STRATEGIC ENVIRONMENTAL ASSESSMENT POLICY SYSTEMS MODEL FOR SOLID WASTE MANAGEMENT IN MALAYSIA DENNIS JEYAKUMAR VICTOR DEVARAJ THESIS SUBMITTED IN FULFILMENT OF THE REQUIREMENTS FOR THE DEGREE OF DOCTOR OF PHILOSOPHY INSTITUTE OF BIOLOGICAL SCIENCES FACULTY OF SCIENCE UNIVERSITY OF MALAYA KUALA LUMPUR 2014 UNIVERSITY OF MALAYA ORIGINAL LITERARY WORK DECLARATION Name of Candidate : Dennis Jeyakumar Victor Devaraj IC : 730929145271 Registration/Matric No : SHC100072 Name of Degree : Doctor of Philosophy (Ph.D) Title of Thesis : Strategic Environmental Assessment Policy Systems Model for Solid Waste Management in Malaysia Field of Study : Solid Waste Management & Policy Planning I do solemnly and sincerely declare that: (1) I am the sole author/writer of this Work; (2) This Work is original; (3) Any use of any work in which copyright exists was done by way of fair dealing and for permitted purposes and any excerpt or extract from, or reference to or reproduction of any copyright work has been disclosed expressly and sufficiently and the title of the Work and its authorship have been acknowledged in this Work; (4) I do not have any actual knowledge nor do I ought reasonably to know that the making of this work constitutes an infringement of any copyright work; (5) I hereby assign all and every rights in the copyright to this Work to the University of Malaya (“UM”), who henceforth shall be owner of the copyright in this Work and that any reproduction or use in any form or by any means whatsoever is prohibited without the written consent of UM having been first had and obtained; (6) I am fully aware that if in the course of making this Work I have infringed any copyright whether intentionally or otherwise, I may be subject to legal action or any other action as may be determined by UM. Candidate’s Signature Date Subscribed and solemnly declared before, Witness’s Signature Date Name : Professor Dr P Agamuthu Designation : Supervisor ABSTRACT This study has examined the Strategic Environmental Assessment (SEA) policy framework for integrating environmental requirements in solid waste management (SWM) policies, plans and programmes (PPP) in Malaysia. The key problem the study frames is the lack of environmental policy integration for SWM. Currently, environmental issues are mainly addressed during the environmental impact assessments (EIA) of SWM facilities, which have resulted in environmental pollution, public protest and public litigation. The primary objective was to determine the potential for SEA integration in SWM while the secondary objective was to determine the mechanism for SEA implementation for SWM based on the SEA Behaviour Models (SBM) and the analytical SEA (ASEA) framework. The methodology of the study consisted of a SEA policy analysis, SEA stakeholder/public survey with the development of SBM based on structural equation modelling as well as the operationalization of the ASEA framework based on the United Nations SEA Protocol. Finally, SEA policy recommendations were formulated based on the SBM and ASEA framework using the environmental management system (EMS) elements. The SEA policy analysis and SBM survey indicates significant SEA policy integration potential though the existing environmental management emphasis is still on EIA. The SBM also indicate that the key drivers in the SEA stakeholder model are perception of benefits, barriers and enablers while the key drivers in the SEA public model are perception of benefits, enablers and existing environmental attitude. The general policy implication is that the SBM provides empirical strategic behaviour models for SEA policy integration initiatives. The specific policy implications indicate the need for strategic public participation, SEA capacity building and a strategic transformation of the environmental planning framework, which includes a SEA Legislation, SEA Blueprint, SEA Declaration and a SEA Commission. ii Meanwhile, the ASEA findings highlight minimal level of environmental integration at the strategic level for SWM. The operationalization of the ASEA framework on the National Strategic Plan (NSP) for SWM indicate that 51% of its SWM facility siting is within environmental sensitive areas including water catchment areas. The general policy implication is that the ASEA provides a customized SEA framework for SWM based on Malaysia’s environmental system. The specific policy implications indicate the need for the adoption of the ASEA framework and a review of the NSP as well as the establishment of a SEA Management Unit, Environmental Information System, SEA Steering Committee and a SEA Governance Centre. Finally, this study has formulated SEA policy recommendations based on the SEA policy analysis, SBM and ASEA framework (Figure 1). The SEA policy recommendations’ five environmental thematic areas are SEA Scope, SEA Policy Planning, SEA Operational Implementation, SEA Monitoring Audit and SEA Governance. In conclusion, the study indicates significant potential of SEA integration for SWM in Malaysia, which ultimately will require a synergism of the SBM and ASEA framework as part of a dynamic SEA policy systems model. 2 1 SEA Legislation ASEA Framework SEA Blueprint SEA Capacity Building High SEA Public Participation SEA Governance Centre 4 3 SEA Commission SEA Declaration SEA Steering Committee Environmental Information System Moderate SEA Management Unit IMPACT ON SEAIMPACT SEA SWM PPP Review Moderate High IMPLEMENTATION PROBABILITY Figure 1 : SEA Policy Recommendations Priority Quadrant iii ABSTRAK Kajian ini telah memeriksa rangka kerja Penilaian Alam Sekitar Strategik (SEA) untuk mengintegrasikan keperluan alam sekitar dalam pengurusan sisa pepejal (SWM) dasar, rancangan dan program (PPP) di Malaysia. Masalah utama yang dikaji adalah kekurangan integrasi alam sekitar untuk SWM semasa perancangan dasar. Pada masa kini, isu-isu alam sekitar ditangani di peringkat penilaian kesan alam sekitar (EIA) kemudahan SWM yang telah menyebabkan pencemaran alam sekitar, bantahan awam dan tindakan undang-undang. Objektif utama adalah menentukan potensi penerapan SEA dalam SWM manakala objektif kedua adalah menentukan mekanisma pelaksanaan SEA untuk SWM berdasarkan model tingkah laku (SBM) SEA dan pengoperasian rangka kerja analisa SEA (ASEA). Metodologi kajian terdiri daripada analisa dasar SEA, kaji selidik pihak berkepentingan/orang awam dan pembangunan model tingkah laku SEA berdasarkan pemodelan struktur serta pengoperasian rangka kerja analisis khas SEA berdasarkan Protokol SEA Bangsa-Bangsa Bersatu. Justeru itu, cadangan dasar SEA telah dirangka berdasarkan elemen sistem pengurusan alam sekitar (EMS). Penemuan analisa dasar SEA dan kaji selidik SBM menunjukkan potensi pengintegrasian SEA yang signifikan walaupun penekanan pengurusan alam sekitar masa kini masih pada EIA. Penemuan model SBM juga menunjukkan pemandu utama untuk model tingkah laku pihak berkepentingan SEA terdiri daripada persepsi faedah, halangan dan pemboleh manakala dalam model orang awam tingkah laku SEA terdiri daripada persepsi faedah, pemudah dan sikap alam sekitar. Implikasi dasar umum adalah SBM menyediakan model tingkah laku empirik untuk inisiatif penerapan dasar SEA. Implikasi dasar khusus adalah keperluan penyertaan awam strategik, peningkatan kapasiti SEA dan transformasi strategik rangka kerja perancangan alam sekitar yang termasuk perundangan SEA, Pelan Tindakan SEA, Deklarasi SEA dan Suruhanjaya SEA. iv Sementara itu, kajian rangka kerja ASEA menunjukkan Rancangan National Strategik (NSP) untuk perancangan SWM di Malaysia mempunyai pertimbangan alam sekitar yang minimum di peringkat strategik. Umumnya, 51% daripada kemudahan SWM yang dirancang adalah dalam kawasan sensitif alam sekitar termasuk kawasan tadahan air. Implikasi dasar umum adalah ASEA menyediakan suatu rangka kerja analisa SEA yang disesuaikan untuk SWM berdasarkan sistem alam sekitar Malaysia. Implikasi khusus adalah keperluan pemakaian rangka kerja ASEA dan penyemakan NSP serta penubuhan Unit Pengurusan SEA, Sistem Maklumat Alam Sekitar, Jawatankuasa Pemandu SEA dan Pusat Pentadbiran SEA. Akhir sekali, kajian ini telah merumuskan cadangan dasar SEA berdasarkan analisa dasar SEA, SBM dan rangka kerja ASEA (Rajah 1). Lima tema alam sekitar cadangan dasar adalah Skop SEA, SEA Perancangan Dasar, SEA Pelaksanaan Operasi, Audit Pemantauan SEA dan Tadbir Urus SEA. Kesimpulannya, kajian menunjukkan potensi signifikan pengintegrasian SEA untuk SWM di Malaysia yang akan memerlukan pergabungan SBM dan rangka kerja ASEA sebagai sebahagian model sistem dasar SEA yang dinamik. 2 1 Perundangan SEA Rangka Kerja ASEA Pelan Tindakan SEA Kesedaran & Latihan SEA Tinggi SEA Penyertaan Awam SEA Pusat Pentadbiran SEA 4 3 Suruhanjaya SEA Deklarasi SEA Jawatankuasa Pemandu SEA Sistem Maklumat Alam Sekitar Unit Pengurusan SEA Sederhana Semakan SEA SWM PPP IMPAK KEPADA IMPAK Sederhana Tinggi KEBARANGKALIAN PELAKSANAAN Rajah 1 : Cadangan Dasar SEA Kuandran Keutamaan v ACKNOWLEDGEMENTS My first and foremost gratitude is to my GOD who has been my strength and encouragement in completing this Thesis. Without HIM, I probably would have given up many times. I would like to express my deepest appreciation to Professor Dr. P Agamuthu, my research supervisor for his invaluable feedback and comments. He has been an excellent mentor and friend. I thank the Ministry of Education, Malaysia for their scholarship under the MyPhd programme and acknowledge the University of Malaya for the financial support under the Institute of