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Environmental Assessment and the Greening of NAFTA [Elektronische Ressource] / Aranka Podhora. Betreuer: Johann Köppel

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330 pages
Environmental Assessment and the Greening of NAFTA vorgelegt von Diplom-Ingenieurin der Landschaftsplanung Aranka Podhora aus Berlin Von der Fakultät VI – Planen Bauen Umwelt der Technischen Universität Berlin zur Erlangung des akademischen Grades Doktorin der Ingenieurwissenschaften Landschaftsplanung – Dr.-Ing. – genehmigte Dissertation Vorsitzender: Prof. Dr. Volkmar Hartje Berichter: Prof. Dr. Johann Köppel Berichterin: Prof. Dr. Miranda Schreurs Tag der wissenschaftlichen Aussprache: 31.03.2010 Berlin 2011 D 83 3 To my parents. 4 5Acknowledgement I would like to thank my supervisors Prof. Dr. Johann Köppel and Prof. Dr. Miranda A. Schreurs for supervising my thesis and for their support and critical comments and questions on the drafts and their support in the research colloquia. Thanks also go to the Wuppertal Institute for Climate, Environment and Energy and to my peers in the Ph.D. collegium “Ecology and Fairness in the World Trade Regime”, Dr. Reinhild Bode, Dr. Monika Dittrich, Gregor Kaiser, Dr. Lena Partzsch, Dr. Mark Starmans and Dr. Justus von Geibler. I would especially like to thank Prof. Dr. Wolfgang Sachs, the leader of the collegium, Dr. Oscar Reutter, and Tilman Santarius, who accompanied us on our adventures through the different aspects of world trade.
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Environmental Assessment
and
the Greening of NAFTA



vorgelegt von
Diplom-Ingenieurin der Landschaftsplanung
Aranka Podhora
aus Berlin



Von der Fakultät VI – Planen Bauen Umwelt
der Technischen Universität Berlin
zur Erlangung des akademischen Grades
Doktorin der Ingenieurwissenschaften Landschaftsplanung
– Dr.-Ing. –
genehmigte Dissertation







Vorsitzender: Prof. Dr. Volkmar Hartje
Berichter: Prof. Dr. Johann Köppel
Berichterin: Prof. Dr. Miranda Schreurs
Tag der wissenschaftlichen Aussprache: 31.03.2010
Berlin 2011
D 83























3












To my parents.

4

5
Acknowledgement
I would like to thank my supervisors Prof. Dr. Johann Köppel and Prof. Dr. Miranda A.
Schreurs for supervising my thesis and for their support and critical comments and
questions on the drafts and their support in the research colloquia.
Thanks also go to the Wuppertal Institute for Climate, Environment and Energy and to
my peers in the Ph.D. collegium “Ecology and Fairness in the World Trade Regime”,
Dr. Reinhild Bode, Dr. Monika Dittrich, Gregor Kaiser, Dr. Lena Partzsch, Dr. Mark
Starmans and Dr. Justus von Geibler. I would especially like to thank Prof. Dr.
Wolfgang Sachs, the leader of the collegium, Dr. Oscar Reutter, and Tilman Santarius,
who accompanied us on our adventures through the different aspects of world trade.
Furthermore I would like to thank the Environmental Assessment and Policy Research
Group at the Berlin Institute of Technology, especially Prof. Dr. Johann Köppel, Prof.
Dr. Wolfgang Wende, Prof. Dr. Elke Bruns and my colleagues for my working space
and their kind professional support.
I would also like to thank the Heinrich Böll Foundation for the scholarship, for
supporting my thesis through international field research and for the supporting
program, especially the kind support of Dr. Ulla Siebert, Jutta Helm, Dr. Marco Schrul
and Wilma Weber. Without the financial support of the Foundation the realization of
my dissertation would not have been possible. It allowed me to completely dedicate
myself to my Ph.D. and to realize extensive research in Mexico and Canada.
I would also like to thank the Friends of the Berlin Institute of Technology for the
grants to present my work and to discuss selected results on international conferences
and the Berlin Institute of Technology for a scholarship to finalize my thesis.
My dissertation was only possible with the assistance and support of many people and
institutions. I would like to thank the numerous experts in North America, Latin
America and Europe, who supported me extensively with their assistance throughout
my whole research: Gustavo Alanis Ortega, Dr. Miriam Alfie Cohen, Temis Alvarez,
Canadace Anderson, Rosa Linda Amezcua Hernández, Edit Antal Fodroczy, David
Aspinwall, Gerald Aubry, Dr. Suzelle Barrington, Arturo Barrio González, Daniel
Borunda, Dr. Bernhard Bösl, Prof. Dr. Thomas Bunge, Laura Carlsen, Chantal Line
Carpentier, Ph.D., Gabriela Carranza Ortiz, Silvia Virginia Castro Arreola, Juan Manuel
Emilio Cedrun Vázquez, Pedro Cital, Archie Clouse, Robert Connelly, Ana María
Contreras Vigil, Dr. Mark Curtis, Cipriano Domínguez, Dr. Lilia Domínguez Villalobos,
André Eckermann, Jaye Ellis, Ph.D., Leilani Aisha Escamilla González, Daniel Evans,
Ph.D., Dr. Adrian Fernández Bremauntz, Tara Frezza, Geoffrey Garver, Dr. Markus W.
Gehring, Maria Elena Giner, Juan Godínez Zuñiga, Prof. Bernice Goldsmith, Hernando
Luis Guadarrama Marrón, Guerrero Cazares, Elizabeth Gutiérrez Romero, Harry F.
Heisler, Silke Helfrich, Dr. Ricardo Hernandez Murillo, Dr. Klaus Horstmann, Dr.
Ricardo Hernandez Murillo, Ricardo Juárez Palacios, William Kennedy, Ph.D., Martha
Kostuch, Jochen Krimphoff, Arkelao Lopez, Alejandro Lorea Hernández, Jesús
Luévano Grano, Dr. Victor O. Magaña Rueda, Howard Mann, Joaquim Marrufo, Karel 6
Mayrand, Rachel McCormick, Ph.D., Manuel Medina Aguilar, Dr. Alejandro Mercado
Celis, Dr. Stormy-Annika Mildner, Luis E. Montañez Cartaxo, Dr. Carlos Muñoz Piña,
Dr. Norma Patricia Muñoz Sevilla, Nadine Nickner, Anne Norton Miller, Katia Opalka,
Marc Paquin, Dr. Stefanie Pfahl, Martín J. de la C. Quijano Poumian, Rainer Quitzow,
Cody Rice, Carlos A. Rincon, Ph.D., Rolando C. Ríos Aguilar, Venustiano Rosales
Morales, Carlos Sandoval Olvera, Matthias Sauer, Claudia Schatan, Dr. Wini Schmidt,
Jaye Shuttleworth, Tim Smith, Paulo Solano, Erik Sparling, Sally Spener, Gilbert Tellez,
Ph.D., Spencer Tripp, Verena Vahland, Felipe Adrián Vázquez Gálvez, Grethel
Villacaña Yepez, Alejandro Villamar, Jorge Villareal and Timothy Whitehouse.
Additionally, I would like to thank Rosario Medina, Eduardo Delgadillo and Daniel
Archambault for their support. Furthermore, countless experts and staff members
supported my work with valuable comments, explanations and helping hands.
I would also like to thank Geoffrey Garver, Dr. Monika Dittrich and Prof. Dr. Boris
Braun for the inspiration provided through co-writing our articles.
Thank you to Dr. Monika Dittrich, Johanna Ferretti, Matthias Futterlieb, Dr. Justus von
Geibler, Dr. Sonja Pobloth, Inken Reimer, Dr. Frithjof Reul, Arn Sauer and Rebecca
Stecker for their very valuable comments on the drafts and to Kai Egener for his
valuable comments on the English language.
Thank you to Karim, Fronck, Kai, Julien, Stéphane, and Esther for familiarizing me
with the Mexican and Canadian cultural characteristics.
In memory of Barbara.



7
Overview
1 Introduction ................................................................................................... 20
2 Theoretical Framework: Multi-level Governance and Criteria for
Greening NAFTA ......................................................................................... 46
PART A: Background Facts ............................................................................ 63
3 Canada, the US and Mexico ......................................................................... 65
4 Central Approaches to Environmental Assessment in North America . 77
5 NAFTA and Environmental Cooperation ............................................... 103
PART B: Environmental Assessment as Part of the NAAEC – Analysis
with Theoretical Discussion ....................................................................... 117
6 Aspects of Governance and Trade in the North American Agreement on
Environmental Cooperation (NAAEC) ................................................... 119
7 Environmental Assessment as Part of the NAAEC ............................... 153
PART C The Concept of NAFTA’S GREEN IMPACT: Greening NAFTA
through Environmental Assessment Based on Multi-level Governance
........................................................................................................................ 199
8 The Concept of NAFTA’S GREEN IMPACT: Greening NAFTA through
Environmental Assessment based on Multi-level Governance ............. 201
9 Final Conclusions of the Dissertation ....................................................... 271
10 Summary ....................................................................................................... 277
11 Bibliography ................................................................................................. 285
Annex ................................................................................................................. 315
8
9
Index
1 Introduction .................................................................................... 20
1.1 Objective, Hypothesis and Research Questions ........................................................ 22
1.2 State of Research ............................................................................................................ 23
1.3 Research Design and Methodology ............................................................................. 28
1.3.1 Research Design ................................................................................................... 28
1.3.2 Methodology ........................................................................................................ 34
1.4 Structure of the Dissertation ........................................................................................ 41
2 Theoretical Framework: Multi-level Governance and Criteria for
Greening NAFTA ........................................................................... 46
2.1 Multi-level Governance ................................................................................................. 46
2.1.1 Marks and Hooghe: Multi-level Governance Types I and II ........................ 49
2.1.2 Extension of Marks and Hooghe to Environmental Multi-level
Governance in North America .......................................................................... 51
2.2 Greening NAFTA .......................................................................................................... 57
2.2.1 Dependent Variable: Key Statement of Criteria for “Greening NAFTA” . 59
2.2.2 Independent Variable: The Analytic Framework for Identifying the Success
of “Greening NAFTA” ...................................................................................... 60
PART A: Background Facts .............................................................. 63
3 Canada, the US and Mexico ........................................................... 65
3.1 Canada .............................................................................................................................. 66
3.1.1 Economy and Trade ............................................................................................ 66
3.1.2 Environment ........................................................................................................ 68
3.2 The US ............................................................................................................................. 68
3.2.1 Economy and Trade ............................................................................................ 69
3.2.2 Environment ........................................................................................................ 70
3.3 Mexico .............................................................................................................................. 71
3.3.1 Economy and Trade ............................................................................................ 71
3.3.2 Environment ........................................................................................................ 73
3.4 Border Issues ................................................................................................................... 73
3.5 Summarizing Discussion ............................................................................................... 75
4 Central Approaches to Environmental Assessment in North
America ........................................................................................... 77 10
4.1 Environmental Impact Assessment of Projects (Project EIA) ............................... 85
4.1.1 Project EIA in Canada ........................................................................................ 85
4.1.2 Project EIA in the US ......................................................................................... 87
4.1.3 Project EIA in Mexico ........................................................................................ 90
4.2 Transboundary Environmental Impact Assessment of Projects (Transboundary
EIA) .................................................................................................................................. 92
4.2.1 Transboundary EIA in Canada .......................................................................... 93
4.2.2 Transboundary EIA in the US ........................................................................... 94
4.2.3 Transboundary EIA in Mexico .......................................................................... 94
4.2.4 Transboundary EIA in North America ............................................................ 95
4.3 Strategic Environmental Assessment for Policies, Plans and Programs (SEA) .... 95
4.3.1 SEA in Canada in General ................................................................................. 96
4.3.1.1 SEA of Trade Agreements ......................................................................... 97
4.3.1.2 Trade SEA of NAFTA ............................................................................... 97
4.3.2 SEA in the US in General .................................................................................. 98
4.3.2.1 SEA of Trade Agreements ......................................................................... 98
4.3.2.2 Trade SEA of NAFTA ............................................................................... 99
4.3.3 SEA in Mexico ..................................................................................................... 99
4.3.4 Transboundary Strategic Environmental Assessment for Plans, Programs
and Policies in North America (Transboundary SEA) .................................. 99
4.4 The Environmental Assessment of NAFTA ........................................................... 100
4.5 Summarizing Discussion ............................................................................................. 100
5 NAFTA and Environmental Cooperation ..................................... 103
5.1 NAFTA .......................................................................................................................... 105
5.1.1 NAFTA’s Objective and Economic Content ................................................ 106
5.1.2 NAFTA’s Environmental Content ................................................................. 107
5.1.3 The Economic Significance of NAFTA ........................................................ 110
5.2 NAFTA’s Side Agreements ........................................................................................ 111
5.2.1 The Trilateral Agreements: The North American Agreement on
Environmental Cooperation (NAAEC) and the North American
Agreement on Labor Cooperation (NAALC) ............................................... 112
5.2.2 The Bilateral Agreement: The US-Mexico Border Environmental
Cooperation Agreement ................................................................................... 113
5.3 The Security and Prosperity Partnership of North America (SPP) ...................... 114
5.4 Summarizing Discussion ............................................................................................. 115
PART B: Environmental Assessment as Part of the NAAEC –
Analysis with Theoretical Discussion ........................................... 117

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