Legal provisions of COM(2003)221 - Signature of the Protocol on Strategic Environmental Assessment to the 1991 UN/ECE Espoo Convention on Environmental Impact Assessment in a Transboundary Context

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dossier COM(2003)221 - Signature of the Protocol on Strategic Environmental Assessment to the 1991 UN/ECE Espoo Convention on Environmental Impact ...
document COM(2003)221 EN
date April 28, 2003
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52003PC0221

Proposal for a Council Decision on the signature, on behalf of the European Community, of the Protocol on Strategic Environmental Assessment to the 1991 UN/ECE Espoo Convention on Environmental Impact Assessment in a Transboundary Context /* COM/2003/0221 final */


Proposal for a COUNCIL DECISION on the signature, on behalf of the European Community, of the Protocol on Strategic Environmental Assessment to the 1991 UN/ECE Espoo Convention on Environmental Impact Assessment in a Transboundary Context


(presented by the Commission)


EXPLANATORY MEMORANDUM

The 1991 UN/ECE Convention on transboundary Environmental Impact Assessment (the Espoo Convention), building on existing EIA law, established procedures for consulting Parties likely to be affected by transboundary environmental impacts of proposed projects. The Convention entered into force in 1997. The European Community signed it on 26th February 1991 and ratified it on 24th June 1997. Its main provisions are implemented by Directive 97/11/EC, which had to be transposed into national legislation by March 1999.

The ability to avoid adverse environmental effects at project level may be constrained by decisions already taken in plans or policies. For this reason, it is widely accepted that a similar process of assessment should be carried out at those levels. This is generally known as strategic environmental assessment (SEA). With this in mind, the Espoo Convention already required the Parties, 'to the extent appropriate, [to] endeavour to apply the principles of environmental impact assessment to policies, plans and programmes.'

EU legislation on SEA is contained in Directive 2001/42/EC on the assessment of the effects of certain plans and programmes on the environment (the SEA Directive). The SEA Directive applies to a broad category of plans and programmes, and sets out detailed requirements for assessing and reporting on their environmental effects. It includes a provision on transboundary effects inspired by the Espoo Convention.

The Second Meeting of Parties to the Espoo Convention (26th-27th February 2001) decided to start negotiations to prepare a legally binding instrument in the form of a protocol on strategic environmental assessment to the Convention. The objective was to finalize it so that it could possibly be adopted at the fifth Ministerial Conference Environment for Europe to be held in Kiev, Ukraine in May 2003. The Council adopted a Decision on 27th September 2001 authorising the Commission to negotiate the Protocol on behalf of the Community, ensuring consistency with relevant EC legislation.

The text of the Protocol was agreed at the 8th negotiating meeting held on 30th January 2003.

The Protocol's objectives are set out in Article 1. They are to provide for a high level of protection of the environment, including health, and to ensure that these concerns are integrated into measures and instruments designed to further sustainable development.

The Protocol's substantive obligations fall into three groups.

First, there are general provisions on assistance and guidance to the public, recognition of and support to relevant associations, promotion of the Protocol's objectives internationally, and the rights of persons exercising their rights under the Protocol not to be penalized or discriminated against on grounds of citizenship, etc.

Second, there are provisions dealing with the environmental assessment of certain plans and programmes. These are divided into two groups; one (Art 4(2)) for which assessment is mandatory except in certain limited cases, and one (Art 4(3)) which requires assessment when Parties consider they are likely to have significant effects. There are detailed provisions on the different stages of environmental assessment.

Third, the Protocol builds on the provision referring to policies in the Espoo Convention by establishing requirements on policies and legislation. Parties are to endeavour to ensure that environmental, including health, concerns are considered and integrated to the extent appropriate, in preparing policies and legislation that are likely to have significant effects on the environment, including health. In so doing, they must consider the appropriate principles and elements of the Protocol. They must determine, where appropriate, the practical arrangements for so doing and report to the Meeting of Parties on their application of these requirements.

The European Commission, in conformity with its Strategy on Sustainable Development and Better Regulation, intends to implement Article 13 of the Protocol on Strategic Environmental Assessment to the Espoo Convention through the impact assessment procedures set out in the Communication on Impact Assessment (COM (2002) 276 final), which address in a balanced manner the economic, social and environmental components of sustainable development.

References throughout the Protocol to the environment or environmental are always qualified by the phrase including health. Human health is already included in the elements of the environment on which information must be provided in the environmental report required under the SEA Directive. The strengthening of the references in the Protocol is intended to give added weight to an aspect of the environment which is often disregarded in current EIAs. It is not intended to imply that a medical assessment should be carried out. This is clear from the definition of environmental, including health, effect which covers essentially the same environmental factors as are to be covered in environmental reports under the Directive.

Most of the substantive provisions of the Protocol are covered by the requirements of the SEA Directive. The main exception is Article 13 on policies and legislation, which has no parallel in the Directive.

Several aspects of the EU dimension deserve consideration. The EC and the Member States have been among the leaders in developing the concept and practice of SEA and they should confirm their support by signing the Protocol. Since environmental problems do not respect national boundaries it is desirable for environmental assessments to be carried out in accordance with consistent rules. Hence EU law and UN ECE law should, so far as possible, be in harmony.

Signature is the last step before ratification and, as a Party to the Protocol, the Community will itself be bound by its requirements to the extent that its activities fall within the scope of the Protocol. This is in line with the European Governance White Paper and the Commission's Communication on Impact Assessment. Ratification by the EC and the Member States should ensure a sufficient number of ratifications for the Protocol to come into force (16 are needed).

In view of the above considerations, it is appropriate for the Community to sign, subject to subsequent conclusion, the Protocol on Strategic Environmental Assessment to the Espoo Convention on environmental impact assessment in a transboundary context.


Proposal for a COUNCIL DECISION on the signature, on behalf of the European Community, of the Protocol on Strategic Environmental Assessment to the 1991 UN/ECE Espoo Convention on Environmental Impact Assessment in a Transboundary Context


THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty establishing the European Community, and in particular article 175 paragraph 1, in conjunction with article 300 paragraph 2, first sentence of the first subparagraph thereof,

Having regard to the proposal from the Commission,

Whereas:

(1) By virtue of a Council Decision of 27th September 2001, the Commission participated on behalf of the Community, in consultation with the representatives of the Member States, in the negotiations in the open-ended working group on strategic environmental assessment under the auspices of the UN ECE, with a view to preparing a Protocol on Strategic Environmental Assessment to the 1991 UN ECE Espoo Convention on Environmental Impact Assessment in a Transboundary Context;

(2) As a result of those negotiations the text of the Protocol was finalised on 30th January 2003 and the Protocol will be open for signature on the occasion of the fifth Ministerial Conference Environment for Europe at Kiev, Ukraine, on 21-23 May 2003;

(3) The Protocol will help to protect the environment by providing for the assessment of the likely significant environmental, including health, effects of plans and programmes and, to the extent appropriate, policies and legislation, thereby integrating environmental, including health, concerns into measures and instruments designed to further sustainable development;

(4) It is convenient that the Protocol on Strategic Environmental Assessment to the 1991 UN/ECE Espoo Convention on Environmental Impact Assessment in a Transboundary Context be signed, on behalf of the Community, subject to subsequent conclusion.

HAS DECIDED AS FOLLOWS:


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Sole Article

The President of the Council is hereby authorised to designate the person or persons empowered to sign on behalf of the Community, subject to subsequent conclusion, the Protocol on Strategic Environmental Assessment to the 1991 UN/ECE Espoo Convention on Environmental Impact Assessment in a Transboundary Context, and to confer upon them the powers necessary for that purpose.