1: The hierarchy of research question, aim, sub questions and objectives

Chapter 1

1.4


Research Methodology Given the aim and objectives, the research was divided into three main

stages as illustrated in Figure 1.1: Stage 1:

Establish the Theoretical Framework

Stage 2:

Establish the Egyptian Framework

Stage 3:

Develop Proposals for Egypt

In Stage (1) [The Theoretical Framework], the main task is literature review the theory and practice of SEA. Marczyk et al. (2005) claim that the main purpose of a literature review is to assist researchers to become familiar with the work that has already been conducted in their selected topic areas. Hence, adopting literature review as the major research method at this very early stage mainly aimed at knowing well relevant literature, properly framing out the research problem, and then clearly identifying research objects. This stage is divided into two steps; step (1) reviews the theory and concept of SEA (see Chapter 2) to understand its role in the planning process. It, in addition, brings together the views of different researchers and authors in order to clarify the principles, benefits and procedures of SEA. This step also identifies the context factors which support the potential for the adoption of SEA. Finally, it identifies a set of components with associated core structural elements around which SEA systems should be composed. Step (2) aims to review the current international experience of SEA application. This step provides a comparative assessment of the practice of SEA in 10 selected countries (see Chapter 3) according to their legal, administrative, and procedural perspectives to explore how SEA is structured and regulated in different contexts. This is done in order to identify a range of alternative approaches related to the various SEA core structural elements. This assists in developing a generic decision-making model for designing SEA systems, which could provide guidance to inform discussion of SEA development in Egypt. The work in this stage is conducted to achieve objectives (1) and (2).

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Chapter 1


In Stage (2) [The Egyptian Framework], the main task is the discussion of the Egyptian urban planning framework, and environmental policy context. The performance of these systems is analyzed in relation to their roles in development. This stage includes two main steps. The first one is performed through further literature review and document analysis including governmental reports, official publications, academic papers, etc (Chapter 5 and 6). The analysis identifies key Egyptian issues, strengths and weaknesses in the current status of urban planning and environmental management systems in relation to sustainable development, and finally, highlights the opportunities and constraints for the adoption of SEA. The second step is two series of interviews (see Sections 4.3 and 4.4); the first series (Summer 2007) was pilot interviews aiming at understanding the Egyptian context, and investigating the context factors which influence the adoption of SEA in Egypt. These interviews were conducted with people from the Egyptian Environmental Affairs Agency and environmental consultants and university staff. The second series (Summer 2008) was conducted with key personal involved in urban planning and environmental management systems. The research design of stage (2) of this study will be further explained in Chapter 4. The purpose of these interviews is to investigate further the key issues identified from the first step and to provide a more informed assessment of the potential for setting up the legislative, administrative and procedural bases for an SEA system in Egypt. This entails surveying awareness of SEA and its provisions, and views on the current environmental consideration mechanisms. This is complemented by an examination of planners’ willingness to support the introduction of SEA and discussion of current key issues associated with context factors. Finally, ways to assist the effective application of SEA in the Egyptian urban planning system and preferred SEA mechanisms are considered. The analysis of case study findings and survey results are presented in Chapter 7. The work in this stage is conducted to achieve objective (3).

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Chapter 1


In Stage (3) [Proposals for Egypt], the main task is the synthesis of the key conceptual issues from Stage (1) and key Egyptian issues from Stage (2), to develop specific recommendations for the introduction of SEA in Egypt (see Chapter 8). This task is supplemented by further analysis and review of documents and interpretation of the interviews, which were carried out in stage 2. The review of existing resources (policy, legislation, machinery, personnel and information) further identified strengths and shortcomings which determine the operational capability and potential for the adoption of an SEA system for Egyptian urban planning. Based on this analysis, a set of proposals for action are proposed. These include suggestions for appropriate legal, administrative and procedural mechanisms for SEA in Egypt. Supportive approaches for SEA integration within urban planning and development are also considered. The work in this stage is conducted to achieve objective (4).

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Stage 1: The Theoretical Framework Chapter 1

Strategic Environmental Assessment Stage 2: The Egyptian Framework

SEA theory and concept

SEA practice

Examination of the current Egyptian planning context

13

Context factors supporting the potential of SEA + Core structural elements which comprise SEA systems

Urban planning development in Egypt

Environmental policy and management in Egypt

A generic decision-making model for designing SEA systems

A framework of alternatives related to the SEA core structural elements

Investigation of the status and potential for the adoption of SEA.

Proposals for Egypt

Development of an appropriate SEA system to be integrated with Egyptian urban planning and development, and suggestions related to mechanisms to ensure a simple and effective way of implementing SEA Figure 1.1: Research strategy and methodology

Stage 1 Stage 2 Stage 3


Stage 3

Chapter 1

1.5


Structure of the Thesis In line with the research strategy, this thesis consists of four parts: the first

part is the introduction; the second part is the review of SEA theory and practice; the third part is the case study analysis; and the last one is the conclusions of the research. The first part, including Chapter 1, provides the introduction to the research subject, significance and the rationale for the research; sets out the aim and objectives, and research questions; and illustrates the overall structure of the thesis. The part related to SEA review, including Chapters 2 and 3, is conducted to achieve research objectives 1 and 2: Chapter 2 reviews the theory of SEA. It looks into the nature of SEA; identifies the definition of SEA; clarifies its benefits and principles. This chapter also identifies a set of context factors which support the adoption of SEA, and presents a set of theoretical components with associated core structural elements around which an SEA system should be composed. The theoretical SEA framework identified in Chapter 2 becomes a benchmark to review international SEA practices in the next chapter. Chapter 3 considers the international application of SEA in 10 selected countries from their legal, administrative and procedural perspectives in order to identify alternative approaches and develop a generic model for the design of SEA systems. Each chapter paves way for the next chapter, and the SEA design model developed in this part also provides an evaluation tool for the next part, ‘the case study’. The part related to the case study, including Chapters 4-8, is conducted to achieve research objective 3 and 4. Chapter 4 outlines the case study design. It clarifies the detailed strategy for the case study; defines the methods of working including a general profile of the case study strategy and the approach to data collection and analysis. Chapter 5 provides an overview of the current urban planning framework in Egypt; reviews urban development strategies and discusses legislative and institutional mechanisms controlling urban management in Egypt. Chapter 6 reviews Egypt’s environmental management framework;

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Chapter 1


considers the evolution of environmental policy making; discusses the environmental legislation and institutional structure; and evaluates the existing EIA system and application in Egypt. Chapter 5 and 6 therefore provide a general understanding of Egypt’s current planning system, and reflect upon the major issues encountered in achieving sustainable development in Egypt. Chapter 7 presents the interpretation of interviews conducted to evaluate the Egyptian context against the SEA design model criteria; and Chapter 8 summarises the case study findings and provides proposals for SEA adoption in Egypt. It also indicates the strengths and opportunities of Egypt’s context for introducing SEA within the urban planning system; and suggests a way for better integration between SEA and urban planning processes. The last part, Chapter 9, provides an evaluation of the research in relation to its aim and objectives. It summarises the results of the whole thesis. In addition, it explores the wider applicability of the generic model for designing SEA and the overall contribution of the thesis to field of SEA research and practice. Finally, it suggests the direction for future research. The structure of the thesis is shown in Figure 1.2.

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Chapter 1

Part 1


Chapter 1 Introduction

Research design

Chapter 2 SEA theory Part 2 Objectives 1 & 2 Chapter 3 Alternative approaches to SEA application

Chapter 4 Case study design

Literature review and ideas development

Detailed research design

Chapter 5 Urban development planning in Egypt

Part 3 Objectives 3 & 4

Chapter 6 Environmental policy and management in Egypt

Fieldwork (Case study)

Chapter 7 Case study findings

Chapter 8 The potential for SEA & the development of a framework for Egypt

Part 4

Chapter 9 Conclusions, recommendations and further studies Figure 1.2: The structure of the thesis methodology 16

Further analysis

Chapter 2

Strategic Environmental Assessment Theory

CHAPTER 2 STRATEGIC ENVIRONMENTAL ASSESSMENT THEORY

S

trategic environmental assessment (SEA) is not just a concept but has also been adopted in many countries. It has received increasing attention and has been developed rapidly in terms of both theory and practice (Fischer, 2007). Its application has grown so too has experience

of its benefits and challenges (Sheate et al., 2001). SEA is gaining widespread recognition as a tool for promoting environmental sustainability through policy, plan and programme (PPP) processes, assisting decision-making by supporting the development of more sustainable policies and strategies (Fischer, 2003). Furthermore, SEA is seen as a key mechanism which can integrate the environment with issues such as economic development, equity, fairness, resilience, and public participation. It helps to inform decision makers, encouraging better decisions to be made by identifying the best practicable environmental options. SEA helps to integrate the environment into policy making by providing a framework through which actions of government can consider the environment. In order to elaborate upon the discussion set out above, this chapter mainly relates to the first objective of this thesis which concerns a review of the theory of SEA. It firstly highlights various definitions of SEA, discusses the differences between SEA and Environmental Impact Assessment (EIA), and reviews the aims of SEA, suggested benefits, and its role in decision-making processes. The chapter then identifies context factors that support SEA adoption in a particular country context. Finally, it distils the core structural elements around which it is proposed that SEA systems should be composed.

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Chapter 2

2.1


SEA definitions Strategic environmental assessment (SEA) the term was first introduced in

1989 (Fischer, 2002), and refers to a higher-order type of environmental assessment at the level of policies, plans, and programmes (PPPs) which supports the development of more rigorous and transparent strategic decisions which impact on the environment, attempting to provide relevant and reliable information to those involved in PPP making in a systematic and timely manner. Throughout the 1990s, various authors have focused on defining what SEA is (for example, Therivel et al., 1992; Sadler and Verheem, 1996; Therivel and Partidario, 1996; Tonk and Verheem, 1998). Different definitions put emphasis on different aspects of SEA. In this context, Therivel (1992) focused on the environmental impacts of a policy, plan or programme and its alternatives. Furthermore, Sadler and Verheem (1996) stressed the importance of the need to carry out an SEA at the earliest possible stage of decision-making and on the need to give environmental considerations equal weight to social and economic aspects. Tonk and Verheem (1998) stressed the proactive approach of SEA, considering it as structured process that aims to enforce the status of environmental issues in strategic decision making processes. Some definitions see SEA as a tool derived from EIA, extending its process and procedure upstream from the project to the strategic level, and focusing on the environmental impacts of policies, plans, and programmes that are being proposed. Recently, however other definitions take a broader, more complex and varied perspective. They promote SEA not just as a participatory means of ‘upstreaming’ impact assessment, but also as an integrated development planning tool to help integrate environmental, social and economic considerations during the formulation of policies and development plans and programmes at the strategic level.

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Chapter 2


Sadler (2001) defined SEA as a process to systematically analyze and address the environmental effects and consequences of proposed strategic actions, which should include consideration of major alternatives and specific measures to mitigate significant adverse environmental effects and enhance positive benefits, explicit reference to the objectives, principles and policies for environmental protection and sustainable development that apply within the jurisdiction concerned, and an obligation to take account of the relevant findings prior to and as an integral part of decision‐making, consistent with a duty of care for the environment. Recently, SEA is considered, as assigned by the World Bank, a participatory approach for upstreaming environmental and social issues to influence development planning, decision-making and implementation processes at the strategic level (Dalal-Clayton and Sadler, 2005). Moreover, Fischer (2004) provided a definition of SEA, which summarises the above-mentioned aspects; this definition considers SEA as an objective-led, procedural, systematic, and participative decision support instrument of spatial, transport and other sectoral policies, plans and programmes. He assigns the following purpose to SEA which is to ensure that environmental aspects are given due consideration in decision making for sustainable development above the project level, interactively looking at economic, social and environmental aspects.

2.2

SEA and EIA, the main differences A very common question is whether the need to assess policies, plans, and

programmes cannot be performed by an already existing instrument, which is EIA. The answer is generally put forward as being negative, because EIA focuses on improving specific predetermined actions, but does not orientate or frame the intention. EIA is applied to the specific geographic area of a project and is more detailed in its assessment, for example, looking at the detailed design of a facility. On the other hand, SEA takes a strategic approach and provides a framework for assessing the likely wider impact of PPPs on the environment in the light of economic and social realities.

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Chapter 2


While EIA and SEA have a similar aim to integrate environmental considerations into the decision-making process (Partidario, 1996; Sadler and Verheem, 1996), they differ in the scope and nature of their approach. The framework within which SEA is carried out generally includes a larger scope and context than project-level EIA. The main difference between SEA and EIA, as McDonald and Brown (1996) mention, is linked to the nature of decisions, which they are meant to assess. EIA is generally applied too late for project decisions to be overturned. The role of EIA is rather to guide the detailed design of development before construction work goes ahead. It relates to detailed decisions, particularly concerned with the location and design of a project and with the adoption of methods to mitigate, rather than prevent, environmental impacts. On the other hand, it is suggested that SEA has the ability to address this gap. There is now general agreement amongst practitioners on the overall concept of SEA as “a proactive process to strengthen the role of environmental issues in strategic decision making” (Verheem and Tonk, 2000. p.177). It is designed to incorporate environmental concerns into project planning, by influencing the context within which project decisions are made. Moreover, SEA can be associated with decisions on demand management options or model solutions. SEA may influence decisions on the need, mode and location of projects and, subsequently, the scope of project EIA (Dalal-Clayton and Sadler, 1999; Partidario and Fischer, 2004; Fischer, 2007). Table 2.1 summarises the main differences between SEA and EIA.

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Chapter 2


Table 2.1: Main differences between SEA and EIA

SEA

EIA

Decision making level Nature of action

Policy,

Plan,

Programme,

Outputs

General

Scale of impacts

Macroscopic, cumulative, not defined

Time scale

Long to medium term

Key data sources

Sustainable development strategies, state of the environmental reports, visions

Type of data

More qualitative

Alternatives

Area wide, political, regulative, technological, fiscal, economic

Rigor of analysis

More uncertainty

Assessment benchmarks

Sustainability benchmarks (criteria and objectives)

Legal restrictions and best practice

Role of practitioner

Mediator for negotiations

Advocator of values and norms technician, using stakeholder values

Public perception

More vague, distant

Strategic, visionary, conceptual

Project Immediate, Operational Detailed Microscopic, localised

Medium to short-term Fieldwork, sample analysis

More quantitative Specific locations, design, construction, operation More rigor

More reactive

Source: Fischer, 2007, p.7

2.3

Benefits and objectives SEA is envisaged as first and foremost a decision aiding tool rather than as is

sometimes inferred ‘a decision making process’ (Sadler and Verheem, 1996). Its intention is to provide information to the decision makers allowing them an informed choice. It is not meant to be a substitute for the person who makes the decisions. In 1996, the South East Regional Planning Conference in England (SERPLAN) listed three functions of SEA. Firstly, SEA assists in the development of policy. Secondly, it enables emerging policies to be assessed. Thirdly, it helps in

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Chapter 2


the implementation of those policies. However, SEA’s primary role is to ensure that environmental considerations are made explicit within the decision making process on a par with economic and social ones at the higher levels of policy making (Therivel et al., 1992; Sadler, 1996; Therivel and Partidario, 1996; Brown and Therivel, 2000). Sheate (1996) argues that the real advantage of SEA is that it enables informed choices to be made at the earliest decision making levels and when it matters most, as to the relative role different options and development patterns should play within an overall sectoral policy. A range of benefits of introducing SEA have been put forward. It is intended to (Therivel et al., 1992; Dalal-Clayton & Sadler, 1995; Sadler and Verheem, 1996; Sheate, 1996; Partidario, 1996 and 1999; Sadler and Baxter, 1997; Fischer, 1999; Arce and Gullon, 2000; Partidario, 2000; Stinchcombe and Gibson, 2001; Therivel, 2004; OECD, 2006): 

Contribute to integrating environment and development in decisionmaking;



Assist the design of environmentally sustainable policies and plans;



Provide for consideration of a larger range of alternatives than is normally possible in project EIA;



Take account of cumulative effects and global change;



Improve institutional efficiency by avoiding the need for unnecessary project-level EIAs;



Enhance the influence of environmental authorities and increase coordination across sectors and different levels;



Strengthen and streamline project EIA by: - the incorporation of environmental goals and principles into policies; plans and programmes that shape individual projects; - prior identification of impacts and information requirements; and - reducing time and effort taken to conduct reviews.

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Chapter 2




Offer a systematic process for public engagement in discussions related to sustainability at a strategic level.

In broad terms, three critical theoretical rationales for SEA of policies, plans and programmes are identified (Sadler and Verheem, 1996; Jacobs and Sadler, 1998; Sadler and Brookes, 1998; Partidario and Clark, 2000; Fischer, 2003; DalaClayton and Sadler, 2005) as follows: 

Strengthening project level EIA;



Addressing cumulative and large scale effects; and



Promoting sustainable development.

2.3.1 Strengthening project level EIA EIA was developed in the late 1960s, and its contribution to informed decision making is widely recognised. However, the fundamental weakness of EIA is structural, since it looks at a project in isolation and occurs late in the planning process. Often high-level questions about whether, where and what type of development should take place have already been agreed at an earlier decision making stage with little or no formal assessment, leading to the early foreclosure of alternatives. Moreover, Bina (2007) argued that the shortcomings associated with EIA application are mainly "a tendency to react to, rather than anticipate, development proposals; the narrow scope of information requested for the assessment and the limited scope of the alternatives and mitigation measures considered; the failure to consider cumulative impacts; the limited influence of the assessment results over the final decision; the excessive rigidity of the process and its typically compressed timescale, which also affected the quality of public participation; and the limitations of techniques and procedures for monitoring impacts." (Bina, 2007).

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In this context, SEA can tackle these shortcomings, due to its ability to incorporate environmental considerations and alternatives directly into PPP design, as well as to address strategic issues of justification (need), alternative means, and geographical location at an early stage. With SEA, it is suggested that project EIA can concentrate on scheme specific impacts without stretching its capabilities. SEA can increase the efficiency of decision making by shortening and simplifying, or even making project EIAs redundant altogether (Fischer et al., 2002). 2.3.2 Addressing cumulative and large scale effects EIA is generally concerned with the direct impacts originating from a specific project. SEA deals with impacts that are difficult to consider at the project level. It deal with cumulative, synergistic, and large-scale impacts of multiple projects However, cumulative impacts as described below should also be considered if the real impact of the PPP process is to be assessed (Wood, 2002; Therivel and Partidario, 1996): 

Additive effects of several small projects which through screening were deemed not appropriate for EIA;



Induced impacts, where one project stimulates other development (for example construction of a new runway induces traffic increase). The EIA for a new terminal does not necessarily consider the environmental impacts of other activities which are not related to the terminal itself, but they exist, induced for example by the increase of the traffic;



Synergistic impacts, where the impact of several projects exceeds the boundary sum of their individual impacts (for example, several projects that each encroach on a wildlife site only minimally may, together, affect the site to an extent where it can no longer support certain species);



Global impact (for example, global warming, biodiversity, etc).

Partidario (1996) suggests that project EIA fails to properly assess these types of impact. Hence, Cooper (2004, p.7) concludes that “cumulative effects are not dealt with effectively in project EIA; they are addressed more

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appropriately at strategic stage”. The cumulative nature of impacts such as loss of biodiversity, ozone depletion in the upper atmosphere, acid rain, and global warming bring a global dimension to impacts that build up incrementally over long periods of time, from the addition and interaction of multiple activities and stress. The advantage of SEA is that it is able to address these issues (Therivel and Partidario, 1996; Joao, 2005). Therefore, it is not strange that Stinchcombe and Gibson (2001) and Cooper and Sheate (2004) suggest that cumulative impacts should be considered at strategic level and integrated into SEA, although high levels of uncertainty may be one of major constraints that make this integration and practice difficult. 2.3.3 Promoting sustainable development Strategic environmental assessment also has a role in promoting sustainable development. SEA, if applied effectively at the appropriate time, can be the catalyst, which forces policy makers to consider the sustainability implications of their policies, plans, and programmes (Lee and Walsh, 1992). The European Commission (EC) SEA directive stated "The objective of this Directive is to contribute to the integration of environmental considerations into the preparation and adoption of plans and programmes with a view to promoting sustainable development" (EC, 2001; p.7). The extent to which an SEA can encourage policy making to move towards the concept of sustainable development is dependent on a number of considerations: firstly, the form of policy making within which SEA procedure will be applied; secondly, the extent to which environmental issues are already integrated; and finally, the availability and format of information. It is argued that SEA helps achieve sustainable development by integrating the environment into policy decisions (Therivel and Partidario, 1996; Sadler and Brookes, 1998). There is recognition amongst policy makers that sustainability cannot be achieved through environmental policy making in isolation from other policy areas. Failure to consider the environmental implications of decisions is

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likely to result in policies, which may satisfy specific social and economic goals but contradict strategic commitments made to environmentally sustainable development. Integrating environmental issues into policy, plans and programmes (PPPs) is an

important

step

towards

more

effective

PPP

development

and

implementation, as social, economic and environmental considerations and solutions are all linked. Although decision-makers retain the prerogative to trade off environmental values in favour of economic and/or social ones, SEA provides a framework to strike a better balance between environmental, economic, and social components, thereby encouraging decisions made at the strategic level to be more sustainable. SEA can play a significant role in enhancing the integration of environmental concerns in policy and planning processes, thereby helping to implement sustainable development. A SEA framework could allow the principle of sustainability to be carried down from policies to individual projects. A more integrated system of planning means that environmental and sustainability criteria are incorporated throughout the planning process. For instance, this could be through the identification of suitable or unsuitable locations for development, and in the assessment of alternative PPPs.

2.4

SEA and decision-making SEA can therefore be seen as a tool to enhance decision making (Fischer,

2007). Through SEA, information is produced for decision makers and the public, with the intention of providing a sound basis for decision-making. However, whether the basis for decision-making is sound or not depends on whether the level of detail and timing of the SEA is appropriate to the decision makers and the public. Experts primarily perform environmental assessments and there is often a considerable difference in the level of knowledge and understanding between them and officials, other decision-makers and the public.

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Combined with rapid change in political priorities, this difference in knowledge may hinder the use of the results, the assessment of positive and negative impacts, and how resources are divided. Therefore, it is important that SEA is incorporated into the political system, and supports transparency in the decision making process. In broad terms, the need for SEA in decision-making falls into four main categories (see Box 2.1) (Fischer, 2007). Box 2.1: The rationale of SEA in decision making 

The need for a stronger representation of strategic environmental thinking in PPP making.



The need for more effective reasoning in decision-making.



The need for more efficient decision-making.



The need for better support of good governance in decision-making. Source: Fischer (2007)

Firstly, the main reason for introducing SEA has been the apparent weak representation of environmental aspects in PPP making (Morrison-Saunders and Fischer, 2006). Many believe that environmental issues are still frequently dealt with as simple ‘add-ons’ that are taken into account not during, but after PPP processes have been conducted. In this context, SEA may be used as a reconciliatory tool between different administrative levels, systematic tiers and sectors in order to strengthen the environmental dimension of decision making processes. As previously mentioned, SEA aims to ensure that the environmental consequences are fully included and appropriately addressed at the earliest appropriate stage of decision-making. Secondly, SEA is more than the application of prediction techniques and methods within an assessment process. In this context, SEA can help decision makers to ask questions related to strategic actions in order to drive more effective reasoning in decision-making. It can provide a systematic decision making framework, identifying tasks to be addressed at different tiers and administrative levels. In this context, SEA can answer the following questions (see Box 2.2):

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Box 2.2: The questions addressed in SEA process 

What are the potential direct and indirect results of the PPP?



How do the PPP outcomes interact with the environment?



What is the scope and nature of the environmental interactions?



Can the adverse environmental effects be mitigated?



What are the overall potential environmental effects of the PPP after opportunity for mitigation have been incorporated? Source: CEAA, 2004

Furthermore, Fischer has argued that SEA can support more efficient decision making, particularly by providing a more structured decision making framework, enabling more focused PPP making and subsequent project planning and EIA. In this context, SEA should help to raise environmental issues early enough in order to be able to pro-actively deal with them, thus maximising positive impacts and preventing damage rather than only aiming to mitigate negative impacts. A pro-active decision support process can be used for achieving more pro-active decision-making that address 'the right issues at the right time'. However, SEA is also designed to be an integrated and holistic problem-solving tool. The SEA process has certain qualities that enable it to contribute to more informed decision-making (Thissen and Kornov, 2000). For example, the SEA process has the advantage of flexibility and early application before irrevocable decisions are made. Finally, SEA has the potential for enhancing governance mainly based on its ability to increase transparency, participation, and inclusiveness by advocating a participatory and structured assessment process which may not be established features of PPP making. In SEA, communication, participation, and reporting have an important role to play by introducing perspectives and inputs of different stakeholder to the PPP making process. Ultimately, if SEA is applied in a systematic, participative, and structured manner, SEA should help to increase accountability, integration, responsiveness, and resilience in decision-making, thus supporting good governance.

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2.5


SEA principles A good quality SEA process informs decision makers on sustainability of

strategic decisions, facilitates the search for the best alternatives (Fischer, 2007). For this purpose, the following fundamental principles are identified (Fischer, 2002; IAIA, 2002; ODPM, 2003; Therivel, 2004; Caratti et al., 2004; Joao, 2005; Morrison‐Saunders and Fischer, 2006; Fischer and Gazzola, 2006; OECD, 2006; and Runhaar and Driessen, 2007): 1) Sustainability driven, SEA should be undertaken in the light of achieving sustainable development; 2) Early involvement, SEA should be applied at the earliest stage of the planning of a proposed strategic action that may influence the environment; 3) Integration, SEA should be fully integrated into a planning process and contributions made by it must be considered when a proposed action is being adopted, and have real influence on the final decision‐making of the programme; 4) Flexibility, SEA teams and SEA procedures should be flexible to respond appropriately to the various inputs from the public and other possible sources, and deal with uncertainties; 5) Focus, SEA should be customised according to the characteristics and context of a strategic proposal, and only focus on key environmental issues appropriate for the planning and decision‐making at a specified level; 6) Decision‐centred, SEA teams should provide quality information in an appropriate form in order to help and streamline decision‐making; 7) Wide participation and transparency, SEA should encourage the public and other stakeholders to actively participate in the decision‐making process, and make the process and the outcomes transparent to the public and other parties;

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8) Accountability, SEA should really improve the environmental performance of a proposed strategic proposal being assessed by minimising negative impacts as well as optimising positive ones. Among these key principles, accountability, transparency and participatory and early involvement are the three fundamental principles of SEA application which are broadly recognised by scholars and practitioners of SEA (e.g. Therivel, 2004). However, despite general recognition of these principles, there is no universal approach to SEA as it is widely accepted that SEA approaches have to be adapted to the specific context (political, legal and administrative context) in which they are implemented (Therivel and Partidario, 1996; Nilsson and Dalkmann, 2001; Fischer 2005 & 2006; Wallington et al., 2007).

2.6

Context factors supporting the potential of SEA The previous sections in this chapter discussed the theory and concept of

SEA, and its role in PPP decision making. In order to fulfil the aim of this thesis which is to set up an SEA system within the Egyptian planning context, this section now seeks to identify the context factors that may promote and support the adoption of SEA in different country contexts. This section focuses on the question of what facilitates SEA implementation and/or the consideration of environmental issues at the strategic level. In this respect, Briffett et al. (2003) present a set of context-related factors that may be used as indicators of the degree to which any country has the potential to adopt an SEA system. These factors were to highlight the extent to which environmentally related concerns are prominent at a strategic level and influence strategic visions and top level decision making processes. They include political will, legal mandate, environmental institutions’ capacity, and environmental education and awareness. Furthermore, EIA implementation and technical know-how are considered to be important. They may indicate the degree to which EA activities have already been conducted in a satisfactory manner. These context factors are summarised in Box 2.3 and the following sections give a wider discussion of each of them.

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Box 2.3: Context factors enabling and supporting the potential of SEA 

Political will



Legal mandate



Environmental institutions’ capacity



Environmental education and awareness



EIA process implementation



Technical know-how Source: Adapted from Briffett et al. (2003)

2.6.1 Political will Political will is defined in this study as something that promotes and supports SEA at the highest level of decision making. Political will may be confirmed by the publication of a national environmental charter, official statements made in support of the consideration of environmental issues at the strategic level, or by a “Green Government” initiative (Briffett et al., 2003). Strong political support is considered as one of the most important factors in the development of an effective SEA system (Partidario, 1996; 1999). In situations where key decision makers consider environmental concerns to be irrelevant to decision making, SEA may not be taken seriously as a part of decision-making mechanisms. In order to change this situation, strong political support for SEA needs to be in place. Political support from government is required to promote the application of SEA and encourage due consideration of SEA findings when making a final PPP decision. Partidario (1996) argues that open and effective political support is a key condition for the development and implementation of SEA systems, since it will help ensure that: 

Environmental information provided is sufficient and of good quality;



Relevant stakeholders are involved in an open participatory process;



Policy making, planning, and programme development authorities are made accountable;



The results of SEA are considered in decision making.

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2.6.2 Legal mandate A clear legal mandate is important for ensuring that SEA can be set up in a consistent manner, giving certainty to the actors involved in both SEA and PPP processes (Fischer, 2007). Legal mandates are normally laid out in environmentrelated legislation, regulations or directives. Briffett et al. (2003) argue that wherever a legal mandate is in place, formal SEA provisions could be effectively established. This gives priority to its results in the decision-making process. With respect to the potential for SEA, EIA legislation and integrated environmental protection legislation may be a supportive basis for the development of SEA. In this context, wherever well-defined provisions for EIA are in place, these can provide a foundation for SEA provisions. Furthermore, the establishment of integrated environmental legislation is also one of the most important supports for the adoption of SEA legislation. Finally, it could be said that both strong political support and a well-defined legal mandate either in the form of EIA legislation or integrated environmental legislation indicate good potential for adopting and implementing SEA. 2.6.3 Environmental institutions’ capacity The institutional capacity and organisational aptitude of environmental institutions are however also of importance if the SEA process is to be implemented in an effective manner. Institutional capacity can be indicated by the presence of a Ministry of the Environment or an independent environmental agency, which is responsible for environmental protection and the implementation of environmental assessment processes (Briffett et al., 2003). Institutional capacity may also be determined by examining whether there is a clear line responsibility from national through regional and local authorities, or not. A tiered system allows higher order policies, plans and programmes (PPPs) to set the context for actions at lower levels (Partidario and Clark, 2000; Fischer, 2007). Clarity of responsibilities across various departments and across national, regional and local governments constitutes a major support for SEA. Fischer

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(2005) argues that it should be possible to effectively apply SEA, if an SEA system is put into place that clearly allocates tasks to different participants. This assists integrated planning (and thus SEA) by facilitating a joined up approach to objectives, alternatives, methodologies and lastly outcomes. Integrated decision making depends on institutional cooperation and coordination across, and within, institutions. Separate departments and even units within departments may be poorly coordinated and the structures generally may lack the flexibility necessary for redistributing power and opening new channels of communication. Sustainability issues, by nature, cross the policy agenda. As a result, effective SEA demands greater coordination and cooperation across and within institutions than is currently achieved in many instances (Partidario, 1996). 2.6.4 Environmental education and awareness Environmental education, as defined in Tbilisi Declaration (UNESCO, 1978), is a learning process that increases people’s knowledge and awareness about the environment and associated challenges, develops the necessary skills and expertise to address the challenges, and fosters attitudes, motivations and commitments to make informed decisions and take responsible action. Briffett et al. (2003) argued that environmental education may be promoted through the formal education system at primary, secondary and collegiate levels or through professional mechanisms. It is argued that public environmental awareness can play a significant role in promoting environmentally sensitive governance. With respect to this, two types of awareness need to be considered: cognitive awareness, where knowledge is the dominant variable, and social awareness, where the communication and values may influence the formulation of policy issues (Fischer, 2007). In societies with a well developed environmental consciousness, it is likely to be easier to influence decision making of environmental issues.

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2.6.5 EIA implementation As mentioned earlier, one of the most important factors contributing to the potential of SEA is the existence of legal provisions for an environmental impact assessment system. Nevertheless, the existence of these provisions does not indicate an effective application of the EIA process. This context factor looks at the capability for applying the environmental assessment process, and the extent to which the EIA is implemented effectively (Briffett et al., 2003). There is no doubt that an effective EIA system will assist the effective application of SEA. The reason for this being that the EIA system will be used initially as capital for securing the basic implementation capacity for SEA (Chaker et al., 2006b). SEA and EIA therefore have the potential to enhance each other. In this context, the effectiveness of an EIA system and the successful application of its process are also considered as major supports for effective SEA adoption. 2.6.6 Technical know-how One of the major factors supporting effective SEA application is technical know-how since it is associated with the implementation of environmental assessment activities. Briffett et al. (2003) argues that technical know-how relates to the ability to design, control and monitor EIA activities. The availability of supporting EIA guidance and satisfactory technical support are good indicators of effective technical know-how. Technical support and training courses for those involved in EA result in developing a clear understanding of needs, objectives, values, processes and methods; this helps to support effective application. Such technical support plays an important role in understanding how to apply and control environmental assessment processes (Fischer, 2007). With respect to SEA implementation, providing training to desk officers and awareness to policy makers, and developing a step-by-step plan and simple methods are also important keys to the effective application of SEA.

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Finally, it is argued that sufficiently skilled personnel and professional consultants who are specialists in environmental issues are important to the effective application of SEA. If the actors involved in the SEA process know how to apply its procedures and have sufficient knowledge to implement its methods and techniques, this results in sufficient identification of the relevant issues to be considered in the assessment, and accordingly leads to sufficient results and findings.

2.7

SEA system Since the main aim of this study is to establish an SEA system which can be

incorporated into the Egyptian planning context as one of the approaches towards achieving more sustainable patterns of development, it is essential to identify the key elements from which such an SEA system may be composed. It is argued that SEA can be conceptualised as a framework of core structural elements that need to be integrated into legal, administrative, and planning procedures and practices. Thus, this section aims to identify what these core structural elements might be, in order to assist in developing a generic decisionmaking model for the design of SEA systems, which will be presented towards the end of the next chapter. However, while all SEA systems might be expected to include certain core elements, it is also argued here that SEA can take different forms, depending on, for example, the sector (e.g. land use, transport, energy, water and waste), and the administrative level (e.g. national, regional and local) to which it is applied. While certain core structural elements will be reflected in every SEA system, their form will differ, reflecting different planning and assessment practices and requirements, as well as different political, legal, administrative and cultural traditions of the country concerned. In this section, it is argued that SEA must be seen as a tool built upon core components and associated structural elements that can be tailored to the particular decision-making context in order for SEA to be implemented in a simple and effective way.

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Therefore, this section introduces the concept of the “SEA Composition Triangle” (Figure 2.1) which illustrates the three main core components that compose an SEA system. These components – legislation, administration and process – each has a set of structural elements (Building Blocks) that provide the context for strategic decision-making. The SEA composition triangle assists in identifying the core structural elements of SEA which are designed to deliver quality assurance in the practice and application of SEA. It could be said that the absence or non-consideration of any of these elements may pose a barrier to effective SEA application.

What are the legislative requirements for SEA?

How could SEA process be operated?

SEA system

Who are responsible for SEA implementation?

Figure 2.1: SEA composition triangle Source: The author

The components of the SEA composition triangle are briefly defined in Table 2.2. They consist of various core structural elements that are subsequently described in further detail in Table 2.3, 2.4 and 2.5. The core structural elements have been identified with reference to legislation, guidance, documents, books and journal articles. Sources include Partidario (1996), Therivel and Partidario (1996, 2000), Sadler (1996, 1998), Verheem and Tonk (2000), Fischer (2002, 2007), Therivel (2004), Jones et al. (2005), Wood (2002) and Chaker (2006a).

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Table 2.2: Framework of SEA core components Component

Description

SEA legislation

Elements for identifying WHAT legislative requirements and provisions have control over SEA system and process.

SEA administration

Elements for identifying WHO is responsible for SEA application, the official mechanisms, the administrative and organisational arrangements that should be in place to facilitate the implementation of SEA.

SEA process

Elements for identifying HOW SEA procedures could be set up and applied; these procedures are considered as a basic support to carry out the SEA process. Source: The author

2.7.1 SEA legislation Legislation is the first component and is important to guide SEA adoption and application, and encourage due consideration of SEA findings when making a final PPP decisions (Jones et al., 2005). The legislation provisions regarding SEA should require the systematic consideration of the environmental consequences of proposed actions and relate to the earliest stage of decision making in order to provide flexibility for broad and strategic alternatives to be developed. SEA legislation comprises core structural elements that have statutory characteristics, and control the overall system and process. These elements mainly concern the key question of ‘what are the legislative requirements for SEA?’. Partidario (2000) argues that a clear legal framework is helpful to ensure SEA arrangements and procedures are consistently operated in a clear and effective way. Table 2.3 provides core structural elements related to SEA legislation, which provide a benchmark for the comparative assessment (see Table 3.2).

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Table 2.3: Core structural elements of SEA legislation Component

Elements

Principles

SEA Legislation [WHAT]

Legal basis

SEA should have a strong legislative basis (Sheate et al., 2001).

Administrative level

SEA should be applied within the full planning hierarchy.

SEA tiering

SEA should be undertaken within a full tiered system of environmental assessment (Joao, 2005).

Integration with planning process

SEA should be integrated with PPP making processes; the linkages with decision making should be identified (IAIA, 2002).

Source: Adapted by the author

Elements related to SEA legislation start with the legal basis, as often a legal requirement is the main justification of the need to undertake an SEA (Partidario, 2000). As argued previously, SEA should be based on a strong legislative provision in order to ensure that it will be implemented and considered in the decision-making process. This element is concerned with identifying the way in which SEA provisions could be set up, and the basis on which SEA could be formalised. Although SEA provisions are normally laid out in legislation, regulations and directives are also at times the basis for SEA. The legal basis of SEA has a number of advantages: ensuring that strategic actions with potentially significant environmental effects do not escape assessment, helping to justify adequate resources for SEA and giving greater legal force to SEA findings (Jones et al., 2005). As a minimum, a legal basis for the overall system of SEA, for basic requirements and standards and for the allocation of responsibilities is likely to increase effectiveness.

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The second element in the legislation component is the administrative level which identifies the coverage of SEA through the planning hierarchy. SEA legislation should identify the administrative levels to which SEA needs to be applied, and determine whether SEA will be implemented within a full planning hierarchy, namely national, regional, sub-regional and local levels, or to (a) particular level(s). Since each planning level has its own characteristics, requirements for SEA can themselves be shaped to different levels of planning. Thirdly, as strategic actions themselves are tiered from policy to plan to programme to project, there can therefore be tiering of their associated assessments (Jones et al., 2005). This allows higher order policies, plans and programmes to set the context for actions at lower levels, including projects. The notion of tiering has been considered as a framework for identifying the interdependent relationships between decision-making levels (Noble and Storey, 2001). This hierarchical framework reinforces the rational-comprehensive nature of SEA. Bailey and Dixon (1999) argue that there is an identifiable relationship between some or all of policies, plans, programmes and projects in which a higher-level proposal leads to the development of lower-level proposals, and where the lower-level proposals are constrained by the higher ones. Tiering indicates the extent to which SEA is organised hierarchically, with one level of assessment informing the next level down (through to project level EIA). With this respect, SEA legislation should identify which type of strategic actions SEA should be applied to; it should also determine whether SEA will be implemented to a full environmental assessment tiering, with a clear policy-EA, plan-EA and programme-EA sequence, or to (a) particular tier(s). The use of tiering should promote greater efficiency in SEA at different levels and also increase linkages between PPPs and their respective SEAs (Partidario, 1996).

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In addition, tiering enables SEA and EIA to complement and reinforce each other, and allows broader issues and implications and more specific impacts to be addressed at the appropriate decision level (Sadler and Verheem 1996). The conceptual value of a tiered framework is therefore its recognition of the interrelationships between decision levels (see Figure 2.2) (Partidario, 2000).

Policy EA

ENVIRONMENTAL ASSESSMENT

Plan EA Programme EA

Strategic Environmental Assessment

Policies

Plans

Programmes

EIA

Projects

Environmental assessment tiers

Decision-making level

Figure 2.2: Tiering concept and SEA Source: adapted from Partidario, 2000, p.656

The last element of this component is the integration into planning processes. Since the fundamental aim of SEA can be described as the integration of environment into decision-making processes (Sadler and Verheem, 1996), it is increasingly recognized that, for this purpose, the SEA process itself should be closely integrated into the preparation of planning proposals, and should not be carried out as a separate exercise. Jones et al. (2005) argue that SEA should be carried out concurrently, as a form of “dialogue” with the PPP making, so that it is able to bring maximum influence to bear upon the strategic actions. In this respect, SEA requirements should identify to what degree integration between SEA and the planning process should be made, and when integration should be considered.

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2.7.2 SEA administration Integrating the principles of sustainable development into policies, plans, programmes and decision-making processes is a critical issue for achieving sustainable development. SEA is a key step towards turning this commitment into action. Partidario (1999) argued that an appropriate regulatory administrative framework, which incorporates quality control procedures, is one of the enabling conditions for sound SEA practice. Thus, this section discusses the administration component of SEA, and identifies the actors responsible for the implementation of the process. This component comprises core structural elements that identify who may be responsible for the SEA process, and their roles and responsibilities. In other words, it relates to the official mechanisms, the institutional and organisational structures, and arrangements that should be in place to facilitate the implementation of SEA. Clear identification of those involved in SEA and allocation of responsibility for each actor in the process, such as initiating, conducting and reviewing SEA, are critical points to be addressed in the system (Partidario, 2000). This is needed to avoid time delay and enhance SEA quality and effectiveness. Table 2.4 provides core structural elements related to SEA administration, which provide a benchmark for the comparative assessment (see Table 3.2). The first actor in the SEA system is the initiator who is responsible for promoting the application of strategic environmental assessment to strategic proposals through determining whether the SEA is needed for the proposed strategy or not. Regarding the conductor of the SEA, in general, it is the organisation that is responsible for ensuring that the environmental consequences of policies, plans and programmes are considered consistent with environmental objectives and sustainable development goals. The conductor body is responsible for carrying out many stages of the SEA, including scoping, impacts assessment, developing mitigation measures and preparation of SEA reports. The conductor works on field and literature investigation, interviews, modelling and other studies, and then drafts and compiles an SEA report providing specific findings and conclusions for the strategic decision maker. The

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conductor should be responsible for SEA quality, i.e. objectivity, justice, rationality, validity of conclusions, advantages and feasibility of mitigation measures as well. Table 2.4: Core structural elements of SEA administration Component

Elements

Principles

SEA Administration [WHO]

SEA initiator

SEA provisions should identify the body responsible for initiating SEA SEA provisions should identify the body responsible for conducting SEA (Joao, 2005) SEA provisions should identify the body responsible for reviewing SEA (McLauchlan and Joao, 2004) SEA provisions should identify the body responsible for inspecting and enforcing SEA (Fischer, 2007)

SEA conductor SEA reviewer

SEA inspector

Source: Adapted by the author

Complementing legitimate concerns raised about the outputs of any SEA process, questions could be asked, for example, about the scope and accuracy of the assessment of the effects of the proposed action; the adequacy of consultation; or the impartiality of those conducting the SEA. One remedy is to subject the SEA process to a check by a reviewer (Jones et al., 2005), prior to the findings of the SEA being used in decision making. The reviewer should be an independent body (McLauchlan and Joao, 2005), whose responsibility is to examine the SEA statement and report findings, to ensure the fairness and objectiveness of the judgement. The last actor in this system is the inspector who is responsible for ensuring that SEA results are taken into account not only when making the decision but also when implementing the proposal action. An allocation of clear enforcement by a specific party is important to ensure that practice complies with requirements and SEA results are actually considered in PPP making (Fischer, 2007). The responsibility of the inspector is to check the enforcement of the SEA outcomes, proposed mitigation measures, monitoring plans, sanction of SEA irregularities.

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2.7.3 SEA process The SEA process comprises the third component. This component concerns the key question of “how could the SEA process be operated?”. While the SEA process followed varies among jurisdictions, there are certain commonly accepted core structural elements or procedural steps associated with SEA. These are: screening, scoping, consideration of alternatives, impact prediction, mitigation, SEA report, review, consultation and public participation, and monitoring (Sadler and Verheem, 1996; Sheate et al., 2001; Therivel, 2004; Fischer, 2007). However, table 2.5 provides core structural elements related to SEA process, which provide a benchmark for the comparative assessment (see Table 3.2). Table 2.5: Core structural elements of SEA process Component

Elements

Principles

SEA Process [HOW]

Screening

Screening criteria should be determined

Scoping

An effective scoping process should be in place

Impacts assessment

Negative and positive impacts should be predicted and evaluated (Joao, 2005)

Mitigation

Measures for mitigation should be produced (Therivel ,2004)

SEA report

An SEA report should provide an outline of SEA process and its outcomes (SEA Directive 2001/42/EC, Art. 5).

Review

An SEA report should be reviewed to determine how well the SEA process has been carried out (Andre et al., 2004).

Consultation & Public

There should be opportunities for early public involvement (IAIA, 2002; Heiland, 2005).

participation Monitoring

Provisions for monitoring should be developed (Therivel ,2004). Source: Adapted by the author

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Screening Before implementing an SEA, screening may be necessary to determine whether an SEA has to be carried out or not due to the PPP’s likely significant effects on the environment (Partidario, 1996). The first question that anyone contemplating SEA asks is “do I need to do it?”. The preliminary scan considers whether the proposed action has outcomes that will affect the environment; and whether the proposal has direct or indirect impacts that are likely to negatively influence the achievement of sustainable development (Therivel, 2004). A screening system that is clear and simple to operate will result in greater efficiency and reduced uncertainty. Scoping Scoping is the second element in the SEA process. The determination of the scope is in fact prescribed even though there are no detailed requirements on the procedure to be followed or the precise contents of scoping. At any rate, it is a useful step and its thorough performance is recommended by many authors. Previous experiences of not only strategic environmental assessments but also environmental impact assessments have shown that it makes sense and is efficient to start work with a systematic scoping exercise. Scoping is the decisive step for focusing SEA on what is essential, and directing efforts involved in SEA to best effect, preventing the production of “data graveyards” (Sommer, 2005). The scoping determines the likely extent and level of detail of the assessment, the information to be included in the SEA and the environmental report. In this respect, baseline information and data needs have to be established. Existing sources and gaps are to be identified and environmental problems and protection objectives need to be described (Fischer, 2007). At the scoping stage, different development alternatives should be identified that may be available for meeting environmental, economic and social objectives. Finally, it is argued that scoping has an impact on SEA implementation as well as on subsequent monitoring.

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Impacts assessment Strategic actions have wider ranging and less predictable outcomes than individual developments. It has therefore been recognised, since early studies on SEA (Wood and Djeddour, 1992), that the assessment of the possible effects of strategic proposals will be characterised by a high level of uncertainty, and is not expected to be carried out as rigorously and quantitatively as the equivalent phase at project level. However, an SEA process would not be meaningful without a clear assessment of the likely impacts of strategic actions (Jones et al, 2005). Noble (2000) defines SEA as the proactive assessment of alternatives for strategic action, suggesting that the primary aim of SEA is the choice of the preferred strategic actions. Assessment allows the decision maker to consider which development alternative is the best, which achieves the objectives at the lowest cost or greatest benefit to the environment, or which achieves the best balance between contradictory objectives (Therivel, 2004; Therivel and Partidario, 1996). However, likely effects should be assessed against explicit environmental criteria, and should be expressed in terms of relevant factors, such as magnitude, duration, probability, reversibility, etc. Indirect and cumulative effects resulting from multiple activities are likely to need particular attention (Therivel and Partidario, 1996). In addition, there should be an evaluation of the significance of changes likely to be brought about by the proposals, by taking into account the sensitivity of the receiving environment. A large range of techniques is available for prediction and evaluation, including modelling, overlay maps, carrying capacity and scenario analysis, expert opinion and public consultation (Therivel, 2004). Mitigation Mitigation measures should be identified to improve the environmental performance of the proposed strategy (Therivel, 2004). These measures aim to highlight ways in which the potential positive and negative environmental

45

Chapter 2


impacts of the proposed action identified during the SEA could be enhanced or remediated. This element is not a clear SEA stage, as mitigation measures should be considered throughout the process. Furthermore, Partidario (2000) highlighted the role of SEA as a facilitator, describing the process as an “aide memoire” to be considered during decision making. In order for SEA to realise this role, mitigation measures should be suggested to improve the environmental performance of the strategic action. Report preparation The environmental report is a report that includes the findings of the assessment process of the proposed action and the predicted impacts upon the environment. It usually serves as a basis for consultation and public participation and should be one of the considerations to be taken into account in decision making (Fischer, 2007). Von Seht (1999) argued that the environmental report should include, at least, the following: 

A description of the proposed action and its main alternatives;



A description of the baseline environment;



The significant environmental impacts of the proposed action and alternatives;



The timescale and likelihood of predicted impacts;



Possible mitigation measures; and



Comments on any assessments problems.

The role of the SEA report relates to the fundamental aim that environmental consideration is integrated into decision making (Brawn and Therivel, 2000). The SEA report can contribute to this by making the SEA process transparent and showing the degree to which SEA has, in fact, shaped the proposed strategy. In this context, adequate documentation can be considered as an essential part of the SEA process, ensuring that the results of the assessment are identifiable, understandable, and available to all parties affected by the decision (Verheem and Tonk, 2000). The environmental report should be published with the draft policy for consultation. In the framework of public discussion, the opinions of representatives should be considered and mentioned in the report.

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Chapter 2


Review This element provides a means for assessing the quality of the presented information, which will inform decision makers and help to determine suitability, practical feasibility and sustainability of the resulting strategic action (Andre et al., 2004). The purpose of this step is to ensure that the SEA was effectively undertaken. In the review step, the adequacy of the environmental information collected during the SEA process and presented in the environmental report is supposed to be checked. Furthermore, Fischer (2007) argued that uncertainties and contradictions should be identified and any bias should be counteracted. In the review stage, the recommendations on the findings and conclusions of the SEA process will be the foundation for integrating environmental consideration into the decision making of the strategic action. Consultation and public participation Consultation and public participation can help to generate a sense of ownership of the development among stakeholders; can improve decision makers’

understanding

of

issues

including

planning

procedures

and

environmental impacts; and can increase the transparency of the strategy preparation process (Jones et al., 2005; Heiland, 2005). Consultation and public participation do not form separate stages of the SEA process, as relevant authorities and the public should ideally be involved at various points during the SEA. Approaches differ, as to when consultation and public involvement is required and whether environmental authorities and/or the public are involved, as follows: 

During plan development and when changes to the plan are considered



During screening and scoping stages, or either one of them



Impact assessment



Report preparation



Review stage

47

Chapter 2


SEA Directive requires that "the draft plan or programme and the environmental report shall be made available to the authorities and the public", also states "the authorities and the public shall be given early and effective opportunity within appropriate time frames to express their opinion on the draft plan or programme and the accompanying environmental report before the adoption of the plan or its submission to the legislative procedure" (SEA Directive, Art. 6) Monitoring Monitoring the implementation of the strategic actions after they are adopted by SEA should be undertaken to ensure that the SEA is steered towards achieving its purpose and to detect any problems that may make it probable that the expected results will not be achieved (Therivel, 2004; Therivel and Brown, 1999). This monitoring should be undertaken through periodic follow-up, through which the assessed performance and results will be compared to the plans. Monitoring should be done during implementation, using a set of selected indicators, which also serve as a check on procedural quality. Part of the monitoring phase is a policy review. The consequences of policy actions are never fully known in advance and for this reason, it is important to monitor and evaluate policy actions after they have occurred. In this sense, the monitoring scheme will need to be flexible as environmental impacts will rarely occur immediately after implementation of the action and often tend to arise from consequential future actions (Jones et al., 2005).

2.8

Conclusion The discussion in this chapter concentrated on the theory of SEA. A great deal

of literature presents SEA principles, methodologies, procedures, and implementation criteria. Literature, including both individual works and official publications, has been reviewed in order to help understand SEA in terms of definition and its nature and benefits. This review of the literature suggests one broad conclusion. It is theoretically feasible (and potentially beneficial) to integrate environmental concerns into strategic planning.

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Chapter 2


Strategic environmental assessment is argued to be a key tool to aid this integration in the earlier stages of decision making in order to achieve more sustainable development. In light of the evolving nature of environmental assessments, SEA is currently considered as a second-generation paradigm moving EIA principles ‘upstream’ in the decision-making process. EIA and SEA have a similar aim but they differ in the scope and nature of their approach. EIA is a reactive process that is applied too late for projects after decisions are already undertaken. It focuses on improving specific predetermined actions; it guides the detail design of development. Compared with EIA, SEA takes a strategic approach and wider perspectives. It is a proactive process that is applied at the earliest stage of the formulation of strategic actions; it allows an early warning and pre-examination of potentially impacts, including cumulative impacts and wider consideration of alternatives which are difficult to consider at the project level. Nevertheless, the need for SEA does not derive only from these benefits, Advocates of SEA insist on its capacity to promote strong representation of environmental aspects in PPP making. SEA can support more efficient decision making by creating the context for more focused PPP making and subsequent project planning and EIA. SEA can also help decision makers ask questions that lead to more effective reasoning in decision making. Based on all the above aspects, this research argues that SEA is a key tool to guide the development process in the Egyptian context. In line with the aim of the thesis, this chapter has identified some key factors which support the adoption of SEA in any country’s context. These key factors include political will, legal mandate and appropriate institutional capacity. In addition, the legacy of EIA experience and practice is a key pointer to the potential for the adoption of SEA. Finally, it is argued that environmental awareness can play a significant role in promoting SEA as machinery to achieve sustainable development.

49

Chapter 2


In conclusion, this chapter argues that SEA must be seen as a tool built upon core components and associated core structural elements. These elements need however to be tailored to the particular decision-making context and planning procedures to promote efficiency and effectiveness in SEA. Based on this conclusion the next chapter will review the international SEA practice in order to compose a framework of different alternatives related to each of the SEA core structural elements.

50

Chapter 3

Alternative approaches to SEA application

CHAPTER 3 ALTERNATIVE APPROACHES TO SEA APPLICATION

W

hile chapter 2 investigated the concept of SEA aiming to achieve the first objective of this study, this chapter addresses the second objective and investigates international SEA practice in order to review how SEA has been structured and

conducted differently in various contexts. Many countries worldwide have shown an interest in SEA, with some having conducted SEA case studies, others having released guidance and still others having put formal requirements into place. Furthermore, it is argued that there is now widespread agreement that the way in which SEA should be applied in order to be effective varies, according to the specific cultural, political, planning, legal, environmental and participatory context of a country, region or locality (Fischer and Gazzola, 2006). This chapter firstly reviews SEA experience in ten systems from across the world. Five systems were selected from developed countries, and the other countries selected were developing countries, with relatively similar contexts to Egypt, which recently have an increasing attention to environmental issues. This assists in exploring differences in SEA practices in different systems in order to reveal various alternatives related to the SEA core structural elements identified in the previous chapter. Finally, this chapter ends by developing a generic decision-making model for designing SEA that could provide guidance for countries in setting up or refining their SEA systems. This will be used to inform discussion of SEA development in Egypt as will be outlined in the next part of this study.

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Chapter 3

3.1


Current SEA systems There are two legal documents that specifically set the international

regulatory framework for SEA, namely, the European SEA Directive and the ENECE SEA Protocol. The European SEA Directive 2001/42/EC was adopted on the 27th of June 2001; it establishes a basic framework for assessing the effects of certain plans and programmes on the environment. It is worth highlighting that the directive precludes policies that usually set the framework for lower tiers; i.e. plans and programmes. Its scope includes in general plans and programmes prepared for agriculture, forestry, fisheries, energy, industry, transport, waste management, water management, telecommunications, tourism, town and country planning or land use, as well as those setting the framework for future development consents for projects covered by the European EIA directive 85/337/EEC of 27 June 1985. Exclusions include plans and programmes dedicated to serve national defence or civil emergencies as well as those pertaining to financial initiatives or budget. The responsibility of developing a detailed procedure is left to the Member States, who are required to harmonise the directive with their own national legislation by 21 July 2004. The SEA Protocol was developed to supplement the Convention on EIA (also known as the 1991 ESPOO Convention). Once ratified, the Protocol requires the Parties to evaluate the environmental and health impacts of their draft plans and programmes; it also addresses policies and legislation proposals. Its scope and requirements are quite similar to those of the European SEA directive except for the emphasis placed on the consideration of health impacts, which reflects the active participation of the World Health Organisation (WHO) in its elaboration, as well as the explicit requirement for addressing transboundary effects. The protocol puts more weight than the European directive on the need for undertaking and defining clear and transparent arrangements for public participation; it clearly provides for public consultation as early as the scoping step if possible. This slight variation in emphasis from the European directive is a

52

Chapter 3


clear indication of its link with the Aarhus Convention. The SEA Protocol was recently opened to all United Nations member states at the Fifth Ministerial "Environment for Europe" Conference, on the 21st of May 2003. Accession by non-European countries is possible following approval by the Meeting of the Parties to the Protocol (personal communication, UNECE, ESPOO Convention Secretariat). However, this section provides basic information on ten SEA systems in use around the world (see Table 3.1). This review assists in providing a broad picture of the similarities and variations in application. The systems under review are from Canada, China, Hong Kong, Lebanon, the Netherlands, New Zealand, South Africa, Taiwan, the UK, and the USA. The 10 countries were selected to cover a wide range of different planning contexts and SEA traditions and experiences. Please note that countries are presented in alphabetical order, and do not reflect any preference or hierarchy. Table 3.1: SEA Systems Selected (Basic Information) Country

Provisions

Coverage

Authority

Canada

The Cabinet Directive 1991 (amended in 1999 and 2004) The EIA Act 2002 includes legal SEA requirements

All proposals submitted to Cabinet for approval Regional and sectors plans concerning: land use, industry, transport and other specific plans All major issues related to environmental sustainability

The Canadian Environmental Assessment Agency

Land use planning initiatives

Ministry of Environment

China

Hong Kong

Lebanon

The EIA Ordinance 1998 (amended in 2002) calls for EA of plans and programmes The Law 444/2002 for Environmental Protection includes SEA provisions

53

State Environmental Protection Administration

Environmental Protection Department

Chapter 3


Table 3.1 continued Netherlands

The EIA Decree 1987 (amended in 1994 and 1999 to include SEA requirements); Recently, SEA is included in The Environmental Management Act 2006

Land use changes, Ministry of Housing, government bills, Spatial Planning and transport and other the Environment visions

New Zealand

Resources Management Act 1991 and its amendments

All policy Ministry of statements and Environment plans, regional land transport strategies

South Africa

Environmental Management Act 1998 and its amendments

Voluntary only (all levels, sectors)

Department of Environmental Affairs

Taiwan

The EIA Act 1994 requires provisions of SEA

Central government policy which need approval by the Executed Yuan

Environmental Protection Administration

Regional and local development, governmental policies (optional)

Department of community and local government

All proposals for legislations and other major Federal actions

Environmental Protection Agency

UK

USA

Environmental appraisal based on Policy Planning Guidance 1990; Directive 2001/42/EC, the SEA Directive; The environmental assessment of plans and programmes regulations 2004 The 1969 US National Environmental Policy Act (NEPA) and Regulation (1978)

Source: Compiled by the author from: (CEAA, 2004; Chaker et al., 2006 a, b; Dalal-Clayton and Sadler, 2005; DEAT, 2004a; El-Jourbagy and Harty, 2005; EPA, 2003; EPD, 1998; Fischer, 2007; Lam et al., 2009; Nobel, 2009; ODPM, 2005; Retief, 2007; RMA, 1991; RMAA, 2003; UNDP, 2004; Zhou and Sheate, 2009).

54

Chapter 3


Five SEA cases have been selected from SEA systems in developed countries with extensive experience of environmental assessment, and are considered as pioneers SEA. The UK was an obvious choice here. It has been a leader in applying a form of SEA to its strong but discretionary planning procedures. Objectives-led environmental appraisal has been applied since the early 1990s, based on Policy Planning Guidance. The Netherlands was included because it is generally acknowledged to have a sophisticated system of environmental controls, including an EIA system (1987). The author believed that it was essential that the thesis covered a different range of geographical locations, so the inclusion of non-European countries was considered important. The USA possesses the original EA system and since 1969, as with so much else in the environmental policy field, examination of American SEA experience offers a pointer to the future elsewhere. The Canadian federal EA system was established on an informal basis in 1973, and provided the model for the Netherlands EIA system. Canada was also the first country to implement the SEA of cabinet proposals. New Zealand has a long-established EIA system since 1991, and its Resource Management Act (RMA) has been widely promoted. Because the RMA implicitly requires SEA, New Zealand's integrated SEA procedure was a natural choice. All these countries are among the first to have applied SEA and they have been considered as benchmarks in this field. The other five cases selected were from developing countries, with relatively similar contexts to the country of case study (Egypt), which exhibit increasing concern for environmental assessment. Hong Kong is a densely populated burgeoning region which has made provision for SEA within its planning system and was an obvious Asian representative. South Africa is a developed federal country; it has made provision for SEA within its planning system and was chosen as the African representative in this thesis. Taiwan is an industrialized country located on the Pacific Rim of Southeast Asia. It has officially adopted since 1994. It was therefore useful to examine the way in which SEA had been implemented in this country in order to how it has been

55

Chapter 3


influenced by international experience in adopting and integrating SEA into planning system. Similarly, China, with the rapidity and scale of development, has earned its economic growth to some extent at the cost of environmental quality. Subsequently, China has been paying much greater attention to improving environmental quality, thus it has recently adopted strategic environmental assessment to provide a high level of environmental protection. Finally, it was decided to include the Lebanon, one of the countries which is geographically close to Egypt (the country under study), as a representative of Middle Eastern countries. Lebanon is among the pioneers in the Middle East to launch the development of a national strategic environmental assessment system that caters to the particularities of the Lebanese planning, regulatory and institutional context. Although countries may be grouped under one model, their SEA systems are not similar due to national particularities in legal and administrative structures, and procedural arrangements. In practice, SEA needs to be tailored to the particularities of individual countries (Dalal-Clayton and Sadler, 1999). Furthermore, it is important to stress that there is a fine line differentiating between the characteristics of each approach. In this respect, the next sections attempt to explore a range of alternatives related to the SEA core structural elements identified in the previous chapter, which might exist in SEA practice in various contexts.

3.2

A framework for comparing different SEA application In order to compare the SEA systems in various contexts, this section

develops a set of analytical criteria. The criteria have been set in the form of questions in order to provide a comprehensive framework for comparison. The comparative framework comprises three components, or reference levels: legislation, administration, and process. The criteria developed are mostly descriptive, based on the SEA core structural elements identified (see Section 2.7), and encompass key features that are considered to deliver quality

56

Chapter 3


assurance in the practice and application of SEA. The 16 criteria expressed in the form of questions are designed to focus the comparison on the central aspects to which each criterion relates, in order to identify various alternatives related to SEA structural elements as discussed later in this chapter. Table 3.2 provides details of the comparative criteria. Table 3.2: SEA Comparative Criteria Components

Elements

SEA legislation

Legal basis

1)

What is the legal basis for SEA?

[What]


2)

What are the administrative levels which SEA is applied for?

SEA tiering

3)

What are the decision making levels which SEA is applied for?


4)

What is the integration mode which is implemented?

SEA initiator

5)

Who is responsible for initiating SEA?

SEA conductor

6)

Who is responsible for conducting SEA?

SEA reviewer

7)

Who is responsible for reviewing SEA?

SEA inspector

8)

Who is responsible for inspecting SEA results?

Screening

9)

How is screening set up?

Scoping

10) How is scoping determined?

Impacts assessment

11) How are impacts assessed?

Mitigation

12) How are mitigation measures developed?

SEA report

13) How is the SEA report prepared and submitted?

Review

14) How is the SEA report reviewed?

Consultation & public participation

15) How are consultation and public participation undertaken?

Monitoring

16) How is the SEA process monitored?

SEA administration [Who]

SEA Process [How]

Criteria

Source: Developed by the author

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Chapter 3

3.3


A comparative assessment of SEA application This section consists of a snapshot assessment of SEA practice in the chosen

countries comparing their respective legal, administrative, and procedural systems. The focus of the assessment was to explore differences in SEA practice that can be used to distinguish various alternatives that may be available to countries wishing to adopt SEA for the first time or to review and amend existing arrangements. The data for each individual country was compiled from a range of literature sources including documents and official publications from government bodies, NGOs, academic literature, and internet sources identified from computer based-search. This information was collected and recorded in a standard format to ensure that it could be compared on the same basis. It is recognised that this literature review has limitations, for example, the limited time for this study and the commitment to the timetable designed for attempting to complete this study to achieve its aim. In addition, due to language barrier, some non-English documents related to non-speaking English countries could not be taken into consideration. However, the objective here was not to provide a comprehensive up to date picture of SEA practise in each country, but rather to highlight that for each component and element of the SEA system options are available and that countries can tailor their SEA systems to best fit its circumstances. This limitation may not have significant impact.

3.3.1 SEA legislation This section presents the findings of the overall comparison and review of SEA systems against the SEA legislation criteria (see Table 3.3).

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Chapter 3


Legal basis Adequate legal provisions are important for ensuring SEA is applied in a consistent manner, giving certainty to the actors involved in both SEA and PPP processes. A formal basis for SEA can help to ensure that SEA is applied to a full range of strategies, and is practised to certain standards (Therivel and Partidario, 1996). All the countries reviewed had some forms of legal provisions for SEA but the nature of this legislation varied. The evaluation has shown that SEA is implementing through one of the following: (i) Provisions integrated with EIA legislation, this is the case in most countries reviewed (as in China, Hong Kong, Lebanon, the Netherlands, Taiwan and United States). For example, in China, SEA provisions are included into the 2002 EIA Act (Lam et al., 2009). In Hong Kong, the EIA Ordinance 1998 (amended in 2002) includes a statutory SEA requirement (Au and Lam, 2005).

In the case of Lebanon and the USA, SEA provisions were included within the environmental protection law which also includes provisions for EIA (Chaker et al., 2006b; Bass, 2005 respectively). (ii) Exclusive provisions for SEA which are separate from EIA legislation. Examples of this type of legislation include the 1991/99/2004 Cabinet Directive on the Environmental Assessment of Policy, Plan and Programme Proposals in Canada which makes exclusive provisions for SEA (Nobel, 2009), and the Environmental Assessment of Plans and Programmes Regulations 2004 in the UK (Zhou and Sheate, 2009). (iii) Provisions integrated with other sectoral legislation. For instance, in New Zealand, the Resources Management Act (RMA) provides a strong legislative framework for SEA, although the RMA was not intended to legislate for SEA (SEA is not mentioned by name in the RMA), it is recommended that environmental concerns were adequately considered in decision-making

process

(Dixon,

2005).

Similarly,

environmental

assessment of PPPs is included in the National Environmental Management Act in South Africa (Retief, 2007).

59

Country

Legal basis


SEA tiering

National/regional/local

Policy/plan/programme


National and regional

Full tiering is required (PPPs)

In principle, there should be enough early application of SEA to address deliberation on purposes and alternatives

China

SEA provisions are included under EIA Law 2002

National, Regional and local

Plans is solely required to undertake SEA

Integration is required

Hong Kong

Inclusive provisions under EIA Ordinance as amended in 2002


SEA is required for all tiers

SEA closely linked to territorial, strategic and regional planning

Lebanon

SEA provisions are included under the Law of Environmental protection 2002

National

SEA is limited to plans and programmes


Netherlands

SEA provisions are incorporated into EIA requirements under the Environmental Management Act 2004 (amended in 2006)

National, regional and local

Required for plans and programmes

Early integration is identified in SEA guidance

New Zealand

Resources Management Act 1991 and its amendments include provisions for assessment of PPPs


RMA requires any policy or plan to undertake an EA

Integration is required for in RMA proposals preparation process


Exclusive provisions for SEA are made under the Cabinet Directive

60

Canada

Chapter 3

Table 3.3: Review of SEA legislation in selected countries

SEA is non-mandatory; National Environmental Management Act makes procedures similar to SEA, and requires any PPP to investigate and assess significant impacts


There is an effective PPP in place, covered by SEA

Not legally required, level and extent of integration is not specified in guidance

Taiwan

SEA provisions are included under EIA Act 1994


Full tiering is required (PPPs)


UK

Exclusive provisions through the Environmental Assessment of Plans and Programmes Regulations 2004

Regional and local plans

SEA is required for plans and programmes

Early integration is identified in SEA guidance

USA

SEA provisions are included under the National Environmental Policy Act of 1969 and its amendments

National

There is an effective PPP in place, covered by SEA

Integration is considered and highly developed

Source: Compiled by the author from: (Bass, 2005; Bina, 2008; Boa et al., 2009; CEAA, 2004; CEAA, 2007; Chaker et al., 2006 a, b; Dalal-Clayton and Sadler, 2005; DEAT, 2004a,b; Dixon, 2005; El-Jourbagy and Harty, 2005; EPA, 2003; EPD, 1998; EPD, 2006; Fischer, 2007; Jaxson and Dixon,2006; Lam et al., 2009; LMOE, 2002; Memon, 2005; Nobel, 2004, 2009; ODPM, 2005; Retief, 2007; RMA, 1991; RMAA, 2003; RMAA, 2005; Rossouw et al, 2000; Rossouw and Reitief, 2005; Thissen and Heijden, 2005; UNDP, 2004; Zhou and Sheate, 2009; Zhu et al., 2005; Zhu and Ru, 2008).


61

South Africa

Chapter 3

Table 3.3 continued

Chapter 3


Administrative level With respect to whether SEA is applied within a full planning hierarchy, the comparison indicates that there is a great variability in the coverage of planning levels, which require SEA prior to decision-making. Most countries consider the national level as the priority level for SEA intervention with the exception of the UK, where SEA is required for Regional Spatial Strategies and Local Development Documents only (Zhou and Sheate, 2009). Among the countries which apply SEA at national level, China, the Netherlands, New Zealand and Taiwan require SEA implementation within a full hierarchy of planning levels including regional and local plans (Dalal-Clayton and Sadler, 2005; Chaker et al., 2006a; RMAA, 2003; Liou et al., 2006 respectively), whereas SEA provisions in Canada, Hong Kong and South Africa only require SEA implementation for strategic actions at national and regional levels (Chaker et al., 2006a). SEA tiering With respect to whether SEA is applied within a tiered system of environmental assessment, table 3.3 indicates that there is great variability in the tiers of strategic decisions requiring SEA prior to decision-making. More than half of the systems reviewed perform SEA for the three main tiers of strategic action, namely PPPs (Canada, Hong Kong, South Africa, Taiwan and the USA). In Canada, a detailed SEA is required when the proposal for a policy, plan or program is submitted to an individual Minister or to Cabinet for approval (CEAA, 2007). Similarly, in Hong Kong and Taiwan, SEA is being fitted to a full hierarchical assessment system (Chaker, 2006a; Dalal-Clayton and Sadler, 2005; Liou et al., 2006). In addition, SEA is applied in the USA within a full-tiered system of environmental assessment (Dalal-Clayton and Sadler, 2005), where the National Environment Policy Act (NEPA) encourages agencies to tier their environmental studies to avoid repetition of issues and to focus on those that are appropriate for decision making at each level of planning. In South Africa, the National Environmental Management Act 1998 and it amendments include provisions for assessment procedures for PPPs (DEAT, 2004a).

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Some countries require assessments for at least two tiers of strategic decisions (i.e. any combination of PPPs) (e.g. Lebanon, the Netherlands, New Zealand and the UK). For instance, the Environmental Management Act in the Netherlands requires SEA to be applied to plans and programmes. Similarly, the UK SEA regulations of 2004 formally established their SEA system only for plans and programmes (Dalal-Clayton and Sadler, 2005). In New Zealand, the RMA does not refer specifically to SEA but rather requires that any policy or plan must undergo an EA (RMAA, 2003). In this comparative study, China is the only country in the sample to require SEA solely for strategic plans. The Chinese SEA legislation is integrated within the EIA Law (Chapter 2 of the EIA law exclusively makes provision for EA implementation for strategic plans). Integrating with planning process An essential aim of SEA can be described as the integration of environmental considerations into decision making processes from the earliest possible stages onwards (Sadler and Verheem, 1996). As mentioned before, ideally SEA should be carried out simultaneously, as a form of ‘dialogue’ with PPP making, so that it is able to bring maximum influence to effect the process. Integration of this kind helps SEA to achieve its aims. With this respect, almost all SEA systems studied stipulate enough early integration of SEA, so as to encourage deliberation on purposes and alternatives. The exception is South Africa, where integration is not legally required (Rossouw and Retief, 2005). Although few details are provided on the approach or way of integration, UNCEC & RECCEE (2006) identifies that there are three ways of achieving process integration. The first type of integration is that SEA is a completely separate tool from strategic action preparation. The second one is that SEA is partially integrated into strategic action preparation with limited chances of information exchange or sharing. The third one is that SEA is fully integrated into strategic preparation, in this context SEA and strategic action preparation, decision making and adoption are integrated at the outset, each contributing to shaping each other (EC, 2005).

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3.3.2 SEA administration This section presents the findings of the overall comparison and review of SEA systems against SEA administration criteria (see Table 3.4). SEA initiator The identification of an administrative body to initiate the SEA process provides direction and accountability for the process. The comparative assessment identifies that the responsibility of initiating SEA is a role of the proponent authority that produces and/or adopts the policy, programme or plan, in most of countries studied, with the exception of Canada and Hong Kong. In Hong Kong, the Environmental Protection Department (EPD), the competent authority which is responsible for environmental issues, initiates SEA for strategic PPPs (EPD, 2009). Furthermore, in the Canadian SEA system, a formal SEA is officially initiated by the Minister of the Environment with the help from the Canadian Environmental Assessment Agency (Zhou and Sheate, 2009). SEA conductor This is the institution responsible for conducting and overseeing the SEA process. Most of the countries reviewed require the proponent authority to conduct the SEA themselves (e.g. Canada, China, Hong Kong, Lebanon, the Netherlands, the UK and the USA). In Canada, it is the individual minister’s responsibility for ensuring that the environmental consequences of their policies, plan and programs are considered consistent with the government’s broad environmental objectives and sustainable development goals (CEAA, 2004). Similarly, in the UK, it is the responsibility of the proponent authorities to initiate and conduct SEAs for their plans and programmes. For instance, if a local authority drafted a local transport plan, then it is the responsibility of that local authority to carry out the SEA application individually or invite a professional consultant to undertake the task on their behalf (Zhou and Sheate, 2009).

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In contrast, in New Zealand and Taiwan, SEA is carried out by the component authorities (the Ministry of Environment and the Environmental Protection Administration, respectively) (Memon, 2005; Liou and Yu, 2004). In South Africa, an independent committee undertakes this task. Article 4 of the National Environmental Management Act states that environmental impact assessments, or other specified tasks performed in connection with an application for an environmental authorisation, may only be performed by a pre-qualified environmental assessment practitioner registered in accordance with the procedures to be established (DEAT, 2004a).

65

SEA conductor

SEA reviewer

SEA inspector

Canada


Proponent department and agency

Inter-departmental review is required by the Sustainable Development division of the proponent department

The Commissioner for the Environment and Sustainable Development is responsible for checking on implementation SEA results

China

Proponent authority as a part of planning process

Proponent authority with the help from licensed professional environmental assessment consultants

Review team from State Environmental Protection Administration (SEPA), including representatives of relevant departments and experts

SEPA

Hong Kong

Environmental Protection Department (EPD)

Proponent authority

Advisory Council for Environment decides whether or not the SEA report meets the requirements

EPD

Lebanon Netherlands

Proponent authority

Proponent authority



Proponent authority

Proponent authority with an advice from an independent expert committee (EIA Commission)

EIA commission gives recommendations on the SEA report

A specialist inspector appointed by the Minister of Housing, Spatial Planning and the Environment

New Zealand

Proponent authority


Board of Inquiry within Ministry of Environment

Not clear in the RMA

South Africa

Proponent authority

A pre-qualified environmental assessment practitioner registered in accordance with specific procedures

External specialist reviewer

Environmental inspector


SEA initiator

66

Country

Chapter 3

Table 3.4: Review of SEA administration in selected countries

Chapter 3

Table 3.4 continued Taiwan

Proponent authority

Competent authority, namely Environmental Protection Administration (EPA)

Review committee within EPA

EPA

UK

Performed by proponent as part of the planning process

Proponent authority individually or invite professional consultant to undertake SEA on their behalf

A quality assurance checklist is provided

Independent examination by the planning inspectorate

USA

Proponent authority

Proponent authority

Council on Environmental Quality

Environmental Protection Agency


67

Source: Compiled by the author from: (Au and Lam, 2005; Bass, 2005; Boa et al., 2004; CEAA, 2004; Chaker et al., 2006 a,b; Dalal-Clayton and Sadler, 2005; DEAT, 2004a,b; El-Jourbagy and Harty, 2005; EMA, 2004; EPA, 2003, 2005, 2006; EPD, 1998; EPD, 2009; FACITC, 2006; Liou and Yu, 2004; Liou et al, 2006; ODPM, 2005; Powell, 2005; Retief, 2007; RMA, 1991; RMAA, 2003; UNDP, 2004; Zhou and Sheate, 2009; Zhu et al., 2005).

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SEA reviewer With respect to the issue of who has the authority to review an SEA or environmental report, the component authority is required to review the SEA findings in China, Lebanon, New Zealand and Taiwan. For example, the Lebanese Ministry of Environment is responsible for reviewing SEAs (Chaker et al., 2006b). In Taiwan, the review committee within the component authority reviews and decides whether or not the SEA report meets requirements and how it will be taken forward. (Liou et al, 2006). Reviewers could also include a specialist independent body as elaborated in some countries such as, Hong Kong, the Netherlands, South Africa and the USA. In Hong Kong and the USA, the Advisory Council for Environment (ACE) and the Council on Environmental Quality (CEQ) respectively review and endorse the SEA report (Au and Lam, 2005; Bass, 2005). Similarly, an external specialist reviewer is appointed by the Minister of Environment in South Africa to decide on the SEA report (DEAT, 2004a). In contrast, the Canadian Cabinet Directive and its Guidelines only state that SEAs should be forwarded for departmental evaluation and review officers; the authority or organisation that is responsible for SEA examination and approval is not designated. It is stated that the Sustainable Development Division of the Department has the responsibility to review the results of a Preliminary Scan (Screening) template and the final SEA documents (FACITC, 2006). The UK SEA system also does not provide clear guidance about which organisation has the responsibility to review SEA cases. Nevertheless, the Practical Guide, released by the Office of the Deputy Prime Minister, provides a Quality Assurance Checklist, in accordance with Art.12(2) of the SEA Directive on quality assurance of the environmental reports (ODPM, 2005).

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SEA inspector With respect to the issue of who has the authority to inspect the compliance with SEA results in the implementation of strategic proposals, the component authority (in China, Hong Kong, Lebanon, South Africa, Taiwan and the USA) is required to ensure and inspect that the SEA outcomes are taken into account when implementing the development proposals. SEA inspector may be an independent body as in Canada and the UK. In Canada, the Commissioner for the Environment and Sustainable Development is responsible for checking on the implementation SEA results (CEAA, 2004). While in the UK, the implementation of PPPs is subject to review by the Planning Inspector where SEA will be scrutinised (ODPM, 2005). 4.3.3 SEA process This section presents the findings of the overall comparison and review of SEA systems against SEA process criteria (see Table 3.5). Screening Screening is needed in order to decide whether an SEA should be conducted or not (Therivel, 2004). It is often defined in the SEA legal requirements or associated guidelines, and it is the starting point in all the SEA systems reviewed. The types and tiers of strategic decision which should be subject to an assessment prior to decision-making are identified through one of the following:

69

Country

Screening

Scoping

Impacts assessment

Mitigation

SEA Report

Review

Consultation & participation

Monitoring

Canada

SEA is determined and is expected when:

The Directive states that ‘the level of effort in conducting the analysis should be commensurate with the level of anticipated environmental effects’

Guiding policies subject to SEA and residual potential impacts should be analysed and described.

Guidelines advocate specific consideration of mitigation measures

No separate SEA report is required; findings should be included in the relevant decision document

Interdepartmental review; no formal quality assurance procedure specified

The analysis should identify the concerns of those likely to be affected, from stakeholders and public

Guidelines specify broad requirements for monitoring

A proposal is submitted to an individual Minister or Cabinet for approval

China

Based on a screening list of strategies

Furthermore, it notes that the guidelines for SEA are advisory whereby proponents have discretion for determining how they conduct SEAs

No provisions for scoping, but performed according to guidance prepared by SEPA

Predictive technique and methods are limited

Mitigation is required

Environmental report is provided by the assessment team

Sources of information on public concerns include: Responsible authorities provide opportunities for public participation Outside experts and organisations

External review is required

Public is encouraged to participate

Required in guidelines


70

Implementing the proposal may result in important environmental effects, positive and negative

However, proponent departments and agencies need to prepare a public statement on environmental effects if a detailed assessment on environmental effects has been conducted through SEA

Guidelines refer to indirect, cumulative impacts; environmental effects include impacts on health, socio economic conditions, heritage resources,

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Table 3.5: Review of SEA process in selected countries

71

All PPP proposals submitted to the Executive Council According to set exclusion or inclusion criteria

Mainly based on consultation; All issues which have a bearing on sustainable development concerns must be assessed

Methodologies stipulated in the EIA Ordinance Technical memorandum or deemed fit for particular SEA

All known unacceptable impacts must be mitigated

SEAs recorded in reports available for public inspection on government website

Advisory Council for Environment (ACE) reviews and endorses SEA report

Consultation with ACE, reports available for public inspection on government website

Mechanisms must be set up to monitor effects of development and to follow up SEA recommendations

Lebanon

Screening is generic based on a screening list

Scoping is optional but guidelines provide advisory details for scoping

Required; reality remains to be seen

Mitigation strategy for impacts is required

Separate SEA report

Ministry of Environment reviews SEA report

Public access is allowed

Monitoring is required but limited details

Netherlands

Screening list

An independent expert committee is consulted

Inclusion suggested

Separate SEA report

Left to competent authority to decide

Public involved during scoping and review

New Zealand

Screening is more comprehensive; all PPPs required to undertake SEA

Specified in the Resource Management Act

Required, impacts are assessed against environment baseline data Occurs within plan making, impacts should be tested against environmental objectives

Occurs in implementation of plans via resource consent process

There is no environmental report available but report prepared by council staff

Board of inquiry reviews and endorses SEA report

Strong emphasis on consultation and public participation in RMA

General requirements; sometimes to be shifted to project level Monitoring of policies required explicitly by the RMA

South Africa

Performed on a voluntary basis: screening list

Description provided in Guidance prepared by DEAT, scoping is considered a key process elements

Guidance document propose development of mitigation strategy

Separate SEA report

SEA outcomes are subjected to public and independent review

Long tradition of participation and consultation

Provisions are stipulated in law

PPPs should be assessed against sustainability frameworks


Hong Kong

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Table 3.5 continued

No provisions for scoping, but performed according to SEA guidelines

Required, impacts are assessed against environment baseline data

Feasible mitigation options

UK

Based on Screening list

Specified in the Environmental Assessment Regulations 2004

Impacts of plans must be identified, described and evaluated but assessment against environmental criteria; not compulsory

Mitigation measures to prevent, reduce and offset significant environmental effects of plan must be described in environmental report

USA

SEA is determined on a case by case basis

Regulations provide good framework for scoping

Impacts should be assessed against environment baseline data whether by quantitative or qualitative methods

Many mitigation measures to solve environmental problems built into plans early in process

Separate SEA report

The EPA decides on SEA report

Public involvement is required in regulations

Lack of provisions

Environmental report should include baseline, predicted impacts, preferred alternative, environmental considerations, mitigation and monitoring

Reviews requirements are not elaborated in the regulations and guidance (A quality assurance checklist is provided for use by all those involved in SEA)

Environmental report should be made available to the public and is posted online prior to the adoption of the proposal

Monitoring is required; objectives are clearly addressed in regulations

Environmental impact statement must be prepared

EISs are well established and distributed widely to other agencies and public.

Both consultation and public participation are integral to the use of PEISs

Monitoring programme is required in NEPA

Source: Compiled by the author from: (Bass et al., 2001, 2005; Buuren and Nooteboom, 2009; CEAA, 2004; Chaker et al., 2006 a,b; Dalal-Clayton and Sadler, 2005; DEAT, 2004b ; Eck and Verheem, 2006; El-Jourbagy and Harty, 2005; EPA, 2003, 2006; EPD, 1998, 2006; FACITC, 2006; Fischer, 2007; Liou and Yu, 2004; Liou et al, 2006; Memon, 2005; Nobel, 2009; ODPM, 2005; Powell, 2005; RMA, 1991; Rossouw et al., 2000; UNDP, 2004; Zhou and Sheate, 2009; Zhu et al., 2005).


Mandatory list (limited)

72

Taiwan

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Table 3.5 continued

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(i) A Screening list identifying which strategic initiatives should be subject to SEA (as in China, Lebanon, the Netherlands, South Africa, Taiwan and the UK). For example, in the UK, certain categories of programmes and plans (agriculture, forestry, fisheries, energy, industry, transport, waste management, water management, telecommunications, tourism, town and country planning and land use) which are likely to have significant environmental effects are identified and are required to undertake an SEA (ODPM, 2005). Similarly in Taiwan, the scope of SEA is defined by a mandatory screening list which requires that SEA be applied to designated PPPs with potential adverse

significant

environmental

impacts. The

list

includes

plans/programs in nine policy themes as listed in Table 3.6.

Table 3.6: SEA mandatory screening list in Taiwan Policy

Plan/programme

Industrial

Location of industrial parks

Mineral development

Development and supply of sand/rock

Water resources development

Water resources development and planning

Land use

Development of golf courses Transformation of land for agricultural uses and conservation for non-agricultural uses Reducing the reserving areas for quality and quantity of water supplies

Energy

Energy structure

Livestock

Pig raising

Transportation

Railroad and highway infrastructure

Waste management

Household waste management

Radioactive nuclear waste management

Management re-treatment of the nuclear waste generated by nuclear power plants Source: EPA, 2003

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11

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(ii) Set of inclusive criteria (as in Canada, Hong Kong and New Zealand). For example, in the Canadian SEA system, two basic criteria (political condition and physical condition) are set to evaluate whether a given PPP proposal needs SEA or not. The first criterion is “the proposal will be submitted to an individual Minister or Cabinet for approval”. The second criterion is “implementation of the proposal may result in important environmental impacts, either positive or negative” (CEAA, 2004). Consequently, those proposals approved by authorities whose administration level is lower than minister or cabinet level and those proposals that physically may not result in important environmental impacts do not need to apply SEA. In like manner, the Hong Kong EIA Ordinance requires EA to be conducted for major development PPP proposals of more than 20 hectares or involving more than 100,000 people (Au and Lam, 2005). In New Zealand, screening is more comprehensive as the RMA, as amended in 2003, states that an evaluation "must be carried out" for any proposed plan, policy statement or regulation, in addition to including where any changes or variations are intended (RMAA, 2003). (iii) Case-by-case (as in the USA), where SEA is determined on a case by case basis. First, an agency will see if a major action is already addressed under existing NEPA coverage. For instance, the action may already be encompassed

under

an

Environmental

Assessment

(EA)

or

an

Environmental Impact Statement (EIS). If the action is covered under a NEPA document, then the preparer should review the action to see if there are any substantial changes or new information. If so, then a supplemental EIS should be prepared (El-Jourbagy and Harty, 2005; Bass et al., 2001). The second step is to determine if a categorical exclusion applies. A categorical exclusion is a previously determined finding that the action will result in no significant impact. If a categorical exclusion does not apply then the next step is to determine if a significant environmental impact will occur. If the agency is certain that there will likely be a significant

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environmental impact, then they must prepare an Environmental Impact Statement. An EIS is a detailed written statement concerning the environmental impacts of the proposed action and any adverse environmental effects which cannot be avoided. If the agency is not certain that there will be a significant environmental impact, then they must prepare an Environmental Assessment (EA). An EA is basically a briefer version of an EIS, a preliminary review to see if there are indeed significant environmental impacts. Upon an EA being completed, the agency may decide that there are significant environmental impacts and thus an EIS needs to be completed. An EIS is an in-depth study on environmental impacts and includes all of the provisions required in EA. Depending on the results of the EIS, the action for the proposal is considered. Figure 3.1 illustrates the screening procedures step by step.

Is action already covered in a previous NEPA document? NO

YES

Does a categorical exclusion apply? NO

YES

Will the action result in significant environmental impacts? NO

YES Conducting EA

If there are significant impacts No significant impacts Preparation of EIS

Action

ScopingFigure 3.1: A step-by-step flowchart of screening process in NEPA in the USA Source: Adapted from (El-Jourbagy and Harty, 2005)

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Scoping determines the likely extent and level of detail for the assessment and the information to be included in the SEA and the environmental report (Therivel and Partidario, 1996). Although scoping is not legally required in China and Taiwan, the SEA guidelines in China suggests that scoping is a key stage in the SEA process and provide the responsible agency with what should be identified in this stage, unlike the Taiwanese SEA guidelines which do not stipulate provisions with regards to conducting scoping process. Generally, the scoping stage and determining the content of the SEA is provided through one of the following: (i) Specific provisions in legislation (as in New Zealand, the UK and the USA). For example, the Resource Management Act (RMA) 1991 in New Zealand specifies in Schedule 4 the matters that must be considered when preparing an assessment of effects on the environment (Box 3.1) (RMA, 1991). By the same token in the UK, SEA legislation identifies the key issues and the level of detail to be addressed in SEA. Then the assessment can focus on the main environmental aspects and set the framework for developing targets (Regulations 2004 Art.12). (ii) Guidance form (as in Canada, China, Lebanon and South Africa). While The Canadian Cabinet Directive, for instance, generally states SEA should consider the scope and nature of likely environmental effects, the guidelines detail and determine which information will be needed for SEA. This situation is similar in China, Lebanon and South Africa, where SEA guidelines provide a set of advisory details whereby the responsible agency has discretion for determining how they conduct SEA scoping (Zhou and Sheate, 2009; UNDP, 2004; DEAT, 2004 respectively).

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Box 3.1: Scoping provisions in New Zealand SEA system Resource Management Act 1991 Schedule 4 (section 1) Matters that should be included in an assessment of effects on the environment  Subject to the provisions of any policy statement or plan, an assessment of effects on the environment should include: 1. a description of the proposal; 2. where it is likely that an activity will result in any significant adverse effect on the environment, a description of any possible alternative locations or methods for undertaking the activity; 3. an assessment of the actual or potential effect on the environment of the proposed activity; 4. where the activity includes the use of hazardous substances and installations, an assessment of any risks to the environment which are likely to arise from such use; 5. where the activity includes the discharge of any contaminant, a description of: I. the nature of the discharge and the sensitivity of the proposed receiving environment to adverse effects; and II. any possible alternative methods of discharge, including discharge into any other receiving environment: 6. a description of the mitigation measures (safeguards and contingency plans where relevant) to be undertaken to help prevent or reduce the actual or potential effect; 7. identification of the persons affected by the proposal, the consultation undertaken, if any, and any response to the views of any person consulted; 8. where the scale or significance of the activity's effect are such that monitoring is required, a description of how, once the proposal is approved, effects will be monitored and by whom.

Source: RMA, 1991

(iii) Advice by a third party (as in Hong Kong and the Netherlands), where consultation with the competent authority or an independent expert committee clearly plays a role in providing good framework for the scoping stage and in determining the extent and level of detail for the assessment to be included in the SEA (EPD, 2006; Dalal-Clayton and Sadler, 2005; Chaker, 2006a respectively).

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Impact assessment The impact of assessment is a part of the rational for SEA, and a major perceived benefit of the process. Indeed, SEA definition adopted by Sadler and Verheem (1996), as a systematic process for assessing the environmental consequences of proposed strategic actions, identifies the value and importance of this stage within the SEA process. Although many different methods of assessing significance are evident, two broad approaches can be identified (Sheate, 2001; Partidario, 1996). The first approach follows the EIA model by which proposals can be assessed against empirical data to predict the likely difference that certain actions would make to a baseline environment (as practised in China, Hong Kong, Lebanon, the Netherlands, South Africa, Taiwan and the USA). In contrast, in Canada, New Zealand and the UK, an approach akin to the policy model is used, which requires proposal to be tested against environmental objectives, to see whether or not they are likely to contribute to, or work against, the achievement of those objectives. Mitigation The proposing of mitigation measures is seen as good practice as it increase the chances of enhancement being made to the environmental performance of the proposed strategy during the political decision making process (Therivel, 2004). Although all countries stipulate clear requirements for mitigation measures, few details are provided on how to set up a sequence for properly selecting mitigation measures. For this issue, the first concern is what approach should be considered in mitigation. In this context, the UK SEA system sets up a sequence for properly selecting mitigation measures as follows (see the SEA Directive Annex I): 

Preventing adverse environmental effects;



Reducing the magnitude of negative effects; and



Setting out measures to offset the negative effects.

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The Canadian, Lebanese and South African SEA systems do not include prevention as a potential mitigation measure, but they suggest that mitigation should consider opportunities that can enhance potential environmental benefits (CEAA, 2004; UNDP, 2004; DEAT, 2004 respectively). In China, measures that can prevent or reduce effects should be considered and documented in SEA reports (Zhou and Sheate, 2009). Thus, based on this experience, approaches for mitigation could be: (i) Avoiding the implementation of the action (either completely or in certain areas which are considered to be most sensitive to the action), (ii) Reducing or minimising the negative impacts, or (iii) Enhancing the positive impacts at the expense of negative ones. SEA report The preparation of a report and a clear and concise summary are core elements of SEA (Brown and Therivel, 2000). The SEA report documents the findings relating to the proposed strategic action’s predicted impacts on the environment. It provides the basis for stakeholder consultation and eventual evaluation of SEA efficiency in influencing strategic decision-making (Therivel, 2004). All systems except New Zealand require some forms of documentation of SEA findings. In New Zealand, neither a distinguishable environmental section in strategies nor separate environmental report is required (Fischer, 2007). In Canada too, the Cabinet Directive states that “a separate environmental impact report is not required” (the Cabinet Directive, p.7), but in these cases of the SEA report should be included as a chapter of the report of the proposed strategic proposal or be completely integrated within the discussion of the proposal Other SEA systems reviewed require the responsible agency to submit a separate report which includes SEA findings and all relevant aspects. For example, in the USA system, an Environmental Impact Statement must be prepared. An EIS is a "detailed written statement concerning the environmental impacts of the proposed action ….." (El-Jourbagy and Harty, 2005). The relevant

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regulations in the UK does not state whether the SEA report should be integrated within a proposal plan report or be a completely separate report. But in practice, the UK adopts the latter report form (Zhou and Sheate, 2009). The content of the SEA report is often described by guidelines, which stipulate a set of contents that formal SEA reports should generally cover. For instance, the Lebanese SEA guideline determines the minimum requirements for SEA report as shown in Box 3.2. In contrast, in Canadian SEA system, the responsible agency should determine the content and extent of the public statement according to the circumstances of each case (the Cabinet Directive, p.7). Box 3.2: The minimum requirements for SEA report in Lebanon 1. Cover Page The cover page must include the following: • This report was prepared by *Name of Proponent & Outsourced Consultant if relevant+ • Date 2. Executive Summary 3. The Proposed Plan or Programme 4. Assessment of Baseline Conditions 4.1. State of the Environment & Natural Resources 4.2. Influence of the Socio-Economic Situation on the Environment 4.3. Feedback from Concerned Public Institutions & Results of Public Participation 5. Possible Alternatives for the Proposed Plan or Programme 6. Assessment of Impacts 7. Coherence of the Selected Plan or Programme with Legal, Institutional & Planning Frameworks 7.1. Consistency of the Plan or Programme Subcomponents 7.2. Compatibility with the Legal, Institutional & Planning Frameworks, & Other Related Initiatives 7.3. Evaluation of Institutional Capacities 8. Selection & Justification of the “Most Suitable Strategic Option” 9. Environmental Management Plan 10. Integration of SEA Findings in the Proposed Plan or Programme 11. Technical Appendices 12. Administrative Appendices

Source: UNDP, 2004

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Review The review step is a means for controlling the quality of the presented information in SEA report which illustrates what was undertaken in SEA process. However, an external and transparent review stage by the competent authority or independent body, with publicly available findings, is evident and clear in most systems evaluated (see Section 3.3.2) with the exception of Canada. The Canadian Cabinet Directive and its Guidelines only state that the strategic environmental assessment should be forwarded to departmental evaluation and review officers so that future evaluations of the policy, plan or program initiative can incorporate the outcome of the analysis into the evaluation framework (the Cabinet Directive, p.8). Consultation and public participation Public participation, as defined by IAP2, is the process by which an organization consults with interested or affected individuals, organizations, and government entities before making a decision. Public participation is two-way communication and collaborative problem solving with the goal of achieving better and more acceptable decisions. With respect to the studied sample, all systems have introduced various mechanisms to involve the public, as appropriate. Approaches of participation can classified as below:  To inform the public: this includes public relations without any possibility for

the public to give statements or to take influence on the decision-making process as practised China. Article 5 of the Chinese EIA Law states that “the state encourages relevant organisations, experts and the public to participate into EAs” (SEPA, 2003). However, this encouragement is a mere formality from the perspective of practice. The most recent guideline merely suggests some possible public participation methods rather than establishing a genuine mechanism through which the public can be properly informed and then are really able to participate in SEAs, make contributions, influence the decision making and help environmental protection (Zhou and Sheate, 2009).

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 To involve the public: this offers the opportunity to the public to express its

opinions in an active manner. This involvement usually happens after completing the report (as practiced in Canada, Hong Kong, South Africa, and Taiwan). For Example, the Canadian Directive states that departments and agencies shall prepare a public statement of environmental effects when a detailed assessment of environmental effects has been conducted through a SEA (CEAA, 2004). The Canadian guidelines point out that through clearly understanding the concerns of the public the quality and credibility of strategic action proposals can be strengthened; also it provides various methods which can facilitate collecting information from the public. In Hong Kong, the applicant shall, as soon as reasonably practicable after he has been notified that an environmental impact assessment report meets the requirements of the environmental impact assessment study brief, make the report available for public inspection (EPD, 1998). Similarly in South Africa, NEMA stipulates that there should be an adequate and appropriate opportunity for public participation in decisions that may affect the environment (DEAT, 2004a).  To cooperate with the public: this refers to a decision-making process

between equal partners and includes the possibility for jointly developed solutions (as in the Netherlands, New Zealand, the UK and the USA). For example, the Dutch SEA system requires public involvement during the scoping stage and it is extended prior to decision making to include the SEA report. This will assure stakeholders and the public that environmental factors have been appropriately considered when decisions are made (Thissen and Heijden, 2005; Buuren and Nooteboom, 2009). Similarly, New Zealand has a tradition of transparent and cooperative planning. Consultation and public participation are important elements of public decision making processes (Fischer, 2007). Regarding the UK system, SEA does not clearly determine the exact time when the public is allowed to

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participate, “early opportunity” or “early stage” public participation are recommended. Apart from the recommended early opportunity for public input at least, the draft plan of a proposed strategic action and its environmental report should be made available to the public (Regulations 2004 Art.16/4), also there is a requirement that the opportunities for the public to participate should be effective (Regulations 2004 Art.13/3). Monitoring Monitoring the implementation of the policy, plan or programme is envisaged as a key stage in SEA process. The information gathered as a result of monitoring enables the responsible authority to track the environmental effects of the PPP, gauge the effectiveness of mitigation measures, identify unforeseen effects and manage any uncertainty encountered in the assessment process. Although few details are provided on the approach or objective of monitoring, the review identified that different approaches to monitoring could be (Therivel, 2004; Therivel and Partidario, 1996): (i) Identifying new adverse effects and their management (track unpredicted effects and manage them), which is the most important objective identified in literature. For example, the UK system clearly addresses the objective of monitoring which is to identify unforeseen adverse effects at an early stage to be able to undertake appropriate remedial action (Regulations 2004 Art.17/1). In the South African SEA, NEMA states that adequate provision should be made for the ongoing management and monitoring of the impacts of the activity on the environment throughout the life cycle of the activity (DEAT, 2004a). (ii) Achievement of PPPs objectives (to ensure that the objectives of the proposed action will be obtained), for example, RMA in New Zealand requires every local authority to monitor the efficiency and effectiveness of policies, rules, or other methods in its policy statement or its plan (RMAA, 2003).

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(iii) Verification of predicted impacts and success of mitigation measures (to certify whether negative impacts are being addressed and being reduced), such as, the EIA ordinance in Hong Kong requires checking of the implementation and completion of mitigation measures to be undertaken by qualified personnel (EPD, 1998) In some cases, the requirement for monitoring are only very broadly set out, as in the Canadian SEA system which addresses the objective of monitoring, as “to ensure sustainable development” (CEAA, 2004). This means that the monitoring should include all the listed objectives.

3.4 A generic decision-making model for designing SEA systems Based on contents documented in the previous chapter, in particular the idea presented of context factors supporting the potential for SEA in Section 2.6, the SEA structural elements in Section 2.7, and the comparative assessment of the selected countries (see Section 3.3), which identified different alternatives related to SEA elements, a generic decision-making model for designing SEA has been developed. The proposed model assists with two primary tasks: (i) to identify the context factors, which measure to what degree a country has the capacity to introduce SEA, and (ii) to set up a framework of alternatives related to the SEA core structural elements, which a country may wish to consider in developing its approach to SEA. Figure 3.2 illustrates the concept of the model while Table 3.7 provides in further detail a framework of the proposed model.

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Context factors SEA legislation What are the legislative provisions for SEA?

SEA administration

SEA process

Structural elements

Figure 3.2: The concept of the proposed model Source: the author

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Chapter 3


Table 3.7: The framework of the proposed model Context factors Factors

Structural elements

Criteria

Elements

Alternatives

SEA legislation Political will

-

-

Legal mandate

-

-

Environmental policy or plan Official statements in support of the consideration of environmental issues at the strategic level National environmental charter or code Integrated environmental law Mandatory EIA legislation

-

Legal basis

-

Exclusive provisions for SEA Integrated provisions with EIA legislation Provisions integrated with other sectoral legislation


-

National Regional Local

SEA tiering

-

Policy Plan programme


-

Fully integrated Partially integrated Separate

SEA administration Environmental institutions’ capacity

-

-

Environmental education and awareness

-

-

A well-defined institutional structure responsible for the environment Ministry of the environment Independent environmental protection agency Regional environmental planning and decentralisation Clear competences/ responsibilities Co-operation and Coordination

SEA

A formal education system at different stages and levels of education Environmental awareness dissemination

SEA inspector

initiator

SEA conductor

-

Proponent agency Competent agency (Environmental authority)

-

Proponent agency Competent agency (Environmental authority) Independent body

SEA reviewer

-

86

Competent agency (Environmental authority) Independent reviewer Internal department Competent agency (Environmental authority) Independent inspector Legal or funding threats

Chapter 3


Table 3.7 continued Context factors Factors

Criteria

Structural elements Elements

Alternatives

SEA process EIA implementation

Technical knowhow

Requirements for EIA: - mandatory screening - mandatory scoping - baseline data - impact prediction - mitigation - monitoring - independent review - Mandatory public participation - Environmental NGO consultation - Monitoring -

-

EIA guidelines A professional association for environmental assessment consultants Training support

Screening

-

Set of inclusive criteria Screening list Case-by-case

Scoping

-

Specific provisions in legislation Guidance form Advice by a third party

Impacts assessment

-

Follow EIA model Akin to policy model

Mitigation

-

Avoiding the implementation of the action Reducing or minimising the negative impacts Enhancing the positive impacts

SEA report

-

Separate report Integral with proposal document

Review

-

External review Internal review

Consultation and public participation

-

Informing the public Involving the public Cooperation with the public

Monitoring

-

Identifying new adverse effects and their management Achievement of PPPs objectives Verification of predicted impacts and success of mitigation measures

-

-

Source: The author

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3.4.1 SEA legislation [What?] The legislation component of the proposed model considers the overall legal context within which SEA provisions may be adopted. Sadler (1996) notes that an SEA system can only be fully understood when it is comprehensively applied in relation to the national framework of decision making within which it operates. With this respect, two context factors should be investigated. Firstly, the political will that measures the degree to which the country is able to put in place appropriate SEA legislation; this depends on the status and extent to which environmental issues are prominent on the political agenda. This may be confirmed by the promulgation of environmental policies or plans, or evident in official statements in support of the consideration of environmental issues at the strategic level. The publication of a national environmental charter is also considered one of the most important indicators of political support. Secondly, evidence that a country has the ability to put in place an appropriate SEA legislation may be related to a legal mandate which is evaluated by whether the country already has integrated environmental protection legislation or an EIA system in place. With regard to core structural elements, the proposed SEA legislation component consists of five key elements, namely, legal basis, decision-making level, tiering specification, and integration with planning processes. The proposed model provides the options and alternatives by which legislative provisions for SEA could be established. Any country should identify which of these alternatives conform to its specific political and legal traditions. Firstly, the legal basis of SEA could be identified through exclusive environmental provisions (e.g. legislation, regulations) or integrated through either EIA law or through sectoral acts. SEA may be mandatory for all administrative levels (national, regional and local levels), or for two levels (i.e. any combination of these levels), or may be obligatory for one level which is important according to the status of strategic environmental decision making and the potential for SEA.

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With respect to tiering, SEA could be performed for the three main tiers, namely PPPs, or for two tiers (i.e. any combinations of PPPs), or solely for one tier depending on the significance of these tiers in the planning process. In addition, the integration between SEA and planning procedures is very important to help SEA in achieving its benefits. SEA legislation should identify to what degree the integration between SEA and planning process should be made, and when this integration should be considered. 3.4.2 SEA administration [Who?] The administration component of the proposed model considers the institutional and organizational structures and arrangements that facilitate the potential and application of SEA. With this respect, two context factors should be investigated. Firstly, the institutional capacity that measures the degree to which the country is able to put in place appropriate SEA administration; this depends on the effective establishment of a Ministry of Environment or an independent executive agency responsible for environmental protection. It is argued that institutional capacity is also associated with power decentralisation and the presence of regional and local environmental planning responsibility. Such institutional effectiveness may be checked by considering the co-operation between different authorities involved in environmental issues, or clear competences and responsibilities of such authorities. One more context factor that is likely to affect a country’s ability to put in place an appropriate SEA administration is the extent to which environmental education and awareness is highly considered. Practitioners in SEA also need to be well informed about the principles, concepts, and methods for SEA itself, and most importantly, they have to be advised on how to make SEA a simple, rapid, and effective way of ensuring that there will be benefits from conducting SEA including better environmental performance. With regard to core structural elements, four elements (initiating, conducting, reviewing and inspecting SEA) have been identified as important. The model presents the possible authorities that may be responsible for each

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stage, based on the selected SEA experience reviewed. While initiating SEA may be the responsibility of either the component authority, which is responsible for environmental issues, or the proponent authority, one of them may also conduct the SEA process or it may be conducted by an independent committee. With respect to reviewing SEA, it may be performed by the component authority or an independent agency, such as an expert registered with the environmental agency. Alternatively, SEA reports may be forwarded for internal departmental evaluation and review. Finally, the authority responsible for inspecting SEA results and findings may be the competent authority or an independent inspector. Each country may choose those who are involved in its SEA system according to its administrative and organisational context. 3.4.3

SEA process [How?]

The SEA process is the last component of the proposed model. The degree to which each country is able to set an appropriate SEA process can be influenced by two main context factors. The first is the EIA process and the degree to which the country has an effective EIA implementation and practice. The mandatory requirements of EIA and the commitment to implement these requirements in a robust way provide a good starting point for the development of an effective SEA process. Secondly, technical know-how and support associated with EIA are also good indicators of the country’s ability to adopt an effective SEA process. The availability of technical guidelines and sufficient training support and skilled personnel are important factors to be considered here. With regard to core structural elements, there are eight elements identified as constituting ‘good practice’ within SEA processes: screening, scoping, impact assessment, mitigation, SEA report, review, consultation and public participation, and finally monitoring. The model provides the options and alternatives by which procedural provisions for SEA could be established, based on various approaches identified from the SEA experience reviewed. The country that wishes to elaborate an SEA process may choose any of these alternatives as best suits their context.

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3.5


Conclusion In this chapter, 10 systems from throughout the world, where SEAs have

been routinely applied for some considerable time, have been reviewed. Based on the earlier findings, the research emphasises that there cannot be one SEA model that can fit all planning processes and planning systems. SEA systems vary due to national particularities in legal and administrative structures, and procedural arrangements. While certain key elements will be reflected in every SEA system, the detailed approach will differ, reflecting different planning and assessment practices and requirements, as well as the political and cultural traditions of the organisations responsible for PPPs and associated SEA. Each planning system has to establish its own SEA system and process. The international practice review confirmed this view that SEAs are applied in different ways and a range of different approaches have been distilled and incorporated into a generic model for designing SEA systems (see Figure 3.3). This model will be used to review the Egyptian context in order to unveil potential opportunities and obstacles for the adoption of SEA, as will be presented in the next part of the thesis.

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Political will

SEA legislation

Legal mandate

What ? Administrative level

Institutional capacity

SEA initiator

SEA conductor Scoping

 Provisions in law  Guidance form  Advice by third party

Impact assessment

 Follow Policy model  Follow EIA model

Mitigation

Report  Competent authority  Proponent authority  Independent agency

 Avoid  Reduce – ve impacts implementation Enhance +ve impacts   Separate SEA report  Integrated with proposal

SEA reviewer Public participation

Review

 Competent authority  Independent agency

 Inclusive criteria  Screening list  Case by case

 Information  Involvement  Co- operation  External review  Internal review

SEA inspector Monitoring

 Achieving objectives  Verify predicted impacts  New negative impacts

Context factors SEA structural elements SEA structural elements alternatives

Figure 3.3: The generic model for designing SEA systems Source: the author

92

process

Screening  Competent authority  Proponent authority  Independent agency

Fully integrated Partially integrated Separate

EIA implementation

 Competent authority  Proponent authority

Who ?

SEA administration

Environmental education & awareness

Cross- sectoral act

Policies Plans Programmes

National Regional Local

? SEA process

EIA integrated

Integration

Technical know-how

Exclusive provisions

Tiering

How ?

Legal basis

Chapter 4

Case Study Design

CHAPTER 4 CASE STUDY DESIGN

C

hapters 2 and 3 of this thesis have identified and developed a generic decision making model for designing SEA systems which will now be tested and evaluated through the case study of Egypt. Chapters 4 to 7

present the case study work. This chapter, however, aims to clarify the detailed methodology used in the case study. Firstly, a general profile of the case study strategy will be illustrated. Secondly, the approaches to data collection will be identified. Then, the framework of the fieldwork is provided. Finally, difficulties faced during this phase of the research are also identified. 4.1

The Structure of the Case Study The case study entailed several activities; an overview is presented in Figure

4.1. Firstly, data collection methods (see Sections 4.2) are identified. Then, a framework of the fieldwork is provided (see Section 4.3 and 4.4). Chapter 5 then provides an overview of the current urban planning framework in Egypt; reviews urban development strategies; and discusses legislative and institutional mechanisms controlling urban management in Egypt. Chapter 6 reviews Egypt’s environmental

management

framework;

examines

the

evolution

of

environmental policy making; discusses the environmental legislation and institutional structure; and evaluates the EIA system and its application in Egypt. Subsequently, Chapter 7 presents the interpretations of interviews conducted to evaluate the Egyptian context against the generic SEA design model and criteria.

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Finally, a proposed SEA system for Egypt's context and an integration framework with the urban development planning process will be provided after further analysis of data collected (Chapter 8). The Approach to Data Collection (section 4.2)

Framework of the Fieldwork (section 4.3 and 4.4)

Case study background

Overview of the Egyptian Urban Planning context (chapter 5)

Overview of the Egyptian Environmental Context (chapter 6)

Testing the generic model for designing SEA (chapter 7)

Data analysis

Evidence from Documentary Data

Evidence from Interviews

Evidence from Documentary Data

Cross-checking

Proposals for an Egyptian SEA framework (chapter 8)

Figure 4.1: The Structure of the Case Study Source: The author

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4.2

Case Study Design

The approach to data collection Evidence for case studies may come from six sources: documents, archival

records, interviews, direct observation, participant-observation, and physical artefacts (Yin, 2003). Documents and interviews are considered to be the main sources of case study evidence in this research. This section details how these have been approached. 4.2.1 The approach to documentary analysis Literature review was still the major research method adopted. But the research focus was moved away from SEA theory and international application to the Egyptian context in which SEA would sit. Literature review is likely to be relevant to any case study topic, and this type of information can take many forms: letters, agendas, minutes of meetings, administrative documents, reports, newspaper clippings, etc. (Yin, 2003). Documents can be direct sources of evidence and can be utilised to corroborate and augment evidence from other sources. Other than journal papers, conference proceedings, related books and internet sites, the materials reviewed included almost all administrative documents, legislation and regulations, a series of plans, proposals, research programmes and reports, and other relevant documents related to urban planning development and environmental policy making and practice in Egypt. The aim of the stage was to answer the research questions Q6, Q7 and Q8.  Q6. What is the current status of urban planning and development in

Egypt?  Q7. What is the current status of environmental policy and management

in Egypt?  Q8. What is the potential for SEA to be adopted in Egypt?

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The study was further separated into three sets of sub‐research topics for easier study management, as presented in Table 4.1: Table 4.1: Sub-research topics related to the case study Research question Research Q. 6

Research Q. 7

Research Q. 8

Research topic           

Urban development within the Egyptian context The legislative framework for the Egyptian urban planning The institutional framework for the Egyptian urban planning Planning process Environmental concerns in the Egyptian development context The environmental legal framework in Egypt The environmental institutional framework in Egypt The EIA system in Egypt Recognition and current understanding of SEA Context factors supporting the adoption of SEA in Egypt Appropriate elements of the expected SEA system Source: The author

The findings of the above researches are documented in Chapters 5, 6 and 7. 4.2.2 The approach to interviews Evidence from interviews may be less exact compared with documentation, but it can focus directly on the case study topic which may not be well documented. Yin (2003) argues that interviews provide an opportunity to gather essential sources of case study evidence from specific interviewees, who bring insightful information and thought-provoking answers into a situation. In addition, interviews are effective in obtaining qualitative information to augment understanding and fill gaps of knowledge (Yin, 2003). The term ‘qualitative interviewing’ is usually intended to refer to an in-depth form of interviewing (Mason, 2002). As suggested by Mason, the questions that need to be asked for qualitative interviewing are, ‘what might I want to use interviews for?’, ‘why might I want to speak or interact with people to generate data?’, ‘why might I want to use qualitative interviewing?’, ‘why this style of approach rather than a more structured form of interviewing or questionnaire?’.

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The answers to some of these questions in relation to this study suggest that people’s knowledge, views, understandings, interpretations and interactions will prove meaningful in answering the research questions. Interviews can be classified into three types, structured, semi-structured and non-structured (Frankfort-Nachmias and Nachmias, 1996). The features of each type are shown in Table 4.2. Table 4.2: Features of interview Types Interview Type

Features

Structured interviews

   

Semi-structured interviews

  

Non-structured interviews

  

Dominated by interviewer The number, order and statements of the questions are fixed No explanation provided Record the responses from the interviewees without further probing In principle, dominated by interviewer according to the preset topics or questions but allows interviewees participation The order and statements of questions can be adjusted Interviewer is allowed to provide more information to clarify the questions Dominated by interviewees No specific questions, procedures or forms, interviewer can adjust to changing circumstance Interviewees are encouraged to speak their views and experience in their own ways. Allow interviewees to express the issues they value, how they think about the issues and how they interpret the meaning of the issues Source: Frankfort-Nachmias and Nachmias (1996)

For the purpose of this research a semi-structured interview was considered the logical choice. It was important to acquire both a fixed range of answers for quantitative analysis as well as qualitative information to gain a more in-depth understanding of the subject and discover interviewees’ own interpretations of the issues under investigation. Interviews were conducted in two stages (Summer 2007 and Summer 2008) as detailed in the following sections.

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4.3

Case Study Design

The first stage of interviews The first stage of interviews (Summer 2007) was pilot interviews aiding the

formulation and construction of a set of questions for the final interviews. The aim of the pilot interviews was to develop an understanding of the context factors outlined in the generic model related to Egypt's current environmental context; the issues included the current environmental policies and objectives that reflect to what extent political will supports environmental perspectives, the legal mandate and the current environmental regulations, the institutional frameworks regulating the environmental issues, environmental awareness and consciousness in the Egyptian society, the performance of EIA in planning processes and its associated challenges, and finally, technical know-how of the ability to regulate EA activities. The questions were of a broad nature to allow the interviewee to express his or her ideas in a flexible manner. The key topics which were discussed are shown in Box 4.1. The Questions used in the 1st set of interviews are presented in Appendix 2. Box 4.1: The key topics for pilot interviews  Political will supporting strong environmental perspectives.  Legal mandate and the current environmental regulations.  Environmental institutions' capacity and the administrative structure responsible for environmental issues.  Environmental awareness and consciousness in the Egyptian society.  EIA implementation and its performance and associated challenges.  Technical know-how and the ability to control and manage EA activities. Source: The author

For this stage of interviews, the interviewees were selected to represent a range of backgrounds of people who were involved in environmental management in Egypt. A total of eight interviewees were met at this stage. These included members from the Egyptian Environmental Affairs Agency (EEAA), EIA practitioners, and government commissioned consultants and academics (see

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Appendix 1). The reason for choosing people from a variety of backgrounds was to gain various perspectives on the mentioned topics. The interviews combined both semi-structured and non-structured elements. Each began with a non-structured discussion that sought to get the first order responses from the interviewees, followed by detailed probes to obtain more in-depth information, and to explore their opinions about SEA adoption before moving onto the more formal investigation of the preset topics. Moreover, it is important to present the implications of the pilot interviews, in this chapter, as these are crucial in understanding the Egyptian environmental context in which SEA would be adopted. The interviews revealed a set of key issues related to Egyptian context factors, which may influence the consideration of environmental issues at the strategic level, and then the adoption of SEA in the Egyptian context. These can be broadly categorised as presented in Table 4.3. Appendix 2 provides the question of the first stage of the interviews. Table 4.3: Significance issues for SEA application Context factor Political will

Legal mandate Environmental institutions' capacity Environmental education and awareness EIA implementation Technical knowhow

Issues  Weak political support  Unclear environmental policies and objectives  Lower priority of environmental issues in decision making process  Lack of mandatory provisions  Insufficient enforcement  Poor co-operation and coordination  Non-integrated planning system  Unclear responsibilities and competences  Lack of agreement to the results and outcome      

Ineffective public participation Lack of systematic review criteria Weak follow-up and monitoring Insufficient advisory guidelines Uncertain and unreliable methodologies Lack of training support Source: Frankfort-Nachmias and Nachmias (1996)

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4.4

Case Study Design

The second stage of interviews The second stage (Summer 2008) evaluated environmental policy context

against the generic model for designing SEA systems in order to reveal the potential for adopting SEA in the Egyptian context (see Chapter 7). In order to find valuable information, the first thing is to find the information from the right sources to answer the research questions. To get the right sources, a survey framework has to be clarified, and then the sampling method and size was selected, as discussed in the following sections. 4.4.1 Survey population and sampling frame The survey population for the second stage of interviews included front-line planners and decision-makers who were directly involved in environmental policy making and management, and urban development strategies. In Egypt, at the national level the main organisations involved in these activities are the Egyptian Environmental Affairs Agency (EEAA) and the General Organisation for Physical Planning (GOPP). EEAA is nationally responsible for environmental policy and management processes; GOPP is the national urban development strategy proponent. In order to identify the survey population and sampling frame, it was necessary to clarify the structure of the two agencies and their responsibilities, and identify those parts most directly involved with environmental assessment and development strategies. This was done by examining the official organisation descriptions. The study also included regional authorities in Egypt. Egypt is divided into seven regions; this study selected three regions, Greater Cairo, Delta and the Suez Canal regions as the focus of attention. After examining the organisational structures and descriptions of the urban and environmental agencies, departments were identified that were directly responsible for urban planning and strategy development or environmental assessment policy and process. The selected national and regional departments are shown in Table 4.4.

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Table 4.4: Initial selection of departments and sections for the interviews Agency Name

Department Name

Section Name

General Organisation for Physical Planning (GOPP)

 General administration of planning and urban development

 Planning and urban development section

Egyptian Environmental Affairs Agency (EEAA)

 Rural development planning section  General administration of infrastructure and utilities planning

 Transportation planning section

 General administration of planning studies and research

 Environmental planning studies and research

 Administration of environmental management

 Environmental impact assessment (EIA) unit

 Utilities planning section

 Environmental development section  Administration of environmental quality

 Environment monitoring

 Sustainable development committee

 Evaluation advisory committee

Greater Cairo GOPP regional branch office

 Administration of planning and urban development


Greater Cairo EEAA regional branch office

 Environmental management

 EA section

Delta GOPP regional branch office



Delta EEAA regional branch office


 EA section

The Suez Canal GOPP regional branch office



The Suez Canal EEAA regional branch office


 EA section

Source: The author

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The criteria used to identify suitable departments and sections for the survey are listed below. 

Is the department or section directly responsible for urban development strategies?



Is the department or section directly responsible for environmental policy and management?

To avoid incomplete target selection, the researcher also asked for advice from the interviewees about which departments or sections should be included in the survey. The approach is shown in Figure 4.2. Examine the organization structure and descriptions of the planning and environmental agencies

List all departments in environmental agencies which are responsible for environmental management

List all departments in urban agencies which are responsible for planning and development strategies

Criteria check Sampling framework

Figure 4.2: The approach to identify suitable department and sections for survey Source: The author

4.4.2 Interview sampling method Sampling can be classified into probability sampling and non-probability sampling (Hidder, 1981). Due to the lack of a complete sampling list, it was impossible to use probability sampling in this study. The three non-probability sampling methods widely used by social scientists are convenience, purposive and quota sampling (Frankfort-Nachmias and Nachmias, 1996). The strategy of purposive sampling is to identify and select important sources of variation in the

102

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Case Study Design

population and then to select a sample that reflects this variation based on researcher’s expert judgment (Singleton and Straits, 1993). This survey selected purposive sampling because not every member of staff in each identified agency was felt to be suitable for the survey. It was necessary to ensure that selected individuals would be in a position to provide high quality information which this study needed to build interpretive understanding. This study therefore set up some criteria to select interviewees. The sampling approach was initially to find key contacts in each department or section then ask their help to identify potential interviewees according to the sampling criteria (see Figure 4.3). The sampling criteria were: 

Is the staff member directly responsible for urban planning and development strategies?



Is the staff member directly responsible for environmental policy and management?

Sampling framework

Direct contact to the target departments

Find key contacts within the target departments

Criteria check

Ask help to identify potential interviewees

Interviewee suggestion

Possible sample

Figure 4.3: The approach to identifying the 2nd stage of interviewees Source: The author

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There were 15 departments or sections in the sampling framework. The survey set out to select two interviewees from each department or section. The desired sampling size was therefore 30 as shown in (Table 4.5). According to the estimated population size (90) and the preset sample size (30), the desired participation rate for this survey was 33.3 percent. The initial sampling plan was slightly altered; the planned sampling target was 30 interviewees; however, for some departments or sections, there were only a few staff who could meet the sampling criteria. For example, the environmental monitoring section of EEAA is the only agency responsible for EA monitoring at the national level, and only one interviewee was available to be interviewed. Equally, the administration of infrastructure and utilities planning is primarily responsible for policy implementation and its role in policy planning is not significant. Most policies in GOPP are developed by the administration of planning and urban development. In addition, some interviewees refused to be interviewed due to personal circumstances.

Table 4.5: Sampling size determination

Agency type

Level

Total

No. Of selected department or section

Estimative planner number

Preset sampling size

Initial sampling size

Adjusted sampling size

Actual samplin g size

Urban

8

51

17

16

15

16

Environment

7

39

13

14

15

18

National

9

57

19

18

15

18

Regional

6

33

11

12

15

16

15

90

30

30

30

34

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Chapter 4

Case Study Design

A snowball approach to sampling was adopted. Snowball sampling encourages the interviewees to introduce the interviewer to others. It was used, with the researcher asking the interviewee if there was anyone else the researcher should survey. In Egypt it is easier to get the cooperation of survey interviewees if the researcher is introduced by someone they know. The initial sample size was adjusted according to the feedback from these interviewees. Thus, the sampling structure was adjusted so that more suitable planners were interviewed. The final sample size illustrating the different types of the interviewees is presented in Figure 4.4. The details of the sampling structure are presented in Table 4.6.

Environment

9

9

Urban

9

7

National

Regional

Figure 4.4: The final sample of the 2nd stage of interviewees Source: The author

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Case Study Design

Table 4.6: Actual survey population for the interviews



 General Planning and urban development section

2

3**

3

 Rural development planning section

2

1*

1

 General administration of infrastructure and utilities planning


2

1*

1


2

1*

1

 General administration of planning studies and research


2

2

2

 Socio-economic studies and research

0

0

1**

 Administration of environmental management


2

3**

3

 Environmental development section

2

1*

1

 Administration of environmental quality


2

1*

1

 International environmental policies study

 Environmental policies study

0

0

1**



2

2

2

 Interdisciplinary research section

0

0

1**




2

3**

3



 EA section

2

2

2


0

1**

1




2

3**

3



 EA section

2

2

3**


0

1**

1

The Suez Canal GOPP regional



2

1*

1



 EA section

2

1*

1


0

1**

1

30

30

34


Total * : Interviewees refused or were not available **: Interviewees were suggested by other or by re-examining the organisation structure

106

Actual sample

Section Name

Adjusted sample

Department Name

Initial sample

Agency Name

Chapter 4

Case Study Design

4.4.3 Face-to-face interview structure The interviews combined both semi-structured and non-structured elements. Due to the fact that the interviewees may not be familiars with certain topics that this study seeks to explore, some adjustments were made to the interview protocol. Each began with a non-structured discussion that sought to explore what and how they think about urban development and SEA. In order to effectively and comprehensively explore the complex idea of integrating SEA and urban planning from the selected population and to provide flexibility for contingency questions, the interview moves onto a semi-structured approach to investigate the preset topics and probe any unclear responses. A common set of structured questions was also asked in order to provide some basic baseline quantitative data. All the questionnaires were completed by the researcher based on the answers provided by the interviewees. Due to language difference, the questionnaire will be translated from English to Arabic and the interview recording will be documented and translated from Arabic to English by the author. 4.4.4 Survey question development Prior to developing the questions to be asked, it was necessary to identify what information needed to be collected in this survey. This information was determined through the literature review and the case study analyses (see table 4.7). The first task was to explore the attitudes and opinions of interviewees on SEA. The second task was to ask interviewees to identify what they thought were the critical impediments to the successful implementation of SEA in Egypt. The last task was to construct an appropriate SEA mechanism for Egypt based on the proofs the interviewees provided. To be valid, it was important to be sure that the survey questions covered all the necessary information and can effectively fulfil the research tasks.

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Table 4.7: Case study tasks and information required Task

Necessary information

Identify the awareness of SEA and its benefits

1. Awareness of SEA. 2. Expected benefits of SEA.

Identify willingness to support SEA application to various strategic actions at different levels

1. Acceptance of SEA. 2. Willingness to support SEA.

Examine key issues related to context factors supporting the adoption of SEA in Egypt

1. 2. 3. 4. 5. 6.

Identify appropriate SEA system for the Egyptian context

Political will. Legal mandate. Environmental institutions' capacity. Environmental education and awareness. EIA implementation. Technical know-how.



SEA legislation

1. 2. 3. 4.

Legal basis. Administrative level. Tiering specification. Integrating with planning process.



SEA administration

5. SEA initiator. 6. SEA conductor. 7. SEA reviewer. 8. SEA inspector.



SEA process

9. 10. 11. 12. 13. 14. 15.

Screening approach. Scoping provisions. Systematic impact assessment. Requirement for mitigation. SEA report. Systematic review approach. Consultation and public participation approach. 16. Requirement for monitoring. Source: The author

The questions of this survey can be classified into two sets: basic (interviewee's background, attitudes and opinions to SEA and the potential for its application) and technical (how to adopt and apply an SEA system). The average time taken was 90 minutes to complete each interview. In order to cover all the necessary information, comprehensive questions were developed based on each research task (see Appendix 4).

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Case Study Design

The technical questions designed based on the question developed in Table 3.2, which were used to review the SEA systems in the selected countries. Various alternatives related to SEA elements, which were explored from the comparative assessment (see Table 3.7), were discussed with the interviewees to identify the most appropriate option that suit the Egyptian context. In order to identify the degree to which interviewees supported their choice, various scales (e.g. "strongly agree", "agree", "neutral", "disagree", "strongly disagree") were provided. Chapter 7 will provide the analysis of the interviews' results and interpret the interviewees' opinions towards research tasks. One advantage of qualitative research is it can obtain more in-depth and detailed information. This study utilised a grounded approach in order to construct the findings based on the proofs the interviewees provided. In order to reduce the influence of subjectivity, preconception and bias from the researcher, the subjectivity development process was continuously reviewed. Personal views of the researcher were not arbitrarily transformed to arguments without sufficient proofs or reasonable inference process. It was also necessary to consider as many interpretations as possible, and review their possibilities in order to prevent purposive selection of evidence. It is difficult to determine whether the respondents answered the questions truthfully, or if they acted during the interview. Therefore, the interview protocol used several different questions which contain similar ideas to check the consistency of interviewees' answers. For example, Q.6- "the most powerful driving force of implementing SEA?", Q.5- "the legal issues that influence the adoption of SEA?", and Q.7- "appropriate legal basis for SEA?". At the end of each interview, the researcher restated the main results and checked the agreement with the interviewee.

109

Chapter 4

4.5

Case Study Design

Difficulties in the case study Although the main sources of documentation and the interview questions

were anticipated before the fieldwork, in practice, the work of documentation collection and interviews were much more difficult than expected. On the one hand, it proved very time-consuming to gather and review all the documentary information. The collected documentation, including administrative documents, plans, legislations, academic papers, and environmental reports were numerous. On the other hand, the interviews were also time-consuming. It took a long time to choose the appropriate interviewees, to negotiate access to the interviewees, to undertake the interviews with a wide range of interview questions, and to translate and analyse the data from Arabic to English. Another difficulty was that not all interviewees were familiar with SEA; thus, time was needed to explain what SEA is, and the proposed SEA designing model. In addition, some of the interviewees, especially at the regional level, were incapable or reluctant to provide their evaluation on all questions. Besides, the interviews were also influenced by the willingness and time availability of the interviewees, especially those busy government officers, where the interviews were frequently interrupted by phone calls or other visitors. Anonymity of the interviewees may also cause problem (Frankfort-Nachmias and Nachmias, 1996). Though the interviewer guaranteed that their information would not be disclosure, some government staff might still hold themselves to criticise the government. Further to these, the time allotted for case study fieldwork was limited; my sponsor does not allow the Egyptian students to spend more than three months in Egypt to complete the case study work. As my field work approach was divided into two stages, I spent one month for the first stage (during Summer 2007), and two months for the second stage (during Summer 2008); I challenged the time to complete my data collection.

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Chapter 4

4.6

Case Study Design

Conclusions This chapter sought to clarify how the methodology used in the case study

was undertaken. Firstly, the general strategy to the case study was identified, and the approaches to the data collection were illustrated. Fieldwork with both interviews stages were identified and clarified. Moreover, the approach to defining the survey population and sampling frame were explored. Finally, interview questions were developed. This chapter identified the case study design and paves the way for discussion of fieldwork. Subsequent chapters provide an overview of Egyptian urban planning and development processes (Chapter 5), discuss the environmental policy and management framework in Egypt (Chapter 6), and evaluate the Egyptian context against the generic mode; for designing SEA systems (Chapters 7). Finally, the proposals for establishing an SEA system in Egypt are developed in Chapter 8.

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Chapter 5

Urban Development Planning Framework in Egypt

CHAPTER 5 URBAN DEVELOPMENT PLANNING FRAMEWORK IN EGYPT

C

hapter 4 set out the case study design which is core to this thesis. The following chapters, 5 and 6, set the foundation for the case study by reviewing the Egyptian context. Chapter 5 gives a discussion of

planning for urban development within Egyptian national strategies, while Chapter 6 discusses the environmental experience focusing on environmental policy making and EIA. Since this thesis is concerned with integrating Strategic Environmental Assessment into Egyptian urban development planning, it is vital to examine the Egyptian development planning system, for this forms the context which determines how well the current urban planning system will be able to accommodate new requirements of SEA and what form this must take. With this in mind, this chapter firstly traces the evolution of urban development processes in the Egyptian context. Then it examines the legislative and institutional frameworks that regulate the urban development process and practice. Roles and responsibilities of the respective planning authorities are also discussed. The examination of urban planning within the context of national development goals is important as the management of environmental change, and its role in achieving sustainable development is closely related to this.

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5.1


Urban development within the Egyptian development context Planning for urban development is a necessary process at all stages of urban

growth, to ensure an appropriate balance between economic and social development, and concern for the quality of environmental and urban conditions and the needs of the population. With worsening urban congestion and growing population and activities in most Egyptian cities, development planning in Egypt is increasingly finding it difficult to achieve this balance. Consequently, it is increasingly recognised that it is necessary for the process of urban development to consider new machinery which can help to reduce the pressure on the quality of the urban environment, by changing the concept of development to one which is based on advanced environmental thinking and a more holistic view of economic, social and environmental issues. With this in mind, the following sections attempt to present an overview of the Egyptian experience, clarifying the current development priorities and how these have been reflected in national urban strategies at different periods of time. This section is divided into three main parts; each one presents the prevailing development paradigm and its impact on urban development and urbanisation processes. 5.1.1 Urban development and economic movements (1950s-1960s) The 1952 revolution1 was a turning point in the history of Egypt. It introduced policies to modernise and industrialise the country (Soliman, 1998), which have continued to the present and which, paradoxically, mirror the approach of the current global paradigm of market enablement. During the 1950s and 1960s, economic growth was a main priority on the government agenda and there was a strong belief that it could only be achieved through industrialisation (Osman, 1996). Consequently, in support of this target, several economic measures were undertaken which included land reform and the introduction of a protective policy to allow the industrial sector beneficial access to the local market. 1

The Egyptian Revolution of 1952, also known as the July 23 Revolution, began on July 23, 1952, with a military coup d'état by a group of young army officers who named themselves "The Free Officers Movement". The revolution was initially aimed at overthrowing King Farouk I. However, the movement had more political ambitions and soon moved to abolish the constitutional monarchy and establish a republic.

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However, the strong shift towards industrialisation stimulated patterns of investments, and economic policies that favoured urban areas (i.e. subsidies, rent control, support for market monopoly), and resulted in the following: concentration of industrial zones in Cairo and Alexandria (the biggest two cities), growing rural-urban migration, concentration of economic activities within these areas, increasing demand on land and housing; and the start of environmental pressures and degradation which have now reached a critical level (Denis and Bayat, 1998). Within this context, the main thrust of urban development policy was to support the process of industrialisation in terms of provision of housing, infrastructure, land for urban expansion and plans for future physical development, mainly for Cairo and Alexandria. Subsequently, the state adopted several tools, such as rent control, provision of subsidies and services, and land use master plans, to facilitate the expansion of the urban industrial base and labour force. In the early 1960s, the increasing process of urbanisation outstripped the government ability to cope with its obligations (in terms of services, employment and housing) and to enforce building and land use regulations to maintain minimum environmental quality. This failure resulted in the spread of slums and squatter settlements where low-income people and new migrants tried to find their own solutions and build for themselves (El-Batran and Arandel, 1998). Moreover, the weak physical planning institutions and weak enforcement accompanied by presidential decrees which prevented legal actions against dissidents encouraged more violation. The government policy to demolish and deny service provision to squatter settlements and slums not only failed to stop the proliferation of these settlements, but also contributed to the rapidly increasing environmental problems (El-Hedeeny, 1999). For instance, in the absence of infrastructure (potable water, sewage system, and electricity) and with overcrowding, squatter

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settlements suffered deteriorating quality of life. Loss of agricultural land was another negative outcome, since squatters preferred to build their settlements on agricultural land to benefit from services, main roads and means of transportation in the nearby existing communities and the ground water available in the Nile valley (Fouad, 1994). However, the reasons for the loss and degradation of agricultural land were not only limited to squatting and informal practices but also to uncontrolled and poorly designed urban expansions which ignored the fact that most of the Egyptian cities are located in the Nile valley on agricultural land. For example, a large proportion of the industrial facilities and the accompanying workers’ settlements in Cairo were located on the peripheries to the north and south on agricultural lands rather than the deserts in the east and west (El-Batran and Arandel, 1998). This indicates that economic feasibility (available infrastructure/ accessibility/ workers/..) and priority of industrialisation dominated the decision making process. Despite the existence of an institutional framework for physical planning at this time through the establishment of planning departments or committees (Figure 5.1), the policy instruments and institutional capacity were weak and lacked specific mandates for enforcement. Responsibilities for implementation were fragmented. Even when they did have executive powers (i.e. the Planning Supreme Committee), they were often in conflict with the planning departments in governorates (Abd El-Hakeem, 1994). It could be concluded therefore that the weak position of the physical planning institutions was regarded as part of the government support for economic development at that time, reflecting the principal priorities of the government agenda.

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Organisation

1952

Planning Departments for Cairo and Alexandria

1960

Construction and Public Housing Company

1965

Planning Supreme Committee for Greater Cairo

1973


Figure 5.1: Evolution of the institutions responsible for physical planning Source: adapted from Abd El-Hakeem, 1994

5.1.2 Urban development and the New Map Policy (1970s-1980s) As the Supreme Planning Committee for Greater Cairo failed to carry out its responsibilities, a new national agency, the General Organisation for Physical Planning (GOPP) was established to be responsible for physical planning all over the country with a special department for Greater Cairo (Abd El-Hakeem, 1994). However, the GOPP was an advisory body without executive mandates, which in turn weakened the planning processes. The new establishment did not resolve the old conflict in responsibilities (which led to the failure of the Supreme Committee) between the GOPP as a central organisation and planning departments on the local level.

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In the early 1970s, it became increasingly apparent that the Egyptian government was facing many challenges in urban development planning. In particular, there was a concern to limit the informal growth of Cairo, Alexandria and other major cities onto agricultural land (Nofel, 1990). As a result in 1974, the government introduced the New Map Policy, which aimed to absorb population growth in the desert by marshalling huge investment funds to undertake land reclamation and to establish new towns. The New Map Policy was an embryonic human settlement policy that was concerned with setting the framework for systematic, balanced economic, physical and administrative development (El-Shahed, 1999). The map, which is required by this policy, is not only a geographical and a demographic one; it is also basically an economic one. Figure 5.2 shows the phases for urbanisation of Egypt as outlined by the New Map Policy. The New Map Policy acknowledged the pull of the capital city (Cairo), the problems this generates in terms of equal development and progress in different parts of the country, and of scarce agricultural land being consumed by urban development. The policy, therefore, acknowledged the need for a new national framework for settlement and economic development, which moved away from the traditional location of the Nile Valley and Delta (El-Shahed, 1999). It aimed to achieve this by developing new towns in the desert. It was intended that the new towns, together with the expansion of existing towns, would relieve the concentration in Cairo and the other major cities (Mousa, 1997). Development was proposed along the Mediterranean coast, eastward along the Red Sea Coast, southward around Lake Nasser in Aswan, and the Suez Canal zone.

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Mediterranean Sea

First Phase of Urbanisation

Red Sea

EGYPT Mediterranean Sea

Second Phase of Urbanisation

Red Sea

EGYPT Mediterranean Sea

Third Phase of Urbanisation

Targeted Policy Areas Red Sea

Main Development Axes Major Growth Directions

EGYPT

Minor Growth Directions

Figure 5.2: The proposed new map of Egypt Source: Adapted from El Shahed, 1999

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The aim was to realise the New Map Policy's objective of establishing several new towns in the desert to accommodate 20 million Egyptian people by the year 2000 (Abd El-Hakeem, 2000). The concept was of independent cities that were planned to be geographically and economically independent of other major cities (Tenth of Ramadan, El-Sadat, and Borg El-Arab) (see Figure 5.3) each with their own industrial base and large target populations. By the end of the 1970s and in an attempt to reduce population pressure on Cairo, the concept of satellite towns was also launched, these towns were planned in the desert around Greater Cairo (6th of October, 15th of May, El-Obour, and Badr) (Ali, 2003). Mediterranean Sea

El-Obour

Borg El-Arab El-Sadat

10th of Ramadan

6th of October

Cairo Cairo Cairo

Bader 15th of May

Directorat es in governorat es Western Desert

Sinai

Eastern Desert

The first generation Second Generation Existing cities

Figure 5.3: The locations of the new towns Source: Adapted from Ali, 2003

With respect to the New Map Policy, the urbanisation envisaged continued to follow the centralisation and focus on the Nile corridor. However, the new towns failed to attract people to move in as they lacked the economic base, basic services and job opportunities. Only approximately 20 percent of projected capacities in terms of population have been achieved so far. Ibrahim (2000) argued that the share of services per person in the new cities is relatively small compared with the old urban centers, it is therefore not surprising that these new towns have not been attractive to people.

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Moreover, various studies about the problems of industrial development in the new desert cities in Egypt revealed that between 48% to 60% of industrial workers commute from Cairo everyday (Aafefy, 1999; Ali, 2003). In addition, the government has been unable to relocate its public sector outside the old urban centers due to difficult economic conditions. The most striking issue is that the majority of the new towns and expanded communities were located within a circle of 180 km centred on Cairo. It is argued that this maintains the central importance of the metropolitan area and diminishes the chances of success of the policy of decentralisation. Despite the urban development policies under the ‘New Map’, increasing poverty during the 1970s and 1980s in Egypt accelerated the growth of squatter settlements as the only affordable alternative for new migrants and existing urban dwellers (El-Sawy, 1996). Earlier responses of eradication or the denial of services to these areas were clearly no longer a practical solution. The growing number of people living in deteriorating living conditions, combined with escalating costs of basic commodities, led to increasing confrontation between the government (and its supporters amongst the bourgeoisie and urban elite) and low-income urban residents (Ali, 2000). No longer was it possible to sustain the contention that these settlements were the price to be paid for economic growth through urban-based industrialisation. Consequently, a shift in approach has been evident, consistent with the more pragmatic and populist style that the then government was forced to adopt in response to the growing political threat from the urban masses. A twin-track approach was adopted, which, in theory, appeared to recognise the interdependence between urban growth and environmental degradation (Zetter and Hassan, 2002). The existence of informal settlements was acknowledged and programmes to provide these areas with infrastructure were initiated, funded by international, mainly US, assistance, which targeted the urban sector, especially shelter and infrastructure projects (Zetter & Hamza, 1997, 1998). Although the new strategy conferred some security of rights to the illegal residents, as in many

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other countries it merely encouraged the settlement expansion process, continuing the cycle of informal city building. During this period, squatter settlements expanded rapidly, extending to include both scrubland on the desert’s edge and also the continued consumption of land in agricultural use (Moaawad, 1998). This led to more land degradation and increasing pressure and deterioration of environmental conditions in urban areas. 5.1.3 Urban Development Strategy (1990s – until now) It was clear by the early 1990s that the country was suffering from this problematic legacy, and indeed the cumulative challenge, of the failure of previous policies and interventions. Several studies analysed the Egyptian new town experience. These studies included (Mokhtar, 1986; Bakry, 1988; Nofel, 1990; Habib, 1994; Osman, 1996; Abo El-Aata and Rabeaa, 1998; Aamer and Abd El Maqsoud, 2000; Rabeaa, 2000; Abd El-Naser, 2001; Ali, 2000, 2003, 2004, 2006) to highlight but a few. If all those studies have agreed on one particular thing, it was the major disparity between what was intended in the New Map Policy and what was achieved in practice. In facing the degradation of urbanisation taking place in Egypt and the increasing population density in the Delta and Nile Valley, it was necessary to change the concept of the state towards urban development and adopt a new strategy based on a comprehensive development view. The new urban strategy identified the main urban problems as: 

High population densities and crowding in certain areas;



High rates of informal expansion;



Deterioration in environmental quality in urban settlements;



Urban expansion over agricultural land; and



Unbalanced distribution of population between regions and between urban centres (El-Denary, 1996; Aamer, 1997; GOPP, 1998b).

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To tackle these problems, the urban strategy of the 1970s and 1980s was revamped. A new strategy was designed incorporating two main axes: developing the deserts and upgrading the existing urban structure, and under each axis, a set of strategic plans has been prepared as shown in Figure 5.4 Urban Development Strategy

Developing remote areas

The desert backyard

Twin cities

Desert Development

Developing informal settlements

Strategic regional development

Spatial development plans for cities and villages

Upgrading the existing urban fabric

Figure 5.4: Urban development strategy of Egypt Source: Adapted from GOPP, 1998b

The first component of the strategy was to promote the development of the desert. To achieve this target, the GOPP prepared firstly regional plans for remote areas that had not been given enough attention and development in the past (see Figure 5.5) in order to exploit the economic and natural resources available in these areas to establish new urban communities (growth poles) and decentralise the urban population out of the Nile valley and to stop expansion on agricultural land. In this context, the "Map for Development and Urbanisation up to 2017 in Egypt" has been presented. This map identifies 44 locations for building and development and their development priorities and economic bases (GOPP, 1998a). These new communities are expected to attract 12 million people (which represents half of the expected increase in population) during the period 1998-2017.

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Despite various studies conducted to inform the choice of the new locations, there remains a lack of clarity about the constraints, potentials, and opportunities of the environmental and physical characteristics of the selected sites such as the topography and soil characteristics of the areas and storm water issues. Many have argued that the choice of locations is in many instances not valid at all for the establishment of urban communities because of the underlying environmental characteristics (Nofel, 1990; Abo El-Aata and Rabeaa, 1994; Ali, 2003).

2 1

3

4 1) Sinai 2) North West Coast 3) The Red Sea Coast 4) South Egypt

Figure 5.5: Areas of high-priority development Source: GOPP, 1998b

Secondly, the idea of the Twin Cities has been adopted. These cities are located adjacent to the existing urban cities, and sometimes are considered as a natural extension of existing cities. These cities are areas of housing and do not have any economic base, as it is envisaged that their populations will work in the old city and depend on it for services (Ibrahim, 2000). Empirical studies indicate that these cities have not yet acquired the target population numbers envisaged,

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as more than 40% of housing units remain empty due to several reasons, including high rents for public accommodation and mortgage levels for private housing that are not commensurate with people’s income (Ali, 2003). In addition, more than 25% of the commercial areas are not yet built due to the economic problems. Paralleling the above desert development initiatives the government has recently launched a new concept in desert reclamation called “the desert backyard”. The aim is to exploit areas within 5 km of the cultivated Nile Valley (mostly in Upper Egypt) by land reclamation combined with the construction of new villages and small towns (WB, 2008a). The rural communities adjacent such desert backyards would be encouraged to expand into these areas. The scheme recognises for the first time the dynamic of “close-by” small-holder reclamation, which has been going on informally for decades along Egypt’s desert fringe, and aims to mobilise nearby rural community solidarity to advance into this “desert backyard”. However, the experiment is still in its infancy, with 25 villages said to be planned or under construction. According to the second axis of the strategy and in accordance with planning policy adopted by the government, squatter settlements received much attention during the 1990s. Consequently, a massive programme for upgrading was launched in 1993. El-Batran and Arandel (1998) suggest three main factors for the changes in the government attitude toward the informal settlements: 1) the pressure from international donors which has led to the upgrading of informal settlements in various locations in the country; 2) the implementation of structural adjustment policies which encourage the redirection of infrastructure investment to support economic growth; and 3) the need to gain control and respond to the spread of fundamentalist religious ideology in informal settlements and the accompanied intensification in the repression of terrorism.

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The implication of this programme was that a large proportion of the allocated funds were directed to electricity supply, street widening, lighting and paving, mainly as security measures facilities control and easy access to these settlements. The programme ignored public participation and the problem of security of tenure. It demonstrated strong centralisation of decision making and indicated that the main objective of such programmes is to maintain the regime's stability and security rather than a concern for area upgrade (El-Batran and Arandel, 1998). Consequently, it is not expected to achieve a significant improvement in the living conditions of low-income people. In accordance with the policy direction to upgrade the existing urban fabric, GOPP prepared regional strategic plans for the seven regions of Egypt. These plans aim to (GOPP, 1998b): 

Develop urban development centres in each region to act as attraction points for activities and population.



Achieve the necessary integration between the requirements of urban development.



Establish a balanced urban structure in accordance with natural and environmental resources.



Limit population growth in existing urban communities on agricultural land and guide the urban growth to new axes.



Develop the urban environment of the governorates within each region.



Improve transportation corridors linking the governorates with each other.

Ali (2004, 2006) has argued that Egyptian cities, in general, face a future fraught with many problems and challenges due to the imbalance in the relationship between urban and rural areas, and the absence of a comprehensive strategy aimed at balanced urban development at the level of Egyptian cities. Reflecting these concerns, and in line with these regional strategic plans, GOPP has launched a massive programme for upgrading the urban environment in all Egyptian cities and villages. This programme aims to activate a participatory

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approach involving the local community in identifying and implementing priority projects and activities with the aim of creating sustainable cities capable of facing changing circumstances, and improving living standards, especially for the poor and marginalised groups (WB, 2008a). Accordingly, GOPP has adopted a strategic approach for setting up a future integrated vision in order to develop each city based on an examination of its resources and potentials with the aim of achieving more sustainable patterns of development of the city. The above discussion of the different eras of urban development planning in Egypt highlights the dominance of the economically-oriented paradigms in urban planning. The first era identified, witnessed the inception and promotion of economic development policies at the expense of a sound urban structure. The prevailing ideology was that investment in effective urban planning instruments would constrain economic growth rates, at least in the short run. By the late 1970s and early 1980s, it became apparent that the country suffered from many urban problems and that the development plans that had previously been put forward were inadequately implemented. In 1982, the government issued the long-awaited physical planning law to reorganise the planning framework of Egypt. The 1990s urban development policy adopted a new approach which seeks to achieve more balanced urban development. Notwithstanding the inclusion of sustainability and sustainable development in the national plans, it is evident that environmental problems have only increased, and degradation of natural resources has continued. This has recently promoted fresh debate about the need for new machinery to promote sustainable patterns of urban development. It is in this context that this research aims to consider how SEA could be integrated into Egyptian urban planning in order to consider environmental issues as early as possible in urban policy making. The following sections discuss the legislative and institutional frameworks which govern urban policy making and practice in order to reveal the potential for SEA integration into Egyptian planning processes.

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5.2


The legislative framework for the Egyptian urban planning The first Egyptian urban planning law was enacted in 1940. It was based on

the principles of the British Town and Country Planning Act of 1932 (Aalam, 1986). Because of the rapidly changing country context (e.g. transition from an agricultural based society to an increasingly urban one), the law of 1940 has been amended a number of times. The most significant change was Law No. 3 of 1982 which many considered as a new stage in the planning field (Aalam, 1992; Abd El-Rahman, 1996). This law consists of four parts: cities and villages planning, expropriation for public benefit, general provisions, and penalties. The part of cities and villages planning consists of six chapters: general planning of cities and villages, detailed planning, the division of land, planning the city centre, planning of industrial zones, and renewal of neighbourhoods (Egypt, 1982). However, the enactment of Law no. 3/1982 had many weaknesses and the central planning authority considered the need for various amendments in order to mitigate some of its weaknesses (Ali, 2001; El-Aarby, 1994; Barkat, 1986). It prepared, with the participation of and in full consultation with authorities involved in urban planning and development, a detailed study on the weaknesses, gaps, procedural impediments, overlapping aspects with other enforcement mechanisms and priority sections to be amended. Consequently, the Egyptian government have recently enacted the law No. 119/2008. This sets out main principles underlying urban development and planning initiatives at the present time. It seeks to achieve sustainable urban development and control of urban growth through improvement of institutional, legislative, and technical frameworks at the local, regional and national levels. The Unified Building Law 119/2008 is made up of five parts (Egypt, 2008): 1. Urban Planning and Development 2. Building Code 3. Conditions for the Demolition of Buildings 4. Protection and Maintenance of Housing Buildings 5. Preservation of Buildings with Cultural or Architectural Importance

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The Law also calls for changing the tools of urban planning from the traditional master plans and structure plans which were largely physical land use plans, to strategic plans and action plans which will incorporate socio-economic and environmental issues and also which will focus more on integrating local economic development, and environmental management and on promoting public private partnerships and stakeholder participation. In addition, the new Law sets operational procedures for dealing with slums, informal settlements, down-town areas, industrial zones, and historic urban areas (WB, 2008b). The following sections describe in general terms the planning framework that currently exists in Egypt. Various levels of governance influence the urban planning process. Development plans and policies are prescribed by central government, implementation is however the responsibility of local government. Thus, there is often confusion and conflict between different levels of government in relation to specific competence. According to the law 119/2008, there are four main levels of urban planning in Egypt as discussed below. (see Figure 5.6) 1. National spatial planning; 2. Regional spatial planning; 3. Governorate spatial planning; 4. Local spatial planning. National spatial planning

The whole country

Regional spatial planning

7 regions

Governorate spatial planning

28 governorates

Local spatial planning

218 cities 4200 villages

Figure 5.6: The tiers of urban planning in Egypt Source: The author 128

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5.2.1 National spatial planning The national development plan is a five-year plan that lays out the development policy mandate for Egypt. The Ministry of Economic Development is the responsible body for the production of national plans. The national plans serve as the primary coordination mechanism across all government ministries. Each ministry or national agency is expected to formulate its own five-year plan of policies and projects in accordance with the policy framework established in the national plan . At this level, General Organisation for Physical Planning (GOPP) is the responsible authority for formulating the national spatial plan for urban development. This level of planning defines the urban development policies, plans, and programmes for all of Egypt. This provides regulation or requirements for specific urban activities, but does not set out detailed actions for implementation (Egypt, 2008). In addition, this level focuses on identifying the general, perhaps area-wide urban problems, and provides guidance or suggested interventions to solve the problems. 5.2.2 Regional spatial planning Egypt is divided into seven urban regions, namely, Greater Cairo, Alexandria, Suez Canal, Delta, Assiut, North Upper Egypt and South Upper Egypt regions. Each region has an urban planning branch under GOPP. At this level, GOPP is responsible for the preparation of the regional spatial plans which guide the formulation of all regional PPP proposals related to urban development in the framework of the national spatial plan. Planning at this level concerns the definition of urban development objectives for all the Egyptian regions (Egypt, 2008). This might provide direction for urban regulations related to land uses, transportation networks and corridors, main public infrastructures and facilities, etc.

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5.2.3 Governorate spatial planning Each region comprises a number of governorates (counties as defined in the UK planning system) of which there are 28 governorates. At this level, GOPP with assistance of its regional branches is responsible for the preparation of the governorates’ spatial plans in the framework of the regional spatial plans. This level of planning defines the urban development policies, plans, and programmes for all governorates. It also defines the projects that will be implemented and their priorities and implementation phases, and finally, identifies roles of public and private actors in implementation (Egypt, 2008). 5.2.4 Local spatial planning Egyptian governorates comprise a number of cities and villages. At this level, GOPP’s regional branches, with the assistance of urban planning and development directorates in governorates, are required to prepare local spatial plans for cities and villages which fall within governorate’s boundaries (Egypt, 2008). A city or village spatial plan is made up of a strategic plan and one or more detailed plans for the whole or parts of the area. The principles and the concepts of these plans are presented below. 

The strategic plan is a plan for city or village, which draws up the future vision and specifies the local socio-economic, environmental, and urban development plans to achieve sustainable development. Is also defines the future needs for urban expansion and different uses of lands. The strategic plan therefore identifies action plans, programmes, priorities, mechanisms of implementation, and sources of finance.



Detailed plans may be prepared in order to set land uses, rules, requirements and implementation programmes for the whole or part of the strategic plan of the city or village.

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Figure 5.7 illustrates the hierarchy of different urban development plans and related strategic actions at different levels of decision making.

Different levels of Urban spatial plans Policies

Plans

Programmes

Projects

s

National spatial plan

Regional spatial plan

National urban policy

Long-term development plan

5-year urban development programme

National project for housing

Regional urban development plan

Governorate urban development programme

Governorate spatial plan

Sustainable city project

Local spatial plan

Figure 5.7: Tiering of PPP and project related urban development in Egypt Source: The author

5.3

The institutional framework for the Egyptian urban planning There are several government agencies involved in urban planning and

development in Egypt. Law 119/2008 sets out specific functions to authorities which are directly involved in urban development. Four main actors are responsible for planning process and development as illustrated below. 1. National Council for Urban Planning and development (NCUPD); 2. General Organisation for Physical Planning (GOPP); 3. Regional branch under GOPP in each region; 4. Urban Planning Directorate in each governorate.

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The National Council for Urban Planning and Development (NCUPD) is the central government authority responsible for urban development affairs; in particular, NCUPD is the approving authority which is responsible for deciding on the spatial plans related to urban planning and development at all levels, including policies, plans, programmes and projects. NCUPD is headed by the Prime Minister and includes representative of the concerned ministries and government authority and 10 nongovernmental consultants who are concerned with urban development. The detailed functions and roles of NCUPD are presented in Box 5.1 as enacted in the Law 119/2008 and its executive regulations. Box 5.1: The functions of the NCUPD according to the law of Planning 

Reviewing and approving the objectives, policies, plans and programmes of urban development planning at national, regional and governorate.



Coordinating between ministries and bodies concerned with urban development in order to develop the National Strategic Plan and to identify the implementation procedures.



Proposing and give opinion on draft laws related to urban development.



Evaluating the results of implementation of spatial plans at national, regional, governorate, and local.



Identifying the implementation mechanisms and funding resources for all strategic actions at all levels. Source: Egypt, 2008

The General Organisation for Physical Planning (GOPP) is the state authority for Urban Planning in charge of urban policy-making and the preparation of spatial plans for urban development at national, regional and governorate levels (Mahmoud, 1993). Subject to Law 119/2008, GOPP is responsible for developing and preparing urban spatial plans, including relevant policies, plans and programmes at national, regional and governorate levels, as well as, revising urban spatial plans for local level before approving (see Figure 5.8). In addition, GOPP is responsible for:

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


Identifying the implementation procedures and funding resources of urban development policies, plans and programmes.



Proposing and giving opinions in the laws, regulations and decisions which organise planning and urban development



Preparing guidelines for planning and building standards



Monitoring and overseeing the implementation of regional, governorate and local plans



Preparing planning studies and research for urban development.



Improving and developing the building capacity of regional and local planning authorities.

Administrative urban planning levels

The responsible body

The approving authority

National planning level

Regional planning level

National, regional and governorate spatial plans


Strategic plan

Regional branches under GOPP

Detailed plans

Urban planning directorate

Governorate planning level

Local planning level

National Council for Urban Planning and development (NCUPD)

Figure 5.8: Authorities responsible for urban planning and development in Egypt, Source: The author

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Regionally, there are seven urban planning branches under GOPP. Each branch is considered as a GOPP decentralised arm that is responsible for implementing and monitoring of strategic plans and programmes in its region. GOPP’s regional branches cooperate directly with the governorates and other local authorities and provide them with required technical support. Subject to Law 119/2008, the regional urban planning branches are responsible for the following (Egypt, 2008): 

Managing and implementing the regional urban development plans and programmes prepared for their regions.



Participating with GOPP in the preparation of governorates’ spatial plans.



Overseeing and monitoring the implementation of governorates’ spatial plans.



Preparing and follow up local strategic plans for all cities and villages which fall in its region.



Providing assistance to local authorities in the preparation of the detailed plans for cities and villages in accordance with their governorate spatial plan.



Reviewing the detailed plans prepared for the cities and villages, and overseeing the implementation of such plans.



Providing technical advice and how-know for local authorities.

In each governorate, the urban planning directorate is the local authority that is in charge of urban development planning. Local government authorities are responsible for the enforcement and implementation of the plans and programmes prepared by central government, primarily the GOPP and its seven branches. At the local level, governorates have authority over most urban planning and management activities such as housing, land development and infrastructure (Mahmoud, 1993). Furthermore, urban planning Law 119/2008 set the responsibilities of these activities upon the local government authorities with the cooperation of the regional branch of GOPP.

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Furthermore, the local government authorities, as provided in law no. 119/2008, have the following responsibilities: 

Managing and enforcing the implementation of urban plans and programmes prepared for their governorates.



Overseeing the implementation of local strategic plans for cities and villages and follow-up.



Preparing the local detailed plans for cities and villages which fall in its governorate’s boundaries.



Control over the various urban facilities and the actions that fall within the jurisdiction of the governorate.



Approval of the public enterprises to meet the requirements of the housing and construction projects and a proposal for physical planning and construction.

Local authorities are also required to prepare detailed plans for cities and villages which fall within their area. These plans are designed in accordance with principles of the strategic plans, and have to be reviewed and approved by central government.

5.4

Planning process The preparation of spatial plans in Egypt follows the normal planning process

commonly adopted elsewhere; the general steps followed are listed in Table 5.1 as provided in Law 119/2008. The whole process results in four official reports: the Report of Survey [ROS], the Statement on Consultation and Public Participation [SCPP], the Draft Spatial Plan [DSP], and the Spatial Plan [SP]. The Report of Survey [step 4] contains the results of the analysis of the existing situation or baseline information [step 2], and findings on problems and issues, as well as general strategies and proposals [step 3]. The public is given the opportunity to make representations on matters relevant to spatial plans to the responsible planning authority. Representations by the public are considered [step 5] for the preparation of the Draft Spatial Plan by the responsible planning

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authority [step 6]. The considerations made by the public are contained in the Statement on Consultation and Public Participation, which is submitted to the NCUPD together with the Draft Spatial Plan [step 7]. The NCUPD considers any objections, if there are any [step 8], and decides whether or not to approve it whole or in part, or approve with conditions, or reject it [step 9]. If the authority approves it with conditions, the Draft Spatial Plan will have to be amended and re-submitted for approval. If the NCUPD decides to approve the plan, it is then forwarded to the State Authority for assent [step 10], before it is published in the State Gazette [step 11]. Immediately after the spatial plan is gazetted, it will become the basis for planning and development control in the responsible planning authority area [step 12]. Table 5.1: The planning process for the spatial plan Typical planning process

Egyptian planning process

Stage 1: Formulation of goals and objectives

1. Preparation of TOR

Stage 2: Survey and analysis

2. Survey and data collection 3. Analysis, proposals and evaluation

Stage 3: Formulation and analysis of alternatives

4. 5. 6. 7.

Preparation of ROS Consideration of public participation on ROS Preparation of DSP Submission of DSP and SCPP to NCUPD for approval

Stage 4: Decision, implementation and monitoring

8. 9. 10. 11. 12.

Consideration of public objections to DSP Decision on DSP Assent on approval to DSP Publication of assent in State Gazette Implementation and monitoring of SP

Note:

TOR: Terms of Reference ROS: Report of Survey DSP: Draft Spatial Plan SCPP: Statement on Consultation and Public Participation NCUPD: National Council of Urban Planning and Development SP: Spatial Plan

Source: Adapted from (Egypt, 2008)

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5.5


Conclusion This chapter discussed Egyptian urban planning and development and its

role in guiding development processes, and highlighted the main priorities of urbanisation. It is argued that over the last six decades the environmental problems related to urban development have increased. During the 1950s and 1960s, the Egyptian trends for urban development went to support economic growth at the expense of the environment resulting in increasing environmental pressure and degradation, and ending in a deteriorating quality of life. In the early 1970s, the Egyptian government adopted a New Map Policy to challenge problems associated with previous urban development processes; while the new policy aimed to establish new communities to absorb the increasing population increasing, it failed to achieve its objectives. The environmental problems related to urban development at this time was associated with: 

High population densities and concentration on the Nile corridor;



Urban expansion over agricultural land and increasing informal

expansion; 

Deterioration in environmental quality in urban settlements;

These problems have been exacerbated until the late 1990s when the Egyptian government launched a new urban development strategy; this strategy aims to upgrade the existing urban fabric and attempt to find new locations for appropriate urban development extension. Notwithstanding the adoption of sustainable development as a main goal in strategic plans at all levels, the environmental problems have continued to grow. Based on this, the main aim of this research has emerged in an attempt to integrate SEA with urban planning and development in Egypt in order to provide new machinery to promote sustainable urban development.

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It has been argued that SEA needs to be strongly related to the political, legislative, and institutional frameworks of the country which adopts an SEA system. In this context, there is a well developed planning hierarchy within the Egyptian context starting from national level to regional, governorate and local levels, with a clear policy, plan and programme sequence. Furthermore, there is a well defined organisational structure responsible for urban development with an allocation of different roles and tasks at national, regional, governorate and local levels. GOPP is the state authority responsible for formulating urban development proposals at national, regional and governorate levels, while GOPP’s regional branches are in charge of preparing strategic plans related to urban development at the local level. Detailed plans for the local level are the task of urban planning directorates. Furthermore, Law no. 119/2008 stipulates that GOPP is the governmental authority responsible for approving all strategic proposals related to urban planning and development at all planning levels. The adoption of SEA within the Egyptian context also requires an understanding of the environmental context. Hence, the next chapter will discuss environmental policy making and management in Egypt. It is important to examine the evolution of environmental concerns within the development agenda and the legislative and institutional frameworks which control environmental issues. With this in mind, the following chapter will also examine the Egyptian EIA system and its legal, institutional and procedural frameworks in order to identify how it could assist in introducing SEA to environmental policy making in Egypt.

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Environmental Policy Context in Egypt

CHAPTER 6 ENVIRONMENTAL POLICY CONTEXT IN EGYPT

S

ince this research is concerned with the integration of SEA into the Egyptian planning system, it is important to investigate the Egyptian environmental context. With this in mind, this chapter mainly discusses the environmental policy making within the Egyptian context in which

SEA would sit. Firstly, this chapter discusses the evolution of the environmental policy making in Egypt. Then, it examines the existing environmental legislation and institutional structure that regulate environmental management in Egypt. Environmental awareness is also debated and finally, the Egyptian EIA system, its implementation and technical know-how are discussed. The examination of Egypt's environmental policy and practice identifies its development approach: environmental policies, legislation and administrative machinery; its stand with regard to the relation between environment and development; and its strategies for sustainable development. Furthermore, this examination is to assess its approach towards global concern for the environment, and particularly its approach towards sustainable development. This chapter intends to identify key issues in the proposal for the adoption of SEA within the Egyptian context. It is suggested that Egypt's approach towards environmental planning and management will influence its potential for accommodating an integrated system of planning, and in particular the integration of SEA within its planning system.

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6.1


Environmental concerns in the Egyptian development context The case of Egypt mirrors the intertwining of, and the tensions between,

environmental and development agendas. These characteristics are most distinctive at the national level where the political encoding of these agendas at different eras has sought to mediate domestic interests and priorities, international donor and agency influence on Egypt’s economic and urban development strategies, and the country’s own institutional capacity to develop and manage its developmental aspirations. Three eras are considered covering the period from 1950 until now. 6.1.1 Environment and development in conflict (1950s-1960s) The 1950s saw the emergence of environmental economics as a separate branch of economics. During this period, it was felt that growth and development, and the protection of the environment could not go hand in hand. Hence most environmental theories that were developed during this period were anti-growth (Pearce et al., 1989; Pearce and Turner, 1990; Welford, 1998). In Egypt, environmental policy during this period was mainly focused on regulation to control environmental problems using the ‘command-and-control approach.’ For example, this approach focused upon what was in a final discharge from operations rather than controlling the source of the problem. The regulatory approach of this period was indeed very effective in managing environmental problems; however, it was regarded by industry with little enthusiasm and it passed the cost of pollution control on to the consumer (Welford, 1998). Since late 1950s, the Egyptian government has enacted a series of laws that nationalised the economy, and set an inward oriented development strategy, popularly known as import substitution. Banking, insurance, foreign trade, wholesale trade, and the majority of manufacturing enterprises were nationalised and large-scale State enterprises dominated the economy. The economic plans since 1960 have led to significant expansion of industry and

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production. However, extensive industrial development during this era resulted in renewed environmental deterioration, as the major thrust was economic growth (Abdel Wahaab, 2003). One of the major problems resulting from industrial expansion was that untreated industrial wastewater generated by industrial areas in major cities was disposed of into the Nile and canals. Due to overall low levels of socio-economic development, environmental awareness, other than that related to health related issues was non-existent. The major problems of this era were considered to be the alleviation of poverty and meeting basic human needs. Therefore, environmental issues were a controversial subject and any discussion or assessment of the environmental consequences of development projects faced hostile reactions from the state (Gomaa, 1997). This demonstrated the political will to support economic rather than environmental issues. Additionally, it clarified the nature of the decision making processes at the high level which was highly political and economically driven. Moreover, it is clear that till the end of the 1960s, there was no environmental institution in Egypt and that most of the environmental concerns were quietly expressed by a few scientists (Gomaa, 1997). Additionally, the government intervention in the private and voluntary sectors weakened competing voices by putting them under state control and bureaucracy (Ibrahim, 1996). The voluntary sector, in particular, lost its momentum and its ability to influence government policies on environmental issues. It is argued that in a newly industrialising country, the discussion of pollution and environmental degradation did not exist within the decision making circle. In this context, project assessment based on environmental impacts was regarded as an attempt to prevent development (Abdel Wahaab, 2003).

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6.1.2 Development and environment issues (1970s-1980s) Modernisation through industrialisation, as we have seen, failed to deliver economic prosperity to the rapidly increasing urban masses. Indeed, the early 1970s witnessed rising unemployment and widening incidence of poverty. As with other countries in the developing world, a shift became evident in the new paradigm of growth with equity, basic needs and the emergence of environmental considerations, although tailored to Egypt’s specific domestic political and geopolitical context (Zetter and Hassan, 2002). Despite the fact that economic growth remained the ultimate goal during the 1970s and 1980s, the Egyptian state widened its perspective to consider other important issues, such as the deteriorating living conditions of a large proportion of the population, environmental pollution and loss of natural resources. The mid 1970s witnessed growing recognition of environmental concerns with a committee of Egyptian scientists presenting the Egyptian position at the United Nation’s Stockholm conference of 1972. The committee felt the need to have an institutional framework to deal with environmental problems (Gomaa, 1997). Subsequently, a national committee was created to consider a suitable mechanism for the environment in Egypt. In 1973 the committee produced the “National Framework for Environment Report”. The recommendations of this report were general and came at a time when the country was preparing for the 1973 war which absorbed most of the available resources and the whole of government’s attention. Thus no real progress or action took place, but a start was made. The early 1980s provided a more promising context and the Egyptian government increasingly recognised that greater priority should be given to environmental protection. This environmental consciousness resulted from the evolving environmental problems (mainly air and water pollution and loss of agricultural lands) and political necessities (Abdel Wahaab, 2003). As a consequence, in 1980, the government established a ministerial committee for environmental affairs. This committee consisted of ministers of environment-

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related departments. Its main role was to set plans and projects and report its activities to the Council of Ministers (Gomaa, 1997). However, the committee failed to deliver its responsibilities to promote environmental protection. It proved to be difficult to bring the ministers together. This provides an example of the weak coordination that existed even on this high political level. Additionally, the committee received an ambiguous task of setting plans and projects. This target was, not expected to be achieved, while the national environmental framework, where such initiatives would fit in, did not exist. Consequently, in 1982, a presidential decree was issued to establish the Egyptian Environmental Affairs Agency (EEAA) as a co-ordination body responsible for environmental policy making (Box 6.1). Box 6.1: The main objectives of the EEAA as stated in the presidential decree 

Develop policy and follow-up on the implementation of approved plans and programmes;



Formulation of a National Environmental Action Plan;



Provide the concerned authorities with the instructions and information necessary to implement this plan;



Establishment of environmental quality standards that development enterprises in Egypt should adhere to;



Organisation of mass media campaigns to promote environmental awareness amongst the public. Source: Gornaa, 1997

The establishment of the EEAA was an important step to protect the environment; however, the agency was very small compared with expectations and the role it was supposed to play (Figure 6.1). Consequently, the agency did not play a major role during the 1980s. Ministers consistently failed to show commitment (during the ministerial committee) to its tasks, and in these circumstances, it could not be expected that a small agency like this would be able to persuade or even to co-ordinate with other long established ministries and government agencies (Gomaa, 1999).

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Chairperson

Toxic Chemical Control

Environmental development projects

Branches

Finance & Development

Research

Information

Public relations

Planning

Figure 6.1: The institutional structure of the EEAA in 1985 Source: Adapted from Gomaa, 1997

Despite all the criticisms, the 1980s however did represent a first attempt to move on from a mere diagnosis of the problems of urban planning and the environment, and scattered unplanned actions, to new better organised and established institutional and legal frameworks that were more able to handle these problems. This shift brought to light another set of issues such as coordination, enforcement, and the capacity for implementation. These problems and others had been long denied by the officials, and blame for poor environmental performance was always pointed at the absence of frameworks and proper regulations. These problems challenged the government and provided another sign of failure of the state dominated development model where even cabinet ministers were unable to co-ordinate together. However, the real movement towards environmental protection and growing recognition of the importance of the environment to Egyptians started during the 1990s as will be discussed in the next section.

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6.1.3 Environmental policy making since 1990s until now In 1991 after complicated negotiations between the Egyptian government and a joint committee of the World Bank (WB), an accord was reached in May 1991. This accord suggested that Egypt should prepare a National Environmental Action Plan (NEAP) according to WB standards. Subsequently, the Egyptian government acted quickly and a background report was ready within three months. This effort and the background document were strongly appreciated by the WB experts (Gomaa, 1997). While the environment during the 1960s was not considered, and the 1970s-80s witnessed a group of non-coordinated activities and laws to protect the environment, the 1990s saw the formulation of a clear Egyptian environmental policy for the first time. Since the early 1990s, environmental policy formulation in Egypt has been an evolving process which has changed with time, modified with major unexpected environmental actions and often affected by the control of senior decision makers. Five milestones can be distinguished in the evolution of the environmental policy process in Egypt since 1990 (Gomaa, 1999; WB, 2005; EEAA, 2006): 

National Environmental Action Plan (NEAP) of 1992;



Ministry of State for Environmental Affairs (MSEA) Policy directives in 1998;



NEAP update of 2002; and



President Mubarak’s statement of May 28, 2002.



Framework of the National Strategy for Sustainable Development 2006. The National Environmental Action Plan (NEAP) was a significant document

representing the first attempt to incorporate environmental issues in the government political agenda. The formulation of the NEAP entailed a participatory process which is novel for policy making in Egypt. This participation included academics, media, researchers, government and non-government representatives, and international experts and reflected a government

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perception of the multi-disciplinary nature of environmental problems (Gomaa, 1997). The document demonstrated important themes such as strengthening institutional capacity and developing human resources; and identified key Egyptian environmental problems such as land degradation, solid waste management, and air and water pollution. Additionally, the document suggested the adoption of economic measures to support environmental improvement (EEAA, 1992; Hassanien, 1999). It was argued that there were several limitations based on issues such as clear specific objectives, integration, available resources for implementation, accurate identification of the stated problems and coverage of all aspects of environment (Gomaa, 1999). However, consideration of other issues such as the political circumstances, time allowed for preparation, and the lack of reliable data, would change the evaluation to complete success. The document (whether it is an action plan or not) was the first attempt to set up the foundation of Egyptian environmental policy based on the sustainable development concept. Additionally, the NEAP background reports were the backbone for the National Report on Environment and Development presented at the Earth Summit in 1992 (Zetter and Hassan, 2002). In 1998, the environmental policy directives which were announced by the Minister of State for Environmental Affairs stressed the issues of: coordination, technology transfer, enforcement, environmental management, and the use of market-based instruments (Box 6.2). While the directives actually provide a broad guiding framework rather than the means and tools to achieve specific environmental targets, they represented a very good start in establishing an environmental management system in Egypt (EEAA, 1999).

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Box 6.2: The Egyptian environmental policy directives 

 

 



Fostering partnerships, coordination and collaboration between the different segments of the society at the national level in part by setting up mechanisms to coordinate activities between ministers, other organisations and private sector, and the revision of the 1992 National Environmental Action plan based on participatory approach; Fostering partnerships at the bilateral, regional and global levels by supporting the transfer and use of clean technology; Develop and upgrade Egypt's 21 natural protectorates and protection of biodiversity in part by encouraging the sustainable development and management of the protected areas, mobilising local participation to support the protection of natural reserve, promoting eco-tourism and sustainable tourism initiatives, and implementing the National Strategy for Biodiversity; Support institutional strengthening and capacity building at the central and regional levels; Adopting sustainable environmental management systems by adding an environmental dimension to large-scale national projects and preparing environmental action plans for Egyptian governorates; and Integrate market-based instruments into the practice of environmental protection, including customs duty exemption for polluting-abatement equipment and preferential terms on the scale of land use in environmentally sound projects. Source: EEAA, 1999 and MSEA,2000

Parallel to the policy directives, the Ministry of State for Environmental Affairs initiated an update of NEAP of 1992 with sponsorship from United Nations DevelopmentPprogramme (UNDP). Both the Prime Minister and Minister of State for Environmental Affairs note in their forewords that the goal of sustainable development linking development with environmental protection is the key to Egypt’s future (WB, 2005). The updated version is designed to represent Egypt’s agenda for environmental actions over the next 15 years. It is also designed to complement and integrate with existing sectoral plans for economic growth and social development (EEAA, 2002). It can be viewed as an impressive diagnostic document with qualitative analysis of key environmental issues. NEAP is considered as a plan of strategic actions, covering the period to 2017 and, in some cases, beyond. In approving the NEAP update of 2002, it was declared that the strategic objective of environmental policy in Egypt is to introduce and

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integrate environmental concerns into all national policies, plans, programmes and projects (WB, 2005). In fulfilling NEAP recommendation, EEAA approved 14 programmes (see Table 6.1) to be implemented together with the necessary legislative developments and with collaboration of the sector ministries and institutions both public and private. Moreover, the EEEA has been focusing on developing new policy directives, emphasising more the implementation of environmental projects that a have sound impact on population health and foster new foreign investments in the environment through Egyptian private sector participation. Table 6.1: Environmental Priorities and the Egyptian Environment Agenda Programmes

Objectives

1. Integrated solid waste management

Achieve sound management of solid waste and healthcare waste in all governorates of Egypt.

2. Protecting the River Nile and water resources

Improve quality of water resources by controlling industrial waste

3. Improve air quality of Greater Cairo

Reduce concentrations of dust and lead in Cairo air.

4. Environmental education, training and awareness

Increase public awareness of environmental problems and develop human resources within the field of environment.

5. Environmentally friendly industrial cities

Identify environmentally friendly cities in order to increase competitive advantage.

6. Environmentally friendly technology transfer

Promote the use of environmentally friendly technology in all economic activities.

7. Environmental information systems

Enhance the use of information technology, especially in the field of environmental management.

8. Environmental management

Provide the support for the adoption and implementation of integrated systems for environmental management in various activities.

9. Nature conservation

Conserve national biodiversity.

10. Capacity development of EEAA and RBOs

Support the institutional structure of environmental management at the national level.

11. Environmental financial mechanisms

Facilitate funding of environmental projects. Attract local investment to the environmental sector.

12. Green area expansion

Support governorates and NGOs in establishing nurseries and carrying out greening projects.

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Table 6.1 continued 13. Environmental inspection

Encourage institutional commitment to environmental laws.

14. International environmental commitments

Implement Egyptian commitments to environmental agreements at international and regional levels. Source: MSEA, 2002

Moreover, a promising step towards the realisation of a stronger environmental commitment of the Egyptian government at the highest levels occurred in May 28, 2002 when President Mubarak called a top level ministerial meeting to discuss the Environmental Strategy for Egypt for the coming twenty years, (up to 2017). The President indicated that the “Environment is not a luxury business, but environmental protection is a national duty” (WB, 2005). He also confirmed that the environmental dimension should be integrated into the modernisation process. The President confirmed the importance of EIA for all projects, and for prohibiting the establishment of any project that may negatively impact on the environment, also he called for the development of monitoring bodies and units to ensure the rapid implementation of environmental programmes, and environmental regulations. The President’s statement was pointed towards sustainable development and the need to integrate the environment into the development policies, projects and programs. It also sets the priorities for intervention to which the government should be committed. Although the President’s Statement was followed up by ministerial meetings and establishment of inter-sectoral committees, a holistic plan needed to be prepared to put in action the President’s directives.

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Finally, one of the most significant steps, in the recent years, towards achieving sustainable development is a framework document for a national strategy of sustainable development (NSSD), which was formulated in 2006. This document aims at achieving a comprehensive reform in economic and social aspects, and incorporating environmental aspects into development processes in order to provide a rational environmentally development. This framework calls for establishing a National Committee for Sustainable Development (NCSD) under the chairmanship of the Minister of Environment. The committee involves representatives from all governmental ministries; the committee should carry out the following tasks as stipulated in the Prime Minister Decree No. 74 of 2006: 

Proposing the national policies related to sustainable development through

incorporating

environmental

considerations

into

all

development sectors processes. 

Preparing the notional strategy of sustainable development with the participation of all relevant concerned parties.



Formulating the new regulations and the amendments of the existing regulations necessary for supporting sustainable development.



Identifying appropriate ways for achieving consultation in a partnership between all concerned parties.

In this document, it is argued that to achieve sustainable development it is important to develop some instruments supporting this ultimate aim; the document required a fundamental reform for the existing environmental policies and regulations. The most significant principle of this document was to set out effective legislative and procedural provisions that activate the principles of sustainable development; these included necessary amendments of the environmental law as described in the next section, calls for adopting strategic environmental assessment as a tool to assess all development PPPs, and finally requirements

for

increasing

environmental

governmental parties.

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The above discussion points that environmental concerns were limited within the development context that was dominated by economic-oriented paradigms until the end of 1980s; this was changed only after 1990 as a part of the global environment movement, which culminated in the Rio Earth Summit (1992). The 1990s witnessed the beginning of strategic thinking in environmental policy making, calling for integrated regulations for the environment, the establishment of hierarchical institutional structure, and effective efforts to achieve sustainable development. The following sections discuss the legislative and institutional frameworks which currently regulate environmental policy making and practice in Egypt.

6.2

The environmental legal framework in Egypt Over the past four decades, Egypt has adopted a substantial body of

environmental and environment related laws, decrees and regulations addressing various aspects of environmental protection and natural resource management. Initially, environment protection was included in several sectoral laws which authorised ministries to monitor their own polluting activities, therefore rendering their application of these laws to be dysfunctional as each sector ministry (Petroleum, Electricity, industry and Water Resources and Drainage) became judge and party at the same time. It was not until 1994 that a unified law dealing with all the media of the environment (Air, Land, water and Marine) and with the various sources of pollution was promulgated. The enactment of the Environment Protection Law No. 4 of 1994 addressed several significant gaps in the legal framework for environmental protection neglected by earlier sector laws such as water pollution, hazardous substances and waste, and waste management laws. It also introduced for the first time the notion of sustainable development (Gomaa, 1999; Abdel Moaty, 2000). It has, however, acted as a compromise to satisfy all the parties concerned without giving real authority to MSEA and EEAA to enforce the terms of the law.

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Law No. 4/1994 provided EEAA with broad authority, among other things to regulate air pollution, control hazardous substances and waste management, and control discharges to marine waters. Furthermore, the law gives EEAA an array of tools for implementing and enforcing these provisions (Egypt, 1994), including traditional regulatory controls based on command and control (e.g., emissions’ standards for air pollutants), inspection and punitive enforcement (e.g. penalties, closures, and imprisonment authorities), and other voluntary tools providing incentives such as economic and financial instruments, establishment of an Environment Protection Fund, and a compliance monitoring system (e.g., record keeping requirements). It was within Environmental Law 4/1994 that environmental impact assessment (EIA) was formally introduced as a management tool for achieving acceptable forms of environmentally sound development and sustainability. Later in this chapter, EIA will be examined, and its legislative and institutional framework will be evaluated in order to identify the extent to which this might assist in integrating SEA into the planning context. Despite these positive impacts, the enactment of law No. 4/1994 had many weaknesses. As a consequence, the National Committee for Sustainable Development considered an amendment in order to mitigate some of these. The EEAA prepared, with the participation of and in full consultation with concerned authorities involved in the inspection and enforcement of environmental regulations, a detailed study on the weaknesses, gaps, procedural impediments, overlapping aspects with other enforcement mechanisms and priority sections to be amended in the executive regulations. Consequently, the Egyptian government has recently enacted law No. 9/2009 setting out amendments of some provisions of the law No. 4/1994. Law No. 9/2009 sets out the main principles underlying environmental management and protection initiatives. It seeks to achieve environmental protection through improvement of institutional, legislative and technical frameworks at the local, regional and national levels (Egypt, 2009). Most significant features and key objectives of such amendment are presented in Box 6.3.

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Box 6.3: Significant amendments identified in Law No. 9/2009  Rendering more accurate phrasing of definitions and terms provided in the law     

 

and adding new terms dictated by the practical reality. Identifying objectives and principles on which the Law is based, in line with international and Arab environmental laws. Organising and controlling environmental consultancies and expert houses to ensure EIA soundness. Requiring the submission of EIA studies prior to the implementation of any project and enforcing a penalty for violation. Increasing MSEA and EEAA powers to the extent required for fulfilling their environmental mandates. Increasing the effectiveness of administrative procedures against industrial facilities’ violations of environmental standards and loads without affecting their employees. Achieving more comprehensive environment protection (for air, water and soil); confronting the phenomenon of climatic changes and protecting nature. Increasing financial penalties for some environmental crimes and including new crimes for increasing the effectiveness of the Law particularly with respect to hazardous wastes. Source: Egypt,2009

Law no. 9/2009 supports timely and effective enforcement of environmental laws. Compliance monitoring will be decentralised to EEAA regional branches and the environmental management units that were established in the governorates will also have a monitoring and reporting role. It emphasises close cooperation, continuous dialogue, and an effective partnership with all concerned central and local government entities related to environmental matters. The law requires a high degree of interagency coordination for effective management. A penalty for lack of submission of an environmental impact assessment and failure to keep yearly environmental records in each establishment can be imposed following the introduction of the Law. In addition, it requests that the inspectors of EEAA and other administrative authorities should report to the authority to which they belong any violations of the provisions of the law.

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The enactment of Law no. 9/2009 is likely to have many positive impacts. For example, it allows civil society to have a voice heard in the press, in the media and in public hearings concerning environmental issues. One positive unprecedented aspect of this law is that it allows any citizen or organisation to report and challenge at court any violator of this law including sector ministries and governorates. In this context, a Public Services Office has been established whose function is to handle public complaints. It also enables NGOs to monitor compliance and even win court cases against the State. It provides international donors with legal assurance for financing environmental investments. It also creates a market for local and international consultants that specialises in environmental impact assessment. Regarding the compliance and enforcement of environmental laws, the General Department for Inspection within EEAA and directly reporting to the Head of the Environmental Management Sector, has been established. This department sets inspection policies, carries out several inspections in emergency situations where complaints are strong and is responsible for inspection planning, and reporting to the executive management of EEAA. Furthermore, in the same context and to ensure the reporting of any violation of the provisions of the law, a new public complaint handling system has been set up. This system integrates the different complaint response mechanisms that were already in place, comprising the technical secretariat of the MSEA, the public complaint unit of EEAA, and the existing RBOs. The system has been tailored to classify the complaints received according to their nature and their geographical distribution throughout the Egyptian governorates.

6.3

The environmental institutional framework in Egypt The environment-related institutions in Egypt can be classified in the

following categories (see Figure 6.2): 

The national organisation represented by the Ministry of State for Environmental Affairs (MSEA), and the Egyptian Environmental Affairs Agency (EEAA).



The Regional Branch Offices (RBOs) of EEAA at regional level.



Environment management units (EMUs) in the governorates.

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National Level • Minister of State for Environmental Affairs • Egyptian Environmental Affairs Agency

Local Level • EEAA Regional Branch Offices

• Environment Management Units in Governorates

Regional Level

Figure 6.2: The environmental institutional structure in Egypt Source: The author

In 1997, as result of the formation of the new cabinet, a new position of the minister of State for Environmental Affairs was created. By virtue of the Presidential Decree No. 275 of 1997, the Minister of State for Environmental Affairs (MSEA) took charge of day-to-day management of the EEAA, with the Chief Executive Officer (CEO) acting under his/her delegation of authority. The Minister of State also appoints advisors with duties that mirror many of those to be implemented by the different offices of EEAA (Gomaa, 1999). MSEA has played a central role within the government of Egypt for the definition of environmental policies and the setting of environmental priorities, as well as designing, actively supporting and implementing initiatives within the context of sustainable development. The Egyptian Environmental Affairs Agency is the executive arm of the MSEA.

The Environmental Protection Law provided new mandates for the

Egyptian Environmental Affairs Agency. Given its coordinating and horizontal role among all ministers, EEAA was put under the responsibility of the Council of Ministers, and a Minister was assigned to oversee the work of the agency and chair the EEAA Broad of Directors. The Chief Executive Officer of the agency is nominated by the Council of Ministers and has a first undersecretary rank. The CEO oversees the day-to-day management of the agency and ensures that policies and guidelines provided by the Board are implemented (Egypt, 1994). The detailed functions of EEAA are presented in Table 6.4.

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Box 6.4: The functions of the EEAA according to the law of Environment The agency is permitted to play executive and coordinating roles. The Executive Function includes:    



 

The agency can follow up the implementation of plans it initiates, in coordination with the related administrative authorities; The EEAA will have a status of "Public Juridical Personality"; It will have the power to implement pilot projects, prepare its budgets and draft maps for urban areas and areas planned for development; It will work with the Ministry of Education to set training programmes and various curricula in elementary education, as well as design citizens' environmental programmes and contribute to their establishment; It will prepare an annual report on the "State of Environment in Egypt' to be submitted to the President of the Republic and to the cabinet ministers. Additionally, a copy should be sent to the Public Assembly; The agency will set procedural guidelines for Environmental Impact Assessments; It is also to set standards to ensure that permissible limits of pollution arc not breached and to monitor compliance with these standards.

The coordination function includes:     

Draw general policy and prepare plans required for the preservation and development of the environment; Prepare national plans aimed at achieving such goals; Contribute to the formulation of legislation dealing with environmental problems; Participate in preparing plans to protect against leakage of toxic materials and waste; Co-operate with the ministry of International Cooperation to ensure that projects funded by donors meet environmental safety regulations. Source: Egypt,1994

Regionally, there is a Regional Branch office (RBO) in each urban region which has been established, staffed, equipped and is operational, as part of a strategy for decentralisation of environmental management. Each branch office within its geographical domain is authorised to practice the powers and authorities of the EEAA. The RBOs are charged with overall monitoring and enforcement of environmental laws on the local level, under the general oversight of the Central Department of Branches Affairs, in light of the endorsed organisational structure (MSEA, 2001). In accordance with the Ministerial Decree No. 56 (2000), RBOs responsibilities are presented in Box 6.5.

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Box 6.5: The functions of the EEAA RBOs 









Implement directives of the State Minister of Environmental Affairs and the CEO of EEAA or his deputy, and realise policies of the EEAA, as well as roles and purposes of EEAA in Governorates, according to the Operational Procedures that organise RBOs’ departments and activities. Follow-up implementation of environmental law and its executive regulations, in collaboration with local and competent agencies in Governorates, city councils, districts, and all relevant stakeholders representatives of the public and private sectors and the civil society. Strengthen coordination and collaboration links among EEAA and the governorates to realise policies and purposes of the EEAA in environmental protection, especially in following up implementation of other environmental legislation. Strengthen principles of partnership and enablement of all parties in the society as partners in protection and management of the environment; through awareness campaigns, knowledge transfer programs, information disclosure, joint activities, and coordination mechanisms among public executive agencies and the private and popular sectors, the media, regional universities and research centres, at the regional level within the framework of participatory and transparent development. Support sustainable development management systems through integrating environmental dimensions of regional programs, initiatives and activities, and mainstreaming them into five-year plans of Governorates. Source: MSEA, 2001

At the local level, each of the 28 Governorates has an Environmental Management Unit (EMU). The organisation and operations of the EMUs vary across these Governorates. Under the existing institutional framework, the EMUs represent the primary local authority on environmental issues and, in many cases, operate as the executing agencies for EEAA’s environmental policies and programs. EMUs were granted the authority of environmentally approving some projects of limited environmental impact, in accordance with EEAA requirements. Most EMUs have received training from capacity building projects. These units retain their administrative affiliation to the Governorates and are technically affiliated to the EEAA.

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Furthermore, the coordination procedures between the central level of EEAA, its RBOs and the EMUs, have been subject to an extensive project carried out with the assistance of the Organisational Support Programme (WB, 2005). This project, focusing on areas of environmental management, environmental impact assessment, and inspection of violating establishments, presents procedures for the coordination of RBO and EMU activities. In this context, a framework of “RBOs and EMUs Responsibilities and Roles Guidelines” has been approved and published in order to enhance co-operation and integration between RBOs and EMUs.

6.4

Environmental awareness In response to the requirement of environmental law to disseminate

environmental information, Egypt has established a system of environmental information at the Council of Ministers’ level and at EEAA level, which is responsible for collecting and analysing information that will support the decision making process in all government entities. The Egyptian Environmental Information System (EEIS) was established at EEAA to assist decision makers to formulate and implement timely and appropriate environmental policies, legislation and programs. The EEIS produces timely and accurate environmental status reports, used to inform the Cabinet, others in Government and the public. The EEIS is also used to assist in developing environmental projects and policy options, and in monitoring and enforcing compliance with environmental regulations (WB, 2005). The environmental law 4/1994 requires EEAA to publish on a yearly basis a State of the Environment Report, and to collect and publish national and international information related to the environment on a periodical basis in cooperation with information centres of other agencies. Although the Law was issued in 1994, environmental reports have been started to be published since 2001.

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The Government has sought to increase public awareness by establishing several media programs established during the past five years, developing an environmental journal and Green Message for journalist, and implementing an environmental awareness campaign to enforce Law No. 4/1994. In addition, all the major newspapers carry out weekly reports on environmental activities, and do not hesitate to bring to the public the major violations undertaken by the State or by private violators. TV reporting is also frequent especially in cases of environmental crises and serious environmental violations (EEAA, 2008). Due to the media role, and as a result of an increased awareness about environmental issues, the general public in Egypt is becoming increasingly active in the environmental field; the public’s role has been switching from a passive one to a more pro-active role over the last decade. Despite all these efforts, public opinion is not yet significant to influence the policy formulation process (WB, 2005). To create a significant responsible behavioural change towards the environment, a stronger partnership with the media should be achieved. Recently and responding to NSSD requirement to increase environmental awareness, EEAA with partnership of the media has launched a programme aiming at increasing environmental awareness through: 

The development of a communication strategy and campaign for MSEA/EEAA to address the major environmental issues;



The development of the necessary communication materials in print, radio, TV, and other media as may be appropriate;



The provision of training and technical support for developing an outreach and mobilization program for different targeted groups such as the public at large, the decision makers, the investors, … etc; and regularly update the communication and the information based on actual facts;



Conducting periodic assessment and public opinion surveys on the programs and activities offered by the media.

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6.5


The EIA system in Egypt Environmental Impact Assessment (EIA) is one of the main preventive

activities conducted by EEAA to assess the impacts of initiatives, projects, or developmental activities, with a view of identifying necessary actions to minimise negative impacts and maximise positive ones. This section traces the development of Environmental Impact Assessment in Egypt and examines the EIA system and its legislative, institutional and procedural frameworks. Lessons from the problems it faces in project planning and implementation can assist in considering the potential introduction of SEA. 6.5.1 EIA legal framework The Egyptian EIA system was designed with support of the Danish International Development Agency (DANIDA). Measures concerning the assessment of environmental impact of projects are stipulated in the Law of Environment No. 4 of 1994 and its amendments in Law No. 9 of 2009 but are implemented through its executive regulations, issued by Prime Ministerial Decree No. 338 of 1995. It came into full force in 1998 (METAP, 2000). The law requires that new establishments or projects as well as expansions or renovations of existing establishments must be subject to an EIA before a permit is issued. Eight articles in Law 4/1994 relate to EIA and cover a number of elements in the EIA process (EEAA, 1996); the executive regulations as amended through the Prime Minister Decree 1741 of 2005 strengthened EIA legal provisions. Provisions within the law also cover pollution control of existing activities, including monitoring of environmental impacts by owners of activities, who have to keep environmental registers as specified by the Egyptian Environmental Affairs Agency. EEAA is responsible for checking the accuracy of these, in coordination with the Competent Administrative Authorities (CAAs) (METAP, 2000).

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Many articles of Environmental Protection Law No. 4 of 1994 have been amended and some have been added by Law No. 9 of 2009, to ensure greater protection of the environment. Amendments related to the EIA system are limited, for instance, the establishment of a high committee for accreditation of experts and expertise in the field of environmental consultancy. 6.5.2 EIA institutional framework The administrative arrangements and roles of different agencies in the EIA process are defined in the regulations and procedures of the jurisdictions. In Egypt, the EEAA is the main body responsible for EIA although sectoral ministries and governorates are the Competent Administrative Authorities which possess the executive powers in relation to development authorisation (Ahmed and Wood, 2002). The Central EIA Department of the EEAA is responsible for supervising the screening process, managing the review of EIA reports (either by undertaking reviews itself or by assigning independent bodies or individuals to do so), taking decisions on the acceptability of EIA reports, and giving an opinion on the development and proposals for mitigation measures. The EEAA also has the responsibility for issuing EIA guidelines (METAP, 2000). On initial implementation of Law 4 and its executive regulations, screening of all projects was carried out by the EEAA Central EIA Department, on the basis of screening forms submitted by CAAs. Subsequently, the system has become sufficiently well established to permit a degree of decentralisation. Screening and its associated project lists were revised to enable screening at this level to be delegated to EEAA Regional Branch Offices (RBOs) and Governorates’ Environmental Management Units (EMUs) (Sherif and Abou Elailah, 2002). EMUs were granted the authority of environmentally approving some projects of limited environmental impact, in accordance with EEAA requirements. The EIA system involves many individuals and organisations. The involvement of many individuals and organisations means that there is a need for strong cooperation between groups from various levels of government.

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Consultation is required by EEAA EIA guidelines. This is because particular environmental aspects of a proposed project may be subject by law, or government policy, to approval or consideration by another government agency. The level of interagency coordination in the jurisdictions is generally perceived to be weak (Ahmed and Wood, 2002). However, the effectiveness of such coordination varies between agencies. For example, coordination between the Tourism Development Agency (TDA) and EEAA in Egypt is more effective than that between EEAA and other sectoral agencies (Badr, 2009). 6.5.3 EIA process and mechanisms The procedures in the Egyptian EIA system are shown in (Figure 6.3) The EIA system uses a list approach that screens projects into three categories based on different levels of EIA according to severity of possible environmental impacts, the three categories are white, grey and black (EEAA, 1996; 2009). Developer/ Proposer Request for implementing project

Appeal the Decision

Screening

Black list

Grey list

White list

Screening from C Full EIA study

Screening from B Limited EIA

Screening from A No EIA study

study

The Competent Administrative Authority

EEAA for revision and comment Refused

Approved Implementation

Monitoring

Figure 6.3: EIA procedures in Egypt Source: Adapted from EEAA, 2009 162

Chapter 6




White projects: includes projects with minor environmental impacts and can normally be approved on the basis of a simple environmental screening.



Grey

projects:

includes

projects

which

may

cause

important

environmental impact. The applicant must carry out a more elaborate environmental screening. 

Black projects: includes projects which, due to their potentially severe environmental impacts, need a full EIA study.

If an EIA is required, then the project developer proceeds with the detailed assessment -Table 6.2 shows the EIA report requirements for urban development - and submits it to the Competent Administrative Authority which checks whether the information included in the scoped EIA study complies with the information according to the terms of reference. The Competent Administrative Authority reviews the documents and formally submits the EIA study to the EEAA for reviewing and evaluating. Within 30 days, the EEAA delegates the review process to their internal employees within the Central EIA Department

who

review

the

EIA

study and

formally

submit

their

recommendations. The EEAA usually decides on the environmental acceptability of the project prior to project approval by the Competent Administrative Authority that takes the final decision on whether to allow the project to proceed or to reject it. According to the environmental law, the Competent Administrative Authority should officially notify the project proponent with the result. In this context, one of the following courses of action could be taken place: 

The acceptance of the official notification form as submitted, or acceptance after the submission of some additional data. In this case, the project is considered approved with possible measures to be taken to ensure protection of the environment.



The project is rejected; in this case, an appeal to the Permanent Appeals Committee could be filled as prescribed by the executive regulations within 30 days of receipt.

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Table 6.2: EIA report requirements for urban development Requirement Executive summary Description of proposed development

Components  Description and summary of the proposal project and    

Legislative framework and consultation process Description of the existing Environment



Significant environmental impacts



Alternatives and mitigation measures



 



 

Monitoring

  

the environmental report Objectives and scope of the proposal Description and layout of the proposed development and associated facilities Site preparation and construction methods Other services in the locality Detailing legislative and consultation committees and their responsibilities Prioritisation of issues and affected environment Baseline data and impact assessment - land surface issues - hydrological issues and water quality - waste water and solid waste management issues - air quality impacts - noise impacts - visual impacts - flora and fauna issues - land and transport issues - historical issues - hazards assessment - social and economic issues Consideration of environmental impacts Description of expected damages and risks of proposal project Consideration of alternatives Justification for the preferred alternative Mitigating measures - environment management plan - specific mitigating measures - residual and cumulative impacts Collection of data on a range of specific environmental variables Ensuing compliance with planning consents or conditions Providing a means of correcting any unforeseen impacts Source: EEAA, 2005

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According to the executive regulations of the environmental law, the necessity of maintaining surveillance of, and control over, the implementation of actions has tended to be a somewhat important area in EIA. Therefore, Competent

Administrative

Authorities

in

Egypt

undertake

annually

implementation monitoring for checking if the actions/projects have been implemented in accordance to the approval. These checks may involve physical inspection (e.g. of wall construction or waste storage/disposal) or measurement (e.g. of noise emissions) using the various types of instrument (Ahmed and Wood, 2002). With respect to public participation, the law of environment and its executive regulations do not have any provisions for public participation in EIA. Participation is not mandatory in the Egyptian EIA system. The Law of Environment requires that relevant governmental and non-governmental agencies be consulted during the preparation of the environmental impact assessment and that the public be involved (Badr, 2009). Although the law of Environment and its executive regulations do not mention in which step consultation and participation should take place, and how the participation should be done, the EEAA in the EIA guidelines argue that each step in the EIA process requires appropriate consultation with all those with an interest in the proposal, including the regulatory authorities and the wider community in the local area, to ensure that relevant views are taken into account (EEAA, 2009). Consultation should be initiated at the scoping stage of the EIA. Appropriate environmental advice should be sought from the start of planning for a development. As planning proceeds, it will generally be necessary to bring more specialised people in to deal with particular issues. The EIA should be prepared by a team of consultants with sufficient expertise to cover all environmental aspects of the proposal (EEAA, 2009)

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6.5.4 Technical know-how EIA guidelines are essential for improving EIA studies in practice. A number of EIA guidelines were issued by the EEAA, with assistance from the Danish Environmental Protection Agency, the UK’s Department for International Development (the Support for Environmental Assessment and Management project – SEAM) and the METAP project (Mediterranean Environmental Technical Assistance Programme) in order to create a uniform structure for submitted EIA reports. This general guideline also includes ten brief sectoral guidelines that define the content of EIA reports for projects that need a full EIA (Ahmed and Wood, 2002). A second edition of the above guideline was issued in January 2009 to include the updated procedures for the EIA system (EEAA, 2009). The general EIA guideline describes the screening methods and procedures for an EIA, as identified in Environmental Law and its executive regulation. With regard to EIA consultants, EIA expertise is to be found in universities, research institutes and private consulting firms. A small number of environmental consultancy firms exist in addition to a large number of individual independent consultants (Badr, 2009). Fortunately, Law No. 9 of 2009 mentions the establishment of a higher accreditation committee, to be headed by the Minster of State for Environmental Affairs, which will address environmental consultants’ registration and certification (Egypt, 2009). In addition, the executive regulation of this law defines the procedures and Requirements for registration and accreditation. Moreover, the EEAA is building institutional capacity by conducting EIA training programmes coordinated with donor agencies and by recruiting new staff. EIA training includes courses funded by international donor agencies such as the World Bank, and by the British DFID and the Danish DANIDA aid agencies. Also, well-established EIA training programmes organised by academic institutes such as the Ain Shams, Cairo, Alexandria and Mansoura Universities contribute to building institutional capacity.

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6.5.5 EIA problems The biggest problem faced by EEAA is the complaint by project proponents that the EIA procedure takes too long and causes delay to development projects. In a report of “Country Environmental Analysis”, published by the World Bank, many of the features of the Egyptian EIA system are generally compatible with the corresponding features of World Bank’s operational policy. However, there are differences in certain features, which are indicated in Table 6.3. Table 6.3: The shortcomings of the Egyptian EIA Requirements

Suggested actions

Public participation

Regulations or enforceable procedures should specify consultation with affected groups and NGOs during both the scoping and the review stages in the EIA process.

Access to EIA reports

Mandatory requirements should be introduced for access to EIA reports by affected groups and NGOs.

Baseline data

The availability and accuracy of information defining environmental baseline conditions is one of the main challenges facing effective implementation of the EIA process. Hence, decisions about impact assessment should be based on scientific analysis and prediction.

Environmental

The requirement for an EMP should be made mandatory, and its content include three components: a mitigating plan, a monitoring plan and an institutional strengthening plan.

management plans Review criteria

There should be systematic review criteria to be used by EEAA staff in order to avoid the review which is based mainly on reviewers’ experiences and general/sectoral guidance, as well as on personal judgement

Implementation monitoring

The legal requirements for reporting by the developer and monitoring by EEAA need to be implemented more fully than at present.

Guidelines

Further guidelines are needed to give developers and consultants fuller guidance on potential impacts and appropriate impact prediction techniques.

Cumulative environmental impacts

The cumulative environmental impacts of several projects in the same area should be considered, where the focus of EIA screening and scoping should be based on the potential impacts of all proposed project.

Source: adapted from (Sherif and Abou Elailah, 2002; WB, 2005; Badr, 2009)

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6.6


Conclusion This chapter mainly aimed at investigating the Egyptian environmental policy

context in order to address related factors that identify the possible consideration of environmental issues at the strategic level, and then the potential for SEA to be adopted within the Egyptian context. Firstly, it discussed the evolution of Egyptian environmental policy making in order to highlight its role within the development process. It is argued that environmental policy making has made significant progress over the last six decades, starting in the 1950s which saw the emergence of environmental concerns. At that time, environmental policy was mainly focused on regulation to control environmental problems. It was argued, however, that the environmental policies that were developed were perceived as being anti growth. Hence, the nature of the decision-making processes at high level which was highly political and economically driven supported economic rather than environmental concerns. It is noted that there was no institution responsible for environmental issues. This was until 1970 when growing recognition of environmental concerns began to be witnessed. Firstly, a national committee was created in 1973 to consider a suitable mechanism for the environment in Egypt. Thereafter, a ministerial committee for environmental affairs was established in 1980. This committee failed to deliver its responsibilities to promote environmental protection due to the difficulty in bringing the ministers together. Consequently, a presidential decree was issued in 1982 to establish the Egyptian Environmental Affairs Agency (EEAA) as a co-ordination body responsible for environmental policy making. It was argued that the 1980s witnessed a first real attempt to move on from a mere diagnosis of the problems in planning and environment, and scattered unplanned actions, to new well organised and established institutional and legal frameworks that would be able to handle the environmental problems that were emerging.

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The real movement towards environmental protection and growing recognition of the importance of the environment started in the 1990s. This witnessed the beginning of strategic thinking in environmental policy making in Egypt with calls for integrated regulations for the environment, and the establishment of hierarchical institutional structure. In 1992, the National Environmental Action Plan (NEAP) was adopted as an important document representing the first attempt to incorporate environmental issues in the government political agenda. After two years, Law no. 4/1994 on environmental protection was enacted as the first environmental law dealing with all the media of the environment, and it also introduced for the first time the notion of sustainable development. Furthermore, Law no. 4/1994 restructured EEAA as the central authority responsible for environmental issues with broad power for implementing and enforcing its provisions. Law no. 4/1994 and its amendment in Law 9/2009 aim to improve the institutional, legislative and technical frameworks related to environmental management at different levels of planning. The Law of Environmental Protection defines the institutions responsible for environmental issues starting at national level with the Ministry of State for Environment and its executive arm, EEAA, and extending through regional branches under EEAA to environmental management units in governorates as local authorities. Moreover, EIA was formally introduced in Law no. 4/1994, and strengthened in Law no. 9/2009. EIA is considered as a management tool for achieving acceptable forms of environmentally sound sustainability within Egyptian development. Although Egypt has achieved considerable progress in environmental management, in particular, in establishing an EIA system, it is argued that there is a variety of EIA constraints. This indicates that a formal provision for strategic environmental assessment (SEA) could be introduced to overcome some of the challenges facing the EIA system and promote more sustainable development.

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In conclusion, it is clear that there is a strong political commitment by the Egyptian government towards achieving sustainable development, which may surely support the adoption of SEA. With this in mind, the next chapter will present the attitudes and opinions of Egyptian planners to SEA adoption within the Egyptian context. Four major issues, awareness and support, expected functions, context key issues, and appropriate structural elements of the SEA system, will be investigated to answer the research question. Chapter 7 will provide the findings of the survey results described in Chapter 4.

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Case Study Findings

CHAPTER 7 CASE STUDY FINDINGS

T

his thesis identifies the potential for the introduction of the SEA concept to influence and integrate with urban PPP formulation and urban development processes in Egypt. This chapter provides the

analysis of the case study interviews' results; it interprets the interviews and identifies interviewees' critical opinions towards SEA adoption, in order to find an appropriate way to integrate SEA into urban development planning process in Egypt. Thirty four planners were met in semi-structured interviews. These interviewees were urban and environmental planners, from governmental agencies at national and regional levels, who were directly involved in environmental management and urban development processes. The issues discussed included recognition of SEA, benefits which may be expected from SEA, and willingness to support SEA application. In addition, the key issues associated with Egyptian context factors that may influence the potential for adopting SEA were also debated. Finally, the main aim of these interviews is to explore and identify the appropriate structural elements of SEA legislation, administration, and process which might fit with the Egyptian planning context.

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7.1

Case Study Findings

Recognition of SEA Before planners can work together to promote and implement SEA, it is

however helpful to identify whether they are thinking along the same lines. This section investigates what planners know about and think of emerging SEA concept and its relationship to the existing urban planning system. 7.1.1 General awareness of SEA This study measured awareness of SEA by examining the awareness rate, degree and tendency. The awareness degree is the percentage of interviewees who have heard of SEA in particular group. The awareness tendency uses a scoring system to evaluate to what degree interviewees are familiar with SEA. In this case, the interviewees’ awareness to SEA was ranked and scored according to four levels; familiar, know something about SEA, are only aware of the name, and have never heard about it (Table 7.1). When the awareness degree was counted, all the first three levels were regarded as positive. Overall, 71% of the interviewees had heard of SEA and 53% had definite knowledge about it. Measuring awareness shows that most environmental planners are aware of SEA and half of urban planners have heard of it. Ten interviewees indicated that they were familiar with SEA, and seven of these were environmental planners. However, almost half of the interviewees had little or no awareness of SEA. The majority of the environmental planners stated that they were familiar with SEA. The response is perhaps surprising because SEA has not as yet been established in Egypt. This may because there have been many studies suggesting EA at a strategic level. In addition, it has been reiterated that there is a need for integration of environmental considerations in all national policies, plans and programmes. SEA has been suggested as a mechanism to cope with the weaknesses and shortcomings of the current environmental assessment process in Egypt, and for establishing a stronger representation of strategic environmental thinking in PPP making. However, many environmental planners claimed that although they are familiar with SEA provisions, they do not really know how it is applied.

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Table 7.1: General awareness of SEA in Egypt Unaware

Only name

Know some

Familiar

Total

Awareness degree

Awareness tendency

EP-N

1

2

2

4

9

89%

67%

EP-R

2

2

2

3

9

78%

56%

UP-N

3

2

1

3

9

67%

48%

UP-R

4

1

2

0

7

43%

29%

Total

10

7

7

10

34

71%

51%

Note: EP = environmental planner UP = urban planner N = national level R = regional level Awareness Degree = persons have heard of SEA (10+7+7) / total persons in this group (34) = 71% Awareness tendency = (Score / Highest possible score) x 100 = (10 familiar x 3 + 7 know some x 2 = 7 only name x 1) / total people 34 x highest possible score 3) = 50 Score system: Familiar (3), Know some (2), Only name (1), Never heard (0). Bold and Underlined: Highest rate or tendency; Italic: Lowest rate or tendency

EP-R 1: “SEA is a new area. I have some information but I cannot say I am familiar with SEA. I am quite familiar with the provisions.” EP-N 4: “While the concept and the current SEA provisions are not strange to me. However, I am not familiar with the implementation of SEA.” Most of environmental planners claimed that they are aware of the promulgation of SEA provisions. On the other hand, almost one third of the environmental planners have considered that they are familiar with SEA. It indicates that most environmental planners are aware of the principles of SEA, but it may be still that they have limited knowledge in methodological, technical and more fundamental issues. In contrast, almost two thirds of urban planners had little or no awareness of SEA. The most frequent response to SEA awareness from these interviewees was that they are not familiar with the details of SEA, but they are familiar with the concept. Many of the urban planners directly considered SEA to be an extended EIA. This interpretation could limit SEA to an add-on or separate process, which

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assesses the environmental impacts of given strategies but which does not actively integrate environmental concerns at the beginning of the planning process. UP-R 3: “If the question is about the term SEA, the answer is NO. I have not heard of the term SEA. But it the question is about the concept, I think the answer could be YES.” UP-N 3: “There is close connection between project-EIA and SEA. It is natural that I have some information about SEA, however, I will not say I am familiar with SEA.” National planners have higher awareness of SEA and its provisions more than regional ones. They have admitted that there is a current debate in central government about the necessity of environmental assessment at the strategic level. In addition, some of them have obtained the degree of PhD in environmental assessment. 7.1.2 Acceptance of SEA More than three-quarters of the interviewees recommended introducing SEA for environmental assessment of high-level strategies. 63% of the urban planners, mostly central planners, were aware that there is a need for strategic level policy assessment (see Figure 7.1). Two-third of the national urban planners felt that the rationale for applying SEA is connected with current shortcomings of policy, plan and programme making.

100 % 75 % 50 %

Not accept

25 %

Accept

0% Total

Urban planners - Regional

Urban planners - National

174

Environmental planners - Regional

Environmental planners - National

Figure 7.1: The percentage of interviewees accept to introduce SEA

Chapter 7

Case Study Findings

UP-N 2: “One of the benefits of applying SEA in the Egyptian planning system is to improve the current shortcomings of planning policy, plan and programme making in order to cope with the environmental degradation related to urban development.” However, most of environmental planners stated that there is a debate regarding to the need for environmental assessment of higher-level strategies to cope with the impacts of new urbanisation and development planning trends in Egypt. They considered that SEA is the way to improve environmental thinking in PPP making and to provide more effective reasoning in decision-making. On the other hand, five urban planners claimed that there is no need for SEA because it will require the planners to do too much work and they argued that it is enough to clarify and promote the current environmental objectives of urban planning to formulate sustainable planning strategies. EP-N 6: “The rationale for applying SEA is to represent stronger strategic environmental thinking in policy, plan and programme making, and this what we need in this time in order to promote environmental concerns at strategic level of decision making.” EP-N 2: “Good information may lead to better decisions, so SEA is needed to provide decision makers with sufficient information on the proposal to support and influence PPP making.” It could therefore be concluded that the relatively high awareness of SEA and the acceptance of SEA among this group may be a critical factor promoting SEA and the integration of SEA within urban planning and urban policy development processes. 7.1.3 Expected functions of SEA This section used eight possible SEA functions drawn from the literature (see Figure 7.2) to investigate what interviewees expect from SEA. Generally, all these functions received high values, with the exception of “increase in public

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awareness of environmental issues”. The data presented in Figure 7.2 illustrates only the percentage of interviewees who considered each function as a very important (or) important function, according to the answer scale provided in the questionnaire. Details are given regarding responses from different types of interviewees in Appendix 5.

Increasing public awareness

Developing strategic PPPs

Improving institutional coordination

Promoting sustainable development

Improving environmental assessment

Achieving planning systems integration

Improving decision making

Increasing planners and decision makers’ awareness

Figure 7.2: The percentage of interviewees who have positive responses to particular functions of SEA

All interviewees expected that SEA will help to increase the environmental awareness of both planners and decision-makers, and they considered that other suggested SEA benefits will be achieved if planners and decision-makers have a higher awareness of environmental issues. UP-N 8: “For a long time the government has ignored environmental issues when there are conflicts between economic development and environmental protection. I believe that SEA will change this situation, and the planners and decision makers may gain higher environmental awareness.”

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Promoting well-informed decision-making in the planning process is highly expected as a benefit of SEA. Thirty two interviewees argued that the assessment of environmental impacts would enable decision-makers to realise the implications of making decisions that are detrimental to the environment. This is particularly crucial in considering alternative strategies and policies, where SEA could provide a procedure for decision-makers to take account of possible environmental effects of development investments. Through SEA it was considered that decision-makers will be informed of the pros and cons of decisions made at every stage of the planning process. EP-R 2: “I think the strategic thinking SEA can raise is most important. SEA can make the decision makers and urban planners think strategically and provide meaningful decisions. If this the case, we don’t have to worry that they will ignore the environmental issues.” The greatest expected benefit concerned integrating related planning processes. Most of the interviewees believed that the current urban and environmental planning systems are separated and they hope that SEA might help to integrate them. EP-N 2: “SEA can incorporate different opinions from various parts at an early stage. It helps to integrate the planning systems and improve institutional coordination. Through exchanging of opinions between urban and environmental planners, SEA may help integrate both planning systems.” Improving institutional coordination achieved a relatively high score. Four urban planners believed at national level believed that institutional coordination is already workable and it is the divided planning system that causes problems. On the other hand, three-quarters of the environmental planners complained that institutional coordination is poor because of the egotistical attitude of the urban agencies.

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Most of the environmental planners agreed that improving environmental assessment processes would be an important potential function of SEA. It seems that they considered SEA to be an extended project-EIA that focuses on substantial impacts. In the other hand, few urban planners claimed that environmental assessment is not necessary at strategic level. They feel that environmental concerns are already considered in planning and decision-making and detailed assessment is not essential at the strategic level. The concept of SEA can contribute to the sustainable development process; SEA was widely recognised by more than three-quarters of the interviewees as a valuable component of the sustainable development process. Consistent with the nature of an SEA system is its potential capacity to contribute to the achievement of sustainability aims. Most of environmental planners considered that SEA is based on several principles, which provide the basis for the development of more sustainable policy, plan and programme proposals. Development of strategic PPPs and formulation of strategic objectives achieved relatively little support from the urban planners comparing with the environmental ones; some urban planners believed that the planning system itself is flexible and has all the strategic functions of SEA. Many other impediments, such as political and methodological barriers limit the strategic functions of planning, and SEA would do little to overcome these. Increasing public awareness has the lowest rate among the interviewees; this may be due to 30% of the interviewees thinking that public involvement is not critical to policy-making. Public opinion may be collected for reference purposes but the public does not usually participate in urban development PPP formulation. On the other hand, many environmental planners believed that through an exchange of opinions between public and planners, public may gain more environmental knowledge and have higher awareness.

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EP-R 2: “Environmental issues are the easiest ones to be sacrificed. People are aware of environmental issues when the economic situation is OK. That is because the law environmental awareness of the public; the public do not value their environment. If SEA is effectively adopted, this situation will be changed.” EP-N 6: “Public participation and their sufficient involvement in strategic action making have a significant role in increasing their recognition of the environment. A well description of environmental concerns and their impacts during public participation will change their attitude towards the environment.” The high expectation of SEA benefits indicates that interviewees are aware of the inadequacies of the current urban planning system and expect that SEA can improve it. Nevertheless, this expectation does not mean that they believe these benefits would be fulfilled. Many interviewees stressed that these benefits were theoretically feasible, but sounded uncertain. It seems as though they hope or believe that SEA could be capable of achieving some benefits, but they do not expect that these benefits can be achieved any time soon due to some key issues related to Egyptian context as described in the next section.

7.2

Key issues related to context factors in Egypt Before SEA can be effectively adopted in Egypt, it is necessary to understand

the context factors that may impede or enhance its adoption and application, so that we know what efforts or resources are necessary. Regarding the key issues identified in the first stage of the interviews, and extending and complementing the discussion in Chapter 6 this section considers the interviews’ findings on this subject. 7.2.1 Political will Owing to the extremely high level of the strategic importance of SEA, most of the interviewees claimed that powerful political support with strong environmental perspectives is considered as one of the most important factors in the adoption of an effective SEA in Egypt.

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EP-N 2: “The conclusions can be dominated by the environmental agency if SEA is conducted or reviewed by the environmental agency. Without political support, the urban planners do not have to adopt the conclusions if they disagree with the results.” Many interviewees doubted that politicians would support the application of SEA. They admit that it is not easy to persuade politicians to support SEA, since they fear that SEA may limit their political choices. Even if SEAs were conducted, many felt the conclusions are most likely to be rejected by decision makers if they are not seen to be politically acceptable. While some interviewees did not agree that political preference would be a significant issue for SEA application, they believed that political preference would impede the implementation of SEA results. It seems that they consider that political preferences exist and that they are the overriding influence in the decision-making process. EP-R 2: “I will say the results of SEA will be adopted only when they are not against other evaluations (like financial analysis) or are politically acceptable.” UP-R 4: “The point is not the adoption of an SEA system, it is the application. I will assume that we have an SEA system in place; I think politicians would not push SEA findings to be implemented unless they would like to do.” Many interviewees pointed out that to change this situation, it is important to give environmental issues more priority in decision making processes. Most of the environmental planners argued that the low priority of environmental issues in Egypt may be the potential root of every barrier to SEA application and its results’ implementation. They agreed that environmental concerns are not the only factors involved in decision making, and they recognised that decision making and planning are two different stages. The results of SEA will need to compete with the results of other evaluations. In most cases, cost–benefit analysis dominates the decision, with environmental issues being largely irrelevant.

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UP-R 5: “The Urban agency is responsible for improving the urban system. It is reasonable to ask that the urban system be environmentally sustainable. But it would not be rational to reject an urban PPP solely because of a particular environmental impact.” EP-N 7: “I will not say the priority of environmental issues is low. I think the reasons why the environmental issues have not been addressed at strategic level may be due to ignorance, which is not a strong argument.” With this in mind, well-developed environmental policies, objectives and targets are considered to be important. Politicians may give more attention to certain SEA recommendations if relevant policies have been developed. In this context, clear environmental policies cannot only support SEA adoption but also guide the implementation of its results. EP-N 7: “I believe SEA can be operated well if we have clear environmental policy and objectives. The relevant planning processes and regulations will have to be adjusted to fulfil these objectives.” UP-N 5: “The environmental policies should have more announcements. The unclear environmental objectives cannot provide urban planners with operational objectives for urban planning.” While all the environmental planners argued that some environmental policies and objectives have already been developed, many urban planners claimed that there is a lack of environmental policies, objectives and targets. UP-N 9: “I have to admit that many environmental policies were adopted, but their influence was unclear.” EP-N 8: “Egyptian government has established many environmental policies. The lack of environmental policies or objectives is not true and should not be used as an excuse for not considering environmental aspects.” EP-N 6: “In Egypt, the National Environmental Action Plan is the key to the Egyptian environmental objectives. It calls for integrating environmental

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considerations into all PPPs related to all sectors of development. In addition, there are annual reports published by EEAA which present environmental objectives and targets required to be achieved for each sector.” This indicates that urban planners may be unfamiliar with the existing environmental policies, or that they do not know what the existing environmental policies mean in terms of urban planning. Urban planners need environmental policies, objectives or targets to set a frame for planning and to show how environmental concerns can be integrated into decision making. It also implies that the urban agencies rarely consult with environmental agencies during urban development PPP planning, and that environmental agencies may fail to inform the urban agencies of the implication of their PPP in urban planning, which leads to environmental policies not being given much weight during urban PPP formulation. 7.2.2 Legal mandate Legal mandate was felt to be an important support, not only for adopting SEA but also for implementing its results. SEA results are only recommendations and planners and decision makers have to consider other factors, not only environmental issues in their deliberations. Many interviewees argued that decision makers may give more attention to SEA recommendations if legal mandatory provisions could be developed. They also believed that due to a lack of supportive mandatory provisions, decision makers may ignore the SEA results. EP-R 7: “It is possible that some agencies may not agree with some conclusions of planning. But these conclusions will be implemented if they are mandatory provisions supporting strong environmental perspectives” UP-N 5: “I agree that decision makers may challenge the results of an SEA process if they disagree. Many arguments may occur if the results are unwanted. To improve this situation, mandatory provisions need to be developed.”

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With this in mind, almost all interviewees argued that the current Egyptian environmental law is an appropriate legal mandate that supports the adoption of SEA; they considered that the enactment of the Environment Protection Law 4/1994 addressed several significant legislative gaps in the legal framework for environmental protection neglected by earlier legislations; it presents an example for the amalgamation of all environmental legislations into one act. Despite these positive impacts, it was identified during the first stage of interviews that one significant weakness is an insufficient enforcement of environmental law that may impede an effective SEA implementation. The interviewees claimed that the potential impediment to effective and meaningful enforcement and implementation of the law's provisions may be due to the fragmentation among regulatory institutions. To change this situation, they considered that this fragmentation of responsibilities necessitates a high degree of interagency coordination for effective management. They also argued that there should be a specific inspection authority with a clear responsibility to enforce the law and report any violation of its provisions, in order to apply enforcement actions effectively. EP-R 1: “The record for enforcing environmental laws was not very successful; the results of SEA are not likely to be adopted if the law fails to enforce it.” EP-N 5: “Though, Egypt has a long history of environmental legislation, the major problem lies in weak regulatory compliance and enforcement, this due to unclear responsibilities among the relevant authorities and agencies, and the absence of a specific authority in charge of enforcing the law.” Recently, Law 9/2009 has made a substantial effort to improve enforcement at different levels. Major institutional and organisational reforms have taken place within the EEAA and its regional branches. The inspection department in EEAA was further strengthened. Periodic monitoring and inspections are made by this department (Egypt, 2009). The enforcement units within inspection departments in EEAA regional branches are also required to report any violations of the law.

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On the other hand, one environmental planner claimed that it might not be proper to enforce SEA results by law; SEA results will have an enforcement basis if they are compromised conclusions made through coordination and the decision-making process. He believed that mandatory enforcement provisions for SEA results might force SEA strategic characteristics to become retroactive, because urban agency is most likely to make vague and inconclusive conclusions that will not tie its own hands. EP-N 3: “Urban PPP proponents may adopt the results of SEA without mandatory legislation when they are feasible. If there is mandatory enforcement legislation, I believe the results of SEA will be vague and general.” 7.2.3 Environmental institutions' capacity Sufficient institutional capacity and organisational aptitude of environmental institutions is identified to be a significant support if the SEA process is to be implemented in an effective manner. In this context, institutional coordination and integrated planning systems are considered to be important. Most of the environmental planners believed that poor institutional coordination is a common problem in the Egyptian government; it seems to be at the root of institutional issues. They claimed that the current negotiation channels between agencies seem to be insufficient and may be a critical barrier to SEA application. The urban agency does not inform the environmental agency while urban PPPs are being formulated. It may ask its opinion only when the urban development PPPs have been selected or it may make decisions without consulting with it. EP-N 9: “Be honest, we have not been consulted in any urban PPP. I have never been involved in urban PPP formulation. The urban planners are not keen to communicate with the environmental agency.” EP-N 7: “I agree that poor institutional coordination is a very serious issue to adopting SEA. The Urban agency does not inform the environmental agency while urban PPPs are being formulated. We have only received request to be involved regarding project-EIA.”

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It is obvious that urban planners do not comply with current environmental policies. However, environmental agencies did not do their job well either, because it is their responsibility to promote their established environmental policies. It would be the urban agencies’ fault if they knew of existing environmental

policies.

Urban

planners'

poor

awareness

of

current

environmental policies means that environmental agencies have failed to coordinate with urban agencies to implement their policies. A non-integrated planning system is also identified as a most serious institutional

issue,

methodologies

and

resulting in lastly,

non-integrated

non-integrated

objectives,

outcomes.

The

alternatives, urban

and

environmental planning systems are independently separate at this stage, with the only connection between them being the project-EIA mechanism. However, project-EIA is a passive impact-reducing tool, and does not guide the original planning process or set objectives. The different essences of the two planning systems may result in certain integration issues. EP-R 3: “It is common that each planning system goes its own way. The situation is very serious, not only for urban and environmental planning, it also happens between various agencies.” UP-R 1: “Environmental planning and urban planning are independent planning systems. They might have some connections at the project level; however, the two planning systems have no interaction at strategic level and are totally non-integrated. ” Most of the interviewees believed that a better integrated planning system requires “clear responsibilities of actors involved in the SEA and planning processes” for an effective application of SEA. Most of the interviewees felt that it is essential to determine who will be involved in the SEA process and what they are responsible for. They believed that too many participants will make the responsibilities too complicated and unclear. This suggests that only relevant agencies should participate and that they should have clear roles. The detailed planning process should be shared between all participants according to their roles.

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7.2.4 Environmental education and awareness Due to "mental distance" between those responsible for SEA and PPP making (Hilden et al. (2004) as cited in Fischer (2007), increasing environmental education and awareness are important to change this situation. Most of the interviewees argued that environmental education and awareness are needed for SEA actors to understand the significance of the SEA process. They argued that the more awareness of SEA is in place among those who are involved in the SEA process, the more agreement of SEA results will be achieved. EP-N 8: “To increase the environmental awareness of decision makers is an ultimate solution to incorporate environmental concerns into decision making. Decision makers will agree to SEA outcome, and actively required urban planners to consider it if they are aware of the importance of these concerns.” Many environmental planners believed that the lack of agreement of SEA results between agencies may impede the implementation of SEA. Different agencies may have different interpretations of the conclusions or even disagree with the conclusions made by other agencies. The application of SEA will fail if the disagreement among agencies is significant. One environmental planner at national level argued that disagreement will not happen if the SEA conclusions reflect a consensus between all participants and if disputes have been dealt with within the SEA. EP-R 1: “How could we make a correct opinion or suggestion for decision making according to the disagreement among actors involved in SEA process?; If all actors involved in SEA have a clear awareness of its significance, it is easy to get an agreement of SEA findings. In this way, SEA will inform decision makers with better information. ” EP-N 6: “I think it will be OK for the implementation of SEA while the results have been set by the agency which is responsible for implementation. But when the results need other agencies' Intervention, agreement to the results will be necessary.”

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7.2.5 EIA implementation EIA implementation is considered to be a capital for securing basic implementation capacity for SEA. In this context, most of the interviewees argued that they are familiar with the EIA process and procedures; they also believed that their knowledge may assist them to build a clear recognition of the SEA process. They claimed that the EIA system, with clear procedures and responsibilities of actors, is well defined in the environmental law. The interviewees argued that since its introduction in 1994, it has progressed considerably; its use and application are relatively strong across the country to a great extent. Nevertheless, they claimed that the key issues affecting EIA best practice in Egypt are inadequate public participation, lack of systematic review criteria, and weak follow-up and monitoring. EP-N 6: “There are no legal requirements for public participation in the Egyptian EIA process. Public hearings were conducted only for certain projects funded by international organisations.” Almost all environmental planners indicated that an adequate response can be obtained from the public, but that public opinion is not always considered. They argued that the majority of public hearings take place during EIA report preparation, and many developers consider the EIA report to be a confidential report. Many interviewees claimed that even during public hearing meetings, little attention is given to the environmental consequences and related issues when describing the proposed project. As a result, the public are not aware of project's environmental consequences and do not understand their responsibility towards the EIA process. EP-N 6: “During a public meeting, the proposed project description and related activities are discussed in detail, with less attention given to the environmental consequences. This results in poor awareness of environmental impacts that may be caused by the project.”

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Moreover, many interviewees argued that the internal review of EIA by internal employees who use their professional knowledge and judgement in the evaluation makes the EIA review more dependent on the views of the individuals undertaking it. They believe that to reduce the subjectivity, it is important to develop a review checklist or guideline to provide systematic rigour and to add transparency to the process. Also, to improve transparency, they believed that it is important to allow input from academic institutions, local government, the public and NGOs. With respect to monitoring, this usually takes place in response to environmental complaints and/or problems that arise. Moreover, there are no mandatory requirements for monitoring those impacts predicted within an EIA study, during either construction or operation. Most of the interviewees agreed that there is a lack of a monitoring programme that compares EIA-predicted impacts with those that actually occur during construction and operation. Hence, this lack of post-decision monitoring prevents an EIA from developing into a continual assessment of impacts. 7.2.6 Technical know-how During the interviews, the quality issue was highlighted. Many interviewees believed that an effective implementation of the SEA process and procedures provides sufficient results and findings. In this context, sufficient advisory guidelines and reliable methodologies are identified to be potentially important to SEA application. Many interviewees stated that SEA will be a new tool, and there will be limited knowledge of methodological and technical issues in the early years. It is important therefore for operational guidelines to be in place in order to show planners how to conduct SEA. Most urban planners felt that the absence of sufficient guidelines would be a critical impediment to SEA application. Environmental planners claimed that poor planning may be rejected by decision makers because unreliable methods will make accurate SEA more difficult.

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EP-R 3: “SEA is a quite a new concept. Not only are the urban planners unfamiliar with SEA, even the environmental planners may not know how to do it.” EP-N 4: “The planners' limited understanding of SEA may impede the promotion of SEA. They may have stronger awareness of SEA, but they may not have much knowledge about its application. Sufficient guidelines are serious support to the promotion of SEA. ” UP-N 8: “Due to the lack of reliable methodologies, it is impossible to achieve accurate SEA. Moreover, urban strategies sometimes do not have clear description. The assessment is uncertain if the basic inputs are unclear. If the assessment is too rough, more errors may be happen.” Most of the interviewees believed that training support and skilled personnel are important keys to the effective application of SEA. Both the conductors and reviewers need to be skilled enough to carry out their roles; they should be provided with adequate methods and techniques to guide their work. Many interviewees argued that the lack of a clear understanding of needs, objectives, values and methods may pose a critical issue for effective SEA application. EP-N 2: “Training support is important for an effective SEA application. We can persuade urban planners that their planning focused on technical issues is wrong, but we cannot answer the question when they ask how to conduct SEA.” UP-R 5: “Basically, the quality of results is a vital factor of urban planning. Lack of training support and insufficient personnel may lead to insufficient results.” UP-N 7: “Without clear direction, or should we say the training support; I do not think we, the urban planners, can find the right track.”

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Case Study Findings

Expected SEA system The previous sections in this chapter discussed the opinions of interviewees

regarding their awareness of SEA, and willingness to support SEA in Egypt. Expected functions of SEA to the Egyptian context were identified; the potentially key issues related to SEA adoption were considered. This section seeks to investigate with the interviewees what the appropriate approach to set up SEA system within the Egyptian context, and what the expected structural elements which would consist SEA system in Egypt. The quantitative data presented here illustrates to what degree interviewees supported their choices. Positive rate means the percentage of the interviewees who had positive responses (either "strongly agree" or "agree"). Details regarding the responses from different types on the interviewees are presented in Appendix 5. 7.3.1 SEA Legislation The purpose of this area of investigation was to determine how SEA legislative provisions could be introduced in Egypt. In other words, it attempts to verify the legal provisions on which an SEA system could be based and developed in the Egyptian context. 7.3.1.1

Driving forces for implementing SEA in Egypt

Most interviewees did not believe that SEA would be widely applied in the short term. They felt that it was necessary to understand what can effectively make or encourage SEA to happen. Critically there was a general belief that mandatory SEA regulation would be the most powerful driving force for SEA application (see Table 7.2). Most of interviewees believed that there will be no SEA, at least no wide application of it, if there are no mandatory SEA provisions. Basically, all environmental planners believe that mandatory SEA legislation is the most applicable and suitable for the Egyptian context.

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EP-R 3: “Mandatory legislation is the most effective guarantee of government action. Without complete mandatory provisions, it is hard to promote SEA.” UP-N 9: “Without mandatory legislation, the urban planning agency will not actively conduct SEA. Urban planners may not think it is necessary or they may be afraid of overstepping someone’s authority.” Table 7.2: Driving forces for implementing SEA Legislation Mandatory regulation

Requirement set by cabinet or council

Requirement set by planning agency

Requirement set by environmental agency

EP positive rate

100%

89%

83%

44%

UP positive rate

81%

69%

63%

31%

Total

91%

79%

74%

38%

Required by others Requirement from the decision-maker

Meeting the public requirement

Research study

Environmental awareness

EP positive rate

83%

44%

17%

44%

UP positive rate

100%

25%

13%

63%

Total

88%

35%

15%

53%

Note: Positive rate: respondents have positive response/total respondents * 100 Bold and Underlined: Highest rate; Italic: Lowest rate EP (environmental planners); UP (urban planners)

The requirement from decision-makers also received high support amongst the interviewees, as an alternative of mandatory regulation. Thirty interviewees claimed that SEA could be applied when decision makers require the proponent to conduct an SEA process. In this case, there will be sufficient basis to conduct SEA, because the legislation process may take a long time. However, they still believe that mandatory legislation will be the ultimate means in regulating the responsibilities within various agencies.

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EP-N 1: “Be honest, without a request from decision-makers, the urban agency will not conduct SEA. Even if they did, it would be an internal reference, and the results will not be reported to the decision-makers. Because no one asked them to do, they may get into trouble if the SEA is not good enough, or has unacceptable results to decision-makers.” UP-N 2: “Legislation is a long way off. If SEA is required by decision-makers, this may be sufficient to provide a foundation for SEA. However, if SEA involves too many agencies, I will say mandatory legislation is necessary.” Few urban planners at regional level, on the other hand, believed that mandatory legislation and a guiding strategy are not essential requirements for promoting or conducting SEA; SEA is just the right thing to do. One regional urban planner argued that what mandatory provisions can regulate is only a process. He believed that only a conceptual evolution could totally change a decision-making model to be effectively used to guide PPP making. Then, the decision-making model will adapt to SEA if SEA becomes a broad and routine application. EP-R 8: “Yes, mandatory legislation can guarantee SEA, but it is only a process. The most important effort to promote an effective SEA is to promote a conceptual revolution. We have to persuade regional people that urban development may not always be the best choice. If we cannot do that, we cannot change the decision-making model of local politicians. In short, it is government’s duty to educate people and increase their environmental awareness. Mandatory legislation will be unnecessary when our people have higher environmental awareness.” EP-N 7: “Mandatory legislation is very effective. All government staff must obey it, but it is not essential. If all planners acknowledge the need for SEA, they will do it.”

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On other hand, some environmental planners had another proposal; more than three-quarters of the environmental planners argued that administrative orders could also be effective if there could not be mandatory legislation at the recent years. They considered that administrative orders set by the cabinet or urban agency would be respected. However, if they were set by the environmental agency, they would be recognised as internal administrative orders and would not have ruling authority over other agencies. UP-N 7: “Administrative orders could be a better alternative to mandatory legislation. If the cabinet requires the proponent to conduct SEA for the development planning strategies, there is no doubt that the proponent agency will respect and comply with the cabinet’s order.” Both options, meeting the requirement of public and research study, received the lowest support rate amongst both environmental and urban planners. They believed that the influence of public and research area has a weak influence as driving forces to implement SEA. 7.3.1.2

SEA legal basis

Overall therefore it is evident that most interviewees felt that SEA will not be effectively and widely conducted without strong legal basis due to its high level of strategic importance. There are however a range of statutory approaches that could be adopted. Integrated SEA into the existing EIA provisions received the highest support (see Table 7.3). Table 7.3: Opinions on appropriate SEA legal basis Exclusive provisions

Integrated with EIA

Integrated with other legislations

EP positive rate

56%

95%

17%

UP positive rate

75%

81%

19%

Total

65%

88%

18%


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Most environmental planners advocated that SEA provisions may be incorporated with EIA legislation. They claimed that EIA is already well defined in the Egyptian context, and different agencies are familiar with its provisions. They argued that exclusive legislation may take a long time to be put in place. EP-N 3: “EIA legislation was established by Environmental Protection Law No. 4, and it is well defined within the Egyptian context. If SEA is incorporated with EIA, it could be a broad EA legislation which covers all development areas, from higher-level strategy to project level” EP-R 5: “In case there are no exclusive provisions, SEA may be provided within existing EIA legislation, both of them have a similar aim to integrate environmental considerations into the decision-making process.” On the other hand, Exclusive previsions received a high support from urban planners than environmental planners. They claimed that SEA should be introduced in exclusive provisions; they believed that with exclusive provisions, the responsible agency will be equipped with sufficient resources, including methodological and procedural resources UP-N 8: “SEA is a new tool, the exclusive provisions makes it comprehensible and well-defined. There are many aspects emerging from SEA, so the exclusive provisions would make it clear for the responsible agency to conduct SEA sufficiently.” UP-N 1: “It is essential, to promote SEA application in a clear approach for all participants, that environmentally sustainable policies and objectives should be clear and powerful. There is no doubt that exclusive provisions may promote a well-defined SEA system.” The option of the ability to integrate SEA provisions with other legislation was met with low support from most interviewees. Some believed that the current environmental policies are not comprehensive and do not usually have quantitative objectives. Urban agencies need clearer environmental objectives and targets because they lack the requisite environmental knowledge.

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In conclusion, most interviewees believed that mandatory provisions integrating SEA into EIA legislation are most applicable and suitable for Egypt. They considered that it was necessary to form an effective package to enforce and guide SEA application, because SEA will be new in environmental assessment and management in the Egyptian context. 7.3.1.3

Administration level

Table 7.4: Opinions on appropriate administrative levels for SEA application National

Regional

Governorate

Local

EP positive rate

100%

94%

94%

100%

UP positive rate

100%

81%

81%

88%

Total

100%

88%

88%

94%


It has been suggested that SEA can be categorised according to the administrative level in the planning process at which it is applied. SEA tiering can be distinguished between different administrative levels (national, regional, subregional and local). The Egyptian urban planning system is distinguished by four administrative levels, namely, national, regional, governorate and local levels. Most of the interviewees believed that to achieve sustainable urban policy making, Although there was a nuance among interviewees, SEA is required to be implemented for urban plans at all administrative levels of planning (see Table 7.4). EP-N 1: “SEA should be conducted at different levels of planning. It is necessary to conduct SEA at all levels in order for the associated plans to fulfil the environmental objectives set by the corresponding policy.” UP-R 4: “To achieve sustainable patterns of urban development at all levels of planning, it is important to consider the environmental consequences associated with strategic actions at different levels. If SEA is adopted, it should be applied at all planning levels.”

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UP-R 2: “In my opinion, strategic actions at governorate and local levels are important actions which need SEA to be applied for, because they track the way for various programmes and projects at these levels. But I will not say, if there is an opportunity to conduct SEA at national and regional levels, it is not necessary.” 7.3.1.4

SEA tiering

Table 7.5 shows that most of interviewees supported SEA application at all strategic levels. The higher policy-level strategy received the lowest support. The development programme attracted highest support from all interviewees because it usually incorporates physical details. Table 7.5: Opinions on appropriate tiers for SEA application Policy

Plan

Programme

EP positive rate

56%

94%

100%

UP positive rate

94%

81%

100%

Total

79%

88%

100%


About one-third of the environmental planners gave a negative response to the suggestion that the higher policy level is not suitable for the conducting of SEA because it does not have physical actions and is not area-specific. EP-R 4: “SEA is suitable and applicable for those government strategies at programme level with physical actions.” EP-N 6: “Higher level policies are usually instructive principles without physical contents. They are not area-specific or have no connections to space.” However, one environmental planner advocated that if SEA is conducted at the highest strategic level, the associated plans and programmes will not need SEA if they fulfil the environmental principles and objectives set by the corresponding urban policy. It could be suggested that he might be wrong about

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this idea, because he ignored the fact that strategic planning is a dynamic process and should be connected to decision-making at different check points. However, he may be right about the result. The urban planning process which sets up of environmental principles and objectives set by the corresponding urban policy can be regarded as a tiered SEA. EP-N 8: “SEA should be conducted at the highest policy level in the very beginning. It is not necessary to conduct SEA at each level if the associated plans and programmes have fulfilled the environmental objectives and principles set by the corresponding policy.” On the other hand, almost all urban planners supported policy-SEA because they are familiar with top-down tiered planning system. They argued that environmental concerns should be considered as early as possible, and the principles or targets set in high-level policy can guide the plans and programmes that follow. UP-N 3: “The top-down tiered planning system may trickle down the environmental objectives or principles from higher strategies to lower programmes or projects. So, I think, SEA should be considered early at higher policy level.” UP-R 2: “There are different level strategies, so there should be different tiers of SEA for each of them. The planning process and methodologies may be different. For instance, higher-level policies can be checked by some criteria or conditions. Then the plan will be guided by some objectives. Detailed programmes can conduct comprehensive evaluation. Even though we may evaluate all these PPPs, we should conduct these SEAs in different ways.” UP-N 3: “Higher level policy is only suitable for qualitative SEA (ex. Checklist). The plan may be suitable for more concrete evaluation. The programme is no doubt suitable and necessary for detailed analysis.”

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One central urban planner argued that detailed analysis would be a waste if the proposed higher policy is not adopted. In fact, the “higher level policy” example he mentioned (establishing a new highway), and it is designed to pass through a protected area, which is contrary to the “Protected Area Law”. If a plan SEA is conducted, this legal conflict can be easily identified, and other alternatives can be developed. If a policy SEA is conducted this programme may not be existed at all, because the dispute between environmental and urban policy will be discussed, and legal modifications or alternatives will be made. This example illustrates importance of a tiered SEA system. It can be seen that the urban planners have a more open opinion regarding the scope of SEA application, and they considered that a tiered SEA system would work for the urban planning system. While they may have no clear idea how a tiering SEA system works, they are familiar with a tiered urban planning system. This familiarity is valuable and may increase the potential of SEA. However, urban planners give strong support to policy SEA. This good will indicates that urban planners do not necessarily have a resistance to incorporating environmental concerns into urban strategies at different levels. 7.3.1.5

Integrating with planning process

An integration approach between SEA and the planning system received the highest support among interviewees (see Table 7.6). They argued that there are strong rationales for integrating SEA with the planning process. The rationales that emerged include the need for more efficient decision making and stronger representation of environmental thinking in PPPs making. Most environmental planners supported the integration approach; they believed that an integrated planning system is one that could provide the most serious

support

that

resulting

in

integrated

objectives,

alternatives,

methodologies and lastly, integrated outcomes. The integrated approach was felt to assist in considering environmental concerns as early as possible in policymaking.

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EP-N 1: “There is no doubt that integration between planning systems could result in integrated objectives, alternatives and methodologies, I addition, integration is the most essential legal support for SEA application.” EP-N 4: “In my opinion, SEA which is integrated into the planning process will more effectively influence decision-making than an isolated SEA.” Table 7.6: Opinions on appropriate model for SEA integration Separate SEA (external tool)

Dual track (partially integration)

Integrated SEA (fully integration)

EP positive rate

22%

61%

89%

UP positive rate

13%

75%

87%

Total

18%

68%

88%


Environmental planners felt that at present environmental concerns are not incorporated into higher urban policy planning strategies and they are not involved in setting any one of them. The urban and environmental planning systems are independently separate at this stage, with the only connection between them being the project-EIA mechanism. The different essences of the two planning systems have resulted in certain integration impediments. EP-N 5: “Urban planning has built its own world. Urban planning seems to have a well-established system. And environmental planning is not incorporated into it. For the EIA system, it can be seen as an attached process to the urban planning system. It puts limitations and thresholds to the proposed projects but cannot influence the whole planning principles.” EP-R 1: “The two planning systems have no interaction at strategic level and are totally non-integrated; they might have some connections at the project level where EIA is applied.”

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Urban planners believed the integration approach as a means of achieving more sustainable strategies. One national urban staff member advocated that the benefit of integrated planning is obvious. Many planners support the fact that the two planning systems are quite similar in their principles and processes. Their themes may be different, but both urban and environmental planning use the same language. They can be integrated when urban and environmental planners share the same values. UP-R 4: “Planning theory has been developed into many types for different disciplines. It seems complicated but the principles are the same.” UP-N 7: “Actually environmental and urban planning have similar planning processes and use the same planning language. These two processes can be integrated if their planners have the same values. It will be great if we can incorporate environmental concerns into urban planning at the very beginning. But the practice is a problem. The idea is one thing; reality is another.” Most interviewees felt that a non-integrated SEA mechanism would be just another project-EIA, separated from the main urban planning process and likely to become another weapon of the environmental agencies in the departmentalism arena. They believed that non-integrated planning systems can cause another problem; different conclusions from two different systems. Different agencies may have different recognition of the conclusions or even disagree with the conclusions made by other agencies. The implementation of SEA results will fail if the disagreement among agencies is significant. UP-N 6: “The planning results do not represent the agreements between participating agencies, because the results are usually driven by the chairperson who is usually a high-ranking staff member of a specific agency. We, the government staff, will not stand directly against each other, especially if one is a high-ranking superior. But the result may get frozen without the full cooperation from other agencies.”

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One national environmental planner argued that disagreement will not happen in cases where the conclusion of SEA reflects a consensus between all participants in SEA, and all disputes would have been dealt with. EP-N 4: “The result of SEA represents the agreement between its participants. Different participants should have reached a compromise during the process, including agreement related political considerations. Even though some participants may not be satisfied with the process or the results, this will not affect the acceptance of the SEA. Because the result is the product of compromise, there will be a strong enough driving force to implement them.” There was a consensus that the separate model does not bring the benefits that SEA is supposed to deliver. Many interviewees argued that the benefits of SEA may be lost if it is carried out as a completely separate process. Integrated planning receives highest support, but many of the interviewees thought that it will be workable only if the SEA system could be established and excellent institutional coordination has been achieved. There were significant differences among planners in their support for the level of integration, and in general, urban planners were more supportive than other planners were. Environmental planners thought that integrated planning is an idealistic vision. 68% of the interviewees claimed that the full integration could not be achieved at recent years, due to administrative barriers; they felt that a fully integrated system needs well-established and excellent institutional coordination, a more secure and feasible way at present is to partially integrate SEA into strategic action preparation and decision making (Dual-track). EP-N 1: “The full integration of SEA into strategic planning would need significant changes to the current administrative structure, this change will not happen in the short term.” UP-N 2: “The Egyptian system from the central to the local does not have experience of fully integrating environmental considerations into strategic planning. In my opinion, the partial integration is the most appropriate approach at present; Full SEA integration is an idealistic vision.”

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Overall, there was however an evidence of strong support to integrated SEA and this indicates that most of the planners have no inbuilt resistance to incorporating environmental concerns into planning process from the beginning stage of strategy making. 7.3.2 SEA administration The purpose of this area of investigation was to determine which authorities should be involved in an Egyptian SEA system. This part identifies the official mechanisms, the institutional and organisational structures for SEA. In other words, it attempts to verify those who should work on SEA and allocate the responsibility for every stage of the process. 7.3.2.1 SEA initiator The urban planning agency, as the proponent, was considered by almost all the interviewees to be the suitable authority for initiating the SEA process (see Table 7.7). Most planners argued that the urban planning agency is responsible for setting the environmental objectives and targets of its PPPs, and these objectives should include requirements to achieve environmentally sustainable strategies. Table 7.7: Opinions on the suitable body to initiate SEA Competent authority

Proponent authority

(Environmental planning authority)

(Urban planning authority)

EP positive rate

39%

UP positive rate

Total

Specific committee Steering committee with relevant agencies

Joint committee from Urban & Environmental authorities

72%

17%

28%

25%

100%

19%

19%

32%

85%

18%

24%


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All urban planners believed that the urban planning agencies should be the responsible for initiating the SEA process, due to its role in preparation of the relevant policies, plans and programmes for the country. They considered that if the urban planning agency is responsible for promoting sustainable development through its PPPs, then this will be done when the urban planning agency considers environmental concerns as early as possible when drafting its strategies. UP-N 7: “While the responsibility to prepare planning strategies is with the urban planning agency, the responsibility to initiate SEA should be with the authority responsible for the preparation of the relevant PPPs, as SEA is considered a strategic planning tool.” EP-N 2: “Carrying out SEA in my opinion should be one of the most serious objectives to promote sustainability through urban planning PPPs. However, the responsibility to initiate SEA should be the authority responsible for initiating of the relevant policies, plans and programmes.” In contrast, a few environmental planners at regional level believed that the environmental agency is most suitable for initiating SEA. They argued that the environmental agency is responsible for setting the environmental policies for the country. In addition, they felt that the environmental agency is the most suitable for setting up SEA provisions, and this should include provisions related to which PPPs should conduct SEA. 7.3.2.2 SEA conductor The urban planning agency and a steering committee with relevant agencies received the highest support rate amongst the interviewees as the most suitable authority for conducting SEA (see Table 7.8).

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Table 7.8: Opinions on the suitable body to conduct SEA Competent authority

Proponent authority



EP positive rate

28%

UP positive rate

Total



78%

67%

44%

31%

82%

75%

25%

29%

80%

76%

35%


Most planners have indicated that the urban planning agency is technically and politically the correct body to conduct SEA. They believed that the urban planning agency is familiar with the demands of other relevant PPPs. While the environmental agency may do a better environmental analysis, it does not have the capacity to make more strategic PPP. UP-N 1: “In my opinion, the urban agency has the capacity to make its development policies and plans more strategic. We here in the urban agency are more familiar with the development objectives than the environmental agency.” UP-R 2: “SEA is considered as a planning tool aiming to consider the environmental concerns as early as possible in planning process. So it is obvious that the urban agency should be the most suitable body to conduct SEA within its development preparation.” 82% of the urban planners also believed that the urban planning agency is the most suitable agency; they are afraid that environmental agencies may ignore the original objectives of urban planning, and put more weight on other issues. In addition, some felt that SEA should not be considered as a separate planning tool, but a new planning scheme suitable for every agency. It is therefore impossible for the environmental agency to take over all the planning tasks, and each agency should adopt and conduct its own SEAs.

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UP-N 1: “The environmental agency is not familiar with urban development PPPs’ demands. It may give less attention to the original objectives of planning and it is unachievable for the environmental agency to deal with all the planning tasks.” Five environmental planners argued that the environmental agency was most suitable for conducting SEA. They were afraid that the urban planning agency has the authority to use pressure to promote its PPPs; they believed that the urban planning agency is not the proper authority to conduct SEA. They argued that the urban planning agency might repel environmental considerations if those concerns threaten planning PPP implementation. EP-R 2: “The urban planning agency has the power to use pressure to push their strategies even if their impacts threaten the environment, so it is not the suitable authority to conduct SEA.” Three-quarters of interviewees who supported a broad approach claimed that SEA covers different disciplines and should be conducted by a committee, but not solely by a specific agency (integrated planning scheme). The integration of SEA within the planning process means that the assessors should be a group of responsible specialist personnel who are included within the planning team itself, under the coordination of the leader of the planning team. These personnel could be from any of the disciplines associated with physical, economic, social and cultural environments. They also argued that only those agencies which are relevant to the proposed PPP should participate in the committee, as too many agencies will reduce the efficiency of the SEA, whilst too few may cause incomplete consideration. Which agencies should be participated in SEA? Most interviewees ticked all listed agencies or organisations and consider that they are all relevant to SEA (see Table 7.9). Those agencies which are closely connected to planning such as land use, transport and environmental agencies received the highest support rates. NGOs and the public have relatively low support. This suggests that some planners still think public involvement is not essential in strategic level urban planning.

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Table 7.9: Opinions on appropriate participants in SEA Positive rate

Positive rate

Urban agency

100%

Central or local governments

91%

Environmental agency

100%

Urban interest or NGOs

88%

Land use agency

100%

Environmental interest NGOs

74%

Transport agency

100%

Social affair interest NGOs

68%

Energy agency

70%

Academia

94%

Natural resource

76%

Public

68%


7.3.2.3 SEA reviewer Most interviewees agreed that an independent party such as an environmental agency or a review committee should review SEA reports in order to minimise bias. The environmental agency and a steering commission were considered by most to be the most suitable body for this task (see Table 7.10). Table 7.10: Opinions on the suitable body to review SEA Competent authority

Proponent authority



EP positive rate

100%

UP positive rate

Total



17%

83%

22%

81%

31%

63%

44%

91%

24%

74%

32%


The supporters claimed that the reviewing body should be familiar with all planning principles and issues which become the basis for the particular strategy. Its members should, from the early stage of the planning process, be exposed to all aspects of planning which are unique to every plan type, so that there may be a common understanding of the opportunities and constraints which could be

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present. They also argued that the SEA reviewer should comprise relevant members from the government and private sectors, with a good representation from each field of physical environmental studies. Most interviewees indicated that the environmental planning agency is the technically and politically correct body to review the SEAs. All environmental planners believed that the environmental agency may do a better environmental analysis and is familiar with reviewing methods and techniques. UP-N 7: “To reduce bias, an independent expert team with experience with all planning aspects should review the SEA report. This team should have an appropriate technical capacity to do sufficient environmental analysis for the development document.” UP-R 2: “the environmental agency in my opinion is the most suitable body to review SEA because we have a high awareness of environmental analysis methods.” About one-quarter of the interviewees claimed that the urban agency may be able to review SEA report. They argued that this requires the urban agency to be familiar with review methods and techniques, so that urban planners need to more aware of these technical aspects, as well as they should have the willingness to promote sustainable development principles and objectives. 7.3.2.4 SEA inspector Most interviewees felt that the weakness and failure of any environmental assessment process is associated with the lack of commitment to the implementation of the outcomes. This is why it was felt to be important to ensure effective enforcement of SEA results.

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Table 7.11: Opinions on the suitable body to inspect SEA Competent authority

Proponent authority



EP positive rate

88%

UP positive rate

Total



11%

11%

83%

81%

25%

13%

63%

85%

18%

12%

74%


Table 7.11 indicates that most interviewees argued that the environmental agency should be responsible for enforcing the implementation of SEA results and ensuring comments given in the report are adhered to in amending the plan and strategy. Most environmental planners believed that the urban planning agency is not the right agency for such oversight because it is possible that the agency may overlook SEA outcomes in order to push its development strategies into implementation. On the other hand, the environmental agency received the highest support among interviewees as being the most suitable authority for monitoring the implementation of SEA results. In addition, about three-quarters of the interviewees believed that a joint committee from both environmental and urban authorities, with administrative and financial resources, may be suitable also for inspection of the SEA results. EP-N 3: “The urban planning agency is able to overcome the findings of the report and implement the strategy. To ensure compliance with the results of the SEA process, it should be an impartial body which should follow-up the outcomes of the review panel.” UP-R 5: “In my view there should be an inspection committee with dual relationships with both the environmental and urban agencies, this

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committee should be informed by the results of the report and notify the proponent agency of the outcomes given by the reviewer. On the other hand, it should follow-up the implementation of the strategy. 7.3.3 SEA process The purpose of this area of investigation was to determine what mechanisms might be used in SEA and how the SEA process could be operated. This part identifies the different approaches by which the SEA process could be implemented within the Egyptian context. 7.3.3.1

Screening

The screening stage is conducted to decide on whether SEA is needed. In this context, the main questions to be asked is whether those PPPs for which SEA is needed are specified and whether those PPPs are likely to have significant effects on the environment. As discussed earlier, SEA screening may be determined through a set of inclusive criteria, screening list or may be done on a case by case. However, inclusive criteria within SEA legislative requirements received the highest support from interviewees (see Table 7.12). They argued that if the SEA is to be applied effectively, the law should require that environmental assessment of qualifying PPPs should be undertaken. Table 7.12: Opinions on the suitable approach for Screening Screening

list

Case by case

Exclusive or inclusive criteria

EP positive rate

67%

17%

94%

UP positive rate

88%

19%

75%

Total

76%

18%

85%


85% of the interviewees believed that certain categories of PPPs are likely result in significant environmental effects and SEA therefore should be compulsory under the law. Therefore, these PPPs should be determined in the legislative requirements.

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EP-N 2: “In my point of view, inclusive criteria is the most suitable approach because SEA will be a new tool and there is no wealth of its experience to assist in identifying which PPP have impacts on the environment. As well as, case-by-case approach needs a deep-set base of expertise to effectively operate it.” EP-R 5: “All policies should be subject to SEA even if they apparently do not have any impacts, because any policy presents an overall image for specific development but it comprises many sub-level proposals which may have negative impacts.” About three-quarters of the interviewees believed that the screening list option is more suitable for programmes and projects. They argued that there are various programmes and projects that could be included within the urban planning policy and plan, therefore it is possible to identify categories of those which are likely to have considerable effects on the environment, whilst in case of urban policy and plan, it is not possible to identify categories of certain policies or plans types. UP-R 4: “In EIA, we use a classified screening list to identify which project has negative impacts on the environment. I see that this method is more suitable for the lower level of strategies (I mean programmes and projects) which include physical details that help in determining whether they have impacts or not.” The case-by-case approach received a low level of support from interviewees who felt that a case-by-case scan is a non-standardised screening procedure to address the strategic considerations associated with a proposal. However, this approach needs a wealth of SEA experience to be applied effectively. 7.3.3.2

Scoping

The scoping stage determines the likely extent (geographic, temporal and thematic) and level of detail of the assessment, the information to be included in

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the SEA and the environmental report. The scoping also identifies the methods to be used, the organisations and/or individuals to be consulted during the assessment, and the timing and length of the consultation period (see Section 2.7.3). Many interviewees agreed that the guidance form and legislative provisions are considered as different ways to show how to perform the scoping stage, while the last option (consultation with third party) is a factor to ensure the efficiency of the result of this stage (see Table 7.13). Thus, consultation with specific authorities when carrying out scoping stage received positive support from many interviewees who felt that this would help to ensure that the environmental information used for decision-making provides a comprehensive picture. However, actors involved will also be able to provide information, views and comments on all aspects of the PPP proposal. Table 7.13: Opinions on the suitable approach for Scoping Provision in legislation

Guidance form

Advice of third party

EP positive rate

88%

89%

61%

UP positive rate

63%

94%

75%

Total

74%

91%

68%


The use of a scoping guidance form received the highest support among interviewees. They argued that a guidance form of this type is the most suitable approach to deal with the SEA scoping stage. Most interviewees noted that urban planning PPPs vary depending on the nature and the scale and consequently the scoping stage will differ for each PPPs. However, they believed that a guidance form could be created that was suitable to cover various natures and scales of policies, plans and programmes which could not be covered in the law.

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EP-N 6: “Scoping is a descriptive stage rather than procedural in which the SEA conductor outlines for elaboration and clarification the likely extent and level of detail of the assessment, the methods to be used, and those who are involved in the process. In my view, the guidance form is the most appropriate way to explain how to do scoping because of the multiplicity of differences in the nature and scale of PPPs.” UP-N 2: “The scoping stage varies from policy to policy and from plan to plan, so it is helpful to provide a set of guidance covering different policies and plans because the legislation could not provide an assistance provisions to various policies and strategies.” 7.3.3.3

Impact assessment

The theoretical framework (see Section 4.3.3) identified that there are two approaches for prediction of environmental effects, namely, the EIA approach and the policy approach. In accordance to the results of interviews, the EIA approach received low support among many interviewees (see Table 7.14), as they considered that the current methodologies used by the project-EIA are designed for those physical and site-specific projects with clear quantitative information to identify short-term impacts. However, there is doubt that they can be fully transplanted into SEA. Table 7.14: Opinions on the suitable approach for Impact assessment EIA- model

Policy-model

EP positive rate

39%

88%

UP positive rate

13%

81%

Total

26%

85%


Seven environmental planners who supported the EIA approach advocated that this was a suitable prediction methodology. They claimed that they are

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familiar with this approach and they have considered that strategic long-term prediction could adopt EIA impact prediction techniques. EP-R 5: “In EIA, the methods and techniques used in predicting projects’ impacts may be adopted to be used for higher-level strategies; we are familiar with these methods. However, these methods could be used for programmes and projects levels” EP-R 6: “The means we have used in EIA are designed for physical projects with quantitative characteristics in which proposals can be assessed against environment baseline data. This is not suitable for higher level proposals which are less apprehensible in nature and which need more qualitative methods.” The policy model approach did in fact receive the highest support from most interviewees, they felt that the vague nature of higher strategies and nonquantitative attributes makes impact prediction difficult, which leads to the proposal that should be tested against environmental objectives, to see whether they are likely to contribute to, or work against, the achievement of those objectives. EP-N 1: “High-level strategies (policies and plans) are just a broad outline, with less detail, of what will be implemented in specific contexts, the most suitable techniques are the qualitative ones by which the proposals are tested against environmental objectives and criteria.” 7.3.3.4

Mitigation

Mitigation is considered by all interviewees to be an important stage in the SEA process setting out different measures that should be incorporated into the plan and/or its implementation. Avoiding the implementation of a strategic action was received a high support from environmental planners. They connected this option with the zero alternative idea; they argued that if any PPP has significant impacts on the environment (see Table 7.15), it is essential to consider avoiding implementation altogether in order to sustain the environment.

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Table 7.15: Opinions on the suitable approach for Mitigation Avoid implementation

Enhance positive impacts

Reduce negative impacts

EP positive rate

88%

44%

88%

UP positive rate

44%

69%

94%

Total

71%

56%

91%


EP-N 6: “The government should avoid the implementation of any proposal that turned out to have clear negative impacts on the environment in case of the absence of the ability of mitigation measures to reduce these impacts.” The option of reducing the negative impacts of the proposed PPPs received the highest support among all interviewees compared to the option of enhancing the positive impacts. 94% of the environmental planners felt that loss of focus on negative impacts in favour of enhancing positive impacts may cause many cumulative impacts in the future resulting in considerable damage to the environment. Therefore, they felt that it was very important to consider reducing the negative impacts of PPPs proposal to ensure that there will not be any cumulative or reverse impacts. On the other hand, urban planners who supported the option of enhancing positive impacts as opposed to focussing on negative impacts considered the importance of the implementation of the strategy goals rather than minimising negative impacts. EP-N 4: “Whenever mitigation measures are able to reduce the negative effects, it will be better. What we have suffered of development problem is accumulations of negative impacts which have been ignored before.” UP-R 2: “I know that we should pay attention to minimising the negative impacts, but this may be ignored by the authority which implements the strategy as long as there are positive impacts that could promote the implementation of this proposal.”

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7.3.3.5

Case Study Findings

SEA report

An integrated report was considered by many interviewees to be the most suitable approach for the SEA report (see Table 7.16). They argued that SEA is a process of incorporating environmental concerns into planning procedures. Therefore, the SEA report should be integral in PPP documents and that its contents need to be linked with planning procedures and decision-making processes. Many of environmental planners felt that the SEA report, from the early stage of the planning process, should be integral to all aspects of planning process. Table 7.16: Opinions on the suitable approach for SEA report Separate report

Integrated report

EP positive rate

22%

88%

UP positive rate

31%

88%

Total

26%

88%


EP-N 8: “Environmental assessment statement for any PPP comprises only planning aspects whether these aspects are environmental, social or economic aspects, as well as, the relationship between the PPP and the receiving environment. All of these aspects are considered as planning requirements.” UP-N 3: “We, central urban planners, are responsible for preparing the PPP and we should be the SEA conductor. So it is helpful that both PPP documents and SEA reports are integrated.” On the other hand, one-quarter of the interviewees advocated that the SEA report needs to be separate from the PPP document. They argued that documentation of the environmental report is an independent task and it should be in a separate document to enable the reviewer to carry out the assessment task in an appropriate manner. In addition, some interviewees felt that there

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may be some PPPs that do not need EA to be implemented, thus the SEA report does not need to be integrated into proposals document. 7.3.3.6

SEA review

Most interviewees agreed that external review by an independent committee was necessary in order to reduce bias. They argued that the SEA reports should be reviewed by a party other than the planning authority to be sure that the report will be assessed fairly (see Table 7.17). They were concerned that in case of the internal review or self-assessment, the planning authority could ignore the report outcomes to promote its PPPs. Table 7.17: Opinions on the suitable approach for SEA review Internal review

External review

EP positive rate

17%

94%

UP positive rate

31%

88%

Total

24%

91%


EP-R 2: “To ensure the integrity of the review stage, it should be carried out by another party other than the authority responsible for implementing the proposal. I am afraid in case of internal review by the planning authority; it may ignore the review outcomes or may do it roughly.” UP-R 4: “To reduce bias, an independent party, with experience with all planning aspects, should review the SEA report. This party should have suitable technical capacity to do sufficient environmental analysis for the development document.” Almost one-quarter on the interviewees claimed that SEA report, for some PPPs, may be internally reviewed in a responsible department within the urban agency. They argued that review team should include representatives from environmental agency who are familiar with reviewing methods and techniques.

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7.3.3.7

Case Study Findings

Public Participation and Consultation

Almost all of the interviewees agreed that current public consultation methods that are applied in EIA process are unreliable (see Section 6.5.3). It is hard to obtain the real public opinion, because the interviewees have considered that the public normally cares only about immediate interests, and that it will not give too much attention to strategic planning PPP. However, after probing for more detail, most of the interviewees indicated that all listed public consultation methods could be effective, except the information approach (see Table 7.18). They argued that in the information approach, there is no possibility for the public to give statements or influence the decision-making process directly. EP-N 6: “the information approach does not allow active participation between public and decision makers. It is only considered as a notification and reporting method about the new proposed PPPs without any sharing in SEA stages such as scoping and reviewing. In my view, this is the least effective method.” Table 7.18: Opinions on the suitable approach for Public participation Information approach

Involvement approach

Co-operation approach

EP positive rate

28%

88%

94%

UP positive rate

50%

81%

88%

Total

38%

85%

91%


The co-operation approach had the highest rate of support, which seems to conflict with their criticism about genuine public opinion. They indicated that the co-operation approach refers to decision-making processes between equal partners and includes the possibility for jointly developed solutions. Nevertheless, they believed that it is not possible to apply this approach in Egypt because this needs a change in values for decision-makers, accordingly they felt that co-operation is an idealistic method.

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EP-N 1: “The low environmental awareness and concerns of the public makes using the co-operation approach very difficult because it requires the public to participate in decision making. In addition, it requires the public to be aware of planning perspectives and this is not possible to be achieved in Egypt at this time.” 85% of the interviewees believed that the involvement approach is a quick way to effectively obtain representative public opinion. Most environmental planners considered that this approach offers the opportunity for the public to express its opinions in an active manner. They argued that opinions from key persons or advisory groups sometimes are closer to genuine public opinion. EP-N 8: “Involvement approach is the most suitable one for the Egyptian case as well as it makes the public role sufficient in expressing their opinions and lets decision makers taking these opinions into account in their decisions.” 7.3.3.8

Monitoring

Monitoring of SEA implementation was considered a significant stage in the SEA process in order to measure to what extent SEA is applied effectively and how SEA affects PPP implementation. Identifying new adverse effects received the highest support from interviewees as the most important facet for SEA monitoring and follow-up (see Table 7.19). Table 7.19: Opinions on the suitable approach for Monitoring Identifying new adverse impacts

Overseeing the predicted impacts

Achievement of PPP objectives

EP positive rate

100%

88%

44%

UP positive rate

88%

94%

94%

Total

94%

91%

68%


Most interviewees felt that the main task of monitoring is to oversee impacts not only the predicted ones but also the new unpredicted impacts. The

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predicted impact need to be overseen and managed in order to verify the success of mitigation measures. Moreover, most environmental planners have argued that unforeseen adverse effects which emerge during PPPs implementation may be very harmful on the environment and need to be identified in order to undertake appropriate remedial action This is important in SEA due to the high level of uncertainty in making predictions at the policy and plan levels.UP-N 8: “Due to the high level of uncertainty in making predictions at the high level, new impacts resulted during and after proposal implementation are of importance to be monitored. These impacts if ignored may cause accumulation of impacts which could lead to environmental deterioration that we have faced now.” EP-N 4: “It is important to reach beyond the decision making stage. Thus, an important

task

of

environmental

assessment

is

to

follow-up

implementation by establishing cause-effect relationship in order to modify activities in case of unpredicted harmful effects.” The approach of verification of achieving PPPs objectives received higher support from the urban planners than the environmental ones. They have argued that it is also necessary to measure the success which may be achieved. It is obvious that the achievement of objectives may only be related to the corresponding planning and environmental objectives. UP-N 3: “In my point of view, it is important to measure to what extent PPPs reach its target and achieve the proposed objectives. It is essential to regularly observe developments in order to demonstrate verification of compliance with objectives, regulatory requirements, and applicable criteria established in a policy, plan or programme”

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7.4

Case Study Findings

Conclusion This chapter presented and interpreted the results of the interviews

undertaken as part of the Egyptian case study. The findings explore planners’ attitudes to SEA and identify expected SEA mechanisms and related key issues. The idea of integrating SEA into various urban PPP formulations at different strategic levels is well accepted by planners in Egypt. However, it appears that they expect, but are not optimistic about, SEA application. Many issues have been identified by the interviewees, indicating that most of the planners believe that SEA is a long-term planning scheme, and planners need time to be ready for that. There are some political issues that may be expected to influence SEA application. Many planners admit that it is not easy to persuade politicians to support SEA even when those issues are removed. It is argued that the lower priority of environmental issues in decision making may be a significant root of every barrier to SEA application. To avoid this situation, it is necessary to increase recognition and support of SEA and to develop relevant knowledge and applicable mechanisms. The interviewees believed that without complete mandatory provisions, it is hard to promote SEA, or at least no wide application of it. In addition to these expected issues, the current status of poor institutional coordination and nonintegrated planning systems are also identified as the most serious issues for the effective implementation of SEA within the Egyptian context. Most of the interviewees believe that to effectively apply SEA, well-defined communication channels between various agencies at different levels need to be developed. On the other hand, technical issues may also be expected to impede SEA application. The most potential issues to the promotion of SEA are the lack of advisory guidelines and insufficient and reliable data and methodologies. It is argued that it is important for operational guidelines to be in place in order to show how to conduct SEA due to limited knowledge of methodological and technical issues. In this context, sufficient skilled personnel are critical to the adoption of the SEA process.

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Ostensibly, conceptual issues may be the main potential impediment to SEA application. Most interviewees recognise SEA as an extended project-EIA. Their opinions are based on the knowledge of the project-EIA experience, this unclear image of SEA leads to wrong expectations and misunderstandings. The conceptual barriers from the frontline planners seem more critical at this stage because the practical issues and a better way to integrate SEA into urban planning can only be identified and overcome when planners have a clear and proper concept of SEA. Nonetheless, most of the planners have a positive attitude towards SEA, and they are willing to support it; however, this high support rate is diluted by various interpretations of SEA. This diverse recognition of/and support for SEA is not a bad thing. It may stimulate a more flexible SEA system; however, the high support for SEA application implies that the EEAA could be more ambitious in broadening SEA applications, as urban planners are not as negative to SEA as first thought. The suggested SEA system is based mainly on Law no. 4 of 1994 and its amendments in 2009 that sets the general framework for environmental protection in the country and formalises preventive and precautionary approaches

in

environmental

management.

Moreover,

it

stipulates

environmental assessment as a guiding principle for environmental protection and resource management. This opens a window of opportunity for the national application and integration of SEA/EIA at different planning levels. The Egyptian Law of Environment stipulates that Egyptian Environmental Agency Affairs (EEAA) is the governmental body that is responsible for the environment. Most interviewees indicated that EEAA is the technically and politically appropriate body to review SEA and to monitor its results’ implementation. On the hand, the urban planning agencies are suggested to be responsible for initiating and conducting SEA for their PPPs through setting an SEA team consisting of relevant bodies that are directly involved in producing the strategic action, and others that can contribute a more detached and independent view to the strategic action.

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Case Study Findings

In the next chapter, a series of discussions and conclusions on the proposed SEA system are made. However, the major purpose of this chapter is to present the ideas, suggestions and solutions that were deliberately developed to target those identified issues, and will be the foundation of developing an SEA system for an urban planning development process in Egypt.

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The Potential for SEA & Development a Framework for Egypt

CHAPTER 8 DISCUSSION: THE POTENTIAL FOR SEA & DEVELOPMENT OF A FRAMEWORK FOR EGYPT

T

he results of the analyses in Part 1 provide the justifications and conceptual framework for the concept of integrating SEA within urban planning process which aims for sustainable development.

Two main arguments put forward are (i) that urban planning lacks a systematic assessment of environmental impacts of urban development proposals; and (ii) project EIA has shortcomings in its role towards sustainable development. One of the solutions to these shortcomings is the development of SEA which is proposed to be integrated within urban planning system and urban development processes. This chapter develops this argument with respect to the possible implementation of an SEA process within Egyptian urban planning, by describing a proposed SEA system and procedures. It provides answers to several questions, such as: what are the excepted benefits of SEA implementation in Egyptian urban planning?; what are the context factors which may support the potential for SEA?; what is the expected legal framework for SEA?; who will be involved in the SEA administrative framework?; how could the SEA process be implemented?.

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8.1


The underlying philosophy Amidst growing international and national concern for the environment, and

amidst concerted efforts towards sustainable development, the Egyptian government, in its ‘Vision 2017’, has set a target for increasing the total inhabited area of the country by three times in twenty years. In keeping with its goal, there is an urgent drive for modernisation, industrialisation and ultimately urbanisation. This sets the agenda for increasing utilisation of natural and human resources, which could, if unchecked, produce adverse impacts on the human and physical environment. In this respect, the traditional national planning methodology has to give place to an altogether new planning approach. Egyptian urban planning, which is acclaimed to be concerned with the management of environmental change, cannot be treated in isolation, since it operates within the national planning system. The integration of SEA into the urban planning system too has to be examined within a wider framework, since SEA needs to be considered within the context of a hierarchical system which covers policies, plans and programmes at various levels of government. Therefore any proposal to integrate SEA into the urban planning system and process needs to be set within the framework of the national planning system. For this reason, the ideal SEA system which is proposed for Egypt is comprehensive, and covers the whole national development planning system, within which the urban planning system operates.

8.2

Functions of Egyptian SEA Generally, SEA aims to integrate environmental considerations into policy,

plan and programme formulation, at the level of strategic decision making. Its benefits and principles have been extensively discussed in literature. SEA deals with concepts and qualitative activities and not quantitative activities in terms of the topics of the environmental assessment at a project-level. Therefore, it could be argued that there are four main reasons for developing SEA within the Egyptian context:

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1. It promotes the management of environmental change; 2. It promotes planning for sustainable development; 3. It promotes well-informed decision-making in the planning process; and 4. It counteracts some of the limitations of project EIA. 8.2.1 Promoting the management of environmental change The strategic planning framework, which aims towards the achievement of national objectives and policies, has created a significant role for urban planning at regional and local levels, while the integrated planning approach ensures that urban planning plays its role at all levels of planning and implementation. Within the Egyptian context, urban planning cannot be dissociated from the Egyptian Government’s vision for the future. Although the national development plan has only outlined the changes in terms of “social justice, political stability, system of government, quality of life, social and spiritual values, and national confidence”, it is implicit that these changes will go hand in hand with changes in the physical environment. Physical changes are expected in the national landscape of Egypt: conversion of rural to urban areas; desert reclamation for roads and amenities; opening of more land to accommodate the increase in population; greater exploitation of natural resources; and more. All these have to be guided by development policies and strategies which are expected to follow the path of achieving the national development objectives of “attaining a balanced development” and “growth with equity” (GOPP, 1998). The social, economic and physical changes in the country have to be guided so as to ensure that in the pursuit of economic development, adequate attention will be given to the protection of the environment, so as to maintain the long-term sustainability of the country’s development.

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The above scenario indicates that economic planning (currently the emphasis in the five-year national plans) alone cannot achieve the aspirations of the Egyptian government. Urban planning has to play the critical role of forecasting the resultant physical changes which follow social and economic development, and vice versa. Hence, urban planning has to play its role in assessing the impacts of social, economic and physical development on the environment. One of the ways of managing environmental changes is through assessing the impacts of social and economic changes, and prescribing measures or mitigations to avoid or minimise any unavoidable negative impacts of these changes. By integrating SEA into urban planning, which in turn is integrated with socio-economic planning, environmental management is enforced at an early stage, where mitigation measures can be formulated as strategies and policies, instead of only as conditions attached to planning permissions which are given to individual development projects. Planning with this function represents a proactive approach to environmental management, instead of a reactive approach which is normally associated with EIA. 8.2.2 Promoting urban planning for sustainable development As discussed in Chapter 6, the Egyptian government’s commitment on environment is included as one of the objectives of NEAP, which is to integrate environmental concerns into all national policies, plans, programmes and projects in order to maintain the long-term sustainability of the country’s development. The President declaration on the environment (2002) epitomised Egypt’s continued commitment to environmental protection which is indicated as a national duty. As far as urban planning is concerned, the urban development strategy of 1997 only emphasises that the preparation of development actions should incorporate environmental considerations. However, the extent of consideration is not mentioned. This state of affairs is inconsistent with the important role of urban planning in the management of environmental change, as will be described under the first function.

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Notwithstanding the contents of the Egyptian plan, development plans can play a very important role in the achievement of sustainable development. As a tool which determines future land uses, and therefore future development and environmental change, it is crucial in determining sustainable utilisation of resources, preservation of the natural environment and enhancing the quality of life in urban areas. By adopting ‘sustainable development’ as a goal for urban planning, and by adopting the concept of ‘ sustainable urban development’ as suggested in the urban development strategy (GOPP, 1998), urban planning can help to ensure that the natural and the man-made stock of resources are not so depleted that the long term future is jeopardised. Urban planning can relate development patterns to the sustainable utilisation of resources. With the above in mind, planning for sustainability would encompass planning concepts such as urban forms, new settlements, settlement patterns, transportation patterns, and land use patterns, all of which are integrated with natural and man-made capital stock. In this respect, the concept of urban sustainable development is very relevant to urban planning. When used as a planning goal, planning and management for sustainability can be monitored through the integration of SEA with the urban planning process. In this approach, any strategy and proposal would be assessed in terms of its impact on natural and man-made resources. Avoidable negative impact would be detected and potentially rejected at an early stage in the development process. In addition, unavoidable negative impact to the environment would be minimised through the adoption of mitigation measures which would be enforced from an early stage, so that unavoidable impacts are not widespread. 8.2.3 Promoting well-informed decision-making in the planning process The planning process in Egypt involves a large number of agencies and organisations in plan-making as well as in formal decision-making. Organisationwise, none of the local planning authorities in Egypt can be considered as

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competent authorities in environmental management, or even in environmentrelated matters, since the majority of them do not have expertise in any planning or environmental field of study. Advice on planning matters is obtained from GOPP, while environmental matters are referred to EEAA. For urban development plans, EEAA has a limited role in the preparation and reviewing of these plans. Therefore, decisions at all stages in the planning process are made by officials, whose main concerns are naturally for their particular nonenvironmental fields of expertise and jurisdiction. A systematic presentation of the environmental impacts of decisions at all levels in the planning process can assist officials and politicians without environmental training or expertise to make decisions on policies and strategies which are non-environmental in their objectives. The assessment of environmental impacts and its presentation in a form which is closely akin to EIA will assist decision-makers to realise the implications of making decisions which are detrimental to the environment. This is particularly crucial in decisions on alternative strategies and policies. Introducing SEA would help to ensure a procedure for decision-makers to take account of possible effects of development investments on environmental quality and natural resources productivity. Decision-makers would be informed of the environmental pros and cons of decisions made at every stage of the planning process. 8.2.4 Overcoming the shortcomings of project EIA Much of the literature which popularises the advantages of applying EIA to policies, plans and programmes, sums up the reason for it as the shortcomings of EIA that is focussed on specific projects. By being reactive in nature only impacts of projects being proposed by project initiators are considered. In this respect, project EIA has overlooked many factors and projects which contribute to environmental deterioration.

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Being relatively recent in its role in EIA enforcement, EEAA is charged with the big responsibility of having to educate decision-makers and implementers in the importance of EIA in the development process. Project development in Egypt has been so divorced from planning that it is very difficult to convince policy makers, plan approving authorities and project initiators to accept EIA as a planning tool. Therefore the enforcement of EIA as a prerequisite for planning permission for certain types of development is often considered as a big stumbling block to development, as it is taken to be the “cause of delays” in project implementation. Being understaffed itself, the EEAA has a big task in advising local planning authorities to enforce EIA. The current inadequacy of local authorities on environmental matters, and particularly in the handing of EIA in development control, places a heavy burden on EEAA. The department is the sole adviser on environmental matters and implementation of EIA regulations. This state of affairs could lead to considerable delays in some projects, thus causing antagonism towards EIA, not only among project proponents, but also among politicians and decision-makers. While it is appreciated that not all development projects can be, or should be, subjected to EIA, it is also appreciated that due to the ‘prescribed activities’ concept of determining the need for EIA, many projects which fall below the threshold levels of the ‘prescribed activities’ and which have escaped assessment, have, at a later stage after implementation produced negative environmental impacts. As is often the case in other countries, project EIA in Egypt ignores the cumulative effects of repeated developments in the same ecological system; it does not deal adequately with precedent-setting developments that stimulate other activities; it ignores changes in the behaviour of ecological systems in response to increasing levels of perturbation; and it does not encourage the development of comprehensive environmental objectives that complement the broad goals of society.

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8.3


The context factors supporting the potential of SEA in Egypt This section presents an analytical assessment based on the fieldwork

identifying the factors of the Egyptian context that support the potential for adopting SEA as a tool to achieve sustainable development in environmental management. These factors identify the progress made in the country towards the consideration of environmental issues as presented below. 8.3.1 Political will Strong political support is considered as one of the most important factors in the adoption of an effective SEA system. Based on this understanding, the Egyptian documentary analysis, in Chapter 6, demonstrates a strong political commitment for achieving sustainable development. The National Environmental Action Plan of 2002 is considered as an important document incorporating environmental issues into the government’s political agenda, and aims to integrate environmental concerns into all national policies, plans, programmes, and projects, as demonstrated in NEAP main principles. In addition, the framework of a national strategy of sustainable development (NSSD) of 2006 is considered a significant movement towards the consideration of environmental issues at the higher level of decision making; it recommends to adopt SEA in order to evaluate the PPPs which are likely to have significant effects on the environment. With regard to the Egyptian politicians, although many of the interviewees claimed that it is not easy to persuade politicians to support SEA due to fear that SEA will limit their political choices, the Prime Minister and the Minister of State for Environmental Affairs advocates that the goal of sustainable development linking development with environmental protection is the key to Egypt’s future. Furthermore, President Mubarak confirmation (2002) that the environmental dimension should be integrated into all development policies, programmes and projects in order to achieve more sustainable development for the Egyptian generations, is a promising step towards the realisation of a stronger environmental commitment of the Egyptian government at the highest levels.

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8.3.2 Legal mandate The interviewees believed that without complete mandatory provisions, it is hard to promote SEA in Egypt. In this sense, Briffett et al. (2003) argue that wherever a legal mandate is in place, formal SEA provisions could be legally established. In this context, Egypt since 1994 has adopted the Environment Protection Law No. 4, and recently promulgated Law No. 9/2009 which amends some provisions of Law No. 4/1994. Law No. 9/2009 enacts the main principles underlying environmental management and protection. Moreover, EIA provisions were formally introduced in the Law No. 4 of 1994, and strongly amended in Law No. 9 of 2009. Based on both documentary and interviews analysis, it is argued that the Environmental Protection Law, in particular the EIA provision, is an appropriate legal mandate for incorporating SEA provisions. Most of the interviewees claimed that provisions related to environmental assessment for policies, plans and programmes could be integrated with the current environmental impact assessment provisions. 8.3.3 Environmental institutions’ capacity Due to the highest level of strategic importance of SEA, the efficiency of institutional capacity and organisational aptitude of environmental institutions are significant if the SEA process is to be implemented in an effective manner. The country’s legislation and reports show that Egypt possesses a well-defined institutional structure responsible for the environment, extending from the Ministry of Environment and the Egyptian Environmental Affairs Agency at national level to regional and local authorities. The capacities of the Regional Branch Offices (RBOs) and the governorate’s Environmental Management Units (EMUs) are continuously developed with assistance from the Capacity Building Project supported by a number of international donor agencies. Nevertheless, a few regional planners admitted that the EMUs still need additional staff, training and technical equipment. They believed that to be able to perform their functions effectively and promote decentralisation, all EMUs

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would need to be raised to a higher institutional level, a General Directorate Level, which would then increase their effectiveness. The most critical barriers which may influence the effective SEA application as considered by most of the interviewees are the poor institutional coordination and non-integrated planning system. They believed that the current negotiation channels between agencies seem to be insufficient, and this poor coordination results in a non-integrated planning system. The urban agency does not inform the environmental agency while urban PPPs are being formulated. It may ask its opinion only when the urban development PPPs have been selected or it may make decision without consulting with it. Poor institutional coordination is a common problem in the Egyptian government. One interviewee at national level claimed that it is essential to achieve a willingness to co-operate in the SEA process, so ensuring that those who are involved perceive themselves as real actors in policy and plan making. 8.3.4 Environmental education and awareness Section 2.6 advocated that environmental education and awareness are considered as important factors underlying the successful adoption of an SEA system. Environmental education is achieved through the formal education system. Environmental awareness is achieved through the appropriate environmental dissemination among the public such as, environmental television and radio programmes, national newspapers and magazines, and awareness publications and brochures. In this context, Egypt’s major universities have graduate programmes in environmental planning (WB, 2005). Furthermore, the major research centres such as the National Research Centre of the Egyptian Academy of Scientific Research and Technology, the Agriculture Research Centre of the Ministry of Agriculture and Land Reclamation and the National Water Centre of the Ministry of Water Resources and Irrigation provide many related environmental courses for planners and developers with well-trained staff and excellent facilities. Many

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interviewees claimed that a BSc programme in environmental sciences is recommended to be established in various Egyptian universities. They believed that environmental education enhances critical thinking, problem-solving and effective decision-making skills to weigh various sides of an environmental issue to make informed and responsible decisions. With respect to awareness dissemination among the public, the MSEA, together with the EEAA, regard this issue as a priority, and realise the significant role that public awareness can play in promoting sound environmental practices. All interviewees argued that awareness is an important tool for strengthening public understanding of environmental issues and challenges. They believed that public opinion may be effective if it creates strong enough pressure on the decision-makers. In this context, the successful partnership between the MSEA and EEAA on the one hand, and the Media on the other is an interesting starting point. Environmental programmes targeting the public have been conducted, including the broadcasting of 13 environmental television programmes and 35 radio programmes (WB, 2005). Moreover, 28 national newspapers and magazines are now engaged in environmental awareness initiatives, in close cooperation with the MSEA and EEAA, featuring regular environmental pages. Various EEAA publications and brochures have been prepared and disseminated through national and regional environmental exhibitions and events. More than three quarter of the interviewees believed that a continuous programme of environmental awareness-raising for the public is needed. The public needs to be aware of a strategic action’s environmental consequences and understand their responsibility towards the EA processes. Moreover, they should be provided with the opportunity to comment on the EA statements prior to decisions being made.

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8.3.5 EIA implementation This context factor looks at the ability for applying the SEA by examining the extent to which the EIA is implemented effectively. In Egypt, the administrative arrangements and roles of different agencies in the EIA are defined in the regulations. The EEAA is the main body for EIA; the central EIA department of the EEAA is responsible for supervising the screening process, managing the review of EIA reports, taking decisions on the acceptability of EIA reports, and giving an opinion on the proposals. Further to this, the procedures of the EIA process are also well defined; screening and scoping are mandatory in the Egyptian EIA. The EIA report should include a discussion of predicted impacts and proposals for mitigation measures. Since 1994, the EIA system in Egypt has progressed significantly. Efforts by the EEAA have led to steady improvements in all aspects of the EIA system, from preparation to review and decision-making. Accordingly, since 1999, it has experienced a dramatic increase in the number of EIA studies (see Figure 8.1). 16000 16000 14000 Number of EIA studies

12000 10000 8000 6000 4000 2000 2008

2007

2006

2005

2004

2003

2002

2001

2000

1999

1998

1997

1996

1995

1994

0

Year Figure 8.1: Number of all EIA studies received at the EEAA and its RBOs annually (see Section 6.5.3). Source: EEAA, 2009b. Note: EIA was formally introduced in 1994, and came into full force in 1998 Compared with EIA studies in various countries, the number of Egyptian EIA studies submitted were seem to be larger than any country. This number included all EIA studies done for all projects' categories

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With respect to public participation, the law of environment does not have any provisions related to public participation. Public hearings are conducted only for certain projects funded by international organisations. Consultants interviewed during the stage one of interviews argued that, since public participation is not mandatory, it is often ignored and is being undertaken only for certain projects. Approximately half of the stage 2 interviewees indicated that an adequate response could be obtained from the public during consultation, but that public opinion is not always considered. During a public meeting, the proposed project description and related activities are discussed in detail, with less attention given to the environmental consequences. With respect to the role of non-governmental organisations, Law No. 4/1994 and its amendments in Law No. 9/2009 recognise the importance of NGOs in environmental management. Three representatives from the NGO community are required on the Board of the EEAA. The law provides the authority for NGOs to bring legal action to enforce the environmental requirements. The MSEA and EEAA are encouraging NGOs to take a more active role at the grass roots level in order to serve their communities. Moreover, a special unit was established at the EEAA to enhance NGO collaboration. In addition, there are some recommendations, made by the interviewees, need to be considered in order to strengthen the effectiveness of EIA system in Egypt as following: 

Introduce mandatory requirements for public access to EIA reports by affected groups, academic institutes and NGOs; develop a central library of EIA reports.



Ensure effective public participation in the EIA system, which should b monitored by EEAA staff in order to bring procedural democracy. The developer should incorporate public/stakeholders’ concerns into the EIA report.

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


Develop a review checklist or guidelines to reduce the subjectivity of the process, and to provide systematic rigour to the process.



The EEAA (or the corresponding CAAs) should follow up and conduct site inspections during both construction and initial operation to verify whether the developer has implemented the mitigation measures described in the submitted EIA study, as well as monitor predicted environmental impacts.

8.3.6 Technical know-how This context factor assesses the ability to design and control EA activities, and then the capacity to develop guidelines for SEA process. Technical know-how is considered one of the major factors supporting an effective SEA application. It mainly can be measured by the availability of supporting guidance and satisfactory training support. In this context, the EEAA, with the support of the Danish International Development Agency (DANIDA), has published general guidelines for assisting the EIA process. These guidelines describe the procedures for EIA identified in law and its executive regulation. Several sectoral guidelines have also been developed, with assistance from the Environmental Assessment and Management (SEAM) project funded by the UK’s Department for International Development (WB, 2005). These include EIA guidelines for municipal wastewater treatment works; cement works; ports and harbours; industrial zones; urban development projects; oil and gas facilities and coastal tourism activities. A second edition of the above guidelines was issued in January 2009 to include more updated and detailed procedures for EIA system (EEAA, 2009a). Training support for those involved in EA is also significant to control and manage the assessment process. A clear understanding of needs, objectives, values, processes and methods is needed to support an effective EA application. Training courses and workshops play an important role in understanding how to

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apply and control the environmental assessment processes. With regard to EIA, Egypt has a core of well-trained academics and researchers that are involved in the environmental field. Many universities and research centres are providing consulting services either through their specialized research centres, or through the establishment of private consulting firms (WB, 2005). There are wellestablished EIA training programmes organised by academic institutes such as the Ain Shams, Cairo, Alexandria and El Mansoura Universities, which contribute to building institutional capacity. Moreover, Egypt has received considerable international funding for training. For example, many international donor agencies, such as the World Bank and the British and Danish aid agencies, have funded different EIA training and capacity-building programmes (Badr, 2009). Among these was the METAP EIA project, which was funded by the World Bank and involved institutional strengthening of the EIA system. Overall, therefore it is evident that most interviewees felt that the degree to which environmental assessment processes are conducted would depend on the efficiency of the technical know-how and how well it is provided. They also considered that the current experience of EIA may promote the technical knowhow to implement the SEA process. To improve the quality of EIA performance and to ensure the effectiveness of its outcomes, Fuller (1999) acknowledged that a professional recognition scheme is needed to ensure that EIA processes are undertaken only by appropriately qualified and experienced practitioners. In this respect, Law No. 9 of 2009 mentions the establishment of a higher accreditation committee, to be headed by the Minister of the Environment, which will address environmental consultants’ registration and certification. In addition, the executive regulation of this law defines the procedures and requirements for registration and accreditation.

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8.4


The proposed SEA system Through the absence of SEA in the current Egyptian context, it is obvious

that the existing legislation does not indicate when and how SEA is applied, what SEA must contain, empower anybody to undertake, supervise or review SEA, and impose legal/administrative sanctions if the law is not complied with, all of which are ideally recommended. Based on discussions and interpretations of the interviews results and findings, this section explores planners’ attitudes to SEA and identifies expected SEA mechanisms. It also highlights how provisions towards the operation of SEA could be provided. The proposed SEA system, the subject of this research, may be a foundation for developing SEA and constitute the backbone of such a future SEA system. This proposal consists of three components, namely, SEA legislation, SEA administration, and finally the SEA process, as developed below. 8.4.1 SEA Legislation This component identifies structural elements which determine how SEA should be set up within the Egyptian context for urban development planning. The following sub-sections present the potential legal context for the proposed SEA system, such as, the potential legal basis through which SEA could be adopted; administrative levels which may require the implementation of SEA; strategic actions which SEA should be applied for; and finally, the extent to which SEA should be integrated with urban planning process. Legal basis In theory, successful SEA generally occurs where there is a legal obligation to require it (Sheate et al., 2001). The international practice identified that currently existing SEA legislations can be divided into those established as follows: 

SEA provisions are separately presented in legislation, regulation or policy directive (as in Canada and the UK).

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


SEA provisions are included in EIA law (as in the Netherlands and Hong Kong).



SEA provisions are integrated with planning or resource management law (as in New Zealand).

At present, Egypt has already introduced EIA, as a management tool for helping to achieve acceptable forms of sustainable development, in the Environmental Protection Law No. 4 of 1994. Recently, EIA provisions are strengthened in Law No. 9 of 2009. Many interviewees argued that the use and application of EIA is relatively strong. It is therefore evident that SEA will not be effectively and widely conducted without a strong legal basis owing to its high level of strategic importance. Potentially, the expected legal basis may conform to the second group, whereby the general requirement for SEA application may be provided with EIA provisions under the framework of Environmental Protection Law. This choice has been dictated by the Egyptian legal and regulatory structure, and the fact that it confers more legitimacy and strength. However, SEA provisions will be developed at a late stage in the law. Indeed, provisions stipulated in existing laws cannot easily be overridden. SEA implementation mechanisms and procedures will therefore need to be elaborated and formalised in an implementation decree approved by EEAA. The details of the proposed SEA legal provisions which have been informed by the fieldwork findings are presented below. Administration level In theory, it has been suggested that SEA can be categorised according to the administrative level in the planning process at which it is applied (Fischer et al., 2002). SEA tiering can be distinguished between different administrative levels (national, regional, sub-regional and local). In practice, the governmental levels to which SEA is applied varies among countries. For example, SEAs in the Netherlands and New Zealand are required to be applied for a full hierarchy of planning levels. While in the USA, the National Environment Policy Act requires

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that an Environmental Impact Statement be prepared for all strategic actions at federal (national) level, SEA in the UK is applied only for regional and local strategies. The Egyptian urban planning system is distinguished by four administrative levels, namely, national, regional, governorate and local levels. Most interviewees emphasised that to achieve sustainable urban development beginning from national level through regional to local levels, SEA should be required to be implemented for urban plans at all levels of planning. Figure 8.2 shows the different forms of SEA that are associated with the various forms of administrative levels, as proposed for Egyptian SEA. Forms of SEA [Urban planning based plan]

Level of government

National spatial planning

SEA [National spatial plans]

Regional spatial planning

SEA [Regional spatial plans]

Governorate spatial planning

SEA [Governorate spatial plans]

Local spatial planning

SEA [Local spatial plans]

Figure 8.2: Proposed SEA forms related to planning system in Egypt Source: the author

SEA tiering Theoretically, ‘strategic actions’ subject to SEA include: “legislations, policies, plans and programmes” (Therivel, 2004). But generally speaking, the most recommended actions that SEA should deal with are policies, plans and programmes (PPPs) (see Box 8.1) (Therivel et al., 1992; Sadler and Verheem, 1996; Partidario and Clark, 2000). In practice, the actions that SEA deals with vary significantly worldwide as different countries have different political environments and therefore different legal requirements for SEA application. However, it is suggested that SEA should be applied to all levels of strategic actions (e.g. the Canadian SEA system), or at least include plans and programmes as the SEA regulations in the UK require.

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Box 8.1: Definitions of policy, plan and programme Policy

A general course of action or proposed overall direction that a government is or will be pursuing and that guides ongoing decision making.

Plan

A purposeful, forward-looking strategy or design, often with coordinated priorities, options, and measures, that elaborates and implements policy.

Programme

A coherent, organized agenda or schedule of commitments, proposals, instruments, and/or activities that elaborates and implements policy. Source: Sadler and Verheem 1996, p. 28

In Egypt, most interviewees indicated that the planning and decision-making hierarchy does exist. Since a hierarchical tier exists, there can therefore be tiering of their associated assessment. Hence, the proposed SEA system requires an environmental assessment of policies, plans and programmes, which may result in important environmental effects, either positive or negative, to be conducted when submitting for approval. If this is the case, there will be a clear vertical hierarchical tiering of the SEA application in which policies (if included), plans and programmes are subject to SEA, and the project is subject to EIA. A tiered system with guidance from higher level of SEA to low level EIA really brings benefits (Fischer, 2002). Nooteboom (2000) further argues this arrangement can positively re-orientate decision making towards sustainability. Integration with planning process Sustainable development is defined as “improving the quality of the life within the carrying capacity of supporting ecosystems” (IUCN, 1991). At present, the philosophy of sustainable development is globally adopted by various countries to guide their legislation, policy making and implementation, and actual development practices. Achieving sustainable development requires “dealing with economic, environmental and social policies in a mutually reinforcing way” (EC, 2007). In this sense, the EC (2007) states that the environment plays a central role since the question of sustainability arises as a direct response to concerns about issues of pollution, irreversible changes to ecosystem and climate, and the degradation of natural resources.

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Therefore, it has been argued that environmental considerations should be integrated into decision making on a par with social and economic issues which are long lasting considerations in the current planning and decision-making philosophy. Due to the roles SEA plays in integrating the environment into strategic decision making (e.g. acting as an advocate for the environment within policy and plan making), Sheate et al. (2001) recommend that that SEA can guide this process on integration. By integrating environmental considerations into planning and decision making on a par with social and economic considerations, SEA makes the strategic action planning and decision making assessment mechanism nearly complete from the perspective of sustainable development. However, the extent of the integration of contents (integrating environmental considerations into strategic planning and decision making) actually highly depends on the integrated process (integrating SEA into planning and decision making process) (Therivel and Partidario, 1996). At present, Egypt has already adopted sustainable development as one of its major principles to guide its development (e.g. the EIA system and strengthening environmental protection). It is argued that the strategic objective of environmental policy in Egypt is to integrate environmental concerns into all policies, plans, programmes and projects. This indicates that the Egyptian central government has committed to integrate environmental considerations into strategic planning and decision making. As this study suggests SEA could be used as a tool to integrate environmental concerns into the planning process, how to integrate SEA into the current planning system should be carefully considered before the actual SEA application begins. It was identified that there are three models of integration that can be considered. The first model of integration is considered as a pure expost assessment tool and completely separated from strategic action preparation. The second is that SEA is partially integrated into strategic action preparation with limited chances of information exchange or sharing. The third is that SEA is fully integrated into strategic preparation.

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However, there is a consensus among interviewees that the separate model does not bring the benefits that SEA is supposed to deliver. Integrated planning receives the highest support, but the interviewees thought that it would be workable only if the SEA system could be established and excellent institutional coordination achieved. There were significant differences among interviewees in their support for this idea. Considering that Egyptian governments from the central to the local do not have experience of fully integrating environmental considerations into strategic planning, and fully integrating SEA into strategic planning would need significant changes to the current administrative structure, this change will not happen in the short term. Alternatively, 68 % of interviewees felt that a more secure and feasible way at present would be to partially integrate SEA into strategic action preparation and decision making. Section 8.5 will provide a clear picture of how to reasonably integrate SEA and urban planning process. 8.4.2 SEA Administration This section identifies the proposed institutional and organisational structures, and arrangements that should be in place to facilitate the implementation of SEA in Egypt. Four main groups are identified to be responsible for SEA: the initiator, conductor, reviewer and inspector. The adoption of an SEA system for Egyptian urban planning means that there are roles and responsibilities that should be shouldered by certain agencies. This section describes the roles and responsibilities of different actors in the proposed SEA system (Table 8.1). SEA initiator In practice, SEAs in most countries under study are initiated by the proponent authority that adopts the strategic proposal, with exception of Canada and China where SEAs are initiated by the environmental authority. In Egypt, most interviewees considered that the urban planning agency should be

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responsible for promoting sustainable development through its PPPs by initiating SEA for all relevant strategic actions. Hence, in the proposed SEA system, the responsible for initiating SEA should be the authority responsible for the preparation of the relevant policies, plans and programmes. For the present case-study, there is a hierarchy of plans, i.e. the national, regional, governorate, and local plans. The General Organisation for Physical Planning (GOPP) is the main policy maker in the urban sector, which is responsible for the preparation of the strategic actions at national, regional and governorate levels. GOPP’s regional branch offices are the responsible for the preparation of strategic plans at local level, while urban planning directorates in governorates are the responsible for preparing the detailed plans. This proposal suggests the SEA should be undertaken at each of these levels to ensure that environmental impacts of policies, plans and programmes at all levels of planning are formally assessed. The initiators for the respective urban plans are indicated below. Table 8.1: Roles of actors responsible for SEA Roles SEA Initiator

Responsible agencies - GOPP for spatial plans at national, regional and governorate levels; - GOPP’s RBO for strategic plans local level; - Urban planning directorate for detailed plan at local level.

SEA Conductor

- Planning teams responsible for initiating SEA

SEA Reviewer

- EEAA at national and regional levels; - EEAA’s RBO at governorate and local levels.

SEA Inspector

- Inspector within EEAA at national level - Inspector within EEAA’s RBOs at regional and governorate levels - Inspector within EMUs at local level Source: the author based on opinions from interviewees

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SEA Conductor In practice, the proponent authority is the main body responsible for conducting SEAs in most countries. By contrast, however, SEAs in both New Zealand and Taiwan, for example, require the central environmental authority to conduct the SEA process. In Egypt, most interviewees considered that the urban planning agency is technically and politically the correct body to conduct SEA. They felt that SEA is not a separate planning tool, but a new planning scheme suitable for every agency, as the proponent agency is familiar with the demands of relevant PPPs. Hence, the proposal suggests that the responsibility to conduct SEA should be assigned to planning team responsible to initiate SEA. In this context, the General Organisation for Physical Planning (GOPP) should be the responsible for conducting SEA of the strategic actions at national, regional and governorate levels. GOPP’s regional branch offices are the responsible for conducting SEA of strategic plans at local level, while urban planning directorates in governorates are put forward as responsible for conducting SEA of the detailed plans. The urban planning process, whether it is at national, regional, governorate or local level is more complex, as it is multi-sectoral in nature, and spatial in context. The integration of SEA within the planning process means that the SEA conductor, as argued in interviews, should be a team of responsible specialist personnel who are involved in the planning team itself, under the coordination of the leader of the planning team. The implementation of the SEA process has to be managed by an SEA team, in which the ‘environment’ and ‘economic planning’ will both be represented. The team should have a small number of members. The composition of the SEA team may vary, but generally, the team may have representatives from government agencies related to the strategic proposal (see Box 8.2),

and

consultants from the private sector, depending on the availability of qualified personnel required for the assessment of the expected significant impacts. These could be from any of the disciplines associated with physical, economic, social and cultural environments.

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Box 8.2: Expected participants in SEA team -

Urban Agency (team leader) Environmental agency Land use agency Transport agency Energy agency Natural resource agency Central and local government Urban interest NGOs Environmental interest NGOs Social affairs agency Academia Public

Source: The author based on opinions from interviewees

SEA Reviewer The international experience has shown that SEAs in most countries are reviewed by an independent body that may in most instances be the environmental authority. However, the reviewer could be a specialist independent body as elaborated in the USA where the Council on Environmental Quality reviews and endorses the SEA report. Similarly, an external specialist reviewer is appointed by the Minister of Environment in South Africa to decide on the SEA report. In Egypt, most interviewees considered that the environmental agency (EEAA) should be responsible for reviewing SEA reports. They felt that EEAA may have the capacity to do an environmental analysis and is more familiar with reviewing methods and techniques. In the proposed SEA, the strategic proposal should be assessed before submitting for an approval decision. It is proposed that an SEA Review Panel should be the responsible department within EEAA, or an expert body appointed by EEAA, and should be formed at an early stage of the planning process. According to the existing institutional structure responsible for the environment, EEAA is proposed to be responsible for reviewing the SEA of all strategic actions at national and regional levels. With regard to governorate and local levels, EEAA’s regional branch offices are put forward as the responsible for reviewing SEA process.

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The proposed arrangement is consistent with the integrated approach towards SEA. Planning being a cyclical process of decision making, the role of the SEA Review Panel is to give independent recommendation on the extent to which SEA for the strategic proposal is implemented effectively, as well as the degree to which the proposal has integrated the social, economic and environmental components of the environment to achieve more sustainable development. The Panel should be familiar with all planning principles and issues which are the basis for the particular plan. Its members should, from an early stage of the planning process, be exposed to all aspects of planning, so that there is a common understanding of the opportunity and constraints that could be present. The above proposal is felt to be crucial in an SEA because of the multitude of issues that have to be considered. While the non-environmental personnel should appreciate the environmental implications of their proposals, the environmental personnel should also appreciate the complexity of the urban planning process. The main objective of this arrangement is towards a common appreciation of the added complexity of planning with SEA. It is proposed that the SEA Review Panel should comprise members with a good representation from each field of the physical environmental studies, as well as from the socioeconomic field. A respectable proportion of “experts” from the public should be maintained in the Panel, to supplement the public input that would be obtained through the formal public participation activities. SEA inspector With respect to the issue of who has the authority to inspect the compliance with the SEA results in the implementation of strategic proposals, this varies among countries. For example, the central environmental agency in the Netherlands, South Africa and the USA is required to ensure and inspect that the SEA outcomes are taken into account when implementing the development proposals. In Canada, the Commissioner for the Environment and Sustainable

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Development is responsible for checking on the implementation of SEA results, while in the UK, the implementation of PPPs is subject to review by the Planning Inspector where SEA will be scrutinised. With respect to the Egyptian context, the failure of many laws relating to planning and the environment has resulted from a lack of commitment to the implementation of the outcome. This is why it was felt to be important to ensure effective compliance with the results of SEA. After the decision is taken on how (or whether) a proposal should proceed (with or without conditions), there should be an independent inspector responsible for ensuring the compliance with SEA findings not only when making the decision but also after implementing the strategic proposal. Almost all interviewees believed that the proponent agency is not the right agency for such oversight because it is possible that the agency may overlook SEA outcomes in order to push its development strategies into implementation. It was argued by most of interviewees that the inspection department of EEAA is the most appropriate body to be in charge of this task at national level. It should be responsible for following up the implementation of SEA results and ensuring comments given in the report are adhered to in amending the plan and strategy. For inspection on strategic proposals implemented at regional level, the inspection departments within the EEAA’s regional branch offices are proposed to undertake this task, while the environmental management unit in each governorate is expected to proceed with the task of inspection of irregularities in the implementation of the SEA results for strategic proposals at both governorate and local levels.

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8.4.3 SEA process This part identifies the different approaches by which the SEA process could be adopted within the Egyptian context. In other words, it attempts to identify how the SEA process could be introduced in Egypt. Most of the interviewees believed that a well-operated system cannot be established in a short time. Presently, the practice of EIA can help with the database and methodologies. The SEA process for urban planning, as recommended for best practice, can be broken down into distinct steps as illustrated in Figure 8.3. SEA initiator Screening SEA conductor Scoping

Mitigation Report

Public participation

Impact assessment

SEA reviewer Recommendations to Decision-makers

Review Decision-making

SEA inspector Monitoring

Approval or Refuse

Figure 8.3: The ideal (best practice) SEA process for Egyptian urban planning Source: Adapted by the author

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Screening The screening stage is conducted to decide whether SEA is needed. Based on international review, a range of approaches is evident, including criteria (the most popular approach), screening lists, as practiced in the Netherlands and the UK, and case-by-case, as practiced in the USA. However, inclusive criteria within SEA legislative requirements received the highest support among interviewees. They argued that if the SEA is to be applied effectively, the law should develop certain criteria for qualifying policies and plans that are likely to have significant impacts on the environment. The screening list option was believed to be more suitable for programmes and projects as in the case of the EIA system that involves the use of exclusive lists of projects based on different categories (Badr, 2009). Scoping The scoping stage determines the likely extent and level of detail and information that should be included in the SEA report. Generally, in practice, scoping is provided through specific provisions in legislation as in New Zealand, or via a guidance form as in Canada and the UK. Scoping may be based on advice and consultation with a third party (registered consultant) as in the Netherlands. With respect to Egypt, these approaches were presented to interviewees. Almost all interviewees agreed that the legislative provisions and guidance form are considered as different ways to show how to perform the scoping stage, while the last option (consultation with third party) is a factor to ensure the efficiency of the result of this stage. The scoping guidance form received the highest support amongst interviewees. The interviewees noted that strategic actions vary depending on the nature and the scale, and consequently the scoping requirements will differ from action to action. Hence, they believed that a guidance form is suitable to cover various natures and scales of policies, plans and programmes that could not be covered in the law.

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Impact assessment The international practice identified that there are two approaches for the impact assessment of environmental impacts, namely, EIA-model and Policymodel. With regard to the Egyptian proposed SEA, the Policy-model approach did in fact receive the highest support from most interviewees; they considered that EIA-model is designed for those actions with more clearly quantitative information such as programmes and projects. The vague nature of higher strategy (policies and plans) and non-quantitative attributes makes impact prediction difficult. Consequently, the strategic actions should be tested against environmental objectives, to see whether they are likely to contribute to, or work against, the achievement of those objectives. Mitigation The proposing of mitigation aims at enhancing and improving the environmental performance of the proposed strategy. In practice, there is a lack of data on how to set up a sequence for mitigation measures in the SEA systems reviewed. Some systems reviewed have adopted a few ranges of mitigation measures as presented below: 

Avoiding the implementation of the action either completely or for certain parts;



Reducing or minimising the negative impacts; or



Enhancing the positive impacts.

For the Egyptian proposal, many interviewees connected the option of avoiding implementation with the zero alternative idea; they argued that if any strategic action at any level has significant impacts on the environment, it is essential to consider avoiding implementation altogether in order to sustain the environment. However, a sequence for properly selecting mitigation measures is proposed to be as below: Firstly, adverse environmental effects should be prevented; if this is not possible, then efforts to reduce their magnitude and significance should be proposed. The approach of enhancing potential

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environmental benefits received low support among interviewees. They felt that loss of focus on negative impacts in favour of enhancing positive impacts may cause cumulative impacts in the future, which may result in considerable damage to the environment. SEA report The SEA report documents the findings related to a strategic action. It provides the basis for stakeholder consultation and eventual evaluation of SEA efficiency in influencing strategic decision making as argued by Therivel (2004). In SEA international practice, it is argued that a separate SEA report should be prepared and submitted for evaluation. This is different from what is felt to be appropriate for Egypt; the majority of the interviewees considered that an integrated report is the most suitable approach for the SEA report. They argued that SEA is not a separate tool from the planning process. Therefore, the SEA report should be integral in PPP documents and that its contents need to be linked with planning procedures and decision-making processes. It is felt that the SEA report, from the early stage of planning process, should be integral to all aspects of the planning process. In this sense, adequate documentation can be considered as an essential part of SEA, ensuring that the results of the assessment are identifiable, understandable and available to all parties affected by the decision. Review The review step is a means for identifying to what extent SEA process is applied in an effective manner, and that SEA findings are resulted from sufficient assessment. In practice, almost all systems under review have adopted an external review of SEA report by an independent body. With respect to Egypt, most of the interviewees advocated that this approach should be suggested to review SEA report in order to reduce bias. They argued that the SEA reports should be reviewed by a party other than the internal review (as practiced in Canada) to be sure that the report will be assessed fairly. They were concerned that in case of the internal review or self-assessment, the proponent authority could ignore SEA outcomes to promote its PPPs.

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Consultation and public participation In theory, public participation is recommended to start as ea early as possible; it is suggested to start with scoping stage. The following benefits could be gained (Heiland, 2005): 

Public participation enhances the transparency of decision-making processes by offering the opportunity to an effective and broad participation in planning processes,



Public participation enhances the completeness, validity and reliability of the relevant information,



Public participation adds to the appropriate assessment of all concerned interests,



Public participation helps to identify and mitigate conflicts in an early stage of the planning process,



Public participation allows to take into account the needs of the concerned population and the environmental concerns in the subsequent specific projects better then up to now,



Public participation facilitates a better understanding between planning agencies, public authorities, NGOs and citizens,



Public participation generally leads to a better result as regards to content and to a better acceptance of the strategic action by the (concerned) population.

In international SEA practice, all systems reviewed have given the public participation a priority in SEA processes to a greater or lesser extent. A range of approaches adopted is evident, including information, involvement and cooperation. For the Egyptian proposal, almost all of the interviewees indicated that all listed public consultation methods could be effective, except the information approach. They argued that in the information approach, there is no possibility for the public to give statements or influence the decision-making process directly. The cooperation approach had the highest rate of support. They indicated that the cooperation approach refers to decision-making processes

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between equal partners and includes the possibility for jointly developed solutions. Nevertheless, they believed that it is not possible to apply this approach in Egypt because this needs a change in values for decision makers. Many interviewees believed that a quick way to effectively obtain representative public opinion is by involving them in the review stage. They considered that this method may offer the opportunity for the public to express its opinions in an active manner. The better adoption of this approach at present will assist in changing the values and attitudes of decision makers toward public, and is assumed to lead to better consideration of public in decision making process as early as possible. Monitoring The proposing of monitoring aims at ensuring that the proposed strategy achieves its objectives with limited impact on the environment. In practice, there are few details provided on the approach or objective of monitoring. Nevertheless, Therivel and Partidario (1996) identified that there are different approaches to monitoring including: 

Identifying new adverse impacts and their management;



Verification of achieving the PPPs objectives;



Ensuring that mitigation measures have succeeded in preventing or at least minimising negative impacts.

With respect to Egypt, the debate on all approaches was opened with interviewees. Almost all the interviewees felt that the main task of monitoring is to oversee impacts – not only those predicted but also new unpredicted impacts. The predicted impacts need to be overseen and managed in order to verify the success of mitigation measures. Moreover, most of the interviewees believed that unforeseen adverse effects that emerge during and after PPP implementation may be very harmful on the environment and need to be monitored in order to undertake appropriate remedial action. This is important in SEA due to the high level of uncertainty in making predictions at the policy and plan levels. On the other hand, few interviewees supported the approach of verification of achieving PPPs objectives.

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8.5


Linking SEA and Urban planning process In order to give a clear picture of how to reasonably integrate SEA into urban

planning processes in Egypt, this section uses the most common approach of SEA integration and lists some of the major decisions likely to be required according to the discussion from literature. It illustrates how SEA procedures and tasks can be incorporated into key decision-making points in urban planning, and what questions planners should ask to integrate environmental considerations at different planning stages. As mentioned earlier, there are three approaches to

SEA as an external assessment tool

achieve integration process (see Figure 8.4) Strategic Action Preparation

SEA

Strategic Action Preparation

SEA

SEA partially integrated with strategic action preparation

Decision Making

Strategic Action Preparation

SEA

SEA fully integrated with strategic action preparation

Decision Making

Decision Making Figure 8.4: Models of SEA integration Source: Adapted by the author 255

Chapter 8


The separate model is an add-on process to the main urban planning process (see Figure 8.5). It aims to assess in detail the environmental impacts and is argued to be suitable for those pre-project level urban programmes which directly connect to substantive development. For the planning issues, most focus on technical and financial feasibility, and impact mitigation. The separate planning process provides independent review of the proposed urban programmes. However, its limited connection with the main urban planning process also limits its influence on PPP formulation. Therefore, separate SEA might be hard to gain consensus from urban planners and decision-makers if there is no agreement on specific environmental issues. Urban planning process

Separate SEA

Formulation of goals and objectives

Survey and analysis Screening

Formulation and analysis of alternatives

Scoping Impact assessment

Consideration of public participation

Mitigation

Results & recommendations

SEA report

Review

Decision making

Figure 8.5: A separate SEA and urban planning in Egypt Source: The author

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On the other hand, the independent characteristic makes a separate SEA a powerful auxiliary or follow-up process to review the consistency of proposed urban programmes and the PPPs and benchmarks set at a higher level. Decisionmakers will be consulted during the SEA process but have little influence on analysis procedures. This does not mean that decision-makers have no control over urban programme planning, the adoption of SEA; adjusting proposed programmes and the final decision are still in the decision makers’ hands. The partially integrated model, which is adopted in this research to be the most appropriate model for SEA integration with urban planning process in Egypt as discussed in the previous section, usually runs parallel to the main urban planning process (see Figure 8.6). It can work well if communications with the main urban planning process are excellent, and which include value sharing, institutional coordination, professional integration and procedural incorporation. Table 8.2 shows procedural guidelines for partial integrated model for urban planning in Egypt, and how disciplinary planners can work together and link various decision making points to the specific planning stages. Each planning stage has specific questions to clarify its links to decision making. The possible sub-decisions needed to be made are also identified.

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Urban planning process

Partial integrated SEA

Formulation of goals and objectives

Screening

Integration points between SEA and urban planning

Survey and analysis

Scoping

Formulation of alternatives

Analysis of alternatives & identification of the proposed alternative

Consultation & Public participation

Impact assessment Mitigation

SEA report

Review

Recommendations to decision-makers

Decision making

Figure 8.6: A partial-integrated SEA and urban planning in Egypt Source: The author

258

Urban planning task

Survey and analysis

Survey and data collection

Analysis, proposals and evaluation

Incorporated SEA procedure

Planning question

Screening

Identify the need of SEA

 Is SEA necessary for the proposed urban PPP?  Are the proposed PPP aimed towards the established environmental or sustainable PPPs?

 Identify the legal requirements of SEA  Identify the consistence of PPPs  Identify the consistence of planning

Scoping

Identify environmental, social, economic and sustainability issues

 What are the benefits and consequences of action or inaction?  What is the PPP contents and influence are?  Is there any relevant reference?

 Identify the assessment requirements  Identify the short-term impacts  Identify the long-term or cumulated impacts  Identify the assessment scale

Identify strategic solutions to solve the identified problems

 What alternative may lead to the set scenarios, objectives or targets?

 Identify the strategic (environmental friendly or sustainable) alternatives like policy instrument types, transport modes or corridor selection.

Overall evaluation

 What are the established targets and indicator system for the impacts?

 Apply the established assessment approaches

259

Incorporated SEA task


Identify feasible alternatives

Analysis of alternatives

Identify solutions addressing and responding to priority issues

Impact assessment

Sub-decision need to be made

The Potential for SEA & the Development of the Framework

Urban planning procedure

Chapter 8

Table 8.2: The integration between the partial integrated SEA with urban planning

Mitigation measures development

Develop mitigation measures

 What are the weak parts of the selected alternatives?  Is there any-recovery impact?  How to mitigate the weaker parts of the selected alternatives?

 Identify the potential mitigation measures  Selecting the effective mitigation measures

Strategic action draft

Reporting

SEA report

Alternatives comparison

 What is the performance of, and consequence to each alternative in the priority issues?

 Report the strengths and weaknesses of the alternatives

Synthesising analysis

 Which suggested actions should be taken?  What are the priorities of the selected actions?

 Report the recommendations  Report the implementation plan

Review

Results and recommendations

 Is the proposed PPP or other alternatives environmentally feasible or sustainable?  What are the recommendations that respond to the analysis and to public consultation?

 Identify the independent and overall assessment results of the proposed PPP and the alternatives  Develop recommendations


Consultation with relevant actors

 Which section of the population will be directly or indirectly affected?  What is the specific and general public opinion?

 Identify the target groups or population  Identify the specific population and general public opinions


Consideration of public participation on the strategic action

Source: Developed by the author


Adjusting selected alternatives

260

Formulating the proposed alternative

Chapter 8

Table 8.2 continued

Chapter 8


The better adoption of this model at present will assist in achieving the objectives of SEA. Hence, the exact meaning of excellent communication actually will make significant changes to the current administrative structure, and is assumed to lead to a two-in-one integrated planning system in the long term (see Figure 8.7). Integrated SEA incorporates SEA into urban planning, and connects both to decision-making from the very beginning asking the right questions to the end, making recommendations by addressing and responding to consensual priority issues. This produces urban PPPs but does not assess them. Figure 8.8 illustrates that decision-making is a dynamic process. It moves back and forward within different decision-making points. Many sub-decisions (e.g. specific persons, groups or alternatives need to be considered, selection of planning objectives or priority indicators) will be made during the corresponding planning stages. Full integration Urban planning /SEA Formulation of goals and objectives

Integration points between SEA and urban planning

Survey and analysis

Screening Scoping


Strategic solutions identification

Analysis of alternatives

Impact assessment Mitigation

Consultation & Public participation

SEA report Review

Recommendations to decision-makers Decision making Figure 8.7: A fully-integrated SEA and urban planning in Egypt Source: The author

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8.6


Conclusion The strong political commitment by the Egyptian government towards

achieving sustainable development will surely support the adoption of SEA. One advantage of the Egyptian environmental context is that Law No. 4/1994 and its amendments in Law No. 9/2009 present an example for the amalgamation of all environmental legislations into one law, which all interviewees considered to be the most appropriate legal support for SEA provisions. While many of the planners interviewed confirmed that Egypt is actively involved in protecting the environment through the implementation of plans and the preparation of relevant and appropriate programmes, there is also the problem of not having sufficient power and influence over all sectors, ministries and departments to achieve effective implementation in practical terms. Most of the planners have a positive attitude about SEA, and they are willing to support it; however, this high support rate is diluted by various interpretations of SEA. The diverse recognition of and support for SEA is not a bad thing; it may stimulate a more flexible SEA system. However, the high support of SEA application implies that the EEAA could be more ambitious in broadening SEA applications, as urban planners are not as negative towards SEA as first thought. Law No. 4 of 1994 and its amendment in Law No. 9/2009, which set the general framework for environmental protection in the country and formalises preventive and precautionary approaches in environmental management, are considered an appropriate legal basis for introducing the proposed SEA system. It stipulates environmental assessment as a guiding principle for environmental protection and resource management. This opens a window of opportunity for the national application and integration of SEA/EIA at different planning levels. Egyptian Environmental Agency Affairs (EEAA) is the governmental body that is responsible for the environment. Most interviewees indicated that EEAA is the technically and politically appropriate body to be responsible for SEA and to monitor its results’ implementation. It is recommended that EEAA should identify

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the better way to incorporate SEA provisions within the existing law; in addition, EEAA should promote the application of SEA within all different administrative levels. Since the establishment of improved institutional capacity is undoubtedly considered to be a potential support for the adoption of SEA, it is argued that there is a poor coordination between different levels. This needs sufficient negotiation channels to be set between the central agency and other agencies in different levels to ensure a better implementation of SEA. With respect to SEA process, the opinions are based on the knowledge of the project-EIA experience; this unclear image leads to wrong expectations and misunderstandings. However, the law need to be comprehensive and cover more aspects of SEA principles and procedures in more detail. Moreover, in order to be truly successful in practice SEA guidelines should be clear to assist in a better understanding of objectives, process and methods. Emphasis is needed on improving capacity building through continuous in-house training and on increasing the number of skilled staff. In addition, it was argued for an effective adoption of SEA within the Egyptian context, a set of principles related to the current environmental context need to considered, as following: 

Improving political support through developing sufficient power to influence different sectors in order to promote SEA implementation.



Enhancing environmental policies and objectives in practical terms through sufficient coordination with other planning authorities to inform them with these policies and objectives.



Increasing decision makers and planners' environmental awareness.



Developing mandatory provisions related to the adoption of SEA and the enforcement of its results.



Improving the negotiation procedures between various authorities involved in SEA.



Setting out clear responsibilities of actors involved in SEA process.



Developing reliable methodologies and sufficient guidelines.



Improving the planners' knowledge of SEA methods and procedures.

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It is evident that the use and application of EIA is relatively strong, and evidence of well-established EIA procedures were found, but translation of theory to action was found wanting in some respects. The environmental context review has confirmed many common challenges that give rise to inadequate EIA practice. There is a possible case for saying that an EIA may need to be adapted, but there is less demand for removing it as a process because of the many benefits that can be gained including increased educational awareness and changes in attitudes. In conclusion, this chapter suggests that SEA should be introduced to overcome challenges facing the environment and to promote more sustainable development in development process in Egypt. It may therefore be stated that the potential for future take-up of SEA in Egypt is high, its format and scope need to be adapted to country’s needs. To formulate a full programme for actions is a big task which needs a full research by itself. However, this chapter provides an outline of how SEA could be integrated into urban planning process, which is considered a sufficient basis for the development of a comprehensive programme for the formulation of detailed actions for implementing the proposals, and eventually a plan of action could be developed.

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Conclusions, Recommendations and Further Studies

CHAPTER 9 CONCLUSIONS, RECOMMENDATIONS & FURTHER STUDIES

T

he central aim of the present research was to define and develop a framework for SEA application within urban planning and development processes in Egypt as one of the approaches towards

achieving more sustainable development. In order to address this aim, four subsidiary objectives were set to structure the literature review and the research activity. This chapter starts with a brief review of this research to identify the extent to which the priorities set in each of the research objectives have been addressed. Research contributions to knowledge, recommendations for future studies are also included.

9.1

Brief review of the Ph.D. study By successfully having developed a tailored SEA system with guidance for

integration SEA in urban planning processes (Chapter 8, the ultimate outcomes of the study), the overall aim of this Ph.D. research – ‘to define and develop a framework for SEA application within urban planning and development processes in Egypt as one of the approaches towards achieving more sustainable development’ (Section 1.2) has been fulfilled.

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The four research objectives presented in Table 1.1 (Page 9), namely: Objective 1: To critically review the theory and concept of SEA in order to understand its nature and role in decision making, benefits and principles. The study identifies the context factors supporting the potential for the adoption of SEA; also identifies the core structural elements around which it is proposed that SEA systems should be composed from legal, administrative and procedural perspectives.

Objective 2: To investigate the international SEA practice in different planning contexts in order to explore the practical experience of the current application of SEA worldwide from its legal, administrative and procedural approaches. The study sets up a framework of alternatives related to the structural SEA core elements; also develops a generic model as guidance for designing SEA systems in Egypt.

Objective 3: To review the current Egyptian planning systems and to investigate urban planning framework, and environmental policy and management The study evaluates the country context against the generic model criteria; also investigates the status and potential of establishing SEA.

Objective 4: To develop an appropriate SEA system to be integrated with Egyptian urban planning and development. The study identifies the context factors supporting the potential of SEA in Egypt; also identifies the appropriate alternatives related to SEA elements, which conform to the Egyptian context in order to propose a workable SEA system.

and the corresponding research questions have been successfully delivered in the research.

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In Chapter 2, by widely reviewing relevant SEA literatures, general understanding of strategic environmental assessment theory and its principles were obtained; the discussion in Sections 2.3 and 2.4 also explored the role of SEA role in relation to sustainable development and associated decision making processes. In Section 2.6, the context factors which support the potential for SEA adoption are described; these factors facilitated the study by providing context related evaluation criteria for the generic model for designing SEA (see Section 3.4). Furthermore, materials presented in Section 2.7 clearly assisted in identifying the core structural components, related to legal, administrative and procedural perspectives, and associated structural elements which any SEA system should theoretically comprise; also it helped identify a framework of analysis that was used to guide the review of the international SEA application (see Table 3.2). The chapter suggests that in order to genuinely make SEA applicable and help achieve sustainable development; SEA should be set up in a way that is clearly driven by its added value to decision-making. It is proposed that SEA must be seen as a tool built upon core structural elements which can be tailored to individual country context so as to ensure efficiency in the SEA procedures. Chapter2 fulfils Objective 1 and its research purposes. In Chapter 3, the regulations, legislative provisions and guidelines relevant to SEA application in 10 countries, selected throughout the world to cover a wide range of different planning contexts, are assessed. This comparison explores differences in SEA practice in different systems in order to reveal various alternatives related to the core structural elements of SEA identified in Section 2.7. Based on this assessment, Section 3.4 provides a generic model for designing SEA systems, which provided guidance for SEA development in Egypt. Chapter 3 therefore fulfils Objective 2 and its research purposes. In Chapters 5, 6 and 7, general understandings on urban development planning and environmental policy and management frameworks in Egypt were obtained. The discussion presented in Chapter 5 suggests that the condition of the urban environment in Egypt is very likely to decline further in the future due

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to the current and proposed patterns of urban development and significantly adverse impacts caused by its associated projects to the environment. To prevent or at least minimise environmental problems of urban planning development, the importance of EA is highlighted in order to make them more environmentally friendly. Furthermore, material provided in Section 5.1 clearly name those major environmental impacts inherently associated with urban strategies that must be considered in EA application. In Chapter 6, the current conditions of environmental policy making and management were concluded; the extent, to which political will is supporting environmental perspectives is well-defined in the Egyptian context, was identified. This chapter also documented

the

legal

and

institutional

arrangements

regulated

the

environmental context in Egypt. The Egyptian EIA system was described; the constraints associated with its application were identified. Furthermore, the status of environmental awareness and consensus in the society was explored. Although the contents presented in Chapter 6 suggest that Egypt has already established an environmental management system, it was clearly identified that there is no machinery to consider the environmental issues when formulating urban development actions at the strategic level. Based on these outcomes, this research suggests that in order to achieve more sustainable urban developments, SEA should integrate into urban planning decision making as a means to incorporate the environmental issues at earlier stage of policy making. For this main aim, Chapter 7 evaluates the Egyptian context against the criteria provided in the SEA design model (see Table 3.7), through a series of interviews conducted with key personal involved in both urban and environmental planning systems in Egypt, in order to investigate the potential for the adoption and development of appropriate arrangements for SEA. Chapters 5, 6 and 7 fulfil objective 3 and its research purposes. Based on the findings related to theoretical issues (the materials in Chapter 2 and 3) and practical issues (the materials from Chapter 5 to 7), in Chapter 8 the proposed SEA system for Egypt is put forward with associated legal,

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administrative and procedural arrangements described. The potential context factors that supporting SEA application in the Egyptian context are also identified. Furthermore, a way for better integration between SEA and urban planning process is suggested. Chapter 8 therefore fulfils Objective 4 and its research purposes.

9.2

Research contributions Attempts to introduce strategic environmental assessment principles in

decision making process have proved to be a challenge during the last 20 years. The development and consequent adoption of SEA have gained momentum in recent years as it is witnessed by the growing body of literature addressing SEA principles, methodology, and performance evaluation. However, despite this volume of attention, it is increasingly appreciated that there cannot be one SEA model that can fit all planning systems. Each planning system, with its own legal and institutional frameworks, has to establish its own SEA. In this context, this research is the first contribution to strategic environmental assessment in the Egyptian context, particularly related to urban development policy making. Notwithstanding the considerable progress in environmental management and promoting sustainability, there are many challenges associated with development processes that still face the environment in Egypt. As Badr (2009) recommended in his recent study on evaluating environmental management framework and EIA implementation in Egypt, a formal provision for strategic environmental assessment should be introduced in the Egyptian context to overcome these challenges. This research contribution lies in introducing SEA to be an appropriate tool for incorporating environmental issues at early stage of urban policy making in order to achieve more sustainable development in Egypt. Urban development requires a holistic approach, encompassing all aspects of development. Integration of environmental issues into the urban planning processes is essential to produce effective sustainable urban policies. The

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summer 2007 fieldwork trip revealed that previous academic research had focused mainly on dealing with economic and social influences on the urban planning process and limited attention had been given for evaluating or suggesting changes for environmental performance of urban development. This research argues the need to look at the bigger picture to discuss environmental issues on a par with economic and social issues and to suggest how environmental problems can be cantered in order to achieve more sustainable patterns of urban development in Egypt. In conclusion, it is felt that the major contributions of this research are: first, to discuss environmental assessment for urban development PPPs which has to date been neglected by Egyptian urban planners and government urban policy; Second, to introduce proposals for an Egyptian SEA system as suitable mechanism to assess the environmental performance of urban development and related PPPs; and finally to suggest changes for better environmental performance of urban development practice in Egypt.

9.3

Recommendations This research argues that SEA is a good solution to the problems caused by

the current patterns of urban development in Egypt. To put into effect the proposals that have been made in this thesis, and to adopt a comprehensive approach in order to successfully take up SEA. Below is a list of recommendations for better adoption. The list is grouped according to the main components of SEA system: Legislative level 

Review the urban planning and development provisions in Law 119/2008 for the possible inclusion of a requirement for SEA in the preparation of urban development plans.



In view of the proposal for SEA, the Environmental Protection Law needs to be reviewed, particularly on the identification of the legislative requirements for SEA actions.

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Institutional level 

It is important to consider the development of an organisational system which provides effective vertical and horizontal links between all agencies which are involved in national development planning in order to achieve integrated planning systems.



In view of the concern for sustainable development, the General Organisation for Physical Planning should carry out a research for an appropriate urban planning curriculum which is in line with current concerns and roles of urban planners in planning for sustainable development.

Procedural level 

It is important to develop a toolkit that will help in identifying specific approaches for particular impacts. This will help in designing proper detailed guidelines for SEA implementation.



The Egyptian Environmental Affairs Agency, together with the GOPP, should carry out a research for the development of an effective training programme for all parties who will be involved in SEA.



The development of other relevant tools and techniques, criteria and indicators should be put under discussion.

9.4

Further studies In this Ph.D. research, efforts have been made to realise the research aim by

developing a framework for SEA application within urban planning and development processes in Egypt. But even only considering this aim, a lot of research needed to be done in the future. Here only research regarded as critical to SEA application in Egypt are addressed, namely:

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


This proposed SEA system provides only a procedural and technical foundation for SEA application. In practice, the technical and management details of how baseline environment condition is studied, how existing environmental problems are identified, how environmental impacts are predicted and evaluated, then how environmentally alternatives and mitigation measures are developed, are the real factors determining the quality of SEA. The quality of these activities is from the quality of data, and evaluation techniques and methods that SEA team employs. Furthermore, impact assessment actually ends when impact magnitude has been predicted rather than when impact significance has been evaluated. Hence, EEAA authorities at all levels, various environmental institutions and EA consultants need to make studies on screening criteria, impact prediction and assessment techniques, accumulating relevant data and building databases, etc.



SEA team suggested for SEA is interdisciplinary and includes personnel from relevant competent authorities, academic and research institutions and other organisations, so that major relevant environmental issues are covered by suitable specialists. However in practice, how to establish an SEA team with personnel from various authorities, institutions and organisations, and further to ensure that the formed team really works is a very tough job. Therefore, the government should legalise the fundamental issues on SEA team, for instance who should be in a team, the duties of team members, and SEA team’s relationship with planning team and other relevant authorities, hence further studies on the actual duty and authority of SEA team are needed.

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For wider applicable research, increased research on the issue this research adopted as well as documentation of good-practice studies is imperative as they assist in improving efficacy of national SEA systems. This is particularly important for developing counties, currently in the process of elaborating their SEA systems. Theoretically, this research developed a generic decisionmaking model for designing SEA systems that incorporates a range of alternatives related to SEA elements, which have been already adopted in the reviewed countries. This model is considered a starting point, as it may be expanded in further research. It may include other countries; options provided may be extended to cover different perspectives. Practically, this model was used to inform discussion of SEA development in Egypt as presented in this research. For other countries, this model may also provide guidance for other countries, in particular developing countries, in setting up or refining their SEA systems, as the work presented in this thesis provides useful example and experience that any developing country can take and adapt, according to its own national, legal and institutional frameworks. Finally, it is important to keep the main reasons behind developing an SEA system in perspective during the elaboration, review and evaluation of the process, namely: 

Early consideration of potential impacts (Precautionary and Preventive Action Principles), including cumulative and synergistic impacts that are often difficult to identify at low tiers/project level;



Better consideration of alternatives;



Enhancing the accountability and the efficiency of strategic decision-making (clear and verifiable procedures/independent review);



Stakeholder involvement for more transparency and better governance.

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9.5


Conclusions By examining the theory and practice of strategic environmental

assessment, the research has justified and provided the framework for integrating SEA into urban planning in Egypt. This proposal is in line with the holistic approach to urban planning which aims towards sustainable development. However these would not be complete without research and development on subjects which are listed in sections 9.3 and 9.4. These subjects for research are integral components of an effective system of planning for sustainable development in Egypt. The list is not comprehensive but is adequate for at least the first round of further research. This study concludes that SEA should be introduced to overcome challenges facing the environment and to promote more sustainable development in development process in Egypt. It may therefore be stated that the potential for future take-up of SEA in Egypt is high, its format and scope need to be adapted to country’s needs. The work presented in this thesis provides useful example and experience that any developing country can take and adapt. What works in one country may not work in another, particularly where the political, legal and administrative frameworks are different. Finally, SEA should have the same highlevel objectives wherever it is operated, even though the mechanism through which it is delivered varies greatly.

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291

Appendix

Appendix

292

Appendix

Appendix 1: Institutional affiliations of the 1st stage interviewees Name

Professional Background

Institution

Ms. Amany Saad

Environmentalist

EIA Department

Ms. Mai Saleh

Environmentalist

EIA Department

Mr. Ahmed Badawy

Environmentalist

EIA Department

Dr. Ahmed Kamel

Environmental consultant

Cairo University

Dr. Aasem El-Gazar


Cairo University

Dr. Ahmed Tawfiq


Suez Canal University

Ms. Nadia Soliman


El-Nile Environmental Consultants

Mr. Ali Abo Sena


Green Environment Consultants

293

Appendix

Appendix 2: The 1st stage interviews questions 1. To what degree does political will support the consideration of environmental issues in the decision making process in Egypt? 2. Are there any environmental policies or objectives in Egypt? 3. To what degree do decision makers consider the environment in Egypt? 4. In your opinion, what are the potential political issues facing the consideration of environmental aspects in decision making? 5. What is the current situation for the environmental law in Egypt? 6. Are there any provisions in the law that promote the environmental aspects to be considered in decision-making? 7. Is there any mandatory provision related to EIA implementation in Egypt?, to what degree these provision are effective? 8. In your opinion, what are the potential legal issues facing the consideration of environmental aspects in decision making? 9. Are there any barriers facing an effective implementation of EIA in Egypt? 10. Are there sufficient guidelines assisting in EIA application? 11. Does the environmental authority provide sufficient training support to who are involved in EIA process? 12. Is there any authority responsible for environmental issues in Egypt? 13. Is there effective regional and local environmental planning in place? 14. Are competences / responsibilities clear? 15. Are there any environmental association for environmental assessment? 16. In your opinion, what are the potential institutional issues facing the consideration of environmental aspects in decision making? 17. To what degree is an environmental awareness sufficient in the Egyptian society? 18. Are there any formal education system related to environmental planning and sustainability?

294

Appendix

Appendix 3: Institutional affiliations of the 2nd stage interviewees Interviewee

Section Name

Department Name

Agency Name

UP-N 1 UP-N 2 UP-N 3

 General Planning and urban development section



UP-N 4

 Rural development planning section

UP-N 5


UP-N 6


UP-N 7 UP-N 8


UP-N 9

 Socio-economic studies and research

EP-N 1 EP-N 2 EP-N 3


EP-N 4

 Environmental development section

EP-N 5


 Administration of environmental quality

EP-N 6

 Environmental policies study

 International environmental policies study

EP-N 7 EP-N 8



EP-N 9

 Interdisciplinary research section

UP-R 1 UP-R 2 UP-R 3




EP-R 1 EP-R 2

 EA section



EP-R 3


UP-R 4 UP-R 5 UP-R 6




EP-R 4 EP-R 5 EP-R 6

 EA section



EP-R 7


UP-R 7



The Suez Canal GOPP regional

EP-R 8

 EA section

EP-R 9




 General administration of infrastructure and utilities planning  General administration of planning studies and research  Administration of environmental management

295


Appendix

Appendix 4: The 2nd stage interviews questions i. Personal and background Name: Title: Agency type: Department: Professional background: Years of experience:

ii. Awareness of SEA Q1. Have you ever heard about strategic environmental assessment? Yes:

familiar

know something

only the name

No Q2. Do you know that SEA is recommended for environmental assessment of strategic levels of decision making? Yes

No

iii. Acceptance to introduce SEA Q3. Do you agree that SEA is suitable to the urban development strategies? Yes

No

iv. Expected functions of SEA Q4. How do you rate the following expected functions of SEA to identify and assess environmental consequences in urban development strategies? 

Developing strategic PPP

Very important 

Not relevant

Important

Fair

Not important

Not relevant

Important

Fair

Not important

Not relevant

Fair

Not important

Not relevant

Improving decision making

Very important 

Not important

Improving environmental assessment (strengthen EIA)

Very important 

Fair

Promoting sustainable development

Very important 

Important

Important

Increasing planner and decision-makers’ awareness of environmental issues

Very important

Important

Fair

296

Not important

Not relevant

Appendix



Improving institutional co-ordination

Very important 

Fair

Not important

Not relevant

Achieving planning systems integration (inter-disciplinary integration)

Very important 

Important

Important

Fair

Not important

Not relevant

Increase public awareness of environmental issues

Very important

Important

Fair

Not important

Not relevant

v. Key issues related to context factors Q5. Do you agree that the following issues influence the adoption of SEA in Egypt? Political will 

Weak political support



Unclear environmentally sustainable policies, objectives or targets



Lower priority of environmental issues in decision making

Legal mandate 

Lack of mandatory SEA provisions



insufficient enforcement

Environmental institutions' capacity 

Poor institutional co-ordination



Non-integrated planning system



Unclear responsibilities and competences

Environmental education and awareness 

Lack of agreement to SEA results and outcomes

EIA implementation 

Ineffective public participation



Lack of systematic review criteria



Weak follow-up and monitoring

Technical know-how 

insufficient advisory guidelines



Uncertain and unreliable methodologies



Lack of training support

297

Appendix

vi.

Suggested SEA framework 5.1)

SEA legislation

Q6. Which factor do you think would be the main driving force of implementing SEA? Legislation 

Mandatory regulation

Strongly agree 

Disagree

Strongly disagree

Disagree

Strongly disagree

Disagree

Strongly disagree

Disagree

Strongly disagree

Neutral

Disagree

Strongly disagree

Agree

Neutral

Disagree

Strongly disagree

Agree

Neutral

Disagree

Strongly disagree

Neutral

Disagree

Strongly disagree

Neutral

Disagree

Strongly disagree

Neutral

Disagree

Strongly disagree

Neutral

Disagree

Strongly disagree

Agree

Neutral

Requirement set by planning agency

Strongly agree 

Neutral

Requirement set by cabinet or council

Strongly agree 

Agree

Agree

Neutral

Requirement set by environmental agency

Strongly agree

Agree

Neutral

Required by Others 

Requirement from the decision-maker

Strongly agree 

Meet the public requirement

Strongly agree 

Research study

Strongly agree 

Agree

Environmental awareness

Strongly agree

Agree

Q7. What is an appropriate legal basis for SEA in Egypt? 

Exclusive provisions

Strongly agree 

Integrated with EIA

Strongly agree 

Agree

Agree

Integrated with other legislation

Strongly agree

Agree

Q8. To what extent is SEA suitable to the following planning levels? 

National Level

Strongly agree 

Agree

Neutral

Disagree

Strongly disagree

Agree

Neutral

Disagree

Strongly disagree

Regional level

Strongly agree

298

Appendix



Governorate level

Strongly agree 

Agree

Neutral

Disagree

Strongly disagree

Agree

Neutral

Disagree

Strongly disagree

Local level

Strongly agree

Q9. To what extent is SEA suitable to the following planning strategies? 

Policies

Strongly agree 

Neutral

Disagree

Strongly disagree

Agree

Neutral

Disagree

Strongly disagree

Agree

Neutral

Disagree

Strongly disagree

Plans

Strongly agree 

Agree

Programmes

Strongly agree

Q10. In your opinion, what is the best model for SEA to be integrated in planning process? 

Separate SEA

Strongly agree 

Disagree

Strongly disagree

Agree

Neutral

Disagree

Strongly disagree

Neutral

Disagree

Strongly disagree

Integrated SEA (full integration)

Strongly agree

5.2)

Neutral

Dual track (partial integration)

Strongly agree 

Agree

Agree

SEA administration

Q11. In your opinion, which agency is suitable for initiating SEA in Egypt? 

Competent authority

Strongly agree 

Neutral

Disagree

Strongly disagree

Neutral

Disagree

Strongly disagree

Proponent authority

Strongly agree 

Agree

Agree

Specific committee Steering committee with most of the relevant government agencies

Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Joint committee with environmental and planning agencies Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Q12. In your opinion, which agency is suitable for conducting SEA in Egypt? 

Competent authority

Strongly agree

Agree

Neutral

299

Disagree

Strongly disagree

Appendix



Proponent authority

Strongly agree 

Agree

Neutral

Disagree

Strongly disagree


Strongly agree

Agree

Neutral

Disagree

Strongly disagree


Agree

Neutral

Disagree

Strongly disagree

Q13. In your opinion, which agency or group should participate in SEA process? 

Environmental agency

Most necessary

Necessary

Average



Land use agency

Most necessary

Necessary

Average



Transport agency

Most necessary

Necessary

Average



Energy agency

Most necessary

Necessary

Average



Natural resource

Most necessary

Necessary

Average



Social affair

Most necessary

Necessary

Average



Academia

Most necessary

Necessary

Average



Public

Most necessary

Necessary

Average



Others

Q14. In your opinion, which agency is suitable for reviewing SEA in Egypt? 

Competent authority

Strongly agree 

Neutral

Disagree

Strongly disagree

Neutral

Disagree

Strongly disagree

Proponent authority

Strongly agree 

Agree

Agree


Strongly agree

Agree

Neutral

Disagree

Strongly disagree


Agree

Neutral

Disagree

Strongly disagree

Q15. In your opinion, which agency is suitable for inspecting of SEA results in Egypt? 

Competent authority

Strongly agree 

Agree

Neutral

Disagree

Strongly disagree

Neutral

Disagree

Strongly disagree

Proponent authority

Strongly agree

Agree

300

Appendix




Strongly agree

Agree

Neutral

Disagree

Strongly disagree


5.3)

Agree

Neutral

Disagree

Strongly disagree

Agree

Neutral

Disagree

Strongly disagree

Agree

Neutral

Disagree

Strongly disagree

Neutral

Disagree

Strongly disagree

Agree

Neutral

Disagree

Strongly disagree

Agree

Neutral

Disagree

Strongly disagree

Neutral

Disagree

Strongly disagree

SEA process

Q16. How could screening be set up? 

Screening list

Strongly agree 

Case by case

Strongly agree 

Exclusive or inclusive criteria

Strongly agree

Agree

Q17. How could scoping be determined? 

Provisions in legislation

Strongly agree 

Guidance form

Strongly agree 

Advice by third party

Strongly agree

Agree

Q18. What approach should be followed for impacts prediction? 

Following EIA-model

Strongly agree 

Agree

Neutral

Disagree

Strongly disagree

Neutral

Disagree

Strongly disagree

Neutral

Disagree

Strongly disagree

Neutral

Disagree

Strongly disagree

Neutral

Disagree

Strongly disagree

Akin to policy-model

Strongly agree

Agree

Q19. How should mitigation measures be set up? 

Avoid implementation

Strongly agree 

Enhance environmental benefits

Strongly agree 

Agree

Agree

Reduce negative impacts

Strongly agree

Agree

301

Appendix

Q20. How should SEA report be prepared and submitted? 

Separate

Strongly agree 

Agree

Neutral

Disagree

Strongly disagree

Neutral

Disagree

Strongly disagree

Agree

Neutral

Disagree

Strongly disagree

Agree

Neutral

Disagree

Strongly disagree

Integrated with PPP document

Strongly agree

Agree

Q21. How should SEA report be reviewed? 

Internal review

Strongly agree 

External review

Strongly agree

Q22. What approach should be provided for enabling consultation and public participation? 

Information approach

Strongly agree 

Neutral

Disagree

Strongly disagree

Neutral

Disagree

Strongly disagree

Neutral

Disagree

Strongly disagree

Neutral

Disagree

Strongly disagree

Neutral

Disagree

Strongly disagree

Neutral

Disagree

Strongly disagree

Involvement approach

Strongly agree 

Agree

Agree

Co-operation approach

Strongly agree

Agree

Q23. What approach should be considered for monitoring? 

Identifying new adverse impacts

Strongly agree 

Overseeing the predicted impacts

Strongly agree 

Agree

Agree

Achievement of PPPs objectives

Strongly agree

Agree

302

Appendix

Appendix 5: Details regarding responses from different types of interviewees A5-1: Interviewees' responses on expected functions SEA A5-2: Interviewees' responses on appropriate driving force for SEA implementation A5-3: Interviewees' responses on appropriate SEA legal basis A5-4: Interviewees' responses on appropriate administrative levels for SEA A5.5: Interviewees' responses on appropriate SEA tiering A5.6: Interviewees' responses on SEA integration with planning process A5.7: Interviewees' responses on appropriate body to initiate SEA A5.8: Interviewees' responses on appropriate body to conduct SEA A5-9: Interviewees' responses on appropriate participants in SEA A5-10: Interviewees' responses on appropriate body to review SEA A5-11: Interviewees' responses on appropriate body to inspect SEA A5-12: Interviewees' responses on suitable approach for screening A5-13: Interviewees' responses on suitable approach for scoping A5-14: Interviewees' responses on suitable approach for impact assessment A5-15: Interviewees' responses on suitable approach for mitigation A5-16: Interviewees' responses on suitable approach for SEA report A5-17: Interviewees' responses on suitable approach for SEA review A5-18: Interviewees' responses on suitable approach for public participation A5-19: Interviewees' responses on suitable approach for monitoring

303

Appendix

A5-1: Interviewees' responses on expected functions SEA Responses regarding developing strategic PPP Very important important

Fair

Not important

Not relevant

Total

EP-N

4

3

1

1

0

9

EP-R

3

4

1

1

0

9

UP-N

1

2

1

3

2

9

UP-R

2

3

0

1

1

7

Responses regarding promoting sustainable development Very important important

Fair

Not important

Not relevant

Total

EP-N

6

3

0

0

0

9

EP-R

4

3

1

1

0

9

UP-N

4

3

2

0

0

9

UP-R

3

2

1

1

0

7

Responses regarding improving environmental assessment Very important important

Fair

Not important

Not relevant

Total

EP-N

4

5

0

0

0

9

EP-R

4

3

1

1

0

9

UP-N

3

4

2

0

0

9

UP-R

3

3

0

1

0

7

Responses regarding improving decision making Very important important

Fair

Not important

Not relevant

Total

EP-N

4

5

0

0

0

9

EP-R

4

4

0

0

0

9

UP-N

4

4

1

0

0

9

UP-R

3

3

1

0

0

7

304

Appendix

A5-1 continued Responses regarding increasing planners and decision makers' awareness Very important important

Fair

Not important

Not relevant

Total

EP-N

4

5

0

0

0

9

EP-R

6

3

0

0

0

9

UP-N

4

5

0

0

0

9

UP-R

3

4

0

0

0

7

Responses regarding improving institutional co-operation Very important important

Fair

Not important

Not relevant

Total

EP-N

3

4

1

1

0

9

EP-R

4

3

2

0

0

9

UP-N

3

2

1

3

0

9

UP-R

1

4

1

1

0

7

Responses regarding achieving planning systems integration Very important important

Fair

Not important

Not relevant

Total

EP-N

5

4

0

0

0

9

EP-R

4

4

0

0

0

9

UP-N

3

5

1

0

0

9

UP-R

3

3

1

0

0

7

Responses regarding increasing public awareness of environmental issues Very important important

Fair

Not important

Not relevant

Total

EP-N

3

3

1

2

0

9

EP-R

2

5

1

1

0

9

UP-N

3

2

2

2

0

9

UP-R

2

3

0

1

0

7

305

Appendix

A5-2: Interviewees' responses on appropriate driving force for SEA implementation Responses regarding mandatory regulation Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

6

3

0

0

0

9

EP-R

5

4

0

0

0

9

UP-N

5

2

1

1

0

9

UP-R

3

2

0

1

0

7

Responses regarding requirement set by the Cabinet Council Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

3

4

1

1

0

9

EP-R

5

4

0

0

0

9

UP-N

3

3

2

1

0

9

UP-R

1

4

2

0

0

7

Responses regarding requirement set by the planning agency Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

4

3

1

1

0

9

EP-R

4

4

1

0

0

9

UP-N

1

4

3

1

0

9

UP-R

3

2

0

2

0

7

Responses regarding requirement set by the environmental agency Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

2

2

1

3

1

9

EP-R

3

1

1

3

1

9

UP-N

1

2

0

3

3

9

UP-R

1

1

1

3

1

7

306

Appendix

A5-2 continued Responses regarding requirement from the decision-maker Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

4

4

1

0

0

9

EP-R

3

4

2

0

0

9

UP-N

4

5

0

0

0

9

UP-R

3

4

0

0

0

7

Responses regarding meeting the public requirement Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

3

1

2

2

1

9

EP-R

2

2

2

2

1

9

UP-N

1

1

1

3

3

9

UP-R

0

2

1

3

1

7

Responses regarding research study Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

1

1

0

3

4

9

EP-R

0

1

1

3

4

9

UP-N

1

0

2

3

3

9

UP-R

0

1

2

2

2

7

Responses regarding environmental awareness Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

1

3

1

3

1

9

EP-R

2

2

2

2

1

9

UP-N

2

3

1

2

1

9

UP-R

3

2

1

1

0

7

307

Appendix

A5-3: Interviewees' responses on appropriate SEA legal basis Responses regarding exclusive provisions Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

3

2

0

2

2

9

EP-R

1

4

2

1

1

9

UP-N

3

3

2

1

0

9

UP-R

2

4

0

1

0

7

Responses regarding integrating with EIA Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

5

4

0

0

0

9

EP-R

4

4

0

1

0

9

UP-N

3

3

1

2

0

9

UP-R

4

3

0

0

0

7

Responses regarding integrating with other legislations Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

1

1

0

3

4

9

EP-R

0

1

1

3

4

9

UP-N

1

0

2

3

3

9

UP-R

1

1

1

2

2

7

308

Appendix

A5-4: Interviewees' responses on appropriate administrative levels for SEA Responses regarding SEA for national level Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

6

3

0

0

0

9

EP-R

4

5

0

0

0

9

UP-N

7

2

0

0

0

9

UP-R

5

2

0

0

0

7

Responses regarding SEA for regional levels Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

3

5

1

0

0

9

EP-R

5

4

0

0

0

9

UP-N

4

2

2

1

0

9

UP-R

4

3

0

0

0

7

Responses regarding SEA for governorate levels Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

4

4

1

0

0

9

EP-R

6

3

0

0

0

9

UP-N

5

1

2

1

0

9

UP-R

5

2

0

0

0

7

Responses regarding SEA for local levels Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

5

4

0

0

0

9

EP-R

7

2

0

0

0

9

UP-N

5

2

1

1

0

9

UP-R

4

2

1

0

0

7

309

Appendix

A5.5: Interviewees' responses on appropriate SEA tiering Responses regarding SEA for policies Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

2

3

1

2

1

9

EP-R

4

1

0

1

1

9

UP-N

3

6

0

0

0

9

UP-R

3

3

0

1

0

7

Responses regarding SEA for plans Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

5

3

0

1

0

9

EP-R

4

5

0

0

0

9

UP-N

3

3

1

2

0

9

UP-R

4

3

0

0

0

7

Responses regarding SEA for programmes Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

4

5

0

0

0

9

EP-R

6

3

0

0

0

9

UP-N

4

5

0

0

0

9

UP-R

3

4

0

0

0

7

310

Appendix

A5.6: Interviewees' responses on SEA integration with planning process Responses regarding a separate SEA Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

0

0

1

8

0

9

EP-R

1

3

0

2

3

9

UP-N

1

0

0

3

5

9

UP-R

0

1

0

4

2

7

Responses regarding a dual track Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

1

5

1

2

0

9

EP-R

3

2

0

2

2

9

UP-N

3

4

0

1

1

9

UP-R

4

1

2

0

0

7

Responses regarding an integrated SEA Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

7

2

0

0

0

9

EP-R

4

3

1

1

0

9

UP-N

4

4

1

0

0

9

UP-R

4

2

1

0

0

7

311

Appendix

A5.7: Interviewees' responses on appropriate body to initiate SEA Responses regarding the competent authority Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

1

1

3

2

2

9

EP-R

2

3

2

1

1

9

UP-N

0

2

0

4

3

9

UP-R

0

2

0

3

2

7

Responses regarding the proponent authority Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

3

5

0

1

0

9

EP-R

2

3

1

1

2

9

UP-N

7

2

0

0

0

9

UP-R

3

4

0

0

0

7

Responses regarding the steering committee Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

0

1

2

4

2

9

EP-R

0

2

3

3

1

9

UP-N

0

2

2

3

2

9

UP-R

0

1

1

3

2

7

Responses regarding the joint committee Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

1

1

3

3

1

9

EP-R

2

1

1

3

2

9

UP-N

0

1

3

2

3

9

UP-R

0

2

2

2

1

7

312

Appendix

A5.8: Interviewees' responses on appropriate body to conduct SEA Responses regarding the competent authority Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

2

1

3

2

1

9

EP-R

1

1

2

2

3

9

UP-N

1

2

1

2

2

9

UP-R

1

1

0

3

2

7


Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

3

4

0

1

1

9

EP-R

4

3

0

2

0

9

UP-N

5

2

0

0

2

9

UP-R

3

3

0

1

0

7


Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

4

3

1

0

0

9

EP-R

4

1

2

1

1

9

UP-N

6

2

1

0

0

9

UP-R

4

2

1

0

0

7


Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

3

1

3

1

1

9

EP-R

2

2

2

2

1

9

UP-N

0

2

3

2

2

9

UP-R

0

2

2

2

1

7

313

Appendix

A5-9: Interviewees' responses on appropriate participants in SEA Responses regarding the urban agency Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

7

0

0

0

0

9

EP-R

9

0

0

0

0

9

UP-N

9

0

0

0

0

9

UP-R

7

0

0

0

0

7

Responses regarding the environmental agency Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

4

5

0

0

0

9

EP-R

6

3

0

0

0

9

UP-N

4

5

0

0

0

9

UP-R

3

4

0

0

0

7

Responses regarding the land use agency Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

4

5

0

0

0

9

EP-R

6

3

0

0

0

9

UP-N

4

5

0

0

0

9

UP-R

3

4

0

0

0

7

Responses regarding the transport agency Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

4

5

0

0

0

9

EP-R

6

3

0

0

0

9

UP-N

4

5

0

0

0

9

UP-R

3

4

0

0

0

7

314

Appendix

A5-9 continued Responses regarding the energy agency Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

2

4

2

1

0

9

EP-R

3

3

3

0

0

9

UP-N

4

2

2

1

0

9

UP-R

1

5

1

0

0

7

Responses regarding the natural resource agency Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

3

4

1

1

0

9

EP-R

3

3

2

1

0

9

UP-N

4

3

1

1

0

9

UP-R

4

2

1

0

0

7

Responses regarding the central and local governments Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

3

5

1

0

0

9

EP-R

5

3

1

0

0

9

UP-N

7

2

0

0

0

9

UP-R

3

3

1

0

0

7

Responses regarding the urban interest NGOs Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

4

4

1

0

0

9

EP-R

3

4

1

1

0

9

UP-N

7

2

0

0

0

9

UP-R

3

4

0

0

0

7

315

Appendix

A5-9 continued Responses regarding the environmental interest NGOs Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

3

4

1

1

0

9

EP-R

5

3

1

0

0

9

UP-N

3

2

3

1

0

9

UP-R

1

4

2

0

0

7

Responses regarding the social affairs interest NGOs Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

2

4

2

1

0

9

EP-R

3

3

3

0

0

9

UP-N

3

2

3

1

0

9

UP-R

1

5

1

0

0

7

Responses regarding the academia Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

4

5

0

0

0

9

EP-R

4

4

0

0

0

9

UP-N

4

4

1

0

0

9

UP-R

3

3

1

0

0

7

Responses regarding the public Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

2

4

1

2

0

9

EP-R

2

4

2

1

0

9

UP-N

3

2

2

2

0

9

UP-R

2

4

0

1

0

7

316

Appendix

A5-10: Interviewees' responses on appropriate body to review SEA Responses regarding the competent authority Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

6

3

0

0

0

9

EP-R

5

4

0

0

0

9

UP-N

5

2

1

1

0

9

UP-R

3

2

0

1

0

7

Responses regarding to the proponent authority Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

0

1

0

4

4

9

EP-R

0

2

1

3

3

9

UP-N

1

1

1

4

2

9

UP-R

2

1

1

2

1

7


Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

4

3

1

1

0

9

EP-R

5

3

1

0

0

9

UP-N

2

3

2

2

0

9

UP-R

3

2

1

1

0

7


Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

1

1

3

3

1

9

EP-R

0

2

3

3

1

9

UP-N

2

1

2

3

1

9

UP-R

2

2

1

1

1

7

317

Appendix

A5-11: Interviewees' responses on appropriate body to inspect SEA Responses regarding the competent authority Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

4

5

0

0

0

9

EP-R

4

3

1

1

0

9

UP-N

4

4

1

0

0

9

UP-R

2

3

1

1

0

7


Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

0

1

2

4

2

9

EP-R

0

1

3

3

2

9

UP-N

0

2

2

3

2

9

UP-R

0

2

1

3

1

7


Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

0

1

3

3

2

9

EP-R

0

1

2

4

2

9

UP-N

1

0

2

3

3

9

UP-R

0

1

2

3

1

7


Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

3

4

1

1

0

9

EP-R

4

4

1

0

0

9

UP-N

3

2

2

2

0

9

UP-R

4

1

1

1

0

7

318

Appendix

A5-12: Interviewees' responses on suitable approach for screening Responses regarding screening lists Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

4

3

1

0

0

9

EP-R

4

1

2

1

1

9

UP-N

6

2

1

0

0

9

UP-R

4

2

1

0

0

7

Responses regarding a case by case Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

1

0

0

4

4

9

EP-R

0

2

1

4

2

9

UP-N

1

1

1

4

2

9

UP-R

0

1

1

3

2

7

Responses regarding exclusive criteria Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

6

3

0

0

0

9

EP-R

5

3

0

1

0

9

UP-N

4

3

2

0

0

9

UP-R

3

2

1

1

0

7

319

Appendix

A5-13: Interviewees' responses on suitable approach for scoping Responses regarding a provision in legislation Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

3

4

0

1

1

9

EP-R

5

3

1

0

0

9

UP-N

4

2

2

1

0

9

UP-R

3

1

2

1

0

7

Responses regarding a guidance form Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

5

3

1

0

0

9

EP-R

4

4

1

0

0

9

UP-N

5

4

0

0

0

9

UP-R

3

3

1

0

0

7

Responses regarding an advice of third party Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

2

4

1

1

1

9

EP-R

3

2

2

2

0

9

UP-N

3

3

2

1

0

9

UP-R

2

4

1

0

0

7

320

Appendix

A5-14: Interviewees' responses on suitable approach for impact assessment Responses regarding an EIA-model Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

1

2

2

3

1

9

EP-R

3

1

1

2

2

9

UP-N

0

1

2

3

3

9

UP-R

0

1

2

3

1

7

Responses regarding a policy-model Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

4

5

0

0

0

9

EP-R

4

3

1

1

0

9

UP-N

4

4

1

0

0

9

UP-R

2

3

1

1

0

7

321

Appendix

A5-15: Interviewees' responses on suitable approach for mitigation Responses regarding avoiding implementation Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

3

4

0

1

1

9

EP-R

4

5

0

0

0

9

UP-N

2

2

2

3

0

9

UP-R

3

1

2

1

0

7

Responses regarding enhancing positive impacts Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

1

3

3

1

1

9

EP-R

2

2

2

3

0

9

UP-N

2

3

2

1

1

9

UP-R

3

3

1

0

0

7

Responses regarding reducing negative impacts Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

5

3

1

0

0

9

EP-R

4

4

1

0

0

9

UP-N

5

4

0

0

0

9

UP-R

3

3

1

0

0

7

322

Appendix

A5-16: Interviewees' responses on suitable approach for SEA report Responses regarding a separate report Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

1

1

1

3

3

9

EP-R

0

2

1

4

2

9

UP-N

1

1

0

4

3

9

UP-R

2

1

1

2

1

7

Responses regarding an integrated report Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

5

3

1

0

0

9

EP-R

4

4

1

0

0

9

UP-N

4

4

0

1

0

9

UP-R

2

4

0

1

0

7

323

Appendix

A5-17: Interviewees' responses on suitable approach for SEA review Responses regarding an internal review Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

0

1

1

4

3

9

EP-R

1

1

2

3

2

9

UP-N

0

2

1

3

3

9

UP-R

1

2

0

3

1

7

Responses regarding an external review Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

5

4

0

0

0

9

EP-R

4

4

1

0

0

9

UP-N

4

4

1

0

0

9

UP-R

3

3

1

0

0

7

324

Appendix

A5-18: Interviewees' responses on suitable approach for public participation Responses regarding an information approach Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

1

1

0

3

4

9

EP-R

1

2

1

2

3

9

UP-N

2

2

1

2

2

9

UP-R

1

3

1

2

0

7

Responses regarding an involvement approach Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

5

4

0

0

0

9

EP-R

4

3

2

0

0

9

UP-N

4

3

1

1

0

9

UP-R

4

2

1

0

0

7

Responses regarding a co-operation approach Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

5

3

1

0

0

9

EP-R

5

4

0

0

0

9

UP-N

5

3

1

0

0

9

UP-R

2

4

1

0

0

7

325

Appendix

A5-19: Interviewees' responses on suitable approach for monitoring Responses regarding identifying new adverse impacts Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

4

5

0

0

0

9

EP-R

4

4

0

0

0

9

UP-N

4

4

1

0

0

9

UP-R

3

3

1

0

0

7

Responses regarding overseeing the predicted impacts Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

3

5

1

0

0

9

EP-R

5

3

1

0

0

9

UP-N

7

2

0

0

0

9

UP-R

3

3

1

0

0

7

Responses regarding achieving PPP's objectives Strongly agree

Agree

Neutral

Disagree

Strongly disagree

Total

EP-N

1

3

3

1

1

9

EP-R

2

2

2

3

0

9

UP-N

5

3

1

0

0

9

UP-R

3

4

0

0

0

7

326