sus ainabili y
A icle
Moni o ing and E alua ion F amewo k o Spa ial
Plans: A Spanish Case S udy
Se gio Segu a and Belen Ped egal * ID
Depa men o Human Geog aphy, Uni e sidad de Se illa, Calle San Fe nando, 4, 41004 Se illa, Spain;
[email p o ec ed]
*Co espondence: [email p o ec ed]; Tel.: +34-954-551-466
Recei ed: 27 July 2017; Accep ed: 20 Sep embe 2017; Published: 23 Sep embe 2017
Abs ac :
Spa ial planning, as a egional and sub egional public policy, es ablishes a e i o ial in eg al
ision implemen ed h ough spa ial plans, aimed a achie ing a balanced and sus ainable spa ial
de elopmen and imp o ing quali y o li e. To enhance he e ec i eness o hese plans, e alua ion
and moni o ing a e needed. This pape c i ically analyses he moni o ing and e alua ion amewo k
o spa ial plans in Spain. Based on ex ensi e li e a u e, legisla i e, and documen e iew, as well as
in-dep h in e iews wi h key s akeholde s, he pape desc ibes he legal p o isions o spa ial plans
and how hey wo k in p ac ice. One o he main conclusions is ha , al hough many laws and spa ial
plans ha e been adop ed in Spain, hey do no include su icien de ails and p o isions ega ding
basic moni o ing and e alua ion p ocedu es. This p ac ice is in ac highly dependen on he poli ical
will o egional go e nmen s. The main p og ess on moni o ing and e alua ion o spa ial plans is
achie ed hanks o he en o cemen o en i onmen al legisla ion. Finally, i is sugges ed ha he ole
o speci ic bodies, public pa icipa ion, e i o ial obse a o ies, and indica o sys ems should be
s eng hened as key elemen s o he e alua ion and moni o ing p ocedu es o spa ial planning.
Keywo ds:
moni o ing amewo k; spa ial planning; e alua ion; e i o ial obse a o ies; SEA Di ec i e;
Spanish legisla i e ame
1. In oduc ion
Since he To emolinos Cha e 1983 (adop ed in 1983 by he Council o Eu ope Con e ence o
Minis e s Responsible o Spa ial/Regional Planning (CEMAT)), spa ial planning in Eu ope has been
unde s ood as a long- e m policy which se s a e i o ial comp ehensi e ision di ec ed owa ds
a balanced egional de elopmen and he physical o ganisa ion o space acco ding o an o e all
s a egy. The Cha e ’s p inciples es ablished he essen ial aim o sus ainable de elopmen o spa ial
planning [
1
] (p. 2): (i) balanced socioeconomic de elopmen o he egions; (ii) imp o emen o he
quali y o li e; (iii) esponsible managemen o na u al esou ces and p o ec ion o he en i onmen ;
and (i ) a ional use o land.
Fo his pu pose, spa ial planning includes decision p ocesses abou s uc u al spa ial elemen s,
such as ne wo ks o se lemen s, in as uc u e, and se ices, as well as na u al and cul u al esou ces
and he i age. In spa ial planning, egional and sub egional scales a e impo an , as hese a e he scales
chosen in mos coun ies o spa ial planning, whe eas u ban planning is es ic ed o he local scale [
2
].
In he Eu opean con ex , a numbe o s eps ha e been aken o suppo planning in membe
coun ies. In 1999, he Eu opean Spa ial De elopmen Pe spec i e (ESDP) was signed by he minis e s
esponsible o egional planning in he EU membe s a es. Al hough he ESDP has no binding s a us,
as he Eu opean Union has no o mal au ho i y o spa ial planning, he ESDP has in luenced spa ial
planning policy in Eu opean egions and membe s a es [3].
The Eu opean G een Pape on Te i o ial Cohesion expanded he aim o spa ial planning owa ds
achie ing a mo e balanced and ha monious e i o ial de elopmen . In his ega d, i is unde s ood
Sus ainabili y 2017,9, 1706; doi:10.3390/su9101706 www.mdpi.com/jou nal/sus ainabili y
Sus ainabili y 2017,9, 1706 2 o 19
ha planning and managemen a e impo an ins umen s o ans o ming e i o ial di e si y in o
an asse ha con ibu es o sus ainable de elopmen [
4
]. The e o e, he e a e high demands and
expec a ions on spa ial planning o suppo socie y wi h physical s uc u es ha make i possible o
people o ac and li e in a mo e sus ainable way [3].
In he las ew yea s, spa ial planning has also been unde s ood as he p ocess o decision making
on he use o land in a socie y, based on assessing and balancing compe ing demands. Consequen ly,
i is di ec ly ela ed o go e nance discou se [
5
]. An inc easing complexi y cha ac e ises spa ial
planning policy, no only as a consequence o he di e si y o p ocedu es bo h be ween and wi hin
coun ies [
6
,
7
], bu also as a esul o he numbe o e i o ial ac o s ha ake pa in spa ial planning
decision p ocesses. Te i o ial s akeholde s include hose indi iduals and collec i es ha use e i o ial
esou ces and pe cei e hemsel es as a ec ed by spa ial planning decision making. An addi ional le el
o complexi y a ises om o e lapping o o he public policies wi h a spa ial impac [
8
]. Usually, all o
hese in e ac ions b ing up con lic s. Fu he mo e, no single in e na ional pa adigm exis s ha can be
used as a heo e ical model o spa ial planning, as bo h spa ial planning o ien a ions and social needs
a e in cons an e olu ion [6].
Spa ial planning is implemen ed mainly h ough spa ial plans bu also is a ec ed by o he sec o al
policies. In Spain, spa ial plans a e s a u o y documen s ha es ablish gene al and speci ic e i o ial
guidelines a di e en scales o ope a ional and spa ial es uc u ing pu poses [
9
] (pp. 483–484).
These plans ha e a common s uc u e based on alignmen wi h p e-es ablished objec i es, a imeline
o ac ions o be implemen ed, and expec ed esul s. Spa ial plans a e gene ally based on a
e i o ial diagnosis and an analysis o ends o he e i o ial dynamics, aimed a iden i ying
cons ain s and po en ial bene i s de i ed om e i o ial p ojec s. O he sec o al s a u o y documen s,
such as en i onmen al o wa e managemen and isk legisla ion, es ablish gene al and speci ic
guidelines and echniques a ec ing spa ial planning a di e en scales o ope a ional and spa ial
es uc u ing pu poses.
Fu he mo e, spa ial planning is a con inuous p ocess. In ha sense, e alua ion, moni o ing,
and e iew o spa ial plans a e essen ial o p omo e he con inuing e ec i eness o spa ial
planning
[10,11]
. Howe e , he e is gene al ag eemen among specialis s ha he measu emen
o he e ec i eness and ou comes o planning is a challenging ask due o he complexi y in ol ed in
spa ial planning ac i i ies and he limi a ion o any single me hod as a means o e ec i ely measu ing
he ou come and impac o hese ac i i ies [12].
The e a e impo an con ibu ions in he in e na ional li e a u e ha poin ou he di icul ies
in ol ed in e alua ing spa ial planning ou comes. Va ious au ho s highligh he di icul y o isola ing
he impac s o spa ial planning om o he public policies, as well as he sca ci y o eliable da a
a ailable [
12
]. Many o hese s udies ha e ocused on con ibu ing o he de elopmen o be e
indica o s o he assessmen o policy impac s on he key objec i es, mainly a local scales [
6
–
8
,
13
–
19
].
The e a e ewe analyses, howe e , o he moni o ing sys em i sel , he legal p o isions o moni o ing
in spa ial planning, how hey a e eally wo king on he g ound, and whe he hey a e mee ing
hei objec i es.
This pape aims o con ibu e o his a ea by c i ically analysing he moni o ing and e alua ion
amewo k o spa ial plans in Spain. Based on ex ensi e li e a u e, legisla i e, and documen e iew,
as well as in-dep h in e iews wi h key s akeholde s, he pape desc ibes he legal p o isions o spa ial
plans and how hey wo k in eali y. By doing so, main ba ie s and se backs a e iden i ied and some
ecommenda ions p o ided ha could con ibu e o enhance his p ac ice in e na ionally.
The pape is o ganised in o six sec ions. Following his in oduc ion, he second sec ion discusses
he concep o e alua ion and moni o ing amewo k as applied in his s udy. The hi d sec ion lays ou
he ins i u ional con ex o spa ial planning in Spain. The ou h sec ion ou lines he me hodological
app oach used o conduc his wo k. The i h sec ion discusses he e ec i eness o he Spanish spa ial
planning legisla ion p o isions o e alua ing and moni o ing o plans. The inal sec ion p esen s some
concluding ema ks and ecommenda ions.
Sus ainabili y 2017,9, 1706 3 o 19
2. Concep ualising E alua ion and Moni o ing F amewo k
In his pape , spa ial plan e alua ion e e s o he p ocesses needed o measu e he achie emen
o he objec i es and es ablished goals and o sugges p ope policy and design changes [
20
]. To ca y
ou an e alua ion, we mus iden i y ools o measu e he pe o mance o he ac ions and policies,
and o sol e p oblems ela
ed o implemen a ion and e ec i eness o policies [
21
]. Spa ial plan
e alua ions a e needed o p omo e a sma spa ial app oach, de ined as a means o esea che s,
s akeholde s, and he local communi y o acqui e be e knowledge o he e i o y o be e manage
i s de elopmen [
22
,
23
]. E alua ion can be ca ied ou a any ime o he planning p ocess and,
unlike moni o ing, i can be pe o med by ex e nal agen s ha a e no pa o he eam in cha ge o
he plan (See Table 1). Usually, he e alua ion o objec i es is pe o med wi h he aid o indica o s,
which a e conside ed a undamen al elemen o he e alua ion o spa ial policies since he 1970s U.S.
Na ional En i onmen al Policy Ac [24–26].
On he o he hand, in his pape , spa ial plan moni o ing e e s o a se o egula ed p ocesses
ha con inuously and sys ema ically ga he in o ma ion on a plan du ing he execu ion pe iod.
This moni o ing should be used in o de o con ol and epo con ingencies o possible co ec ion o
he plan (See Table 1).
Table 1. Di e ences be ween e alua ion and moni o ing o he spa ial plans.
Aspec s E alua ion Moni o ing
Pu pose Accoun abili y, in o ma ion, imp o emen o
he design and implemen a ion o he plan
To ensu e ha wha is planned and
egula ed is ac ually en o ced
When i is pe o med Be o e, du ing, and a e implemen a ion o
he plan Du ing implemen a ion o he plan
Who pe o ms i Ex e nal o in e nal e alua o s Team in cha ge o he plan
Con en o he p ocess Assess ele ance, use ulness, e ec i eness
and e iciency Measu e he pe o mance and esul s
Aim o he p ocess Assess he adequacy o he plan Co ec de ia ions
No ion o public ac ion Allows ques ioning he plan Does no ques ion he plan
Sou ce: Adap ed based on Benaben , 2014 [27] (p. 130).
Based on he p e ious de ini ions, o he pu poses o his pape , moni o ing and e alua ion
amewo k o spa ial plans e e s o all bodies, ins umen s, and p ocesses es ablished and egula ed
by legisla ion o p omo e an e ec i e eedback on spa ial plans.
3. Spa ial Planning in Spain
The o igins o spa ial planning in Spain go back o he me opoli an u ban plans o he beginning
o he 20 h cen u y. A e he ansi ion o democ acy and he Spanish Cons i u ion o 1978, i acqui ed
a ele an ole. Since de olu ion o esponsibili ies o he egions up o he end o he 20 h cen u y,
se e al na ional au ho s ha e published on he ield o spa ial planning, bo h om a heo e ical and
p ac ical poin o iew. Se e al publica ions om he beginning o he 21s cen u y a e deemed
essen ial in he ield and desc ibe spa ial planning in Spain as a main challenge [28–40].
Ve y li le li e a u e exis s, howe e , on he e alua ion o implemen a ion o spa ial planning
policy in Spain. The e is much mo e academic li e a u e abou en i onmen al assessmen o spa ial
plans. En i onmen al issues ha e long been conside ed—and igh ly so—as undamen al in spa ial
and u ban planning [41–44]. The e o e, i is unde s andable ha he en i onmen al assessmen has a
longe adi ion han he e alua ion and moni o ing p og ams o he Spanish spa ial plans, al hough
hey ha e many poin s in common. Acco ding o mos au ho s, hese poin s in common should be
s eng hened and p ocedu es should be in eg a ed [44].
Sus ainabili y 2017,9, 1706 4 o 19
Spa ial planning was es ablished in a icle 148.1 o he Spanish Cons i u ion as an exclusi e
compe ence o Spanish egions, simila o compe ences on u ban planning and housing, which a e
closely ela ed. Since hen egional spa ial planning legisla ion was passed ha di e en ia ed i
om u ban planning and p o ided i wi h i s own speci ic planning ins umen s [
33
], hese laws
and plans ha e become a gene al p ac ice, no wi hs anding he poli ical ideology o he di e en
Spanish egional go e nmen s. Consequen ly, many u ban me opoli an and coas al a eas’ spa ial
plans we e app o ed [
39
]. Howe e , se e al sec o al and c oss-sec o al esponsibili ies s ill lie wi h
cen al go e nmen , such as speci ic in as uc u e policies ha , along wi h economic planning, ha e a
di ec impac on spa ial planning.
Fu he mo e, we emphasize ha in Spain he e is a low awa eness o spa ial planning issues.
Ten yea s ago he P o essional Socie y o Geog aphe s and he Associa ion o Spanish Geog aphe s
(AGE) abled a mani es o o a new e i o ial cul u e in 2006 [
45
]. The mani es o was ini ially signed
by 108 expe s and in ended o hal he unlimi ed u ban de elopmen ha has domina ed Spain,
and especially i s coas s, in he pas se e al decades [
46
]. Despi e he mani es o, ci il socie y and
planne s hemsel es ha e no ac i ely heeded i s call, and u ban de elopmen has been slowed
p ima ily by he economic c isis a he beginning o his decade.
The di e en egional legisla ions all de ine a simila spa ial planning sys em wi h simila
in e en ion ools, which ha e ollowed e y di e en pa hs. They a e based on wo undamen al
scales: egional spa ial plans and sub egional spa ial plans [
40
]. In some egions, he egional spa ial
plan is me ely a s a egic spa ial amewo k. Gene ally, al hough no in all cases, hese egional spa ial
plans es ablish guidelines, laws, o ecommenda ions on land use. Wi h a ew excep ions, sub egional
spa ial plans a e mo e speci ic han he egional plans. They a e ela ed o in e media e e i o ial
scales be ween egional and local planning (in Spain his would be he scale o p o inces, coun ies,
o sup a-municipal le el).
Figu e 1shows he inal app o al yea o all he laws ha make up he main legal amewo k
on egional spa ial planning in Spain. The i s law was app o ed in Ca alonia in 1983 and he las
one was in 2015. None o hese egional laws ha e any na ional legisla ion ha se es as a e e ence
amewo k. As a esul , he e is a lack o cohe ence and consensus o de elop and implemen spa ial
plans in Spain [
40
]. In some cases, egional, na ional, and in e na ional sec o al legisla ion a ec spa ial
plans. Fo example, his is he case wi h Eu opean en i onmen al legisla ion, legisla ion on landscape
in Ca alonia, coas al a ea egula ions in Andalusia, and legisla ion o land classi ica ion schemes in
Mu cia. Many di e en changes and modi ica ions o o iginal spa ial planning laws ha e been passed,
al hough some o hem a e s ill in o ce wi h ew changes, as is he case in Andalusia and Ca alonia.
Sus ainabili y 2017, 9, 706 4 o 18
go e nmen , such as speci ic in as uc u e policies ha , along wi h economic planning, ha e a di ec
impac on spa ial planning.
Fu he mo e, we emphasize ha in Spain he e is a low awa eness o spa ial planning issues.
Ten yea s ago he P o essional Socie y o Geog aphe s and he Associa ion o Spanish Geog aphe s
(AGE) abled a mani es o o a new e i o ial cul u e in 2006 [45]. The mani es o was ini ially signed
by 108 expe s and in ended o hal he unlimi ed u ban de elopmen ha has domina ed Spain, and
especially i s coas s, in he pas se e al decades [46]. Despi e he mani es o, ci il socie y and planne s
hemsel es ha e no ac i ely heeded i s call, and u ban de elopmen has been slowed p ima ily by
he economic c isis a he beginning o his decade.
The di e en egional legisla ions all de ine a simila spa ial planning sys em wi h simila
in e en ion ools, which ha e ollowed e y di e en pa hs. They a e based on wo undamen al
scales: egional spa ial plans and sub egional spa ial plans [40]. In some egions, he egional spa ial
plan is me ely a s a egic spa ial amewo k. Gene ally, al hough no in all cases, hese egional
spa ial plans es ablish guidelines, laws, o ecommenda ions on land use. Wi h a ew excep ions,
sub egional spa ial plans a e mo e speci ic han he egional plans. They a e ela ed o in e media e
e i o ial scales be ween egional and local planning (in Spain his would be he scale o p o inces,
coun ies, o sup a-municipal le el).
Figu e 1 shows he inal app o al yea o all he laws ha make up he main legal amewo k on
egional spa ial planning in Spain. The i s law was app o ed in Ca alonia in 1983 and he las one
was in 2015. None o hese egional laws ha e any na ional legisla ion ha se es as a e e ence
amewo k. As a esul , he e is a lack o cohe ence and consensus o de elop and implemen spa ial
plans in Spain [40]. In some cases, egional, na ional, and in e na ional sec o al legisla ion a ec
spa ial plans. Fo example, his is he case wi h Eu opean en i onmen al legisla ion, legisla ion on
landscape in Ca alonia, coas al a ea egula ions in Andalusia, and legisla ion o land classi ica ion
schemes in Mu cia. Many di e en changes and modi ica ions o o iginal spa ial planning laws ha e
been passed, al hough some o hem a e s ill in o ce wi h ew changes, as is he case in Andalusia
and Ca alonia.
Figu e 1. Final app o al yea o Regional Laws on Spa ial Planning in o ce in Spain. (Sou ce: Own
p epa a ion based on egional Spanish spa ial planning laws.)
One o he main ea u es o Spanish egional spa ial planning laws is ha hey a e ins umen al,
which means ha spa ial plans es ablish legally binding no ms [34]. Consequen ly, spa ial plans in
Spain ha e a double na u e: on he one hand, hey p omo e spa ial ans o ma ions in o de o achie e
sus ainable e i o ial de elopmen ; and, on he o he hand, hey egula e and es ic ce ain
ac i i ies and land uses [29]. Howe e , Spanish spa ial plans a e p ima ily s a egic a he han
egula o y, especially on he egional scale.
Figu e 1.
Final app o al yea o Regional Laws on Spa ial Planning in o ce in Spain. (Sou ce: Own
p epa a ion based on egional Spanish spa ial planning laws.)
Sus ainabili y 2017,9, 1706 5 o 19
One o he main ea u es o Spanish egional spa ial planning laws is ha hey a e ins umen al,
which means ha spa ial plans es ablish legally binding no ms [
34
]. Consequen ly, spa ial plans in
Spain ha e a double na u e: on he one hand, hey p omo e spa ial ans o ma ions in o de o achie e
sus ainable e i o ial de elopmen ; and, on he o he hand, hey egula e and es ic ce ain ac i i ies
and land uses [
29
]. Howe e , Spanish spa ial plans a e p ima ily s a egic a he han egula o y,
especially on he egional scale.
As we ha e p e iously men ioned, Spanish spa ial plans ha e wo basic scales: he egional and
sub egional; whe eas u ban planning is es ic ed o he local scale. Bo h ypes o plans ha e been
app o ed in he o m o legal dec ees ha p o ide o egula ions and ecommenda ions, al hough
in he pas ew yea s legisla ion has become mo e lexible and p oac i e a he han egula o y [
39
].
This is consis en wi h he la es Eu opean and Spanish planning heo y. Spa ial planning p ocesses
ocus on he e i o ial ag eemen be ween s akeholde s a he han ha d egula o y spa ial plans.
This ocus aims o esol e he complexi y o mul ile el spa ial planning and ela ed s akeholde
in ol emen p ocesses [8,22,47–50].
In some cases, mo e han a decade has elapsed be ween he egional law and he app o al o
he egional spa ial plan. Un il 2016 only he egions o Mad id and Mu cia had no app o ed he
egional spa ial plan. I is common knowledge ha sub egional spa ial plans ha e p oli e a ed since
he beginning o his cen u y. Acco ding o many expe s, he e is a need o complemen he egional
spa ial plan wi h mo e legally binding sub egional plans in o de o gua an ee he en o cemen o
spa ial planning guidelines [
51
]. This ange o le els o legally binding commi men implies ha
egional spa ial plans a e mo e gene al in na u e, whe eas sub egional plans de ine mo e speci ic
legal a angemen s, applying he p inciple o subsidia i y [
30
]. Ca alonia, Na a a, Basque Coun y,
Andalusia, Cana y Islands, and Balea ic Islands ha e all app o ed egional and sub egional plans.
On he o he hand, Ex emadu a and he egion o Valencia ha e no app o ed any sub egional
spa ial plan and hey a e cu en ly p ocessing he d a p oposals o hei i s sub egional spa ial
planning ins umen s.
4. Me hodology
To analyse he e alua ion and moni o ing amewo ks o spa ial planning, we examined he
legisla ion in o ce in each o he 17 Spanish egions (equi alen o NUTS 2 in he Classi ica ion o
Te i o ial Uni s o S a is ics o he Eu opean Union). Once all p o isions o he e alua ion and
moni o ing o spa ial plans we e iden i ied, we pe o med a c i ical analysis o hei ac ual si ua ion
based on he e iew o scien i ic li e a u e and in e iews wi h key s akeholde s. We conduc ed
he in e iews wi hin he amewo k o he GOBEFTER p ojec (GOBEFTER: F om go e nmen o
go e nance and e ec i e e i o ial go e nabili y; Guidelines o a new spa ial de elopmen , suppo ed
by he Minis y o Economy, Indus y and Compe i i eness (MIMECO) unde g an GOBEFTER,
Re . CS02012-36960). Two speci ic case s udies we e selec ed: Andalusia— he egion wi h he mos
spa ial plans in Spain—and he Valencia egion, which was in he p ocess o de eloping i s egional
spa ial s a egy du ing his esea ch.
In e iews consis ed o a s uc u ed con e sa ion based on open ques ions using he snowball
me hod. This is a non-p obabili y sampling echnique based on chain sampling ha is ideal o iden i y
he mos in e es ing ac o s in his ype o s udy. The main con ac s we e p o ided by ele an expe s
ha we e also being in e iewed. This is one o he mos app op ia e and widely used me hods in he
ield o social science [52].
Fo each case s udy, ou in e iews o app oxima ely one hou we e pe o med wi h ele an
spa ial planning expe s wi h a echnical, poli ical, p o essional, and/o academic p o ile (Table 2).
Whene e possible, a second ound o in e iews was held in o de o ill in necessa y in o ma ion.
In e iews we e held be ween 2014 and 2016. The in e iews we e es ablished as anonymous o
ensu e a high le el o candou . The academic and policy-making p o iles we e mos p e alen in he
in e iews, al hough all p o iles we e conside ed in o de o comple e he analysis.

Sus ainabili y 2017,9, 1706 6 o 19
Table 2. P o ile o in e iewees.
P o ile o In e iewees Andalusia Valencia
Technical s a (public adminis a ion) 1 3
P o essionals 1 1
Academics 3 2
Policy make s 3 1
No e: A o al o eigh in e iews we e pe o med, ou o each case s udy. Mos in e iewees i in o wo o mo e
p o ile ca ego ies. Sou ce: Own p epa a ion.
The s uc u ed in e iew empla e (Appendix A) se ed as a basis o ob ain he necessa y
in o ma ion o mee he objec i es o his esea ch. The ques ionnai e consis ed o en open ques ions
aimed a explo ing he cu en s a us o e alua ion, moni o ing, and enewal o spa ial plans acco ding
o law. Ques ions e e ed o he exis ing moni o ing epo s, he asks o he e alua ion and
moni o ing commissions, he ole o public pa icipa ion, he unc ionali y and ac i i ies o he
e i o ial obse a o ies, and spa ial in o ma ion and indica o s. Special a en ion was also paid o he
exis ing poli ical commi men and he s a e o e ical and ho izon al coo dina ion be ween public
adminis a ion bodies. Finally, he economic si ua ion o he go e nmen depa men s esponsible
o spa ial planning was also conside ed, aking in o accoun he cu en economic c isis and public
budge educ ions. We used he in o ma ion collec ed om hese in e iews o d a he discussion
sec ion o his pape .
5. Resul s and Discussion
This sec ion p esen s he spa ial planning legisla ion p o isions o e alua ion and moni o ing o
plans and discusses hei e ec i eness.
Signi ican di e ences exis be ween egional legisla ion ega ding e alua ion and moni o ing o
spa ial planning. The de ailed p o isions and laws can be ound in Appendix Bo his pape . Table 3
summa ises he p o isions es ablished by egional legisla ion ha a ec e alua ion and moni o ing o
spa ial plans.
Table 3.
Main p o isions es ablished by he legisla ion in o ce on e alua ion, moni o ing, and enewal
o spa ial plans in Spain.
P o isions Numbe o Times Men ioned
(Maximum o 15 Regional Laws) Commen s
Moni o ing commission 7 Body in cha ge o moni o ing he plan.
Moni o ing and
managemen epo s 12
P o isions o he moni o ing, modi ica ion and
e iew o he plan, bu wi h no de ailed e e ence o
he speci ic con en s o he epo .
Moni o ing and
managemen indica o s 3
E alua ion and moni o ing indica o s a e only b ie ly
men ioned in he egional laws.
Public consul a ion
and pa icipa ion 15
Only in 6 cases is he issue o public pa icipa ion
men ioned and only in wo cases a public
pa icipa ion p ojec is men ioned. In he o he cases,
a public consul a ion pe iod o only wo mon hs
is men ioned.
P o isions o S a egic
En i onmen al Assessmen 15
All egional laws mus anspose he SEA Di ec i e
(2001/42/CE) and he la es amendmen s o he laws
do anspose i .
Te i o ial Obse a o ies and/o
Spa ial In o ma ion Sys ems 4
Only ou e i o ial obse a o ies and/o Spa ial
In o ma ion Sys ems a e men ioned in egional
spa ial planning laws. E alua ion and moni o ing
indica o s a e only b ie ly men ioned in he laws.
In many cases i is he egional spa ial plans ha
p esc ibe hei c ea ion.
Sou ce: Own p epa a ion based on Spanish egional spa ial planning laws.
Sus ainabili y 2017,9, 1706 7 o 19
Mos o hese p o isions a e ela ed o moni o ing a he han o e alua ion o spa ial plans.
Acco ding o in e iewee opinions, e alua ion has no been su icien ly p omo ed due o lack o
poli ical will. In e iewees also no ed he lack o suppo ing ma e ials o me hodological guidelines
ha could help o accomplish hese complex asks. These p o isions a e u he examined and
discussed in he ollowing sec ions.
5.1. Moni o ing Commissions, Repo s, and Indica o s
Based on egional legisla ion o spa ial planning, he e is a common obliga ion o ensu e
coo dina ion and coope a ion be ween di e en public adminis a ions and le els. Acco ding o
in e iewees, adminis a i e coo dina ion and coope a ion a e undamen al aspec s o implemen ing
he e alua ion and moni o ing p ocedu es in spa ial plans and a e key o a oiding obsole e spa ial
plans. This iewpoin is suppo ed by o he au ho s [
40
]. As seen in Table 3, in se en cases
egional legisla ions c ea e an ad-hoc commission o his pu pose. Adminis a i e in e iews also
enhance spa ial planning e i o ial commissions as c ucial in spa ial planning decision making.
Howe e , hey also ema k ha hese e i o ial commissions a e ailing o ca y on ou e alua ion and
moni o ing asks. Ce ainly, he e is a lack o esou ces o he e alua ion and moni o ing o spa ial
plans since he e is no a speci ic depa men assigned o wo k on moni o ing, no is he e any ex e nal
e alua ion. Fu he mo e, when he e a e speci ic commissions o hese pu poses, like in Andalusia,
hey commonly a e subjec o he poli ical decisions o he esponsible public body [29].
All egional laws men ion he need o es ablish o ecas ing and moni o ing measu es o hese
plans, which gene ally a e epo s ha mus be egula ly d a ed by he moni o ing commissions o he
public body esponsible o spa ial planning. Howe e , hese laws do no speci y de ailed con en s o
hese epo s. Only in ecen laws a e indica o sys ems men ioned as key ins umen s o e alua e he
plans. Howe e , acco ding o he in e iewees, indica o s de ined in spa ial plans a e no accompanied
by any kind o esponsibili y o commi men .
Mo eo e , based on in e iew answe s, in mos cases o dina y moni o ing epo s a e no
elabo a ed sys ema ically. Technical in e iewees poin ed ou ha in gene al hese epo s a e only
a ailable o adminis a i e s a . In addi ion, hese moni o ing p ocedu es ha e been hi by he
economic c isis and budge cu s. These conce ns a e consis en wi h indings om p e ious esea ch
ha shows ha in he case o he UK he e is a lack o moni o ing capaci y a he local le el whe e some
planning au ho i ies only ha e a small numbe o planne s wi h li le expe ience in comp ehensi e
moni o ing wo k [
15
]. In Spain, his could also be applied o he egional and sub egional le els o
spa ial planning.
5.2. Public Consul a ion
We ha e s a ed ha e alua ion can be unde s ood as any p ocess o assess he adequacy o
he plan, he e o e public pa icipa ion could con ibu e o e alua ion and moni o ing p ocedu es.
Acco dingly, we assume public pa icipa ion as a po en ial p ocedu e o e alua ion o he spa ial plans.
Based on de elopmen s in planning heo y, public pa icipa ion is essen ial in spa ial planning.
Acco ding o egional laws, all spa ial plans mus be submi ed o public consul a ion a leas du ing
hei app o al and enewal p ocedu es. Cu en ly only six egional spa ial planning laws e e o
public pa icipa ion and jus wo o hem include he equi emen o d a an exhaus i e pa icipa ion
p ojec ( he cases o Na a e and he egion o Valencia).
Some o he in e iewees ha e poin ed ou ha pa icipa ion is concei ed as a passi e p ocess,
mainly es ic ed o public consul a ions. Due o a lack o public pa icipa ion adi ion, mos public
adminis a ions s ill a e me ely willing o sha e in o ma ion.
Ne e heless, some p og ess has been made in public pa icipa ion since he o igins o spa ial
planning as a public policy in Spain. Acco ding o he in e iewees, he la es spa ial planning
p ocesses a e ca ying ou in e es ing pa icipa ion p ocedu es ha go beyond he legal equi emen s.
Sus ainabili y 2017,9, 1706 8 o 19
Fo example, Valencian Spa ial S a egy ( he egional plan) has aken in o accoun a la ge public
pa icipa ion p ojec .
5.3. S a egic En i onmen al Assessmen o Spa ial Plans
As Table 3shows, all spa ial planning laws include he equi emen o a s a egic en i onmen al
assessmen o spa ial plans de i ed om he Eu opean Di ec i e on S a egic En i onmen al
Assessmen (SEA) [53].
Fo a long ime, en i onmen al p inciples ha e been conside ed undamen al in spa ial policies
based on U.S. laws on en i onmen al assessmen . En i onmen al assessmen has a s onge adi ion
han spa ial plan e alua ion and moni o ing al hough hey ha e many poin s in common, acco ding o
mos au ho s [44].
In Spain, as a membe o he Eu opean Union, he assessmen o he en i onmen al impac o
plans and p og ammes is ela ed o Eu opean Di ec i e 2001/42/CE [
53
]. The S a egic En i onmen al
Assessmen di ec i e was ansposed o he Spanish legal sys em h ough Law 9/2006 [
54
]. The la es
legal upda e a he na ional le el, Law 21/2013 [
55
] on en i onmen al assessmen , includes changes
ha simpli y he adminis a i e p ocedu e. I clea ly d aws a dis inc ion be ween he s a egic
en i onmen al assessmen o p ojec s and he s a egic en i onmen al assessmen o plans and
p og ammes, such as spa ial plans. Mo e speci ically, wo di e en p ocedu es we e es ablished
o plans: The S a egic En i onmen al Decla a ion o he egula p ocedu e and he S a egic
En i onmen al Repo o he simpli ied p ocedu e (Table 4).
Table 4. S a egic en i onmen al assessmen p ocedu es acco ding o Law 21/2013.
P ocedu e Documen Submi ed by he
P ojec Manage Adminis a i e Resolu ion
STRATEGIC ENVIRONMENTAL
ASSESSMENT ( egula p ocedu e)
Ti le II, Chap e 1, Sec ion 1
Ini ial S a egic Documen along
wi h he D a Plan
Scope s a emen , along wi h a public
consul a ion pe iod
S a egic En i onmen al S udy
along wi h public pa icipa ion
S a egic En i onmen al Repo along wi h a
public consul a ion pe iod, once he equi ed
en i onmen al epo has been app o ed
STRATEGIC ENVIRONMENTAL
ASSESSMENT (simpli ied p ocedu e)
Ti le II, Chap e 1, Sec ion 2
Ini ial S a egic Documen along
wi h he D a Plan
S a egic En i onmen al Repo along wi h a
pe iod o public consul a ion
Sou ce: Own p epa a ion based on Law 21/2013 (9 Decembe 2013) on en i onmen al assessmen [55].
Bo h p ocedu es— he S a egic En i onmen al Decla a ion and he S a egic En i onmen al
Repo —consis o a manda o y and legally binding epo issued by he esponsible en i onmen al
adminis a i e body, which is only alid o wo yea s. In his ime pe iod he plan o p og amme
mus ob ain de ini i e app o al. The new egula p ocedu e o s a egic en i onmen al assessmen o
plans and p og ammes has a maximum du a ion o 24 mon hs. The simpli ied s a egic en i onmen al
assessmen p ocedu e es ablishes he equi emen o he p ojec manage o submi a S a egic
En i onmen al Documen along wi h he ini ial d a p ojec o plan. In his case, he en i onmen al
go e nmen body has a maximum o ou mon hs, alongside a pe iod o 45 days o public
consul a ion—o six mon hs o issue a a ou able opinion o decide ha he applica ion mus ollow
he o dina y adminis a i e p ocedu e.
The con en s o he S a egic En i onmen al S udy and o he S a egic En i onmen al Repo
acco ding o he simpli ied p ocedu e a e de ailed in Appendix C. Among o he aspec s, hey include
an en i onmen al su eillance p og amme, in which measu es o he en i onmen al e alua ion and
moni o ing o he plans a e de ined. Law 21/2013 [
55
] con e s he du y o moni o he en i onmen al
e ec s o he plans bo h o he au ho i ies esponsible o he au ho iza ion o he plans and he
en i onmen al go e nmen bodies in cha ge o pe o ming he en i onmen al impac assessmen .
Sus ainabili y 2017,9, 1706 9 o 19
A e all, egional legisla ion mus now be adap ed o hese new p ocedu es in o de o implemen he
co esponding measu es o he di e en spa ial plans.
Many o he expe s ha we in e iewed we e su p ised o lea n ha hese p ocedu es
a e ela i ely new and ha he con inuous moni o ing epo ing does no exis in mos cases.
Mo eo
e , in he majo
i y o cases, hese en i onmen al p ocedu es a e no linked wi h moni o ing
and e alua ion o spa ial plans. Howe e , in he Valencian case, he new egional legisla ion— he
spa ial planning law o 2014—p oposes o link bo h p ocedu es.
5.4. Te i o ial Obse a o ies
Finally, he las p o isions iden i ied in legisla ion a e he e i o ial obse a o ies. They a e
ecognized ins i u ions ha se e o p o ide e i o ial e idence o he e alua ion and moni o ing
o spa ial de elopmen . Only ou egional spa ial planning laws se o h e i o ial obse a o ies
and/o Spa ial In o ma ion Sys ems.
Figu e 2shows he e i o ial obse a o ies iden i ied in egional spa ial laws and spa ial plans
in Spain. Table 5also names he e i o ial in o ma ion sys ems and he spa ial da a in as uc u es
de i ed om he implemen a ion o INSPIRE Di ec i e 2007/2/CE [
56
] and Spa ial Da a In as uc u es
(SDI). In addi ion, some non-s a u o y obse a o ies ha e been iden i ied since hey p o ide e i o ial
e idence use ul o he e alua ion pu poses.
Sus ainabili y 2017, 9, 706 9 o 18
in he majo i y o cases, hese en i onmen al p ocedu es a e no linked wi h moni o ing and
e alua ion o spa ial plans. Howe e , in he Valencian case, he new egional legisla ion— he spa ial
planning law o 2014—p oposes o link bo h p ocedu es.
5.4. Te i o ial Obse a o ies
Finally, he las p o isions iden i ied in legisla ion a e he e i o ial obse a o ies. They a e
ecognized ins i u ions ha se e o p o ide e i o ial e idence o he e alua ion and moni o ing
o spa ial de elopmen . Only ou egional spa ial planning laws se o h e i o ial obse a o ies
and/o Spa ial In o ma ion Sys ems.
Figu e 2 shows he e i o ial obse a o ies iden i ied in egional spa ial laws and spa ial plans
in Spain. Table 5 also names he e i o ial in o ma ion sys ems and he spa ial da a in as uc u es
de i ed om he implemen a ion o INSPIRE Di ec i e 2007/2/CE [56] and Spa ial Da a
In as uc u es (SDI). In addi ion, some non-s a u o y obse a o ies ha e been iden i ied since hey
p o ide e i o ial e idence use ul o he e alua ion pu poses.
Figu e 2. Te i o ial Obse a o ies acco ding o Spanish egional spa ial planning legisla ion. (Sou ce:
own elabo a ion based on Spanish egional spa ial planning legisla ion).
Table 5. Te i o ial obse a o ies ela ed o spa ial plans in Spain.
Region
Regional Spa ial
Planning Law (Yea )
Te i o ial Obse a o y
Andalusia
1994
- Te i o ial Obse a o y o Andalusia
- Spa ial In o ma ion Sys em o Andalusia (SDI)
A agon
2009
- Spa ial In o ma ion Documen a ion Cen e
- Spa ial In o ma ion Sys em o A agon (SDI)
As u ias
2004
* Sus ainabili y Obse a o y o As u ias (OSE)
Balea ic Islands
2000
* Spa ial De elopmen and Sus ainabili y Obse a o y (OSE)
Cana y Islands
2000
- Pe manen Sus ainable De elopmen Obse a o y
- Obse a o y on Telecommunica ions and In o ma ion Socie y
Can ab ia
2001
* Geog aphical In o ma ion Sys em o Can ab ia (SDI)
Cas ile and Leon
1998
* Spa ial In o ma ion Sys em o Cas ile Leon (SDI)
Cas ile-La Mancha
2010
* In o ma ion Sys em o Cas ile La Mancha (SDI)
Ca alonia
1983
* Landscape Obse a o y o Ca alonia
Valencia
2004
- Landscape and Spa ial S udies Ins i u e
- Spa ial In o ma ion Sys em (SDI)
Ex emadu a
2002
* Te i o ial Obse a o y Cen e o he Alen ejo Ex emadu a (SDI)
Galicia
1995
- Spa ial S udies Ins i u e (law amended in 2007)
- Spa ial In o ma ion Sys em o Galicia (SDI)
Mad id
1995
Mu cia
2005
- Spa ial Re e ence Sys em
* Sus ainabili y Obse a o y o he Mu cia egion (OSE)
Figu e 2.
Te i o ial Obse a o ies acco ding o Spanish egional spa ial planning legisla ion. (Sou ce:
own elabo a ion based on Spanish egional spa ial planning legisla ion).
Acco ding o he in o ma ion ga he ed, nine egions e e o Te i o ial Obse a o ies o o he
al e na i e s a u o y e i o ial ins i u ions p o iding in o ma ion o moni o ing and e alua ion o
spa ial plans (Figu e 2and Table 5). In many cases, he o he al e na i e o icial ins i u ions a e
sec o al obse a o ies o ins i u ions di ec ly ela ed o geog aphic in o ma ion se ices, ac ing as
a egional node o he Spanish Spa ial Da a In as uc u e ne wo k, o es ablished by he INSPIRE
Di ec i e. The e a e o he egional spa ial da a in as uc u es, obse a o ies, and ins i u ions no
ela ed wi h spa ial planning no ma i e p o isions. These non-s a u o y e i o ial obse a o ies,
such as Landscape Obse a o y o Ca alonia, a e also suppo ing he collec ion and analysis o
egional spa ial planning in o ma ion. In addi ion, obse a o ies di ec ly linked o Spanish Na ional
Obse a o y o Sus ainabili y (OSE) (Spanish Na ional Obse a o y o Sus ainabili y (OSE) was c ea ed
a he beginning o his cen u y h ough an independen ini ia i e and e i ed in 2014) ha e been
ecognized as non-s a u o y bu use ul ins i u ions o ga he e i o ial in o ma ion [57].
Sus ainabili y 2017,9, 1706 16 o 19
Appendix C
Table A3.
Minimum con en s o he documen , s a egic assessmen s udy and epo unde Law
21/2013 on en i onmen al assessmen .
Ini ial S a egic Documen and S a egic En i onmen al S udy
(Regula P ocedu e) S a egic En i onmen al Documen (Simpli ied P ocedu e)
- Ini ial S a egic Documen :
(a) Planning objec i es.
(b) The scope and con en o he plan and p oposed p og amme
and i s echnically and en i onmen ally iable al e na i es.
(c) Fo eseeable implemen a ion and de elopmen o he plan
and p og amme.
(d) Po en ial en i onmen al impac s aking in o accoun
clima e change.
(e) Fo eseeable e ec s on spa ial and sec o al plans wi h
con e gen objec i es.
- S a egic En i onmen al S udy:
1. Ou line o main con en s and objec i es o he plan o
p og amme and ela ion wi h o he ele an plans
and p og ammes;
2. Rele an aspec s o he cu en en i onmen al si ua ion and i s
likely e olu ion in case he plan o p og amme is
no implemen ed;
3.
The en i onmen al ea u es o he a ea ha could be signi ican ly
a ec ed and i s e olu ion aking in o accoun expec ed clima e
change wi hin he imeline o he plan o p og amme;
4.
Any exis ing en i onmen al p oblem ha is ele an o he plan
o p og amme, in pa icula including hose ela ed wi h any
a ea o special en i onmen al impo ance, as designa ed a eas
unde he cu en p o ec ed a eas and p o ec ed species
legisla ion and he Na u a 2000 p o ec ed a eas ne wo k;
5. The en i onmen al p o ec ion objec i es a he in e na ional,
Eu opean and na ional le el ela ed wi h he plan o p og amme
and he way in which hese objec i es o any o he
en i onmen al aspec we e aken in o accoun in he d a ing o
he documen ;
6. Likely signi ican e ec s on he en i onmen , including aspec s
such as biodi e si y, popula ion, human heal h, lo a, auna, soil,
wa e , ai , clima ic ac o s and hei implica ions o clima e
change, such as an adequa e assessmen o ca bon oo p in
associa ed wi h he plan o p og amme, ma e ial asse s, cul u al
he i age, landscape and he in e linkages be ween all hese
ac o s. These e ec s mus include seconda y, cumula i e,
syne gic, sho -, medium- and long- e m, pe manen and
empo a y, posi i e and nega i e e ec s.
7. The measu es o eseen o p e en , educe and i possible,
compensa e any impo an nega i e e ec on he en i onmen
caused by he implemen a ion o he plan o p og amme,
including hose aimed a adap a ion and mi iga ion o he
impac s on clima e change.
8.
Summa y o he easons o he selec ion o he al e na i es ha
we e conside ed and desc ip ion o he e alua ion p ocess,
including challenges, such as echnical p oblems o lack o
knowledge o expe ience, ha had o be aced when collec ing
he equi ed in o ma ion;
9. En i onmen al su eillance p og amme, in which moni o ing
measu es a e de ailed;
10.
Non- echnical summa y o he in o ma ion p o ided in he
p e ious sec ions.
- S a egic En i onmen al Documen :
(a) Planning objec i es.
(b) The scope and con en o he plan and p oposed
p og amme and i s echnically and en i onmen ally
iable al e na i es.
(c) Fo eseeable implemen a ion and de elopmen o he plan
and p og amme.
(d) Cha ac e iza ion o he en i onmen al si ua ion be o e he
implemen a ion o he plan o p og amme.
(e) Fo eseeable and, i app op ia e, quan i ied
en i onmen al e ec s.
( ) Fo eseeable e ec s on spa ial and sec o al plans wi h
con e gen objec i es.
(g) Jus i ica ion o he applica ion o he simpli ied p ocedu e
o he s a egic en i onmen al assessmen .
(h)
Summa y o he easons o he selec ion o he al e na i es
ha we e conside ed.
(i) The measu es o eseen o p e en , educe and i possible,
compensa e any impo an nega i e e ec on he
en i onmen caused by he implemen a ion o he plan o
p og amme, aking in o accoun clima e change.
(j) Desc ip ion o he measu es es ablished o he
en i onmen al moni o ing plan.
Sou ce: Own p epa a ion based on Law 21/2013 (9 Decembe 2013) on en i onmen al assessmen .
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