Resource Manual to Support Application of the Protocol on SEA
Draft Final
THIS IS NOT THE OFFICIAL TEXT
Directive 2001/42/EC
of the European Parliament and the Council on the
assessment of the effects of certain plans and programmes
on the environment (the 'SEA Directive')
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Contents |
1 . Objectives |
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE
EUROPEAN UNION,
Having regard to the Treaty establishing the European
Community, and in particular Article 175(1) thereof,
Having regard to the proposal from the Commission
[1],
Having regard to the Opinion of the Economic and
Social Committee [2],
Having regard to the opinion of the Committee of
the Regions [3],
Acting in accordance with the procedure laid down
in Article 251 of the Treaty [4],
in the light of the joint text approved by the Conciliation
Committee on 21 March 2001,
Whereas:
(1) Article 174 of the Treaty provides that Community
policy on the environment is to contribute to, inter
alia, the preservation, protection and improvement
of the quality of the environment, the protection
of human health and the prudent and rational utilisation
of natural resources and that it is to be based
on the precautionary principle. Article 6 of the
Treaty provides that environmental protection requirements
are to be integrated into the definition of Community
policies and activities, in particular with a view
to promoting sustainable development.
(2) The Fifth Environment Action Programme: Towards
sustainability - A European Community programme
of policy and action in relation to the environment
and sustainable development [5],
supplemented by Decision No 2179/98/EC [6]
on its review, affirms the importance of assessing
the likely environmental effects of plans and programmes.
(3) The Convention on Biological Diversity requires
Parties to integrate as far as possible and as appropriate
the conservation and sustainable use of biological
diversity into relevant sectoral or cross-sectoral
plans and programmes.
(4) Environmental assessment is an important tool
for integrating environmental considerations into
the preparation and adoption of certain plans and
programmes which are likely to have significant
effects on the environment in the Member States,
because it ensures that such effects of implementing
plans and programmes are taken into account during
their preparation and before their adoption.
(5) The adoption of environmental assessment procedures
at the planning and programming level should benefit
undertakings by providing a more consistent framework
in which to operate by the inclusion of the relevant
environmental information into decision-making.
The inclusion of a wider set of factors in decision-making
should contribute to more sustainable and effective
solutions.
(6) The different environmental assessment systems
operating within Member States should contain a
set of common procedural requirements necessary
to contribute to a high level of protection of the
environment.
(7) The United Nations/Economic Commission for
Europe Convention on Environmental Impact Assessment
in a Transboundary Context of February 25 1991,
which applies to both Member States and other States,
encourages the parties to the Convention to apply
its principles to plans and programmes as well;
at the second meeting of the Parties to the Convention
in Sofia on 26 - 27 February 2001, it was decided
to prepare a legally binding protocol on strategic
environmental assessment which would supplement
the existing provisions on environmental impact
assessment in a transboundary context, with a view
to its possible adoption on the occasion of the
5th Ministerial Conference "Environment for
Europe" at an extraordinary meeting of the
Parties to the Convention, scheduled for May 2003
in Kiev, Ukraine. The systems operating within the
Community for environmental assessment of plans
and programmes should ensure that there are adequate
transboundary consultations where the implementation
of a plan or programme being prepared in one Member
State is likely to have significant effects on the
environment of another Member State. The information
on plans and programmes having significant effects
on the environment of other States should be forwarded
on a reciprocal and equivalent basis within an appropriate
legal framework between Member States and these
other States.
(8) Action is therefore required at Community level
to lay down a minimum environmental assessment framework,
which would set out the broad principles of the
environmental assessment system and leave the details
to the Member States, having regard to the principle
of subsidiarity. Action by the Community should
not go beyond what is necessary to achieve the objectives
set out in the Treaty.
(9) This Directive is of a procedural nature, and
its requirements should either be integrated into
existing procedures in Member States or incorporated
in specifically established procedures. With a view
to avoiding duplication of the assessment, Member
States should take account, where appropriate, of
the fact that assessments will be carried out at
different levels of a hierarchy of plans and programmes.
(10) All plans and programmes which are prepared
for a number of sectors and which set a framework
for future development consent of projects listed
in Annexes I and II to Council Directive 85/337/EEC
of 27 June 1985 on the assessment of the effects
of certain public and private projects on the environment
[7], and
all plans and programmes which have been determined
to require assessment pursuant to Council Directive
92/43/EEC of 21 May 1992 on the conservation of
natural habitats and of wild flora and fauna [8],
are likely to have significant effects on the environment,
and should as a rule be made subject to systematic
environmental assessment. When they determine the
use of small areas at local level or are minor modifications
to the above plans or programmes, they should be
assessed only where Member States determine that
they are likely to have significant effects on the
environment.
(11) Other plans and programmes which set the framework
for future development consent of projects may not
have significant effects on the environment in all
cases and should be assessed only where Member States
determine that they are likely to have such effects.
(12) When Member States make such determinations,
they should take into account the relevant criteria
set out in this Directive.
(13) Some plans or programmes are not subject to
this Directive because of their particular characteristics.
(14) Where an assessment is required by this Directive,
an environmental report should be prepared containing
relevant information as set out in this Directive,
identifying, describing and evaluating the likely
significant environmental effects of implementing
the plan or programme, and reasonable alternatives
taking into account the objectives and the geographical
scope of the plan or programme; Member States should
communicate to the Commission any measures they
take concerning the quality of environmental reports.
(15) In order to contribute to more transparent
decision-making and with the aim of ensuring that
the information supplied for the assessment is comprehensive
and reliable, it is necessary to provide that authorities
with relevant environmental responsibilities and
the public are to be consulted during the assessment
of plans and programmes, and that appropriate time
frames are set, allowing sufficient time for consultations,
including the expression of opinion.
(16) Where the implementation of a plan or programme
prepared in one Member State is likely to have a
significant effect on the environment of other Member
States, provision should be made for the Member
States concerned to enter into consultations and
for the relevant authorities and the public to be
informed and enabled to express their opinion.
(17) The environmental report and the opinions
expressed by the relevant authorities and the public,
as well as the results of any transboundary consultation,
should be taken into account during the preparation
of the plan or programme and before its adoption
or submission to the legislative procedure.
(18) Member States should ensure that, when a plan
or programme is adopted, the relevant authorities
and the public are informed and relevant information
is made available to them.
(19) Where the obligation to carry out assessments
of the effects on the environment arises simultaneously
from this Directive and other Community legislation,
such as
Council Directive 79/409/EEC of 2 April 1979 on
the conservation of wild birds [9],
Directive 92/43/EEC , or Directive 2000/60/EC of
the European Parliament and the Council of 23 October
2000 establishing a framework for Community action
in the field of water policy [10],
in order to avoid duplication of the assessment,
Member States may provide for coordinated or joint
procedures fulfilling the requirements of the relevant
Community legislation.
(20) A first report on the application and effectiveness
of this Directive should be carried out by the Commission
five years after its entry into force, and at seven-year
intervals thereafter. With a view to further integrating
environmental protection requirements, and taking
into account the experience acquired, the first
report should, if appropriate, be accompanied by
proposals for amendment of this Directive, in particular
as regards the possibility of extending its scope
to other areas/sectors and other types of plans
and programmes,
HAVE ADOPTED THIS DIRECTIVE:
Notes:
[1] OJ
C 129, 25.4.1997, p. 14 and OJ C 83, 25.3.1999,
p. 13.
[2] OJ
C 287, 22.9.1997, p. 101.
[3] OJ
C 64, 27.2.1998, p. 63 and OJ C 374, 23.12.1999,
p. 9.
[4] Opinion
of the European Parliament of 20 October 1998 (OJ
C 341, 9.11.1998, p. 18),
confirmed on 16 September 1999 (OJ C 54, 25.2.2000,
p. 76), Council Common Position of
30 March 2000 (OJ C 137, 16.5.2000, p. 11) and Decision
of the European Parliament of 6
September 2000 (OJ C 135, 7.5.2001, p. 155). Decision
of the European Parliament of 31
May 2001 and Decision of the Council of 5 June 2001.
[5] OJ
C 138, 17. 5.1993, p. 5.
[6] OJ
L 275, 10.10.1998, p. 1.
[7] OJ
L 175, 5.7.1985, p. 40. Directive as amended by
Directive 97/11/EC (OJ L 73, 14.3.1997, p. 5).
[8] OJ
L 206, 22.7.1992, p. 7. Directive as last amended
by Directive 97/62/EC (OJ L 305, 8.11.1997, p. 42).
[9] OJ
L 103, 25.4.1979, p. 1. Directive as last amended
by Directive 97/49/EC (OJ L 223, 13.8.1997, p. 9).
[10]
OJ L 327, 22.12.2000, p. 1.