Proposal for a Directive of the European Parliament and of the Council providing for public participation in respect of the drawing up of certain plans and programmes relating to the environment and amending Council Directives 85/337/EEC and 96/61/EC
Date: 2001-01-18
Institutions: European Commission
Subjects: EU environmental policy, access to information, air quality, environmental impact, impact study, industrial pollution, polluter pays principle, pollution control measures, prevention of pollution, waste management

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Official Journal of the European Communities

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Proposal for a Directive of the European Parliament and of the Council providing for public
participation in respect of the drawing up of certain plans and programmes relating to the
environment and amending Council Directives 85/337/EEC and 96/61/EC

(2001/C 154 E/12)

(Text with EEA relevance)

COM(2000) 839 final (cid:151) 2000/0331(COD)

(Submitted by the Commission on 18 January 2001)

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE
EUROPEAN UNION,

mental Matters ((cid:145)the Aarhus Convention(cid:146)). Community
law should be properly aligned with that Convention
with a view to its ratification by the Community.

Having regard to the Treaty establishing the European
Community, and in particular Article 175(1) thereof,

Having regard to the proposal of the Commission,

Having regard to the opinion of
Committee,

the Economic and Social

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

Acting in accordance with the procedure laid down in Article
251 of the Treaty,

Whereas:

(1) Community legislation in the field of the environment
and
aims
improving the quality of the environment and protecting
human health.

to preserving, protecting

to contribute

(2) Community environmental legislation includes provisions
for public authorities and other bodies to take decisions
which may have a significant effect on the environment as
well as on personal health and well-being.

(3) Effective public participation in the taking of decisions
enables the public to express, and the decision-maker to
take account of, opinions and concerns which may be
thereby increasing the
relevant
accountability and transparency of the decision-making
process and contributing to public awareness of environ-
mental issues.

to those decisions,

(4) Participation,

including participation by associations,
organisations and groups, in particular non-governmental
organisations promoting environmental protection, should
accordingly be fostered.

(6) Among the objectives of the Convention is the desire to
guarantee rights of public participation in certain kinds of
environmental decision-making in order to contribute to
the protection of
the right to live in an environment
which is adequate to personal health and well-being.

(7) Article 6 of the Aarhus Convention provides for public
participation in decisions on the specific activities listed in
Annex I to the Convention and on activities not so listed
which may have a significant effect on the environment.

(8) Article 7 of the Aarhus Convention provides for public
participation concerning plans, programmes and policies
relating to the environment.

(9) Article 9(2) and (4) of the Aarhus Convention provides for
access to judicial or other procedures for challenging the
substantive or procedural
legality of acts or omissions
subject to the public participation provisions of Article
6 of the Convention.

(10) Provision should be made in respect of certain directives
in the environmental area which require Member States to
programmes
produce
the
environment,
to ensure public participation
consistent with the provisions of the Aarhus Convention,
in particular Article 7 thereof.

and
so as

relating

plans

to

(11) Council Directive 85/337/EEC of 27 June 1985 on the
assessment of the effects of certain public and private
projects on the environment (1), and Council Directive
96/61/EC of 24 September 1996 concerning integrated
pollution prevention and control (2) should be amended
they are fully compatible with the
to ensure that
provisions of
in particular
Articles 6 and 9(2) and (4) thereof.

the Aarhus Convention,

(5) On 25 June 1998 the Community signed the UN/ECE
Convention on Access to Information, Public Participation
in Decision-Making and Access to Justice in Environ-

(1) OJ L 175, 5.7.1985, p. 40, Directive as amended by Directive

97/11/EC (OJ L 73, 14.3.1997, p. 5).

(2) OJ L 257, 10.10.1996, p. 26.

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(12) In accordance with the principles of subsidiarity and
proportionality as set out in Article 5 of the Treaty, the
objectives of the proposed action cannot be sufficiently
achieved by the Member States and can therefore, by
reason of the scale and effects of the action, be better
achieved by the Community. This Directive confines
itself to the minimum required to achieve those objectives
and does not go beyond what
is necessary for that
purpose,

Article 2

Amendment of Directive 85/337/EEC

Directive 85/337/EEC is amended as follows:

1. In Article 1(2) the following definitions are added:

(cid:145) (cid:147)the public(cid:148) means one or more natural or legal persons
and,
legislation or practice,
in accordance with national
their associations, organisations or groups;

HAVE ADOPTED THIS DIRECTIVE

Article 1

Public participation concerning plans and programmes

1.
For the purposes of this Article (cid:145)the public(cid:146) shall mean
one or more natural or legal persons and, in accordance with
national legislation or practice, their associations, organisations
or groups.

2. Member States shall ensure that the public are given early
and effective opportunities to participate in the preparation
and review of the plans or, as the case may be, programmes
required to be drawn up under the provisions listed in Annex I.

To that end, Member States shall ensure that:

(a) the public are informed, whether by public notices or other
appropriate means, about any proposals for such plans or
relevant
programmes or
information about such proposals is made available to the
public;

review and that

their

for

(b) the public are entitled to express comments and opinions
before decisions on the plans and programmes are made;

(c) in making those decisions, due account shall be taken of

the results of the public participation.

shall

3. Member States
participate
relevant non-governmental organisations,
promoting environmental protection.

identify the public entitled to
including
those

the purposes of paragraph 2,

such as

for

The detailed arrangements for public participation under this
Article shall be determined by the Member States so as to
secure a wide participation by the public.

Reasonable time-frames shall be provided allowing sufficient
time for each of the different stages of public participation
required by this Article.

(cid:147)the public concerned(cid:148) means the public affected or likely to
be affected by, or having an interest in, the development
consent procedure;
this definition,
non-governmental organisations promoting environmental
protection and meeting any requirements under national
law shall be deemed to have an interest.(cid:146)

the purposes of

for

2. Article 6 is amended as follows:

(a) Paragraphs 2 and 3 are replaced by the following:

shall

ensure

the public
(cid:145)2. Member States
concerned are given early and effective opportunities
to participate in the development consent procedure.
Paragraphs 3, 4 and 5 shall apply for the purposes of
such participation.

that

3.
The public shall be informed, whether by public
notices or other appropriate means, of the following
matters early in the development consent procedure
the latest, as soon as information can be
and, at
provided:

(a) the request for development consent;

(b) the fact that the project is subject to an environ-
impact assessment procedure and, where

mental
relevant, the fact that Article 7 applies;

(c) details of the competent authorities responsible for
from which relevant
to which

taking
the
be
information
comments or questions can be submitted;

decision or
can

obtained

or

(d) the nature of possible decisions or, where there is

one, the draft decision;

(e) any information gathered pursuant to Article 5;

(f)

the main reports and advice issued to the competent
authority or authorities during the development
including any opinions on the
consent procedure,
request
consulted
under paragraph 1;

expressed by any authorities

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(g) an indication of the times and places where and
means by which the relevant information will be
made available;

consulted Member States

that
The
information is made available to the public concerned in
their own territory.(cid:146)

ensure

shall

that

(h) details of the arrangements for public participation

made pursuant to paragraph 5.(cid:146)

5. The following Article 10a is inserted:

(b) The following paragraphs 4 and 5 are added:

(cid:145)Article 10a

(cid:145)4.
The public concerned shall be entitled to express
comments and opinions to the competent authority or
authorities before the decision on the request for devel-
opment consent is taken.

for

The detailed arrangements,

5.
informing the
public (for example by bill posting within a certain
radius or publication in local newspapers) and for
consulting the public
example by
written submissions or by way of a public enquiry),
shall be determined by the Member States. Reasonable
time-frames shall be provided, allowing sufficient time
for each of
the different stages provided for in this
Article.(cid:146)

concerned (for

in accordance with the
Member States shall ensure that,
the public concerned has
relevant national
legal system,
access to a review procedure before a court of
law or
another body established by law to challenge the substantive
or procedural legality of decisions, acts or omissions subject
to the public participation provisions of this Directive.

Any such procedure shall be expeditious and shall not be
prohibitively expensive.(cid:146)

6. Annex I is amended in accordance with Annex II to this

Directive.

3. Article 7 is amended as follows:

Article 3

(a) In paragraph 1,

(cid:145)Environmental

procedure(cid:146)
procedure(cid:146).

is

replaced

by

Impact Assessment
consent

(cid:145)development

(b) Paragraph 2 is replaced by the following:

to paragraph 1 indicates that

If a Member State which receives information
(cid:145)2.
pursuant
intends to
participate in the development consent procedure, the
Member State in whose territory the project is intended
to be carried out shall, if it has not already done so,
send to the affected Member State the information
required to be given or made available pursuant
to
Article 6(3) and (5)(cid:146).

it

Amendment of Directive 96/61/EC

Directive 96/61/EC is amended as follows:

1. Article 2 is amended as follows:

(a) the following paragraph is added to point 10:

the purposes of point

(cid:145)For
(b), any change to or
extension of an operation, where such a change or
extension in itself meets the appropriate criteria or
thresholds set out in Annex I, shall be deemed to be
substantial(cid:146);

(c) Paragraph 5 is replaced by the following:

(b) the following points 13 and 14 are added:

The detailed arrangements for implementing the
(cid:145)5.
provisions of this Article shall be determined by the
Member States concerned and shall be such as to
enable the public concerned in the territory of
the
affected Member State to participate effectively in the
development consent procedure for the project.(cid:146)

4. In Article 9, paragraph 2 is replaced by the following:

(cid:145)2.
The competent authority or authorities shall inform
any Member State which has been consulted pursuant to
Article 7, forwarding to it the information referred to in
paragraph 1 of this Article.

(cid:145)13.

(cid:147)the public(cid:148) shall mean one or more natural or
legal persons and,
in accordance with national
legislation or practice, their associations, organi-
sations or groups;

14.

(cid:147)the public concerned(cid:148)
shall mean the public
affected or likely to be affected by, or having an
interest in, the taking of a decision on the issuing
the updating of a permit or of permit
or
this definition,
conditions;
promoting
non-governmental
environmental
any
requirements under national law shall be deemed
to have an interest.(cid:146)

for the purposes of

and meeting

organisations

protection

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2. In Article 6(1), first subparagraph, the following indent is

added:

(cid:145)(cid:151) the main alternatives studied by the applicant,

in

outline.(cid:146)

3. Article 15 is amended as follows:

a Member State likely to be significantly affected so
the Member State in whose territory the
requests,
application for a permit pursuant
to Article 4 or
Article 12(2) was submitted shall forward to the other
Member State any information required to be given or
made available pursuant to Annex V at the same time as
it makes it available to its own nationals.(cid:146)

(a) Paragraph 1 is replaced by the following:

(b) The following paragraphs 3 and 4 are added:

that

shall

ensure

(cid:145)1. Member States
the public
concerned are given early and effective opportunities
to participate in the procedure for
the taking of
decisions on the issuing or the updating of a permit
in
or of permit conditions. The procedure set out
Annex V shall apply for the purposes of such partici-
pation.(cid:146)

(b) The following paragraph 5 is added:

(cid:145)5. When a decision has been taken, the competent
authority shall inform the public in accordance with the
appropriate procedures and shall make available to the
public the following information:

(a) the content of the decision, including a copy of the
permit and of any conditions and any subsequent
updates; and

(b) the

reasons
decision is based.(cid:146)

and considerations on which the

4. The following Article 15a is inserted:

(cid:145)Article 15a

Access to justice

in accordance with the
Member States shall ensure that,
the public concerned has
relevant national
legal system,
access to a review procedure before a court of
law or
another body established by law to challenge the substantive
or procedural legality of decisions, acts or omissions subject
to the public participation provisions of this Directive.

Any such procedure shall be expeditious and shall not be
prohibitively expensive.(cid:146)

5. Article 17 is amended as follows:

(a) In paragraph 1, the first sentence is replaced by the

following:

(cid:145)Where a Member State is aware that the operation of an
installation is likely to have significant negative effects
on the environment of another Member State, or where

(cid:145)3.
to
The results of any consultations pursuant
paragraphs 1 and 2 must be taken into consideration
when the competent authority reaches a decision on the
application.

4.
The competent authority shall inform any Member
State which has been consulted pursuant to paragraph 1,
of the decision reached on the application and shall
the information referred to in Article
forward to it
take the measures
15(5). That Member State shall
necessary to ensure that
information is made
available to the public concerned in its own territory.(cid:146)

that

6. An Annex V is added, as shown in Annex III

to this

Directive.

Article 4

Implementation

Member States shall bring into force the laws, regulations and
administrative provisions necessary to comply with this
Directive by 31 December 2002 at
the latest. They shall
forthwith communicate them to the Commission.

When Member States adopt those provisions, they shall contain
a reference to this Directive or shall be accompanied by such a
reference on the occasion of their official publication. Member
States shall determine how such reference is to be made.

Article 5

Entry into force

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

Article 6

Addressees

This Directive is addressed to the Member States.

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PROVISIONS FOR PLANS AND PROGRAMMES REFERRED TO IN ARTICLE 3

ANNEX I

(a) Article 7(1) of Council Directive 75/442/EEC on waste (1).

(b) Article 6 of Council Directive 91/157/EEC on batteries and accumulators containing certain dangerous substances (2).

(c) Article 5(1) of Council Directive 91/676/EEC concerning the protection of waters against pollution caused by nitrates

from agricultural sources (3).

(d) Article 6(1) of Council Directive 91/689/EEC on hazardous waste (4).

(e) Article 14 of Council Directive 94/62/EC on packaging and packaging waste (5).

(f) Article 8(3) of Council Directive 96/62/EC on ambient air quality assessment and management (6) (including plans
referred to in Articles 3(4), 5(4) and 5(5) of Council Directive 1999/30/EC relating to limit values for sulphur
dioxide, nitrogen dioxide and oxides of nitrogen, particulate matter and lead in ambient air (7).

(g) Article 14 of Council Directive 99/31/EC on the landfill of waste (8).

(1) OJ L 194, 25.7.1975, p. 39. Directive as amended by Council Directive 91/156/EEC (OJ L 78, 18.3.1991, p. 32).
(2) OJ L 78, 26.3.1991, p. 38. Directive as amended by Directive 98/101/EC (OJ L 1, 5.1.1999, p. 1) and supplemented by Directive

93/86/EEC (OJ L 264, 23.10.1993, p. 51).

(3) OJ L 375, 31.12.1991, p. 1.
(4) OJ L 377, 31.12.1991, p. 20. Directive as amended by Directive 94/31/EC (OJ L 168, 2.7.1994, p. 28).
(5) OJ L 365, 31.12.1994, p. 10.
(6) OJ L 296, 21.11.1996, p. 55.
(7) OJ L 163, 29.6.1999, p. 41.
(8) OJ L 182, 16.7.1999, p. 1.

In Directive 85/337/EEC, Annex I, the following paragraph 22 is added:

ANNEX II

(cid:145)22. Any change to or extension of projects listed in this Annex where such a change or extension in itself meets the

appropriate criteria or thresholds set out in this Annex.(cid:146)

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ANNEX III

In Directive 96/61/EC, the following Annex V is added:

(cid:145)ANNEX V

PUBLIC PARTICIPATION IN DECISION-MAKING

1. The public shall be informed (by public notices or other appropriate means) of the following matters early in the

procedure for the taking of a decision or, at the latest, as soon as the information can be provided:

(a) the application for a permit or, as the case may be, the proposal for the updating of a permit or of permit

conditions, including in all cases the description of the elements listed in Article 6(1);

(b) where applicable, the fact that a decision is subject to a national or transboundary environmental

impact

assessment or to consultations between Member States in accordance with Article 17;

(c) details of the competent authorities responsible for taking the decision or from which relevant information can be

obtained or to which comments (or questions) can be submitted;

(d) the nature of possible decisions or, where there is one, the draft decision;

(e) where applicable, the details relating to a proposal for the updating of a permit or of permit conditions;

(f)

the main reports and advice issued to the competent authority in connection with the taking of the decision;

(g) an indication of the times and places where or means by which the relevant information will be made available;

(h) details of the arrangements for public participation and consultation made pursuant to paragraph 4.

2. The public concerned shall be entitled to express comments and opinions to the competent authority before a

decision is taken.

3. The results of the consultations held pursuant to this Annex must be taken into consideration in the taking of a

decision.

4. The detailed arrangements for informing the public (for example by bill posting within a certain radius or publication
in local newspapers) and consulting the public concerned (for example by written submissions or by way of a public
enquiry) shall be determined by the Member States. Reasonable time-frames shall be provided allowing sufficient time
for each of the different stages provided for in this Annex.(cid:146)