Implementation
of Directive 2001/42 on the Assessment of the Effects
of Certain Plans and Programmes on the Environment
(the 'EC Guide')
9. RELATION WITH OTHER EC LEGISLATION |
Table of Contents |
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Appendix I Practical Guidance
on Monitoring
Appendix II Members of the
working group
Appendix III Bibliography
Appendix
I - Practical guidance on monitoring
As guidance for the authorities in Member States
which are responsible for integrating the monitoring
requirements of Directive 2001/EC/42 into the different
planning procedures, the following section describes
several steps which could provide assistance.. These
steps put the different issues into a logical order,
but they do not represent a necessary chronological
sequence. Moreover, knowledge and practical experience
as regards monitoring of plans and programmes is
at this stage relatively limited. Monitoring schemes
should therefore be flexible and allow for adaptations
as necessary.
More detailed information on the practical
implementation of Article 10 can be obtained from
the report 'Implementing Article 10 of the SEA Directive'
prepared in the framework of the IMPEL Network.
Determination of the scope of monitoring
The first step to design a monitoring system for
a given planning process is to define what environmental
effects the monitoring system needs to cover. The
environmental report sets a framework for the scope
of monitoring by identifying the likely significant
environmental effects. The environmental effects
to be monitored are therefore in principle the same
as those of the environmental assessment. However,
depending on the type of plan or programme and in
particular on the stage of its implementation it
may be appropriate to focus on those environmental
effects which are relevant with respect to the implementation.
Further, the possibility of undertaking remedial
actions may be considered when determining the scope
of monitoring. Also scientific difficulties in establishing
a clear link between the implementation of a plan
or programme and changes in the environment may
be an obstacle to monitor all environmental effects.
Additionally a safety check should be performed
in order to make sure that no adverse effect of
the plan or programme has been overlooked in the
assessment.
- Monitoring covers in principle the environmental
effects included in the environmental report.
- It may, however, focus on some environmental
effects or include additional aspects which
were not apparent.
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Identification of necessary information
The second step is the identification of the necessary
information for finding out the environmental impacts
of a plan or programme. Information about the environmental
effects of a plan or programme can also be gained
from the causes of the relevant effects,[23]
since the effect of the plan or programme on the
environment can be monitored directly (measuring
changes in the environment) or indirectly through
collecting information for example on the implementation
of (mitigation) measures foreseen in the plan or
programme or pressure factors such as emissions
or the amount of waste.
Monitoring schemes which have been examined in
the course of the IMPEL project on monitoring showed
a tendency to focus rather on the implementation
of measures and pressure factors than on the impact.
The reason for this can be seen in the difficult
establishing of the cause-effect link, i.e. to attribute
a change in the environment which may be influenced
by various factors unambiguously to the implementation
of a plan or programme. A biological monitoring
system, for example, may reveal comprehensive information
about the status of the environment in a given area
and about its change in a given period of time,
but it may not contain any findings about whether
a given change in the environment (e.g. loss of
a certain species, damage to certain plants) can
be attributed to the implementation of a certain
traffic plan. Here the data from a biological monitoring
system could be combined with an analysis of the
progress of implementing the traffic plan ('driving
forces') and the mitigation measures foreseen in
the plan.
It should be noted that not all environmental information
that might be available for the planning territory
is automatically necessary and useful for the purpose
of monitoring. The crucial point is to identify
those data which are relevant and representative
for the plan or programme. A feasible approach to
select relevant environmental information was presented
at the IMPEL project on monitoring. The monitoring
arrangements for the waste management plan of Vienna
were based on a set of questions which were relevant
for the follow-up of the plan (e.g. prognosis about
the amount of waste in the coming years; prognosis
about emissions reductions; achievement of targets,
etc.)[24]
. Also a set of indicators will in many cases be
used as a framework for the selection of relevant
environmental information. A key function of indicators
or a set of questions used in Vienna is to condense
environmental data to information which is understandable
also for non-experts (who usually will decide on
further action).
Of course, reliability and the availability of
the respective data within the planning period should
also be taken into account when determining what
environmental data are needed.
- It is useful to identify and select the
environmental information which is necessary
for monitoring the relevant environmental
effects.
- Environmental effects may also be indirectly
monitored through monitoring the causes
of the effects (such as pressure factors
or mitigation measures).
- Indicators or a set of questions may
provide a framework which helps to identify
the relevant environmental information.
They also help to condense environmental
data to understandable information.
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Identification of existing sources of information
The third step is to identify existing sources
of information for the required information about
the environmental situation. Whether this search
is successful depends on the particular plan or
programme concerned and on the monitoring systems
existing for the environmental factors concerned.
Two main sources of environmental information which
may be useful for monitoring the significant environmental
effects of plans and programmes are presented in
the following section.
a) Data at project level
The first data source contains environmental data
about the projects for which the plan sets the framework.
Environmental data at project level are generated
and collected at different stages of the project
realisation. During the licensing phase of a project,
information about its likely effects on the environment
is collected for the purpose of the project EIA
(although the data gathered in an EIA procedure
are also prognostic they are usually more detailed
than those used at the planning level) or other
development consent procedures. During the construction
and the operation phase the project is subject to
inspections in order to make sure that the conditions
set out in the development consent are observed
in practice. Further, the IPPC Directive requires
the establishment of a pollution emissions register
covering emissions from a large number of industrial
installations.[25]
Data at project level in most cases cover pressure
factors such as emissions and also to some extent
environmental effects. These data can help to compare
the prediction of environmental effects and the
achievement of environmental targets on the planning
level with the real effects resulting from the implementation
of the plan or programme.
Usually information at project level is collected
by other authorities than those in charge of monitoring
of plans and programmes. It must therefore be ensured
that the data are made available to the monitoring
authority if the monitoring system is to depend
on project-related data. Also it has to be taken
into account, that information at project level
is mainly focused on small-scaled environmental
effects while the SEA is often performed for large-scale
plans or programmes. Therefore the information from
the project level has to be processed, aggregated
and summarised in order to use it for the monitoring
of a plan or programme.
b) General environmental monitoring
The second and wide-spread source of environmental
information consists in general environmental monitoring
systems including statistics providing environmental
data without being specifically related to plans,
programmes or projects. Although these data show
changes in the environment and thus environmental
effects they only allow conclusions limited as to
the impact resulting from the implementation of
the plan or programme (as the cause-effect link
is difficult to establish). However, these data
can be used to find out whether environmental objectives
and targets included in a plan or programme have
been achieved. They also may give an indication
about the efficiency of measures undertaken or foreseen
to achieve these targets. Such sources of general
environmental monitoring schemes, statistics and
investigations can be found in all Member States
and are to a large extent also required by EC legislation
(e.g. monitoring according to Articles 5 and 8 of
the Water Framework Directive 2000/60/EC or Directive
on Ozone in ambient air 2002/3/EC).[26]
- Sources of environmental information
can be found at project level (e.g. information
gathered in EIA procedures or emissions
registers established on the basis of the
IPPC Directive).
- Environmental information at project
level addresses pressure factors and environmental
effects. Information at project level needs
to be aggregated and summarized when it
is used for the planning level.
- General environmental monitoring systems
provide environmental data detecting changes
in the environment. These data help to verify
the achievement of environmental objectives
and targets but they allow only to a limited
extent the changes in the environment to
be attributed to the implementation of the
plan or programme.
- EC legislation contains various provisions
requiring the collection of environmental
data which may be useful for the purpose
of Article 10.
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Filling the gaps
The fourth step is to fill the gaps that are found
when comparing the existing sources of information
to the needs following from Article 10 for the specific
plan or programme. In some cases the information
may be sufficient to fulfil the requirements of
Article 10, but it may be necessary to provide for
a continuous exchange of information between the
authorities collecting the information and the authority
responsible for monitoring. In other cases existing
monitoring systems may have to be enlarged by including
additional aspects or measuring points. Yet it should
be stressed that monitoring according to Article
10 has a limited purpose, i.e. to identify shortcomings
of the environmental assessment, and that it is
not a free-standing scientific exercise. This always
has to be borne in mind when thinking about enlarging
existing monitoring systems or installing new ones.
Procedural integration of monitoring into
the planning system
The fifth step is to integrate monitoring into
the planning system. As said above, monitoring does
not have to be a separate step in the planning procedure,
but it can be part of the regular planning system.
A good point in the administrative process to integrate
the monitoring required by the SEA Directive appears
to be the regular revision of an existing plan or
programme. If there is no such regular revision,
time and frequency for monitoring the effects of
the plan or programme should be laid down, either
in a general rule or in the context of each individual
environmental report.
In any case some procedural arrangements have to
be made to ensure that the monitoring system runs
effectively. It has to be determined which authority
(or other body) is responsible for the different
tasks of monitoring, comprising the collection of
environmental information, processing the environmental
information and their evaluation. Further, it is
important that the relevant information is submitted
to the respective authority in an appropriate form
(e.g. environmental data should be explained and
put in an understandable document when presented
to a decision-making body).
When setting up monitoring arrangements it should
be noted that monitoring does not end with the collection
of environmental information but includes also their
evaluation.
- Monitoring can be integrated in the planning
system.
- Efficient monitoring demands a determination
of the responsible authority/ies and the
time and frequency of monitoring measures.
- Monitoring arrangements should also include
the evaluation of the environmental information.
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Remedial action
Environmental information received through monitoring
can be of assistance when considering appropriate
remedial action in the framework of national legislation.
Article 10, however, does not lay down an obligation
to undertake remedial action. The following section
therefore contains only general reflections about
remedial action.
It may be useful to determine criteria which trigger
an examination of remedial action. Existing legislation
in some Member States contains already general provisions
requiring a revision of the plan if this is necessary
to ensure the intended development (e.g. to ensure
a well balanced urban development).
Remedial action can be taken on different levels.
On the planning level, the decision on the adoption
of the plan or programme can be reversed and a new
plan or programme can be adopted or the existing
plan or programme one can be modified. If the legal
system of the Member States so allows, remedial
action could also be taken on the implementation
level. This could in particular mean that those
statements in the plan or programme which have been
proved incorrect or which were based on incorrect
assumptions are no longer considered as a framework
for the development consent of single projects.
Remedial action on the planning level could also
be combined with such action on the implementation
level. This would mean that the plan or programme
is modified on the basis of the new information
on its effects on the environment. In order to avoid
developments which might occur while the (old) plan
or programme is still in force and which might contravene
the envisaged modification of the plan or programme,
development consent procedures for projects could
be postponed or the decision on projects could be
taken without referring to the plan or programme
if the respective national legal systems so allows.
- It may be useful to determine criteria
which trigger the consideration of remedial
action.
- Remedial action can be undertaken on
planning level and implementation level.
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Appendix
II - Members of the Working Group
- Ursula Platzer, Federal Ministry of Agriculture,
Forestry, Environment and Water Management, Austria
- Andreas Sommer, Provincial Government of Salzburg,
Department of Environmental Protection, Austria
- Ulla-Riitta Soveri, Ministry of the Environment,
Finland
- Otmar Lell and Astrid Langenberg, Federal Ministry
for the Environment, Nature Conservation and Nuclear
Safety, Germany
- Matthias Roder, Bavarian Ministry of Regional
Development and Environmental Affairs, Germany
- Mari Van Dreumel, Ministry of Housing, Spatial
Planning and the Environment, Netherlands
- Sten Jerdenius, Ministry of the Environment,
Sweden
- David Aspinwall and Phil Weatherby, Office of
the Deputy Prime Minister, UK
- Lieselotte Feldmann, European Commission, Directorate-General
Environment
- Antti Maunu, European Commission, Directorate-General
Environment
Appendix
III - Bibliography
Andreas Sommer, 'The Assessment of the Significance
of Environmental Effects. Procedure and Criteria
for Screening in Strategic Environmental Assessments',
the Austrian Federal Ministry of Agriculture, Forestry,
Environment and Water Management, 2002
Royal Haskoning, 'Quality assurance strategic environmental
assessment'. Commissioned by the Netherlands Ministry
of Housing, Spatial planning and the Environment,
2002
Environmental Resource Management, 'Public participation
and stakeholders' involvement in the SEA process:
an overview of available techniques and methodologies',
commissioned by the Netherlands Ministry of Housing,
Spatial planning and the Environment, 2002
European Union Network for the Implementation and
Enforcement of Environment Law (IMPEL). IMPEL PROJECT:
Implementation of Article 10 of the EA Directive
2001/42/EC
Jonathan Robinson, 'Anticipating the effect of
Strategic Environmental Assessment', at Planning
law: Analysing Reform, Europe and Caselaw, White
Paper Conference, London, 21 March 2002.
Notes
[23]
A current model for the causal chain is the DPSIR
scheme (driving forces-pressure-state-impact-response).
[24]
For more details see final report of the IMPEL project.
[25]
A comprehensive overview of EC legislation requiring
the collection of project-related
environmental data is to be found in the final report
of the IMPEL project.
[26]
A more detailed overview of relevant EC legislation
is given in the final report of the IMPEL project.
9. RELATION WITH OTHER EC LEGISLATION |
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