Proposal for a COUNCIL DIRECTIVE on the assessment of the effects of certain plans and programmes on the environment
Date: 1996-12-04
Institutions: European Commission
Subjects: EU environmental policy, EU programme, environmental impact, impact study, town and country planning

COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 04.12.1996 
COM(96) 511  final 

96/0304 (SYN) 

Proposal for a 
COUNCIL DIRECTIVE 
on  the  assessment of the effects of certain plans and programmes 
on the environment 

(presented by the Commission) 

EXPLANATORY  MEMORANDUM 

1. 

JUSTIFICATION OF PROPOSAL 

Background 

1.1  Council  Directive  85/337/EEC  on  the  assessment  of  the  effects  of  certain  public  and 
private  projects  on  the  environment  (the  "EIA Directive")  requires  an  environmental 
impact  assessment  to  be  carried  out  before  development  consent  is given  for  projects 
which are likely to have significant  effects  on the environment.  The EIA Directive does 
not, however,  require an assessment to be carried  out before  the adoption  of the plans 
and  programmes  which  set  the  framework  for  such  development  consent  decisions. 
Thus,  for  example,  there  is  no  requirement  under  Community  law  to  carry  out  an 
environmental assessment prior to the adoption of a regional town and country planning 
plan.  The objective  of this Proposal  is to  provide  for  a high level  of protection  of the 
environment by ensuring that an environmental assessment is carried out and the results 
are  taken  into  account  during  the  preparation  and  adoption  of  such  environmentally 
significant  plans and programmes.  This will complement  the  environmental  assessment 
of  projects  under  the  EIA  Directive,  which  takes  place  at  a  later  stage  in  the 
decision-making process. 

Scope of the Proposal 

1.2  The  Proposal  sets  out  the  environmental  assessment  procedure  concerning  the  public 
plans and  programmes  defined  in Article 2 of the Directive.  It  is thus  restricted  to  the 
plan  and  programme  level  of  decision-making.  It  does  not  apply  to  the  more  general 
policy level of decision making at the top  of the decision-making hierarchy. Whilst  it is 
important that general policy decisions take account  of the environment,  the procedural 
requirements  of the present Proposal  may not be a suitable way  of achieving this goal. 
General policy decisions develop in a very flexible way and a different  approach may be 
required to integrate environmental considerations into this process. The Commission is 
continuing to study this matter. 

1.3  The Proposal  is restricted  to town  and  country  planning  plans and  programmes  and  to 
plans  and  programmes  which  are  adopted  as  part  of  the  town  and  country  planning 
decision-making  process  for  the  purpose  of  setting  the  framework  for  subsequent 
development  consent  decisions  which  will  allow  developers  to  proceed  with  projects. 
Such town and country planning plans or programmes define the use of land and contain 
provisions on nature, size, location or operating conditions of installations or activities in 
different  sectors relevant  to town  and  country  planning.  The Proposal  will cover  town 
and  country  planning  plans  and  programmes  including  sectoral  town  and  country 
planning  plans  in  sectors  such  as  transport,  waste  management,  water  resource 
management,  industry,  telecommunication,  tourism  or  energy.  The Proposal,  however, 
only  covers  those  plans  and  programmes  that  are  adopted  by  a  competent  body-
according to a formal  procedure. This does not mean that the Member  States will have 
to establish formal adoption procedures to comply with the Proposal. It means that only 
plans and programmes that are subject to adoption by existing formal  procedures will be 
covered  by  the  Proposal.  An  example  of  a  plan  that  would  be  covered  is  a  mineral 
extraction  development  plan  which  contains,  inter alia,  provisions  on  the  nature,  size, 

location or operating conditions of mineral extraction operations in a particular area. An 
example of plans which would not be covered, is an overall energy plan covering general 
issues such as energy resources,  energy  demand  and  supply  or  plans and  programmes 
whicli  concern  economic  subsidies  or  energy  conservation.  The  Proposal  is  a  further 
important  step  towards  ensuring that  environmental  considerations  are  integrated  into 
decision making within Member States. It is unlikely, however, to be the final step in this 
process.  The  operation  of the Directive will have to  be reviewed  seven years  after  its 
entry into force (Article 11). 

To make the scope of the Proposal clearer, below is an indicative list of some plans and 
programmes that might be covered: 

-  Germany: 

Austria: 

Belgium: 
Wallonia: 

Brussels: 

Flanders: 

Denmark: 
Spain: 

-  Finland: 

-  France: 

-  Greece: 

-  Ireland: 
-  Italy: 

Luxemburg: 

Netherlands: 

Portugal: 

United Kingdom: 

Sweden: 

Landesraumordhungsprogramme/plàne; 
Landesent^cklungsprogramme/plàne;Regionalprogramme/plàne; 
Flâchennutzungsplàne 
Landesentwicklungsplàne/programme; 
Sektorale Entwicklungsprogramme; 
Ôrtliche Raumordnungsprogramme; 
Flâchenwidmungsplàne 

Plan Secteur; Plan Particulier d'Aménagement (PPA); 
Schéma structurel; Schéma directeur; 
Plan  de Développement  Régional; Plan Régional  d'affectation  du 
Sol(PRAS); 
Ruimtelijk  Structuurplan Vlaandëren; Gewestplan; 
Provinciaal Structuurplan 
Regionalplaner; Kommuneplaner 
Plan  national  de  ordenaciôn;  Plan  director 
territorial  de 
coordination; Plan general  municipal  de ordenaciôn  urbana (PG); 
Programa de actuation urbanistica (PAU) 
Asemakaava; Rakennuskaava 
Contrat dé plan Etat-région; Directive territoriale d'aménagement 
(tfTA); 
Chorotaxiko Schedio; Rythmistiko Schedio; Geniko poleodomiko 
schedio (GPS); Schedio poleos - Poleodomiki meleti 
Development plans 
Piano territoriale di coordinamento & Piano territoriale Paesistico; 
Piano regolatore  générale;  Piano  di  recupero  (Pdre);  Piano  degli 
insediamenti produttivi (PIP) 
Plan  d'aménagement  général;  Plan  d'aménagement  partiel; 
Plan d'aménagement  particulier 
Vierde  Nota  Over 
Streekplan; Stuctuurplan 
Piano  Regional  de  Ordenamento  do  Territorio  (PROT);  Pianos 
Municipals  de  Ordenamento  do  Territorio  (PMOTs);  Piano 
Director Municipal (PDM); Pianos de Urbanizaçâo 
Structure plans & unitary development plans part one; Local plan 
& unitary development plan (UDP) part two 
Ôversiktsplan (ÔP); Detaljplan (DP); Omradesbestàmmelser 

de  Ruimtelijke  Ordening  Extra; 

1.4  The  restriction  of  the  Proposal  to  plans  and  programmes  which  form  part  of  the 
development consent decision-making process will mean that the new Directive will not 
apply  to  plans  submitted  to  the  Commission  under  the  Structural  Funds  Regulations 
(Regulation (EEC) No 2052/88, as amended by Regulation (EEC) No 2081/93) because 
such  plans  are  prepared  in  connection with  the  co-financing  of  regional  development 
priorities  rather  than  for  development  consent  purposes.  The  Structural  Funds 
Regulations, however, already require plans submitted under them to be accompanied by 
an  environmental  appraisal.  In  addition, the  carrying  out  of the  activities  described  in 
Structural  Funds  plans  by  Member  States  has  to  be  in  accordance  with  Community 
environmental  law,  including  any  environmental  assessment  requirements  under  the 
EIA Directive and, in the future,  under the new  Directive.  The result  will be that  the 
environment  will  have  to  be  taken  into  account  both  by  the  Commission  during  its 
consideration  of  Structural  Funds  plans  and  by  Member  States  when  adopting 
development  consent  plans  and  programmes  and  authorising  projects  for  the  purpose 
of carrying  out  Structural  Funds  activities.  This  should  ensure  a  high  level  of 
environmental protection. 

1.5  The  Proposal  only  applies  to  plans  and  programmes  which  are  subject  to  a  formal 
adoption  procedure, that  is, to  plans and programmes  which  are adopted  or by public 
authorities  or  by  an  act  of  legislation.  During  consultations  with  Member  States  it 
became apparent that a small number of important plans and programmes are adopted by 
acts  of legislation.  For  those  plans  and  programmes  the  environmental  assessment  is 
completed  by the competent authority before any decision is taken. This means that the 
Proposal  does  not  interfere  in  the  legislative  procedure.  The  strategic  environmental 
assessment  presents  the  advantage  that  the  decision-making  body  is  better  informed 
before taking its decision. 

Environmental  benefits 

1.6  This Proposal will be an important step towards securing sustainable development across 
the Community. It will result in a better integration of environmental considerations into 
the formulation of plans and programmes. It will as such greatly contribute to the pursuit 
of the first three  objectives  of preserving,  protecting  and  improving the  quality  of the 
environment  as set out in Article  130r(l) of the Treaty (see paragraph 2.1 below). It is 
also clearly in accordance with the precautionary principle referred  to in Article 130r(2) 
of the  Treaty.  Environmental  assessment  at  the  plan  and  programme  level  means  that 
environmental targets will be defined  early in the process and assessed in an interactive 
and  comprehensive  manner  at  the  appropriate  level.  This  again  leads  to  a  clearer 
understanding  and the  effective  consideration  of environmental  effects  by the  planners 
and decision-makers. 

1.7  By the time that an application for development consent for a project is being considered 
by a competent  authority many important decisions will already have been taken which 
will partly determine the outcome of the development consent process. For example, the 
general location of a particular type of project  may be determined by the adoption  of a 
regional town and country planning plan. Environmental assessment at the project  stage 
comes  too  late  in  the  decision-making  process  to  cover  such  plan  level  decisions. 
Without the requirement for environmental assessment at the plan and programme stage 
in  the  development  consent  decision-making  process  such  decisions  will  be  taken 
their  environmental  consequences. 
without  a  comprehensive  consideration  of 

The Proposal  will  correct  this  situation  by  requiring  an  environmental  assessment  to 
be carried  out  before 
the  adoption  of  such  environmentally  significant  plans 
and programmes. 

1.8  One particular benefit  of bringing plans and programmes within the assessment system is 
that  it  will  allow  the  issue  of  alternatives  (such  as  the  choice  between  alternative 
locations  for  a  particular  type  of  project  or  the  choice  between  different  modes  of 
transport)  to  be  properly  assessed.  The  issue  of  alternatives  can  only  be  properly 
assessed at the plan and programme level. 

1.9  The environmental  assessment  of plans and programmes will also allow the cumulative 
and  synergistic  environmental  impacts  of  small but  numerous  projects  to  be  assessed. 
For example, the general location of new housing can be considered in the context of a 
regional  town  and  country  planning  plan  and  the  environmental  impact  of  different 
locations can be environmentally assessed and taken into account during the preparation 
of  the  plan.  This  type  of  environmental  impact  is  not  assessed  at  all  under  the 
EIA Directive. 

The Fifth Environmental Action Programme "Towards Sustainability" 

1.10  The Fifth  Action  Programme  requires  the  implementation  of  a  strategy  of  sustainable 
development.  There are a number of ways of promoting  sustainable development.  It is 
clear  that  one  way  is  to  promote  and  improve  environmental  assessment  procedures 
operating  at  the  strategic  level.  Under  the  heading  "sectoral  and  spatial  planning"  the 
Fifth  Action  Programme  provides  that  given  the  goal  of  achieving  sustainable 
development  it  seems  only  logical,  if  not  essential,  to  assess  the  environmental 
implications  of  all  relevant  policies,  plans  and  programmes.  The  current  Proposal  will 
help  to  fulfil  this  commitment  by  extending  environmental  assessment  beyond  the 
project level. 

Economic  benefits 

1.11  One  of  the  most  important  benefits  is  the  creation  of  a  more  efficient  planning 
framework  which will have  a positive and  stabilizing  effect  on  capital  investments  and 
development  because  main  stream  decisions  will  be  taken  at  an  early  stage  in  the 
process.  The  Fifth  Environmental  Action  Programme  states  that  "the  integration  of 
environmental  assessment  within  the  macro-planning  process  would  not  only  enhance 
the protection  of the environment  and encourage optimization  of resource  management 
but  would  also  help  to  reduce  those  disparities  in  the  international  and  inter-regional 
competition  for  new  development  projects  which  at  present  arise  from  disparities  in 
assessment  practices  in  the  Member  States".  Also  by  conducting  a  strategic 
environmental  assessment,  the  plan  making  process  becomes  more  transparent  and 
already at the planning level public support  can be obtained  for  the preferred  option  or 
strategy. Once properly completed, the SEA procedure will increase the acceptability of 
the  economic  activities  at  project  level. Finally  in  defining  clearly  about  the  conditions 
under which economic activities may be undertaken in the framework of the plan or the 
programme security will be increased and delays and additional costs at the project  level 
will be reduced. 

The Report on the implementation of the EIA Directive 

1.12  In  1993 the Commission submitted a report to Parliament  and the Council covering the 
application  and  effectiveness  of  the  EIA  Directive.  The  Report  showed  that 
Member States had made considerable progress in implementing the Directive and that 
there had  been  an  improvement  in the  information  made  available to  decision  makers 
during the project  level development  consent  procedure.  One of the conclusions of the 
Report  was,  however,  that  project  level  assessments  take  place  too  late  in  the 
decision-making process to address all of the significant issues: 

"It is clear  ... that  evaluation  of the environmental  impacts of certain  projects  is taking 
place too  late in the development  planning and  decision-making  process,  In effect  this 
has the result of removing from consideration the possible adoption of alternatives both 
to the individual project under consideration as well as to its particular location or route 
(in the case of linear developments). 

This is a limitation inherent in an instrument restricted to the evaluation of environmental 
impacts at the individual project  level since a number of important  policy decisions will 
have  been  taken  before  the  project  level  is  reached  which  then  limit  the  room  for 
manoeuvre at the detailed project level." 

1.13  In summary it was found  that  only limited provisions  exist  in most Member  States  for 
the  integration  of  an  environmental  assessment  process  into  the  decision-making 
procedures for plans and programmes. 

The present Proposal is intended to address this inherent limitation by supplementing the 
EIA Directive with  a Directive requiring the assessment  of town  and  country  planning 
plans and  programmes.  From  this perspective  the Proposal  can be  seen  as the  second 
phase in the process begun in 1985 with the adoption of the EIA Directive. 

Relationship between the EIA-Directive and the present Proposal 

1.14  The extension of the environmental assessment system to the plan and programme level 
of decision-making will produce a more efficient  assessment system. It will mean that the 
appropriate  type  of  assessment  will  be  required  at  the  appropriate  stage  in  the 
decision-making process. Under the SEA Proposal strategic issues will be assessed at the 
plan  and programme  level  leaving the  environmental  impact  assessment  at  the  project 
level to address specific issues inherent to the proposed project. This will result in a more 
streamlined assessment at the project level. By conducting a comprehensive assessment 
at  the  strategic  level,  parts  of  the  information  required  by  the  EIA  Directive  for  the 
environmental impact statement can be used or provided in less detail by referring to the 
assessment  already  completed  at  the  strategic  level.  In  terms  of  procedure,  the 
requirements  of the  existing  EIA  Directive  and  the  present  Proposal  are  very  similar. 
Member States will therefore be familiar with the procedural steps to be taken. This will 
ensure  timely  implementation  of  the  new  Directive  in  the  Member  States.  Finally,  a 
properly conducted  SEA will clarify the environmental conditions for projects  approval. 
The EIA procedure will therefore be easier and in some cases maybe even unnecessary. 
This will presumably be the case for the majority of projects, for which according to the 
modified  EIA Directive, the Member Stated have to undertake a screening examination 
before  deciding  to  submit  them  to  an  EIA  procedure.  However,  the  need  for  a 

comprehensive  environmental  assessment  at  the  project  level  will  remain  for  those 
projects for which an EIA is mandatory according to the modified EIA Directive. 

International and Community initiatives 

1.15  The  need  for  environmental  assessment  above  the  project  level  is  recognized  in  the 
Espoo  Convention  on  environmental  impact  assessment  in  a  transboundary  context, 
which  was  signed  in  Espoo,  Finland  on  25  February  1991  by  the  Community  and 
29 countries, including all Member  States. The Convention provides that, to the extent 
appropriate,  the  Parties  to  the  Convention  shall endeavour  to  apply  the  principles  of 
environmental impact assessment to policies, plans and programmes. 

1.16  At  Community  level  the  need  for  the  environmental  assessment  of  plans  and 
programmes has been recognized  in Council Directive 92/43/EEC on the  conservation 
of natural  habitats and  of wild fauna  and flora. Article 6(3)  of that Directive  provides 
that  any  plan  or  project  likely  to  have  a  significant  effect  on  a  special  area  of 
conservation  designated  under  the  Directive  shall  be  subject  to  an  appropriate 
assessment. This recognizes the importance of ensuring that the conservation  objectives 
of the  designated  areas  are properly  considered  at  both  the  plan  level  and the  project 
level.  The  need  to  consider  environmental  objectives  at  all  levels  of  decision  taking 
applies equally to situations which do not involve special areas of conservation. 

Member State initiatives 

1.17  A study prepared for the Commission on plan and programme assessment legislation and 
procedures  within  the  Community  (March  1995)  found  that  there  had  been  some 
significant  developments  within  Member  States  in  this  area  since  1988  and  that  all 
Member  States  have  some  experience  of  carrying  out  such  assessments.  The  study, 
however,  identified  two  main  deficiencies  in  the  existing  systems  operating  within 
the Community: 

(1) 

(2) 

although  Member  States  have  some  provisions  for  assessing  the  likely 
environmental  consequences  of  implementing  plans  and  programmes  which  are 
adopted  for  development  consent  purposes,  the  coverage  of  such  plans  and 
programmes is not complete; 

even where some form of environmental assessment system is in place it does not 
always comply  with the  basic requirements  for  such  a  system, for  example,  the 
information supplied for the assessment does not always cover all of the significant 
environmental  impacts  and  there  may  be  no  formal  requirement  to  consult 
the public. 

The  existing  systems  operating  within the  Community  are  therefore  deficient,  both  in 
terms  of  their  coverage  of  plans  and  programmes  and  in  terms  of  their  procedural 
requirements. The large majority  of the Member States do not have legislation on SEA. 
Only  three  Member  States  have  such  a  legislation  that  broadly  fulfils  the  minimum 
requirements of the Proposal. Two Member  States have such a legislation for  some of 
their regions that  broadly fulfils  the minimum requirements of the Directive. None of 
the  existing  town  and  country  planning  planning  systems  in the  other  Member  States 

covers all of the minimum requirements for  a SEA-Directive-like assessment.  It  should 
ïember  States  have  in  place  procedures  for 
be  noted,  however,  that  the  majority  of 
consultation  of  both  the  public  concerned  and  the  environmental  authorities  in  the 
preparation of town and country planning planning programmes. 

Existing methodology 

1.18  In investigating the availability of methodologies for assessing the environmnental impact 
of plans and programmes the Commission has carried out reviews of existing practice in 
this  area  (e.g.  SEA  Existing  Methodology,  1994,  SEA  Case-studies,  1996).  The 
conclusions  of  these  studies,  also  supported  by  other  recent  publications  (e.g.  SEA: 
Status,  Challenges  and  Future  Directions,  Dutch  Ministry  of  Environment  1996, 
The Practice  of  Strategic Environmental Assessment,  Therivel  and  Partidario  1996) 
reveal that a range of methods and techniques are already applied for the environmental 
assessment of plans and programmes. These methods are usually based on those used in 
the environmental assessment of projects or in policy appraisal and planning. 

Thus  simple  methods  (such  as  maps,  checklists,  matrices)  have  often  proved  to 
be succesfiil,  while  more  complex  techniques  (such  as  multi-criteria  analysis, 
Geographical Information  Systems) have also been reported  and are increasingly used. 
In  any  case  the  selection  of  appropriate  methods  depends  on  factors  such  as  the 
objectives  and  scale  of  the  action,  time  and  budget  constraints,  or  the  availability  of 
environmental data. 

Therefore  the  availability  of  tools  would  be  no  obstacle  for  the  performance 
of environmental  assessments  at  plan  or  programme  level.  These tools  are  developing 
the 
rapidly  and 
Directive 85/337/EEC  on  the  environmental  assessment  of  projects  did,  stimulate 
research and exchange of experiences in this area and lead to the development  of more 
sophisticated methodologies. 

that  a  Community-wide  Directive  will,  as 

is  clear 

it 

Costs 

1.19  The  costs  of  carrying  out  an  environmental  assessment  of  a  plan  or  programme  are 
generally borne by the public authority concerned. The Commission arranged for a study 
on  such  costs  to  be  prepared.  The  study  covered  the  direct  financial  costs  of  an 
assessment (for example, the fees paid to consultants) and the costs associated with the 
use of staff resources. The cases covered by the study revealed a relatively wide range of 
costs.  The general conclusion, however, was that the increase in costs associated  with 
this type of assessment is marginal compared with the scale of investment required in the 
overall  development  of  the  plan  or  programme  being  assessed.  The  environmental 
benefits of such assessments, as described above,  should certainly outweigh these costs. 

2. 

NEED FOR ACTION AT COMMUNITY LEVEL 

How are the objectives of the Proposal  related to the Community's obligations? 

2.1  Article  130r(l)  of  the  Treaty  requires  Community  policy  on  the  environment  to 
contribute  to  the  objectives  of preserving,  protecting  and  improving the quality  of the 
environment, protecting human health and the prudent and rational utilization of natural 

resources.  A  comprehensive  environmental  assessment  system,  which  requires 
assessments to be carried out at the plan and programme level as well as at the project 
level,  will  make  an  important  contribution  towards  these  objectives  by  integrating 
environmental considerations into the relevant decision-making processes. 

Is  the Proposal  within  an  area  of  exclusive  Community  competence  or  is  competence 
shared with  Member States? 

2.2  The Proposal is not within an area of  exclusive Community competence. 

What  is  the  Community  dimension  of  the  problem?  What  solution  has  been  in  force 
until now? 

2.3  Council Directive 85/337/EEC  introduced a system of environmental assessment at the 
project  level into the Community. Experience has shown that there is a major  problem 
with this system, namely that it only requires an assessment to take place at the end of 
the  decision  taking  process.  This  means  that  the  environmental  assessment  system 
established by Community law is incomplete. It needs to be completed by the addition of 
an environmental assessment requirement at the plan and programme level. 

2.4  The  lack  of  an  effective  and  comprehensive  environmental  assessment  system  at  the 
plan and programme level of assessment affects  all Member States. It leads to a general 
failure  within  the  Community  to  integrate  fully  and  completely  environmental 
considerations into the development consent decision-making process. 

2.5  There is, in addition, a particular Community problem when the implementation of a plan 
or programme in one Member State will have a significant  effect  on the environment of 
another  Member  State.  It  is  important  in  such  cases  that  there  is  an  effective 
environmental  assessment  within the plan or programme making Member  State  before 
the  plan  or  programme  is  adopted  and  that  there  are  also  proper  transboundary 
consultations.  Such  consultations  are  required  to  ensure  that  all  of  the  significant 
environmental  effects  of implementing the plan or  programme  are taken  into  account, 
not  just  those  that  relate  to  the  territory  of the  Member  State  in  which  the  plan  or 
there  is  an  effective 
programme  is  being  prepared.  The  Proposal  will  ensure  that 
environmental  assessment  of such plans and programmes, including the carrying out  of 
transboundary consultations. 

2.6  Member  States  are  seeking  to  address these  common  problems  by  introducing  some 
elements of environmental assessment into some of their procedures for  adopting plans 
and  programmes.  This  is  encouraging  because  it  means  that  all  Member  States  have 
some experience and understanding of this level of environmental assessment. However, 
a  study  prepared  for  the  Commission  (referred  to  in  1.17  above)  identified  two  main 
deficiencies  in  the  existing  systems  operating  in  the  Community.  First,  there  is  an 
incomplete  coverage  of  the  main  plans  and  programmes.  Secondly,  the  procedural 
requirements  of the assessment  systems which do  exist  do  not  always satisfy  the basic 
requirements for any environmental assessment system. 

What  is  the  most  effective  solution,  comparing  the  means  of  Member  States  and 
the Community? 

2.7  Community  action  is required  to  address  the  two  deficiencies  referred  to  above.  The 
Proposal  will,  in  particular,  ensure  that  the  assessment  system  in  each  Member  State 
covers the  core  development  consent  plans  and  programmes  and  that  the  assessment 
procedure  is  satisfactory.  This  will  ensure  that  a  minimum  level  of  environmental 
integration  is  established  in  the  development  consent  decision-making  process  in  all 
Member  States. By  setting up  a basic framework  procedure,  a minimum  Community 
wide system is established for the environmental  assessment  of plans and programmes. 
The Community fulfils  its obligations under the Treaty but does not go beyond what is 
necessary  in  order  to  fulfil  those  obligations.  The  subsidiarity  principle  is  met,  the 
requirements  of the Directive  are sufficiently flexible to  allow Member  States to  work 
out  the  detailed  arrangements  for  implementing  the  Directive.  The  Directive  leaves 
enough room for Member States either by integrating the minimum requirements of the 
Directive into existing national procedures or by establishing new procedures to comply 
with the Directive. 

What would be the cost of inaction by the Community? 

2.8 

If  the  Community  does  not  take  any  action  the  environmental  assessment  system 
established under Community law will remain incomplete. The two deficiencies  identified 
above will continue.  This will mean that  a comprehensive  integration  of environmental 
considerations into the town and country planning plans and programmes adopted within 
the Community for  the  purpose  of  influencing  development  consent  decisions  will  not 
occur.  Plans  and  programmes  will  be  adopted  which  have  unforseen  adverse 
environmental  consequences.  Considering  the  very  real  environmental  benefits  of  the 
Proposal,  inaction  would  make  it  difficult  to  achieve  the  objectives  referred  to  in 
Article 130r(l) of the Treaty of preserving, protecting  and improving the quality of the 
environment,  protecting  human  health  and  the  prudent  and  rational  utilization  of 
natural resources. 

What  action  is  available  to  the  Community  (recommendation,  financial  support, 
legislation, etc)? 

2.9  A  new  Directive  is  required  to  establish  a  Community  level  framework  for  the 
environmental  assessment  of  town  and  country  planning  plans  and  programmes,  thus 
extending  the  assessment  system  introduced  by  Council  Directive  85/337/EEC.  A 
non-binding  recommendation  would  not  be  sufficient 
identified 
deficiencies. The correction of these deficiencies will only be achieved by setting out at a 
Community level clearly enforceable obligations. This will ensure that all Member States 
adequately  assess  the  plans  and  programmes  identified  in  the  Proposal.  It  will,  in 
particular, ensure that there is a proper framework for the carrying out of transboundary 
consultations  when  a town  and  country  planning  plan  or  programme  in  one  Member 
State is likely to have a significant  environmental  effect  on the  environment  of another 
Member State. 

to  correct  the 

10 

Is uniform  regulation  necessary  or is a Directive  setting  out the general  objectives  and 
leaving the detailed execution to Member States enough? 

2.10  The Proposal  is for  a framework Directive which  sets  out  the  basic  requirements  for 
carrying  out  an environmental  assessment  at  the town  and  country  planning  plan  and 
programme  level  but  leaves  Member  States  free  to  decide  how  to  implement  these 
requirements into their national systems. The procedure for preparing and adopting plans 
and  programmes  varies  in  each  Member  State  and  the  detailed  arrangements  for 
implementing  the  Directive  which  may  be  appropriate  in  one  Member  State  may  be 
inappropriate in other Member  States. Member  States should therefore be left to work 
out the detailed arrangements for implementing the Directive. In particular, it should be 
left to Member States to decide whether to integrate the new requirements into existing 
procedures  or whether it would  be more efficient  to  create new procedures.  This may 
vary  between  Member  States  and  between  sectors.  This  framework  approach  was 
adopted for  similar reasons for the EIA Directive and has proven to be the appropriate 
approach in that context. 

3. 

CONSULTATIONS 

3.1  The first draft  of the Proposal was discussed with Member  States on 28 April  1995. A 
further  meeting  was  held  with  Member  States  on  the  24  July  1995.  These  meetings 
helped  to  identify  the  type  of  plans  and  programmes  which  are  adopted  in 
Member States.  This  information  was  extremely  helpful  in  defining  the  scope  of  the 
Proposal and  particularly in drafting the definition of "plan or programme" in Article 2. 

3.2  The  Commission  has  also  consulted 

representatives  of  regional  authorities, 
environmental  non-government  organizations  and  certain  social  and  economic 
organizations. Most of the consultées welcomed the Proposal although some considered 
that the scope of the Proposal should be wider (so that, for  example, it covered general 
policies as well as plans and programmes). The justification for the scope of the Proposal 
is set out at paragraphs 1.2 to 1.5 above. 

3.3  One  consultée was  concerned  that  the Proposal  would  increase  the  costs  involved  in 
preparing and adopting plans and programmes and lead to delays. Costs are considered 
at paragraph  1.19 above. The Commission considers that the procedural steps set out in 
the  Proposal  are  the  minimum  steps  that  must  be  followed  in  any  environmental 
assessment  system. It considers that if the system is efficiently  transposed  it should  not 
lead  to  unnecessary  or  unacceptable  delays  in  the  preparation  and  adoption  of  plans 
and programmes. 

4. 

LEGAL BASE 

4.1  The  present  Proposal,  based  on  the  precautionary  principle,  is  intended  to  further 
the objectives  defined 
the 
in  Article  130r(l)  of 
European Community,  namely  the  preservation,  protection  and  improvement  of  the 
quality of the environment, the protection of human health and the prudent and rational 
utilization of natural resources. 

the  Treaty  establishing 

In this perspective, the Proposal  sets out  an environmental  assessment  procedure to be 
followed before a decision is taken in relation to plans and programmes likely to have an 
environmental impact in the framework of town and country planning planning. 

11 

4.2  The main objective of the Proposal is to ensure that during an administrative procedure 
and before  adopting the final decision, the competent  authority examines and takes into 
consideration the impact that the final decision is likely to have on the environment.  In 
that  respect  the  statement  on the  state of the environment  prepared  by the  competent 
authority as well as the consultation  of the environmental  authorities and of the public 
concerned constitute supports to the decision making. Basically, therefore,  it is only the 
protection of certain environmental interests - by means of the awareness raising of the 
authorities having a decisional power - which is directly aimed by this proposal. 

It must be also underlined that this Proposal is of a procedural nature. This means that it 
provides  for  assessment  and  consultations  during  the  preparatory  procedure  and  the 
taking into consideration of the results of this assessment  and consultations in the  final 
decision,  in view  of the  protection  of the  environment,  without  therefore  alloting  any 
binding effect to these results in relation to the decision making, the assessment power as 
well as the final decision remaining entirely within the only competence of the competent 
authorities.  The  possible  effects  of the  measures  provided  for  by the Proposal  on  the 
town and country planning planning as such can therefore be considered only as indirect. 

4.3  Within this perspective, it appears that the legal base for the Proposal is Article  130s(l) 

of the Treaty. 

5. 

EXPLANATION OF THE PROVISIONS  OF  THE PROPOSAL 

5.1  Article  1  sets out the objective of the Proposal, which is a high level of protection of the 
environment by ensuring that an environmental assessment is carried out and the results 
taken  into  account  during  the  preparation  and  adoption  of  certain  environmentally 
significant plans and programmes. 

5.2  Article  2  defines  certain  expressions  which  are  used  in  the  Proposal.  Of  particular 
importance is the definition of the terms "plan" and "programme". The definition of these 
terms determines the  scope of the Proposal.  It  should be noted  that the Proposal  only 
applies  to  formal  plans  and  programmes,  that  is,  those  subject  to  adoption  by  a 
competent  authority or those adopted by an act of legislation for the purpose of setting 
the  framework  for  subsequent  development  consent  decisions.  This  Article  refers  to 
general  town  and  country  planning  plans  and  programmes  as  well  as  to  town  and 
country  planning  plans  and  programmes  in  sectors  such  as  transport,  energy,  waste 
management,  water  resource  management,  industry,  telecommunication  and  tourism. 
This Directive will apply, for example, to a town and country planning plan in the sector 
waste management dealing with the need for  and  siting of waste treatment  installations 
and telecommunications plans and programmes containing provisions on the nature, size 
or  operating  conditions  of  telecommunication  installations  such  as  base  stations  for 
mobile telephones and broadcasting installations. 

Furthermore,  the  "competent  authority"  and  "development  consent"  are defined  in the 
same way as in EIA Directive 85/337/EEC. These terms are already well known  in the 
Member  States  which  will  facilitate  the  implementation.  Finally,  in  this  Article 
"environmental assessment" is defined. 

5.3  Article  3  sets  out  certain  procedural  requirements  for  the  implementation  of 

the Directive. 

12 

5.4  Article 4: Paragraph  1 provides that  an  environmental  assessment  must  be  carried  out 
before the adoption of such a plan or programme by a competent authority or before the 
submission to the legislative procedure of a plan or programme referred to in Article 2. 

Paragraph 2 foresees that the disposition of the present Directive do apply only to plans 
and programmes the first formal  preparation act  of which is posterior the  transposition 
period referred to in Article 12(1). 

Paragraph 3 refers to a screening provision for minor modifications of existing plans and 
programmes which do not in every case have significant  environmental effects.  In such 
cases  the  Member  States  have  the  option  of  screening  such  modifications  of  plans 
and programmes 
they  have  significant  negative 
identify  whether 
environmental  effects. 

in  order 

to 

Paragraph  4  refers  to  a  screening  provision  for  plans  and  programmes  at. local  level 
which determine the particular use of small areas.  Such a plan or programme  could be 
for  example  a  building  plan  outlining  details  on  how  buildings  may  be  constructed, 
determining  the heigth  or  width  of buildings. As  such plans or  programmes  do  not  in 
every case have significant  negative environmental  effects,  the Member  States have the 
option of screening such plans and programmes. 

5.5  Article  5  and  Annex  describe  the  information  that  has  to  be  provided  where  an 
assessment is required. The competent authority (that is, the competent  authority which 
is responsible for  adopting the plan or programme or the authority which is responsible 
for  submission to the legislative procedure) has to provide the information  listed  in the 
Annex  in  such  detail  as  may  reasonably  be  required  for  the  purpose  of  assessing  the 
environmental effects of implementing the plan or programme. Article 5 takes account of 
the possible hierarchy of plans and programmes by recognizing that the information  that 
can reasonably be required will vary according to the level of detail contained in the plan 
or programme and the extent to which certain matters are more appropriately assessed in 
detail  at  different  levels  in the  decision-making  process.  The  competent  authority  will 
have  to  scope  the  environmental  statement.  It  will,  for  example,  have  to  identify  the 
likely  significant  environmental  effects  of  implementing  the  plan  or  programme  and 
decide on the level of detail to be used in the environmental statement to describe those 
effects.  In making this scoping decision the competent authority will have to consult the 
relevant  environmental  authorities  and/or  bodies  concerned.  This  will  introduce  a 
necessary degree of independence into the scoping process. 

5.6  Article  6  provides  that  the  relevant  environmental  authorities  and/or  bodies  and  the 
public  concerned  are  to  be  given  an  opportunity  to  comment  on  the  information 
provided under  Article 5 and  on the plan or programme  concerned.  Consultation  is an 
essential  part  of any environmental  assessment  procedure. Regarding the definitions  of 
the  "environmental  authorities  concerned"  and  the  "public  concerned"  those  terms  are 
also used in EIA Directive 85/337/EEC  and are applied by the Member  States without 
difficulties  and have therefore  been used for the current Proposal. As the administrative 
systems in the Member States vary considerably, it is left to the Member States to define, 
according  to  their  national  administrative  systems,  the  respective  environmental 
authorities  and/or  bodies  and  the  public  concerned  and  to  arrange  for  the  detailed 
arrangements for such consultations. 

13 

5.7  Article  7  applies where the  implementation  of  a  plan  or  programme  being  prepared  in 
one  Member  State  is  likely  to  have  a  significant  effect  on  the  environment  in  another 
Member  State.  In  such  circumstances  the  Article  requires  the  two  Member  States  to 
enter into consultations if the Member  State whose  environment  is likely to  be  affected 
so requests. 

5.8  Article  8  requires the  competent  authority to  take  into  consideration  the  results  of  the 
assessment process before the adoption or submission to the legislative procedure of the 
plan  or  programme  concerned.  Environmental  assessment  is  intended  to  ensure  that 
decision  makers take  into  account  the  relevant  environmental  considerations.  In  some 
cases this will lead a decision maker to modify  its proposal.  The final decision,  however, 
remains with the decision maker. 

5.9  Article 9 ensures that the relevant environmental authorities and/or bodies and the public 
concerned  are informed  of the adoption  or  submission to the legislative  procedure  of a 
plan and programme and of how the results of the environmental  assessment have been 
taken into account.  This is important because it ensures that decisions can be  scrutinized 
by those concerned. 

5.10  Article  10  concerns  the  relation  between  the  Proposal  and  other  instruments  of 
Community  law.  It  makes  it  clear  that  Member  States  can  not  dispense  with  an 
assessment  at the project  level under Directive  85/337/EEC just because  an  assessment 
has been carried out at the plan or programme level. This is consistent with the intention 
that the  appropriate  type  of  assessment  should  be  carried  out  at the  appropriate  level. 
This will  not  lead to  an unnecessary  duplication  of  assessments.  Proper  scoping  under 
Article 5 should ensure that an environmental  statement  at the plan or programme  level 
only  contains  the  information  that  is  required  in  order  to  consider  the  environmental 
consequences  of  implementing  the  plan  or  programme  concerned.  Developers  at  the 
project level will be able to concentrate their resources on supplying information which is 
relevant to the specific details of the proposed project. Article  10 also excludes from the 
Directive  management  plans  for  special  areas  of  conservation  under  the  Habitats 
Directive  (Directive  92/43/EEC),  which  contain  conservation  measures  designed  to 
protect the areas concerned. 

Paragraph 3  makes clear that nobody has a right to  legally challenge  decisions  made in 
the  legislative  procedure.  The  proposed  Directive  is  not  intended  to  interfere  with 
legislative procedures used to adopt plans or programmes. Therefore, the Proposal limits 
itself  to  the  pre-legislative  phase,  which  ends  when  a  draft  plan  or  programme  is 
submitted  to  a  legislative  body.  The  purpose  of  this  paragraph  is  to  ensure  that  any 
dissatisfaction with an SEA in the pre-legislative phase will not result in the  subsequent 
legislative procedure being open to legal challenge. 

5.11  Article  11 requires Member  States and the Commission to  exchange information  on the 
application  of the Directive.  It  also  requires the  Commission  to  send  to  the  Parliament 
and the Council a report on the application and effectiveness  of the Directive. The report 
is to be sent seven years after the entry into force of the Directive and the Commission is 
required to  follow  up the report with a proposal  to  amend the Directive  if that  appears 
from the report to be desirable. 

14 

5.12  Article  12 contains the commencement  provisions  of the Directive.  It  also  contains a 
provision for the Member States to communicate to the Commission a list of the types 
of  plans  and  programmes  which  they  will  submit  to  an  environmental  assessment 
according to this Directive. 

5.13  Article  13  provides  that  the  Directive  comes  into  force  on  the  20th  day  following 
its official  publication  and  Article  14  provides  that  the  Directive  is  addressed  to 
Member States. 

15 

Proposal for a 
COUNCIL  DIRECTIVE 
on  the  assessment of the effects  of certain plans and programmes 
on the environment 

THE COUNCIL OF THE EUROPEAN UNION, 

Having  regard  to  the  Treaty  establishing  the  European  Community,  and  in  particular 
Article 130s (1) thereof; 

Having regard to the proposal from the Commission1, 

Having regard to the opinion of the Economic and Social Committee2, 

Having regard to the opinion of the Committee of the Regions3, 

Acting  in  accordance  with  the  procedure  laid  down  in  Article  189c  of  the  Treaty  in 
cooperation with the European Parliament4, 

Whereas Article  130r of the Treaty provides that Community policy on the environment is to 
contribute to the preservation, protection and improvement of the quality of the environment, 
the protection of human health and the prudent and rational utilization of natural resources and 
that it should be based on the precautionary principle; whereas that necessitates, inter alia, the 
proper integration of environmental  considerations into the plans and programmes which are 
adopted  within  Member  States  as  part  of  the  town  and  country  planning  decision-making 
process for the purpose  of establishing the framework for  subsequent  development  consents 
(in particular those to which Council Directive 85/337/EEC of Ï1  June 1985 on the assessment 
of the effects of certain public and private projects on the environment5 applies); 

Whereas  this  Directive  aims  at  a  high  level  of  protection  of  the  environment  through  the 
attainment of the objectives provided for in Article 130r(l) of the Treaty and is of a procedural 
nature,  setting out  an environmental  assessment  procedure to  be followed  by the  competent 
authority before the final decision is taken in relation to plans and programmes likely to have an 
environmental impact; 

Whereas  environmental  assessment  is  an  important  tool  in  integrating  environmental 
considerations into such plans and programmes because it ensures that the relevant  authorities 
take account of the likely environmental effects  of implementing plans and programmes prior 
to their adoption; 

1 
2 
3 
4 

5 

OJNoC 
OJNoC 
OJNoC 
Opinion of the European Parliament of +++ (OJ No C+++), common position of the Council of +++ and 
Decision of the European Parliament of +++ 
OJNoL  175, 5.7.1985, p. 40. 

16 

Whereas  the  European  Community  programme  of  policy  and  action  in  relation  to  the 
Environment  and  Sustainable  Development6  affirms  the  importance  of  assessing  the  likely 
environmental effects of plans and programmes; 

Whereas the different  environmental  assessment  systems operating within Member  States are 
deficient because they do not cover all of the core plans and programmes which establish the 
framework for  subsequent  development  consent  decisions  and  because  they  do  not  always 
contain the minimum procedural requirements necessary to ensure a high level of protection of 
the environment; 

Whereas,  in  particular,  the  systems  operating  within  the  Community  for  environmental 
assessment  of  plans  and  programmes  do  not  ensure  that  there  are  adequate  transboundary 
consultations  where  the  implementation  of  a  plan  or  programme  being  prepared  in  one 
Member  State  is  likely  to  have  a  significant  effect  on  the  environment  of  another 
Member State; 

Whereas action is therefore  required at Community level to establish a general environmental 
assessment  framework  which  will  remedy  these  deficiencies  and  thereby  contribute  to  the 
pursuit of the environmental objectives set out in the Treaty; 

Whereas,  having  regard  to  the  principle  of  subsidiarity  and  in  order  to  ensure  the  requisite 
uniformity and transparency, it is appropriate that this Directive sets out the broad principles of 
the environmental assessment system, leaving the procedural details to the Member States; 

Whereas the plans and programmes which  should be assessed  under this Directive  are those 
plans  and  programmes  which  are  adopted  as  part  of  the  town  and  country  planning 
decision-making  process  for  the  purpose  of  establishing  the  framework  for  subsequent 
development consents, including strategic plans and programmes adopted in the energy, waste, 
water,  industry  (including  mineral  extraction),  telecommunication  and  tourism  sectors,  and 
certain transport infrastructure plans arid programmes; 

Whereas  such  plans  and  programmes  are  adopted  under  two  types  of  procedure  and  this 
Directive should  apply to  plans and  programmes  adopted  under both  procedures,  namely to 
plans and programmes adopted by competent authorities, in which case the assessment should 
be carried out before the relevant  competent  authority adopts the plan or programme,  and to 
plans and programmes which are subject to adoption by an act of legislation, in which case the 
assessment  should  be  carried  out  before  the  plan  or  programme  is  submitted  to  the 
legislative procedure; 

Whereas, where  an  assessment  is required  by this Directive,  it  should  be  carried  out  on  the 
basis of an environmental statement containing the information  required, taking account of the 
stage of the plan or programme in the decision-making process to assess the likely  significant 
environmental effects of implementing the plan or programme; 

6 

OJ No C 138,17. 5. 1993, p. 1. 

17 

Whereas  in  order  to  ensure  that  the  decision-making  process  is  transparent  and  that  the 
information  supplied  for  the  assessment  is  comprehensive  and  reliable,  it  is  necessary  to 
provide  that  authorities  and/or  bodies  with  relevant  environmental  responsibilities  and  the 
public are to be  consulted during the assessment of plans and programmes; 

Whereas, where the implementation of a plan or programme prepared in one Member State is 
likely to have a significant effect  on the environment of other Member States, provision should 
be made for the Member States concerned to enter into consultations; 

Whereas the results of the assessment should be taken into account by the competent authority 
before  it  adopts  the  plan  or  programme  or  submits  it  to  the  legislative  procedure,  on  the 
understanding  that  the  power  of  assessment  and  final  decision  remain  within  the  sole 
competence of this authority; 

Whereas the  application  and  effectiveness  of  this Directive  should  be  reviewed  seven  years 
after its entry into force, 

HAS ADOPTED THIS DIRECTIVE: 

Article  1 

The objective of this Directive is to provide for a high level of protection of the environment by 
ensuring that an environmental assessment is carried out of certain plans and programmes and 
that the results of the assessment are taken into account during the preparation and adoption of 
such plans and programmes. 

Article 2 

For the purposes of this Directive: 

(a) 

"plan" and "programme" 

(i)  refer only to town and country planning plans and programmes 

which  are  subject  to  preparation  and  adoption  by  a  competent  authority 
or which  are prepared  by a competent  authority  for  adoption  by  a  legislative 
act, and 

which are part  of the town and country planning decision-making process  for 
the  purpose  of  establishing  the  framework  for  subsequent  development 
consents and 

which contain provisions on the nature,  size, location or operatiing conditions 
of projects. 

(ii)  include modifications of existing plans and programmes as described in point (i); 

18 

This  definition  includes  town  and  country  planning  plans  and  programmes  in  sectors 
such  as  transport  (including  transport  corridors,  port  facilities  and  airports),  energy, 
waste  management,  water  resource  management,  industry  (including  extraction  of 
mineral resources),  telecommunications and tourism. 

"competent  authority"  means  the  authority  which  the  Member  States  designate  as 
responsible for performing the duties arising from this Directive; 

"development consent" means the decision of the competent authority which entitles the 
developer to proceed with a project; 

(b) 

(c) 

(d) 

"project" means: 

the execution of construction works or of other installations or schemes, 

other  interventions  in  the  natural  surroundings  and  landscape  including  those 
involving the extraction of mineral resources; 

(e) 

"environmental  assessment"  means the preparation  of  an  environmental  statement,  the 
carrying out of consultations and the taking into account of the environmental statement 
and the results of the consultations in accordance with Articles 5 to 8. 

Article 3 

The  requirements  of  this  Directive  shall  either  be  integrated  into  existing  procedures  in 
Member  States  for  the  adoption  or  submission  to  the  legislative  procedure  of  plans  and 
programmes or incorporated in procedures established to comply with this Directive. 

Article 4 

1.  An environmental  assessment,  in accordance with Articles  5 to  8,  shall be  carried  out 
before  the  adoption  or  the  submission  to  the  legislative  procedure  by  the  competent 
authority of a plan or programme. 

2. 

The obligation referred  to in paragraph  1 shall apply only to the plans and  programmes 
of  which  the  first  formal  preparatory  act  is  subsequent  to  the  date  referred  to  in 
Article 12(1). 

3.  Minor  modifications  of  existing  plans and  programmes  shall require  an  environmental 
assessment only where the Member States consider that such modifications  are likely to 
have significant negative environmental effects. 

4. 

Plans or programmes which determine the particular use of small areas at local level shall 
require an environmental assessment  only where the Member  States consider that they 
are likely to have significant negative environmental  effects. 

Article 5 

1.  Where an environmental assessment is required under Article 4, the competent authority 
shall prepare an environmental statement containing the types of information  referred  to 
in the Annex. 

19 

2. 

3. 

4. 

1. 

2. 

The  information  included  in  the  environmental  statement  prepared  pursuant  to 
paragraph  1  shall  be  in  such  detail  as  may  reasonably  be  required  for  the  purpose  of 
assessing  the  significant  direct  and  indirect  effects  of  implementing  the  plan  or 
programme  on human beings, fauna, flora, soil, water,  air, climate,  landscape,  material 
assets  and  the  cultural  heritage,  taking  into  account  the  level  of  detail  in  the  plan  or 
programme,  its  stage  in  the  decision-making  process  and  the  extent  to  which  certain 
matters can be more appropriately assessed at different levels in that process. 

The  competent  authority  shall  consult  the  environmental  authorities  and/or  bodies 
concerned as referred to in Article 6(3) when deciding on the scope and level of detail  of 
the information which must be included in the environmental statement. 

The  environmental  statement  shall include  a non-technical  summary  of the  information 
contained in it. 

Article  6 

A  copy of the draft  plan or programme and of the environmental  statement prepared in 
accordance with Article 5 shall be made available to the environmental authorities and/or 
bodies concerned and the public concerned. 

The environmental authorities and/or bodies concerned and the public concerned shall be 
given  an opportunity  to  express their opinion  on  the  draft  plan or  programme  and  the 
accompanying  environmental  statement  before  the  adoption  or  submission  to  the 
legislative procedure of the plan or programme. 

3.  Member  States  shall  designate  the  authorities  and/or bodies to  be  consulted  which,  by 
reason of their  specific  environmental  responsibilities,  are likely to be concerned by  the 
environmental effects of implementing plans and programmes. 

4.  Member States shall designate the public to be consulted taking into account the stage of 

the plan or programme in the decision-making process. 

5. 

The  detailed  arrangements  for  the  information  and  consultation  of  the  environmental 
authorities and/or bodies concerned and the public concerned  shall be determined by the 
Member States. 

Article  7 

1.  Where a Member State considers that the implementation of a plan or programme being 
prepared in relation to its territory is likely to have significant  effects  on the environment 
in another Member  State, or where a Member  State likely to be significantly  affected  so 
requests, the Member State in whose territory the plan or programme is being prepared 
shall,  before  the adoption of the plan or programme  or its  submission to  the  legislative 
procedure by a competent authority, forward a copy of the draft plan or programme and 
the relevant environmental statement to the other Member State. 

2.  Where  a  Member  State  is  sent  a  copy  of  a  draft  plan  or  programme  and  an 
environmental  statement under paragraph  1, it shall indicate to  the other Member  State 
whether it wishes to  enter into consultations prior to  the  adoption  or  submission  to  the 
legislative procedure of the plan or programme and, if it so indicates, the Member  States 

20 

concerned  shall  enter 
transboundary 
environmental  effects  of  implementing  the  plan  or  programme  and  the  measures 
envisaged to reduce or eliminate such effects. 

into  consultations  concerning 

likely 

the 

3.  Where Member  States are required  under this Article to  enter into  consultations,  they 
shall agree,  at the commencement  of such consultations,  on a reasonable timetable  for 
the duration of the consultations. 

Article 8 

The  competent  authority  responsible  for  the  adoption  or  submission  to  the  legislative 
procedure  of the  plan  or  programme  concerned  shall take  into  consideration,  prior  to  such 
adoption  or  submission,  the  environmental  statement  prepared  pursuant  to  Article  5,  any 
opinions expressed pursuant to Article 6 and the results of consultations entered into pursuant 
to Article 7. The competent  authority may, in particular, make such alterations to the plan or 
programme  as it  considers appropriate  on the basis of the  environmental  statement  and  any 
such opinions and consultations. 

Article 9 

1.  When  a  plan  or  programme  is  adopted,  the  competent  authority  shall  inform  the 
environmental  authorities  and/or  bodies  concerned,  the  public  concerned  and  any 
Member State consulted under Article 7 and shall make available to those so informed: 

(a) 

a copy of the plan or programme as adopted, and , 

(b) 

a statement  of how the environmental  statement  prepared  pursuant  to  Article 5, 
any  opinions  expressed  pursuant  to  Article  6  and  the  results  of  consultations 
entered into pursuant to Article 7 have been taken into account in accordance with 
Article 8. 

2. 

The detailed arrangements concerning the information referred to in paragraph  1  shall be 
determined by the Member States. 

Article 10 

1.  An  environmental  assessment  carried  out  under  this  Directive  is without  prejudice  to 
to  any  other  Community 

any requirements  under  Directive  85/337/EEC  and 
law requirements. 

2. 

This Directive shall not apply to management plans specifically designed for special areas 
of conservation and adopted pursuant to Article 6(1) of Council Directive 92/43/EEC7. 

3.  No provision of this Directive shall give rise to a right to seek a judicial review in respect 

of a legislative act by which a plan or programme has been adopted. 

OJNoL206,  22.7.1992, p. 7. 

21 

Article  11 

1. 

2. 

The Member  States and the Commission  shall exchange information  on the  experience 
gained in applying this Directive. 

Seven years  after  the  entry  into  force  of this Directive,  the  Commission  shall  send  a 
report on the application  and effectiveness  of the Directive to the European Parliament 
and to the Council. 

3.  Where appropriate, in the light of the report referred to in paragraph 2, the Commission 

may submit to the Council a proposal containing amendments to this Directive. 

Article 12 

1.  Member  States  shall  take  the  necessary  legislative,  regulatory  and  administrative 
provisions  to  comply  with  this  Directive  no  later  than  31  December  1999. 
Member States shall forthwith inform the Commission of the measures taken. 

When  Member  States  adopt  these  provisions,  these  shall  contain  a  reference  to  this 
Directive  or  shall  be  accompanied  by  such  reference  at  the  time  of  their  official 
publication. The procedure for such reference shall be adopted by Member States. 

2.  Member  States  shall  communicate  to  the  Commission  the  types  of  plans  and 
programmes  which  they  will  submit  to  an  environmental  assessment  pursuant  to 
this Directive. 

Article 13 

This Directive shall enter into force on the twentieth day following that of its publication in the 
Official Journal of the European Communities. 

This Directive is addressed to the Member States. 

Article 14 

Done at Brussels, 

For the Council 
The President 

22 

ANNEX 

Information referred to in Article 5 

Information on  the following matters: 

(a) 

the contents of the plan or programme and its main objectives; 

(b) 

(c) 

(d) 

the environmental characteristics of any area likely to be significantly affected by the plan 
or programme; 

any  existing  environmental  problems  which  are  relevant  to  the  plan  or  programme 
including,  in  particular,  those  relating  to  any  areas  of  particular  environmental 
importance, such as areas designated pursuant to Council Directives  79/409/EEC8 and 
92/43/EEC; 

the  environmental  protection  objectives,  established  at  International,  Community  and 
Member  State level (including objectives  established  in other plans and  programmes in 
the same hierarchy), which are relevant to the plan or  programme  and  the way  these 
objectives  and  any  other  environmental  considerations  have  been  taken  into  account 
during its preparation; 

(e) 

the likely significant environmental effects of implementing the plan or programme; 

(f) 

(g) 

(h) 

any  alternative  ways  of  achieving  the  objectives  of  the  plan  or  programme  which 
have been  considered  during its preparation  (such  as  alternative types  of  development 
or alternative 
the  reasons  for  not  adopting 
these alternatives; 

locations  for  development)  and 

the  measures  envisaged  to  prevent,  reduce  and  where  possible  offset  any  significant 
adverse effects on the environment of implementing the plan or programme; 

any  difficulties  (such  as  technical  deficiencies  or  lack  of  know-how)  encountered  in 
compiling  the required information. 

O J N oL  103, 25.4.1979, p. 1. 

23 

FINANCIAL STATEMENT 

TITLE OF OPERATION  Proposal for a Council Directive on the assessment of the 
effects  of certain Plans and Programmes on the Environment 

BUDGET HEADING  B4-3040 

LEGAL  BASIS Article  130s(l)/ET 

DESCRIPTION  OF OPERATION: 

1. 

2. 

3. 

4. 

4.1  General obiectives: To extend the environmental assessment system to land use 

plans and programmes 

4.2 

Period covered and arrangements for renewal  : indeterminate 

5. 

CLASSIFICATION  OF EXPENDITURE/REVENUE 

5.1 

Compulsory/Non-compulsory expenditure 

5.2  Differentiated/Non-differentiated  appropriations 

5.3 

Type of revenue involved  :  -

6.  TYPE OF  EXPENDITURE/REVENUE 

subsidy for  joint financing with other sources in  the public  and/or private 
sector  50 % -  75 % (workshops, trial runs) 

Other - Studies / Publications 

24 

7.  FINANCIAL  IMPACT 

7.1.  Method  of  calculating  total  cost  of  operation  (relation  between  the  individual  and  total 
costs)  - estimated  cost of workshops, studies and publications relating to the  implementation 
of  the  Directive 

7.2.  Itemised  breakdown  of  cost: 

Breakdown 

Year 
n 

n+  1 

n + 2 

n  + 3 

n  + 4 

CE  in  Mio  Ecus 
(current  price) 

n  + 5 
and 
subs, 
years  • 

Total 

Studies,  etc 

.  2 

.  3 

. 4 

.  4 

.  4 

.  4 

2  . 1 

Total 

.  2 

.  3 

.  4 

.  4 

.  4 

.  4 

2  . 1 

7.3.  Schedule  of  Commitment  appropriations/payment  appropriations 

Year 
n 

.  2 

. 1 
.  1 

Commitment 
appropriations 

Payment 
appropriations 

year  n 
n+  1 
n  + 2 
n  + 3 
n  + 4 
n  + 5 
and  subs,  years 

n+  1 

n + 2 

n + 3 

n  + 4 

CE  in  Mio  Ecus 

n+5 
and 
subs. 
years 

Total 

.4 

" 

.4 

.  4 

.  4 

1  . 2 

.  1 
.  2 

.  125 
.  275 

.  125 
.  275 

.  125 
.  275 

.  125 
.  275 

Total 

.  2 

.  3 

. 4 

.  4 

. 4 

.  4 

1  . 2 

25 

8.  FRAUD PREVENTION MEASURES 

Special  control  measures  envisaged:  Contracts  will  be  by  calls  for  tender 

9. 

COST-EFFECTIVENESS  ANALYSIS 

9.1 

Specific  and  quantifiable  obiectives; target  population: 

Specific  objectives  :  links  with general  objective  : Publication  of  studies  and 
guides  etc to  help  Member  States implement  directive 

Target population:  distinguish for  any  individual  objectives,  indicate  the  end-
beneficiaries  of 
the 
intermediaries  involved:  The  administrators,  practitioners  and  trainers  in 
Member  States  responsible  for  land  use plans  and  programmes 

the  Commumnity's 

contribution  and 

financial 

9.2 

Grounds  for  the  operation 

The  financial 

actions  will  support 

Need for  Community financial  aid with particular  regard  to the 
principle  of subsidiarity 

Choice of  ways and  means 

the  implementation 

*  advantages  over  possible 
advantages) 

alternatives 

(comperative 

of  the  Directive 

*  explanatory  reference  to  similar  Community  or  national 
operations 

by  developing  and 

spin-off  and multiplier  effects  expected 

exchanging  EU  experience 

Main  factors  of  uncertainty  which  could  affect  the 
special results  of  the  operation 

9.3  Monitoring  and  evaluation  of  the  operation: 

The  Directive  and 

- 

Performance  indicators 

the  success  of  the 

* output  indicators  (measuring  activities  used) 

financial  actions 

* impact indicators (measuringperformance  against  objectives) 

will  be  reviewed 

after  5  years 

Details  and frequency  of planned  evaluations 
Assessment of the results obtained  (where the  operation 
is to  be continued  or renewed) 

26 

10.  ADMINISTRATIVE  EXPENDITURE  (PART  A  OF  SECTION  III  OF  THE 

BUDGET) 

Actual  mobilisation  of  the  necessary  administrative  resources  will  derive  from  the 
Commission's  annual  decision  on  the  allocation  of  resources,  in  the  light  of  whatever 
additional  staff  and amounts are awarded by the budgetary authority. 

10.1 Effect  on the number of posts: 

Type  of  post 

Staff  to  be  assigned  to  managing  the 
operation 

* 

Permanent  posts 

Temporary  posts 

Officials  or 
temporary 
staff 

A 
B 
C 

Other  resources 

Total 

1,5 
0,5 
0,5 

2,5 

source 

Duration 

Existing  resources 
in the DO or 
department 
concerned 

Additional 
resources 

1,5 

0,5 

2,0 

;  0,5 

0,5 

If additional  resources  are required,  indicate the pace  at which they will  have to be made available. 

10.2 Overall financial impact of  additional  human resources 

Officials  0,5  B 
Temporary  staff 

.  Amounts 

25372,5 

Method  of  calculation 

rate  used  forTCE  (50745  per  year) 

(ecus) 

Total 

25372,5 

The  amounts given must express the total  cost of additional posts for the entire duration of the operation, if this duration is predetermined, 
or for  12 months  if it is  indefinite. 

10.3  Increase  in other administrative  expenditure  as a result of the operation 

Budget  heading 

2500 

Amounts 

21,000 

Total 

21,000 

(ecus) 

Method  of  calculation 

1 meeting  per  year  with  32  national 
experts  (calculated  according  to  the 
tariff  applied  by  DG  IX) 

The  amounts  given  must correspond  to total  expenditure  arising from the operation  if its duration  is predetermined or expenditure  for  12 
months  if it is  indefinite. 

27 

ISSN 0254-1475 

COM(96) 511  final 

DOCUMENTS 

EN 

14 

Catalogue  number  :  CB-C0-96-666-EN-C 

ISBN  92-78-13254-3 

Office  for  Official  Publications of the European  Communities 

L-2985  Luxembourg 

28