1. The Aarhus Convention Compliance Committee
Aphrodite Smagadi
Legal Officer
Aarhus Convention Secretariat
Environment, Housing and Land Management Division
United Nations Economic Commission for Europe

2. The Convention in general
Aarhus Convention 1998 Convention on Access to Information, Public Participation and Access to Justice in Environmental Matters
The Convention in general
Origin and evolution
Content overview
Compliance Mechanism
Structure
Functions
Areas of activity
PRTR Protocol

3. REGIONAL SCOPE – GLOBAL RELEVANCE
"… the Aarhus Convention … is by far the
most impressive elaboration of principle 10
of the Rio Declaration... As such it is the
most ambitious venture in the area of
‘environmental democracy’ so far undertaken
under the auspices of the United Nations."
Kofi Annan, former Secretary-General of the United Nations

4. ORIGIN AND EVOLUTION OF THE CONVENTION
June 1992 Principle 10 of Rio Declaration
Oct 1995 Adoption of UNECE Guidelines on Access to Environmental Information and Public Participation in Decision-making (Sofia Guidelines)
1996 – 1998 Negotiation of the draft Convention
25 June 1998 Adoption at the 4th Ministerial “Environment for Europe” Conference, Aarhus (Denmark), 39 countries and the EC
30 Oct 2001 Entry into force
Oct st Meeting of the Parties (MoP 1) (Lucca, Italy)
May 2003 ExMoP: adoption of the Protocol on PRTR (Kiev, Ukraine)
May 2005 MoP 2 (Almaty, Kazakhstan)
June 2008 MoP 3 (Riga, Latvia)
8 Oct 2009 Entry into force of PRTR Protocol
June 2011 MoP 4

5. ORIGIN AND EVOLUTION OF THE CONVENTION
June 1992 Principle 10 of Rio Declaration
Environmental issues are best handled with participation of all
concerned citizens, at the relevant level. At the national level, each
individual shall have appropriate access to information concerning
the environment that is held by public authorities, including
information on hazardous materials and activities in their
communities, and the opportunity to participate in decision-making
processes. States shall facilitate and encourage public awareness
and participation by making information widely available. Effective
access to judicial and administrative proceedings, including redress
and remedy, shall be provided.

6. STATUS OF RATIFICATION
Albania
Armenia
Austria
Azerbaijan
Belarus
Belgium
Bosnia and Herzegovina
Bulgaria
Croatia
Cyprus
Czech Republic
Denmark
Estonia
European Union
Finland
France
Georgia
Germany
Greece
Hungary
Italy
Kazakhstan
Kyrgyzstan
Latvia
Lithuania
Luxembourg
Malta
Montenegro
Netherlands
Norway
Poland
Portugal
Republic of Moldova
Romania
Serbia
Slovakia
Slovenia
Spain
Sweden
Tajikistan
The FYROM
Turkmenistan
Ukraine
United Kingdom
TOTAL: 44 PARTIES (including the EU)

7. CONTENT OF THE CONVENTION
Objective, definitions, general features (art. 1-3)
ACCESS TO INFORMATION (art. 4-5)
PUBLIC PARTICIPATION (art. 6-8)
ACCESS TO JUSTICE (art. 9)
Final clauses (art )
Annexes

8. THE THREE ‘PILLARS’ PARTICIPATION INFORMATION JUSTICE
AARHUS CONVENTION
INFORMATION
PARTICIPATION
JUSTICE
DEMOCRACY/RULE OF LAW

9. Objective (article 1)
In order to contribute to the protection of the right of every person of present and future generations to live in an environment adequate to his or her health and well-being, each Party shall guarantee the rights of access to information, public participation in decision-making, and access to justice in environmental matters in accordance with the provisions of this Convention.

10. GENERAL FEATURES
Each Party to establish and maintain a clear, transparent and consistent framework to implement the Convention
Citizens’ rights:
Substantive – right to a healthy environment, intergenerational equity
Procedural – to information, participation and justice
Broad definitions of the “public”, the “public concerned” and the “public authorities”
Anti-harassment, non-discrimination provisions
Rights irrespective of citizenship, nationality or residence
Compliance review arrangements
Open to non-ECE countries
European Union is a Party and its institutions are covered

11. ACCESS TO INFORMATION Passive aspect – article 4
Proactive aspect – article 5

12. ACCESS TO INFORMATION Passive aspect (art 4)
Any person has access (no need to state interest)
Broad definition of environmental information
Information to be provided ‘as soon as possible’
Charges not to exceed reasonable amount
Limited set of exemptions, with restrictive interpretation (potential effects of disclosure must be adverse, public interest must be taken into account)

13. ACCESS TO INFORMATION Proactive aspect (art 5)
Transparency and accessibility of information systems
Immediate dissemination of information in case of imminent threat to the environment
Dissemination of international agreements, laws, policies, strategies, programmes, actions relating to the environment
Sufficient product information to ensure informed environmental choice
Increased access to information (lists/registers)
Pollutant release and transfer registers

14. PUBLIC PARTICIPATION Specific activities article 6
annex I to the Convention
Plans and programmes – article 7
Policies – article 7
Executive regulations and/or generally applicable legally binding normative instruments - article 8

15. PUBLIC PARTICIPATION Specific projects or activities (art 6)
List of types of activity covered (Annex I)
Timely and effective notification
Reasonable timeframes
Free inspection of relevant information by public concerned
Comments in writing or public hearing
Taken into account in decision-making

16. PUBLIC PARTICIPATION Programs, plans and policies (art 7 and 8)
Programmes and Plans:
“appropriate practical and/or other provisions for the public to participate” during the preparation
reasonable timeframes, early participation
outcome of public participation taken into account
Policies: general obligation, but only “to the extent appropriate”
Rules and regulations: strive to promote effective public participation in rules, regulation and other legally binding instruments that may have a significant impact on the environment.

17. ACCESS TO JUSTICE Review procedures in relation to:
Information requests (open to any requester)
Public participation in decision-making (open to public concerned)
General violations of national environmental law (great discretion to national legislator)

18. ACCESS TO JUSTICE Features of review procedures
Procedures to be fair, equitable, timely and not prohibitively expensive
Decisions in writing, court decisions publicly accessible
Injunctive relief as appropriate
Mechanisms to remove financial barriers to be considered

19. CONVENTION’S GOVERNANCE STRUCTURE
Meeting of the Parties to the Convention (every 3 years)
Working Group of the Parties (once a year)
Bureau (three to four times a year)
Task Forces (once a year)

20. Implementation National implementation reports COMPLIANCE MECHANISM
When? To each MOP
By whom? Parties, signatories and other stakeholders
How? through transparent and consultative process involving the public
COMPLIANCE MECHANISM

21. Compliance Mechanism – The Convention
Article 15
The Meeting of the Parties shall establish, on a consensus basis, optional arrangements of a non-confrontational, non-judicial and consultative nature for reviewing compliance with the provisions of this Convention. These arrangements shall allow for appropriate public involvement and may include the option of considering communications from members of the public on matters related to this Convention.

22. Compliance Mechanism – Decision I/7
Decision I/7 (adopted at MoP-1) on Review of Compliance decides on the structure and the procedures to be applied
Minor revisions introduced through decisions II/5 and III/6 (e.g. the number of the members increased from eight to nine)

23. Compliance Mechanism – Structure
Compliance Committee of nine independent members elected to serve in personal capacity
Candidates are:
nationals of Parties or Signatories
nominated by Parties, Signatories or environmental NGOs
elected by MoP
Full term of office = from the end of an ordinary MOP and until the second MOP thereafter
eg MoP-3 until MoP-5, with possibility for re-election once until MoP-7
CC normally meets four times/year for a period of four days

24. Compliance Mechanism - Functions
The Committee
Reviews compliance of an individual Party, triggered by:
- Submission by Party about another Party
- Submission by Party about itself
- Referrals by secretariat
- Communications by the public
It also
prepares reports at request of MoP
oversees reporting mechanism
may examine compliance issues on own initiative

25. Nature of non-compliance
General failure by a Party to take the necessary legislative, regulatory and other measures (eg institutional, budgetary) necessary to implement the Convention (art 3, para 1)
A failure of specific legislation, regulations or other measures implementing the Convention to meet specific requirements of its provisions
Specific events, acts, omissions or situations that demonstrate a failure by the public authorities to comply with or enforce the Convention

26. Communications – Processing
Receipt and acknowledgment
Preliminary admissibility
Response from the Party concerned (within five months after forwarding); additional questions may be put for clarification by the communicant
Admissibility and formal discussions (OPEN to the public)
Deliberations (CLOSED to the public)
Draft findings and, as appropriate, recommendations
Findings and, as appropriate, recommendations
MOP endorsement

27. Communications - basic info
Who may submit?
Any member of the public – lawyer? Not necessary
What is the State concerned?
A Party to the Convention, as long as it has not opted out
Can data be kept confidential?
YES
What is the language of the communication?
English, Russian or French
Working language of the Committee = English
To whom should the communication be addressed?
To Committee through the secretariat
What is the content and form of the communication?
In writing, no specific form, but recommended
Include necessary facts and provisions

28. Communications – Admissibility
The Committee makes a preliminary determination on admissibility, unless the communication is:
Anonymous;
An abuse of the right to make such communications;
Manifestly unreasonable;
Incompatible with the provisions of this decision or with the Convention.
Domestic remedies are taken into account
De minimis: communications which the Committee deems to be insignificant in light of their purpose and function would be determined inadmissible
Admissibility confirmed at stage of discussions

29. Communications – Findings
Non-compliance or non non-compliance
Subject to agreement of the MoP or of the Party concerned
All Committee’s findings of non-compliance so far endorsed by MOP (3 Parties at MoP-2, 6 Parties at MoP-3)

30. The Meeting of the Parties may:
Provide advice and facilitate assistance to individual Parties regarding the implementation of the Convention;
(b) Make recommendations to the Party concerned;
(c) Request the Party concerned to submit a strategy, including a time schedule, to the Compliance Committee regarding the achievement of compliance with the Convention and to report on the implementation of this strategy;
(d) In cases of communications from the public, make recommendations to the Party concerned on specific measures to address the matter raised by the member of the public;
(e) Issue declarations of non-compliance;
(f) Issue cautions
(g) Suspend, in accordance with the applicable rules of international law concerning the suspension of the operation of a treaty, the special rights and privileges accorded to the Party concerned under the Convention;
(h) Take such other non-confrontational, non-judicial and consultative measures as may be appropriate.

31. In the inter-sessional period, the Committee may:
In consultation with the Party:
Provide advice and facilitate assistance to individual Parties regarding the implementation of the Convention;
Subject to agreement by the Party concerned:
(b) Make recommendations to the Party concerned;
(c) Request the Party concerned to submit a strategy, including a time schedule, to the Compliance Committee regarding the achievement of compliance with the Convention and to report on the implementation of this strategy;
(d) In cases of communications from the public, make recommendations to the Party concerned on specific measures to address the matter raised by the member of the public;

32. Communications/submissions in numbers
As of November 2010:
54 communications from public received, 1 submission (merged with a communication)
37 communications have been determined admissible and three will be considered as for the preliminary admissibility at the December meeting
26 sets of findings
Non-compliance: 15
Non non-compliance: 11
11 cases pending

33. Useful information on compliance
Implementation Guide (updated version in summer 2011)
Compliance Committee Guidance Document (includes modus operandi)

34. AREAS OF ACTIVITY in brief
Pollutant release and transfer registers (Protocol)
Genetically modified organisms: amendment to the Convention (MoP2) establishing public participation procedure for GMO decision-making (Art. 6 bis and annex I bis)
Access to justice: task force to exchange information and promote good practices
Electronic information tools: task force to exchange information and promote good practices
Public participation task force set up at exMoP in April 2010
Public participation in international forums: task force (Almaty)

35. PRTR Protocol Adopted in May 2003, into force since 8 Oct 2009
First legally binding international instrument on pollutant release and transfer registers
Objective: to enhance public access to information through the establishment of coherent, integrated nationwide PRTRs
Each Party to establish a PRTR, publicly accessible through the Internet and maintained through mandatory annual reporting of emissions (air, water and soil) and transfers of pollutants from certain activities
Open to accession by all UN Member States
Compliance Committee
(1st meeting in January 2011)

36. MORE INFORMATION AVAILABLE ON THE AARHUS CONVENTION WEBSITE:
AND ALSO ON THE CLEARINGHOUSE:

37. THANK YOU FOR LISTENING