CONVENTION ON ENVIRONMENTAL IMPACT ASSESSMENT IN A
TRANSBOUNDARY CONTEXT
done at Espoo (Finland), on 25 February 1991
The Parties to this Convention,
Aware of the interrelationship between economic activities and their environmental
consequences,
Affirming the need to ensure environmentally sound and sustainable development,
Determined to enhance international co-operation in assessing environmental impact in
particular in a transboundary context,
Mindful of the need and importance to develop anticipatory policies and of preventing,
mitigating and monitoring significant adverse environmental impact in general and more
specifically in a transboundary context,
Recalling the relevant provisions of the Charter of the United Nations, the Declaration of
the Stockholm Conference on the Human Environment, the Final Act of the Conference on
Security and Co-operation in Europe (CSCE) and the Concluding Documents of the Madrid
and Vienna Meetings of Representatives of the Participating States of the CSCE,
Commending the ongoing activities of States to ensure that, through their national legal
and administrative provisions and their national policies, environmental impact assessment is
carried out,
Conscious of the need to give explicit consideration to environmental factors at an early
stage in the decision-making process by applying environmental impact assessment, at all
appropriate administrative levels, as a necessary tool to improve the quality of information
presented to decision makers so that environmentally sound decisions can be made paying
careful attention to minimizing significant adverse impact, particularly in a transboundary
context,
Mindful of the efforts of international organizations to promote the use of environmental
impact assessment both at the national and international levels, and taking into account work
on environmental impact assessment carried out under the auspices of the United Nations
Economic Commission for Europe, in particular results achieved by the Seminar on
Environmental Impact Assessment (September 1987, Warsaw, Poland) as well as noting the
Goals and Principles on environmental impact assessment adopted by the Governing Council
of the United Nations Environment Programme, and the Ministerial Declaration on
Sustainable Development (May 1990, Bergen, Norway),
Have agreed as follows:
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Article 1
DEFINITIONS
For the purposes of this Convention,
(i) "Parties" means, unless the text otherwise indicates, the Contracting Parties to this
Convention;
(ii) "Party of origin" means the Contracting Party or Parties to this Convention under whose
jurisdiction a proposed activity is envisaged to take place;
(iii) "Affected Party" means the Contracting Party or Parties to this Convention likely to be
affected by the transboundary impact of a proposed activity;
(iv) "Concerned Parties" means the Party of origin and the affected Party of an
environmental impact assessment pursuant to this Convention;
(v) "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;
(vi) "Environmental impact assessment" means a national procedure for evaluating the likely
impact of a proposed activity on the environment;
(vii) "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;
(viii) "Transboundary impact" means any impact, not exclusively of a global nature, within an
area under the jurisdiction of a Party caused by a proposed activity the physical origin of
which is situated wholly or in part within the area under the jurisdiction of another
Party;
(ix) "Competent authority" means the national authority or authorities designated by a Party
as responsible for performing the tasks covered by this Convention and/or the authority
or authorities entrusted by a Party with decision-making powers regarding a proposed
activity;
(x) "The Public" means one or more natural or legal persons.
Article 2
GENERAL PROVISIONS
1. The Parties shall, either individually or jointly, take all appropriate and effective
measures to prevent, reduce and control significant adverse transboundary environmental
impact from proposed activities.
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2. Each Party shall take the necessary legal, administrative or other measures to
implement the provisions of this Convention, including, with respect to proposed activities
listed in Appendix I that are likely to cause significant adverse transboundary impact, the
establishment of an environmental impact assessment procedure that permits public
participation and preparation of the environmental impact assessment documentation
described in Appendix II.
3. The Party of origin shall ensure that in accordance with the provisions of this
Convention an environmental impact assessment is undertaken prior to a decision to authorize
or undertake a proposed activity listed in Appendix I that is likely to cause a significant
adverse transboundary impact.
4. The Party of origin shall, consistent with the provisions of this Convention, ensure that
affected Parties are notified of a proposed activity listed in Appendix I that is likely to cause a
significant adverse transboundary impact.
5. Concerned Parties shall, at the initiative of any such Party, enter into discussions on
whether one or more proposed activities not listed in Appendix I is or are likely to cause a
significant adverse transboundary impact and thus should be treated as if it or they were so
listed. Where those Parties so agree, the activity or activities shall be thus treated. General
guidance for identifying criteria to determine significant adverse impact is set forth in
Appendix III.
6. The Party of origin shall provide, in accordance with the provisions of this
Convention, an opportunity to the public in the areas likely to be affected to participate in
relevant environmental impact assessment procedures regarding proposed activities and shall
ensure that the opportunity provided to the public of the affected Party is equivalent to that
provided to the public of the Party of origin.
7. Environmental impact assessments as required by this Convention shall, as a
minimum requirement, be undertaken at the project level of the proposed activity. To the
extent appropriate, the Parties shall endeavour to apply the principles of environmental impact
assessment to policies, plans and programmes.
8. The provisions of this Convention shall not affect the right of Parties to implement
national laws, regulations, administrative provisions or accepted legal practices protecting
information the supply of which would be prejudicial to industrial and commercial secrecy or
national security.
9. The provisions of this Convention shall not affect the right of particular Parties to
implement, by bilateral or multilateral agreement where appropriate, more stringent measures
than those of this Convention.
10. The provisions of this Convention shall not prejudice any obligations of the Parties
under international law with regard to activities having or likely to have a transboundary
impact.
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Article 3
NOTIFICATION
1. For a proposed activity listed in Appendix I that is likely to cause a significant adverse
transboundary impact, the Party of origin shall, for the purposes of ensuring adequate and
effective consultations under Article 5, notify any Party which it considers may be an affected
Party as early as possible and no later than when informing its own public about that proposed
activity.
2. This notification shall contain, inter alia:
(a) Information on the proposed activity, including any available information on its
possible transboundary impact;
(b) The nature of the possible decision; and
(c) An indication of a reasonable time within which a response under paragraph 3 of this
Article is required, taking into account the nature of the proposed activity;
and may include the information set out in paragraph 5 of this Article.
3. The affected Party shall respond to the Party of origin within the time specified in the
notification, acknowledging receipt of the notification, and shall indicate whether it intends to
participate in the environmental impact assessment procedure.
4. If the affected Party indicates that it does not intend to participate in the environmental
impact assessment procedure, or if it does not respond within the time specified in the
notification, the provisions in paragraphs 5, 6, 7 and 8 of this Article and in Articles 4 to 7
will not apply. In such circumstances the right of a Party of origin to determine whether to
carry out an environmental impact assessment on the basis of its national law and practice is
not prejudiced.
5. Upon receipt of a response from the affected Party indicating its desire to participate
in the environmental impact assessment procedure, the Party of origin shall, if it has not
already done so, provide to the affected Party:
(a) Relevant information regarding the environmental impact assessment procedure,
including an indication of the time schedule for transmittal of comments; and
(b) Relevant information on the proposed activity and its possible significant adverse
transboundary impact.
6. An affected Party shall, at the request of the Party of origin, provide the latter with
reasonably obtainable information relating to the potentially affected environment under the
jurisdiction of the affected Party, where such information is necessary for the preparation of
the environmental impact assessment documentation. The information shall be furnished
promptly and, as appropriate, through a joint body where one exists.
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7. When a Party considers that it would be affected by a significant adverse
transboundary impact of a proposed activity listed in Appendix I, and when no notification
has taken place in accordance with paragraph 1 of this Article, the concerned Parties shall, at
the request of the affected Party, exchange sufficient information for the purposes of holding
discussions on whether there is likely to be a significant adverse transboundary impact. If
those Parties agree that there is likely to be a significant adverse transboundary impact, the
provisions of this Convention shall apply accordingly. If those Parties cannot agree whether
there is likely to be a significant adverse transboundary impact, any such Party may submit
that question to an inquiry commission in accordance with the provisions of Appendix IV to
advise on the likelihood of significant adverse transboundary impact, unless they agree on
another method of settling this question.
8. The concerned Parties shall ensure that the public of the affected Party in the areas
likely to be affected be informed of, and be provided with possibilities for making comments
or objections on, the proposed activity, and for the transmittal of these comments or
objections to the competent authority of the Party of origin, either directly to this authority or,
where appropriate, through the Party of origin.
Article 4
PREPARATION OF THE ENVIRONMENTAL IMPACT ASSESSMENT
DOCUMENTATION
1. The environmental impact assessment documentation to be submitted to the competent
authority of the Party of origin shall contain, as a minimum, the information described in
Appendix II.
2. The Party of origin shall furnish the affected Party, as appropriate through a joint body
where one exists, with the environmental impact assessment documentation. The concerned
Parties shall arrange for distribution of the documentation to the authorities and the public of
the affected Party in the areas likely to be affected and for the submission of comments to the
competent authority of the Party of origin, either directly to this authority or, where
appropriate, through the Party of origin within a reasonable time before the final decision is
taken on the proposed activity.
Article 5
CONSULTATIONS ON THE BASIS OF THE ENVIRONMENTAL
IMPACT ASSESSMENT DOCUMENTATION
The Party of origin shall, after completion of the environmental impact assessment
documentation, without undue delay enter into consultations with the affected Party
concerning, inter alia, the potential transboundary impact of the proposed activity and
measures to reduce or eliminate its impact. Consultations may relate to:
(a) Possible alternatives to the proposed activity, including the no-action alternative and
possible measures to mitigate significant adverse transboundary impact and to monitor the
effects of such measures at the expense of the Party of origin;
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(b) Other forms of possible mutual assistance in reducing any significant adverse
transboundary impact of the proposed activity; and
(c) Any other appropriate matters relating to the proposed activity.
The Parties shall agree, at the commencement of such consultations, on a reasonable timeframe
for the duration of the consultation period. Any such consultations may be conducted
through an appropriate joint body, where one exists.
Article 6
FINAL DECISION
1. The Parties shall ensure that, in the final decision on the proposed activity, due
account is taken of the outcome of the environmental impact assessment, including the
environmental impact assessment documentation, as well as the comments thereon received
pursuant to Article 3, paragraph 8 and Article 4, paragraph 2, and the outcome of the
consultations as referred to in Article 5.
2. The Party of origin shall provide to the affected Party the final decision on the
proposed activity along with the reasons and considerations on which it was based.
3. If additional information on the significant transboundary impact of a proposed
activity, which was not available at the time a decision was made with respect to that activity
and which could have materially affected the decision, becomes available to a concerned
Party before work on that activity commences, that Party shall immediately inform the other
concerned Party or Parties. If one of the concerned Parties so requests, consultations shall be
held as to whether the decision needs to be revised.
Article 7
POST-PROJECT ANALYSIS
1. The concerned Parties, at the request of any such Party, shall determine whether, and
if so to what extent, a post-project analysis shall be carried out, taking into account the likely
significant adverse transboundary impact of the activity for which an environmental impact
assessment has been undertaken pursuant to this Convention. Any post-project analysis
undertaken shall include, in particular, the surveillance of the activity and the determination
of any adverse transboundary impact. Such surveillance and determination may be undertaken
with a view to achieving the objectives listed in Appendix V.
2. When, as a result of post-project analysis, the Party of origin or the affected Party has
reasonable grounds for concluding that there is a significant adverse transboundary impact or
factors have been discovered which may result in such an impact, it shall immediately inform
the other Party. The concerned Parties shall then consult on necessary measures to reduce or
eliminate the impact.
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Article 8
BILATERAL AND MULTILATERAL CO-OPERATION
The Parties may continue existing or enter into new bilateral or multilateral
agreements or other arrangements in order to implement their obligations under this
Convention. Such agreements or other arrangements may be based on the elements listed in
Appendix VI.
Article 9
RESEARCH PROGRAMMES
The Parties shall give special consideration to the setting up, or intensification of,
specific research programmes aimed at:
(a) Improving existing qualitative and quantitative methods for assessing the impacts of
proposed activities;
(b) Achieving a better understanding of cause-effect relationships and their role in
integrated environmental management;
(c) Analysing and monitoring the efficient implementation of decisions on proposed
activities with the intention of minimizing or preventing impacts;
(d) Developing methods to stimulate creative approaches in the search for
environmentally sound alternatives to proposed activities, production and consumption
patterns;
(e) Developing methodologies for the application of the principles of environmental
impact assessment at the macro-economic level.
The results of the programmes listed above shall be exchanged by the Parties.
Article 10
STATUS OF THE APPENDICES
The Appendices attached to this Convention form an integral part of the Convention.
Article 11
MEETING OF PARTIES
1. The Parties shall meet, so far as possible, in connection with the annual sessions of the
Senior Advisers to ECE Governments on Environmental and Water Problems. The first
meeting of the Parties shall be convened not later than one year after the date of the entry into
force of this Convention. Thereafter, meetings of the Parties shall be held at such other times
as may be deemed necessary by a meeting of the Parties, or at the written request of any
8
Party, provided that, within six months of the request being communicated to them by the
secretariat, it is supported by at least one third of the Parties.
2. The Parties shall keep under continuous review the implementation of this
Convention, and, with this purpose in mind, shall:
(a) Review the policies and methodological approaches to environmental impact
assessment by the Parties with a view to further improving environmental impact assessment
procedures in a transboundary context;
(b) Exchange information regarding experience gained in concluding and implementing
bilateral and multilateral agreements or other arrangements regarding the use of
environmental impact assessment in a transboundary context to which one or more of the
Parties are party;
(c) Seek, where appropriate, the services of competent international bodies and scientific
committees in methodological and technical aspects pertinent to the achievement of the
purposes of this Convention;
(d) At their first meeting, consider and by consensus adopt rules of procedure for their
meetings;
(e) Consider and, where necessary, adopt proposals for amendments to this Convention;
(f) Consider and undertake any additional action that may be required for the
achievement of the purposes of this Convention.
Article 12
RIGHT TO VOTE
1. Each Party to this Convention shall have one vote.
2. Except as provided for in paragraph 1 of this Article, regional economic integration
organizations, in matters within their competence, shall exercise their right to vote with a
number of votes equal to the number of their member States which are Parties to this
Convention. Such organizations shall not exercise their right to vote if their member States
exercise theirs, and vice versa.
Article 13
SECRETARIAT
The Executive Secretary of the Economic Commission for Europe shall carry out the
following secretariat functions:
(a) The convening and preparing of meetings of the Parties;
(b) The transmission of reports and other information received in accordance with the
provisions of this Convention to the Parties; and
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(c) The performance of other functions as may be provided for in this Convention or as
may be determined by the Parties.
Article 14
AMENDMENTS TO THE CONVENTION
1. Any Party may propose amendments to this Convention.
2. Proposed amendments shall be submitted in writing to the secretariat, which shall
communicate them to all Parties. The proposed amendments shall be discussed at the next
meeting of the Parties, provided these proposals have been circulated by the secretariat to the
Parties at least ninety days in advance.
3. The Parties shall make every effort to reach agreement on any proposed amendment to
this Convention by consensus. If all efforts at consensus have been exhausted, and no
agreement reached, the amendment shall as a last resort be adopted by a three-fourths
majority vote of the Parties present and voting at the meeting.
4. Amendments to this Convention adopted in accordance with paragraph 3 of this
Article shall be submitted by the Depositary to all Parties for ratification, approval or
acceptance. They shall enter into force for Parties having ratified, approved or accepted them
on the ninetieth day after the receipt by the Depositary of notification of their ratification,
approval or acceptance by at least three fourths of these Parties. Thereafter they shall enter
into force for any other Party on the ninetieth day after that Party deposits its instrument of
ratification, approval or acceptance of the amendments.
5. For the purpose of this Article, "Parties present and voting" means Parties present and
casting an affirmative or negative vote.
6. The voting procedure set forth in paragraph 3 of this Article is not intended to
constitute a precedent for future agreements negotiated within the Economic Commission for
Europe.
Article 15
SETTLEMENT OF DISPUTES
1. If a dispute arises between two or more Parties about the interpretation or application
of this Convention, they shall seek a solution by negotiation or by any other method of
dispute settlement acceptable to the parties to the dispute.
2. When signing, ratifying, accepting, approving or acceding to this Convention, or at
any time thereafter, a Party may declare in writing to the Depositary that for a dispute not
resolved in accordance with paragraph 1 of this Article, it accepts one or both of the following
means of dispute settlement as compulsory in relation to any Party accepting the same
obligation:
(a) Submission of the dispute to the International Court of Justice;
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(b) Arbitration in accordance with the procedure set out in Appendix VII.
3. If the parties to the dispute have accepted both means of dispute settlement referred to
in paragraph 2 of this Article, the dispute may be submitted only to the International Court of
Justice, unless the parties agree otherwise.
Article 16
SIGNATURE
This Convention shall be open for signature at Espoo (Finland) from
25 February to 1 March 1991 and thereafter at United Nations Headquarters in New York
until 2 September 1991 by States members of the Economic Commission for Europe as well
as States having consultative status with the Economic Commission for Europe pursuant to
paragraph 8 of the Economic and Social Council resolution 36 (IV) of 28 March 1947, and by
regional economic integration organizations constituted by sovereign States members of the
Economic Commission for Europe to which their member States have transferred competence
in respect of matters governed by this Convention, including the competence to enter into
treaties in respect of these matters.
Article 17
RATIFICATION, ACCEPTANCE, APPROVAL AND ACCESSION
1. This Convention shall be subject to ratification, acceptance or approval by signatory
States and regional economic integration organizations.
2. This Convention shall be open for accession as from 3 September 1991 by the States
and organizations referred to in Article 16.
3. The instruments of ratification, acceptance, approval or accession shall be deposited
with the Secretary-General of the United Nations, who shall perform the functions of
Depositary.
4. Any organization referred to in Article 16 which becomes a Party to this Convention
without any of its member States being a Party shall be bound by all the obligations under this
Convention. In the case of such organizations, one or more of whose member States is a Party
to this Convention, the organization and its member States shall decide on their respective
responsibilities for the performance of their obligations under this Convention. In such cases,
the organization and the member States shall not be entitled to exercise rights under this
Convention concurrently.
5. In their instruments of ratification, acceptance, approval or accession, the regional
economic integration organizations referred to in Article 16 shall declare the extent of their
competence with respect to the matters governed by this Convention. These organizations
shall also inform the Depositary of any relevant modification to the extent of their
competence.
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Article 18
ENTRY INTO FORCE
1. This Convention shall enter into force on the ninetieth day after the date of deposit of
the sixteenth instrument of ratification, acceptance, approval or accession.
2. For the purposes of paragraph 1 of this Article, any instrument deposited by a regional
economic integration organization shall not be counted as additional to those deposited by
States members of such an organization.
3. For each State or organization referred to in Article 16 which ratifies, accepts or
approves this Convention or accedes thereto after the deposit of the sixteenth instrument of
ratification, acceptance, approval or accession, this Convention shall enter into force on the
ninetieth day after the date of deposit by such State or organization of its instrument of
ratification, acceptance, approval or accession.
Article 19
WITHDRAWAL
At any time after four years from the date on which this Convention has come into
force with respect to a Party, that Party may withdraw from this Convention by giving written
notification to the Depositary. Any such withdrawal shall take effect on the ninetieth day after
the date of its receipt by the Depositary. Any such withdrawal shall not affect the application
of Articles 3 to 6 of this Convention to a proposed activity in respect of which a notification
has been made pursuant to Article`3, paragraph 1, or a request has been made pursuant to
Article 3, paragraph 7, before such withdrawal took effect.
Article 20
AUTHENTIC TEXTS
The original of this Convention, of which the English, French and Russian texts are
equally authentic, shall be deposited with the Secretary-General of the United Nations.
IN WITNESS WHEREOF the undersigned, being duly authorized thereto, have
signed this Convention.
DONE at Espoo (Finland), this twenty-fifth day of February one thousand nine
hundred and ninety-one.
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APPENDICES
APPENDIX I
LIST OF ACTIVITIES
1. Crude oil refineries (excluding undertakings manufacturing only lubricants from crude
oil) and installations for the gasification and liquefaction of 500 tonnes or more of coal
or bituminous shale per day.
2. Thermal power stations and other combustion installations with a heat output of 300
megawatts or more and nuclear power stations and other nuclear reactors (except
research installations for the production and conversion of fissionable and fertile
materials, whose maximum power does not exceed 1 kilowatt continuous thermal load).
3. Installations solely designed for the production or enrichment of nuclear fuels, for the
reprocessing of irradiated nuclear fuels or for the storage, disposal and processing of
radioactive waste.
4. Major installations for the initial smelting of cast-iron and steel and for the production
of non-ferrous metals.
5. Installations for the extraction of asbestos and for the processing and transformation of
asbestos and products containing asbestos: for asbestos-cement products, with an annual
production of more than 20,000 tonnes finished product; for friction material, with an
annual production of more than 50 tonnes finished product; and for other asbestos
utilization of more than 200 tonnes per year.
6. Integrated chemical installations.
7. Construction of motorways, express roads */ and lines for long-distance railway traffic
and of airports with a basic runway length of 2,100 metres or more.
8. Large-diameter oil and gas pipelines.
9. Trading ports and also inland waterways and ports for inland-waterway traffic which
permit the passage of vessels of over 1,350 tonnes.
10. Waste-disposal installations for the incineration, chemical treatment or landfill of toxic
and dangerous wastes.
11. Large dams and reservoirs.
12. Groundwater abstraction activities in cases where the annual volume of water to be
abstracted amounts to 10 million cubic metres or more.
13. Pulp and paper manufacturing of 200 air-dried metric tonnes or more per day.
14. Major mining, on-site extraction and processing of metal ores or coal.
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15. Offshore hydrocarbon production.
16. Major storage facilities for petroleum, petrochemical and chemical products.
17. Deforestation of large areas.
*/ For the purposes of this Convention:
- "Motorway" means a road specially designed and built for motor traffic, which does not
serve properties bordering on it, and which:
(a) Is provided, except at special points or temporarily, with separate carriageways for the two
directions of traffic, separated from each other by a dividing strip not intended for traffic or,
exceptionally, by other means;
(b) Does not cross at level with any road, railway or tramway track, or footpath; and
(c) Is specially sign-posted as a motorway.
- "Express road" means a road reserved for motor traffic accessible only from interchanges or
controlled junctions and on which, in particular, stopping and parking are prohibited on the
running carriageway(s).
APPENDIX II
CONTENT OF THE ENVIRONMENTAL IMPACT ASSESSMENT DOCUMENTATION
Information to be included in the environmental impact assessment documentation
shall, as a minimum, contain, in accordance with Article 4:
(a) A description of the proposed activity and its purpose;
(b) A description, where appropriate, of reasonable alternatives (for example, locational or
technological) to the proposed activity and also the no-action alternative;
(c) A description of the environment likely to be significantly affected by the proposed
activity and its alternatives;
(d) A description of the potential environmental impact of the proposed activity and its
alternatives and an estimation of its significance;
(e) A description of mitigation measures to keep adverse environmental impact to a
minimum;
(f) An explicit indication of predictive methods and underlying assumptions as well as the
relevant environmental data used;
(g) An identification of gaps in knowledge and uncertainties encountered in compiling the
required information;
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(h) Where appropriate, an outline for monitoring and management programmes and any
plans for post-project analysis; and
(i) A non-technical summary including a visual presentation as appropriate (maps,
graphs, etc.).
APPENDIX III
GENERAL CRITERIA TO ASSIST IN THE DETERMINATION OF THE
ENVIRONMENTAL SIGNIFICANCE OF ACTIVITIES NOT LISTED IN APPENDIX I
1. In considering proposed activities to which Article 2, paragraph 5, applies, the
concerned Parties may consider whether the activity is likely to have a significant adverse
transboundary impact in particular by virtue of one or more of the following criteria:
(a) Size: proposed activities which are large for the type of the activity;
(b) Location: proposed activities which are located in or close to an area of special
environmental sensitivity or importance (such as wetlands designated under the Ramsar
Convention, national parks, nature reserves, sites of special scientific interest, or sites of
archaeological, cultural or historical importance); also, proposed activities in locations where
the characteristics of proposed development would be likely to have significant effects on the
population;
(c) Effects: proposed activities with particularly complex and potentially adverse effects,
including those giving rise to serious effects on humans or on valued species or organisms,
those which threaten the existing or potential use of an affected area and those causing
additional loading which cannot be sustained by the carrying capacity of the environment.
2. The concerned Parties shall consider for this purpose proposed activities which are
located close to an international frontier as well as more remote proposed activities which
could give rise to significant transboundary effects far removed from the site of development.
APPENDIX IV
INQUIRY PROCEDURE
1. The requesting Party or Parties shall notify the secretariat that it or they submit(s) the
question of whether a proposed activity listed in Appendix I is likely to have a significant
adverse transboundary impact to an inquiry commission established in accordance with the
provisions of this Appendix. This notification shall state the subject-matter of the inquiry. The
secretariat shall notify immediately all Parties to this Convention of this submission.
2. The inquiry commission shall consist of three members. Both the requesting party and
the other party to the inquiry procedure shall appoint a scientific or technical expert, and the
two experts so appointed shall designate by common agreement the third expert, who shall be
the president of the inquiry commission. The latter shall not be a national of one of the parties
15
to the inquiry procedure, nor have his or her usual place of residence in the territory of one of
these parties, nor be employed by any of them, nor have dealt with the matter in any other
capacity.
3. If the president of the inquiry commission has not been designated within two months
of the appointment of the second expert, the Executive Secretary of the Economic
Commission for Europe shall, at the request of either party, designate the president within a
further two-month period.
4. If one of the parties to the inquiry procedure does not appoint an expert within one
month of its receipt of the notification by the secretariat, the other party may inform the
Executive Secretary of the Economic Commission for Europe, who shall designate the
president of the inquiry commission within a further two-month period. Upon designation, the
president of the inquiry commission shall request the party which has not appointed an expert
to do so within one month. After such a period, the president shall inform the Executive
Secretary of the Economic Commission for Europe, who shall make this appointment within a
further two-month period.
5. The inquiry commission shall adopt its own rules of procedure.
6. The inquiry commission may take all appropriate measures in order to carry out its
functions.
7. The parties to the inquiry procedure shall facilitate the work of the inquiry
commission and, in particular, using all means at their disposal, shall:
(a) Provide it with all relevant documents, facilities and information; and
(b) Enable it, where necessary, to call witnesses or experts and receive their evidence.
8. The parties and the experts shall protect the confidentiality of any information they
receive in confidence during the work of the inquiry commission.
9. If one of the parties to the inquiry procedure does not appear before the inquiry
commission or fails to present its case, the other party may request the inquiry commission to
continue the proceedings and to complete its work. Absence of a party or failure of a party to
present its case shall not constitute a bar to the continuation and completion of the work of the
inquiry commission.
10. Unless the inquiry commission determines otherwise because of the particular
circumstances of the matter, the expenses of the inquiry commission, including the
remuneration of its members, shall be borne by the parties to the inquiry procedure in equal
shares. The inquiry commission shall keep a record of all its expenses, and shall furnish a
final statement thereof to the parties.
11. Any Party having an interest of a factual nature in the subject-matter of the inquiry
procedure, and which may be affected by an opinion in the matter, may intervene in the
proceedings with the consent of the inquiry commission.
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12. The decisions of the inquiry commission on matters of procedure shall be taken by
majority vote of its members. The final opinion of the inquiry commission shall reflect the
view of the majority of its members and shall include any dissenting view.
13. The inquiry commission shall present its final opinion within two months of the date
on which it was established unless it finds it necessary to extend this time limit for a period
which should not exceed two months.
14. The final opinion of the inquiry commission shall be based on accepted scientific
principles. The final opinion shall be transmitted by the inquiry commission to the parties to
the inquiry procedure and to the secretariat.
APPENDIX V
POST-PROJECT ANALYSIS
Objectives include:
(a) Monitoring compliance with the conditions as set out in the authorization or approval
of the activity and the effectiveness of mitigation measures;
(b) Review of an impact for proper management and in order to cope with uncertainties;
(c) Verification of past predictions in order to transfer experience to future activities of
the same type.
APPENDIX VI
ELEMENTS FOR BILATERAL AND MULTILATERAL CO-OPERATION
1. Concerned Parties may set up, where appropriate, institutional arrangements or
enlarge the mandate of existing institutional arrangements within the framework of bilateral
and multilateral agreements in order to give full effect to this Convention.
2. Bilateral and multilateral agreements or other arrangements may include:
(a) Any additional requirements for the implementation of this Convention, taking into
account the specific conditions of the subregion concerned;
(b) Institutional, administrative and other arrangements, to be made on a reciprocal and
equivalent basis;
(c) Harmonization of their policies and measures for the protection of the environment in
order to attain the greatest possible similarity in standards and methods related to the
implementation of environmental impact assessment;
(d) Developing, improving, and/or harmonizing methods for the identification,
measurement, prediction and assessment of impacts, and for post-project analysis;
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(e) Developing and/or improving methods and programmes for the collection, analysis,
storage and timely dissemination of comparable data regarding environmental quality in order
to provide input into environmental impact assessment;
(f) The establishment of threshold levels and more specified criteria for defining the
significance of transboundary impacts related to the location, nature or size of proposed
activities, for which environmental impact assessment in accordance with the provisions of
this Convention shall be applied; and the establishment of critical loads of transboundary
pollution;
(g) Undertaking, where appropriate, joint environmental impact assessment, development
of joint monitoring programmes, intercalibration of monitoring devices and harmonization of
methodologies with a view to rendering the data and information obtained compatible.
APPENDIX VII
ARBITRATION
1. The claimant Party or Parties shall notify the secretariat that the Parties have agreed to
submit the dispute to arbitration pursuant to Article 15, paragraph 2, of this Convention. The
notification shall state the subject-matter of arbitration and include, in particular, the Articles
of this Convention, the interpretation or application of which are at issue. The secretariat shall
forward the information received to all Parties to this Convention.
2. The arbitral tribunal shall consist of three members. Both the claimant Party or Parties
and the other Party or Parties to the dispute shall appoint an arbitrator, and the two arbitrators
so appointed shall designate by common agreement the third arbitrator, who shall be the
president of the arbitral tribunal. The latter shall not be a national of one of the parties to the
dispute, nor have his or her usual place of residence in the territory of one of these parties, nor
be employed by any of them, nor have dealt with the case in any other capacity.
3. If the president of the arbitral tribunal has not been designated within two months of
the appointment of the second arbitrator, the Executive Secretary of the Economic
Commission for Europe shall, at the request of either party to the dispute, designate the
president within a further two-month period.
4. If one of the parties to the dispute does not appoint an arbitrator within two months of
the receipt of the request, the other party may inform the Executive Secretary of the Economic
Commission for Europe, who shall designate the president of the arbitral tribunal within a
further two-month period. Upon designation, the president of the arbitral tribunal shall request
the party which has not appointed an arbitrator to do so within two months. After such a
period, the president shall inform the Executive Secretary of the Economic Commission for
Europe, who shall make this appointment within a further two-month period.
5. The arbitral tribunal shall render its decision in accordance with international law and
in accordance with the provisions of this Convention.
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6. Any arbitral tribunal constituted under the provisions set out herein shall draw up its
own rules of procedure.
7. The decisions of the arbitral tribunal, both on procedure and on substance, shall be
taken by majority vote of its members.
8. The tribunal may take all appropriate measures in order to establish the facts.
9. The parties to the dispute shall facilitate the work of the arbitral tribunal and, in
particular, using all means at their disposal, shall:
(a) Provide it with all relevant documents, facilities and information; and
(b) Enable it, where necessary, to call witnesses or experts and receive their evidence.
10. The parties and the arbitrators shall protect the confidentiality of any information they
receive in confidence during the proceedings of the arbitral tribunal.
11. The arbitral tribunal may, at the request of one of the parties, recommend interim
measures of protection.
12. If one of the parties to the dispute does not appear before the arbitral tribunal or fails
to defend its case, the other party may request the tribunal to continue the proceedings and to
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 decision, the arbitral tribunal
must satisfy itself that the claim is well founded in fact and law.
13. The arbitral tribunal may hear and determine counter-claims arising directly out of the
subject-matter of the dispute.
14. Unless the arbitral tribunal determines otherwise because of the particular
circumstances of the case, the expenses of the tribunal, including the remuneration of its
members, shall be borne by the parties to the dispute in equal shares. The tribunal shall keep a
record of all its expenses, and shall furnish a final statement thereof to the parties.
15. Any Party to this Convention having an interest of a legal nature in the subject-matter
of the dispute, and which may be affected by a decision in the case, may intervene in the
proceedings with the consent of the tribunal.
16. The arbitral tribunal shall render its award within five months of the date on which it
is established unless it finds it necessary to extend the time limit for a period which should not
exceed five months.
17. The award of the arbitral tribunal shall be accompanied by a statement of reasons. It
shall be final and binding upon all parties to the dispute. The award will be transmitted by the
arbitral tribunal to the parties to the dispute and to the secretariat. The secretariat will forward
the information received to all Parties to this Convention.
18. Any dispute which may arise between the parties concerning the interpretation or
execution of the award may be submitted by either party to the arbitral tribunal which made
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the award or, if the latter cannot be seized thereof, to another tribunal constituted for this
purpose in the same manner as the first.