Jerzy Jendrośka EU Environmental Impact Assessment (EIA) Directive and Espoo Convention - understanding the international EIA concept

Transcription

1 Jerzy Jendrośka EU Environmental Impact Assessment (EIA) Directive and Espoo Convention - understanding the international EIA concept Training workshop on Environmental Impact Assessment (EIA) Kiev, November 2017 Jerzy Jendrośka 1

2 Content Origins and concept of environmental assessment Environmental assesment in international law UNECE Espoo Convention UNECE Aarhus Convention EU EIA Directive Conceptual differences between nternational standards and OVOS/expertiza systems Jerzy Jendrośka 2

3 Origins and development of environmental assessment US National Environmental Policy Act of 1969 covers: plans, programs, policies, legislative proposals, concrete projects key role of discussing alternatives concept of tiering Currently in all developed environmental national frameworks International and supra-national (EU) framework in Europe Harmonization of national procedures Transboundary procedure Jerzy Jendrośka 3

4 Concept of environmental assessment Preventive tool related to planned activities which may have siginificant impact on the environment Scope Environmental impact assessment (EIA): individual projects Strategic environmental assessment (SEA): plans and programs policies Legislation Habitat/biodiversity assessment EIA and SEA limited to impact on habitat Jerzy Jendrośka 4

5 Role of environmental assessment collection of information consideration of alternatives integration of environmental concerns with economic, social etc concerns avoidance of irreversible effects procedural tool advisory vs decisive role specific situation in case of significant adverse effect on integrity of Natura 2000 site Jerzy Jendrośka 5

6 Alternatives For the activity For example: highways or railroads Within the activity Locational (northern or southern bypass) Technological ( concrete or asphalt) Mitigation measures (speed limit or noise ecran) Wariant 0 Wariant the most ecological Jerzy Jendrośka 6

7 Concept of tiering Transport policy (SEA) highways or railroads National highway program (SEA) locational alternatives Regional/local land use plan (SEA) locational alternatives Stretches (EIA) technological and mitigation alternatives Jerzy Jendrośka 7

8 Procedural steps Screening and informing about its results Stages scoping submitting assessment documentation taking into account the results of assessment in the decision informing about the decision together with reasons Obligatory elements (at various stages) consultation with environmental authorities public participation Transboundary consultation (if applicable) Jerzy Jendrośka 8

9 SEA and EIA Procedural similarities Scope of assessment Physical impact in EIA vs achievement of environmental objectives in SEA Larger scale and less precise data Role in the procedure: developers in EIA vs planning agencies in SEA (see General Guidance..) Legal framework One law with separate schemes for EIA and SEA YES One scheme for EIA and SEA NO Jerzy Jendrośka 9

10 SEA and EIA Procedural similarities Scope of assessment Physical impact in EIA vs achievement of environmental objectives in SEA Larger scale and less precise data Role in the procedure: developers in EIA vs planning agencies in SEA (see General Guidance..) Legal framework One law with separate schemes for EIA and SEA YES One scheme for EIA and SEA NO Jerzy Jendrośka 10

11 Environmental assessment documentation Different names (report, statement, study) Obligatory elements Description of activity Description of environment to be affected Alternatives Description of impact Mitigation measures Gaps in knowledge Non-technical summary Jerzy Jendrośka 11

12 Environmental asessment in international law - general principles General principles of international law Trail Smelter case - arbitration tribunal Nagymaros-Gabcikovo case ICJ Pulp Mill case - ICJ Rio Declaration on Environment and Development Integration principle Principle 4 Environmental Assessment Principle 17 Responsibility for transboundary environmental damage - Principle 2 Transboundary procedure (Principles 18 and 19) Jerzy Jendrośka 12

13 Environmental assessment in international law Application mostly agreements concerning use of natural resources 2 specific agreements: Convention on Transboundary EIA (Espoo) 1991 SEA Protocol of 2003 Role harmonization of national procedures transboundary procedure Opole University 13

14 Development of legal framework in Europe EIA Directive 1985 impact of projects Espoo Convention 1991 transboundary impact of projects Habitat Directive 1992 impact of plans, programs and projects on protected habitats (Natura 2000 sites) UNECE Aarhus Convention 1998 access to information, public participation in decision-making and access to justice in environmental matters SEA Directive 2001 impact of plans and programs Kiev SEA Protocol transboundary impact of plans and programs Jerzy Jendrośka 14

15 EIA and co-related legal instruments EIA and SEA UNECE SEA Protocol EU SEA Directive EIA and Habitat Assessment Convention on Biological Diversity of 1992 art. 14 and Guidelines adopted by COP 6 in the Hague in 2002 EU Habitat Directive EIA and Industrial Accidents UNECE Convention on the Transboundary Effects of Industrial Accidents EU Seveso III Directive Jerzy Jendrośka 15

16 UNECE Espoo Convention and EU EIA Directive Both regulate the project level 1 list of activities (projects) in Espoo 2 lists of projects in EIA Directive Espoo Convention focused on transboundary procedure (EIA national procedure only in Art.2) EIA Directive focused on national EIA procedures (transboundary procedure only in Art.7) Jerzy Jendrośka 16

17 Habitat assessment scope of application Any project or plan/program likely to have a significant effect on Natura 2000 site either individually or in combination with other plans/programs or projects not directly connected with or necessary to the management of the site For plans/programs part of SEA For projects Anex I and II projets usually part of EIA For any other project usually separate habitat assessment Jerzy Jendrośka 17

18 EIA/SEA and habitat assessment Any project or plan/program no list! Assessment limited to impact on the integrity of the Natura 2000 Substantive effect! Different approach to alternatives Jerzy Jendrośka 18

19 Habitat assessment substantive effect Project/plan/program which will adversely affect the integrity of the Natura 2000 site can be approved only for imperative reasons of overriding public interest no alternatives exist compensation measures adopted In case of priority natural habitat/species opinion of EC Jerzy Jendrośka 19

20 UNECE Espoo Convention and EU EIA Directive Both regulate the project level 1 list of activities (projects) in Espoo 2 lists of projects in EIA Directive Espoo Convention focused on transboundary procedure (EIA national procedure only in Art.2) EIA Directive focused on national EIA procedures (transboundary procedure only in Art.7) Jerzy Jendrośka 20

21 Espoo convention - status and developments Adopted and signed in Espoo in 1991 entered into force 10 September 1997 status: 44 Parties First amendment - MOP II definition of the public open to non-unece countries Second amendment - MOP III scoping extended list of activities on Appedix I review of compliance Jerzy Jendrośka 21

22 When transboundary EIA is required? Espoo Convention requires transboundary EIA for proposed activity which may have impact significant adverse transboundary Prior to a decision to authorize or undertake a proposed activity Jerzy Jendrośka 22

23 General obligation Article 2.1 requires The Parties shall, either individually or jointly, take all appropriate and effective measures to prevent, reduce and control significant adverse transboundary environmental impact from proposed activities Jerzy Jendrośka 23

24 Espoo obligations and sovereign rights initiation of the transboundary procedure under the Convention does not prevent the Party of origin from undertaking such proposed activities after having carried out the transboundary procedure, provided that due account is taken of the transboundary procedure s outcome in the final decision (EIA/IC/S/1, para 56 - ECE/MP.EIA/10 ) Jerzy Jendrośka 24

25 Obligations as Party of origin Related to national EIA procedure Related to initiating transboundary EIA procedure - notification Related to conducting transboundary EIA procedure in co-operation with the affected Party Jerzy Jendrośka 25

26 Obligations related to national EIA procedure Establishing proper framework for national EIA procedure Conducting in practice national EIA procedure Jerzy Jendrośka 26

27 Proper framework for national EIA procedure - I Article 2.2 and 2.3 requires to establish national EIA procedure before a decision to authorise or undertake any activity listed in Appendix I, and other activity if so agreed under Article 2.5 Such national EIA procedure shall permit public participation preparation of EIA documentation described in Appendix II Jerzy Jendrośka 27

28 Proper framework for national EIA procedure - II Within such procedure the oportunity to participate provided for the public of the affected Party must be equivalent to that provided to its own public (Article 2.6) Such national EIA procedure shall be so constructed to permit conducting transboundary EIA procedure and taking due account of its results (Article 6.1) Jerzy Jendrośka 28

29 Conducting national EIA procedure in practice - I Party of origin must ensure that before taking a decision to authorise or undertake any activity listed in Appendix I, and other activity if so agreed under Article 2.5 a national EIA is conducted in a way that allows to identify whether such activity is likely to cause a significant transboundary impact Jerzy Jendrośka 29

30 Conducting national EIA procedure in practice II In case such activity is likely to cause a significant transboundary impact appropriate arrangements are made to ensure that potentially affected Party is duly notified if potentially affected Party so wishes - transboundary EIA is conducted in the final decision due account is taken of the results of transboundary EIA Jerzy Jendrośka 30

31 SEA Protocol Adopted in 2003 in Kiev to cover strategic decisions (plans, programs and policies) Content mostly about national framework transboundary procedure in Article 10 Status Parties - 26 (including EU) in force since July 2010 Jerzy Jendrośka 31

32 Bilateral (or multilateral) agreements Provided in Article 8 Content - arrangements to implement obligations elements in Appendix VI in practice also: establish points of contacts decide who pays for translation make arrangements for public participation Jerzy Jendrośka 32

33 Compliance mechanisms Review of compliance reporting compliance procedure Inquiry procedure Dispute settlements Jerzy Jendrośka 33

34 Review of compliance Legal basis MOP Decisions Article 14bis (added in 2004 by MOP III) Implementation Committee Reporting system Compliance procedure Jerzy Jendrośka 34

35 Synergies with other conventions UNECE Industrial Accidents Convention UNECE Aarhus Convention Conventions requesting EIA to be conducted UNECE Water Convention Convention on Biological Diversity of 1992 art. 14 and Guidelines adopted by COP 6 in the Hague in 2002 Helsinki Convention (Baltic Sea) Teheran Convention (Caspian Sea) EIA Protocol Jerzy Jendrośka 35

36 SEA and co-related legal instruments SEA and EIA UNECE Espoo Convention EU EIA Directive SEA and Habitat Assessment Convention on Biological Diversity of 1992 art. 14 and Guidelines adopted by COP 6 in the Hague in 2002 EU Habitat Directive SEA and Industrial Accidents UNECE Convention on the Transboundary Effects of Industrial Accidents EU Seveso III Directive Jerzy Jendrośka 36

37 Aarhus Convention Convention on Access to Information, Public Participation in Decision-making and Access to Justice in Environmental Matters adopted and signed in Aarhus (Denmark) Maastricht Recommendations on Public Participation 2014 Aarhus Convention Implementation Guide 2000 and 2013 Available online and in hard copies C-182/10 Solvay and Others and C-279/12 Jerzy Jendrośka 37

38 Structure of the Convention Objective right to environment (art. 1) Definitions (art. 2) General provisions (art. 3) Operative provisions 3 pillars (art. 4-9) Meeting of the Parties (art.10) Compliance mechanism (art.15) Jendrośka Jerzmański Bar i Wspólnicy; 38

39 3 pillars Access to information passive disclosure Art. 4 active disclosure Art. 5 Public participation decisions whether to permit specific activities which may have a significant effect on the environment - art 6 GMO decisions Art. 6 bis plans/programs relating to environment Art. 7 policies relating to environment Art. 7 normative acts/legally binding rules that may have a significant effect on the environment Art. 8 Access to justice reddress in case of abusing right to information - art.9.1 reddress in case of abusing right to participate - art.9.2 separate right to file a public interest law suit - art Jerzy Jendrośka

40 Monitoring compliance mechanism Implementation reports Compliance Committee Compliance procedure Jerzy Jendrośka 40

41 Compliance Committee Nine independent members (eight before MoP-3 in 2008) Elected to serve in personal capacity Regional balance Nomination by MOP Jerzy Jendrośka 41

42 EIA Directive EIA Directive 85/337 Amended by Directive 97/11 of 1997 Public participation Directive 2003/35 Directive 2009/31/EC Directive 2011/92/EU of 13 December 2011 on the assessment of the effects of certain public and private projects on the environment (codification) amended by Directive 2014/52/EU Main EU legal instrument to implement Espoo Convention art.6 and 9.2 of the Aarhus Convention Jerzy Jendrośka 42

43 Basic requirements art.2 Projects likely to have significant effects on the environment are subject to development consent EIA procedure before development consent is granted EIA can not be after consent! - C-215/06 (EC vs Ireland) EIA procedure is followed strictly need for EIA to be interpreted broadly and strictly - C-72/95 (Kraaijeveld) EC Guidance materials Opole University 43

44 Projects subject to assessment art.4 Environmental assesment is required for projects likely to have significant effects on the environment Projects subjet to EIA Directive are listed in Annex I and Annex II Projects listed in Annex I by definition are likely to have significant effects on the environment and therefore always require assesment Projects listed in Annex II Member States must determine (using screening methods and criteria listed in Annex III) if a project belonging to a category of projects listed in Annex II is likely to have significant effects on the environment and therefore assesment is needed Jerzy Jendrośka 44

45 EIA Directive - procedural steps Screening for projects in Annex II art.4.2 and Annex III Scoping art.5.2 Preparation of EIA documentaton art.5.3 and Annex IV Consultation with environmental authorities art.6.1 Public participation art.6,2-6.6 Transboundary procedure art.7 Decision and informing thereof art. 8-9a Post-project monitoring art.8a.4 Access to justice art.11 Jerzy Jendrośka 45

46 EIA and development control procedures in EU - typical examples Integration into existing development consent procedures Zoning/siting decisions and building/construction permits Examples: Britain, Germany, Poland (before 2009) Special procedures Environmental (EIA) decisions Examples : Bulgaria, Czech Republic, Hungary, Romania, Slovakia, Lithuania, Poland (since 2009) Jerzy Jendrośka 46

47 Development control procedures for specific projects - typical structure in EU EIA decision Siting decision/planning permission Construction/building permit Pollution control (IPPC) permit and/or resource use decisions (e.g. water permit, mining license, nuclear permit) Cases multiple decision-making (C-416/10, Križan) main and implementing decision - C-201/02 (Delena Wells) need for repeating EIA - Crystal Palace/White City (C- 508/03), Barker (C-290/03) Jerzy Jendrośka 47

48 EIA - practice in EU Full EIAs yearly appr Screening of Annex II projects Appr yearly (positive ) Average duration 11,6 months Average costs 1% of project costs ( Euro per EIA average) Jerzy Jendrośka 48

49 Environmental assessment and EU funding Introduced gradually into EU funding scheme since 1994 For programming period under Regulations 1083/2006 and 1828/2006 evidence needed for: EIA/Sea /habitat assessments and public participation Rigorous application by European Commission Control Before approving funding Post project control Sanctions Jerzy Jendrośka 49

50 Genesis concept of Espoo and Aarhus Conventions Based on Western EIA concept designed for market economy assuming well established development control Procedural and process oriented Obligations put on authorities Jerzy Jendrośka 50

51 Genesis concept of OVOS/expertiza Traditions of OVOS/expertiza systems in Eastern Europe, the Caucasus and Central Asia Designed for centrally planned economy Substance oriented Two separate legal regimes OVOS - responsibility of developer Expertiza(s) - responsibility of various agencies Jerzy Jendrośka 51

52 Key conceptual differences Legal character of environmental assessment Procedural (intl standard) Substantive (OVOS/expertiza) Done by Authority competent to make a decision (intl standard) Technical experts (OVOS/expertiza) Role of EIA/SEA report in the assessment One of the elements of the assessment (intl standard) Document summarising results of assessment (OVOS/expertiza) Jerzy Jendrośka 52

53 Definition of EIA in UNEP Goals and Principles EIA means an examination, analysis and assessment of planned activities with a view to ensuring environmentally sound and sustainable development. Jerzy Jendrośka 53

54 Definition of EIA in Espoo Convention Under Art.1 (v) of the Espoo Convention environmental impact assessment means: national procedure for evaluating the likely impact of a proposed activity on the environment Jerzy Jendrośka 54

55 Definition of EIA in EU EIA Directive environmental impact assessment means a process consisting of: (i) the preparation of an environmental impact assessment report by the developer (ii) the carrying out of consultations. (iii) the examination by the competent authority of the information presented in the environmental impact assessment report and any supplementary information provided, where necessary, by the developer, and any relevant information received through the consultations ; (iv) the reasoned conclusion by the competent authority on the significant effects of the project on the environment, taking into account the results of the examination referred to in point (iii) and, where appropriate, its own supplementary examination; and (v) the integration of the competent authority's reasoned conclusion into any of the decisions referred to in Article 8a. Jerzy Jendrośka 55

56 Definition of EIA in Belarus law on ecological expertiza of 2009 "Environmental Impact Assessment" means identification of possible environmental impact of expected changes in the environment due to implementing proposed project decisions during the development of project documentation as well as prediction of its state in the future in order to take decisions concerning possibility or impossibility of project decision implementation; Jerzy Jendrośka 56

57 Definition of EIA in art.35 of Environmental Code in Kazakhstan Оценка воздействия на окружающую среду процедура, в рамках которой оцениваются возможные последствия хозяйственной и иной деятельности для окружающей среды и здоровья человека, разрабатываются меры по предотвращению неблагоприятных последствий (уничтожения, деградации, повреждения и истощения естественных экологических систем и природных ресурсов), оздоровлению окружающей среды с учетом требований экологического законодательства Республики Казахстан. Jerzy Jendrośka 57

58 Art.36.4 of Environmental Code in Kazakhstan 4. Заказчик (инициатор) и разработчик проектов обязаны учитывать результаты проведенной оценки воздействия на окружающую среду и обеспечивать принятие такого варианта, который наносит наименьший вред окружающей среде и здоровью человека. Jerzy Jendrośka 58

59 Definition of EIA in the Code of Environmental Assessment in Georgia - a procedure to examine, on the basis of appropriate studies and research, a potential environmental impact of a proposed project, which may have significant environmental impact. EIA process includes scoping, preparation of an environmental impact assessment report, carrying out public participation and consultations with the competent authorities and making a reasoned conclusion from examination of their results, taking them and any other information into account in issuing Environmental Decision envisaged by this Code and/or in issuing a relevant authorizing administrative legal act envisaged by the existing legislation, which entitles to proceed with the project Jerzy Jendrośka 59

60 Definition of EIA Report in Belarus law on ecological expertiza of 2009 "Report on environmental impact assessment" means a component of project documentation on planned economic and other activity (hereinafter, unless otherwise specified, - project documentation), containing information with respect to the findings of Environmental Impact Assessment and measures required to mitigate and/or prevent predicted changes in the environment; Jerzy Jendrośka 60

61 Definition of EIA Report in the Code of Environmental Assessment in Georgia EIA Report - a document prepared by the developer and/or for the developer by the consultant having relevant qualification during the environmental impact assessment process and containing the information required by this Code. Jerzy Jendrośka 61

62 Issues of concern Scope of activities covered Scope of assessment Regulatory control Public participation Transboundary procedure Final decision Opole University 62

63 Consequences Conceptual dicrepancy between OVOS/expertiza systems and requirements of the Espoo Convention and Aarhus Convention) Risk of repeated cases at the Espoo Implementation Committee and Aarhus Compliance Committee Need for systemic approach Opole University 63

64 Approaches to legislative reform in different countries New modern legal schemes for SEA and EIA Combination of new modern legal schemes for SEA and EIA with elements of state ecological expertise Addressing requirements of the Protocol on SEA and Espoo Convention within the traditional OVOS/ ecological expertise system. Jerzy Jendrośka 64

65 Legislative dilemmas and approaches to legislative reform: relations to expertiza and scope Relation to expertiza Abolishment of expertiza and work towards totally new EIA/SEA system Combination of modern EIA/SEA with expertiza Scope - implementation of UNECE standards EU standards Biodiversity assessment 28 February 2017

66 Legislative dilemmas and approaches Form to legislative reform: form and legislative technique One new law on EIA/SEA and expertiza Separate laws on EIA and SEA Amendments to existing laws Legislative technique Most details in legislation Only main principles in legislation while details in executive regulations Jerzy Jendrośka 66

67 Conclusions Directions regarding legislative reform Relation to expertiza Scope Form Legislative technique Must-have list to comply with international standards under Espoo Jerzy Jendrośka 67

68 Compatibility with international standards Formal compatibility Definitions Field of application Procedural provisions Annexes Practical compatibility Conceptual compatibility Scheme implementable in practice Jerzy Jendrośka 68