First published in Azerbaijan by United Nations Environment Programme and Caspian
Environment Programme
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(EBRD) or contributory organizations. The designations employed and the presentations do
not imply the expressions of any opinion whatsoever on the part of UNEP, UNECE (Espoo
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Design and Layout Frederic Ballenegger and Rie Tsutsumi
Front cover Frederic Ballenegger
Picture Montola Nikita
Printed by Ideal Business
Guidelines on
Environmental Impact Assessment
in a Transboundary Context in the
Caspian Sea Region
Step by step procedures
2
Contents
Page
Foreword
Acknowledgement
Definitions
Introduction
8
1
Background
information
8
2 Objectives and structure of the guidelines
9
Guidelines
for
Country
of
Origin 11
1
Applicability
11
2 Identification of project with potential transboundary impacts
11
3
Preparing
Notification
12
4 Notification to affecter countries and Caspian Environment
Programme
13
5
Follow-up
and
Response
16
6 Contacts between competent authorities and Public Participation
Requirements 17
7 Transmittal of draft EIA documents to affected countries and Caspian
Environment
Programme
17
8 Public Consultation (draft EIA Stage)
17
9
Final
Decision
on
EIA 18
Guidelines
for
Affected
Countries
20
1
Applicability
20
2 Receiving notification of project with potential transboundary
impacts
20
3
Preparing
the
response
20
4
Transmission
of
Response
21
5 Review of draft EIA and Public Consultation
21
6 Role of authorities in transmittal of comments to the country of
origin/project
developer
22
7 Receipt of final approval of project and communication to consulted
public
22
Guidelines
for
Developer
23
1
Applicability
23
2 Identification of potential
transboundary
impact
23
3
Preparing
notification 24
4 Notification to affected countries and Caspian Environment
Programme
26
3
5
Follow-up
and
Response
27
6 Contacts between competent authorities and public consultation
27
7 Transmittal of draft EIA documents to affected countries and
Caspian
Environment
Programme
28
8 Public Consultation (draft EIA stage)
28
9 Summary of Comments, Final Decision on EIA
29
10
Final
Report
29
Annex 1 Convention on Environmental Impact Assessment in a
30
transboundary context, Espoo (Finland)
Annex
2
Notification
Letter
43
Annex
3
Response
Letter
46
Annex
4
Public
Consultation
48
Annex 5 About Caspian Environment Programme
49
Annex
6
Flow
chart 50
4
Foreword
The Framework Convention for the Protection of the Marine Environment of
the Caspian Sea, the outcome of eight years of hard work, was signed by the
five Caspian littoral states (Azerbaijan, Iran, Kazakhstan, Russia and
Turkmenistan) early November 2003. As stressed by the UN secretary-
General, Mr. Kofi Annan, the signing of the Caspian Framework Convention is
a `significant step forward for the region' and, once ratified, `this landmark
treaty will benefit the health and livelihoods of hundreds of millions of people'.
In the Caspian Sea, a number of activities, for example oil extraction, may
adversely affect the environment, natural resources, and people's health
across borders. Environmental Impact Assessment in a transboundary
context can help to prevent and minimise such adverse transboundary
environmental impacts. The assessment process will moreover contribute to
the dialogue between countries concerning the establishment of
environmental disaster prevention plans in the region, such as oil spill
prevention plans.
Environmental Impact Assessment in a transboundary context, requires a fully
harmonised procedure in the region. This is the first attempt to establish a
harmonised regional procedure for the implementation of the Convention on
Environmental Impact Assessment in Transboundary Context
It has not been easy to reach agreement on a set of harmonised procedures
for Environmental Impact Assessment in a transboundary context. However,
the difficulties arising from differences in national Environmental Impact
Assessment procedures and in language were overcome and the guidelines
could be successfully developed and agreed upon by consensus.
It is a pleasure for me to commend these guidelines to the attention to the five
Caspian littoral states: I am confident that the guidelines will provide the
Governments with practical step by step procedures to implement
Environmental Impact Assessment in a transboundary context in the Caspian
Sea region, and I hope that this will contribute to further regional cooperation
and protection of the marine environment of the Caspian Sea.
Frits Schlingemann
Director and Regional Representative
UNEP Regional Office for Europe
5
Acknowledgements
Practical guidelines for the regional implementation of the requirements of the
UNECE Convention on Environment Impact Assessment in a Transboundary
Context (the "Espoo" Convention) were developed by the five Caspian littoral
states (Azerbaijan, the Islamic Republic of Iran, Kazakhstan, Russia and
Turkmenistan), with support from the United Nations Environment Programme
(UNEP), the United Nations Economic Commission for Europe (UN/ECE), the
European Bank for Reconstruction and Development (EBRD), and the
Caspian Environment Programme (CEP). The guidelines aim to provide
practical step-by-step procedures for the implementation of EIA in a
transboundary context in the Caspian Sea region, based on the Espoo
Convention.
The development of the guidelines was first recommended at a Regional
Environmental Law workshop held in Baku in December 2001. At two
meetings in Moscow in November 2002 and Baku in October 2003,
participants discussed and reached consensus on the detailed procedures.
The meeting in Moscow was supported by the Centre for International
Projects and the meetings in Baku were supported by the Caspian
Environment Programme.
Elizabeth Smith (EBRD) and Rie Tsutsumi (UNEP) drafted the guidelines,
which were extensively commented by Wiek Schrage (UNECE Espoo
Convention Secretariat). The five Caspian littoral states held national
consultative meetings involving ministries, NGOs, local authorities (from the
Caspian coastal area), and project developers (in particular, oil and gas
companies). Comments were also provided by the Caspian Environment
Programme Coordination Unit, Economics and Trade Branch (ETB), UNEP
Regional Office for Europe (ROE), and Svetlana Golubeva, who completed
the Russian translation. A special thanks to Hamid Ghaffarzadeh,
Programme Coordinator of the CEP, who organised the publication of the
guidelines, and to all who participated in the development process at the
meetings in Baku and Moscow, and in the national consultations.
On 4 November 2003, a month after the guidelines were agreed, the
Framework Convention for the Protection of the Marine Environment of the
Caspian Sea was signed. The importance of communication and the
implementation of environmental impact assessments are noted in the
Convention.
6
Definitions
For the purposes of this Guideline
(i) "Country of origin" means the country under whose jurisdiction a proposed activity
is envisaged to take place;
(ii) "Affected Country" means the country likely to be affected by the transboundary
impact of a proposed activity which originates outside its jurisdiction;
(iii) "Concerned Parties" means the Country of origin and the affected Country(ies),
and in some cases, the interested public, of an environmental impact assessment
pursuant to the Espoo Convention;
(iv) "Proposed activity" means any activity or any major change to an activity subject
to a decision of a competent authority in accordance with an applicable national
procedure;
(v) "Environmental impact assessment" means a national procedure for evaluating
the likely impact of a proposed activity on the environment;
(vi) "Impact" means any effect caused by a proposed activity on the environment
including human health and safety, flora, fauna, soil, air, water, climate, landscape
and historical monuments or other physical structures or the interaction among these
factors; it also includes effects on cultural heritage or socio-economic conditions
resulting from alterations to those factors;
(vii) "Transboundary impact" means any impact, not exclusively of a global nature,
within an area under the jurisdiction of a country caused by a proposed activity the
physical origin of which is situated wholly or in part within the area under the
jurisdiction of another country;
(viii) "Competent authority" means the national authority or authorities designated by
a country to be responsible for performing the tasks covered by Espoo Convention
and/or the authority or authorities entrusted by a country with decision-making
powers regarding a proposed activity;
(ix) "The Public" means one or more natural or legal persons.
(x) "Point of Contact " means the official point of notification in a country under the
Espoo Convention.
(xi) "Focal Point" means a person knowledgeable about the Convention for
administrative matters, but should not be confused with the 'Point of Contact' above.
7
Introduction
1 Background information
The Caspian Sea, surrounded by the five littoral states of Azerbaijan, Islamic
Republic of Iran, Republic of Kazakhstan, Russian Federation, and
Turkmenistan, is the largest inland body of water on earth. The isolation of the
Caspian basin together with its climatic and salinity gradients have created a
unique ecological system. The increasing anthropogenic pressure has
resulted in the degradation of water quality, the overexploitation and
impoverished Caspian Biota.
Recognizing the seriousness of the growing environmental problems of the
Caspian Sea region and their impact on the social and economic development,
four of the five Caspian littoral states adopted the Almaty Declaration on
Cooperation of the Environmental Protection of the Caspian Sea Region
(1994). They decided to undertake a coordinated action and called for the
assistance of the international community. As a response, a joint United
Nations Development Programme (UNDP), Word Bank (WB) and United
Nations Environment Programme (UNEP) mission to the Caspian region in
1995 confirmed the severity of the environmental problems in the region and
recommended the development and implementation of a Caspian
Environment Programme (CEP) and Framework Convention for the Protection
of the Marine Environment of the Caspian Sea as a long-term strategy for the
protection and management of the Caspian environment.
There are a large number of potential projects with possible transboundary
impact in the region, including oil extraction projects, and the call for the
establishment of a set of harmonised procedure for EIA in a transboundary
context has been getting bigger. The absence of the agreed procedure for EIA
in a transboundary context is problematic not only for the protection of
ecosystem but also for project developers who would like to ensure all legal
requirements, including national and international commitments are in
compliance.
The Convention on Environmental Impact Assessment in a transboundary
context (Espoo convention), signed in 1991, requires Parties to conduct EIA
across borders between Parties of the Convention when a planned activity
may cause significant adverse transboundary impact. Out of five countries in
the Caspian Sea region, two countries (Azerbaijan and Kazakhstan) have
ratified and one country (Russian Federation) signed but has not yet ratified
the Convention on Environmental Impact Assessment in a transboundary
context (Espoo convention)1. Turkmenistan has not signed nor ratified the
1 Azerbaijan ratified on 20.3.1999, Kazakhstan ratified 11.01.2001, Russian Federation signed
06.06.1991.
8
convention, and Iran is not a member state of the UNECE. However, with the
recent amendment of the Espoo convention, Iran can become a party 2 .
Although not all countries in the region committed themselves to the Espoo
convention, the importance of the implementation of the EIA in a
transboundary context is highlighted in order to achieve the sustainable use of
natural resources and protect unique ecosystem in the Caspian Sea region.
At a workshop on "Implementation and Capacity Building on EIA in a Trans-
boundary Context in Caspian Sea Region", organised by UNEP in
cooperation with the Secretariat of UNECE Convention on Environmental
Impact Assessment in a Transboundary Context (Espoo), and the European
Bank for Reconstruction and Development (EBRD), and with the support of
the Centre for International Projects (CIP), 27 29 November 2002, Moscow,
the delegation from the Caspian littoral states agreed to create a set of
harmonised practical procedural guidance on EIA in a transboundary context,
based on the Espoo Convention.
For the effective implementation of EIA in a transboundary context in the
Caspian Sea region, it is necessary to establish the agreed procedure
between the governments of the region. Espoo Convention provides a general
procedural framework, but the practical details of the implementation are left
for the Parties to decide. The experts from the five littoral states discussed the
detailed procedures for the implementation of the EIA in a transboundary
context which takes regional context and national legal framework into
account.
Following the workshop, the draft guidance materials were prepared and
distributed among the national focal points of the Caspian five littoral states.
The national focal points have further reviewed these materials and held
national consultations.
In a second meeting, organised by UNEP in cooperation with UNECE and
EBRD, and with a support from Caspian Environment Programme
Coordination Unit, on 8-9 October 2003 in Baku, the experts from the five
littoral states discussed, amended and agreed on the final text of guidelines.
2 Objectives and structure of the guidelines
The purpose of the guidelines is to provide operational tools to implement EIA
in a transboundary context in the Caspian Sea region. The guidelines are
designed to be practical and easy to use. The target users will be competent
authority of the country of origin and affected countries, and developers in the
region.
The guidelines show detailed step-by-step procedures that were agreed by
the experts from the five littoral states at the two meetings mentioned above.
2 Also, it should be noted that Iran is a member of the Kuwaiti Seas Convention and therefore has
experience in transboundary cooperation on EIA.
9
The guidelines specify requirements identified by the Espoo Convention by
referring the articles.
The following guidance were prepared:
Guidelines for Country of Origin
Guidelines for Affected Countries
Guidelines for Developers
10
Guidelines for Country of Origin
1 Applicability
The guidelines can be used by countries who are initiating a proposed project
that may have the potential for a transboundary impact, and which will require
an Environmental Impact Assessment (EIA). The guidelines include
requirements identified under the Espoo Convention and suggestions (good
practice) for the effective implementation
2
Identification of project with potential
transboundary impacts
When a project first comes to the attention of the national competent
authorities, the authorities should `screen' the project to determine if the
characteristics meet the definition of an applicable project under the Espoo
Convention. This stage happens early in the project development process,
when permitting requirements are first being discussed with the project
developer.
Screening (Corresponding Espoo Convention Requirements Article 3.1)3
a) Is the project type included in the project list in the Espoo Convention
Appendix 1?
b) If the project type is not included in the project list in the Espoo
Convention Appendix 1, consult Appendix III `General criteria to assist
in the determination of the environmental significance of activities not
listed in Appendix 1' to see if there are other criteria that would apply,
or use national lists and/or legislation.
c) Identify the likely potential for significant transboundary impacts.
d) Determine if the project has potential for a transboundary impact and
require EIA;
Notify project developer of the general requirements (see Guidelines
for Developers);
Request information from project developer on proposed approach to
public consultation (see Annex 4 Public Consultation).
3 Requirements under the Espoo Convention are indicated in parentheses.
11
3 Preparing
notification
(Corresponding Espoo Convention Requirements Article 3.2)
Notification was identified by the Caspian littoral states as the key step for
ensuring the implementation of the requirements under the Espoo Convention.
They, therefore, considered that itis important to make it work effectively. It is
the responsibility of the country of origin to send the notification during the
`scoping' stage of the EIA process, and to ensure delivery of the documents to
the affected countries'. This can typically not be undertaken directly by the
project developer without the country of origin competent authority's
agreement.
3.1 Notification Letter (template attached in Annex 2)
The notification comprises a brief, non-technical letter, attached to a
summary of information on the project. The letter should also include the
timing of the EIA review process, description of how disclosure and
public consultation are planned, and contact details for the country of
origin and the project developer. The competent authorities of the
country of origin could ask the project developer to prepare a draft
notification letter and attach all the necessary information, and if
necessary, translate into languages as indicated in 4.1.
3.2 Summary of information
(Corresponding Espoo Convention Requirements Article 3.2, 3.5)
The information attached to the notification letter should have an
adequate technical content, including maps, for the affected country to
identify its level of interest in its' involvement in the EIA process. The
following information should be part of the notification package. [List
below is from www.unece.org/env/eia/notification.htm ]
a) Information on the nature of the proposed activity;
i) Whether the activity is listed in Appendix 1 to the Convention;
ii) Type of activity;
iii) Scope of activity (e.g. main activity and any/all peripheral
activities requiring assessment);
iv) Scale of activity (e.g., size, production capacity, et.);
v) Description of the activity (e.g., technology used);
vi) Description of the purpose of the activity;
vii) Rationale for proposed activity (e.g., socio-economic, physical-
geographic basis);
b) Information on the spatial and temporal boundaries of the
proposed activity;
i) Location and description of the location (e.g., physical-
geographic, socio-economic characteristics);
12
ii) Rationale for the location of the proposed activity (e.g., socio-
economic, physical-geographic basis)
iii) Time-frame for proposed activity (e.g., start and duration of
construction and operation);
iv) Maps and other pictorial documents connected with the
information on the proposed activity
c) Information on expected environmental impacts and proposed
mitigation measures:
i) Scope of assessment (e.g. consideration of cumulative
impacts, alternatives, sustainable development, associated
activities, etc.);
ii) Expected environmental impacts of the activity (e.g. types,
locations, magnitudes);
iii) Inputs (e.g. land, water, raw materials, power sources);
iv) Outputs (e.g. amounts and types of: emissions into the
atmosphere, discharges into the water system, solid waste);
v) Available information on the activity's possible significant
transboundary environmental impacts (e.g. types, locations,
magnitudes);
vi) Measures to prevent, eliminate, minimize or compensate for
transboundary environmental impacts;
d) Summary and timing of proposed consultation (country of origin
and affected country/ies), including a summary of complaint
process/grievance procedure;
e) Name, address and telephone/fax numbers of contact person e.g.
of project proponent (developer);
f) EIA documentation (e.g. EIA report or Environmental Impact
Statement), if already available.
3.3 Compensation for review, if applicable
The competent authority of the country of origin will discuss with the
competent authority of the affected country whether or not a fee to offset
review costs of the documentation is to be paid by the project developer
or by any other way within the agreed affected country review period.
4 Notification to affected countries and Caspian
Environment Programme
4.1 Language of the notification package
For the purpose of notification, if the affected country or countries
include Azerbaijan, Kazakhstan, the Russian Federation, or
Turkmenistan, the notification package (Notification letter, summary of
13
information, as in 3.2 above) should be provided in Russian language.
The notification package for Iran should be in English language. The
notification for the Caspian Environment Programme should be in both
Russian and English languages.4
4.2 Recipients
Notification should be sent to the official Point of Contact for Notification
(if the affected countries are the Parties of the Espoo Convention) or
competent authority. In the event that the official Contact Point is not the
competent environmental authority, a second set of the notification
package should be sent to the competent environmental authority.
Official list of the Point of Contact can be found on the Convention
website (http://www.unece.org/env/eia/contacts.htm) which is regularly
updated.
These should be in hard copy; however, an electronic copy can be sent
to the environmental competent authorities to give them advance notice
of the submittal. Please find the initial list of notification points below.
The Caspian Environment Programme website will contain, also, the
most current contact list at:
(http://www.caspianenvironment.org/transboundary.htm).
At this stage, the country of origin should inform the Coordination Unit of
the Caspian Environment Programme. Two complete sets of documents
(one each of English and Russian language) and a CD Rom containing
the files should be sent to the CEP. The CEP will post the name of the
project, a brief description, and contact information for the developer on
its website. A specific web-page is being established for this purpose.
Notification Points Contact Details
Status as of October 20035
Country/Institution Ministry
of
Foreign
Environmental
Affairs
Authorities
Azerbaijan
Ministry of Foreign Affairs *
Bagirov Guseingulu Seidogly
4 Shikhali Kurbanov Str.
Minister
370009 Baku
Ministry of environment and
Tel: +994 12 92.68.56
natural resources Azerbaijan
Fax: +994 12 98.84.80
370073, Baku,
ul. B. Agaeva, 100.
Tel: +994 12 92 59.07
Fax: +994 12 98 23 46
E-mail:
rsattarzade@azdata.net
4 If there are questions regarding translation, please contact Caspian Environment Programme (CEP)
for advice.
5 For current status of contact points, please refer to the Caspian Environment Programme website.
14
Islamic
International Economic and
Davoud Rahbar*
Republic
Specialised Affairs office *
Director General
of Iran
Ministry of Foreign Affairs
Department of Environment
Building West 8
No 187
Kuskemesri Avenue
Postal Code: 15875
Fax: 98 21 6704176
PO Box: 5181
Tel: 98 21 321 2662
Tehran, Iran
E-mail:smaeils@yahoo.com Fax 98 21 826 9918
Tel 98 21 826 7995
E-mail: davrah@yahoo.com
Kazakhstan
Ministry for Foreign Affairs
Zhambyl Bekzhanov *
65, Aiteke Bi Str.,
Department of State
480064 Almaty
Expertize and Licencing
Tel:: +7 3272 63.25.38 or
Ministry of Environment
63.78.45
Pobeda Stz.N31 Astana,
Fax: +7 3272 50.11.37
473000
tel: +7 3172 591963,
fax: +7 3172 591932.,
E-mail: abishevaa@mail.kz
Russian Federation
N/A
Mr. Serguey TVERITINOV*
Director, Department for
International Cooperation in
environmental protection
Ministry of natural resources
of Russian Federation
ul. B. Gruzinskaya 4/6
123812 Moscow GSP
Tel: +7 095 254-27-33
Fax: +7 095 254.82.83
E-mail:
tveritinov@mnr.gov.ru
Turkmenistan
Ministry of Foreign Affairs *
Ministry of Environmental
16, Neutral Turkmenistan
Use and Protection *
Str.
102, Kemine str.
744 000 Ashgabat
744 000 Ashgabat
Tel: +993.12 356.688
Tel: +993 12 355.662 or
/392.154
354.317
Fax: +993 12 354.515
Fax: +993 12 511.613
email:mfatm@online.tm
email: makhtum@untuk.org
and nfp-tm@online.tm
* Official Point of Contact for Notification
Caspian
Programme Coordinator: Mr. Hamidreza Ghaffarzadeh
Environment
UNDP, 185,
Programme
P.O.Box: 15875-4557
Ghaem Magham Farahani Avenue,
Tehran 15868,
Islamic Republic of Iran
Tel: + 98 21 850 5779
UNDP-operated phones: + 98 21 873 2812-15
UNDP-operated fax: + 98 21 873 8864
e-mail: hghaffarzadeh@caspian.in-baku.com
e-mail: hamid.ghaffarzadeh@undp.org
15
4.3 Transmission of notification
It is the country of origin's responsibility to ensure that the documents
have been received by the affected country or countries6.
The notification package should be sent by "registered mail" and "return
receipt" requested. This will provide the country of origin with evidence
that notification to the appropriate affected parties has been completed
and will contain the date of transmission.
4.4 Timing
(Corresponding Espoo Convention Requirements Article 3.2, 3.3)
The country of origin should request a response from the affected
country within 30 days. This response only indicates whether or not the
affected country wants to participate in the EIA process. It should not be
confused with the time necessary to review the EIA itself.
5
Follow-up (good practice) and Response
(Corresponding Espoo Convention Requirements Article 3.3)
The country of origin should contact the point of contact and competent
environmental authority in the affected countries, to whom the notification
package was submitted, within the two weeks after the receipt of the
notification package. The country of origin should enquire if the package was
received, if there are any questions, and if sufficient information was obtained
for the affected country to make an informed decision about participation in
the EIA process.
The country of origin should then remind the affected countries about the
necessary timing of the response. The country of origin should requests
affected countries to submit readily available information on affected
environment and related issues that would be helpful for the preparation of the
EIA report and consultations.
By the end of the time period, the country of origin should receive responses,
particularly from those affected countries who wish to participate in the EIA
process.
6 It is not sufficient to provide copies of the documents to the CEP for distribution among
affected countries, although they may be helpful in facilitating communication. It is not CEP's
responsibility to ensure the delivery of the notification.
16
6 Contacts between competent authorities
and public participation
(Corresponding Espoo Convention Requirements Article 3.8, 4.2)
The Country of origin ought to designate for a particular project, a contact
point, either within the competent authority or the project developer, and that
this person stays in routine contact with the competent authority of affected
countries and the Caspian Environment Programme regarding the availability
of EIA documents, the proposed consultation process, and other relevant
issues.
In particular, it is helpful at this stage to identify the culturally appropriate ways
of communication with potentially affected people in the affected countries.
For more information, please see Annex 4 on Public Consultation.
7 Transmittal of draft EIA documents to affected
countries and CEP
(Corresponding Espoo Convention Requirements 3.8, 4.2)
Draft EIA documents should be provided by registered mail to the affected
countries who have requested to participate, as in the notification stage. In
addition, information on electronic availability of EIA documentation should be
provided. The CEP should always be sent a package of EIA documents. The
CEP will post the information on the website
http://www.caspianenvironment.org/transboundary.htm.
The country of origin can agree with the project developer that the developer
directly transmit the draft EIA documents; however, the country of origin
should require the developer to submit evidence that this has been
undertaken in accordance with the requirements. The country of origin should
have previously negotiated any fees to offset the affected country's review of
EIA documents.
8 Public Consultation (draft EIA stage)
(Corresponding Espoo Convention Requirements 4.2, 5)
8.1 Process and Meetings
The country of origin should request the affected countries to advise on
culturally appropriate consultation processes and identify particularly
affected people/concerned people. Consultation can be initiated by the
competent authority in the county of origin, the competent authority in the
affected countries, the project developer, or by the public in the affected
country making representation to their competent authority.
17
The costs of reasonable and appropriate consultation (printing materials,
translation, etc.) should be borne by the project developer. In many
circumstances, the developer should begin by hiring a local consultation
advisor in the affected country to assist in preparing materials and
planning any meetings necessary. See Annex 4 on public consultation.
8.2 Comments
(Corresponding Espoo Convention Requirements Article3.8, 4.2):
The country of origin should agree with the affected countries and the
project developer, the most effective means of collecting and assessing
public comments from the affected country, including the language of
comments and responses. Comments can be organized in a variety of
ways: the comments can be collected by the affected competent
authority, or they can be sent directly to the country of origin and the
project developer. Whatever mechanism is decided, the mechanism
should be transparent and posted on the CEP's website.
8.3 Timing
The country of origin will provide a 60-day time period for public
consultation and comments from the affected countries. The timing will
be initiated following submittal of draft EIA document to the official
Contact Points in the affected countries. The timing for transboundary
consultations should take into account the need for translation.
For more information on public consultation under the Espoo Convention,
see Annex 4.
When the EIA has been completed the country of origin should contact
the competent authorities of the affected countries to make further
arrangement to find out whether they would like to have consultations
before the final decision will be taken.
9 Final Decision on EIA
(Corresponding Espoo Convention Requirements Article 6)
The country of origin must inform the affected country or countries and the
CEP of the final decision on the EIA. The country of origin should summarise
the comments received regarding the transboundary issues, and how the
comments were taken into account in the final EIA and decision.
The affected countries may wish to obtain information on project
implementation and monitoring, and the country of origin should encourage
the project developer to consider how information can be provided to all
stakeholders, including those in a transboundary context.
18
The information on the final decision should include a description of any
available mechanisms for appeal to administrative or judicial authority for the
affected country or its public.
19
Guidelines for Affected Countries
1 Applicability
The guidelines can be used by countries which have been notified that a
country of origin is initiating a proposed project that may have the potential for
a transboundary impact, and which will require an environmental impact
assessment (EIA). This guidance includes 'requirements' identified under the
Espoo Convention, and suggestions (good practice) for the effective
implementation
2 Receiving notification of project with potential
transboundary impacts
Notification will have been sent to the official Point of Contact/competent
authority of affected country(ies). In the event that the official Point of Contact
is not the competent environmental authority, a second set of the notification
package should be sent to the competent environmental authority. The copy
of the notification package will be also sent to the Caspian Environment
Programme. The affected country will be told how much time is available,
normally 30 days, to decide if they wish to participate in the EIA process.
Prior to responding, the affected country should consider informing and
discussing the project with the local authorities whose geographic area may
be affected by the proposed project. The affected country may also wish to
solicit public opinion on whether or not to participate.
As good practice, it would be helpful to have a specific person within the
competent environmental authority of affected country who is knowledgeable
about all transboundary projects, requirements, and resources, and who can
be responsible for arranging the review and preparing the response and
ongoing communication. The country of origin may initiate communication
with competent authority in the affected country to confirm whether or not the
competent authority received the notification package and whether they need
more information.
3
Preparing the response
3.1 Affirmative response
(Corresponding Espoo Convention Requirements Article 3.3)
The affected country can choose to participate in the EIA process. The
response should be sent by "registered mail" and contain the following
information:
a letter of transmittal (see Annex 3 for template),
20
a summary of readily available information on relevant topics in the
affected country (e.g., sensitive ecosystems that might be affected by
the proposed project),
information on public consultation process in affected country, including
contacts of consultation resources, projected costs of meetings,
language of documents, amount of technical/non-technical information
needed, etc.
comments on proposed timing of the EIA review,
information on compensation for review, if applicable.
and a request for the draft EIA, specifying type of information of most
interest (e.g., oil spill prevention and response)
3.2 Negative response
The affected country can choose not to participate in the EIA process,
and should respond with a letter by registered mail, which indicates that
they do not wish to participate. The affected country can, however,
request a copy of the draft and final EIA documents or other materials for
information.
4
Transmission of Response
(Corresponding Espoo Convention Requirements Article 3.3)
The point of contact/competent authority of the affected country should
provide a response to the Point of Contact/competent environment authority
of the country of origin, within 30 days. The response should inform that they
received the notification and indicate whether they wish to participate in the
EIA process. The response letter should be sent by registered mail, and a
"return receipt" requested. This will provide the affected countries' competent
authorities with evidence of the requests made and documents and
consultation requested.
An electronic copy can be provided as a courtesy to the environmental
competent authority; however, this does not count as an official response.
Informal communication is also recommended so the country of origin can
proceed with the planning process.
5
Review of draft EIA and Public Consultation
5.1 Review of draft EIA by competent authorities
The draft EIA should be reviewed within 60 days or the request for
additional time should be made to the country of origin. In many cases
there will be not be much flexibility, as the review period will be in line
with their own legal requirements for internal consultation in the country
of origin. A request can also be made at this time for future information
21
during project construction, implementation and monitoring with relation
to transboundary impacts.
5.2 Release of draft EIA to public, meetings
The affected country's competent authority should have outlined the
appropriate consultation process at the notification stage of the process,
including costs (typically borne by the project developer). The draft EIA
will be circulated by the project developer or affected country's
competent authority, depending on the agreement during notification and
discussion. Similarly, meetings may be organised by the developer, the
affected country's competent authority, or the competent authority of the
country of origin. These processes should be taken within 60 days, if
there is no request for additional time from the affected country.
6 Role of competent authorities in transmittal of
comments to the country of origin/project
developer
(Corresponding Espoo Convention Requirements Article 4.2)
The competent authorities in the affected country should propose the most
efficient way of comments being sent to the project developer and the country
of origin. This can be achieved by the competent authority of the affected
country collecting comments and transmitting them to the project developer
and/or the country of origin as determined by the country of origin., The
method of collecting comments should be decided at an early stage of the
discussions with the competent authority of the country of origin.
7 Receipt of Final Approval of project and
communication to consulted public
When the EIA has been completed, the competent authorities of the affected
countries are consulted by the country of origin whether they would like to
have consultations before the final decision will be taken. Following the
finalisation of the EIA, the country of origin should inform to the affected
countries that participated in the EIA process regarding the final approval of
the project and how comments were taken into account. The affected
country's competent authority(ies) should ensure that the comments and how
they were taken into account and reflected in the final EIA is made available
to the public who participated in the EIA process. The affected countries may
wish to obtain information on project implementation and monitoring, and the
country of origin should encourage the project developer to consider how
information can be provided to all stakeholders, including those in a
transboundary context.
22
Guidelines for Project Developers
1 Applicability
The guidelines are provided to project developers who are planning an
environmental impact assessment (EIA) in the Caspian Region and have
identified the potential for a transboundary impact associated with their
proposed project.
As a project developer, it is prudent to understand the objectives and
requirements of the Espoo Convention and to assist the country of orgin's
competent authority in implementing the requirements. It is also essential that
the project developer discuss the requirements with the appropriate
competent authorities so that the timing of transboundary notification and
response, transmittal of documents, and consultation and their associated
budget can be built into the planning process for the project. The text of the
Espoo Convention is attached (Annex 1). The guidance on public participation
under the Espoo Convention can be found on the UNECE website:
www.unece.org/env.
2
Identification of potential transboundary impact
The Espoo Convention's first obligations are during screening of project
characteristics, and significant requirements are part of the `scoping' process,
in the project's earliest stages.
The competent authorities of the country of orgin will `screen' the project to
determine if the characteristics meet the definition of an applicable project
under the Espoo Convention and appropriate national legislation when
permitting requirements are first being discussed with the project developer
It will be helpful to provide the competent environmental authorities with the
following information at the earliest possible meeting:
a brief description of the project,
its potential impacts in normal operating conditions,
its potential impacts in a worst case scenario,
the type of transboundary impacts possible,
potential stakeholders affected, and
draft public consultation and disclosure plan (PCDP)--see Annex 4.
In many circumstances, the project developer would benefit by hiring a local
consultation advisor in each affected country to assist in identifying the
culturally appropriate consultation process.
23
3
Preparing notification
The country of origin must notify the potentially affected countries and the
Caspian Environment Programme during the `Scoping' stage of the EIA
process. Notification has been identified by the Caspian littoral states as the
key step to ensuring the implementation of the requirements under the Espoo
Convention, and therefore, that it is important to make it work effectively. It is
the country or origin's responsibility to send the notification, and ensure
delivery of the documents to the designated Contact Point and/or competent
authority in the affected countries. This can typically not be undertaken
directly by the project developer without the country of origin competent
authority's agreement.
3.1 Notification Letter (template attached in Annex 2)
The notification comprises a brief, non-technical letter, attached to a
summary of information on the project. The letter should also include the
timing of the EIA review process, description of how disclosure and
public consultation process are planned, and contact information for the
country of origin's competent authority and the project developer,
although it is noted that the point of contact should likely remain as the
competent authority until the point when a country wishes to participate.
The project developer can prepare a draft notification letter and attach it
to the summary of information for the convenience of the country of
origin's Espoo Convention Point of Contact/ competent authority, and if
necessary, translate into languages indicated in 4.1.
3.2. Summary of information
The information attached to the notification letter should have adequate
technical content, including maps, for the affected country to identify its
level of interest in being involved in the EIA process. The following
information should be part of the notification package. [List below is from
www.unece.org/env/eia/notification.htm ]
a) Information on the nature of the proposed activity;
i) Whether the activity is listed in Appendix 1 to the Convention;
ii) Type of activity;
iii) Scope of activity (e.g. main activity and any/all peripheral
activities requiring assessment);
iv) Scale of activity (e.g., size, production capacity, et.);
v) Description of the activity (e.g., technology used);
vi) Description of the purpose of the activity;
vii) Rationale for proposed activity (e.g., socio-economic, physical-
geographic basis);
24
b) Information on the spatial and temporal boundaries of the
proposed activity;
i) Location and description of the location (e.g., physical-
geographic, socio-economic characteristics);
ii) Rationale for the location of the proposed activity (e.g., socio-
economic, physical-geographic basis)
iii) Time-frame for proposed activity (e.g., start and duration of
construction and operation);
iv) Maps and other pictorial documents connected with the
information on the proposed activity
c) Information on expected environmental impacts and proposed
mitigation measures:
i) Scope of assessment (e.g. consideration of cumulative
impacts, alternatives, sustainable development, associated
activities, etc.);
ii) Expected environmental impacts of the activity (e.g. types,
locations, magnitudes);
iii) Inputs (e.g. land, water, raw materials, power sources);
iv) Outputs (e.g. amounts and types of: emissions into the
atmosphere, discharges into the water system, solid waste);
v) Available information on the activity's possible significant
transboundary environmental impacts (e.g. types, locations,
magnitudes);
vi) Measures to prevent, eliminate, minimize or compensate for
transboundary environmental impacts;
d) Summary and timing of proposed consultation (country of origin
and affected country/ies), including a summary of complaint
process/grievance procedure
e) Name, address and telephone/fax numbers of contact person e.g.
of project proponent (developer);
f) EIA documentation (e.g. EIA report or Environmental Impact
Statement), if already available.
Please note that in many cases, the above information comprises a
`scoping document' contents list, and the same document can be used
for several purposes. Many project developers provide the package of
scoping documents for their project, along with a draft of Notification
letter to the competent authorities/Point of Contact for each potentially
affected country and the Caspian Environment Programme.
3.3 Compensation for review, if applicable
The competent authority country of origin will discuss whether or not a
fee is payable by the project developer to the affected country's
competent authority to offset review costs of the documentation within
the review period.
25
4 Notification to affected countries and Caspian
Environment Programme (CEP)
4.1 Language
For the purpose of notification, if the affected country or countries include
Azerbaijan, Kazakhstan, the Russian Federation, or Turkmenistan,
documents should be translated into Russian language. Documents for
the Islamic Republic of Iran (Iran) and the Caspian Environment
Programme should be in both Russian and English languages.
4.2 Recipients
For projects with potential transboundary impacts affecting the Caspian
Sea region, two sets of documents should be provided by the country of
origin to each potentially affected littoral state: one set of documents
should be sent to the official Contact Point nominated by country. In the
event that the official Contact Point is not the competent environmental
authority, a second set of the notification package should be sent to the
competent environmental authority. The Official list of the contact points
can be found on the Convention website
(http://www.unece.org/env/eia/contacts.htm) which is regularly updated.
At this stage, the Caspian Environment Programme should also be
notified to post the name of the project, a brief description, and contact
information for the developer on its website (www to be filled in by the
CEP) Two complete sets of documents (one each of English and
Russian language) and a CD Rom containing the files should be sent to
the Coordinator of the Caspian Environment Programme at the main
office.
These should be in hard copy; however, an electronic copy can be sent
to the environmental authorities to give them advance notice of the
submittal.
4.3 Transmission of notification
It is the country of origin's competent authority's responsibility to ensure
that the documents have been received by the affected country or
countries. The notification package should be sent by "registered mail"
and "return receipt" requested. This will provide the country of origin's
competent authority with evidence that notification to the appropriate
affected parties has been completed and will contain a date of
transmission.
An electronic copy can be provided as a courtesy to the environmental
authority as advance notification for their use in planning purposes;
however, this does not count as an official notification.
26
4.4 Timing
A 30 day time period, normally, is given following notification to affected
countries, for their response. The response will indicates whether or not
the affected country wants to participate in the EIA process.
5
Follow-up and Response
The country of origin should contact the parties in the affected country or
countries, to whom the notification package was submitted, approximately two
weeks following receipt of the package. They should enquire if the package
was received, if there are any questions, and if sufficient information was
obtained to make an informed decision about participation in the EIA process.
The country or origin should then remind the affected country about the timing
of the response and what information would be helpful regarding particular
sensitivities of the affected environment.
At the end of the time period, the country of origin should receive responses,
particularly from those affected countries who wish to participate in the EIA
process. The project developer should note that the country of origin's
authorities may delegate communication to the project developer.
In addition, the project developer should note that the affected countries may
respond with reports on areas of particular sensitivity, vulnerable stakeholders,
and other information which should be taken into account, prior to finalising
the scope of the EIA.
The remainder of this Guidelines assumes that the affected country has
requested to participate in the EIA process. It if recommended that the country
of origin always transfer the draft EIA documents to Caspian Environment
Programme regardless whether or not the affected countries' decision on the
participation of the EIA process.
6 Contacts between competent authorities and
public participation
It would be a good practice for the project developer to have one point of
contact who is knowledgeable about the Espoo Convention and the
transboundary issues and can fill the communication role necessary to ensure
all requirements are met in a timely manner. This person should stay in
routine contact with the affected countries, as agreed with the country of
origin's competent authority, and the Caspian Environment Programme
regarding the availability of EIA documents, the proposed consultation
process, and other relevant issues.
In particular, it is helpful at this stage to identify the culturally appropriate ways
of communication with potentially affected people in the affected country. For
example, while notification documents are provided to competent authorities
in Russian and English languages, public consultation with affected people,
27
e.g., local fishermen, will likely need to be in local language, and some
information, such as EIA summaries or fact sheets may need to be available
in Turkmen, Farsi, Azeri, and so forth.
For more information, please see Annex 4 on Public Consultation.
7
Transmittal of draft EIA documents to affected
countries and CEP
Draft EIA documents should be provided to the affected countries who have
requested to participate by "registered mail", as in the notification stage. In
addition, information on electronic availability of EIA documentation should be
provided (i.e., publishing of EIAs on websites). The CEP should always be
sent a package of EIA documents.
The country of origin can agree with the project developer that the developer
transmit the draft EIA documents; however, the country of origin should
require the developer to submit evidence that this has been completed in
accordance with the requirements.
8
Public Consultation (draft EIA report stage)
8.1 Process and Meetings
The project developer should identify the culturally appropriate ways of
consultation in potentially affected countries. In many circumstances,
the developer should begin by hiring a local consultation advisor in the
affected country to assist in preparing materials and planning any
meetings necessary. Typically, the costs of reasonable and appropriate
consultation (printing materials, translation, etc.) should be borne by the
project developer. See Annex 4 on public consultation.
The Espoo Convention requires that stakeholders in the affected country
have an equivalent opportunity to learn about the proposed project and
provide comments on the documents, to those in the country of origin. It
is therefore essential that the project developer plan carefully and
document the consultation process well to be able to use as evidence
that the requirements were met.
8.2 Comments
A plan of collecting and assessing comments from public and authorities
in affected countries should be discussed with the country of origin's
authority, including the language of comments and responses.
Comments can be organized in a variety of ways: the comments can be
collected by the affected competent authority, or they can be sent directly
to the country of origin's competent authority and the project developer.
Whatever mechanism is decided, the mechanism should be transparent
28
and posted on the CEP's website and elaborated in the public
consultation and disclosure plan.
8.3 Timing
The country of origin will set a specific time period during which
comments can be submitted by affected countries. This timing should
typically be consistent with the country of origin's internal requirement for
consultation in the EIA process (e.g., 60 days). The timing for
transboundary consultation should take into account the potential need
for translation. For most countries, a review period of 60 days was
acceptable. No responses will typically be considered following end of
disclosure period.
9
Summary of Comments, Final Decision on EIA
Following the finalisation of the EIA, the developer should draft a summary of
public comments received through the transboundary notification and
consultation process and how these comments were taken into account in the
final EIA.
This summary should be sent to the affected countries that participated in the
EIA process and the CEP. Affected countries may wish to have information
on project implementation and monitoring, and the project developer should
consider how information can be provided to all stakeholders, including those
in a transboundary context.
10 Final
Report
Following the finalisation of the EIA, the developer should provide a summary
report to the country of origin's competent authority on how the requirements
under the Espoo Convention were fulfilled.
29
Annex 1
attention to minimizing significant
adverse impact, particularly in a
Convention on
transboundary context,
Environmental Impact
Mindful of the efforts of international
organizations to promote the use of
Assessment in a
environmental impact assessment
Transboundary Context
both at the national and international
done at Espoo (Finland) on
levels, and taking into account work on
environmental impact assessment
25 February 1991
carried out under the auspices of the
United Nations Economic Commission
The Parties to this Convention,
for Europe, in particular results
Aware of the interrelationship between
achieved by the Seminar on
economic activities and their
Environmental Impact Assessment
environmental consequences,
(September 1987, Warsaw, Poland) as
Affirming the need to ensure
well as noting the Goals and Principles
environmentally sound and on environmental impact assessment
sustainable development,
adopted by the Governing Council of
Determined to enhance international
the United Nations Environment
co-operation in assessing Programme, and the Ministerial
environmental impact in particular in a
Declaration on Sustainable
transboundary context,
Development (May 1990, Bergen,
Mindful of the need and importance to
Norway),
develop anticipatory policies and of
Have agreed as follows:
preventing, mitigating and monitoring
significant adverse environmental
impact in general and more specifically
Article 1
in a transboundary context,
Recalling the relevant provisions of the
DEFINITIONS
Charter of the United Nations, the
Declaration of the Stockholm
For the purposes of this Convention,
Conference on the Human (i) "Parties" means, unless the text
Environment, the Final Act of the
otherwise indicates, the Contracting
Conference on Security and Co-
Parties to this Convention;
operation in Europe (CSCE) and the
(ii) "Party of origin" means the
Concluding Documents of the Madrid
Contracting Party or Parties to this
and Vienna Meetings of Convention under whose jurisdiction a
Representatives of the Participating
proposed activity is envisaged to take
States of the CSCE,
place;
Commending the ongoing activities of
(iii) "Affected Party" means the
States to ensure that, through their
Contracting Party or Parties to this
national legal and administrative
Convention likely to be affected by the
provisions and their national policies,
transboundary impact of a proposed
environmental impact assessment is
activity;
carried out,
(iv) "Concerned Parties" means the
Conscious of the need to give explicit
Party of origin and the affected Party
consideration to environmental factors
of an environmental impact
at an early stage in the decision-
assessment pursuant to this
making process by applying
Convention;
environmental impact assessment, at
(v) "Proposed activity" means any
all appropriate administrative levels, as
activity or any major change to an
a necessary tool to improve the quality
activity subject to a decision of a
of information presented to decision
competent authority in accordance
makers so that environmentally sound
with an applicable national procedure;
decisions can be made paying careful
30
(vi) "Environmental impact permits public participation and
assessment" means a national
preparation of the environmental
procedure for evaluating the likely
impact assessment documentation
impact of a proposed activity on the
described in Appendix II.
environment;
3. The Party of origin shall ensure that
(vii) "Impact" means any effect caused
in accordance with the provisions of
by a proposed activity on the
this Convention an environmental
environment including human health
impact assessment is undertaken prior
and safety, flora, fauna, soil, air, water,
to a decision to authorize or undertake
climate, landscape and historical
a proposed activity listed in Appendix I
monuments or other physical
that is likely to cause a significant
structures or the interaction among
adverse transboundary impact.
these factors; it also includes effects
4. The Party of origin shall, consistent
on cultural heritage or socio-economic
with the provisions of this Convention,
conditions resulting from alterations to
ensure that affected Parties are
those factors;
notified of a proposed activity listed in
(viii) "Transboundary impact" means
Appendix I that is likely to cause a
any impact, not exclusively of a global
significant adverse transboundary
nature, within an area under the
impact.
jurisdiction of a Party caused by a
5. Concerned Parties shall, at the
proposed activity the physical origin of
initiative of any such Party, enter into
which is situated wholly or in part
discussions on whether one or more
within the area under the jurisdiction of
proposed activities not listed in
another Party;
Appendix I is or are likely to cause a
(ix) "Competent authority" means the
significant adverse transboundary
national authority or authorities
impact and thus should be treated as if
designated by a Party as responsible
it or they were so listed. Where those
for performing the tasks covered by
Parties so agree, the activity or
this Convention and/or the authority or
activities shall be thus treated. General
authorities entrusted by a Party with
guidance for identifying criteria to
decision-making powers regarding a
determine significant adverse impact is
proposed activity;
set forth in Appendix III.
(x) "The Public" means one or more
6. The Party of origin shall provide, in
natural or legal persons.
accordance with the provisions of this
Convention, an opportunity to the
public in the areas likely to be affected
Article 2
to participate in relevant environmental
impact assessment procedures
GENERAL PROVISIONS
regarding proposed activities and shall
ensure that the opportunity provided to
1. The Parties shall, either individually
the public of the affected Party is
or jointly, take all appropriate and
equivalent to that provided to the
effective measures to prevent, reduce
public of the Party of origin.
and control significant adverse
7. Environmental impact assessments
transboundary environmental impact
as required by this Convention shall,
from proposed activities.
as a minimum requirement, be
2. Each Party shall take the necessary
undertaken at the project level of the
legal, administrative or other measures
proposed activity. To the extent
to implement the provisions of this
appropriate, the Parties shall
Convention, including, with respect to
endeavour to apply the principles of
proposed activities listed in Appendix I
environmental impact assessment to
that are likely to cause significant
policies, plans and programmes.
adverse transboundary impact, the
8. The provisions of this Convention
establishment of an environmental
shall not affect the right of Parties to
impact assessment procedure that
implement national laws, regulations,
31
administrative provisions or accepted
4. If the affected Party indicates that it
legal practices protecting information
does not intend to participate in the
the supply of which would be
environmental impact assessment
prejudicial to industrial and commercial
procedure, or if it does not respond
secrecy or national security.
within the time specified in the
9. The provisions of this Convention
notification, the provisions in
shall not affect the right of particular
paragraphs 5, 6, 7 and 8 of this Article
Parties to implement, by bilateral or
and in Articles 4 to 7 will not apply. In
multilateral agreement where such circumstances the right of a Party
appropriate, more stringent measures
of origin to determine whether to carry
than those of this Convention.
out an environmental impact
10. The provisions of this Convention
assessment on the basis of its national
shall not prejudice any obligations of
law and practice is not prejudiced.
the Parties under international law with
5. Upon receipt of a response from the
regard to activities having or likely to
affected Party indicating its desire to
have a transboundary impact.
participate in the environmental impact
assessment procedure, the Party of
origin shall, if it has not already done
Article 3
so, provide to the affected Party:
NOTIFICATION
(a) Relevant information regarding the
environmental impact assessment
1. For a proposed activity listed in
procedure, including an indication of
Appendix I that is likely to cause a
the time schedule for transmittal of
significant adverse transboundary
comments; and
impact, the Party of origin shall, for the
purposes of ensuring adequate and
(b) Relevant information on the
effective consultations under Article 5,
proposed activity and its possible
notify any Party which it considers may
significant adverse transboundary
be an affected Party as early as
impact.
possible and no later than when
6. An affected Party shall, at the
informing its own public about that
request of the Party of origin, provide
proposed activity.
the latter with reasonably obtainable
information relating to the potentially
2. This notification shall contain, inter
affected environment under the
alia:
jurisdiction of the affected Party, where
(a) Information on the proposed
such information is necessary for the
activity, including any available
preparation of the environmental
information on its possible impact assessment documentation.
transboundary impact;
The information shall be furnished
(b) The nature of the possible
promptly and, as appropriate, through
decision; and
a joint body where one exists.
(c) An indication of a reasonable time
within which a response under
7. When a Party considers that it
paragraph 3 of this Article is required,
would be affected by a significant
taking into account the nature of the
adverse transboundary impact of a
proposed activity;
proposed activity listed in Appendix I,
and when no notification has taken
and may include the information set
place in accordance with paragraph 1
out in paragraph 5 of this Article.
of this Article, the concerned Parties
3. The affected Party shall respond to
shall, at the request of the affected
the Party of origin within the time
Party, exchange sufficient information
specified in the notification,
for the purposes of holding
acknowledging receipt of the
discussions on whether there is likely
notification, and shall indicate whether
to be a significant adverse
it intends to participate in the
transboundary impact. If those Parties
environmental impact assessment
agree that there is likely to be a
procedure.
significant adverse transboundary
32
impact, the provisions of this
Article 5
Convention shall apply accordingly. If
those Parties cannot agree whether
CONSULTATIONS ON THE BASIS
there is likely to be a significant
OF THE ENVIRONMENTAL
adverse transboundary impact, any
IMPACT ASSESSMENT
such Party may submit that question to
DOCUMENTATION
an inquiry commission in accordance
The Party of origin shall, after
with the provisions of Appendix IV to
completion of the environmental
advise on the likelihood of significant
impact assessment documentation,
adverse transboundary impact, unless
without undue delay enter into
they agree on another method of
consultations with the affected Party
settling this question.
concerning, inter alia, the potential
8. The concerned Parties shall ensure
transboundary impact of the proposed
that the public of the affected Party in
activity and measures to reduce or
the areas likely to be affected be
eliminate its impact. Consultations
informed of, and be provided with
may relate to:
possibilities for making comments or
(a) Possible alternatives to the
objections on, the proposed activity,
proposed activity, including the no-
and for the transmittal of these
action alternative and possible
comments or objections to the
measures to mitigate significant
competent authority of the Party of
adverse transboundary impact and to
origin, either directly to this authority or,
monitor the effects of such measures
where appropriate, through the Party
at the expense of the Party of origin;
of origin.
(b) Other forms of possible mutual
assistance in reducing any significant
adverse transboundary impact of the
proposed activity; and
Article 4
(c) Any other appropriate matters
PREPARATION OF THE
relating to the proposed activity.
ENVIRONMENTAL IMPACT
The Parties shall agree, at the
ASSESSMENT DOCUMENTATION
commencement of such consultations,
on a reasonable time-frame for the
1. The environmental impact
duration of the consultation period.
assessment documentation to be
Any such consultations may be
submitted to the competent authority
conducted through an appropriate joint
of the Party of origin shall contain, as a
body, where one exists.
minimum, the information described in
Appendix II.
2. The Party of origin shall furnish the
affected Party, as appropriate through
Article 6
a joint body where one exists, with the
FINAL DECISION
environmental impact assessment
documentation. The concerned Parties
1. The Parties shall ensure that, in the
shall arrange for distribution of the
final decision on the proposed activity,
documentation to the authorities and
due account is taken of the outcome of
the public of the affected Party in the
the environmental impact assessment,
areas likely to be affected and for the
including the environmental impact
submission of comments to the
assessment documentation, as well as
competent authority of the Party of
the comments thereon received
origin, either directly to this authority or,
pursuant to Article 3, paragraph 8 and
where appropriate, through the Party
Article 4, paragraph 2, and the
of origin within a reasonable time
outcome of the consultations as
before the final decision is taken on
referred to in Article 5.
the proposed activity.
2. The Party of origin shall provide to
the affected Party the final decision on
33
the proposed activity along with the
reasons and considerations on which it
Article 8
was based.
BILATERAL AND MULTILATERAL
3. If additional information on the
CO-OPERATION
significant transboundary impact of a
proposed activity, which was not
The Parties may continue existing or
available at the time a decision was
enter into new bilateral or multilateral
made with respect to that activity and
agreements or other arrangements in
which could have materially affected
order to implement their obligations
the decision, becomes available to a
under this Convention. Such
concerned Party before work on that
agreements or other arrangements
activity commences, that Party shall
may be based on the elements listed
immediately inform the other
in Appendix VI.
concerned Party or Parties. If one of
the concerned Parties so requests,
Article 9
consultations shall be held as to
whether the decision needs to be
RESEARCH PROGRAMMES
revised.
The Parties shall give special
consideration to the setting up, or
Article 7
intensification of, specific research
POST-PROJECT ANALYSIS
programmes aimed at:
(a) Improving existing qualitative and
1. The concerned Parties, at the
quantitative methods for assessing the
request of any such Party, shall
impacts of proposed activities;
determine whether, and if so to what
(b) Achieving a better understanding of
extent, a post-project analysis shall be
cause-effect relationships and their
carried out, taking into account the
role in integrated environmental
likely significant adverse management;
transboundary impact of the activity for
(c) Analysing and monitoring the
which an environmental impact
efficient implementation of decisions
assessment has been undertaken
on proposed activities with the
pursuant to this Convention. Any post-
intention of minimizing or preventing
project analysis undertaken shall
impacts;
include, in particular, the surveillance
(d) Developing methods to stimulate
of the activity and the determination of
creative approaches in the search for
any adverse transboundary impact.
environmentally sound alternatives to
Such surveillance and determination
proposed activities, production and
may be undertaken with a view to
consumption patterns;
achieving the objectives listed in
(e) Developing methodologies for the
Appendix V.
application of the principles of
2. When, as a result of post-project
environmental impact assessment at
analysis, the Party of origin or the
the macro-economic level.
affected Party has reasonable grounds
The results of the programmes listed
for concluding that there is a
above shall be exchanged by the
significant adverse transboundary
Parties.
impact or factors have been
discovered which may result in such
an impact, it shall immediately inform
Article 10
the other Party. The concerned Parties
shall then consult on necessary
STATUS OF THE APPENDICES
measures to reduce or eliminate the
impact.
The Appendices attached to this
Convention form an integral part of the
Convention.
34
Article 11
for the achievement of the purposes of
MEETING OF PARTIES
this Convention.
1. The Parties shall meet, so far as
Article 12
possible, in connection with the annual
RIGHT TO VOTE
sessions of the Senior Advisers to
ECE Governments on Environmental
1. Each Party to this Convention shall
and Water Problems. The first meeting
have one vote.
of the Parties shall be convened not
2. Except as provided for in paragraph
later than one year after the date of
1 of this Article, regional economic
the entry into force of this Convention.
integration organizations, in matters
Thereafter, meetings of the Parties
within their competence, shall exercise
shall be held at such other times as
their right to vote with a number of
may be deemed necessary by a
votes equal to the number of their
meeting of the Parties, or at the written
member States which are Parties to
request of any Party, provided that,
this Convention. Such organizations
within six months of the request being
shall not exercise their right to vote if
communicated to them by the
their member States exercise theirs,
secretariat, it is supported by at least
and vice versa.
one third of the Parties.
2. The Parties shall keep under
Article 13
continuous review the implementation
of this Convention, and, with this
SECRETARIAT
purpose in mind, shall:
(a) Review the policies and
The Executive Secretary of the
methodological approaches to Economic Commission for Europe
environmental impact assessment by
shall carry out the following secretariat
the Parties with a view to further
functions:
improving environmental impact
(a) The convening and preparing of
assessment procedures in a
meetings of the Parties;
transboundary context;
(b) The transmission of reports and
(b) Exchange information regarding
other information received in
experience gained in concluding and
accordance with the provisions of this
implementing bilateral and multilateral
Convention to the Parties; and
agreements or other arrangements
(c) The performance of other functions
regarding the use of environmental
as may be provided for in this
impact assessment in a transboundary
Convention or as may be determined
context to which one or more of the
by the Parties.
Parties are party;
(c) Seek, where appropriate, the
services of competent international
Article 14
bodies and scientific committees in
AMENDMENTS TO THE
methodological and technical aspects
CONVENTION
pertinent to the achievement of the
purposes of this Convention;
1. Any Party may propose
(d) At their first meeting, consider and
amendments to this Convention.
by consensus adopt rules of procedure
2. Proposed amendments shall be
for their meetings;
submitted in writing to the secretariat,
(e) Consider and, where necessary,
which shall communicate them to all
adopt proposals for amendments to
Parties. The proposed amendments
this Convention;
shall be discussed at the next meeting
(f) Consider and undertake any
of the Parties, provided these
additional action that may be required
proposals have been circulated by the
35
secretariat to the Parties at least
Depositary that for a dispute not
ninety days in advance.
resolved in accordance with paragraph
3. The Parties shall make every effort
1 of this Article, it accepts one or both
to reach agreement on any proposed
of the following means of dispute
amendment to this Convention by
settlement as compulsory in relation to
consensus. If all efforts at consensus
any Party accepting the same
have been exhausted, and no
obligation:
agreement reached, the amendment
(a) Submission of the dispute to the
shall as a last resort be adopted by a
International Court of Justice;
three-fourths majority vote of the
(b) Arbitration in accordance with the
Parties present and voting at the
procedure set out in
meeting.
Appendix VII.
4. Amendments to this Convention
3. If the parties to the dispute have
adopted in accordance with paragraph
accepted both means of dispute
3 of this Article shall be submitted by
settlement referred to in paragraph 2
the Depositary to all Parties for
of this Article, the dispute may be
ratification, approval or acceptance.
submitted only to the International
They shall enter into force for Parties
Court of Justice, unless the parties
having ratified, approved or accepted
agree otherwise.
them on the ninetieth day after the
receipt by the Depositary of notification
of their ratification, approval or
Article 16
acceptance by at least three fourths of
SIGNATURE
these Parties. Thereafter they shall
enter into force for any other Party on
This Convention shall be open for
the ninetieth day after that Party
signature at Espoo (Finland) from
deposits its instrument of ratification,
25 February to 1 March 1991 and
approval or acceptance of the
thereafter at United Nations
amendments.
Headquarters in New York until 2
5. For the purpose of this Article,
September 1991 by States members
"Parties present and voting" means
of the Economic Commission for
Parties present and casting an
Europe as well as States having
affirmative or negative vote.
consultative status with the Economic
6. The voting procedure set forth in
Commission for Europe pursuant to
paragraph 3 of this Article is not
paragraph 8 of the Economic and
intended to constitute a precedent for
Social Council resolution 36 (IV) of 28
future agreements negotiated within
March 1947, and by regional economic
the Economic Commission for Europe.
integration organizations constituted
by sovereign States members of the
Economic Commission for Europe to
Article 15
which their member States have
SETTLEMENT OF DISPUTES
transferred competence in respect of
matters governed by this Convention,
1. If a dispute arises between two or
including the competence to enter into
more Parties about the interpretation
treaties in respect of these matters.
or application of this Convention, they
shall seek a solution by negotiation or
by any other method of dispute
Article 17
settlement acceptable to the parties to
RATIFICATION, ACCEPTANCE,
the dispute.
APPROVAL AND ACCESSION
2. When signing, ratifying, accepting,
approving or acceding to this
1. This Convention shall be subject to
Convention, or at any time thereafter,
ratification, acceptance or approval by
a Party may declare in writing to the
36
signatory States and regional
accepts or approves this Convention
economic integration organizations.
or accedes thereto after the deposit of
2. This Convention shall be open for
the sixteenth instrument of ratification,
accession as from 3 September 1991
acceptance, approval or accession,
by the States and organizations
this Convention shall enter into force
referred to in Article 16.
on the ninetieth day after the date of
3. The instruments of ratification, acceptance,
deposit by such State or organization
approval or accession shall be deposited with
of its instrument of ratification,
the Secretary-General of the United Nations,
acceptance, approval or accession.
who shall perform the functions of Depositary.
4. Any organization referred to in
Article 16 which becomes a Party to
Article 19
this Convention without any of its
WITHDRAWAL
member States being a Party shall be
bound by all the obligations under this
At any time after four years from the
Convention. In the case of such
date on which this Convention has
organizations, one or more of whose
come into force with respect to a Party,
member States is a Party to this
that Party may withdraw from this
Convention, the organization and its
Convention by giving written
member States shall decide on their
notification to the Depositary. Any
respective responsibilities for the
such withdrawal shall take effect on
performance of their obligations under
the ninetieth day after the date of its
this Convention. In such cases, the
receipt by the Depositary. Any such
organization and the member States
withdrawal shall not affect the
shall not be entitled to exercise rights
application of Articles 3 to 6 of this
under this Convention concurrently.
Convention to a proposed activity in
5. In their instruments of ratification,
respect of which a notification has
acceptance, approval or accession,
been made pursuant to Article`3,
the regional economic integration
paragraph 1, or a request has been
organizations referred to in Article 16
made pursuant to Article 3, paragraph
shall declare the extent of their
7, before such withdrawal took effect.
competence with respect to the
matters governed by this Convention.
These organizations shall also inform
Article 20
the Depositary of any relevant
AUTHENTIC TEXTS
modification to the extent of their
competence.
The original of this Convention, of
which the English, French and
Article 18
Russian texts are equally authentic,
shall be deposited with the Secretary-
ENTRY INTO FORCE
General of the United Nations.
IN WITNESS WHEREOF the
1. This Convention shall enter into
undersigned, being duly authorized
force on the ninetieth day after the
thereto, have signed this Convention.
date of deposit of the sixteenth
DONE at Espoo (Finland), this twenty-
instrument of ratification, acceptance,
fifth day of February one thousand
approval or accession.
nine hundred and ninety-one.
2. For the purposes of paragraph 1 of
this Article, any instrument deposited
by a regional economic integration
organization shall not be counted as
APPENDIX I
additional to those deposited by States
LIST OF ACTIVITIES
members of such an organization.
3. For each State or organization
1. Crude oil refineries (excluding
referred to in Article 16 which ratifies,
undertakings manufacturing only
37
lubricants from crude oil) and
13. Pulp and paper manufacturing of
installations for the gasification and
200 air-dried metric tonnes or more
liquefaction of 500 tonnes or more of
per day.
coal or bituminous shale per day.
14. Major mining, on-site extraction
2. Thermal power stations and other
and processing of metal ores or coal.
combustion installations with a heat
15. Offshore hydrocarbon production.
output of 300 megawatts or more and
16. Major storage facilities for
nuclear power stations and other
petroleum, petrochemical and
nuclear reactors (except research
chemical products.
installations for the production and
17. Deforestation of large areas.
conversion of fissionable and fertile
*/ For the purposes of this Convention:
materials, whose maximum power
- "Motorway" means a road specially
does not exceed
designed and built for motor traffic,
1 kilowatt continuous thermal load).
which does not serve properties
3. Installations solely designed for the
bordering on it, and which:
production or enrichment of nuclear
(a) Is provided, except at special
fuels, for the reprocessing of irradiated
points or temporarily, with separate
nuclear fuels or for the storage,
carriageways for the two directions of
disposal and processing of radioactive
traffic, separated from each other by a
waste.
dividing strip not intended for traffic or,
4. Major installations for the initial
exceptionally, by other means;
smelting of cast-iron and steel and for
(b) Does not cross at level with any
the production of non-ferrous metals.
road, railway or tramway track, or
5. Installations for the extraction of
footpath; and
asbestos and for the processing and
(c) Is specially sign-posted as a
transformation of asbestos and
motorway.
products containing asbestos: for
- "Express road" means a road reserved for
asbestos-cement products, with an
motor traffic accessible only from interchanges
annual production of more than 20,000
or controlled junctions and on which, in
tonnes finished product; for friction
particular, stopping and parking are prohibited
material, with an annual production of
on the running carriageway(s).
more than 50 tonnes finished product;
and for other asbestos utilization of
more than 200 tonnes per year.
APPENDIX II
6. Integrated chemical installations.
7. Construction of motorways, express
CONTENT OF THE
roads */ and lines for long-distance
ENVIRONMENTAL IMPACT
railway traffic and of airports with a
ASSESSMENT DOCUMENTATION
basic runway length of 2,100 metres or
more.
Information to be included in the
8. Large-diameter oil and gas pipelines.
environmental impact assessment
9. Trading ports and also inland
documentation shall, as a minimum,
waterways and ports for inland-
contain, in accordance with Article 4:
waterway traffic which permit the
(a) A description of the proposed
passage of vessels of over 1,350
activity and its purpose;
tonnes.
(b) A description, where appropriate,
10. Waste-disposal installations for the
of reasonable alternatives (for
incineration, chemical treatment or
example, locational or technological)
landfill of toxic and dangerous wastes.
to the proposed activity and also the
11. Large dams and reservoirs.
no-action alternative;
12. Groundwater abstraction activities
(c) A description of the environment
in cases where the annual volume of
likely to be significantly affected by the
water to be abstracted amounts to 10
proposed activity and its alternatives;
million cubic metres or more.
38
(d) A description of the potential
adverse effects, including those giving
environmental impact of the proposed
rise to serious effects on humans or on
activity and its alternatives and an
valued species or organisms, those
estimation of its significance;
which threaten the existing or potential
(e) A description of mitigation
use of an affected area and those
measures to keep adverse
causing additional loading which
environmental impact to a minimum;
cannot be sustained by the carrying
(f) An explicit indication of predictive
capacity of the environment.
methods and underlying assumptions
2. The concerned Parties shall
as well as the relevant environmental
consider for this purpose proposed
data used;
activities which are located close to an
(g) An identification of gaps in
international frontier as well as more
knowledge and uncertainties remote proposed activities which could
encountered in compiling the required
give rise to significant transboundary
information;
effects far removed from the site of
(h) Where appropriate, an outline for
development.
monitoring and management
programmes and any plans for post-
APPENDIX IV
project analysis; and
INQUIRY PROCEDURE
(i) A non-technical summary including a visual
presentation as appropriate (maps, graphs, etc.).
1. The requesting Party or Parties
shall notify the secretariat that it or
they submit(s) the question of whether
APPENDIX III
a proposed activity listed in
GENERAL CRITERIA TO ASSIST IN
Appendix I is likely to have a
THE DETERMINATION OF THE
significant adverse transboundary
ENVIRONMENTAL SIGNIFICANCE
impact to an inquiry commission
OF ACTIVITIES NOT LISTED IN
established in accordance with the
APPENDIX I
provisions of this Appendix. This
notification shall state the subject-
1. In considering proposed activities to
matter of the inquiry. The secretariat
which Article 2, paragraph 5, applies,
shall notify immediately all Parties to
the concerned Parties may consider
this Convention of this submission.
whether the activity is likely to have a
2. The inquiry commission shall
significant adverse transboundary
consist of three members. Both the
impact in particular by virtue of one or
requesting party and the other party to
more of the following criteria:
the inquiry procedure shall appoint a
(a) Size: proposed activities which are
scientific or technical expert, and the
large for the type of the activity;
two experts so appointed shall
(b) Location: proposed activities which
designate by common agreement the
are located in or close to an area of
third expert, who shall be the president
special environmental sensitivity or
of the inquiry commission. The latter
importance (such as wetlands
shall not be a national of one of the
designated under the Ramsar
parties to the inquiry procedure, nor
Convention, national parks, nature
have his or her usual place of
reserves, sites of special scientific
residence in the territory of one of
interest, or sites of archaeological,
these parties, nor be employed by any
cultural or historical importance); also,
of them, nor have dealt with the matter
proposed activities in locations where
in any other capacity.
the characteristics of proposed
3. If the president of the inquiry
development would be likely to have
commission has not been designated
significant effects on the population;
within two months of the appointment
(c) Effects: proposed activities with
of the second expert, the Executive
particularly complex and potentially
Secretary of the Economic
39
Commission for Europe shall, at the
10. Unless the inquiry commission
request of either party, designate the
determines otherwise because of the
president within a further two-month
particular circumstances of the matter,
period.
the expenses of the inquiry
4. If one of the parties to the inquiry
commission, including the
procedure does not appoint an expert
remuneration of its members, shall be
within one month of its receipt of the
borne by the parties to the inquiry
notification by the secretariat, the other
procedure in equal shares. The inquiry
party may inform the Executive
commission shall keep a record of all
Secretary of the Economic its expenses, and shall furnish a final
Commission for Europe, who shall
statement thereof to the parties.
designate the president of the inquiry
11. Any Party having an interest of a
commission within a further two-month
factual nature in the subject-matter of
period. Upon designation, the
the inquiry procedure, and which may
president of the inquiry commission
be affected by an opinion in the matter,
shall request the party which has not
may intervene in the proceedings with
appointed an expert to do so within
the consent of the inquiry commission.
one month. After such a period, the
12. The decisions of the inquiry
president shall inform the Executive
commission on matters of procedure
Secretary of the Economic shall be taken by majority vote of its
Commission for Europe, who shall
members. The final opinion of the
make this appointment within a further
inquiry commission shall reflect the
two-month period.
view of the majority of its members
5. The inquiry commission shall adopt
and shall include any dissenting view.
its own rules of procedure.
13. The inquiry commission shall
6. The inquiry commission may take all
present its final opinion within
appropriate measures in order to carry
two months of the date on which it was
out its functions.
established unless it finds it necessary
7. The parties to the inquiry procedure
to extend this time limit for a period
shall facilitate the work of the inquiry
which should not exceed two months.
commission and, in particular, using all
14. The final opinion of the inquiry
means at their disposal, shall:
commission shall be based on
(a) Provide it with all relevant
accepted scientific principles. The final
documents, facilities and information;
opinion shall be transmitted by the
and
inquiry commission to the parties to
(b) Enable it, where necessary, to call
the inquiry procedure and to the
witnesses or experts and receive their
secretariat.
evidence.
8. The parties and the experts shall
APPENDIX V
protect the confidentiality of any
POST-PROJECT ANALYSIS
information they receive in confidence
during the work of the inquiry
Objectives include:
commission.
(a) Monitoring compliance with the
9. If one of the parties to the inquiry
conditions as set out in the
procedure does not appear before the
authorization or approval of the activity
inquiry commission or fails to present
and the effectiveness of mitigation
its case, the other party may request
measures;
the inquiry commission to continue the
(b) Review of an impact for proper
proceedings and to complete its work.
management and in order to cope with
Absence of a party or failure of a party
uncertainties;
to present its case shall not constitute
(c) Verification of past predictions in
a bar to the continuation and
order to transfer experience to future
completion of the work of the inquiry
activities of the same type.
commission.
40
APPENDIX VI
programmes, intercalibration of
monitoring devices and harmonization
ELEMENTS FOR BILATERAL AND
of methodologies with a view to
MULTILATERAL CO-OPERATION
rendering the data and information
obtained compatible.
1. Concerned Parties may set up,
where appropriate, institutional
APPENDIX VII
arrangements or enlarge the mandate
ARBITRATION
of existing institutional arrangements
within the framework of bilateral and
1. The claimant Party or Parties shall
multilateral agreements in order to
notify the secretariat that the Parties
give full effect to this Convention.
have agreed to submit the dispute to
2. Bilateral and multilateral
arbitration pursuant to
agreements or other arrangements
Article 15, paragraph 2, of this
may include:
Convention. The notification shall state
(a) Any additional requirements for the
the subject-matter of arbitration and
implementation of this Convention,
include, in particular, the Articles of
taking into account the specific
this Convention, the interpretation or
conditions of the subregion concerned;
application of which are at issue. The
(b) Institutional, administrative and
secretariat shall forward the
other arrangements, to be made on a
information received to all Parties to
reciprocal and equivalent basis;
this Convention.
(c) Harmonization of their policies and
2. The arbitral tribunal shall consist of
measures for the protection of the
three members. Both the claimant
environment in order to attain the
Party or Parties and the other Party or
greatest possible similarity in
Parties to the dispute shall appoint an
standards and methods related to the
arbitrator, and the two arbitrators so
implementation of environmental
appointed shall designate by common
impact assessment;
agreement the third arbitrator, who
(d) Developing, improving, and/or
shall be the president of the arbitral
harmonizing methods for the
tribunal. The latter shall not be a
identification, measurement, prediction
national of one of the parties to the
and assessment of impacts, and for
dispute, nor have his or her usual
post-project analysis;
place of residence in the territory of
(e) Developing and/or improving
one of these parties, nor be employed
methods and programmes for the
by any of them, nor have dealt with the
collection, analysis, storage and timely
case in any other capacity.
dissemination of comparable data
3. If the president of the arbitral
regarding environmental quality in
tribunal has not been designated
order to provide input into
within two months of the appointment
environmental impact assessment;
of the second arbitrator, the Executive
(f) The establishment of threshold
Secretary of the Economic
levels and more specified criteria for
Commission for Europe shall, at the
defining the significance of
request of either party to the dispute,
transboundary impacts related to the
designate the president within a further
location, nature or size of proposed
two-month period.
activities, for which environmental
4. If one of the parties to the dispute
impact assessment in accordance with
does not appoint an arbitrator within
the provisions of this Convention shall
two months of the receipt of the
be applied; and the establishment of
request, the other party may inform the
critical loads of transboundary
Executive Secretary of the Economic
pollution;
Commission for Europe, who shall
(g) Undertaking, where appropriate,
designate the president of the arbitral
joint environmental impact assessment,
tribunal within a further two-month
development of joint monitoring
41
period. Upon designation, the
decision, the arbitral tribunal must
president of the arbitral tribunal shall
satisfy itself that the claim is well
request the party which has not
founded in fact and law.
appointed an arbitrator to do so within
13. The arbitral tribunal may hear and
two months. After such a period, the
determine counter-claims arising
president shall inform the Executive
directly out of the subject-matter of the
Secretary of the Economic dispute.
Commission for Europe, who shall
14. Unless the arbitral tribunal
make this appointment within a further
determines otherwise because of the
two-month period.
particular circumstances of the case,
5. The arbitral tribunal shall render its
the expenses of the tribunal, including
decision in accordance with
the remuneration of its members, shall
international law and in accordance
be borne by the parties to the dispute
with the provisions of this Convention.
in equal shares. The tribunal shall
6. Any arbitral tribunal constituted
keep a record of all its expenses, and
under the provisions set out herein
shall furnish a final statement thereof
shall draw up its own rules of
to the parties.
procedure.
15. Any Party to this Convention
7. The decisions of the arbitral tribunal,
having an interest of a legal nature in
both on procedure and on substance,
the subject-matter of the dispute, and
shall be taken by majority vote of its
which may be affected by a decision in
members.
the case, may intervene in the
8. The tribunal may take all
proceedings with the consent of the
appropriate measures in order to
tribunal.
establish the facts.
16. The arbitral tribunal shall render its
9. The parties to the dispute shall
award within five months of the date
facilitate the work of the arbitral
on which it is established unless it
tribunal and, in particular, using all
finds it necessary to extend the time
means at their disposal, shall:
limit for a period which should not
(a) Provide it with all relevant
exceed five months.
documents, facilities and information;
17. The award of the arbitral tribunal
and
shall be accompanied by a statement
(b) Enable it, where necessary, to call
of reasons. It shall be final and binding
witnesses or experts and receive their
upon all parties to the dispute. The
evidence.
award will be transmitted by the
10. The parties and the arbitrators
arbitral tribunal to the parties to the
shall protect the confidentiality of any
dispute and to the secretariat. The
information they receive in confidence
secretariat will forward the information
during the proceedings of the arbitral
received to all Parties to this
tribunal.
Convention.
11. The arbitral tribunal may, at the
18. Any dispute which may arise
request of one of the parties,
between the parties concerning the
recommend interim measures of
interpretation or execution of the
protection.
award may be submitted by either
12. If one of the parties to the dispute
party to the arbitral tribunal which
does not appear before the arbitral
made the award or, if the latter cannot
tribunal or fails to defend its case, the
be seized thereof, to another tribunal
other party may request the tribunal to
constituted for this purpose in the
continue the proceedings and to
same manner as the first.
render its final decision. Absence of a
party or failure of a party to defend its
case shall not constitute a bar to the
proceedings. Before rendering its final
42
Annex 2
Notification Letter
Country of origin
Name
Address
Tel & Fax
Email address
Date
Affected County
Point of Contact
Name
Address
Tel & Fax
Email address
Dear xxxx,
Re: Notification of Environmental Impact Assessment
This letter is to inform you that the __________(Country of origin) has identified a
potential project in the Caspian coast that Project Developer _______ is considering.
The project involves a port development, including a load facility for oil. Project
Developer __________ has indicated that there is a potential for transboundary
environmental impact from this project, including the unlikely event of a major
accident involving a tanker loading at the facility.
In accordance with the law in the country of origin, the project will undergo an
Environmental Impact Assessment (EIA) and is now at the Scoping stage. Although
our country has not ratified the UNECE Convention on EIA in a Transboundary
Context, we are notifying you in the interest of good international cooperation for
protecting the Caspian Sea environment and in line with the discussions researched
with the five littoral states, UNECE, UNEP, EBRD and the Caspian Environment
Programme. Please find attached project description, project maps, and preliminary
information on anticipated environment impacts. We would like to know if your
country would like to participate in the EIA process, and would encourage you to
make us aware of any particularly sensitive environmental or social issues that might
be affected in the _____ region that should be taken into account. We would
appreciate it if you could let us know the contact details of the person in charge. We
would also like to know if you would like information provided to the local public, and
to have a contact point for the local environmental authorities.
We will need a response from you whether or not you would like to participate in the
EIA process within 30 calendar days upon receipt of this letter.
With best regards,
Country of Origin
Competent Environment Authority
copy to:
Competent environmental authority (if the point of contact for the notification is
Ministry of Foreign Affairs)
43
Caspian Environment Programme
Summary of information on proposed project and contact details
(a) Information on the nature of the proposed activity
Type of activity proposed
Is the proposed activity listed in Appendix I to the Convention?
Yes No
Scope of proposed activity
(e.g. main activity and any/all peripheral activities requiring assessment)
Scale of proposed activity
(e.g. size, production capacity, etc.)
Description of proposed activity
(e.g. technology used)
Description of purpose of proposed activity
Rationale for proposed activity
(e.g. socio-economic, physical geographic basis)
Additional information/comments
(b) Information on the spatial and temporal boundaries of the proposed activity
Location
Description of the location (e.g. physical-geographic, socio-economic
characteristics)
Rationale for location of proposed activity (e.g. socio-economic, physical-
geographic basis)
Time-frame for proposed activity (e.g. start and duration of construction
and operation)
Maps and other pictorial documents connected with the information on the
proposed activity
Additional information/comments
(c) Information on expected environmental impacts and proposed
mitigation measures
Scope of assessment (e.g. consideration of: cumulative impacts,
evaluation of alternatives, sustainable development issues, impact of
peripheral activities, etc.)
Expected environmental impacts of proposed activity (e.g. types, locations,
magnitudes)
Inputs (e.g. land, water, raw material, power sources, etc.)
Outputs (e.g. amounts and types of: emissions into the atmosphere,
discharges into the water system, solid waste)
Transboundary impacts (e.g. types, locations, magnitudes)
Proposed mitigation measures (e.g. if known, mitigation measures to
prevent, eliminate, minimize, compensate for environmental effects)
Additional information/comments
(d) Summary and timing of proposed consultation including a
summary of complaint process/grievance procedure
(e) Proponent/developer (contact details)
Name, address, telephone and fax numbers
44
(f) EIA documentation and procedure
Is the EIA documentation (e.g. EIA report or EIS) included in the
Yes No Partial
notification?
Time schedule
Contact details (country of origin)
Authority responsible for coordinating activities relating to the EIA (refer to
decision I/3, appendix)
- Name, address, telephone and fax numbers
45
Annex 3
Response letter
Affected Country
Name
Address
Tel & Fax
Email address
Date
Country of Origin
Name
Address
Dear xxxx,
Re: Response to your notification letter of Environmental Impact Assessment dated
_____
Thank you for your notification letter dated_______. We would like to participate in
your EIA procedure. We would like to draw your particular attention to two sensitive
wetlands in the region that the oil spill could impact, and one tourist area.
We designate ________ (at the competent Environment Authority) for the future
routine contact with your competent environment authority and developer for the
public consultation and revision of the draft EIA report. We will attach summary
information as well as contact information for local authorities, consultation
specialists, local fishery organizations, and NGOs.
With best regards,
Affected country
Competent Environment Authority
copy to:
Country of Origin, competent Environment Authority (if the point of contact for the
notification is Ministry of Foreign Affairs)
Caspian Environment Programme
46
1. INFORMATION ON THE POTENTIALLY AFFECTED ENVIRONMENT
(i) Information relating to the potentially affected environment
Environmentally sensitive areas
Protected areas
Archaeologically sensitive areas
Additional information/comments
(ii) Information on activities within the potentially affected region
Activities which may influence the transboundary environmental effects
caused by the proposed activity
Additional information/comments
(iii) Points of contact
Points of contact where above information may be obtained
- Names, addresses, telephone and fax numbers
2. RESPONSE TO REQUEST FOR A PROPOSAL FOR PUBLIC PARTICIPATION
(i) Language(s)
Language(s) of the EIA documentation
(ii) Responsible Parties
Party responsible for public notification and/or distribution of EIA
documentation
If different than above, Party responsible for conducting the public
participation process and for receiving comments from the public
(iii) Distribution of EIA documentation
Public locations where EIA documentation should be sent (e.g. libraries)
including the number of copies required at each location
Authorities (i.e. governmental, scientific, etc.) to which the EIA
documentation should be sent, including the number of copies for each
authority
(iv) Additional information regarding proposal for public
participation
Additional information/comments/suggestions
47
Annex 4
Useful Reference for the Public Consultation
1 Guidance
"Guidance on Public Participation in Environmental Impact Assessment
in a transboundary context" (Espoo Convention Secretariat in 2004)
The Aarhus Convention: An implementation guide
(UNECE/REC/DANCEE 2000) http://www.unece.org/env/pp/acig.htm
(in English and Russian)
2
Public Consultation and Disclosure Plan (PCDP)
A Public Consultation and Disclosure Plan (PCDP) is a widely used tool,
developed by international financial organisations. The purpose of the plan is
to ensure adequate and timely information be provided to a wide range of
stakeholders who may be affected by a proposed project and to provide
sufficient opportunities for them to voice their opinions and concerns. It is
essentially the identification of stakeholders--people who could be affected by
or are interested in the proposed project--and the definition of a programme
of consultation, disclosure of information, and methods of handling of
comments and concerns.
The PCDP is typically prepared by the project developer and should achieve
six main objectives: (i) describe applicable legal requirements for consultation
and disclosure, including those of international conventions; (ii) identify key
stakeholder groups who may be affected by the project, paying particular
attention to vulnerable groups; (iii) provide a strategy and timetable for sharing
information and consulting with each of these groups during various phases of
the project; (iv) describe the project developer's resources and responsibilities
for implementing the PCDP activities including contact information for the
sponsor; (v) detail reporting/documentation of consultation and disclosure
activities; and (vi) provide a comment and grievance/complaint mechanism.
The draft PCDP can be sent with other notification materials for comment.
In many circumstances, the project developer would benefit from hiring a local
consultation advisor in each affected country to assist in identifying the
culturally appropriate consultation process. (Detailed guidance notes for
PCDPs can be found at World Bank Group's website:www.ifc.org.)
3
Useful information for public consultation in Russia and
Kazakshstan
The contacts of the local authorities, NGOs, and interest groups in the
Caspian Sea area - in Russian and Kazakhstan - can be found at Caspian
Environment Programme Website
(http://www.caspianenvironment.org/transboundaryEIA)
48
Annex 5
About Caspian Environment Programme
The Caspian Environment Programme is an internationally supported regional
umbrella programme born out of and reflecting a desire for regional cooperation to
safeguard and rehabilitate the threatened environment of the Caspian Sea. CEP is a
partnership between the five littoral countries namely Azerbaijan, Iran, Kazakhstan,
Russia and Turkmenistan on one hand and the International Partners namely the
EU/Tacis, UNDP, UNEP , World Bank on the other hand. The private sector and a
host of other international organizations also participate in the CEP activities.
The ultimate goals of CEP include a) development and strengthening of regional
environmental dialogue and cooperation b) support towards formulation and
endorsement of a Caspian Framework Convention and pertinent protocols, c) study,
analysis and assistance to address transboundary environmental issues and
concerns and d) support to resource mobilization initiatives inter alia through
identification and early preparation of investment projects which meet CEP criteria of
high priority actions.
The CEP institutional arrangements includes a Steering Committee (SC) comprising
of representatives of the littoral countries and of International partners; National
Caspian Structures (NSCs) and National Focal Points (NFPs) in each of the five
countries , a number of Caspian Regional Thematic Centers (CRTCs) and /or
Thematic Advisory Groups (TAGs) around the Sea and finally a Programme
Coordination Unit (PCU) which was established in Baku in 1998 and is now being
transferred to Tehran.
Contact details of the CEP including that of PCU and NSCs and CRTCs are
provided on the CEP website (www.caspianenvironment.org).
49
50
Document Outline
- Design and Layout Frederic Ballenegger and Rie Tsutsumi
- Guidelines on
- Environmental Impact Assessment
- in a Transboundary Context in the Caspian Sea Region
- Acknowledgements
- Introduction
- The guidelines can be used by countries who are initiating a proposed project that may have the potential for a transboundary impact, and which will require an Environmental Impact Assessment (EIA). The guidelines include requirements identified under
- 2Identification of project with potential transboundary impacts
- þÿ
- Screening (Corresponding Espoo Convention Requirements Article 3.1)
- 3Preparing notification
- (Corresponding Espoo Convention Requirements Article 3.2)
- 3.1 Notification Letter (template attached in Annex 2)
- The notification comprises a brief, non-technical letter, attached to a summary of information on the project. The letter should also include the timing of the EIA review process, description of how disclosure and public consultation are planned, and co
- 3.2 Summary of information
- (Corresponding Espoo Convention Requirements Article 3.2, 3.5)
- þÿ
- a) Information on the nature of the proposed activity;
- i) Whether the activity is listed in Appendix 1 to the Convention;
- ii)Type of activity;
- 3.3 Compensation for review, if applicable
- Notification to affected countries and Caspian Environment Programme
- 4.3 Transmission of notification
- þÿ
- 4.4 Timing
- (Corresponding Espoo Convention Requirements Article 3.2, 3.3)
- 5Follow-up (good practice) and Response
- (Corresponding Espoo Convention Requirements Article 3.3)
- 6Contacts between competent authorities
- and public participation
- (Corresponding Espoo Convention Requirements Article 3.8, 4.2)
- 7Transmittal of draft EIA documents to affected countries and CEP
- (Corresponding Espoo Convention Requirements 3.8, 4.2)
- 8Public Consultation (draft EIA stage)
- (Corresponding Espoo Convention Requirements 4.2, 5)
- (Corresponding Espoo Convention Requirements Article3.8, 4.2):
- 9Final Decision on EIA
- (Corresponding Espoo Convention Requirements Article 6)
- Guidelines for Affected Countries
- 1Applicability
- The guidelines can be used by countries which have been notified that a country of origin is initiating a proposed project that may have the potential for a transboundary impact, and which will require an environmental impact assessment (EIA). This gu
- 2Receiving notification of project with potential transboundary impacts
- 3Preparing the response
- (Corresponding Espoo Convention Requirements Article 3.3)
- 4Transmission of Response
- (Corresponding Espoo Convention Requirements Article 3.3)
- 5Review of draft EIA and Public Consultation
- 5.1 Review of draft EIA by competent authorities
- The draft EIA should be reviewed within 60 days or the request for additional time should be made to the country of origin. In many cases there will be not be much flexibility, as the review period will be in line with their own legal requirements for i
- 5.2 Release of draft EIA to public, meetings
- þÿ
- 6Role of competent authorities in transmittal of comments to the country of origin/project developer
- (Corresponding Espoo Convention Requirements Article 4.2)
- The competent authorities in the affected country should propose the most efficient way of comments being sent to the project developer and the country of origin. This can be achieved by the competent authority of the affected country collecting comment
- 7Receipt of Final Approval of project and communication to consulted public
- Guidelines for Project Developers
- 1Applicability
- The guidelines are provided to project developers who are planning an environmental impact assessment (EIA) in the Caspian Region and have identified the potential for a transboundary impact associated with their proposed project.
- þÿ
- 2Identification of potential transboundary impact
- þÿ
- It will be helpful to provide the competent environmental authorities with the following information at the earliest possible meeting:
- a brief description of the project,
- its potential impacts in normal operating conditions,
- its potential impacts in a worst case scenario,
- the type of transboundary impacts possible,
- potential stakeholders affected, and
- 3Preparing notification
- 3.1 Notification Letter (template attached in Annex 2)
- The notification comprises a brief, non-technical letter, attached to a summary of information on the project. The letter should also include the timing of the EIA review process, description of how disclosure and public consultation process are planned
- 3.2. Summary of information
- The information attached to the notification letter should have adequate technical content, including maps, for the affected country to identify its level of interest in being involved in the EIA process. The following information should be part of the
- a) Information on the nature of the proposed activity;
- i) Whether the activity is listed in Appendix 1 to the Convention;
- ii)Type of activity;
- 3.3 Compensation for review, if applicable
- 4Notification to affected countries and Caspian Environment Programme (CEP)
- 4.3 Transmission of notification
- þÿ
- 5Follow-up and Response
- Article 1
- Article 2
- Article 4