Policy for Access to Environmental Information & Public Consultation in Environmental Decision

1st EGP Training Course 17-18 / 09/ 2012 1

Policy for Access to Environmental Information & Public Consultation in Environmental Decision

Central Garden Hotel, Beijing17 & 18 September 2012

Strengths & Weaknesses of Application of Aarhus Convention in Selective EU

Environmental Directives (EIA, IPPC/IE, WF, COMAH)

byPhilippe Bergeron (Dr.-Ing.)

Environmental Governance Expert

EU-China

Environmental Governance Programme1st EGP Training Course

1st EGP Training Course 17-18 / 09/ 2012 2

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

中欧环境治理项目第一次培训研讨会

1st EGP Training Course 17-18 / 09/ 2012

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Overview

1) Aarhus Convention Requirement

2) Application in EIAD

3) Application in IPPCD/IED

4) Application in WFD

5) Application in COMAHD


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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


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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


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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。”

奥胡斯公约 , 第五条：环境信息的收集与公布


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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


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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


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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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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

CANGO Meeting 19/04/2011

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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”


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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


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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)


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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）


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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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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


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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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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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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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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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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）


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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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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


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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 LevelsInformation 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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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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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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Content of RBMP

1)General Decription2)Summary of Significant Pressures and Impacts3)Mapping Protected Areas4)Monitoring Network5)Environmental Objectives6)Economic Analysis7)Programme(s) of Measures8)Register of Detailed Plans9)Summary of Public Information and Consultation Measures10)List of Competnet Authorities11)Contact points to access Detailed Information


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“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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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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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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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 trans-boundary areas

Annex V of COMAH (see next slide)

For Upper Tiers Establishments in additionRegular clear and intelligible information to potentially affected people on safety measures and requisite behaviorSafety report upon requestInventory of dangerous substances


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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


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Annex V of COMAH (2012)Part 1: For all Establishments1.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 substances5.Warning procedures and recommended behavior of people in case of accident6.The date of last inspection by authority7.Explanation on information withheld on confidentiality ground


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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


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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 trans-boundary effects.


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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。


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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 applicant2)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.


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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。


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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 justice4)Confidentiality of commercial or industrial information5)Intellectual property rights;6)Confidentiality of personal data and/or files7)Interests or protection of any person who supplied the information8)Protection of the environment to which such information relates, such as the location of rare species.


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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): 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


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Public Consultation before decision required for:

(a)Planning for new establishments

(b)Significant modifications to establishments

(c)New risky developments around establishments


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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


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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.


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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。


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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.


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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

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Thanks for Attention


Questions ??

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谢谢！


欢迎提问！

Documents

Policy for Access to Environmental Information & Public Consultation in Environmental Decision