Directive 2001/42/EC of the European Parliament and of the Council of 27 June 2001 on the assessment of the effects of certain plans and programmes on the environment
Date: 2001-06-27
Institutions: Council of the European Union, European Parliament
Subjects: EU environmental policy, EU programme, project evaluation

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DIRECTIVE 2001/42/EC OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
of 27 June 2001
on the assessment of the effects of certain plans and programmes on the environment

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE
EUROPEAN UNION,

(4)

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

Having regard to the proposal from the Commission (1),

Having regard to the opinion of the Economic and Social
Committee (2),

Environmental assessment is an important tool for inte-
grating environmental considerations into the prepara-
tion and adoption of certain plans and programmes
which are likely to have significant effects on the envir-
onment in the Member States, because it ensures that
such effects of implementing plans and programmes are
taken into account during their preparation and before
their adoption.

Having regard to the opinion of
Regions (3),

the Committee of

the

(5)

Acting in accordance with the procedure laid down in Article
251 of the Treaty (4), in the light of the joint text approved by
the Conciliation Committee on 21 March 2001,

The adoption of environmental assessment procedures
at the planning and programming level should benefit
undertakings by providing a more consistent framework
in which to operate by the inclusion of the relevant
information into decision making. The
environmental
inclusion of a wider set of factors in decision making
should contribute to more sustainable and effective solu-
tions.

Whereas:

(1)

(2)

(3)

Article 174 of
the Treaty provides that Community
policy on the environment is to contribute to, inter alia,
the preservation, protection and improvement of the
quality of the environment, the protection of human
health and the prudent and rational utilisation of natural
resources and that it is to be based on the precautionary
principle. Article 6 of the Treaty provides that environ-
mental protection requirements are to be integrated into
the definition of Community policies and activities, in
particular with a view to promoting sustainable develop-
ment.

The Fifth Environment Action Programme: Towards
sustainability — A European Community programme of
policy and action in relation to the environment and
sustainable development (5), supplemented by Council
Decision No 2179/98/EC (6) on its review, affirms the
importance of assessing the likely environmental effects
of plans and programmes.

(6)

(7)

The Convention on Biological Diversity requires Parties
to integrate as far as possible and as appropriate the
conservation and sustainable use of biological diversity
into relevant
and
programmes.

cross-sectoral plans

sectoral or

(1) OJ C 129, 25.4.1997, p. 14 and
OJ C 83, 25.3.1999, p. 13.
(2) OJ C 287, 22.9.1997, p. 101.
(3) OJ C 64, 27.2.1998, p. 63 and
OJ C 374, 23.12.1999, p. 9.

(4) Opinion of the European Parliament of 20 October 1998 (OJ C
341, 9.11.1998, p. 18), confirmed on 16 September 1999 (OJ C
54, 25.2.2000, p. 76), Council Common Position of 30 March
2000 (OJ C 137, 16.5.2000, p. 11) and Decision of the European
Parliament of 6 September 2000 (OJ C 135, 7.5.2001, p. 155).
Decision of the European Parliament of 31 May 2001 and Decision
of the Council of 5 June 2001.

(5) OJ C 138, 17.5.1993, p. 5.
(6) OJ L 275, 10.10.1998, p. 1.

The different environmental assessment systems oper-
ating within Member States should contain a set of
common procedural requirements necessary to contri-
bute to a high level of protection of the environment.

The United Nations/Economic Commission for Europe
Convention on Environmental Impact Assessment in a
Transboundary Context of 25 February 1991, which
applies to both Member States and other States, encour-
ages the parties to the Convention to apply its principles
to plans and programmes as well; at the second meeting
of the Parties to the Convention in Sofia on 26 and 27
February 2001,
it was decided to prepare a legally
binding protocol on strategic environmental assessment
which would supplement
the existing provisions on
impact assessment in a transboundary
environmental
context, with a view to its possible adoption on the
occasion of the 5th Ministerial Conference ‘Environment
for Europe’ at an extraordinary meeting of the Parties to
the Convention, scheduled for May 2003 in Kiev,
Ukraine. The systems operating within the Community
for environmental assessment of plans and programmes
should 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 significant effects on the environment of
another Member State. The information on plans and
programmes having significant effects on the environ-
ment of other States should be forwarded on a reci-
procal and equivalent basis within an appropriate legal
framework between Member States and these other
States.

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(8)

(9)

Action is therefore required at Community level to lay
down a minimum environmental assessment framework,
which would set out the broad principles of the environ-
mental assessment system and leave the details to the
Member States, having regard to the principle of subsi-
diarity. Action by the Community should not go beyond
what is necessary to achieve the objectives set out in the
Treaty.

This Directive is of a procedural nature, and its require-
ments should either be integrated into existing proced-
ures in Member States or incorporated in specifically
established procedures. With a view to avoiding duplica-
the assessment, Member States should take
tion of
account, where appropriate, of the fact that assessments
will be carried out at different levels of a hierarchy of
plans and programmes.

(10) All plans and programmes which are prepared for a
number of sectors and which set a framework for future
development consent of projects listed in Annexes I and
II to Council Directive 85/337/EEC of 27 June 1985 on
the effects of certain public and
the assessment of
private projects on the environment (1), and all plans
and programmes which have been determined to require
assessment pursuant to Council Directive 92/43/EEC of
21 May 1992 on the conservation of natural habitats
and of wild flora and fauna (2), are likely to have signifi-
cant effects on the environment, and should as a rule be
made subject to systematic environmental assessment.
When they determine the use of small areas at local level
or are minor modifications to the above plans or
programmes,
they should be assessed only where
Member States determine that they are likely to have
significant effects on the environment.

(11) Other plans and programmes which set the framework
for future development consent of projects may not
have significant effects on the environment in all cases
and should be assessed only where Member States deter-
mine that they are likely to have such effects.

(12) When Member States make such determinations, they
should take into account the relevant criteria set out in
this Directive.

(13)

Some plans or programmes are not subject
Directive because of their particular characteristics.

to this

(14) Where an assessment is required by this Directive, an
environmental report should be prepared containing
relevant information as set out in this Directive, identi-
fying, describing and evaluating the likely significant
implementing the plan or
environmental effects of
programme, and reasonable alternatives
taking into
account the objectives and the geographical scope of the
plan or programme; Member States should communi-

cate to the Commission any measures
concerning the quality of environmental reports.

they take

(15)

In order to contribute to more transparent decision
making and with the aim of ensuring that the informa-
tion supplied for the assessment is comprehensive and
reliable, it is necessary to provide that authorities with
relevant environmental responsibilities and the public
are to be consulted during the assessment of plans and
programmes, and that appropriate time frames are set,
allowing sufficient time for consultations, including the
expression of opinion.

(16) Where the implementation of a plan or programme
prepared in one Member State is likely to have a signifi-
cant effect on the environment of other Member States,
the Member States
provision should be made for
concerned to enter into consultations and for the rele-
vant authorities and the public to be informed and
enabled to express their opinion.

(17)

The environmental report and the opinions expressed by
the relevant authorities and the public, as well as the
results of any transboundary consultation, should be
taken into account during the preparation of the plan or
programme and before its adoption or submission to the
legislative procedure.

(18) Member States should ensure that, when a plan or
programme is adopted, the relevant authorities and the
public are informed and relevant information is made
available to them.

(19) Where the obligation to carry out assessments of the
effects on the environment arises simultaneously from
this Directive and other Community legislation, such as
Council Directive 79/409/EEC of 2 April 1979 on the
conservation of wild birds (3), Directive 92/43/EEC, or
Directive 2000/60/EC of the European Parliament and
the Council of 23 October 2000 establishing a frame-
work for Community action in the field of water
policy (4), in order to avoid duplication of the assess-
ment, Member States may provide for coordinated or
joint procedures fulfilling the requirements of the rele-
vant Community legislation.

(20) A first report on the application and effectiveness of this
Directive should be carried out by the Commission five
years after its entry into force, and at seven-year inter-
vals thereafter. With a view to further integrating envir-
onmental protection requirements, and taking into
account the experience acquired, the first report should,
if appropriate, be accompanied by proposals for amend-
ment of this Directive, in particular as regards the poss-
ibility of extending its scope to other areas/sectors and
other types of plans and programmes,

(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).

(3) OJ L 103, 25.4.1979, p. 1. Directive as last amended by Directive

(2) OJ L 206, 22.7.1992, p. 7. Directive as last amended by Directive

97/62/EC (OJ L 305, 8.11.1997, p. 42).

97/49/EC (OJ L 223, 13.8.1997, p. 9).

(4) OJ L 327, 22.12.2000, p. 1.

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HAVE ADOPTED THIS DIRECTIVE:

referred to in paragraphs 2 to 4 which are likely to have
significant environmental effects.

Article 1

Objectives

The objective of this Directive is to provide for a high level of
protection of the environment and to contribute to the integra-
tion of environmental considerations into the preparation and
adoption of plans and programmes with a view to promoting
sustainable development, by ensuring that, in accordance with
this Directive, an environmental assessment is carried out of
certain plans and programmes which are likely to have signifi-
cant effects on the environment.

Article 2

Definitions

For the purposes of this Directive:

(a) ‘plans and programmes’ shall mean plans and programmes,
including those co-financed by the European Community,
as well as any modifications to them:

— which are subject to preparation and/or adoption by an
authority at national, regional or local level or which
are prepared by an authority for adoption, through a
legislative procedure by Parliament or Government, and

— which are required by legislative, regulatory or adminis-

trative provisions;

(b) ‘environmental assessment’ shall mean the preparation of
an environmental report, the carrying out of consultations,
the taking into account of the environmental report and
the results of the consultations in decision-making and the
provision of information on the decision in accordance
with Articles 4 to 9;

(c) ‘environmental report’ shall mean the part of the plan or
programme documentation containing the information
required in Article 5 and Annex I;

(d) ‘The public’ shall mean one or more natural or legal
legislation or

persons and,
practice, their associations, organisations or groups.

in accordance with national

Article 3

Scope

An environmental

1.
in accordance with
Articles 4 to 9, shall be carried out for plans and programmes

assessment,

Subject

2.
shall be carried out for all plans and programmes,

to paragraph 3, an environmental assessment

industry,

(a) which are prepared for agriculture,

fisheries,
transport, waste management, water
energy,
management,
town and
country planning or land use and which set the framework
listed in
future development consent of projects
for
Annexes I and II to Directive 85/337/EEC, or

telecommunications,

tourism,

forestry,

(b) which,

in view of the likely effect on sites, have been
determined to require an assessment pursuant to Article 6
or 7 of Directive 92/43/EEC.

Plans and programmes referred to in paragraph 2 which
3.
determine the use of small areas at local
level and minor
modifications to plans and programmes referred to in para-
graph 2 shall require an environmental assessment only where
the Member States determine that they are likely to have signif-
icant environmental effects.

shall determine whether plans and
4. Member States
programmes, other than those referred to in paragraph 2,
which set the framework for future development consent of
projects, are likely to have significant environmental effects.

shall determine whether plans or
5. Member States
programmes referred to in paragraphs 3 and 4 are likely to
have significant environmental effects either through case-by-
case examination or by specifying types of plans and
programmes or by combining both approaches. For
this
in all cases take into account
purpose Member States shall
relevant criteria set out in Annex II, in order to ensure that
plans and programmes with likely significant effects on the
environment are covered by this Directive.

6.
In the case-by-case examination and in specifying types of
plans and programmes in accordance with paragraph 5, the
authorities referred to in Article 6(3) shall be consulted.

shall
to paragraph 5,

conclusions
7. Member States
pursuant
for not
requiring an environmental assessment pursuant to Articles 4
to 9, are made available to the public.

that
ensure
including the reasons

their

The following plans and programmes are not subject to

8.
this Directive:
— plans and programmes the sole purpose of which is to

serve national defence or civil emergency,
— financial or budget plans and programmes.

This Directive does not apply to plans and programmes
respective programming

9.
co-financed under
current
periods (1) for Council Regulations (EC) No 1260/1999 (2)
and (EC) No 1257/1999 (3).

the

(1) The 2000-2006 programming period for Council Regulation (EC)
No 1260/1999 and the 2000-2006 and 2000-2007 programming
periods for Council Regulation (EC) No 1257/1999.

(2) Council Regulation (EC) No 1260/1999 of 21 June 1999 laying
(OJ L 161,

down general provisions on the Structural Funds
26.6.1999, p. 1).

(3) Council Regulation (EC) No 1257/1999 of 17 May 1999 on
support
from the European Agricultural
Guidance and Guarantee Fund (EAGGF) and amending and repealing
certain regulations (OJ L 160, 26.6.1999, p. 80).

rural development

for

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Article 4

General obligations

The environmental assessment referred to in Article 3
1.
shall be carried out during the preparation of a plan or
programme and before its adoption or submission to the legis-
lative procedure.

2.
The requirements of this Directive shall either be inte-
grated into existing procedures in Member States for the adop-
tion of plans and programmes or incorporated in procedures
established to comply with this Directive.

3. Where plans and programmes form part of a hierarchy,
Member States shall, with a view to avoiding duplication of the
assessment, take into account the fact that the assessment will
be carried out, in accordance with this Directive, at different
levels of the hierarchy. For the purpose of, inter alia, avoiding
duplication of assessment, Member States shall apply Article
5(2) and (3).

Article 5

Environmental report

1. Where an environmental assessment is required under
Article 3(1), an environmental report shall be prepared in
which the likely significant effects on the environment of
implementing the plan or programme, and reasonable alterna-
tives taking into account the objectives and the geographical
scope of the plan or programme, are identified, described and
evaluated. The information to be given for this purpose is
referred to in Annex I.

The environmental report prepared pursuant

2.
to para-
graph 1 shall include the information that may reasonably be
required taking into account current knowledge and methods
of assessment, the contents and level of detail in the plan or
programme, its stage in the decision-making process and the
extent to which certain matters are more appropriately assessed
at different levels in that process in order to avoid duplication
of the assessment.

3.
Relevant information available on environmental effects
of the plans and programmes and obtained at other levels of
decision-making or through other Community legislation may
be used for providing the information referred to in Annex I.

The authorities

referred to in Article 6(3)

4.
shall be
consulted when deciding on the scope and level of detail of the
information which must be included in the environmental
report.

Article 6

Consultations

1.
The draft plan or programme and the environmental
report prepared in accordance with Article 5 shall be made

available to the authorities referred to in paragraph 3 of this
Article and the public.

2.
The authorities referred to in paragraph 3 and the public
referred to in paragraph 4 shall be given an early and effective
opportunity within appropriate time frames to express their
opinion on the draft plan or programme and the accompa-
nying environmental report before the adoption of the plan or
programme or its submission to the legislative procedure.

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

4. Member States shall identify the public for the purposes
of paragraph 2, including the public affected or likely to be
the decision-making
affected by, or having an interest
subject to this Directive, including relevant non-governmental
organisations, such as those promoting environmental protec-
tion and other organisations concerned.

in,

The detailed arrangements

the information and
5.
consultation of the authorities and the public shall be deter-
mined by the Member States.

for

Article 7

Transboundary consultations

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
its adoption or submission to the legislative procedure, forward
a copy of the draft plan or programme and the relevant envir-
onmental report to the other Member State.

2. Where a Member State is sent a copy of a draft plan or
programme and an environmental report under paragraph 1, it
shall indicate to the other Member State whether it wishes to
enter into consultations before the adoption of the plan or
programme or its submission to the legislative procedure and,
if it so indicates, the Member States concerned shall enter into
consultations concerning the likely transboundary environ-
mental effects of implementing the plan or programme and the
measures envisaged to reduce or eliminate such effects.

Where such consultations take place,
the Member States
concerned shall agree on detailed arrangements to ensure that
the authorities referred to in Article 6(3) and the public referred
to in Article 6(4) in the Member State likely to be significantly
affected are informed and given an opportunity to forward
their opinion within a reasonable time-frame.

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

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Article 8

Decision making

Directive 85/337/EEC and to any other Community law
requirements.

The environmental report prepared pursuant to Article 5, the
opinions expressed pursuant to Article 6 and the results of any
transboundary consultations entered into pursuant to Article 7
shall be taken into account during the preparation of the plan
or programme and before its adoption or submission to the
legislative procedure.

2.
For plans and programmes for which the obligation to
carry out assessments of the effects on the environment arises
simultaneously from this Directive and other Community legis-
lation, Member States may provide for coordinated or joint
procedures
relevant
Community legislation in order, inter alia, to avoid duplication
of assessment.

requirements of

fulfilling

the

the

Article 9

Information on the decision

3.
For plans and programmes co-financed by the European
Community, the environmental assessment in accordance with
in conformity with the
this Directive shall be carried out
specific provisions in relevant Community legislation.

1. Member States
shall ensure that, when a plan or
programme is adopted, the authorities referred to in Article
6(3), the public and any Member State consulted under Article
7 are informed and the following items are made available to
those so informed:

(a) the plan or programme as adopted;

(b) a statement summarising how environmental considera-
tions have been integrated into the plan or programme and
how the environmental report prepared pursuant to Article
5, the 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
and the reasons for choosing the plan or programme as
adopted, in the light of the other reasonable alternatives
dealt with, and

(c) the measures decided concerning monitoring in accordance

with Article 10.

2.
The detailed arrangements concerning the information
referred to in paragraph 1 shall be determined by the Member
States.

Article 10

Monitoring

1. Member States shall monitor the significant environ-
mental effects of the implementation of plans and programmes
in order,
inter alia, to identify at an early stage unforeseen
adverse effects, and to be able to undertake appropriate reme-
dial action.

2.
In order to comply with paragraph 1, existing monitoring
arrangements may be used if appropriate, with a view to
avoiding duplication of monitoring.

Article 12

Information, reporting and review

1. Member States and the Commission shall exchange infor-
mation on the experience gained in applying this Directive.

2. Member States shall ensure that environmental reports
are of a sufficient quality to meet the requirements of this
Directive and shall communicate to the Commission any meas-
ures they take concerning the quality of these reports.

Before 21 July 2006 the Commission shall send a first
3.
report on the application and effectiveness of this Directive to
the European Parliament and to the Council.

With a view further to integrating environmental protection
requirements, in accordance with Article 6 of the Treaty, and
taking into account the experience acquired in the application
of this Directive in the Member States, such a report will be
accompanied by proposals for amendment of this Directive, if
appropriate. In particular, the Commission will consider the
possibility of extending the scope of this Directive to other
areas/sectors and other types of plans and programmes.

A new evaluation report shall follow at seven-year intervals.

4.
The Commission shall report on the relationship between
this Directive and Regulations (EC) No 1260/1999 and (EC) No
1257/1999 well ahead of
the programming
periods provided for in those Regulations, with a view to
ensuring a coherent approach with regard to this Directive and
subsequent Community Regulations.

the expiry of

Article 13

Article 11

Implementation of the Directive

Relationship with other Community legislation

1.
An environmental assessment carried out under this
Directive shall be without prejudice to any requirements under

1. Member States shall bring into force the laws, regulations
and administrative provisions necessary to comply with this
Directive before 21 July 2004. They shall forthwith inform the
Commission thereof.

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they shall
2. When Member States adopt
contain a reference to this Directive or shall be accompanied by
such reference on the occasion of their official publication. The
methods of making such reference shall be laid down by
Member States.

the measures,

3.
The obligation referred to in Article 4(1) shall apply to
the plans and programmes of which the first formal prepara-
tory act is subsequent to the date referred to in paragraph 1.
Plans and programmes of which the first formal preparatory
act is before that date and which are adopted or submitted to
the legislative procedure more than 24 months thereafter, shall
be made subject to the obligation referred to in Article 4(1)
unless Member States decide on a case by case basis that this is
not feasible and inform the public of their decision.

4.
Before 21 July 2004, Member States shall communicate
to the Commission, in addition to the measures referred to in
paragraph 1, separate information on the types of plans and
in accordance with Article 3, would be
programmes which,
subject
to this
to an environmental assessment pursuant
Directive. The Commission shall make this information avail-

able to the Member States. The information will be updated on
a regular basis.

Article 14

Entry into force

This Directive shall enter into force on the day of its publica-
tion in the Official Journal of the European Communities.

Article 15

Addressees

This Directive is addressed to the Member States.

Done at Luxembourg, 27 June 2001.

For the European Parliament

For the Council

The President

N. FONTAINE

The President

B. ROSENGREN

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ANNEX I

Information referred to in Article 5(1)

The information to be provided under Article 5(1), subject to Article 5(2) and (3),

is the following:

(a) an outline of the contents, main objectives of the plan or programme and relationship with other relevant plans and

programmes;

(b) the relevant aspects of the current state of the environment and the likely evolution thereof without implementation

of the plan or programme;

(c) the environmental characteristics of areas likely to be significantly affected;

(d) any existing environmental problems which are relevant to the plan or programme including, in particular, those
importance, such as areas designated pursuant to Directives

relating to any areas of a particular environmental
79/409/EEC and 92/43/EEC;

(e) the environmental protection objectives, established at international, Community or Member State level, which are
relevant to the plan or programme and the way those objectives and any environmental considerations have been
taken into account during its preparation;

(f) the likely significant effects (1) on the environment, including on issues such as biodiversity, population, human
health, fauna, flora, soil, water, air, climatic factors, material assets, cultural heritage including architectural and
landscape and the interrelationship between the above factors;
archaeological heritage,

(g) the measures envisaged to prevent, reduce and as fully as possible offset any significant adverse effects on the

environment of implementing the plan or programme;

(h) an outline of the reasons for selecting the alternatives dealt with, and a description of how the assessment was
undertaken including any difficulties (such as technical deficiencies or lack of know-how) encountered in compiling
the required information;

(i) a description of the measures envisaged concerning monitoring in accordance with Article 10;

(j) a non-technical summary of the information provided under the above headings.

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

and negative effects.

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ANNEX II

Criteria for determining the likely significance of effects referred to in Article 3(5)

1. The characteristics of plans and programmes, having regard,

in particular, to

— the degree to which the plan or programme sets a framework for projects and other activities, either with regard to

the location, nature, size and operating conditions or by allocating resources,

— the degree to which the plan or programme influences other plans and programmes including those in a hierarchy,
— the relevance of the plan or programme for the integration of environmental considerations in particular with a

view to promoting sustainable development,

— environmental problems relevant to the plan or programme,
— the relevance of the plan or programme for the implementation of Community legislation on the environment (e.g.

plans and programmes linked to waste-management or water protection).

2. Characteristics of the effects and of the area likely to be affected, having regard,

in particular, to

— the probability, duration, frequency and reversibility of the effects,
— the cumulative nature of the effects,
— the transboundary nature of the effects,
— the risks to human health or the environment (e.g. due to accidents),
— the magnitude and spatial extent of the effects (geographical area and size of the population likely to be affected),
— the value and vulnerability of the area likely to be affected due to:

— special natural characteristics or cultural heritage,
— exceeded environmental quality standards or limit values,
— intensive land-use,

— the effects on areas or landscapes which have a recognised national, Community or international protection status.