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General information Environmental assessments

What are environmental assessments?

Environmental assessments are important environmental protection tools. By involving authorities and citizens, as well as, possibly, neighbouring states on the basis of environmental reports, the potential environmental effects of a planned project or previously prepared plan can be identified at an early stage and taken into consideration during the decision-making process. A project requires an environmental impact assessment (EIA), while a plan or programme requires a strategic environmental assessment (SEA).

Goals

The goal of carrying out environmental assessments is to protect human health and the natural environment from the foreseeable, significant effects of planned industrial facilities and infrastructure measures, as well as of plans or programmes to be drawn up. In addition, by creating transparency and involving the public in decision-making processes, environmental assessments also help to gain wider acceptance for the project in question. Another goal is to give applicants and authorities planning security in regard to the project or future plan.

Government policy

Germany fulfils European and international requirements in regard to environmental assessments when it comes to decisions concerning permits for industrial facilities and infrastructure measures on the one hand, and planning decisions concerning plans and programmes relating to the environment on the other hand. Germany thus fulfils the criteria of, among others, the Aarhus Convention (in German only) for a modern environmental policy.

Environmental impact assessment (EIA)

An environmental impact assessment (EIA) determines and describes in a report what impact a project will have on humans (incl. human health), on animals, plants, biodiversity, soil, water, ambient air, the climate, the landscape and cultural goods. The public, specialist authorities, as well as citizens and authorities in neighbouring countries that may be affected may express comments and opinions on the report. The authority responsible for approving a project is tasked with evaluating the information and comments and with taking account of the results of the EIA when deciding on the admissibility of a project. Regulations governing the EIA are set out in the Act on the Assessment of Environmental Impacts.

Strategic environmental assessment (SEA)

The strategic environmental assessment (SEA) complements the EIA. The difference between the two is that an SEA is carried out at an earlier stage than an EIA. While an EIA is not carried out until an environmentally relevant project enters the approval process, an SEA is carried out at the planning stage, because important decisions relating to the environment already have to be taken in the context of preparatory plans and programmes.

An SEA must be carried out for each important planning procedure that is of relevance to the environment, such as for example the Federal Transport Infrastructure Plan, regional or area development planning, or planning in the fields of water and waste management, air quality management and noise protection. The key element in the SEA is the environmental report, which details and evaluates the anticipated environmental impacts of the plan or programme as well as of sensible planning alternatives. Environmental authorities and the public, possibly also any affected neighbouring countries, must also be involved. After concluding the process the competent authority must describe how it took account of the environmental report and the comments and opinions submitted when taking its decision and why a specific plan has been chosen after weighing it up against the other assessed alternatives.

On account of the close factual connection between SEAs and EIAs, the Act on the Assessment of Environmental Impacts also contains the regulations governing SEAs.

Guidelines on EIAs and SEAs

Experts at federal and federal state level have compiled non-binding guidelines on carrying out environmental assessments. These guidelines in particular contain information for the competent authority concerning the application and interpretation of the EIA regulations (in German only), the strategic environmental assessment procedures (in German only) and the screening (case-by-case examination) (in German only) required when determining whether an EIA must be carried out for a specific project.

Public Participation Directive

The EU Directive providing for public participation in respect of the drawing up of certain plans and programmes relating to the environment of 26 May 2003 (Public Participation Directive) was transposed into federal law by means of the and the Environmental Appeals Act, which both entered into force on 15 December 2006. Germany thus fulfils the criteria set forth in the Aarhus Convention.

Amendment to the Act on the Assessment of Environmental Impacts

The amendment to the Act on the Assessment of Environmental Impacts (in German only) of 24 February 2010 provides better orientation in regard to the law relating to EIAs and SEAs. The amended version of the Act contains all previous amendments to the Act on the Assessment of Environmental Impacts since 2005, including the amendments implemented on account of the Acts to reform environmental law, which entered into force on 1 March 2010. Since then the Act on the Assessment of Environmental Impacts has been amended on the basis of an amendment act of August 2010.

European and international regulations

European Union directives

European legislation sets out basic requirements regarding environmental impact assessments (EIA) and strategic environmental assessments (SEA) at national level. For example, the EIA Directive stipulates the individual steps that EU Member States must take when carrying out an EIA as well as the types of projects. According to the SEA Directive, by contrast, certain plans and programmes must be subjected to a strategic environmental assessment prior to their issue. The SEA Directive also contains requirements regarding individual procedural steps. Germany has transposed these regulations into national law by means of its Act on the Assessment of Environmental Impacts.

Espoo Convention on Transboundary EIAs

Germany is a state party to the international Convention on Environmental Impact Assessment in a Transboundary Context of 1991 (also known as the Espoo Convention (in German only)), as well as to its two subsequent amendments. According to that Convention, the authorities and the public in other possibly affected neighbouring countries must be involved in the context of a transboundary EIA before a project is approved, if the project will have transboundary environmental impacts. Germany implemented the requirements set out in the Espoo Convention in the Act on the Assessment of Environmental Impacts. Germany applies the participation procedure vis-à-vis all its neighbours. So as to facilitate practical application, concrete agreements have been signed - for instance with the Netherlands (in German only), France (in German only), Switzerland (in German only) and Poland.

UN Protocol on Strategic Environmental Assessments

There is also an international protocol that obligates its contracting states to carry out a strategic environmental assessment. Germany is a state party to the UNECE Protocol on Strategic Environmental Assessments (SEA Protocol ) of May 2003. According to that Protocol, the states party must carry out a strategic environmental assessment for certain plans and programmes. In Germany this international agreement was transposed into national law in the Act on the Assessment of Environmental Impacts, among others.

Consumer information

Whether it is a bypass around one's village or an industrial enterprise on a lush meadow next door – the tool of environmental assessment introduced in the Aarhus Convention gives citizens the opportunity to inform themselves at an early stage about projects relating to the environment or upstream planning decisions in their vicinity, to express comments and opinions on them, and to influence the decision-making process. That involvement not only gives the public the opportunity to get involved in shaping the environment and the quality of life in their "own backyard", but also represents a call to action: Environmental assessments help the respective projects or plans to gain wider acceptance and help to avoid possible conflicts at an early stage. Responsible citizens, environmental awareness and environmental information provided by administrations and the project management here constitute a triad for environmental protection.