# L_2008308EN.01003301.xml

| 19.11.2008 | EN | Official Journal of the European Union | L 308/33 |
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19.11.2008

EN

Official Journal of the European Union

L 308/33

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COUNCIL DECISION

of 20 October 2008

on the approval, 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

(2008/871/EC)

THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty establishing the European Community, and in particular Article 175(1), in conjunction with the first sentence of the first subparagraph of Article 300(2) and the first subparagraph of Article 300(3) thereof,

Having regard to the proposal from the Commission,

Having regard to the opinion of the European Parliament (1),

Whereas:

| (1) | On 21 May 2003, on the occasion of the fifth Ministerial Conference ‘Environment for Europe’ held in Kiev, Ukraine, 21-23 May 2003, the Commission, on behalf of the Community, signed the Protocol on Strategic Environmental Assessment to the 1991 UN/ECE Espoo Convention on Environmental Impact Assessment in a Transboundary Context (SEA Protocol). |
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(1)

On 21 May 2003, on the occasion of the fifth Ministerial Conference ‘Environment for Europe’ held in Kiev, Ukraine, 21-23 May 2003, the Commission, on behalf of the Community, signed the Protocol on Strategic Environmental Assessment to the 1991 UN/ECE Espoo Convention on Environmental Impact Assessment in a Transboundary Context (SEA Protocol).

| (2) | The SEA Protocol helps to protect the environment by providing for the assessment of the likely significant environmental, including health, effects of plans and programmes and by endeavouring to ensure that environmental, including health, concerns are considered and integrated, to the extent appropriate, in the preparation of proposals for policies and legislation. |
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(2)

The SEA Protocol helps to protect the environment by providing for the assessment of the likely significant environmental, including health, effects of plans and programmes and by endeavouring to ensure that environmental, including health, concerns are considered and integrated, to the extent appropriate, in the preparation of proposals for policies and legislation.

| (3) | The Community and the Member States should take the necessary steps to allow the deposit, as far as possible simultaneously, of the instruments of ratification, approval or acceptance. |
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(3)

The Community and the Member States should take the necessary steps to allow the deposit, as far as possible simultaneously, of the instruments of ratification, approval or acceptance.

| (4) | The SEA Protocol should be approved by the Community, |
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(4)

The SEA Protocol should be approved by the Community,

HAS DECIDED AS FOLLOWS:

Article 1

1.   The Protocol on Strategic Environmental Assessment to the Espoo Convention on Environmental Impact Assessment in a Transboundary Context (SEA Protocol) is hereby approved on behalf of the European Community.

2.   The text of the SEA Protocol is attached to this Decision.

Article 2

1.   The President of the Council is hereby authorised to designate the person(s) empowered to deposit the instrument of approval of the SEA Protocol with the Secretary-General of the United Nations, acting in his capacity as Depositary, in accordance with Article 22 of that Protocol.

2.   At the same time, the designated person(s) shall deposit the declaration of competence set out in the Annex to this Decision, as required by Article 23(5) of the SEA Protocol.

Done at Luxembourg, 20 October 2008.

For the Council

The President

J.-L. BORLOO

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(1)  Opinion of 8 July 2008 (not yet published in the Official Journal).

1

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ANNEX

Declaration by the European Community in accordance with Article 23(5) of the Protocol on Strategic Environmental Assessment to the 1991 UN/ECE Espoo Convention on Environmental Impact Assessment in a Transboundary Context

The European Community declares that, in accordance with the Treaty establishing the European Community, and in particular Article 175(1) thereof, it is competent to enter into international agreements, and to implement the obligations resulting therefrom, which contribute to the pursuit of the following objectives:

| — | preserving, protecting and improving the quality of the environment, |
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—

preserving, protecting and improving the quality of the environment,

| — | protecting human health, |
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protecting human health,

| — | prudent and rational utilisation of natural resources, |
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prudent and rational utilisation of natural resources,

| — | promoting measures at international level to deal with regional or worldwide environmental problems. |
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promoting measures at international level to deal with regional or worldwide environmental problems.

Moreover, the European Community declares that it has already adopted legal instruments, including Directive 2001/42/EC of the European Parliament and of the Council concerning the assessment of the effects of certain plans and programmes on the environment, binding on its Member States, covering matters governed by this Protocol, and will submit and update, as appropriate, a list of those legal instruments to the Depositary in accordance with Article 23(5) of the Protocol.

The European Community is responsible for the performance of those obligations resulting from the Protocol which are covered by Community law.

The exercise of Community competence is, by its nature, subject to continuous development.

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PROTOCOL

on Strategic Environmental Assessment to the Convention on Environmental Impact Assessment in a Transboundary Context

THE PARTIES TO THIS PROTOCOL,

RECOGNISING the importance of integrating environmental, including health, considerations into the preparation and adoption of plans and programmes and, to the extent appropriate, policies and legislation,

COMMITTING themselves to promoting sustainable development and therefore basing themselves on the conclusions of the United Nations Conference on Environment and Development (Rio de Janeiro, Brazil, 1992), in particular principles 4 and 10 of the Rio Declaration on Environment and Development and Agenda 21, as well as the outcome of the third Ministerial Conference on Environment and Health (London, 1999) and the World Summit on Sustainable Development (Johannesburg, South Africa, 2002),

BEARING IN MIND the Convention on Environmental Impact Assessment in a Transboundary Context, done at Espoo, Finland, on 25 February 1991, and Decision II/9 of its Parties at Sofia on 26 and 27 February 2001, in which it was decided to prepare a legally binding protocol on strategic environmental assessment,

RECOGNISING that strategic environmental assessment should have an important role in the preparation and adoption of plans, programmes, and, to the extent appropriate, policies and legislation, and that the wider application of the principles of environmental impact assessment to plans, programmes, policies and legislation will further strengthen the systematic analysis of their significant environmental effects,

ACKNOWLEDGING the Convention on Access to Information, Public Participation in Decision-making and Access to Justice in Environmental Matters, done at Aarhus, Denmark, on 25 June 1998, and taking note of the relevant paragraphs of the Lucca Declaration, adopted at the first meeting of its Parties,

CONSCIOUS, therefore, of the importance of providing for public participation in strategic environmental assessment,

ACKNOWLEDGING the benefits to the health and well-being of present and future generations that will follow if the need to protect and improve people’s health is taken into account as an integral part of strategic environmental assessment, and recognising the work led by the World Health Organisation in this respect,

MINDFUL OF THE NEED for and importance of enhancing international cooperation in assessing the transboundary environmental, including health, effects of proposed plans and programmes, and, to the extent appropriate, policies and legislation,

HAVE AGREED AS FOLLOWS:

Article 1

Objective

The objective of this Protocol is to provide for a high level of protection of the environment, including health, by:

| (a) | ensuring that environmental, including health, considerations are thoroughly taken into account in the preparation of policies and legislation; |
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(a)

ensuring that environmental, including health, considerations are thoroughly taken into account in the preparation of policies and legislation;

| (b) | contributing to the consideration of environmental, including health, concerns in the preparation of policies and legislation; |
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(b)

contributing to the consideration of environmental, including health, concerns in the preparation of policies and legislation;

| (c) | establishing clear, transparent and effective procedures for strategic environmental assessment; |
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(c)

establishing clear, transparent and effective procedures for strategic environmental assessment;

| (d) | providing for public participation in strategic environmental assessment; and |
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(d)

providing for public participation in strategic environmental assessment; and

| (e) | integrating by these means environmental, including health, concerns into measures and instruments designed to further sustainable development. |
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(e)

integrating by these means environmental, including health, concerns into measures and instruments designed to further sustainable development.

Article 2

Definitions

For the purposes of this Protocol,

| 1. | ‘Convention’ means the Convention on Environmental Impact Assessment in a Transboundary Context. |
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1.

‘Convention’ means the Convention on Environmental Impact Assessment in a Transboundary Context.

| 2. | ‘Party’ means, unless the text indicates otherwise, a Contracting Party to this Protocol. |
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2.

‘Party’ means, unless the text indicates otherwise, a Contracting Party to this Protocol.

| 3. | ‘Party of origin’ means a Party or Parties to this Protocol within whose jurisdiction the preparation of a plan or programme is envisaged. |
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3.

‘Party of origin’ means a Party or Parties to this Protocol within whose jurisdiction the preparation of a plan or programme is envisaged.

| 4. | ‘Affected Party’ means a Party or Parties to this Protocol likely to be affected by the transboundary environmental, including health, effects of a plan or programme. |
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4.

‘Affected Party’ means a Party or Parties to this Protocol likely to be affected by the transboundary environmental, including health, effects of a plan or programme.

| 5. | ‘Plans and programmes’ means plans and programmes and any modifications to them that are:






  (a) | required by legislative, regulatory or administrative provisions; and |
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5.

‘Plans and programmes’ means plans and programmes and any modifications to them that are:

(a)

required by legislative, regulatory or administrative provisions; and

| (b) | subject to preparation and/or adoption by an authority or prepared by an authority for adoption, through a formal procedure, by a parliament or a government. |
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(b)

subject to preparation and/or adoption by an authority or prepared by an authority for adoption, through a formal procedure, by a parliament or a government.

| 6. | ‘Strategic environmental assessment’ means the evaluation of the likely environmental, including health, effects, which comprises the determination of the scope of an environmental report and its preparation, the carrying-out of public participation and consultations, and the taking into account of the environmental report and the results of the public participation and consultations in a plan or programme. |
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6.

‘Strategic environmental assessment’ means the evaluation of the likely environmental, including health, effects, which comprises the determination of the scope of an environmental report and its preparation, the carrying-out of public participation and consultations, and the taking into account of the environmental report and the results of the public participation and consultations in a plan or programme.

| 7. | ‘Environmental, including health, effect’ means any effect on the environment, including human health, flora, fauna, biodiversity, soil, climate, air, water, landscape, natural sites, material assets, cultural heritage and the interaction among these factors. |
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7.

‘Environmental, including health, effect’ means any effect on the environment, including human health, flora, fauna, biodiversity, soil, climate, air, water, landscape, natural sites, material assets, cultural heritage and the interaction among these factors.

| 8. | ‘The public’ means one or more natural or legal persons and, in accordance with national legislation or practice, their associations, organisations or groups. |
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8.

‘The public’ means one or more natural or legal persons and, in accordance with national legislation or practice, their associations, organisations or groups.

Article 3

General provisions

1.   Each Party shall take the necessary legislative, regulatory and other appropriate measures to implement the provisions of this Protocol within a clear, transparent framework.

2.   Each Party shall endeavour to ensure that officials and authorities assist and provide guidance to the public in matters covered by this Protocol.

3.   Each Party shall provide for appropriate recognition of and support to associations, organisations or groups promoting environmental, including health, protection in the context of this Protocol.

4.   The provisions of this Protocol shall not affect the right of a Party to maintain or introduce additional measures in relation to issues covered by this Protocol.

5.   Each Party shall promote the objectives of this Protocol in relevant international decision-making processes and within the framework of relevant international organisations.

6.   Each Party shall ensure that persons exercising their rights in conformity with the provisions of this Protocol shall not be penalised, persecuted or harassed in any way for their involvement. This provision shall not affect the powers of national courts to award reasonable costs in judicial proceedings.

7.   Within the scope of the relevant provisions of this Protocol, the public shall be able to exercise its rights without discrimination as to citizenship, nationality or domicile and, in the case of a legal person, without discrimination as to where it has its registered seat or an effective centre of its activities.

Article 4

Field of application concerning plans and programmes

1.   Each Party shall ensure that a strategic environmental assessment is carried out for plans and programmes referred to in paragraphs 2, 3 and 4 which are likely to have significant environmental, including health, effects.

2.   A strategic environmental assessment shall be carried out for plans and programmes which are prepared for agriculture, forestry, fisheries, energy, industry including mining, transport, regional development, waste management, water management, telecommunications, tourism, town and country planning or land use, and which set the framework for future development consent for projects listed in Annex I and any other project listed in Annex II that requires an environmental impact assessment under national legislation.

3.   For plans and programmes other than those subject to paragraph 2 which set the framework for future development consent of projects, a strategic environmental assessment shall be carried out where a Party so determines according to Article 5, paragraph 1.

4.   For plans and programmes referred to in paragraph 2 which determine the use of small areas at local level and for minor modifications to plans and programmes referred to in paragraph 2, a strategic environmental assessment shall be carried out only where a Party so determines according to Article 5, paragraph 1.

5.   The following plans and programmes are not subject to this Protocol:

| (a) | plans and programmes whose sole purpose is to serve national defence or civil emergencies; |
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(a)

plans and programmes whose sole purpose is to serve national defence or civil emergencies;

| (b) | financial or budget plans and programmes. |
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(b)

financial or budget plans and programmes.

Article 5

Screening

1.   Each Party shall determine whether plans and programmes referred to in Article 4, paragraphs 3 and 4, are likely to have significant environmental, including health, effects either through a case-by-case examination or by specifying types of plans and programmes or by combining both approaches. For this purpose each Party shall in all cases take into account the criteria set out in Annex III.

2.   Each Party shall ensure that the environmental and health authorities referred to in Article 9, paragraph 1, are consulted when applying the procedures referred to in paragraph 1 above.

3.   To the extent appropriate, each Party shall endeavour to provide opportunities for the participation of the public concerned in the screening of plans and programmes under this article.

4.   Each Party shall ensure timely public availability of the conclusions pursuant to paragraph 1, including the reasons for not requiring a strategic environmental assessment, whether by public notices or by other appropriate means, such as electronic media.

Article 6

Scoping

1.   Each Party shall establish arrangements for the determination of the relevant information to be included in the environmental report in accordance with Article 7, paragraph 2.

2.   Each Party shall ensure that the environmental and health authorities referred to in Article 9, paragraph 1, are consulted when determining the relevant information to be included in the environmental report.

3.   To the extent appropriate, each Party shall endeavour to provide opportunities for the participation of the public concerned when determining the relevant information to be included in the environmental report.

Article 7

Environmental report

1.   For plans and programmes subject to strategic environmental assessment, each Party shall ensure that an environmental report is prepared.

2.   The environmental report shall, in accordance with the determination under Article 6, identify, describe and evaluate the likely significant environmental, including health, effects of implementing the plan or programme and its reasonable alternatives. The report shall contain such information specified in Annex IV as may reasonably be required, taking into account:

| (a) | current knowledge and methods of assessment; |
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(a)

current knowledge and methods of assessment;

| (b) | the contents and the level of detail of the plan or programme and its stage in the decision-making process; |
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(b)

the contents and the level of detail of the plan or programme and its stage in the decision-making process;

| (c) | the interests of the public; and |
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(c)

the interests of the public; and

| (d) | the information needs of the decision-making body. |
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(d)

the information needs of the decision-making body.

3.   Each Party shall ensure that environmental reports are of sufficient quality to meet the requirements of this Protocol.

Article 8

Public participation

1.   Each Party shall ensure early, timely and effective opportunities for public participation, when all options are open, in the strategic environmental assessment of plans and programmes.

2.   Each Party, using electronic media or other appropriate means, shall ensure the timely public availability of the draft plan or programme and the environmental report.

3.   Each Party shall ensure that the public concerned, including relevant non-governmental organisations, is identified for the purposes of paragraphs 1 and 4.

4.   Each Party shall ensure that the public referred to in paragraph 3 has the opportunity to express its opinion on the draft plan or programme and the environmental report within a reasonable time frame.

5.   Each Party shall ensure that the detailed arrangements for informing the public and consulting the public concerned are determined and made publicly available. For this purpose, each Party shall take into account to the extent appropriate the elements listed in Annex V.

Article 9

Consultation with environmental and health authorities

1.   Each Party shall designate the authorities to be consulted which, by reason of their specific environmental or health responsibilities, are likely to be concerned by the environmental, including health, effects of the implementation of the plan or programme.

2.   The draft plan or programme and the environmental report shall be made available to the authorities referred to in paragraph 1.

3.   Each Party shall ensure that the authorities referred to in paragraph 1 are given, in an early, timely and effective manner, the opportunity to express their opinion on the draft plan or programme and the environmental report.

4.   Each Party shall determine the detailed arrangements for informing and consulting the environmental and health authorities referred to in paragraph 1.

Article 10

Transboundary consultations

1.   Where a Party of origin considers that the implementation of a plan or programme is likely to have significant transboundary environmental, including health, effects or where a Party likely to be significantly affected so requests, the Party of origin shall as early as possible before the adoption of the plan or programme notify the affected Party.

2.   This notification shall contain, inter alia:

| (a) | the draft plan or programme and the environmental report including information on its possible transboundary environmental, including health, effects; and |
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(a)

the draft plan or programme and the environmental report including information on its possible transboundary environmental, including health, effects; and

| (b) | information regarding the decision-making procedure, including an indication of a reasonable time schedule for the transmission of comments. |
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(b)

information regarding the decision-making procedure, including an indication of a reasonable time schedule for the transmission of comments.

3.   The affected Party shall, within the time specified in the notification, indicate to the Party of origin whether it wishes to enter into consultations before the adoption of the plan or programme and, if it so indicates, the Parties concerned shall enter into consultations concerning the likely transboundary environmental, including health, effects of implementing the plan or programme and the measures envisaged to prevent, reduce or mitigate adverse effects.

4.   Where such consultations take place, the Parties concerned shall agree on detailed arrangements to ensure that the public concerned and the authorities referred to in article 9, paragraph 1, in the affected Party are informed and given an opportunity to forward their opinion on the draft plan or programme and the environmental report within a reasonable time frame.

Article 11

Decision

1.   Each Party shall ensure that when a plan or programme is adopted due account is taken of:

| (a) | the conclusions of the environmental report; |
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(a)

the conclusions of the environmental report;

| (b) | the measures to prevent, reduce or mitigate the adverse effects identified in the environmental report; and |
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(b)

the measures to prevent, reduce or mitigate the adverse effects identified in the environmental report; and

| (c) | the comments received in accordance with Articles 8 to 10. |
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(c)

the comments received in accordance with Articles 8 to 10.

2.   Each Party shall ensure that, when a plan or programme is adopted, the public, the authorities referred to in Article 9, paragraph 1, and the Parties consulted according to Article 10 are informed, and that the plan or programme is made available to them together with a statement summarising how the environmental, including health, considerations have been integrated into it, how the comments received in accordance with Articles 8 to 10 have been taken into account and the reasons for adopting it in the light of the reasonable alternatives considered.

Article 12

Monitoring

1.   Each Party shall monitor the significant environmental, including health, effects of the implementation of the plans and programmes, adopted under Article 11 in order, inter alia, to identify, at an early stage, unforeseen adverse effects and to be able to undertake appropriate remedial action.

2.   The results of the monitoring undertaken shall be made available, in accordance with national legislation, to the authorities referred to in Article 9, paragraph 1, and to the public.

Article 13

Policies and legislation

1.   Each Party shall endeavour to ensure that environmental, including health, concerns are considered and integrated to the extent appropriate in the preparation of its proposals for policies and legislation that are likely to have significant effects on the environment, including health.

2.   In applying paragraph 1, each Party shall consider the appropriate principles and elements of this Protocol.

3.   Each Party shall determine, where appropriate, the practical arrangements for the consideration and integration of environmental, including health, concerns in accordance with paragraph 1, taking into account the need for transparency in decision-making.

4.   Each Party shall report to the Meeting of the Parties to the Convention serving as the Meeting of the Parties to this Protocol on its application of this article.

Article 14

The meeting of the parties to the convention serving as the meeting of the parties to the protocol

1.   The Meeting of the Parties to the Convention shall serve as the Meeting of the Parties to this Protocol. The first meeting of the Parties to the Convention serving as the Meeting of the Parties to this Protocol shall be convened not later than one year after the date of entry into force of this Protocol, and in conjunction with a meeting of the Parties to the Convention, if a meeting of the latter is scheduled within that period. Subsequent meetings of the Parties to the Convention serving as the Meeting of the Parties to this Protocol shall be held in conjunction with meetings of the Parties to the Convention, unless otherwise decided by the Meeting of the Parties to the Convention serving as the Meeting of the Parties to this Protocol.

2.   Parties to the Convention which are not Parties to this Protocol may participate as observers in the proceedings of any session of the Meeting of the Parties to the Convention serving as the Meeting of the Parties to this Protocol. When the Meeting of the Parties to the Convention serves as the Meeting of the Parties to this Protocol, decisions under this Protocol shall be taken only by the Parties to this Protocol.

3.   When the Meeting of the Parties to the Convention serves as the Meeting of the Parties to this Protocol, any member of the Bureau of the Meeting of the Parties representing a Party to the Convention that is not, at that time, a Party to this Protocol shall be replaced by another member to be elected by and from amongst the Parties to this Protocol.

4.   The Meeting of the Parties to the Convention serving as the Meeting of the Parties to this Protocol shall keep under regular review the implementation of this Protocol and, for this purpose, shall:

| (a) | review policies for and methodological approaches to strategic environmental assessment with a view to further improving the procedures provided for under this Protocol; |
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(a)

review policies for and methodological approaches to strategic environmental assessment with a view to further improving the procedures provided for under this Protocol;

| (b) | exchange information regarding experience gained in strategic environmental assessment and in the implementation of this Protocol; |
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(b)

exchange information regarding experience gained in strategic environmental assessment and in the implementation of this Protocol;

| (c) | seek, where appropriate, the services and cooperation of competent bodies having expertise pertinent to the achievement of the purposes of this Protocol; |
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(c)

seek, where appropriate, the services and cooperation of competent bodies having expertise pertinent to the achievement of the purposes of this Protocol;

| (d) | establish such subsidiary bodies as it considers necessary for the implementation of this Protocol; |
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(d)

establish such subsidiary bodies as it considers necessary for the implementation of this Protocol;

| (e) | where necessary, consider and adopt proposals for amendments to this Protocol; and |
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(e)

where necessary, consider and adopt proposals for amendments to this Protocol; and

| (f) | consider and undertake any additional action, including action to be carried out jointly under this Protocol and the Convention, that may be required for the achievement of the purposes of this Protocol. |
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(f)

consider and undertake any additional action, including action to be carried out jointly under this Protocol and the Convention, that may be required for the achievement of the purposes of this Protocol.

5.   The rules of procedure of the Meeting of the Parties to the Convention shall be applied mutatis mutandis under this Protocol, except as may otherwise be decided by consensus by the Meeting of the Parties serving as the Meeting of the Parties to this Protocol.

6.   At its first meeting, the Meeting of the Parties to the Convention serving as the Meeting of the Parties to this Protocol shall consider and adopt the modalities for applying the procedure for the review of compliance with the Convention to this Protocol.

7.   Each Party shall, at intervals to be determined by the Meeting of the Parties to the Convention serving as the Meeting of the Parties to this Protocol, report to the Meeting of the Parties to the Convention serving as the Meeting of the Parties to the Protocol on measures that it has taken to implement the Protocol.

Article 15

Relationship to other international agreements

The relevant provisions of this Protocol shall apply without prejudice to the UNECE Conventions on Environmental Impact Assessment in a Transboundary Context and on Access to Information, Public Participation in Decision-making and Access to Justice in Environmental Matters.

Article 16

Right to vote

1.   Except as provided for in paragraph 2 below, each Party to this Protocol shall have one vote.

2.   Regional economic integration organisations, in matters within their competence, shall exercise their right to vote with a number of votes equal to the number of their member States which are Parties to this Protocol. Such organisations shall not exercise their right to vote if their member States exercise theirs, and vice versa.

Article 17

Secretariat

The secretariat established by Article 13 of the Convention shall serve as the secretariat of this Protocol and Article 13, paragraphs (a) to (c), of the Convention on the functions of the secretariat shall apply mutatis mutandis to this Protocol.

mutatis mutandis

Article 18

Annexes

The annexes to this Protocol shall constitute an integral part thereof.

Article 19

Amendments to the protocol

1.   Any Party may propose amendments to this Protocol.

2.   Subject to paragraph 3, the procedure for proposing, adopting and the entry into force of amendments to the Convention laid down in paragraphs 2 to 5 of Article 14 of the Convention shall apply, mutatis mutandis, to amendments to this Protocol.

3.   For the purpose of this Protocol, the three fourths of the Parties required for an amendment to enter into force for Parties having ratified, approved or accepted it, shall be calculated on the basis of the number of Parties at the time of the adoption of the amendment.

Article 20

Settlement of disputes

The provisions on the settlement of disputes of Article 15 of the Convention shall apply mutatis mutandis to this Protocol.

mutatis mutandis

Article 21

Signature

This Protocol shall be open for signature at Kiev (Ukraine) from 21 to 23 May 2003 and thereafter at United Nations Headquarters in New York until 31 December 2003, by States members of the Economic Commission for Europe as well as States having consultative status with the Economic Commission for Europe pursuant to paragraphs 8 and 11 of Economic and Social Council Resolution 36 (IV) of 28 March 1947, and by regional economic integration organisations constituted by sovereign States members of the Economic Commission for Europe to which their member States have transferred competence over matters governed by this Protocol, including the competence to enter into treaties in respect of these matters.

Article 22

Depositary

The Secretary-General of the United Nations shall act as the Depositary of this Protocol.

Article 23

Ratification, acceptance, approval and accession

1.   This Protocol shall be subject to ratification, acceptance or approval by signatory States and regional economic integration organisations referred to in Article 21.

2.   This Protocol shall be open for accession as from 1 January 2004 by the States and regional economic integration organisations referred to in Article 21.

3.   Any other State, not referred to in paragraph 2 above, that is a Member of the United Nations may accede to the Protocol upon approval by the Meeting of the Parties to the Convention serving as the Meeting of the Parties to the Protocol.

4.   Any regional economic integration organisation referred to in Article 21 which becomes a Party to this Protocol without any of its member States being a Party shall be bound by all the obligations under this Protocol. If one or more of such an organisation’s member States is a Party to this Protocol, the organisation and its member States shall decide on their respective responsibilities for the performance of their obligations under this Protocol. In such cases, the organisation and its member States shall not be entitled to exercise rights under this Protocol concurrently.

5.   In their instruments of ratification, acceptance, approval or accession, the regional economic integration organisations referred to in Article 21 shall declare the extent of their competence with respect to the matters governed by this Protocol. These organisations shall also inform the Depositary of any relevant modification to the extent of their competence.

Article 24

Entry into force

1.   This Protocol shall enter into force on the 19th day after the date of deposit of the 60th instrument of ratification, acceptance, approval or accession.

2.   For the purposes of paragraph 1 above, any instrument deposited by a regional economic integration organisation referred to in Article 21 shall not be counted as additional to those deposited by States members of such an organisation.

3.   For each State or regional economic integration organisation referred to in Article 21 which ratifies, accepts or approves this Protocol or accedes thereto after the deposit of the 60th instrument of ratification, acceptance, approval or accession, the Protocol shall enter into force on the 19th day after the date of deposit by such State or organisation of its instrument of ratification, acceptance, approval or accession.

4.   This Protocol shall apply to plans, programmes, policies and legislation for which the first formal preparatory act is subsequent to the date on which this Protocol enters into force. Where the Party under whose jurisdiction the preparation of a plan, programme, policy or legislation is envisaged is one for which paragraph 3 applies, this Protocol shall apply to plans, programmes, policies and legislation for which the first formal preparatory act is subsequent to the date on which this Protocol comes into force for that Party.

Article 25

Withdrawal

At any time after four years from the date on which this Protocol has come into force with respect to a Party, that Party may withdraw from the Protocol by giving written notification to the Depositary. Any such withdrawal shall take effect on the 19th day after the date of its receipt by the Depositary. Any such withdrawal shall not affect the application of Articles 5 to 9, 11 and 13 with respect to a strategic environmental assessment under this Protocol which has already been started, or the application of Article 10 with respect to a notification or request which has already been made, before such withdrawal takes effect.

Article 26

Authentic texts

The original of this Protocol, of which the English, French and Russian texts are equally authentic, shall be deposited with the Secretary-General of the United Nations.

IN WITNESS WHEREOF the undersigned, being duly authorised thereto, have signed this Protocol.

DONE at Kiev (Ukraine), this twenty-first day of May, two thousand and three.

ANNEX I

List of projects as referred to in Article 4, paragraph 2

| 1. | Crude oil refineries (excluding undertakings manufacturing only lubricants from crude oil) and installations for the gasification and liquefaction of 500 metric tons or more of coal or bituminous shale per day. |
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1.

Crude oil refineries (excluding undertakings manufacturing only lubricants from crude oil) and installations for the gasification and liquefaction of 500 metric tons or more of coal or bituminous shale per day.

| 2. | Thermal power stations and other combustion installations with a heat output of 300 megawatts or more and nuclear power stations and other nuclear reactors (except research installations for the production and conversion of fissionable and fertile materials, whose maximum power does not exceed 1 kilowatt continuous thermal load). |
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2.

Thermal power stations and other combustion installations with a heat output of 300 megawatts or more and nuclear power stations and other nuclear reactors (except research installations for the production and conversion of fissionable and fertile materials, whose maximum power does not exceed 1 kilowatt continuous thermal load).

| 3. | Installations solely designed for the production or enrichment of nuclear fuels, for the reprocessing of irradiated nuclear fuels or for the storage, disposal and processing of radioactive waste. |
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3.

Installations solely designed for the production or enrichment of nuclear fuels, for the reprocessing of irradiated nuclear fuels or for the storage, disposal and processing of radioactive waste.

| 4. | Major installations for the initial smelting of cast-iron and steel and for the production of non-ferrous metals. |
| --- | --- |

4.

Major installations for the initial smelting of cast-iron and steel and for the production of non-ferrous metals.

| 5. | Installations for the extraction of asbestos and for the processing and transformation of asbestos and products containing asbestos: for asbestos-cement products, with an annual production of more than 20 000 metric tons of finished product; for friction material, with an annual production of more than 50 metric tons of finished product; and for other asbestos utilisation of more than 200 metric tons per year. |
| --- | --- |

5.

Installations for the extraction of asbestos and for the processing and transformation of asbestos and products containing asbestos: for asbestos-cement products, with an annual production of more than 20 000 metric tons of finished product; for friction material, with an annual production of more than 50 metric tons of finished product; and for other asbestos utilisation of more than 200 metric tons per year.

| 6. | Integrated chemical installations. |
| --- | --- |

6.

Integrated chemical installations.

| 7. | Construction of motorways, express roads (1) and lines for long-distance railway traffic and of airports (2) with a basic runway length of 2 100 metres or more. |
| --- | --- |

7.

Construction of motorways, express roads (1) and lines for long-distance railway traffic and of airports (2) with a basic runway length of 2 100 metres or more.

| 8. | Large-diameter oil and gas pipelines. |
| --- | --- |

8.

Large-diameter oil and gas pipelines.

| 9. | Trading ports and also inland waterways and ports for inland-waterway traffic which permit the passage of vessels of over 1 350 metric tons. |
| --- | --- |

9.

Trading ports and also inland waterways and ports for inland-waterway traffic which permit the passage of vessels of over 1 350 metric tons.

| 10. | Waste-disposal installations for the incineration, chemical treatment or landfill of toxic and dangerous wastes. |
| --- | --- |

10.

Waste-disposal installations for the incineration, chemical treatment or landfill of toxic and dangerous wastes.

| 11. | Large dams and reservoirs. |
| --- | --- |

11.

Large dams and reservoirs.

| 12. | Groundwater abstraction activities in cases where the annual volume of water to be abstracted amounts to 10 million cubic metres or more. |
| --- | --- |

12.

Groundwater abstraction activities in cases where the annual volume of water to be abstracted amounts to 10 million cubic metres or more.

| 13. | Pulp and paper manufacturing of 200 air-dried metric tons or more per day. |
| --- | --- |

13.

Pulp and paper manufacturing of 200 air-dried metric tons or more per day.

| 14. | Major mining, on-site extraction and processing of metal ores or coal. |
| --- | --- |

14.

Major mining, on-site extraction and processing of metal ores or coal.

| 15. | Offshore hydrocarbon production. |
| --- | --- |

15.

Offshore hydrocarbon production.

| 16. | Major storage facilities for petroleum, petrochemical and chemical products. |
| --- | --- |

16.

Major storage facilities for petroleum, petrochemical and chemical products.

| 17. | Deforestation of large areas. |
| --- | --- |

17.

Deforestation of large areas.

---

(1)  For the purposes of this Protocol:

| — | ‘Motorway’ means a road specially designed and built for motor traffic, which does not serve properties bordering on it, and which:






  (a) | Is provided, except at special points or temporarily, with separate carriageways for the two directions of traffic, separated from each other by a dividing strip not intended for traffic or, exceptionally, by other means; |
| --- | --- | --- |

—

‘Motorway’ means a road specially designed and built for motor traffic, which does not serve properties bordering on it, and which:

(a)

Is provided, except at special points or temporarily, with separate carriageways for the two directions of traffic, separated from each other by a dividing strip not intended for traffic or, exceptionally, by other means;

| (b) | Does not cross at level with any road, railway or tramway track, or footpath; and |
| --- | --- |

(b)

Does not cross at level with any road, railway or tramway track, or footpath; and

| (c) | Is specially sign posted as a motorway. |
| --- | --- |

(c)

Is specially sign posted as a motorway.

| — | ‘Express road’ means a road reserved for motor traffic accessible only from interchanges or controlled junctions and on which, in particular, stopping and parking are prohibited on the running carriageway(s). |
| --- | --- |

—

‘Express road’ means a road reserved for motor traffic accessible only from interchanges or controlled junctions and on which, in particular, stopping and parking are prohibited on the running carriageway(s).

(2)  For the purposes of this Protocol, ‘airport’ means an airport which complies with the definition in the 1944 Chicago Convention setting up the International Civil Aviation Organisation (Annex 14).

ANNEX II

Any other projects referred to in Article 4, paragraph 2

| 1. | Projects for the restructuring of rural land holdings. |
| --- | --- |

1.

| 2. | Projects for the use of uncultivated land or seminatural areas for intensive agricultural purposes. |
| --- | --- |

2.

| 3. | Water management projects for agriculture, including irrigation and land drainage projects. |
| --- | --- |

3.

| 4. | Intensive livestock installations (including poultry). |
| --- | --- |

4.

| 5. | Initial afforestation and deforestation for the purposes of conversion to another type of land use. |
| --- | --- |

5.

| 6. | Intensive fish farming. |
| --- | --- |

6.

| 7. | Nuclear power stations and other nuclear reactors (1) including the dismantling or decommissioning of such power stations or reactors (except research installations for the production and conversion of fissionable and fertile materials whose maximum power does not exceed 1 kilowatt continuous thermal load), as far as not included in Annex I. |
| --- | --- |

7.

| 8. | Construction of overhead electrical power lines with a voltage of 220 kilovolts or more and a length of 15 kilometres or more and other projects for the transmission of electrical energy by overhead cables. |
| --- | --- |

8.

| 9. | Industrial installations for the production of electricity, steam and hot water. |
| --- | --- |

9.

| 10. | Industrial installations for carrying gas, steam and hot water. |
| --- | --- |

10.

| 11. | Surface storage of fossil fuels and natural gas. |
| --- | --- |

11.

| 12. | Underground storage of combustible gases. |
| --- | --- |

12.

| 13. | Industrial briquetting of coal and lignite. |
| --- | --- |

13.

| 14. | Installations for hydroelectric energy production. |
| --- | --- |

14.

| 15. | Installations for the harnessing of wind power for energy production (wind farms). |
| --- | --- |

15.

| 16. | Installations, as far as not included in Annex I, designed:






  — | for the production or enrichment of nuclear fuel, |
| --- | --- | --- |

16.

—

for the production or enrichment of nuclear fuel,

| — | for the processing of irradiated nuclear fuel, |
| --- | --- |

—

for the processing of irradiated nuclear fuel,

| — | for the final disposal of irradiated nuclear fuel, |
| --- | --- |

—

for the final disposal of irradiated nuclear fuel,

| — | solely for the final disposal of radioactive waste, |
| --- | --- |

—

solely for the final disposal of radioactive waste,

| — | solely for the storage (planned for more than 10 years) of irradiated nuclear fuels in a different site than the production site, or |
| --- | --- |

—

solely for the storage (planned for more than 10 years) of irradiated nuclear fuels in a different site than the production site, or

| — | for the processing and storage of radioactive waste. |
| --- | --- |

—

for the processing and storage of radioactive waste.

| 17. | Quarries, open cast mining and peat extraction, as far as not included in Annex I. |
| --- | --- |

17.

| 18. | Underground mining, as far as not included in Annex I. |
| --- | --- |

18.

| 19. | Extraction of minerals by marine or fluvial dredging. |
| --- | --- |

19.

| 20. | Deep drillings (in particular geothermal drilling, drilling for the storage of nuclear waste material, drilling for water supplies), with the exception of drillings for investigating the stability of the soil. |
| --- | --- |

20.

| 21. | Surface industrial installations for the extraction of coal, petroleum, natural gas and ores, as well as bituminous shale. |
| --- | --- |

21.

| 22. | Integrated works for the initial smelting of cast iron and steel, as far as not included in Annex I. |
| --- | --- |

22.

| 23. | Installations for the production of pig iron or steel (primary or secondary fusion) including continuous casting. |
| --- | --- |

23.

| 24. | Installations for the processing of ferrous metals (hot-rolling mills, smitheries with hammers, application of protective fused metal coats). |
| --- | --- |

24.

| 25. | Ferrous metal foundries. |
| --- | --- |

25.

| 26. | Installations for the production of non-ferrous crude metals from ore, concentrates or secondary raw materials by metallurgical, chemical or electrolytic processes, as far as not included in Annex I. |
| --- | --- |

26.

| 27. | Installations for the smelting, including the alloyage, of non-ferrous metals excluding precious metals, including recovered products (refining, foundry casting, etc.), as far as not included in Annex I. |
| --- | --- |

27.

| 28. | Installations for surface treatment of metals and plastic materials using an electrolytic or chemical process. |
| --- | --- |

28.

| 29. | Manufacture and assembly of motor vehicles and manufacture of motor-vehicle engines. |
| --- | --- |

29.

| 30. | Shipyards. |
| --- | --- |

30.

| 31. | Installations for the construction and repair of aircraft. |
| --- | --- |

31.

| 32. | Manufacture of railway equipment. |
| --- | --- |

32.

| 33. | Swaging by explosives. |
| --- | --- |

33.

| 34. | Installations for the roasting and sintering of metallic ores. |
| --- | --- |

34.

| 35. | Coke ovens (dry coal distillation). |
| --- | --- |

35.

| 36. | Installations for the manufacture of cement. |
| --- | --- |

36.

| 37. | Installations for the manufacture of glass including glass fibre. |
| --- | --- |

37.

| 38. | Installations for smelting mineral substances including the production of mineral fibres. |
| --- | --- |

38.

| 39. | Manufacture of ceramic products by burning, in particular roofing tiles, bricks, refractory bricks, tiles, stoneware or porcelain. |
| --- | --- |

39.

| 40. | Installations for the production of chemicals or treatment of intermediate products, as far as not included in Annex I. |
| --- | --- |

40.

| 41. | Production of pesticides and pharmaceutical products, paint and varnishes, elastomers and peroxides. |
| --- | --- |

41.

| 42. | Installations for the storage of petroleum, petrochemical, or chemical products, as far as not included in Annex I. |
| --- | --- |

42.

| 43. | Manufacture of vegetable and animal oils and fats. |
| --- | --- |

43.

| 44. | Packing and canning of animal and vegetable products. |
| --- | --- |

44.

| 45. | Manufacture of dairy products. |
| --- | --- |

45.

| 46. | Brewing and malting. |
| --- | --- |

46.

| 47. | Confectionery and syrup manufacture. |
| --- | --- |

47.

| 48. | Installations for the slaughter of animals. |
| --- | --- |

48.

| 49. | Industrial starch manufacturing installations. |
| --- | --- |

49.

| 50. | Fish-meal and fish-oil factories. |
| --- | --- |

50.

| 51. | Sugar factories. |
| --- | --- |

51.

| 52. | Industrial plants for the production of pulp, paper and board, as far as not included in Annex I. |
| --- | --- |

52.

| 53. | Plants for the pretreatment or dyeing of fibres or textiles. |
| --- | --- |

53.

| 54. | Plants for the tanning of hides and skins. |
| --- | --- |

54.

| 55. | Cellulose-processing and production installations. |
| --- | --- |

55.

| 56. | Manufacture and treatment of elastomer-based products. |
| --- | --- |

56.

| 57. | Installations for the manufacture of artificial mineral fibres. |
| --- | --- |

57.

| 58. | Installations for the recovery or destruction of explosive substances. |
| --- | --- |

58.

| 59. | Installations for the production of asbestos and the manufacture of asbestos products, as far as not included in Annex I. |
| --- | --- |

59.

| 60. | Knackers' yards. |
| --- | --- |

60.

| 61. | Test benches for engines, turbines or reactors. |
| --- | --- |

61.

| 62. | Permanent racing and test tracks for motorised vehicles. |
| --- | --- |

62.

| 63. | Pipelines for transport of gas or oil, as far as not included in Annex I. |
| --- | --- |

63.

| 64. | Pipelines for transport of chemicals with a diameter of more than 800 mm and a length of more than 40 km. |
| --- | --- |

64.

| 65. | Construction of railways and intermodal transhipment facilities, and of intermodal terminals, as far as not included in Annex I. |
| --- | --- |

65.

| 66. | Construction of tramways, elevated and underground railways, suspended lines or similar lines of a particular type used exclusively or mainly for passenger transport. |
| --- | --- |

66.

| 67. | Construction of roads, including realignment and/or widening of any existing road, as far as not included in Annex I. |
| --- | --- |

67.

| 68. | Construction of harbours and port installations, including fishing harbours, as far as not included in Annex I. |
| --- | --- |

68.

| 69. | Construction of inland waterways and ports for inland-waterway traffic, as far as not included in Annex I. |
| --- | --- |

69.

| 70. | Trading ports, piers for loading and unloading connected to land and outside ports, as far as not included in Annex I. |
| --- | --- |

70.

| 71. | Canalisation and flood-relief works. |
| --- | --- |

71.

| 72. | Construction of airports (2) and airfields, as far as not included in Annex I. |
| --- | --- |

72.

| 73. | Waste-disposal installations (including landfill), as far as not included in Annex I. |
| --- | --- |

73.

| 74. | Installations for the incineration or chemical treatment of non-hazardous waste. |
| --- | --- |

74.

| 75. | Storage of scrap iron, including scrap vehicles. |
| --- | --- |

75.

| 76. | Sludge deposition sites. |
| --- | --- |

76.

| 77. | Groundwater abstraction or artificial groundwater recharge, as far as not included in Annex I. |
| --- | --- |

77.

| 78. | Works for the transfer of water resources between river basins. |
| --- | --- |

78.

| 79. | Waste-water treatment plants. |
| --- | --- |

79.

| 80. | Dams and other installations designed for the holding back or for the long-term or permanent storage of water, as far as not included in Annex I. |
| --- | --- |

80.

| 81. | Coastal work to combat erosion and maritime works capable of altering the coast through the construction, for example, of dykes, moles, jetties and other sea defence works, excluding the maintenance and reconstruction of such works. |
| --- | --- |

81.

| 82. | Installations of long-distance aqueducts. |
| --- | --- |

82.

| 83. | Ski runs, ski lifts and cable cars and associated developments. |
| --- | --- |

83.

| 84. | Marinas. |
| --- | --- |

84.

| 85. | Holiday villages and hotel complexes outside urban areas and associated developments. |
| --- | --- |

85.

| 86. | Permanent campsites and caravan sites. |
| --- | --- |

86.

| 87. | Theme parks. |
| --- | --- |

87.

| 88. | Industrial estate development projects. |
| --- | --- |

88.

| 89. | Urban development projects, including the construction of shopping centres and car parks. |
| --- | --- |

89.

| 90. | Reclamation of land from the sea. |
| --- | --- |

90.

---

(1)  For the purposes of this Protocol, nuclear power stations and other nuclear reactors cease to be such an installation when all nuclear fuel and other radioactively contaminated elements have been removed permanently from the installation site.

(2)  For the purposes of this Protocol, ‘airport’ means an airport which complies with the definition in the 1944 Chicago Convention setting up the International Civil Aviation Organisation (Annex 14).

ANNEX III

Criteria for determining of the likely significant environmental, including health, effects referred to in Article 5, paragraph 1

| 1. | The relevance of the plan or programme to the integration of environmental, including health, considerations in particular with a view to promoting sustainable development. |
| --- | --- |

1.

| 2. | The degree to which the plan or programme sets a framework for projects and other activities, either with regard to location, nature, size and operating conditions or by allocating resources. |
| --- | --- |

2.

| 3. | The degree to which the plan or programme influences other plans and programmes including those in a hierarchy. |
| --- | --- |

3.

| 4. | Environmental, including health, problems relevant to the plan or programme. |
| --- | --- |

4.

| 5. | The nature of the environmental, including health, effects such as probability, duration, frequency, reversibility, magnitude and extent (such as geographical area or size of population likely to be affected). |
| --- | --- |

5.

| 6. | The risks to the environment, including health. |
| --- | --- |

6.

| 7. | The transboundary nature of effects. |
| --- | --- |

7.

| 8. | The degree to which the plan or programme will affect valuable or vulnerable areas including landscapes with a recognised national or international protection status. |
| --- | --- |

8.

ANNEX IV

Information referred to in Article 7, paragraph 2

| 1. | The contents and the main objectives of the plan or programme and its link with other plans or programmes. |
| --- | --- |

1.

| 2. | The relevant aspects of the current state of the environment, including health, and the likely evolution thereof should the plan or programme not be implemented. |
| --- | --- |

2.

| 3. | The characteristics of the environment, including health, in areas likely to be significantly affected. |
| --- | --- |

3.

| 4. | The environmental, including health, problems which are relevant to the plan or programme. |
| --- | --- |

4.

| 5. | The environmental, including health, objectives established at international, national and other levels which are relevant to the plan or programme, and the ways in which these objectives and other environmental, including health, considerations have been taken into account during its preparation. |
| --- | --- |

5.

| 6. | The likely significant environmental, including health, effects (1) as defined in Article 2, paragraph 7. |
| --- | --- |

6.

| 7. | Measures to prevent, reduce or mitigate any significant adverse effects on the environment, including health, which may result from the implementation of the plan or programme. |
| --- | --- |

7.

| 8. | An outline of the reasons for selecting the alternatives dealt with and a description of how the assessment was undertaken including difficulties encountered in providing the information to be included such as technical deficiencies or lack of knowledge. |
| --- | --- |

8.

| 9. | Measures envisaged for monitoring environmental, including health, effects of the implementation of the plan or programme. |
| --- | --- |

9.

| 10. | The likely significant transboundary environmental, including health, effects. |
| --- | --- |

10.

| 11. | A non-technical summary of the information provided. |
| --- | --- |

11.

---

(1)  These effects should include secondary, cumulative, synergistic, short-, medium- and long-term, permanent and temporary, positive and negative effects.

ANNEX V

Information referred to in Article 8, paragraph 5

| 1. | The proposed plan or programme and its nature. |
| --- | --- |

1.

| 2. | The authority responsible for its adoption. |
| --- | --- |

2.

| 3. | The envisaged procedure, including:






  (a) | The commencement of the procedure; |
| --- | --- | --- |

3.

(a)

The commencement of the procedure;

| (b) | The opportunities for the public to participate; |
| --- | --- |

(b)

The opportunities for the public to participate;

| (c) | The time and venue of any envisaged public hearing; |
| --- | --- |

(c)

The time and venue of any envisaged public hearing;

| (d) | The authority from which relevant information can be obtained and where the relevant information has been deposited for examination by the public; |
| --- | --- |

(d)

The authority from which relevant information can be obtained and where the relevant information has been deposited for examination by the public;

| (e) | The authority to which comments or questions can be submitted and the time schedule for the transmittal of comments or questions; and |
| --- | --- |

(e)

The authority to which comments or questions can be submitted and the time schedule for the transmittal of comments or questions; and

| (f) | What environmental, including health, information relevant to the proposed plan or programme is available. |
| --- | --- |

(f)

What environmental, including health, information relevant to the proposed plan or programme is available.

| 4. | Whether the plan or programme is likely to be subject to a transboundary assessment procedure. |
| --- | --- |

4.

---