Environmental Impact Assessment Act *) [Gesetz über die Umweltverträglichkeitsprüfung UVPG]

Transcription

1 Environmental Impact ssessment ct *) [Gesetz über die Umweltverträglichkeitsprüfung UVPG] as published in the announcement of 5 eptember 2001 (BGBl. I p. 2350), (as amended by rt. 16a of the 10th Euro Introduction ct [EuroEG] of 15 December 2001 (BGBl. I p. 3765), by rt. 3 para. 9 of the ct reforming the Federal Nature Conservation ct [BNatchGNeuRegG] of 3 pril 2002 (BGBl. I p.1217), by rt. 2 of the 7 th ct reforming the Federal Water ct [Wasserhaushaltsgesetz] of 18 June 2002 (BGBl.I p. 1921) and by rt. 3 of the ct dapting the Federal Building Code [Baugesetzbuch] to EU Directives [EG Bau] of 24 June 2004 (BGBl. I p. 1380f.)) Part 1 ection 1 Environmental impact assessment in procedures applied by authorities General Provisions rticle 1 Purpose of the ct The purpose of this ct is to ensure, in the case of certain public and private projects, that in order to guarantee effective preventive environmental protection based on uniform principles 1. the impacts on the environment are identified, described and assessed comprehensively and in good time, 2. the results of the environmental impact assessment are taken into account as early as possible in all cases in which authorities decide upon the admissibility of projects. rticle 2 Definition of Terms (1) The environmental impact assessment represents an integral part of procedures applied by authorities when deciding upon the admissibility of projects. Environmental impact assessment comprises identification, description and assessment of the direct and indirect impacts of a project on 1. human beings, animals and plants, 2. soil, water, air, climate and landscape, 3. cultural heritage and other material assets, and 4. the interactions between the foregoing protected assets. *) The ct serves to transpose Council Directive 97/11/EC of 3 March 1997 amending Directive 85/337/EEC on the assessment of the effects of certain public and private projects on the environment, OJ EC No. L73 p. 5, and Council Directive 85/337/EEC of 27 June 1985 on the assessment of the effects of certain public and private projects on the environment, OJ EC No. 175 p. 40

2 2 Environmental impact assessments shall be conducted with the involvement of the public. If decisions on the admissibility of a project are taken in more than one procedure, the individual assessments made in these procedures shall be combined to provide an overall assessment of all environmental impacts. (2) project shall be 1. pursuant to nnex 1 a) the construction and operation of a technical installation, b) the construction of other installations, c) the execution of any other measure which encroaches on nature and landscape, 2. the alteration, including expansion, of a) the location, nature or operation of a technical installation, b) the location or nature of any other installation, c) the execution of any other measure which encroaches on nature and landscape. (3) Decisions within the meaning of para. 1 sentence 1, shall be 1. a concession [Bewilligung], permit [Erlaubnis], licence [Genehmigung], plan approval [Planfeststellungsbeschluss] or other official decision on the admissibility of projects that is taken by authorities within the framework of an administrative procedure, with the exception of notification procedures, 2. line determinations [Linienbestimmungen] and decisions in preliminary procedures which are of significance for subsequent procedures, 3. resolutions pursuant to rt. 10 of the Building Code [Baugesetzbuch] on the preparation of, alterations to or additions to zoning plans which are intended to establish the admissibility of certain projects within the meaning of nnex 1, and resolutions pursuant to rt. 10 of the Building Code on zoning plans which replace decisions on plan approvals for projects within the meaning of nnex 1. rticle 3 cope of application (1) This ct shall apply to the projects listed in nnex 1. The Federal Government shall be empowered, by means of statutory ordinance with the consent of the Bundesrat, 1. to include in nnex 1 projects which in view of their type, scale or location may have significant impacts on the environment,

3 3 2. to exclude from nnex 1, having regard to the legal acts of the Council or Commission of the European Communities, projects which, according to present findings, do not give reason to fear any significant impacts on the environment. Insofar as use is made of these powers, the Federal Government shall also be empowered to make necessary follow-up alterations to references made in the provisions of this ct to certain projects listed in nnex 1. tatutory ordinances issued on the basis of these powers shall require the consent of the Bundestag. Consent shall be deemed to have been granted if the Bundestag has not refused its consent within three session weeks after receipt of the submission by the Federal Government. (2) Insofar as compelling reasons of defence or discharge of international obligations so require, the Federal Minister of Defence may grant exemption from application of this ct or allow exceptions from compliance with this ct in the case of projects for the purpose of national defence in accordance with guidelines to be laid down in agreement with the Federal Minister for the Environment, Nature Conservation and Nuclear afety. In doing so he shall pay regard to protection from significant adverse environmental impacts. Other statutory provisions concerning the approval procedure shall not be affected. The Federal Minister of Defence shall annually inform the Federal Minister for the Environment, Nature Conservation and Nuclear afety about the application of this paragraph. rticle 3a Determination of EI obligation The competent authority, upon application by a project developer or in response to a request pursuant to rt. 5, or otherwise after the commencement of the procedure that serves to decide on the admissibility of the project, shall on the basis of suitable details about the project and information of its own determine without delay whether under rt. 3b to 3f an obligation exists to carry out an environmental impact assessment for the project. Where a screening (case-bycase examination) has been made, such determination shall be made accessible to the public in accordance with the provisions of the Environmental Information ct [Umweltinformationsgesetz]; if no environmental impact assessment is to be made, this shall be announced. The determination cannot be contested in its own right. rticle 3b EI obligation due to type, scale and capacity of project

4 4 (1) The obligation to carry out an environmental impact assessment shall exist for a project listed in nnex 1 if the criteria for determining its type are available. Insofar as size or capacity figures are specified, an environmental impact assessment is to be performed if the values are reached or exceeded. (2) The obligation to perform an environmental impact assessment shall also exist if several projects of the same type which are to be executed simultaneously by the same developer or more than one developer and which are closely related (cumulative projects) together reach or exceed the relevant size or capacity figures. uch projects shall be deemed to be closely related if 1. they are situated as technical or other installations on the same operating or construction site and are connected with common operating or constructional facilities, or 2. as other measures encroaching on nature and landscape there is a close spatial connection between them, and if they serve a comparable purpose. The sentences 1 and 2 shall apply only to projects which, taken on their own, reach or exceed the figures for the site-related screening or, if no such examination is required, the figures for the general screening in nnex 1 column 2. (3) If alteration or extension of a project not previously subject to EI requirements results in the relevant size or capacity figure being reached or exceeded for the first time, an environmental impact assessment shall be carried out for the alteration or extension and shall take account of the environmental impacts of the existing project not previously subject to EI requirements. Existing projects shall also include cumulative projects within the meaning of para. 2, sentence 1. The levels falling within the relevant scope of application of Directives 85/337/EEC and 97/11/EC but reached before expiration of the respective implementation deadlines shall be disregarded as far as reaching or exceeding the size or capacity figures is concerned. entences 1 to 3 shall not apply to the industrial zones and urban development projects listed in nnex 1 No. 18.5, 18.7 and entence 1 shall apply to the projects listed in nnex 1 Nos and 14.5 provided that in addition to a close spatial relationship there is also a close relationship in time. rticle 3c EI obligation in the individual case (1) Insofar as nnex 1 provides for a general screening for a project, an environmental impact assessment shall be performed if, in the opinion of the competent authority on the basis of an overall examination having regard to the criteria listed in nnex 2, the project is capable of

5 5 having significant adverse environmental impacts which would have to be taken into account pursuant to rt. 12. Where a site-related screening is required for a project of smaller size or capacity, the same shall apply if despite the smaller size or capacity of the project significant adverse environmental impacts are to be expected solely as a result of special local circumstances in accordance with the protection criteria listed in nnex 2 No. 2. screenings shall take account of the extent to which environmental impacts are evidently ruled out by the avoidance and minimisation measures planned by the project developer. The general screening shall also take account of the extent to which test values for size or capacity that initiate the screening are exceeded. rt. 3b para. 2 and 3 shall apply with the necessary modifications to reaching or exceeding the test values for size or capacity. (2) a) The criteria listed in nnex 2 (Criteria for screening) shall be defined forthwith in greater detail by statutory ordinance of the Federal Government with the consent of the Bundesrat. b) Principles and procedures for case-by-case examinations shall be defined in greater detail in the general administrative guideline on the implementation of the Environmental Impact ssessment ct. rticle 3d EI obligation under Länder legislation Insofar as an obligation to perform an environmental impact assessment under Land legislation is specified for certain projects in nnex 1, the Länder shall by means of size or capacity figures, by means of general or site-related screening, or by a combination of these methods, regulate the conditions under which an environmental impact assessment is to be performed. rticle 3e lteration and extension of projects subject to EI requirements (1) The obligation to perform an environmental impact assessment shall also apply to the alteration or extension of a project for which an EI obligation already exists as such, if 1. size or capacity figures specified in nnex 1 for projects in column 1 are themselves reached or exceeded by the alteration or extension, or 2. screening within the meaning of rt. 3c para. 1, sentences 1 and 3, reveals that the alteration or extension is capable of having significant adverse environmental impacts; the screening shall also cover such earlier alterations or extensions to the project subject to EI

6 6 requirements as have not been the subject of an environmental impact assessment under the version of the ct in force at the time. (2) Para. 1 No. 2 shall apply to the case of an extension to the projects listed in nnex 1 Nos to 18.8 or an alteration to the projects listed in nnex 1 No. 18.8, provided that the relevant test value specified there for the construction of the project in question is reached or exceeded. rticle 3f Development and testing projects subject to EI requirements (1) Where a project listed in nnex 1 column 1 is intended exclusively or predominantly for the development and testing of new methods or products (development and testing projects) and is not implemented for more than two years, an environmental impact assessment may be waived if a screening pursuant to rt. 3c para. 1 sentence 1, reveals that, having special regard to the duration of project implementation, there is no reason to fear any significant adverse environmental impacts resulting from the project. (2) project listed in nnex 1 column 2 which is a development and testing project shall be subject to the general rule in rt. 3c para. 1. rticle 4 Primacy of other statutory provisions This ct shall apply insofar as Federal or Länder statutory provisions do not define assessment of environmental impacts more closely or insofar as their provisions do not meet the requirements of this ct. tatutory provisions containing more stringent requirements shall not be affected. ection 2 teps in the environmental impact assessment procedure rticle 5 Information on the documentation probably required If a developer so requests the competent authority before the commencement of the procedure leading to the decision on the admissibility of the project, or if the competent authority considers it to be necessary before the commencement of the procedure, the authority shall, in the light of the stage reached in the planning of the project and on the basis of suitable details of the

7 7 project, inform the developer in good time about the content and extent of the documentation on the environmental impacts of the project that will probably be required pursuant to rt. 6. Before providing such information, the competent authority shall give the developer and the authorities to be involved pursuant to rt. 7 an opportunity to discuss the content and extent of the documentation. The discussion is to cover the subject, extent and methods of the environmental impact assessment and other issues of significance for the conduct of the environmental impact assessment Independent experts and other third parties may be consulted. If the competent authority or the authorities to be involved have information at their disposal that is of use for provision of the documentation pursuant to rt. 6, they shall make such information available to the project developer. rticle 6 Developer s documents (1) t the beginning of the procedure during which the environmental impacts are assessed, the developer shall present to the competent authority the documents which are of significance for a decision on the environmental impacts of the project. If the commencement of the procedure requires a written application, the submission of a plan or some other action by the developer, the documents required pursuant to sentence 1 shall be submitted in good time for them to be exhibited along with the other documents. (2) The content and scope of the documents pursuant to para. 1 shall be defined by the statutory provisions which are authoritative for the decision on the admissibility of the project. Paras. 3 and 4 shall be applied insofar as the documents mentioned in these paragraphs are not defined in detail by statutory ordinance. (3) The documents pursuant to para. 1 must contain at least the following information: 1. a description of the project with details of the site, design and size of the project and the land required, 2. a description of the measures which will be taken to avoid, reduce or, as far as possible, compensate for any significant adverse environmental impacts of the project, and the substitute measures in the case of priority encroachments on nature and landscape for which no compensation is possible, 3. a description of the expected significant adverse environmental impacts of the project, having regard to the general level of knowledge and the generally accepted assessment methods,

8 8 4. a description of the environment and its components in the area affected by the project, having regard to the general level of knowledge and the generally accepted assessment methods, and details of the population in this area, insofar as the description and the details are necessary for the identification and assessment of significant adverse environmental impacts of the project and the developer can reasonably be expected to supply them, 5. an overview of the principal alternative options investigated by the developer and details of the main reasons for selecting the present project with regard to the environmental impacts of the project. generally comprehensible non-technical summary of the information pursuant to sentence 1 must be appended. The information pursuant to sentence 1 must enable third parties to judge whether and to what extent they might be affected by the environmental impacts of the project. (4) The documents must also include the following details, insofar as they are necessary for the environmental impact assessment depending on the nature of the project: 1. a description of the main features of the technical processes used, 2. a description of the type and extent of the expected emissions, waste, wastewater, the use and design of water, soil, nature and landscape, and details of other consequences of the project that might result in significant adverse environmental impacts, 3. an indication of any difficulties encountered in compiling the information, for example any technical gaps or lack of knowledge. The summary pursuant to para. 3 sentence 2 must also cover the details mentioned in Nos. 1 and 2. (5) Paras. 1 to 4 shall apply with the necessary modifications if the competent authority is acting for the corporate body under public law which is the developer of the project. rticle 7 Participation of other authorities Those authorities whose environment-related sphere of responsibility is affected by the project shall be informed about the project by the competent authority, which shall also send them the documentation pursuant to rt. 6 and obtain their statements. rt. 73 para. 3a of the dministrative Procedures ct [Verwaltungsverfahrensgesetz] shall apply with the necessary modifications. rticle 8 Transboundary Participation of uthorities

9 9 (1) If a project is capable of having significant impacts on the protected assets mentioned in rt. 2 para. 1 sentence 2 in another state or if such other state so requests, the competent authority shall in good time inform the competent authority nominated by the other state about the project with the aid of suitable documentation and ask for notification within a reasonable period as to whether participation is desired. If the other state has not nominated an authority, the other state s highest-ranking authority for environmental matters is to be informed. If participation is considered necessary, the competent authority shall give the nominated competent authority of the other state and any other authorities specified by the latter authority an opportunity to make a statement on the basis of the documentation pursuant to rt. 6 at the same time and to the same extent as the authorities to be involved pursuant to rt. 7. rt. 73 para. 3a of the dministrative Procedures ct [Verwaltungsverfahrensgesetz] shall apply with the necessary modifications. (2) Insofar as is necessary or the other state so requests, the competent highest Federal and Länder authorities shall within an agreed reasonable period of time hold consultations with the other state, in particular about the transboundary environmental impacts of the project and the measures to avoid or reduce them. (3) The competent authority shall inform the participating authorities in the other state about the decision on the approval or rejection of the project, in each case together with the reasons given. Where the requirements of the principles of reciprocity and equivalence are satisfied, the authority may enclose a translation of the approval decision. (4) Further provisions on the implementation of Federal and Länder obligations under international law shall not be affected. rticle 9 Involvement of the public (1) The competent authority shall hear the public s views on the project s environmental impacts on the basis of the documents exhibited pursuant to rt. 6. The hearing procedure shall comply with the requirements of rt. 73 para. 3, 4 to 7 of the dministrative Procedures ct. If the developer alters the documents required pursuant to rt. 6 in the course of the procedure, a fresh public hearing may be dispensed with as long as no additional or different significant environmental impacts are to be feared.

10 10 (2) The competent authority, applying rt. 74 para. 5 sentence 2 of the dministrative Procedures ct with the necessary modifications, shall publicly announce the decision on the approval or rejection of the project and shall exhibit the decision together with explanatory memorandum for inspection in accordance with rt. 74 para. 4 sentence 2 of the dministrative Procedures ct with the necessary modifications. (3) Notwithstanding paras. 1 and 2, the public shall be involved in the preliminary procedures by 1. publicly announcing the project, 2. ensuring that the documents required pursuant to rt. 6 can be inspected for a reasonable period of time, 3. providing an opportunity for comment, 4. informing the public about the decision and giving the public access to the content of the decision together with explanatory memorandum. Involving the public shall not establish any legal claims; the pursuit of claims in the subsequent approval procedure shall not be affected. rticle 9a Transboundary involvement of the public (1) If a project is capable of having significant environmental impacts in another state, persons living there may participate in the hearing procedure pursuant to rt. 9 paras. 1 and 3. The competent authority shall use its best efforts to procure that 1. the project is announced in a suitable manner in the other state, 2. such announcement includes details of the authority to which objections may be made in the procedure pursuant to rt. 9 para. 1 or counter-statements submitted in the procedure pursuant to rt. 9 para. 3, and 3. it is pointed out that in the procedure pursuant to rt. 9 para. 1 all objections that are not founded on special titles under private law are ruled out upon expiration of the objection period. (2) The competent authority may demand that the developer provide it with a translation of the summary pursuant to rt. 6 para. 3 sentence 2 and, where necessary, of further project details of relevance to transboundary public participation, especially about transboundary environmental impacts, insofar as the requirements for the principles of reciprocity and equivalence are satisfied in relation to the other state.

11 (3) Further provisions on the implementation of Federal and Länder obligations under international law shall not be affected. 11 rticle 9b Transboundary participation of authorities and public in the case of foreign projects (1) If a project planned in another state is capable of having significant environmental impacts in the Federal Republic of Germany, the German authority which would be competent for a project of the same kind in Germany shall ask the competent authority in the other state for documentation about the project, in particular a description of the project and details of its transboundary environmental impacts. If it considers participation in the approval procedure to be necessary, it shall so inform the competent authority in the other state and shall where necessary request further details within the meaning of rt. 6 paras. 3 and 4, inform the authorities within the meaning of rt. 7 about the details, and draw attention to the authority in the other state to which a statement may if appropriate be submitted and the deadline by which this must be done, unless it considers the submission of a single statement to be indicated. The competent German authority should ask the competent authority in the other state for a translation of suitable details of the project, and especially about transboundary environmental impacts. (2) On the basis of the documentation supplied by the other state, the competent German authority shall announce the project in a suitable manner to the public in the areas likely to be affected, if public participation is provided for by the rules of the other state or would have to be ensured under this ct. When doing so, it shall specify the authority in the other state to which a statement may be sent if appropriate and the deadline by which this must be done, and shall provide an opportunity to inspect the documentation within a reasonable period. (3) rt. 8 paras. 2 and 4 and rt. 9a para. 3 shall apply with the necessary modifications. rticle 10 ecrecy and data protection The legal provisions on secrecy and data protection shall not be affected.

12 12 rticle 11 ummary description of environmental impacts On the basis of the documentation pursuant to rt. 6, the official statements pursuant to rt. 7 and rt. 8 and the opinions voiced by the public pursuant to rt. 9 and rt. 9a, the competent authority shall prepare a summary description of the environmental impacts of the project and of the measures which will be taken to avoid, reduce or compensate for any significant adverse environmental impacts, and the substitute measures in the case of priority encroachments on nature and landscape for which no compensation is possible, The results of any investigations made by the authority itself are to be included. The summary description is as far as possible to be prepared within one month after completion of the consultations in the hearing procedure pursuant to rt. 9 para. 1 sentence 2. The summary description may be included in the explanatory memorandum to the decision on the admissibility of the project. The explanatory memorandum shall if appropriate include a description of the avoidance, reduction, compensation and substitute measures. rticle 12 ssessing environmental impacts and taking the results into account in the decision The competent authority shall assess the environmental impacts of the project on the basis of the summary description pursuant to rt. 11 and shall take this assessment into account when deciding on the admissibility of the project with regard to effective preventive environmental protection within the meaning of rt. 1, rt. 2 para. 1 sentences 2 and 4 in accordance with the applicable laws. rticle 13 Provisional decision and partial approvals (1) Provisional decisions and first partial licences or corresponding first partial approvals may only be granted after an environmental impact assessment has been performed. The environmental impact assessment shall in such cases apply with provisional effect to the environmental impacts of the entire project that are identifiable at the relevant stage of planning, and with final effect to the environmental impacts that form the subject of the provisional decision or partial approval. When providing information about the documentation probably required to be submitted pursuant to rt. 5 and when providing the documents pursuant to rt. 6, this extent of the environmental impact assessment shall be taken into account.

13 13 (2) In the case of further partial licences or corresponding partial approvals the environmental impact assessment shall be confined to additional or different significant environmental impacts of the project. Para. 1 shall apply with the necessary modifications. rticle 14 pproval of a project by several authorities (1) If a project has to be approved by several Land authorities, the Länder shall designate a lead authority which shall be responsible for at least the tasks pursuant to rt. 3a, rt. 5, rt. 8 paras. 1 and 3, rt. 9a and rt. 11. The Länder may assign further responsibilities pursuant to rticles 6, 7 and 9 to the lead authority. The lead authority shall perform its functions in cooperation with at least the approval authorities and the nature conservation authority whose sphere of responsibility is affected by the project. If a project requires a licence under the Nuclear Energy ct and approval by one or more other authorities, and if one of the competent authorities is a Federal authority, the licensing authority under nuclear legislation shall be the lead authority. It shall be responsible for the tasks pursuant to rt. 3a, rt. 5 to 7, rt. 8 para. 1 and 3, rt. 9, rt. 9a and rt. 11. (2) The approval authorities shall prepare an overall assessment of the project s environmental impacts on the basis of the summary description pursuant to rt. 11 and shall take it into account pursuant to rt. 12 when making their decisions. The lead authority shall ensure cooperation between the approval authorities. ection 3 pecial procedural rules rticle 15 Line determination and airport development consent (1) For line determination pursuant to rt. 16 para. 1 of the Federal Highways ct [Bundesfernstrassengesetz] and pursuant to rt. 13 para. 1 of the Federal Waterways ct [Bundeswasserstrassengesetz], and in preliminary procedures pursuant to rt. 6 para. 1 of the ir Traffic ct [Luftverkehrsgesetz] in the case of projects listed in nnex 1 the environmental impact shall be assessed in relation to the planning stage of the project. This provision shall not apply if the environmental impact has already been assessed in a regional planning procedure which complied with the requirements of paras. 2 and 3 regarding the involvement of the public. (2) For the purpose of involvement of the public in the line determination, the documents pursuant to rt. 6 shall at the instigation of the competent authority by exhibited for inspection

14 14 for one month in the municipalities likely to be affected by the project; the municipalities shall previously announce such exhibition by the usual local means. nyone may express opinions up to two weeks after the end of the inspection period. The public shall be informed about the decision by announcing it by the usual local means. rticle 9 para. 3 sentence 2 shall apply with the necessary modifications. (3) For the purpose of involving the public in preliminary procedures pursuant to rt. 6 para. 1 of the ir Traffic ct, para. 2 sentences 1 and 2 shall be applied with the necessary modifications. rt. 9 para. 3 shall otherwise remain unaffected. (4) In the subsequent approval procedure the environmental impact assessment may be restricted to additional or different significant environmental impacts of the project. rticle 16 Development plans, regional planning procedure and approval procedure (1) When drawing up and amending development plans, a review of expected significant environmental impacts within the meaning of Directive 2001/42/EC of the European Parliament and of the Council of 27 June 2001 on the assessment of the effects of certain plans and programmes on the environment (Official Journal EC No. L 197 p. 30) (environmental assessment) shall be performed. (2) In a regional planning procedure the project s environmental impacts of regional planning significance may be determined, described and assessed in relation to the planning stage reached by the project. (3) If an environmental assessment in a procedure pursuant to rticle 1 and an environmental impact assessment in a subsequent approval procedure for a project are being implemented, the environmental impact assessment may be restricted in the subsequent approval procedure to additional or different significant environmental impacts of the project. (4) Pursuant to rt. 12 the competent authority shall in the subsequent approval procedure for a project take account in its decision on the admissibility of the project of the project s environmental impacts determined, described and assessed in the procedure pursuant to para. 2. (5) In the subsequent approval procedure the requirements of rt. 5 to 8 and rt. 11 should be dispensed with in relation to the environmental impacts determined and described in the procedure pursuant to para. 2, insofar as these procedural steps have already taken place in

15 15 the procedure pursuant to para. 2. Hearing of the public pursuant to rt. 9 para. 1 and rt. 9a and assessment of environmental impacts pursuant to rt. 12 should be restricted to additional or different significant environmental impacts, insofar as the public was involved in the procedure pursuant to para. 2 in accordance with the provisions of rt. 9 para. 3. rticle 17 Preparation of building master plans (1) If local development plans within the meaning of rt. 2 para. 3 no. 3 are prepared, amended or supplemented, particularly for projects pursuant to nos to 18.9 of nnex 1, the environmental impact assessment including the screening pursuant to rt. 2 para. 1 sentences 1 to 3 and rticles 3 to 3f shall be performed in the planning procedure as an environmental assessment pursuant to the provisions of the Building Code [Baugesetzbuch]. Notwithstanding sentence 1, no screening stipulated by this law is required, if an environmental assessment pursuant to the provisions of the Building Code [Baugesetzbuch] which at the same time satisfies the requirements of an environmental impact assessment is performed for the development plan to be prepared. (2) If under this act there is an obligation to carry out a strategic environmental assessment for preparing, amending or supplementing a building master plan, an environmental assessment including monitoring pursuant to the provisions of the Building Code [Baugesetzbuch] shall be performed to this end. (3) If the environmental impact assessment is performed in a planning procedure for a development plan and in a subsequent approval procedure, the environmental impact assessment in the subsequent approval procedure should be restricted to additional or different significant environmental impacts of the project. rticle 18 Procedures under mining law In the case of mining projects listed in nnex 1, the environmental impact assessment pursuant to rt. 2 para. 1 sentences 1 to 3 shall be performed in the plan approval procedure pursuant to the Federal Mining ct [Bundesberggesetz]. rticles 5 to 14 shall not apply. rticle 19 Land consolidation procedures

16 16 In plan approval procedures on a route and water plan with a supplementary landscape conservation plan pursuant to rt. 41 of the Land Consolidation ct [Flurbereinigungsgesetz] the public shall be involved pursuant to the provisions of rt. 9 para. 3. Part 2 Rules for certain utility lines and other installations (nnex 1 No. 19) rticle 20 Plan approval, plan authorisation (1) Projects listed in nnex 1 under Nos to 19.9 and alterations to such projects require plan approval by the competent authority, insofar as an obligation exists pursuant to rt. 3b to 3f to perform an environmental impact assessment for the project. (2) Where there is no obligation to perform an environmental impact assessment, the project requires plan authorisation. No plan authorisation is required in cases of minor significance. uch a case exists if the test figures pursuant to rt. 3c para. 1 for size and capacity which initiate the screening are not reached or the requirements of rt. 74 para. 7 sentence 2 of the dministrative Procedures ct are satisfied; rt. 3b para. 2 and 3 shall apply with the necessary modifications. entences 2 and 3 shall not apply to the construction, operation and alteration of pipeline systems for the transportation of substances dangerous to water or to changes in their operation, with the exception of changes of minor significance. rticle 21 Decisions, ancillary provisions (1) Plan approval may only be given if 1. it is certain that there will be no impairment of the common good, especially a) no dangers can be caused to the protected assets mentioned in rt. 2 para. 1 sentence 2 and b) steps are taken to prevent any impairment of the protected assets, especially by means of constructional, operational or organisational measures in accordance with best available technology, 2. the project does not conflict with any environmental provisions or other provisions of public law, 3. the objectives of regional policy are complied with and other requirements of regional policy are taken into account, 4. occupational safety and health issues are safeguarded.

17 17 (2) The plan approval decision may be made subject to conditions or requirements or for a limited period, insofar as this is necessary to safeguard the common good or to satisfy publiclaw provisions which may conflict with the project. Inclusion, alteration or addition of conditions relating to requirements for the project shall be permissible even after plan approval has been given. (3) Paras. 1 and 2 shall with the necessary modifications apply to plan authorisation. (4) The Federal Government shall be empowered to enact, by statutory ordinance with the consent of the Bundesrat and after hearing the parties concerned, provisions for satisfying the requirements of para. 1 no. 1 by means of 1. constructional, operational or organisational measures in accordance with best available technology to prevent any impairment of the protected assets, 2. duties of information on the part of the developer in relation to authorities and the public, 3. the investigation of projects by independent experts, independent expert organisations and licensed inspection institutions, and by means of the requirements that such independent experts, independent expert organisations and licensed inspection institutions must satisfy, 4. modification of existing projects to bring them into line with the provisions in force. The statutory ordinance shall contain stipulations on the establishment of technical committees. The committees shall advice the Federal Government or the Federal Ministry for the Environment, Nature Conservation and Nuclear afety in technical matters. They propose rules (technical rules) in accordance with best available technology, having regard to the rules existing for other protection goals, and, insofar as their competences are concerned, in agreement with the Technical Committee for Plant afety pursuant to rt. 31a (1) of the Federal Immission Control ct. Representatives of the Federal or Länder authorities involved, of independent experts, independent expert organisations and licensed inspection institutions, science and manufacturers and operators of utility lines have to be appointed as members to the committees. Technical rules shall be published by the Federal Ministry for the Environment, Nature Conservation and Nuclear afety in the Federal Gazette. rticle 22 Procedures The execution of the plan approval procedure and the plan authorisation procedure shall be subject to rt. 72 to 78 of the dministrative Procedures ct. The Federal Government shall be

18 18 empowered to regulate, by means of statutory ordinance with the consent of the Bundesrat, further details of the plan approval procedure, especially the nature and extent of the application documents. rticle 23 Provisions concerning administrative fines (1) It shall be an administrative offence to deliberately or negligently 1. implement a project without plan approval pursuant to rt. 20 para. 1 or without plan authorisation pursuant to rt. 20 para. 2 sentence 1, 2. contravene an enforceable requirement pursuant to rt. 21 para. 2, or 3. contravene a statutory ordinance pursuant to a) rt. 21 para. 4 sentence 1, no. 1, 3 or 4, or b) rt. 21 para. 4 sentence 1, no. 2 or an enforceable ruling based on such a statutory ordinance, insofar as the statutory ordinance refers for a certain act to these provisions concerning administrative fines. (2) The administrative offence described in para. 1 no. 3 letter b shall be punishable by a fine of up to twenty thousand euros, in all other cases by a fine of up to fifty thousand euros. Part 3 Common Provisions rticle 24 dministrative Rules The Federal Government shall with the consent of the Bundesrat enact administrative guidelines concerning 1. criteria and methods to be used as a basis when determining, describing and assessing environmental impacts (rt. 2 para. 1 sentence 2) for the purpose mentioned in rt. 1 and rt. 12, 2. principles for information about documents probably required to be submitted pursuant to rt. 5, 3. principles for the summary description of the environmental impacts pursuant to rt. 11 and the assessment pursuant to rt. 12. rticle 25 Transitional Provision

19 19 (1) Procedures pursuant to rt. 2 para. 1 sentence 1 and rt. 2 para. 3 which serve the purpose of a decision on the admissibility of projects and which were commenced before 3 ugust 2001 shall be completed in accordance with the provisions of this ct. If, in the case of a project that is the subject of such a procedure, the provisions of the ct of 27 July 2001 (BGBl. I p. 1950) implementing the EI mending Directive, the IPPC Directive and other EC environmental protection directives impose new or different regulations than in the past on the institution of such procedures, then such provisions shall be applied and the environmental impact assessment shall be performed in that context. If in the original procedure the project was publicly announced before 3 ugust 2001, only sentence 1 shall apply. (2) Notwithstanding para. 1 the provisions of the version of this ct in force prior to 3 ugust 2001 shall continue to apply if 1. a developer submitted to the competent authority before 14 March 1999 an application for approval of the project, which must contain at least the details of location, type and scale; 2. a procedure pursuant to rt. 2 para. 1 sentence 1 and rt. 2 para. 3 was formally initiated in any other way prior to 14 March 1999; any statutory individual steps in such procedure that have not yet been commenced may also be performed in accordance with the provisions of this ct. entence 1 shall also apply to projects that are not listed in the nnex to rt. 3 of this ct in the version referred to in sentence 1 but are listed in nnex II to Council Directive 85/337/EEC of 27 June 1985 on the assessment of the effects of certain public and private projects on the environment (OJ EC No. L175 p. 40), if an overall examination by the competent authority reveals that the project is capable of having significant adverse environmental impacts especially as a result of its type, size or location. Para. 1 sentences 2 and 3 shall apply with the necessary modifications. (3) Notwithstanding para. 1 and 2, this ct and the version of this ct which was in force until 3 ugust 2001 shall not apply to procedures pursuant to rt. 2 para. 1 sentence 1 and rt. 2 para. 3 which were commenced before 3 July (4) If an obligation exists pursuant to para. 1 and 2 to perform an environmental impact assessment, and if under rt. 17 the latter is to be performed in the local development plan procedure pursuant to the provisions of the Building Code, then rt. 245c of the Building Code shall apply to that extent.

20 20 (5) The Länder shall without delay, and not later than two years after the entry into force of this ct, enact the provisions corresponding to rt. 3d or modify existing provisions accordingly. Until such time, rt. 3d shall apply in the Länder with the proviso that in those cases where nnex 1 lays down for certain projects an obligation to perform an environmental impact assessment in accordance with Land legislation, the environmental impact assessment shall be performed after a screening. If the Länder, before the expiration of the period mentioned in sentence 1, enact provisions regarding the procedures mentioned in rt. 3d, then sentence 2 shall cease to apply upon the entry into force of the relevant provisions of Länder legislation. (6) Procedures for the construction, operation and alteration of pipeline systems pursuant to no of nnex 1 that have been commenced before 25 June 2002 have to be completed in accordance with the stipulations of the ct of 27 July 2001 (BGBl. I p. 1950) implementing the EI mending Directive, the IPPC Directive and other EC environmental protection directives.

21 21 nnex 1 List of Projects requiring EI In accordance with rt. 3 para. 1 sentence 1 the following projects shall fall within the scope of this ct. Where the list below provides for a general screening or a site-related screening, this relates to the provisions of rt. 3c para. 1 sentences 1 and 2. Where the list below refers to a provision of Land legislation, this relates to the provisions of rt. 3d. Legend: No. = Project number Project = type of project with, where appropriate, size or capacity figures pursuant to rt. 3b para. 1 sentence 2 and test figures for size or capacity pursuant to rt. 3c para. 1 sentence 5 X in column 1 = project requires EI in column 2 = general screening: see rt. 3c para. 1 sentence 1 in column 2 = site-related screening: see rt. 3c para. 1 sentence 2 L in column 2 = EI obligation under Länder legislation: see rt. 3d No. Project Col. 1 Col Heat generation, mining and energy: 1.1. Construction and operation of an installation for generating electricity, steam, hot water, process heat or heated flue gas by using fuels in a combustion system (such as power plant, CHP plant, heating plant, gas turbine, combustion engine system, other firing system) including the associated steam boiler, having a firing rate of more than 200 MW, X MW to 200 MW, MW to less than 50 MW when using light heating oil, methanol, ethanol, untreated vegetable oils or vegetable oil methyl esters, untreated natural gas, liquefied gas, gases from public gas supplies or hydrogen, excluding combustion engine systems for drilling equipment and emergency power systems, MW to less than 50 MW when using gaseous fuels (especially coke furnace gas, mine gas, steel gas, refinery gas, synthesis gas, petroleum gas from tertiary petroleum production, sewage gas, biogas), excluding the gases listed in no , excluding combustion engine systems for drilling equipment and emergency power systems, MW to less than 50 MW when using coal, coke including petroleum coke, coal briquettes, turf briquettes, fuel turf, untreated wood, emulsified natural bitumen, heating oils excluding light heating oil, excluding combustion engine systems for drilling equipment and emergency power systems, MW to less than 50 MW when using solid or liquid fuels other than those listed in numbers to 1.1.5, kw to less than 1 MW when using solid or liquid fuels other than those listed in numbers to 1.1.5; 1.2 Construction and operation of a combustion engine system for driving machinery, having a firing rate of more than 200 MW, X

22 No. Project Col. 1 Col MW to 200 MW when using light heating oil, diesel fuel, methanol, ethanol, untreated vegetable oils, vegetable oil methyl esters or gaseous fuels (especially coke furnace gas, mine gas, steel gas, refinery gas, sewage gas, biogas, untreated natural gas, liquefied gas, gases from public gas supplies, hydrogen), MW to less than 50 MW when using the fuels listed in number 1.2.2, excluding combustion engine systems for drilling equipment, 1.3 Construction and operation of a combustion engine system for generating electricity, steam, hot water, process heat or heated steam, excluding combustion engine systems for drilling equipment and emergency power systems, having a firing rate of MW to less than 20 MW when using light heating oil, diesel fuel, methanol, ethanol, untreated vegetable oils or vegetable oil methyl esters, untreated natural gas, liquefied gas, gases from public gas supplies, hydrogen, MW to less than 10 MW when using gaseous fuels (especially coke furnace gas, mine gas, steel gas, refinery gas, synthesis gas, petroleum gas from tertiary petroleum production, sewage gas, biogas), excluding the gases listed in number 1.3.1, 1.4 Construction and operation of a gas turbine system for driving machinery, having a firing rate of more than 200 MW, X MW to 200 MW when using light heating oil, diesel fuel, methanol, ethanol, untreated vegetable oils, vegetable oil methyl esters or gaseous fuels (especially coke furnace gas, mine gas, steel gas, refinery gas, sewage gas, biogas, untreated natural gas, liquefied gas, gases from public gas supplies, hydrogen), MW to less than 50 MW when using the fuels listed in number 1.4.2, excluding closed-cycle systems, 1.5 Construction and operation of a gas turbine system for generating electricity, steam, hot water, process heat or heated steam, excluding closed-cycle systems, having a firing rate of MW to less than 20 MW when using light heating oil, diesel fuel, methanol, ethanol, untreated vegetable oils or vegetable oil methyl esters, untreated natural gas, liquefied gas, gases from public gas supplies, hydrogen, MW to less than 10 MW when using gaseous fuels (especially coke furnace gas, mine gas, steel gas, refinery gas, synthesis gas, petroleum gas from tertiary petroleum production, sewage gas, biogas), excluding the gases listed in number 1.5.1, 1.6 Construction and operation of a wind park with systems having a height of more than 35 metres each or a capacity of more than 10 kw each, and comprising or more wind power systems, X to 19 wind power systems, to 5 wind power systems; 1.7 Construction and operation of a system for making briquettes from lignite or coal; X 22

23 No. Project Col. 1 Col Construction and operation of a system for dry distillation of coal or lignite (e.g. coke works, gas works, low-temperature carbonisation plant) having a throughput of t or more per day, X less than 500 t per day, excluding wood charcoal kilns; 1.9 Construction and operation of a system for gasification or liquefaction of coal or bituminous shale, having a throughput of t or more per day, X less than 500 t per day; 2. Nonmetallic minerals, glass, ceramics, building materials: 2.1 Construction and operation of a quarry with a working area of ha or more, X ha to less than 25 ha, less than 10 ha, where explosives are used; 2.2 Construction and operation of an installation for the production of cement clinker or cements, having a production capacity of ,000 t or more per day, X less than 1,000 t per day; 2.3 Construction and operation of an installation for producing X asbestos; 2.4 Construction and operation of an installation for treating or converting asbestos or asbestos products, with an annual production of ,000 t or more of finished product in the case of asbestos X cement products, t or more of finished product in the case of friction linings, X an input of 200 t or more of asbestos for other purposes, X a lower annual production or a smaller input than specified in the preceding numbers; 2.5 Construction and operation of an installation for producing glass, including production using waste glass, including installations for the production of glass fibres, having a melting capacity of ,000 t or more per year or, in the case of flat-glass systems X using the float-glass process, 100,000 t or more per year, t per day to less than specified in the preceding number, kg to less than 20 t per day, excluding installations for the production of glass fibres intended for medical or communications purposes; 2.6 Construction and operation of an installation for firing ceramic products, where the cubic capacity of the firing unit is 4 m 3 or more and the batch density is 300 kg or more per cubic metre of the cubic capacity of the firing unit, is 4 m 3 or more or the batch density is more than 100 kg and less than 300 kg per cubic metre of the cubic capacity of the combustion system, excluding electrically heated furnaces which are operated discontinuously and without exhaust air systems; 2.7 Construction and operation of an installation for melting mineral substances, including installations for the production of mineral fibres; 23