SEA IN THE CONTEXT OF LANDTUSE PLANNING
SEA IN THE CONTEXT OF LANDTUSE PLANNING SEA IN THE CONTEXT OF LANDTUSE PLANNING
In this research the introduction of the SEA directive into the national framework isstudied in three different national planning contexts. In the thesis an overview is given ofhow the directive is transposed to the national legal system, as well as the existing planningframework is described. The purpose of the national overviews is to contribute to acomparative analysis of the relation between certain aspects of the national planning contextsand the legal introduction of the SEA directive. These results from the national studies areanalysed with regards to the contents of the EU directive 2001/42/EC and the internationaland Nordic academic discourse regarding the purpose and role of SEA, related to thecharacteristics of the planning system.1.1 BackgroundThe topic of Strategic Environmental Assessment (SEA) is of current interest to governmentofficials, practitioners and politicians who deal with spatial planning and environmentalmanagement at national, regional and local levels. The introduction of the EU directive2001/42/EC laid new demands on the planning process with the SEA requirements, as wellas on the contents of plans and programmes.The introduction of these requirements means that the countries need to make legaladjustments to implement the directive; the directive must be implemented at the differentoperational planning levels. Since the directive is a framework directive, it provides minimalguidance regarding its implementation, and it is up to the individual countries to fulfil itsrequirements. Thus, many questions regarding its implementation need to be solved, both bythe national legal bodies, as well as those responsible for the actual implementation in practiceat different administrative levels. Furthermore, the application of SEA-type instruments hasbeen practiced in several European countries prior to the introduction of the directive, andexperience has been gathered for different types of plans and policies at national, regional andmunicipal levels. A variety of different definitions of SEA exist, e.g. regarding the aims ofSEA, how SEA shall be introduced to the existing planning system and finally, what theimplementation of SEA means in practice for planning and decision-making.The directive is an example of a supra-national instrument that needs to be applied fromtop-down to an already existing national practice of environmental assessment, and needs tobe integrated into each country’s national planning system and planning practice. There isthus a strong practical and policy relevance of the subject. The research is a part of theresearch programme ‘Tools for Environmental Assessment in Strategic Decision Making’,‘MiSt’, which is funded by Swedish Environmental Protection Agency.1.2 The purpose of the research and questions addressedThe key proposition for the research is that the way that a common European directive isinterpreted and transposed to different national contexts differs substantially between thedifferent European countries. It is assumed that the demand for and the expectations towardsSEA as a tool for promoting environmental integration and sustainable development differdepending on the national context, in particular with regard to the planning system.Moreover, there appears to be a divergence between the expectations expressed in someacademic literature on SEA to what changes the environmental assessment of plans andprogrammes can bring about; e.g. improving decision-making, ensuring consideration ofsustainable development on the agenda and integrating environmental considerations intoplanning processes, and the requirements included in the EU directive 2001/42/EC (Binaand Wellington 2005).10
The overall research question of the licentiate thesis is the following:How is the EU directive ‘On the assessment of the effects of certain plans and programmes on the environment’2001/42/EC introduced to the legal framework in different European countries? More specifically, in whatways does the transposition of the SEA directive to the national legal framework differ and how do thosedifferences relate to the countries’ national planning contexts.The aim of the thesis is to shed light on these questions through the study of the introductionof the EU directive 2001/42/EC in three countries: Sweden, Iceland and England. It is theambition of the research that the thesis will contribute to the SEA discussion with thefollowing aspects:• Examples of certain parts of the academic discussion and development of the concept ofSEA during the last two decades.• A description of the national implementation of the EU directive 2001/42/EC inSweden, Iceland and England.• A description of the national level planning contexts to which the directive is introduced.• A description and analysis of the similarities and differences in the national approaches tothe task of implementing the EU directive 2001/42/EC.• An analysis of the empirical findings from the national reviews with regard to existingtheories of planning and environmental integration.• A discussion and identification of the ‘context of relevance’, i.e. the factors in the existingplanning or legal framework that are considered to be influential for the outcome of theSEA application.1.3 The choice of SEA as a research topic and questions of interestThe main reason behind choosing to study the introduction of the SEA directive is theimmediate importance of the topic and the amount of unanswered questions. The directiveposes a challenge to planners and policy-makers alike and the legal implementation of thedirective has influenced the planning and environmental debate in all the countries addressedand the contents of this provides an interesting empirical basis. Furthermore, theimplementation of the SEA directive provides an empirical basis for studying the applicationof a supra-national directive in different national circumstances in a comparative manner.My personal relation to the topic is an interest in spatial planning as a phenomenon, itspotential as well as its limitations to bring about change. An interest in the environmentalaspects of the planning was awakened during my studies in town planning at the University ofNewcastle upon Tyne, 1990 – 1996, when environmental integration in town planning was arelatively new and undeveloped field. From that time I have seen approaches of introducingenvironmental efforts in planning ‘come and go’, and have been looking for an opportunityto assess what marks they have left on the practice of spatial planning (such as Agenda 21,environmental plans and environmental appraisals). More specifically on the topic of SEA, Ifirst came across the term during an optional course offered in the planning studies onEnvironmental Impact Assessment. Being presented as a convincing solution to thedeficiencies of the existing system of Environmental Impact Assessment (EIA), I believedthat its implementation was just around the corner. The implementation has been a long timecoming, and following the SEA discussion through studies and practice for 15 years, theconcept of SEA has changed and evolved. While the methodological and theoretical aspectsof SEA have developed, much of the SEA discussion can be recognised to derive fromprevious discussions in the planning field, while other aspects are new. Hence, on the basis of11
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The overall research question of the licentiate thesis is the following:How is the EU directive ‘On the assessment of the effects of certain plans and programmes on the environment’2001/42/EC introduced to the legal framework in different European countries? More specifically, in whatways does the transposition of the <strong>SEA</strong> directive to the national legal framework differ and how do thosedifferences relate to the countries’ national planning contexts.The aim of the thesis is to shed light on these questions through the study of the introductionof the EU directive 2001/42/EC in three countries: Sweden, Iceland and England. It is theambition of the research that the thesis will contribute to the <strong>SEA</strong> discussion with thefollowing aspects:• Examples of certain parts of the academic discussion and development of the concept of<strong>SEA</strong> during the last two decades.• A description of the national implementation of the EU directive 2001/42/EC inSweden, Iceland and England.• A description of the national level planning contexts to which the directive is introduced.• A description and analysis of the similarities and differences in the national approaches tothe task of implementing the EU directive 2001/42/EC.• An analysis of the empirical findings from the national reviews with regard to existingtheories of planning and environmental integration.• A discussion and identification of the ‘context of relevance’, i.e. the factors in the existingplanning or legal framework that are considered to be influential for the outcome of the<strong>SEA</strong> application.1.3 The choice of <strong>SEA</strong> as a research topic and questions of interestThe main reason behind choosing to study the introduction of the <strong>SEA</strong> directive is theimmediate importance of the topic and the amount of unanswered questions. The directiveposes a challenge to planners and policy-makers alike and the legal implementation of thedirective has influenced the planning and environmental debate in all the countries addressedand the contents of this provides an interesting empirical basis. Furthermore, theimplementation of the <strong>SEA</strong> directive provides an empirical basis for studying the applicationof a supra-national directive in different national circumstances in a comparative manner.My personal relation to the topic is an interest in spatial planning as a phenomenon, itspotential as well as its limitations to bring about change. An interest in the environmentalaspects of the planning was awakened during my studies in town planning at the University ofNewcastle upon Tyne, 1990 – 1996, when environmental integration in town planning was arelatively new and undeveloped field. From that time I have seen approaches of introducingenvironmental efforts in planning ‘come and go’, and have been looking for an opportunityto assess what marks they have left on the practice of spatial planning (such as Agenda 21,environmental plans and environmental appraisals). More specifically on the topic of <strong>SEA</strong>, Ifirst came across the term during an optional course offered in the planning studies onEnvironmental Impact Assessment. Being presented as a convincing solution to thedeficiencies of the existing system of Environmental Impact Assessment (EIA), I believedthat its implementation was just around the corner. The implementation has been a long timecoming, and following the <strong>SEA</strong> discussion through studies and practice for 15 years, theconcept of <strong>SEA</strong> has changed and evolved. While the methodological and theoretical aspectsof <strong>SEA</strong> have developed, much of the <strong>SEA</strong> discussion can be recognised to derive fromprevious discussions in the planning field, while other aspects are new. Hence, on the basis of11