EU-China
Environmental Governance Programme
1st EGP Training Course
Policy for Access to Environmental Information & Public
Consultation in Environmental Decision
Central Garden Hotel, Beijing
17 & 18 September 2012
Strengths & Weaknesses of Application of
Aarhus Convention in Selective EU
Environmental Directives
(EIA, IPPC/IE, WF, COMAH)
by
Philippe Bergeron (Dr.-Ing.)
Environmental Governance Expert
1st EGP Training Course
17-18 / 09/ 2012
1
中欧环境治理项目
第一次培训研讨会
环境信息公开与公众参与培训研讨会
北京中苑宾馆
2012年9月17日—9月18日
奥胡斯公约在欧盟环境指令中的
体现及其优劣简析
（环评指令，污染防治及监控/工业排放指令，
水框架指令，重大事故危害控制指令）
菲利普·贝士荣 博士
环境治理专家
1st EGP Training Course
17-18 / 09/ 2012
2
Overview
1) Aarhus Convention Requirement
2) Application in EIAD
3) Application in IPPCD/IED
4) Application in WFD
5) Application in COMAHD
1st EGP Training Course
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内容概述
1) 奥胡斯公约相关条款
2) 在环评指令中的应用
3) 在污染防治及监控/工业排放指令中
的应用
4) 在水框架指令中的应用
5) 在重大事故危害控制指令中的应用
1st EGP Training Course
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Access to Information
Definition
 “ensure that public authorities, in response to
a request for environmental information, make
such information available to the public (i) as
soon as possible, (ii) without an interest
having to be stated and (iii) preferably in the
form requested”
Aarhus Convention,
Article 4: Access to environmental information
1st EGP Training Course
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信息公开
定义
“确保公共当局对公众请求公开的环境信息有所回应，
并保证信息 (i) 尽可能迅速的； (ii) 在请求方无须声明
涉及何种利益的条件下； (iii) 尽可能按照请求所指的
形式；公开给公众。”
奥胡斯公约,
第四条：获取环境信息
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Access to Information
Definition
Responsibility of Public Authorities to collect and
disseminate information
 “Public authorities possess and update
environmental information relevant to their
functions”;
 “Mandatory systems are established so that
there is an adequate flow of information to
public authorities about activities which may
significantly affect the environment “
Aarhus Convention,
Article 5: Collection & dissemination of environmental
information
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信息公开
定义
公共当局责任——收集与公布信息

“公共当局持有并更新与其职责范围相关的环境
信息。”

“建立强制性制度，保证公共当局充分了解可能对
环境造成重大影响的活动。”
1st EGP Training Course
17-18 / 09/ 2012
奥胡斯公约,
第五条：环境信息的收集与公布
8
Participation in decision
Definition
 “appropriate practical provisions for the
public to participate during the preparation of
plans and programmes relating to the
environment, within a transparent and fair
framework, having provided the necessary
information to the public”
Aarhus Convention,
Article 7： PP for environmental plans & programmes
1st EGP Training Course
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参与决策
定义
 “环境规划制定过程中，应为公众提供适当的必要
信息，使公众在透明、公平的框架内参与制订相关
环境规划和方案。”
奥胡斯公约,
第七条：公众参与环境规划
1st EGP Training Course
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Participation in decision
Definition
 “shall apply the provisions of this article with
respect to decisions on whether to permit
proposed activities (i) listed in annex I, and (ii)
not listed in annex I which may have a
significant effect on the environment ”
Aarhus Convention,
Article 6: Public participation in decision
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参与决策
定义
 “下列拟议活动应根据本条条款内容，决定是否准
许其进行： (i)附件一中所列举的活动(ii)未列入附
件一但可能对环境产生重大影响的活动”
奥胡斯公约,
第六条: 公众参与决策
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Participation in decision
Definition
 “promote effective public participation at an
appropriate stage, and while options are still
open, during the preparation by public
authorities of executive regulations and other
generally applicable legally binding rules that
may have a significant effect on the
environment”
Aarhus Convention,
Article 8: PP for preparation of policies and regulations
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参与决策
定义
 “拟定可能会对环境产生重大影响的规章制度或其
它有法律约束力的规定时，应在各种方案备选阶段
时，及时有效地引入公众参与。”
奥胡斯公约，
第8条：公众参与拟定规章政策
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Endorsement Process of
Aarhus Convention in EU
 UN/ECE “ Aarhus” Convention 1998;
 EU Regulation 1049/2001“Public access to all
community institutions and bodies”;
 EU Directive 2003/4/EC ”Public access to
environmental information”;
 EU Directive 2003/35/EC ”Public participation in plans
and programmes”;
 EC Communications 2003/ (622-624-625) proposing to
ratify the Aarhus Convention
 EU Regulation 1367/2006 “Application of the Aarhus
convention to community institutions and bodies”
CANGO Meeting
19/04/2011
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欧盟奥胡斯公约
通过过程
 联合国/欧洲经济委员会“奥胡斯公约”1998;
 欧盟法规1049/2001 “公众准入全部社会办事机构”
 欧盟指令2003/4/EC “公众环境信息开放”
 欧盟指令2003/35/EC “公众参与规划及项目”
 欧盟委员会 传播2003/（622-624-625）“提议正式通过奥
胡斯公约”
 欧盟法规1367/2006 “奥胡斯公约落实入社会”
CANGO Meeting
19/04/2011
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Aarhus Requirement in
EIA Directive (1985/337)
1) The public is informed (public notices,
electronic media, etc.) about (i) opportunity to
modify, (ii) right to participate, (iii) competent
authority for questions submission;
2) The public can express comments when all
options are open before decision;
3) Decision takes due account of results of the
public participation;
4) Competent authority inform the public about the
decisions including how results of public
participation have been taken into account.
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环评指令中的
奥胡斯公约(1985/337)
1) 决策正式出台前，公众应被告知（通过公示或电子
传媒等方式） (i) 修改的机会 (ii) 公众参与的权力(iii)
负责处理公众疑问的机构
2) 决策正式出台前，公众可以发表意见；
3) 决策应纳入公众参与阶段取得的成果；
4) 相关机构负责通知公众决策结果，并反馈公众意见
采纳情况
1st EGP Training Course
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Aarhus Requirement in
EIA Directive (2003/108)
1) Clear identification of the public entitled to
participate (public concerned: likely to affected or
having an interest); any persons or organizations
including NGOs, and trans-boundary stakeholders).
2) Detailed arrangement for Public Participation
Process (time, place, information dissemination (bill,
newspaper, etc.), documentation availability (full
report, lay summary, etc.) , consultation process
(written questions, public enquiry, etc.)
3) Reasonable timeframe allowing enough time for
information dissemination and adequate time for
review of documentation and preparation (several
weeks)
1st EGP Training Course
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环评指令中的
奥胡斯公约 (2003/108)
1) 明确划定了参与环境决策的公众（即“相关公众”，指
指最可能受到某项政府决策影响的公众群体、或有相关
利益的公众群体；可以是符合以上描述的任何个人及包
括非政府组织和跨界利益相关者在内的任何组织）
2) 详细列举了公众参与环境决策的流程：包括时间、地点、
公示方式（传单、报纸等）、相关文件呈现形式（全文、
非技术性摘要等）、公众座谈会流程（填写疑问、公众
质询等）
3) 规定了合理时限，保证相关信息得以充分公示，相关文
件得以充分理解、准备工作得以完善（若干周）
1st EGP Training Course
17-18 / 09/ 2012
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Aarhus Requirement in
EIA Directive (2003/108)
Public concerned having
(i) a sufficient interest or
(ii) maintaining an impairment of a right
has access to review procedures of decision
before court of laws that should be fair,
equitable, timely and not prohibitively
expensive
1st EGP Training Course
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环评指令中的
奥胡斯公约(2003/108)
相关公众指
(i) 充分相关利益者
(ii) 权利因相关决策受到影响者
其上诉前，有权要求回顾相关决策过程，并保证
整个流程平等、公正、及时且无需付出高价
1st EGP Training Course
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Aarhus Requirement
in EIA Directive
Further issues offering room for improvement in EU
1. Screening: lax wording of Annex II (Optional EIA)
and EIA triggering thresholds.
2. Information supplied: often absence of check-lists
3. Alternatives: often no zero and other options
4. Cumulative impacts: often salami slicing technique
5. Health aspects: often neglected
6. Trans-boundary involvement: often neglected
7. Quality control: often not practiced
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环评指令中的
奥胡斯公约
尚待改进之处：
1. 排查: 附件二用词松散（如：选择性开展环评）、环评启
动门槛
2. 提供给公众的信息: 经常缺失校验清单
3. 备选方案: 经常缺失零号或其他备选方案
4. 累积效应： 经常忽略小问题，导致积少成多
5. 健康层面：经常忽略
6. 涉及跨国利益：经常忽略
7. 质量控制： 经常难以落实
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Aarhus Requirement in
IPPC Directive (1996/61)
1) Application to a permit to be made available for
appropriate time to the public to allow
comments before decision by competent
authority
2) Copy of Permit to be made available to the
public
3) Results of monitoring of release to be made
available to the public
4) Inventory of emissions to be published every 3
years; Exchange of information between
countries
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污染防治及监控指令中的
奥胡斯公约 (1996/61)
1) 设置时限，在决策正式出台前一段时间内，允许公
众就决策发表意见
2) 公众有权获取准许文件副本
3) 排污监控结果信息向公众公开
4) 每隔三年公布排放清单；国家间交换相关信息
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Aarhus Requirement in
IPPC Directive (2003/35)
1) Opportunity for the public to participate in the
procedure for (i) issuing a permit for new
installations or any substantial change in the
operation of an installation, and (ii) updating of
a permit or permit conditions
2) Opportunity for neighboring members states to
participate in the procedures as well
3) Content of decision and copy of permit to be
made available to the public and neighboring
countries when relevant
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污染防治及监控指令中的
奥胡斯公约(2003/35)
1) 公众有机会参与如下决策的制定过程：(i) 准许新建
或大规模改建工程决策 (ii) 更新准许内容或准许条件
2) 邻国有权参与以上决策的制定过程
3) 必要时，决策内容及准许文件副本需向公众及邻国
公开
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Aarhus Requirement in
IPPC Directive (2003/35)
1) Clear identification of the public entitled to
participate (public concerned: likely to affected or
having an interest); any persons or organizations
including NGOs, and trans-boundary stakeholders).
2) Detailed arrangement for Public Participation
Process (time, place, information dissemination (bill,
newspaper, etc.), documentation availability (full
report, non technical summary, etc.) , consultation
process (written questions, public enquiry, etc.)
3) Reasonable timeframe allowing enough time for
information dissemination and adequate time for
review of documentation and preparation (several
weeks)
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污染防治及监控指令中的
奥胡斯公约(2003/35)
1) 明确划定了参与环境决策的公众（即“相关公众”，指
指最可能受到某项政府决策影响的公众群体、或有相关
利益的公众群体；可以是符合以上描述的任何个人及包
括非政府组织和跨界利益相关者在内的任何组织）
2) 详细列举了公众参与环境决策的流程：包括时间、地点、
公示方式（传单、报纸等）、相关文件呈现形式（全文、
非技术性摘要等）、公众座谈流程（填写疑问、公众质
询等）
3) 规定了合理时限，保证相关信息得以充分公示，相关文
件得以充分理解、准备工作得以完善（若干周）
1st EGP Training Course
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Aarhus Requirement in
IPPC Directive (2003/35)
Public concerned having
(i) a sufficient interest or
(ii) maintaining an impairment of a right
has access to review procedures of decision
before court of laws that should be fair,
equitable, timely and not prohibitively
expensive
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污染防治及监控指令中的
奥胡斯公约(2003/35)
相关公众指
(i) 充分相关利益者
(ii) 权力因相关决策受到影响者
其上诉前，有权要求回顾相关决策过程，并保证
整个流程平等、公正、及时且无需付出高价
1st EGP Training Course
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Aarhus Requirement in
IE Directive (2010/75)
1) Procedures for public participation before
decision is made (Annex IV).
2) NGOs to be invited to participate in
working group in on the exchange of
information on Best Available Techniques
in IED forum related to industrial
emissions (selection based on
competence and experience,
representation at EU level)
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工业排放指令中的
奥胡斯公约 (2010/75)
1) 制定了决策正式出台前，公众参与环境决策的
流程（附件四）
2) 邀请非政府组织参加“工业排放指令论坛”工
作小组，获取“降低工业排放影响最佳技术”
方面的相关信息（邀请名单由欧盟根据非政府
组织的竞争力及其相关领域经验制定）
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Aarhus Requirement in
WF Directive (2000/60)
Three Levels
Information Supply
(ensured)
Consultation
(ensured)
Active Involvement
(encouraged)
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水框架指令中的
奥胡斯公约(2000/60)
三个层面
向公众提供信息
（必须）
公众座谈
（必须）
主动参与
（建议）
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Aarhus Requirement in
WF Directive (2000/60)
Information Supply (Responsibility of Public
Utilities)
(a) Timetable and work programme for the production of
the River Basin Management Plan (RBMP) including a
statement of the consultation measures to be taken, at
least three years before beginning of plan reference
period;
(b) Interim overview of the significant water
management issues identified in the river basin, at least
two years before beginning of plan reference period;
(c)Draft copies of the river basin management plan, at
least one year before beginning of plan reference period.
(Annex VII - WFD)
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水框架指令中的
奥胡斯公约 (2000/60)
向公众提供信息 (公共用途信息公开责任)
(a) “江河流域管理规划”（“规划”）制定时间表和工作计
划，内含纳入公众协商声明，至少在“规划”实施之前三年以
上公布；
(b) 重大江河流域水资源管理问题中期回顾信息，至少在“规
划”实施之前两年以上公布；
(c) “江河流域管理规划”草案副本，至少在“规划”实施之
前一年以上公布。（水框架指令，附件七）
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Aarhus Requirement in
WF Directive (2000/60)
Content of RBMP
1)General Decription
2)Summary of Significant Pressures and Impacts
3)Mapping Protected Areas
4)Monitoring Network
5)Environmental Objectives
6)Economic Analysis
7)Programme(s) of Measures
8)Register of Detailed Plans
9)Summary of Public Information and Consultation Measures
10)List of Competnet Authorities
11)Contact points to access Detailed Information
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水框架指令中的
奥胡斯公约(2000/60)
“江河流域管理规划”内容
1)概况
2)重大压力及影响综述
3)划定保护区
4)监控网络
5)环境目标
6)经济分析
7)行动计划
8)具体计划清单
9)信息公开及纳入公众协商座谈措施概述
10)所设法定机构清单
11)获取具体信息联系端
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Aarhus Requirement in
WF Directive (2000/60)
4 Consultation Stages
(a)Consultation on the timetable and work
programme
(b)Consultation on “significant water
management issues”
(c)Consultation on River Basin Management
Plans
(d)International consultation and co-ordination
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水框架指令中的
奥胡斯公约(2000/60)
四大协商阶段
(a) 时间表及工作计划协商
(b)“重大水资源管理问题”协商
(c)“江河流域管理规划”内容协商
(d) 跨国协商与协调
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Aarhus Requirement in
WF Directive (2000/60)
Code of Practice for Consultation (WFD)
1)
Foresee adequate timing for the organization of consultation;
2)
Clarify who is being consulted, about what questions, in what
timescale and for what purpose (open to anyone);
3)
Prepare the documents which are subject to consultation including
a summary of 2 pages of the main questions
4)
Make the documents widely available, with the fullest use of
electronic means and effectively drawn to the attention of all
interested groups and individuals;
5)
Anyone with an interest has six months respond to the documents;
6)
Responses should be carefully and open-mindedly analysed, and
the results made widely available with reasons for decisions taken;
7)
Departments should monitor and evaluate consultations,
designating a consultation coordinator who will ensure the lessons
are learned and disseminated.
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水框架指令中的
奥胡斯公约(2000/60)
开展协商准则（水框架指令）
1)为协商预留充足时间量；
2)明确参与协商各方，协商议题，协商时长，协商目的（所有人都在候选人范
围）；
3)准备协商所需文件，包括一份两页长的核心问题清单；
4)保证这些文件广泛公开，充分利用电子媒介手段，保证利益相关个人及团体
有效获悉；
5)所有利益相关方可在六个月内对以上文件作出回应；
6)应对所有回应进行谨慎、开明的分析，并将处理结果反馈给公众，解释最终
决策制定的原因；
7)有关政府部门应监管、评估协商，指派一名协商协调员，保证经验得以借鉴。
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Aarhus Requirement in
COMAH Directive (2012/18)
Some information to be made permanently
available to the public potentially affected
comprising (i) private housing, (ii) public
houses and facilities, (iii) populated transboundary areas
Annex V of COMAH (see next slide)
For Upper Tiers Establishments in addition
Regular clear and intelligible information to potentially
affected people on safety measures and requisite behavior
Safety report upon request
Inventory of dangerous substances
1st EGP Training Course
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重大事故危害控制指令中的
奥胡斯公约(2012/18)
相关信息应永久对在以下方面可能受到影响的相
关方公开 (i)私人房产(ii) 公共房产及设施, (iii) 人
口密集的国境交界处
重大事故危害控制指令 附件五（见下页）
涉及高度危险品的企业还需要公开如下信息：
定期向受影响相关方提供安全措施及行为准则方面的信息，信息
需清晰易懂
应需提供安全报告
危险品清单
1st EGP Training Course
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重大事故危害控制指令中的
奥胡斯公约(2012/18)
Annex V of COMAH (2012)
Part 1: For all Establishments
1.Name or trade name of the operator and the full address;
2.Confirmation that the establishment is adhering to the
COMAH regulations (notification, safety report);
3.Explanation in simple terms of the activities of the
establishment;
4.The common and generic names and the hazard
classification and description of relevant dangerous
substances
5.Warning procedures and recommended behavior of people
in case of accident
6.The date of last inspection by authority
7.Explanation on information withheld on confidentiality
ground
1st EGP Training Course
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重大事故危害控制指令中的
奥胡斯公约(2012/18)
重大事故危害控制指令 附件五(2012)
第一部分： 适用于全部涉及及处理危险品的企业
1.经营者名称或公司名称及其地址；
2.确定该机构遵循重大事故危害控制规定（通知，安全报告）；
3.简明阐述该公司活动；
4.相关危险源常用名、类别、描述及危害级别；
5.预警程序及事发安全行为建议；
6.最后一次正式机构检查日期；
7.合理解释保密信息
1st EGP Training Course
17-18 / 09/ 2012
48
Aarhus Requirement in
COMAH Directive (2012/18)
Annex V of COMAH (2012)
Part 2: For upper-tier Establishments:
1.
General information on major-accident hazards,
including potential effects on human health and the
environment; summary details of major-accident scenarios
and control measures to address them;
2.
Confirmation of operator adequate arrangements on
site, (liaison with the emergency services);
3.External emergency plan drawn up to cope with any off-site
effects from an accident;
4.
Where applicable, indication whether the
establishment is close to the territory of another Member
State with the possibility of a major accident with transboundary effects.
1st EGP Training Course
17-18 / 09/ 2012
49
重大事故危害控制指令中的
奥胡斯公约(2012/18)
重大事故危害控制指令 附件五(2012)
第二部分：涉及高度危险品企业：
1. 所涉潜在重大事故信息：包括对人体健康及环境可能造成的影响，
重大事故情况描述，及可采取的控制措施；
2. 确认经营者有充分能力应对紧急情况（与紧急救援机构建立联
系）；
3. 制定外部紧急救援计划，应对事故造成的不在场影响；
4. 如涉及跨国界问题，公布企业是否临近其他欧盟成员国，及可能
发生的重大事故是否会对其他国家造成影响。
1st EGP Training Course
17-18 / 09/ 2012
50
Exception to
Information Disclosure
Article 4 of EU Directive on Public Access to
Information (2003/4/EC)
1) The information requested is not held by or for
the public authority to which the request is
addressed. (then transfer the request to other
authority and inform the applicant
2) The request is manifestly unreasonable;
3) The request is too general (only after having
requested applicant to specify the request);
4) The request concerns material in the course of
completion or unfinished documents or data;
5) The request concerns internal communications,
taking into account the public interest served by
disclosure.
1st EGP Training Course
17-18 / 09/ 2012
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信息公开
例外情况
欧盟信息公开指令第四条 (2003/4/EC)
1)申请人请求公开的信息不属于公共机构管辖，或不为
公共机构所用（这种情况下，将信息公开请求转至相关
机构受理，并通知申请人），
2)无理请求；
3)请求公开的信息范围过于宽泛（在要求申请人明确请
求之后）；
4)请求所涉材料含尚未完成或不完整的文件或数据；
5)在考虑到公众利益的前提下，申请人的请求涉及内部
流通信息。
1st EGP Training Course
17-18 / 09/ 2012
52
Exception to
Information Disclosure
Article 4 of EU Directive on Public Access to
Information (2003/4/EC): Possible Causes
for withholding information:
1)Confidentiality of the proceedings of public authorities
provided by law;
2)International relations, public security or national defence;
3)Course of justice
4)Confidentiality of commercial or industrial information
5)Intellectual property rights;
6)Confidentiality of personal data and/or files
7)Interests or protection of any person who supplied the
information
8)Protection of the environment to which such information
relates, such as the location of rare species.
1st EGP Training Course
17-18 / 09/ 2012
53
信息公开
例外情况
欧盟信息公开指令第四条(2003/4/EC):
信息不予公开条件：
1) 涉及法律规定的公共机构保密程序；
2) 涉及国际关系，公共安全及国防安全；
3) 涉及法律仲裁过程；
4) 涉及商业或工业机密信息；
5) 涉及知识产权信息；
6) 涉及私人数据/文档保密性
7) 涉及信息提供方利益
8) 涉及环境保护问题，如珍稀物种栖息地
1st EGP Training Course
17-18 / 09/ 2012
54
Aarhus Requirement in
COMAH Directive (2012/18)
Public Consultation before decision
required for:
(a)Planning for new establishments
(b)Significant modifications to
establishments
(c)New risky developments around
establishments
1st EGP Training Course
17-18 / 09/ 2012
55
重大事故危害控制指令中的
奥胡斯公约(2012/18)
决策前必须召开公众座谈的情况包括：
(a)新建涉及危险品企业
(b)涉及危险品企业重大改建
(c)涉及危险品企业周边新建含风险发展
1st EGP Training Course
17-18 / 09/ 2012
56
Aarhus Requirement in
COMAH Directive (2012/18)
Information to be Provided for Public
Consultation before decision:
1)The subject of the specific project;
2)Where applicable, the fact that a project is subject to a
national or transboundary EIA
3)Details of the competent authority responsible for taking the
decision and to whom comments or questions can be
forwarded;
4)The nature of possible decisions or, where there is one, the
draft decision;
5)Times and places where, or means by which, the relevant
information will be made available;
6)Details about the public consultation process.
1st EGP Training Course
17-18 / 09/ 2012
57
重大事故危害控制指令中的
奥胡斯公约(2012/18)
决策前公众座谈会，公众需获悉：
1)具体项目主题；
2)必要时，明确项目需要国内环评或是跨国环评；
3)决策机构细节，向何方提交意见及疑问；
4)备选决策性质，或其草拟版本（若已完成）；
5)获取信息的时间、地点、方式；
6)公众座谈流程的细节信息。
1st EGP Training Course
17-18 / 09/ 2012
58
Aarhus Requirement in
COMAH Directive (2012/18)
Information to be Provided for Public
Consultation after decision:
1)the content of the decision and the reasons on which it is
based, including any subsequent updates;
2)The results of the consultations held before the decision
was taken and an explanation of how they were taken into
account in that decision.
Access to Justice
Members of the public concerned should have access to the
possibility of a review procedure before a court of law or
another independent and impartial body established by the
law.
1st EGP Training Course
17-18 / 09/ 2012
59
重大事故危害控制指令中的
奥胡斯公约(2012/18)
决策后公众座谈会，公众需获悉:
1)具体决策内容，决策制定原因及其后续更新；
2)决策前座谈结果已被纳入决策，及其采纳方式。
司法参与权
相关公众有权要求法院或其他合法公正的独立机构审查全部流程
1st EGP Training Course
17-18 / 09/ 2012
60
Thanks for Attention
Questions ??
1st EGP Training Course
17-18 / 09/ 2012
61
谢谢！
欢迎提问！
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