Implementation
of Directive 2001/42 on the Assessment of the Effects
of Certain Plans and Programmes on the Environment
(the 'EC Guide')
7. CONSULTATION |
Table of Contents |
9. RELATION WITH OTHER EC LEGISLATION |
8. MONITORING
8.1. Article 10 extends Member States' duties beyond
the planning phase to the implementation phase and
lays down the obligation to monitor the significant
environmental effects of the implementation of plans
and programmes. Monitoring is an important element
of the Directive since it enables the results of
the environmental assessment to be compared with
the environmental effects which in fact occur.
8.2. The Directive does not prescribe how the significant
environmental effects are to be monitored, for example,
the bodies responsible for monitoring, the time
and frequency of monitoring, or the methods to be
used. Although monitoring activities are widespread
across the EU, the information gathered is not always
readily available or in comparable formats, even
within the same administration. Member States may
wish to consider whether any legal or administrative
measures are needed not merely to ensure in accordance
with the Directive that monitoring takes place but
also to go further and enable data to be accessed
and shared when appropriate, so that the obligations
of Article 10 can be discharged efficiently.
Article 10(1)
Member States shall monitor the significant
environmental effects of the implementation of plans
and programmes in order, inter alia, to identify
at an early stage unforeseen adverse effects, and
to be able to undertake appropriate remedial action.
8.3. Article 10 establishes that monitoring of
the significant environmental effects of plans and
programmes covered by the Directive is an obligation.
When a plan or programme is adopted, the authorities
referred to under Article 6(3), the public and any
Member State consulted under Article 7 must be informed
about 'the measures decided concerning monitoring
in accordance with Article 10' (Article 9(1)(c)).
8.4. The Directive does not define the meaning
of 'monitor'. Monitoring can, however,
be generally described as an activity of following
the development of the parameters of concern in
magnitude, time and space. In the context of Article
10 and its references to unforeseen adverse effects
and remedial action, monitoring may also be a means
of verifying the information in the environmental
report. Article 10 does not contain any technical
requirements about the methods to be used for monitoring.
The methods chosen should be those which are available
and best fitted in each case to seeing whether the
assumptions made in the environmental assessment
correspond with the environmental effects which
occur when the plan or programme is implemented,
and to identifying at an early stage unforeseen
adverse effects resulting from the implementation
of the plan or programme. It is clear that monitoring
is embedded in the context of the environmental
assessment and does not require scientific research
activities. Also the character (e.g. quantitative
or qualitative) and detail of the environmental
information necessary for monitoring depend on the
character and detail of the plan or programme and
its predicted environmental effects.
8.5. If monitoring can be satisfactorily integrated
in the regular planning cycle, it may not be necessary
to establish a separate procedural step for carrying
it out. Monitoring may coincide for example with
the regular revision of a plan or programme, depending
on which effects are being monitored and upon the
length of intervals between revisions.
8.6. Monitoring has to cover the significant
environmental effects. These cover in principle
all kinds of effects, including positive, adverse,
foreseen and unforeseen [19]
ones. They may usually be the effects described
in the environmental report (in accordance with
Article 5 and Annex I(f)) and so will often be focused
on the information that 'may reasonably be required
taking into account the contents and level of detail
in the plan or programme and its stage in the decision-making
process' (Article 5(2)). It is possible that monitoring
of other effects may sometimes be justified (for
example, effects which were not foreseen when the
plan or programme was drawn up).
8.7. The other elements of Annex I will not usually
be relevant in implementing the monitoring requirement
but it may in some circumstances be convenient to
link the results of monitoring with, for example,
environmental problems, environmental protection
objectives, or mitigation measures identified under
paragraphs (d), (e), or (g) of Annex I. The Directive
does not, however, contain a requirement to that
effect.
8.8. Article 10 appears not necessarily to require
that significant environmental effects are monitored
directly. The Directive also allows them to be monitored
indirectly through, for example, pressure factors
or mitigation measures.
8.9. Implementation means not
only the realisation of the projects envisaged
in the plan or programme (including both their construction
and operation) but also covers other activities
(such as behavioural measures or management schemes)
which form part of the plan or programme (or its
implementation).
8.10. Article 10 requires the significant environmental
effects of the implementation of all plans and programmes
subject to the Directive to be monitored. It does
not specify whether this has to be done for each
plan or programme individually. In view of the flexibility
of Article 10, one monitoring arrangement may cover
several plans or programmes as long as sufficient
information about the environmental effects of the
individual plans or programmes is provided and the
purposes and obligations of the Directive are fulfilled.
8.11. In some cases, the cumulative effects of
different plans and programmes may be easier to
identify when they are monitored together.
8.12. One of the purposes of monitoring identified
in Article 10 is to identify unforeseen
adverse effects. It is unlikely that a
reasonably practicable monitoring scheme could be
devised which, except by chance, would reveal completely
unexpected effects (if any materialised) and that
can hardly be the intention here. Even though unforeseen
changes in the environment might be detected it
may be difficult to attribute them to the implementation
of the plan or programme. Unforeseen adverse effects
is better interpreted as referring to shortcomings
of the prognostic statements in the environmental
report (e.g. regarding the predicted intensity of
an environmental effect) or unforeseen effects resulting
from changes of circumstances, which have led to
certain assumptions in the environmental assessment
being partly or wholly invalidated.
8.13. One purpose of monitoring is to enable the
planning authority to undertake appropriate remedial
action if monitoring reveals adverse effects on
the environment that have not been considered in
the environmental assessment. The Directive does
not, however, necessarily require Member States
to modify a plan or programme as a result of monitoring.
This is consistent with the general approach of
environmental assessment, which facilitates an informed
decision, but does not create substantive environmental
standards for plans or programmes. If, in the framework
of their national legislation, Member States were
considering remedial action, any relevant information
received through such monitoring could naturally
be of assistance.
8.14. If an adopted plan or programme is modified
as a result of monitoring, this modification may
again require an environmental assessment (if it
meets the requirements of Article 2(a)) unless it
is a minor modification and Member States do not
determine that significant environmental effects
are likely to occur (Article 3(3)). It is likely
that plan modifications resulting from monitoring
will serve to offset or mitigate adverse environmental
effects. When deciding whether the modification
of the plan has to undergo an environmental assessment
relevant factors in deciding the significance of
effects may include how far the environmental performance
of the plan or programme will be improved and which
environmental effects have already been subject
to a comprehensive environmental assessment.
Article 10(2)
In order to comply with paragraph 1, existing
monitoring arrangements may be used if appropriate,
with a view to avoiding duplication of monitoring.
8.15. Article 10(2) helps clarify the obligations
deriving from Article 10(1). Information on the
effects of plans and programmes does not have to
be collected specifically for this purpose, but
other sources of information can be used. It also
implies that there is no requirement to establish
a new procedural step for the purpose of monitoring
which is separate from the regular planning process,
provided that process contains adequate monitoring
arrangements. Monitoring can, for example, be integrated
into the regular revision of the plan or programme.
If no appropriate monitoring schemes exist Member
States have to develop them.
8.16. The main challenge is to identify sources
of information in different Member States that are
a suitable basis for implementing the monitoring
requirements and, if necessary, to adapt existing
monitoring arrangements to the requirements of the
Directive. Data collected under other EU legislation
(e.g. Water Framework Directive 2000/60/EC, IPPC
Directive 96/61/EC) may be used for monitoring in
accordance with Article 10 provided that they are
relevant for the respective plan or programme and
its environmental effects.
Related Aspects and Provisions
8.17. Article 5 and Annex I(i) together require
that the public is informed on the monitoring arrangements
'envisaged', and Article 9(1) requires the public
to be informed of 'the measures decided concerning
monitoring'. These provisions are discussed in paragraph
5.29 above. Information on the monitoring measures
decided is subject not only to Article 9(1) but
also to the provisions of Directive 2003/04/EC of
the European Parliament and of the Council of 28th
January 2003 on public access to environmental information.
8.18. When appropriate, the environmental assessment
will also cover transboundary environmental effects
(see Article 7 and also Annex II(2), 3rd indent).
Consequently, transboundary environmental effects
may also be subject to monitoring. Therefore, in
case of plans and programmes which require transboundary
consultation, any arrangements concluded under Article
7 may also address monitoring measures. An inspiration
for such arrangements could be the provisions of
Article 7 of the Espoo Convention.
8.19. Monitoring may assist in the area of quality
control (Article 12(2)). If monitoring reveals that
a certain effect is systematically overlooked or
underestimated in the environmental assessments
of a certain type of plan or programme, then monitoring
can help to improve the quality of future environmental
reports. Generally speaking, monitoring may provide
information on the quality of the existing environmental
report which may be used for the preparation of
future environmental reports. In that regard, efficient
monitoring can be regarded as a tool for quality
control helping to fulfil the requirements of Article
12(2).
Notes
[19]
See explanation of 'unforeseen' effects in paragraph
8.12.
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