Implementation
of Directive 2001/42 on the Assessment of the Effects
of Certain Plans and Programmes on the Environment
(the 'EC Guide')
4. GENERAL OBLIGATIONS |
Table of Contents |
6. QUALITY OF THE ENVIRONMENTAL REPORT |
5. THE ENVIRONMENTAL REPORT
5.1. The environmental report is the central part
of the environmental assessment required by the
Directive. It also forms the main basis for monitoring
the significant effects of the implementation of
the plan or programme.
5.2. The environmental report is an important tool
for integrating environmental considerations into
the preparation and adoption of plans and programmes
since it ensures that their likely significant effects
on the environment are identified, described and
assessed and taken into account in that process.
The preparation of the environmental report and
the integration of the environmental considerations
into the preparation of plans and programmes form
an iterative process that should contribute to more
sustainable solutions in decision-making.
5.3. The provisions on the environmental report
are mainly expressed in Article 2 (Definitions),
Article 5 (Environmental Report) and Annex I. In
addition, the environmental report must be subject
to consultation as provided for in Articles 6 and
7; it must be taken into account during the preparation
of the plan or programme (Article 8) and, when the
plan or programme is adopted, information must be
made available on how this was done (Article 9);
and it must be of sufficient quality to meet the
requirements of the Directive (Article 12).
Article 2(c)
For the purposes of this Directive: ..
(c) 'environmental report' shall mean the part
of the plan or programme documentation containing
the information required in Article 5 and Annex
I.
5.4. Article 2(c) defines the environmental report
as a part of the plan or programme documentation
with a specified content. This implies that the
environmental report should be a coherent text or
texts. Although this is not required by the Directive,
it maybe helpful to structure the report, so far
as possible, on the headings used in Annex I. The
Directive does not specify whether the report should
be integrated in the plan or programme itself or
a separate document. If it is integrated it should
be clearly distinguishable as a separate part of
the plan or programme, and be easy to find and assimilate
for the public and authorities. In any case, there
must always be a non-technical summary of the information
provided under the headings listed in Annex I.
5.5. The environmental report might in many cases
be a part of a wider assessment of the plan or programme.
It could, for example, be part of a document on
sustainability assessment covering also social and
economic effects, or a sustainability assessment
could be integrated in the plan or programme. Either
model would be an acceptable way of complying with
the Directive provided it fully met the requirements
of the Directive.
Article 5(1)
Where an environmental assessment is required
under Article 3(1), an environmental report shall
be prepared in which the likely significant effects
on the environment of implementing the plan or programme,
and reasonable alternatives taking into account
the objectives and the geographical scope of the
plan or programme, are identified, described and
evaluated. The information to be given for this
purpose is referred to in Annex I.
5.6. Article 5(1) gives the basic requirements
for the environmental report. The tasks of the report
are to identify, describe and evaluate the likely
significant effects on the environment of the plan
or programme and its reasonable alternatives. Annex
I gives further provisions on which information
must be provided concerning these effects. The studying
of alternatives is an important element of the assessment
and the Directive calls for a more comprehensive
assessment of them than does the EIA Directive.
Alternatives are discussed in paragraphs 5.11 -
5.14 below.
5.7. According to Article 4(1) the environmental
assessment shall be carried out during the preparation
of a plan or programme and before its adoption or
submission to the legislative procedure. The process
of preparing the report should start as early as
possible and, ideally, at the same time as the preparation
of the plan or programme. The preparation of the
report should normally have ended when the report
is made available to authorities and the public
in accordance with Article 6(1).
5.8. Article 5(1) does not explicitly state who
is responsible for preparing the environmental report
but it would in many cases be the authority or natural
or legal person responsible for preparing the plan
or programme.
5.9. What is meant by the implementation of a plan
or programme cannot be defined unambiguously. It
depends to a large extent on the character of the
plan or programme. For plans or programmes that
fall within the scope of the Directive because of
the condition in Article 3(2)(a) (setting the framework
for projects in various sectors) and Article 3(4)
(other plans and programmes setting the framework
for projects), implementation could mean among other
things the implementation of projects that correspond
to such a framework. However, since there might
be several ways of fulfilling the requirements of
such a framework, implementation of the plan or
programme cannot generally be reduced to the implementation
of specific single projects. In any case, a plan
or programme may include elements that are not project-related
but are important to its success. The effects of
those aspects of the implementation should also
form part of the assessment. For the plans and programmes
that fall within the scope because of the condition
in Article 3(2)(b) (require an assessment pursuant
to Article 6 or 7 of Directive 92/43/EEC), the implementation
may be conceived in the light of Article 6(3) of
the Habitats Directive which calls for an assessment
of the implications for a site in view of the site's
conservation objectives see also paragraph 3.33
above).
5.10. Implementation of a plan or programme could
cover a wide array of issues and provisions and
it should be noted that an assessment has to focus
on the part of implementation that is likely to
have significant environmental effects. All parts
of the implementation should be studied, however,
as taken together they might have significant effects.
Whether implementation of different parts of the
plan or programme actually will take place is not
a matter for the assessment to consider.
Alternatives
5.11. The obligation to identify, describe and
evaluate reasonable alternatives must be read in
the context of the objective of the Directive which
is to ensure that the effects of implementing plans
and programmes are taken into account during their
preparation and before their adoption.
5.12. In requiring the likely significant environmental
effects of reasonable alternatives to be identified,
described and evaluated, the Directive makes no
distinction between the assessment requirements
for the drafted plan or programme and for the alternatives.[14]
The essential thing is that the likely significant
effects of the plan or programme and the alternatives
are identified, described and evaluated in a comparable
way. The requirements in Article 5(2) concerning
scope and level of detail for the information in
the report apply to the assessment of alternatives
as well. It is essential that the authority or parliament
responsible for the adoption of the plan or programme
as well as the authorities and the public consulted,
are presented with an accurate picture of what reasonable
alternatives there are and why they not are considered
to be the best option. The information referred
to in Annex I should thus be provided for the alternatives
chosen. This includes for example the information
for Annex I (b) on the likely evolution of the current
state of the environment without the implementation
of the alternative. That evolution could be another
one than that related to the plan or programme in
cases when it concerns different areas or aspects.
5.13. The text of the Directive does not say what
is meant by a reasonable alternative to a plan or
programme. The first consideration in deciding on
possible reasonable alternatives should be to take
into account the objectives and the geographical
scope of the plan or programme. The text does not
specify whether alternative plans or programmes
are meant, or different alternatives within a plan
or programme. In practice, different alternatives
within a plan will usually be assessed (e.g. different
means of waste disposal within a waste management
plan, or different ways of developing an area within
a land use plan). An alternative can thus be a different
way of fulfilling the objectives of the plan or
programme. For land use plans, or town and country
planning plans, obvious alternatives are different
uses of areas designated for specific activities
or purposes, and alternative areas for such activities.
For plans or programmes covering long time frames,
especially those covering the very distant future,
alternative scenario development is a way of exploring
alternatives and their effects. As an example, the
Regional Development Plans for the county of Stockholm
have for a long time been elaborated on such a scenario
model.
5.14. The alternatives chosen should be realistic.
Part of the reason for studying alternatives, is
to find ways of reducing or avoiding the significant
adverse environmental effects of the proposed plan
or programme. Ideally, though the Directive does
not require that, the final draft plan or programme
would be the one which best contributes to the objectives
set out in Article 1. A deliberate selection of
alternatives for assessment, which had much more
adverse effects, in order to promote the draft plan
or programme would not be appropriate for the fulfilment
of the purpose of this paragraph. To be genuine,
alternatives must also fall within the legal and
geographical competence of the authority concerned.
An outline of the reasons for selecting the alternatives
dealt with is required by Annex I (h).
Articles 5(2) and 5(3)
2. The environmental report prepared pursuant
to paragraph 1 shall include the information that
may reasonably be required taking into account current
knowledge and methods of assessment, the contents
and level of detail in the plan or programme, its
stage in the decision-making process and the extent
to which certain matters are more appropriately
assessed at different levels in that process in
order to avoid duplication of the assessment.
3. Relevant information available on environmental
effects of the plans and programmes and obtained
at other levels of decision-making or through other
Community legislation may be used for providing
the information referred to in Annex I.
5.15. The starting point for the interpretation
of these paragraphs is the requirement to provide
information on the likely significant effects on
the environment of the plan or programme. This information
must be provided insofar as it may reasonably be
required taking into account the factors mentioned
in paragraph 2.
5.16. The reference to 'contents and level of detail
in the plan or programme' is a recognition that,
in the environmental report for a broad-brush plan
or programme, very detailed information and analysis
may not be necessary, (for example, a plan or programme
at the top of a hierarchy which descends from the
general to the particular); whereas much more detail
would be expected for a plan or programme that itself
contained a higher level of detail. So the environmental
report for a national plan might not need to assess
the effects of the plan on, say, every river in
the country; but the environmental report underpinning
a town plan would certainly be expected to address
its implications for rivers or other waterbodies
in or near the town.
5.17. Article 5(3) emphasizes the desirability
of rationalising the collection and production of
information; it provides that relevant information
(which might include analysis as well as data) already
available from other sources may be used in compiling
the environmental report. The value of this is obvious
when plans and programmes form part of a hierarchy
and for those cases Article 4(3) refers to the application
of Article 5(2) and 5(3), especially for the purpose
of avoiding duplication of the assessment. This
issue is covered in paragraphs 4.5 - 4.7 above.
Information obtained in other decision-making system,
such as plans or programmes in other sectors, or
from implementing other Community legislation such
as the Water Framework Directive (2000/60/EC) can
likewise be used.
Article 5(4)
The authorities referred to in Article 6(3)
shall be consulted when deciding on the scope and
level of detail of the information which must be
included in the environmental report
5.18. The relevant environmental authorities, designated
under Article 6(3), must be consulted when a decision
is taken on the scope and level of detail of the
information to be included in the environmental
report. Those authorities might also be engaged
in the preparation of the report throughout the
process of preparing and adopting the plan or programme.
Further information is to be found in section 7
below on consultation.
Annex I
5.19 Annex I specifies the information that is
to be provided in the environmental report. The
ten paragraphs of the Annex set out a broad spectrum
of issues to be dealt with, each paragraph in itself
being of a substantial nature. All paragraphs are
to be examined in the light of the requirements
in Article 5. Member States may introduce provisions
on the content of the environmental report that
go further than the requirements of the Directive.
A plan or programme can be very extensive and treat
a great number of different issues so it should
be emphasized that the Directive calls for information
that concentrates on issues related to the significant
effects on the environment of the plan or programme
(see Article 5). An excessive account of information
on insignificant effects or irrelevant issues makes
the report difficult to digest and might lead to
important information being overlooked.
(a) an outline of the contents, main objectives
of the plan or programme and relationship with other
relevant plans and programmes.
5.20. Information on the relationship with other
relevant plans or programmes sets the plan or programme
in a broader context: it might, for instance, concern
its place in the stage of decision-making or its
contribution amongst other plans or programmes to
changes in the environmental conditions of a certain
area. Relevant plans or programmes can thus be those
at other levels in a hierarchy which the actual
plan or programme forms part of or they can be those
drawn up for other sectors affecting the same or
adjacent areas.
(b) the relevant aspects of the current state
of the environment and the likely evolution thereof
without implementation of the plan or programme;
(c) the environmental characteristics of areas
likely to be significantly affected;
(d) any existing environmental problems which
are relevant to the plan or programme including,
in particular, those relating to any areas of a
particular environmental importance, such as areas
designated pursuant to Directives 79/409/EEC and
92/43/EEC.
5.21. The requirements in (b), (c), and (d) may
overlap but are coherent and they aim at different
aspects of the environmental conditions in areas
covered by the plan or programme and on which it
is likely to have significant environmental effects.
In (b) the concern is the state of the environment
in all the area that is covered by or significantly
affected by the plan or programme, currently as
well as without its implementation. In (c) information
is to be provided on the areas that are likely to
be significantly affected by the plan or programme,
information that can be seen as a specification
of the information given under (b). The concern
in (d) is focused on environmental problems while
the aspects or characteristics in (b) and (c) could
be problems as well as environmental values and
assets or a favourable state of the environment.
Since the requirements in (c) and (d) overlap, it
might in many cases be appropriate to address them
together, provided that all the necessary information
is provided.
5.22. The information required in (b) on the relevant
aspects of the current state of the environment
is necessary for the understanding of how the plan
or programme could significantly affect the environment
in the area in question. The term 'the relevant
aspects' refers to environmental aspects that are
relevant to the likely significant environmental
effects of the plan or programme. These aspects
could be of a positive as well as of a negative
nature. The information must concern the current
state of the environment which means that it should
be as up to date as possible. The description of
the likely evolution of the relevant aspects without
the implementation of the plan or programme is important
as a frame of reference for the assessment of the
plan or programme. This requirement can be seen
as corresponding to the so-called zero-alternative
often applied in environmental impact assessment
procedures. The description of the evolution should
cover roughly the same time horizon as that envisaged
for the implementation of the plan or programme.
Effects of other adopted plans or programmes, or
decisions made that would affect the area in question,
should also be considered in this respect so far
as practicable.
5.23. In (c) the focus is on the areas that are
of special interest for the assessment, namely the
areas likely to be significantly affected by the
plan or programme. A description of the environmental
characteristics of these areas is to be given in
the report. It would be appropriate to describe
environmental characteristics by reference to the
environmental issues listed in paragraph (f). Examples
of characteristics could be that an area is specially
sensitive or vulnerable to acidification, that it
has high botanical value or that it is densely populated
and many people will be affected by traffic noise.
It should be noted that such areas could be found
outside the area covered by the plan or programme.
If this area is near to another Member State or
if the effects are of a long-range nature, areas
in other Member States and beyond could of course
be significantly affected. In such cases transboundary
consultation will be needed (see paragraphs 7.24
- 7.29).
5.24. Paragraph (d) asks for information on any
existing environmental problems relevant to the
plan or programme. The purpose of this information
is to provide for an assessment of how these problems
will affect the plan or programme or whether it
is likely to aggravate, reduce or in any other way
affect existing environmental problems. The relevance
may also lie in the likely significant effects of
the plan or programme, and also in non-significant
effects that in combination with existing environmental
problems could create significant effects. Even
issues treated in the plan or programme which do
not have any environmental effects may be relevant.
The problems do not need to be of a significant
nature and they do not need to be specially related
to specific areas such as those exemplified in the
text. Areas of particular environmental importance
could be those with especially high environmental
values, such as the areas designated under the Birds
and Habitats Directives, but areas designated under
national legislation could also be included.
(e) the environmental protection objectives,
established at international, Community or Member
State level, which are relevant to the plan or programme
and the way those objectives and any environmental
considerations have been taken into account during
its preparation.
5.25. The environmental protection objectives to
be dealt with should cover at least the issued listed
in paragraph (f). International and Community objectives
are often incorporated in objectives on national,
regional and local levels and these could often
be sufficient for this purpose. It should be noted
that the paragraph concerns objectives that are
relevant to the plan or programme, which would imply
relevant to its likely significant effects or to
issues it raises. Consultation with authorities
according to Article 5(4) can help to provide this
information. The German EIA Association has developed
a prototype of a database on environmental quality
objectives on international or community level.
This can be found at: http://www.umweltdatenkatalog.de:8888/envdb/maintopic.jsp
[now available on the German
EIA-web - select 'Projects' on left then 'Database
Environmental Protection Objectives on International
or Community Level']
(f) the likely significant effects on the environment,
including on issues such as biodiversity, population,
human health, fauna, flora, soil, water, air, climatic
factors, material assets, cultural heritage including
architectural and archaeological heritage, landscape
and the interrelationship between the above factors.
These effects should include secondary, cumulative,
synergistic, short, medium and long-term permanent
and temporary, positive and negative effects.
5.26. The list of issues in (f) is not exhaustive
and other issues may be relevant. Compared to the
list of the amended EIA Directive, human health,
biodiversity and cultural heritage are here mentioned
explicitly. The notion of human health should be
considered in the context of the other issues mentioned
in paragraph (f) and thus environmentally related
health issues such as exposure to traffic noise
or air pollutants are obvious aspects to study.
Guidelines for incorporating biodiversity related
issues in strategic environmental assessments have
been adopted under the Convention on Biological
Diversity. A description of the relationship between
the factors mentioned in paragraph (f) is essential
since it could show other and more severe significant
effects than those resulting from a more isolated
study of each single factor. Thus significant effects
on air and climatic factors may cause significant
adverse effects on flora, fauna and biodiversity.
The purpose of the footnote is to emphasize the
need for broad and comprehensive information on
the factors and their interrelationship (although
it should be read in the light of Article 5(2)).
A description of positive effects is essential in
order to show the contribution of the plan and programme
to environmental protection and sustainable development.
(g) the measures envisaged to prevent, reduce
and as fully as possible offset any significant
adverse effects on the environment of implementing
the plan or programme.
5.27. The purpose of paragraph (g) is to ensure
that the environmental report discusses how the
significant adverse effects it describes are to
be mitigated. The measures envisaged in paragraph
(g) are not specified further and they could be
measures envisaged or prescribed in the plan or
programme or measures discussed in the environmental
report. It should be remembered that mitigation
measures may themselves have adverse environmental
effects which should be recognised. There exist
methods of mitigation in connection with environmental
impact assessments that could also be helpful for
assessments of plans and programmes.
(h) an outline of the reasons for selecting
the alternatives dealt with, and a description of
how the assessment was undertaken including any
difficulties (such as technical deficiencies or
lack of know-how) encountered in compiling the required
information.
5.28. Information on the selection of alternatives
is essential to understand why certain alternatives
were assessed and their relation to the draft plan
or programme. A description of the methods used
in the assessment is helpful when judging the quality
of information, the findings and the degree to which
they can be relied upon. An account of the difficulties
met will also clarify this aspect. When appropriate,
it would be helpful to include how those difficulties
were overcome.
(i) a description of the measures envisaged
concerning monitoring in accordance with Article
10.
5.29. According to Article 10 the significant environmental
effects of the implementation of the plan or programme
shall be monitored and, since these effects are
specified in paragraph (f), the report should contain
a description of how that monitoring is to be undertaken.
The description should refer to existing monitoring
arrangements if these are to be used. There is some
overlap between paragraph (i) and the requirement
in Article 9(1)(c) to make available at the time
of adoption information on the 'measures decided
concerning monitoring'. It is obvious that no definitive
statement about the final monitoring measures can
be made when the environmental report is still being
prepared, since the content of the plan or programme
is not decided, and in any event the content of
the environmental report is subject to the criteria
laid down in Article 5(2). Likewise, in some circumstances
the monitoring arrangements may need to be adapted
as implementation of the plan or programme proceeds.
There appears to be nothing in the Directive to
preclude this in appropriate cases.
(j) a non-technical summary of the information
provided under the above headings.
5.30. The purpose of a non-technical summary, as
required under paragraph (j), is to make the key
issues and findings of the environmental report
accessible and easily understood by the general
public as well as by the decision-makers. The summary
may be part of the report but it might also be helpful
to make it available as a separate document to ensure
a wider dissemination. An overall summary table
may be helpful in simplifying the findings.
Notes
[14]
Compare Article 5(3) and Annex IV of the EIA Directive
which require the developer to provide an outline
of the main alternatives studied and an indication
of the main reasons for his choice taking into account
the environmental effects.
4. GENERAL OBLIGATIONS |
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6. QUALITY OF THE ENVIRONMENTAL REPORT |