Environmental Assessment in Urban Development Planning 1

Planning 1 Senate Department for Urban Development

nStadt e

Environmental

Assessment Berlin's Guide for Urban and Landscape Planning r i Env nmental nmental Assessments o

Environmental

Assessments

Berlin's Guide for Urban and Landscape Planning

Regulation of Intervention

Natura 2000 Impact Assessment Strategic Environmental

Assessment

Environmental Impact Assessment Environmental Assessment in Urban Development Planning 1

Table of Contents

Page Page Page 5 Foreword 11 1. Regulation of Intervention 25 2. Natura 2000 Impact Assessment

7 Introduction 12 1.1 Terms 26 2.1 Background, Objectives and Legal Principles 9 Coordination of Evaluation 1.2 Background, Objectives and Instruments Legal Principles 2.2 Scope of Application

13 1.3 Scope of Application 28 2.3 Procedure and Participation 14 1.4 Processing Steps and Responsibilities 2.4 Preliminary NIA 2000

15 1.5 Countryside Conservation 30 2.5 Specifying the Plan/ Scope of Assessment Green-area Regulation Plan 16 1.5.1 Stocktaking and 31 2.6 NIA 2000 Study Valuation 2.6.1 Description of the Site 17 1.5.2 Analysis of Impairments Concerned 1.5.3 Prevention and Abatement 32 2.6.2 Description of the Project or 1.5.4 Compensating and Alternative Plan Measures 33 2.6.3 Assessment of Impairments 19 1.5.5 Financial Compensation and and Their Relevance (Prediction Ecological Account of Impact) 20 1.5.6 Methods 34 2.6.4 Measures of Avoidance 21 1.5.7 Provision for Specially and Minimisation and Strictly Protected Species 2.7 Results of the Assessment

2.8 Assessment of Exceptional

Circumstances

35 2.9 Designing Coherence Pro- tection Measures

Environmental Assessment Berlin's Guide for Urban and Landscape Planning

Page Page Page 37 3. Environmental Assessments 55 3.4 Environmental Assessments 65 4. Annexes in Compliance in Compliance with with the Environmental the German Federal Impact Assessment Building Code Act and the German Federal 3.4.1 Basic Legal Principles 66 4.1 Protected Commodities Building Code 56 3.4.2 Scope of Application 4.1.1 Humans Including 57 3.4.3 Procedure and Partici- Human Health 38 3.1 Definition of Terms pation 68 4.1.2 Plants, Animals, the Biological 58 3.4.4 Definition of the Scope and Diversity 3.2 Background, Objectives and Level of Detail of the Environ- 69 4.1.3 Soil Legal Principles mental Audit 70 4.1.4 Water 59 3.4.5 Content and Structure of the 71 4.1.5 Climate, Air 39 3.3 Environmental Assessments in Environmental Report 72 4.1.6 Landscape, Landscape Scenery Compliance with the 63 3.4.6 Considerations in Decision- 73 4.1.7 Cultural Assets and Other Environmental making Real Assets 40 Impact Assessment Act (SEA and 64 3.4.7 Summary Statement on Decision 4.1.8 Interactions 42 EIA) 3.4.8 Monitoring (Surveillance of 3.3.1 Scope of Application Significant Impacts) 74 4.2 Legal Bases for the Procedure 3.3.2 Overview of the Process by the Authorities Responsible 43 Sequence 3.3.3 Process Undertaken by the 75 4.3 Legal Provisions for the 44 Approval Body Control Units 3.3.4 Content and Sequence of the Pre- 45 liminary Assessment (Screening) 79 4.4 Legal Bases for Access 3.3.5 Defining the Scope of the to Environmental Assessment (Scoping) Information 3.3.6 Identification, Appraisal and

Depiction of the Environmental 81 4.5 Sources 47 Impacts in the Environmental Impact Study or the Environmental 86 4.6 Laws and Ordinances Report

3.3.6.1 Requirements Regarding the 88 4.7 Abbreviations 48 Contents of an Environmental Impact Assessment and an 90 4.8 Addresses Environmental Report 4.8.1 Recognised Nature Conservation 49 3.3.6.2 Description of the Project Organisations or of the Plan or Programme 91 4.8.2 Public Authorities 50 3.3.6.3 Description of the Environment 4.8.2.1 Supreme Nature Conservation 51 3.3.6.4 Environmental Protection Aims Authority 3.3.6.5 Impacts 4.8.2.2 Regional Representative 3.3.6.6 Study of Alternatives for Nature Conservation 52 3.3.6.7 Measures 92 4.8.2.3 Borough Administrations 3.3.7 Involvement of Authorities and the Public 94 4.9 Index of Figures 3.3.8 Summary and Evaluation 53 by the Authority, and Taking 95 4.10 Index of Tables into Consideration when Deciding 4.11 Sources of Figures 54 3.3.9 Monitoring (Surveillance of Significant Impacts) for 96 About this website Plans and Programmes 3.3.10 Strategic Environmental Assessment and Landscape Planning

Environmental Assessment Berlin's Guide for Urban and Landscape Planning

Foreword

Whether at the new train station, on Alexander To be able to take into consideration in a Square or elsewhere: everywhere where con- use-oriented manner the environmental struction goes on, it is necessary to intervene in standards and objectives in the different the natural environment. In all cases, the issues planning sectors necessary to achieve this, regarding the protection of the environment it is helpful to have the evaluation instruments and nature must be taken into laid down in various laws summarised in this consideration. guide. This allows for better coordination among all of the users and avoids This purpose of this revised guide for the unnecessary duplications. Furthermore, environmental assessment of urban and by using the title of "Environmental landscape planning is to satisfy the need for Assessment in Berlin's Urban and information of all the people involved in Landscape Planning", I would like to this project. In particular, the nature conser- emphasize my wish for effective and vation and environmental associations, the transparent planning processes and public authorities responsible at a state and synergy effects. district level, but also the professional public and planning offices have been waiting In this regard, the German law on facili- for a long time for the new edition of one of tating planning projects for inner-city our "bestsellers". development, which is expected to take effect on 1 January 2007, will not bring about The extensive revisions that have come any fundamental changes. Only in individual about with regard to both European and na- cases will it be possible to refrain from im- tional law since the last publication are now plementing a strategic environmental assess- taken into account, making it possible to ment and applying the regulations of inter- achieve an enhanced and updated view of vention by instead applying the new regu- these specialised instruments for the protec- lations that will expedite proceedings. tion of nature and the environment. I would like to express my heartfelt grati- For example, strategic environment assessment tude to all those involved in this project, (SEA) is a still relatively new instrument which both those responsible at the Institute for is not only used to carry out a joint European Landscape Architecture and Environmental strategy for the sustainability of certain plans Planning at the Technical University of Berlin and programmes, but, since its initiation, has as well as the numerous members of staff also become effective at all levels of planning working in different sectors at the Senate for the development of nature and the envi- Department for Urban Development for ronment in our "Berlin cityscape". Therefore, having contributed to the success of this together with the other environmental assess- generally understandable account by ments, not only will our contribution towards means of their commitment and their preserving our natural basis of life be in- know-how. creased, but the guarantee for a green city worth living in in future will be reinforced. I hope that all those interested in this guide as well as all its users will be able to apply it successfully.

Ingeborg Junge-Reyer Senator for Urban Development

Environmental Assessment Berlin's Guide for Urban and Landscape 5 Planning

Fig. 1: River Spree, East Harbour

Introduction

When planning and preparing construction The interested public, nature conservation 1 e.g. BUNZEL 2005; projects, the issues regarding the protection and environmental associations, planning GASSNER, WINKELBRANDT Humans of the environment and nature must be taken offices as well as investors are informed of 2005; KÖPPEL et al. 2004; into consideration. There are a number of in- the requirements for preparing and imple- STORM, BUNGE 1988 et sqq. struments laid down in various laws for this pur- menting plans, programmes and projects pose, which are integrated in more extensive (in acc. with Sec. 1 of the German Environ- planning processes and approval procedures. mental Impact Assessment Act).

Recently, regulations based on European law have also become applicable. In 1998, the The public authorities at both the state and Animals Natura district level will receive an overview of the 2000 Impact Assessment was introduced, which legally required planning steps, enabling assesses compatibility of plans and projects with them to inform project developers at an the areas covered by NATURA 2000, the Euro- early stage of the requirements for envi- pean network. The scope of application of this ronmentally sound planning. This makes law was extended in 2005 to include the administrative procedures more transparent. strategic Plants environmental assessment of plans and pro- Those plans for which environmental assess- grammes. The federal German building code, ments have been carried out as required and which was amended in 2004, provides for a adverse consequences for the environment corresponding environmental assessment of have been eliminated or compensated for land-use plans. Although the regulation of in- achieve a higher rate of acceptance by the tervention and strategic environmental assess- public. If the environmental issues in each ment have both been standards for a long case are considered insufficiently or too late, Soil while in procedures for approving projects, this causes legal uncertainties, delays there have been some changes here as well. and additional planning efforts.

All of the instruments are based on the prin- Intervention has been regulated in the ciples of cost by cause and precaution as laid Federal German Nature Conservation Act down in the various special laws. as a regulatory framework since 1976. In 1998, it was also integrated as a planning Water This guide, which updates the version pub- instrument in the federal building code. Leg- lished in 1999, explains the functions, ob- islators used this regulation to dissolve the jectives and contents of the individual assess- traditional link between nature conservation ment processes and instruments. It is and certain reservations and protected areas, supplemented by references to in-depth and specify a general, comprehensive claim information, e.g. on methods used for regu- for protection and development. Contrary lating intervention (SENSTADT 2004a). It to the other environmental assessments, Climate does not, however, attempt to replace the the regulation of intervention results in relevant literature 1 and legal sources. To direct legal consequences, including the enable the user to read just single chap- obligation to carry out suitable measures ters on different instruments, important of compensation. facts have repeatedly been stated in the different chapters. Air

Monuments

Environmental Assessment Berlin's Guide for Urban and Landscape Planning 7

The Natura 2000 Impact Assessment (NIA The strategic environmental assessment (SEA) 2000) aims at protecting the NATURA 2000 is laid down in the law on environmental network of the European Union. It is to be impact assessment (EIA Law), as is the environmental impact assessment. It is to ensure implemented according to provisions defined that environmental impacts are identified as in the Berlin Nature Conservation Law. early as during the planning and programming Whether an environmental evaluation is phase, i.e. at a time when results are still out- required must be examined for both projects standing. So the course is already set for and plans. This is always requisite in those subsequent permit procedures at an early cases where specific goals for conserving stage. The SEA includes, amongst others, an area can be considerably prejudiced. The the drawing up of an environmental report result of such an environmental evaluation as well as the participation of the public in is also linked to binding legal consequences. the planning procedure. A special feature of the strategic environmental assess- The environmental impact assessment ment is the necessary monitoring of environ- (EIA) has been laid down in the German law mental risks ensuing from the implemen- relating to environmental impact assessment tation of a plan or a programme.

(EIA Law) since 1990 and clearly defined in The environmental assessment in urban devel- the Berlin law relating to the environmental opment planning was introduced by adapting impact assessment (UVPG-Bln). Environmen- the Building Code to the EU directive on stra- tal effects of planned projects are comprehen- tegic environmental assessment. As a general sively identified, described and evaluated rule, it is carried out when urban development within the sphere of official procedures. The plans are being set up. It includes require- public is involved in these procedures. The ments both as to environmental impact assess- resultant opinion on the environmental comment and strategic environmental assessment as well as, to a large extent, the regulation of patibility of a project must be taken into consid- intervention and the Natura 2000 Impact eration when a decision is to be made regarding Assessment. It thus enables environmental its admissibility. The EIA is a factor in this impacts that could ensue from urban devel- decision-making and aimed at counteracting opment planning to be identified in time and detrimental effects on the environment. Any managed at the respective level of planning. p proposals made for measures to be taken to improve the project in order to make it more environmentally friendly can be taken up as a pre- requisite for the admissibility of the permit.

8 Environmental Assessment Berlin's Guide for Urban and Landscape Planning

Coordination of Evaluation

Instruments

Fig. 2: Evaluation instruments and their protected

Within the sphere of a project or planning, commodities* several evaluation instruments may be applied. In these cases, it is advisable to Protected Commodities coordinate elements required for investi- p Human gation and to summarise their results in order to render these procedures trans- pp Human health parent and comprehensible to investors pp Soil, water and the public by making use of synergy pp Climate/air effects. Proceeding in this way avoids ppp Plants and animals duplicate work and evaluation right from the onset. ppp Biodiversity

ppp Biotope/biotope network

The facts required for environmental assessment, Natura 2000 Impact Assess- pp Landscape scenery ment and the regulation of intervention are often determined separately and presented NIA 2000 p Cultural and real assets in independent, specialised contributions for each assessment. However, these are Regulation of Intervention always concerned with determining and presenting the effects of a project, plan or pro- EIA/SEA gramme on the environment and nature, whereby the relevant protected commodities show a relatively high consistency (Fig. 2). For example, Evaluation Instruments the data for the protection of species and EIA/SEA Regulation of NIA 2000 biotopes is significant for both the NIA 2000 Environmental Impact Intervention NATURA 2000 as well as determining intervention. The Assessment and Efficiency and Impact Assessment measures resulting from the planning and Strategic Environ- functional capability Types of biotopes evaluation process are also often similar. mental Assessment of the natural environ- Species

Therefore, the requirements for the dif- ment or the landscape Species' habitats ferent evaluation processes can be con- scenery nected in a meaningful way. *(TU BERLIN et al. 2005, This method clarifies which data is required modified) If the aim is to coordinate the processing for each assessment and how it can be of the requirements, the procedure must be collected in the most effective manner. agreed upon in the initial phase of the The results of the environmental assessment, process. "Scoping" can be useful here; it regulation of intervention and the NATURA is the normal procedure for strategic environ- 2000 Impact Assessment can then lead to a mental assessment and environmental impact summary, whereby it is necessary to explain assessment ("Defining the Scope of the Assess- comprehensibly how the respective legal ment"; cf. Chap. 3.3.5). Joint scoping is useful requirements for contents and process steps to coordinate several processes that are to have been fulfilled. Similarly, in the course of be carried out simultaneously. the regulation of intervention, the necessary measures of compensation can fulfil their function while, at the same time, acting as necessary measures for securing the NATURA 2000 network. Table 1 contains questions which must be taken into special account when processing the respective evaluation instruments. p

Environmental Assessment Berlin's Guide for Urban and Landscape Planning 9

Table 1: Scoping (general questions spanning all instruments)*

SEA EIA NIA 2000 Regulation of Intervention (subsequently/additionally, if appl.) (additionally, if appl.) (subsequently/additionally, if appl.)

What must be analysed? Which protected commodities Which protected commodities Which types of biotopes as well Which additional and/or are affected? are affected? as species and their habitats specific functions of natural For multi-level processes: what Coaction with other are affected? environment and landscape must be analysed at which level? projects? Coaction with other are affected? projects?

Which parameters? Which parameters? Which additional/ other Which additional Which additional parameters parameters? parameters? (for preparatory SEA)?

Defining the area of analysis? How should the area of analysis How should the area of analysis Extending the area of analysis Extending the area of analysis be defined? be defined (more exactly)? to include areas for safe- to include possible areas guarding coherence? of compensation? How intensively and with which methods should this analysis be carried out?

What findings/documents are already available?

What else must be clarified?

Legal requirements – definition of scope of analysis definition of scope of analysis

Scoping is not legally required Scoping is not legally required by public authority by public authority upon here, but recommended here, but recommended – opportunity for discussion application by the project developer in practice in practice statement for public or at the decision of the authority authorities whose field of environmental and health- • level of detail, related functions is affected • scope and – transmission of useful • methods of assessment information to the responsible public authority • scope and level of detail • For multi-level planning and approval processes, it must be clarified which environmental effects at which level the analysis will focus on.

*(TU BERLIN et al. 2005, modified)

10 Environmental Assessment Berlin's Guide for Urban and Landscape Planning

1. Regulation of Intervention

1 1. Regulation of Intervention

1.2 Background, Objectives and Legal Principles

The regulation of intervention took effect

in 1976 when the Federal German Nature

Cons ervation Act (FNCA) was introduced. Its purpose is to avoid or minimise the negative consequences of projects for the ecosystem and landscape scenery, and obtain compensation for permanent damage from the initiator by means of measures for nature conservation and landscape management. The back-

ground is formed by the objectives and prin-

ciples of nature conservation and landscape

management set out in Sect. 1 and 2 of the Berlin Nature Conservation Law (BNCL). Nature and the countryside are to be protected, maintained, developed and, if necessary, restored. This applies to both unpopu- lated as well as populated areas. The necessary test steps include: avoidance -

Fig. 3: Construction site at the minimisation - compensation - substitution main train station in Berlin, 1.1 Terms as well as financial reparation, if applicable. Spreebogen With in the meaning of the law on nature protection, acts affecting nature and Together with the regulations of the Federal the countryside are "changes of form or use German Nature Conservation Act, the legal of surface areas or changes to the level of basis for the application of the regulation of the water table connected to the surface soil intervention in Berlin is formed by Sect. 14 stratum which may alter to a considerable ex- et sqq. of the law on nature conservation for tent the capacity and functioning of the eco- Berlin. In 2005, particularly the rights of nature system or the countryside, including its conservation organisations to participate were recreational function" (Sect. 14(1) of revised (Sect. 39a BNCL). The 11th Amend- the Berlin Nature Conservation Law, ing Act of 14 July 2006 introduced, among BNCL). others, provisions for an ecological account. Information on the legal basis for the regula- In the Countryside Conservation Plan tion of intervention is given in Annex 4.3. (LBP), the planning authority presents the measures A legal distinction must be made between the required for prevention, compensation or regulation of intervention under the nature pro- substitution. As part of the specialised tection law, which is stipulated in the BNCL, plan, the LBP forms the basis for the assess- and the regulation of intervention as related to ment and approval of an intervention, in- building law, which is regulated at a national cluding compensating and alternative level in the federal building code and is applied measures to be determined as legal in urban development planning (Chap. 3.4). consequences (Sect. 15(5) BNCL).

12 Environmental Assessment Berlin's Guide for Urban and Landscape Planning

1.3 Scope of Application The term "ecosystem" is defined more In the approval procedure, a decision is closely in Sect. 10(1) No. 1 FNCA, reached as to whether a project represents according to which the ecosystem includes an intervention based on its effects on the the elements soil, water, air, climate, plants environment and landscape. It suffices to and animals, and explicitly their interrelation- determine whether there is sufficient proof ship, which is described in more detail using that considerable impairments are probable. the term "capacity and functioning". The indiv idual elements of the ecosystem (also The law on nature conservation for Berlin known as 'protected commodities') are ex- lists projects and measures for which it is plained in further detail in Annex 4.1, as assumed that they are interventions is the term "landscape scenery". (Sect. 14(1) BNCL; so-called "Positive List "). It includes, for example, "Impairments are recognisable or projects requiring official approval, drainage foreseeable changes in the capacity and of wetlands or road building projects in functioning of the ecosystem and changes outskirt areas. It must then be determined in the landscape scenery, which effect in each procedure whether, in accordance a negative change on an existing status, with the definition of intervention, the pre- a certain characteristic or quality." requisites are actually fulfilled. (LANA 2002).

In cases in which there is, in fact, an inter- The term "considerable" is a legally vention, but public or similar approval is undefined term: this assessment is not compulsory, the intervention must be dependent on the objectives and princi- reported to the authority responsible for ples of nature conservation and landscape nature conservation and landscape management, professional norms and management (Sect. 15(2) BNCL). interpretations, and assessments in landscape planning. It is not only the The term "form of surface areas" refers special characteristics of protected com- to the external form of appearance of a modities or functions, e.g. of legally pro- landscape. It also includes elements of tected plant and animal species, that are (urban) landscape created by humans. significant, but also average character- Generally, a change in the form is any istics, such as prevalent species, soils, recognisable deviation that may be a re- etc. The question whether or not some- sult of the project, which would not occur thing is considerable addresses in particu- if there were no project. The use of sur- lar the quality or intensity of the impair- face areas denotes the actually exercised ments. current use (actual utilisation). This definition does not include future or his- Changes in the form or use of surface torical use. A change in the level of the areas caused by appropriate use of the water table, arising in connection with the land for agricultural, forest and fishing surface soil stratum, represents an purposes are not subject to the regula- intervention. tion of intervention under the nature conservation law (Sect. 14(2) BNCL and Sect. 18(2) FNCA). However, if an action is to be defined as 'appropriate use of the land for agricultural, forest and fishing purposes' it must fulfil the requirements of 'good professional practice’ (Sect. 5(4) and (5) FNCA, Sect. 14(2) BNCL).

Environmental Assessment Berlin's Guide for Urban and Landscape Planning 13

Fig. 4: Test steps for regulating interventions under the Nature 1.4 Processing Steps and Responsibil- ities Conservation Law Implementation of the regulation of interven-

tion is integrated in the individual procedure Assessment of intervention in which the project is decided upon. There- Changing the form or use of surface fore, responsibility for the procedure lies with areas or changes to the level of the the public authority that is responsible for giv- water table connected to the surface ing permission for the project, i.e. not the soil stratum project does nature conservation authority. However, the not intervene decisions that are associated with the regula- Yes No tion of intervention are reached in association

with the authorities responsible for nature pro- Considerable impairment tection and landscape conservation.

Yes No The nature conservation authority rather than

the authority carrying out the procedure is re- Prevention sponsible for approvals or exemptions under

the nature conservation law, which are re- Considerable impairments quired if, for example, biotopes of strictly pro- are prevented tected species are destroyed or protected

areas are affected. Sect. 15(2) BNCL No Yes regulates special cases that do not

require an official decision for an actual in- Substitution tervention, based on regulations other than

those under the nature conservation law. Ac- Considerable impairments project cordingly, such procedures must be reported are counterbalanced may be to the responsible nature conservation authority, approved which makes the necessary decision on its own No Yes authority.

Alternative measures The applicable laws regulate the involvement

of public authorities, other offices and the pub- All impairments that cannot be counter- lic for the respective approval procedure (e.g. balanced shall be compensated for in the German Water Act). If an environmental some other manner impact assessment is also required for the

project, the procedure must also fulfil the re- No Yes quirements of the German Environmental

Impact Assessment Act. Consideration

The issues of nature and the country- project side have priority in consideration is unacceptable

No Yes

Financial compensation project may be approved

14 Environmental Assessment Berlin's Guide for Urban and Landscape Planning

If a project is associated with an intervention in the environment and landscape, the law on nature conservation for Berlin requires that the following test steps be carried out:

1. Avoidable impairments of protected commodities are prohibited. This regulation also includes the minimisation of impairments.

2. Unavoidable impairments shall prefer- entially be counterbalanced by suitable

measures ( compensation measures)

or compensated by measures that serve

to achieve the objectives and principles

of nature conservation and landscape Fig. 5: Preventative management ( alternative measures). 1.5 Countryside Conservation Plan/ measure on Green-area Regulation Plan Potsdamer Square: 3. If the impairments cannot be avoided or The following steps are carried out in the conservation of the natural landmark avoided only in part, counterbalanced Countryside Conservation Plan (LBP) or Alte Potsdamer Straße within a suitable period or compensated a green-area regulation plan: in some other way, due consideration • stocktaking and evaluation of the eco- must be made between the issues of system and the countryside (in the case 2 The sample sheets are nature conservation and landscape man- of specialised plans, possibly based on presently being agement and other public issues that the results of a study on the environmen- updated. make this intervention necessary. If the tal impact; cf. Chap. 3.3.6.1), issues of nature conversation and landscape • determining the expected impairments management take priority over the other to the ecosystem and the countryside issues, the intervention may not be carried (conflict analysis), out. It must also be assessed whether the • deducing measures for avoidance, mini- biotopes of strictly protected species will be misation, counterbalancing and substitu- destroyed. Should this be the case, it must tion as well as possible financial considered whether the intervention is to be compensation. permitted because the general public has strong reasons for doing so (cf. Chap. 1.5.7). The results are edited as text and maps (e.g. BMV sample sheets 1998 2; 4. Should it not be possible to counterbalance see also HOAI [Fee Structure for Architects or compensate impairments in some other and Engineers]). They are an integral part of manner, the law provides for financial com- each approval (permission, planning approv- pensation. Methods of valuation are avail- al). As a result of this integration in the able in Berlin for putting this into operation respective approval procedure, the decisions (SENSTADT 2004a). regarding measures for prevention and compensation become legally effective when the ruling for the respective procedure takes effect.

Environmental Assessment Berlin's Guide for Urban and Landscape Planning 15

In Berlin, it is often possible to fall back on existing data (Annex 4.1); data from

preceding procedures may possibly

also be used. Depending on the adequacy

of the data, its timeliness and the specific effects of the project, a supplementary inventory of the protected commodities that will presumably be affected may be necessary. Generally, existing base data can be used within a period of approx. five years provided there are no obvious changes. However, should there be refer-

ences to changes, it is always necessary

to update the base data. If there is any

reference that specially and strictly protected Fig. 6: System for control- species are affected, such considerations ling amphibians on Pankgrafen- 1.5.1 Stocktaking and Valuation must be given the appropriate weight straße in Berlin, Pankow All of the elements of the ecosystem and the (Chap. 1.5.7). countryside as well as of recreation, which are important for judging impairments, are collected and presented in texts and on The criteria used must be coordinated in maps if they may be influenced by the effects individual cases with the responsible nature of the project. A target-oriented review of the protection authority and justified comprehen- situation is derived from the parameters sibly in the Green-area Regulation Plan or of the project and, therefore, its possible the Countryside Conservation Plan. The com- effects. A description of the project and its mensurability must be taken into considera- parameters taken from the study on environ- tion when defining the contents under consid- mental impacts or the environmental report, eration and their depth, i.e. the effort involved which has already been carried out (cf. in taking stock must be in reasonable propor- Chap. 3.3.6.2). If neither the study nor the tion to the severity of the expected impair- environmental report is available, the pa- ments. Stock does not always have to be rameters relating to investment, construc- taken of various elements of the ecosystem tion and operation are identified within the and the countryside, because they can be scope of the Countryside Conservation derived from each other in part on the basis Plan. of ecological connections. Specific conditions of the location and possible previous The area to be assessed is defined in ac- impacts must be taken into considera- cordance with the project. Generally, it in- tion. cludes the surface areas of the project, the area of intervention, the active area of potential impairments as well as the area of compensation (SENSTADT 2004a, p. 16).

16 Environmental Assessment Berlin's Guide for Urban and Landscape Planning

In a professional evaluation, the existing 1.5.4 Compensating Measures capacity and functioning of the ecosystem Unavoidable impairments to the ecosystem and the quality of the countryside are as- and countryside must be compensated for sessed in the light of the supra-local and local by means of suitable measures. If, there- objectives of nature conservation and land- fore, all possibilities for prevention and mini- scape management (from the Landscape Pro- misation have been exhausted, the next gramme, landscape plans, maintenance and step is to define the remaining demand development plans for protected areas, etc.). according to its type and scope Both the value and the sensitivity of the pro- (SENSTADT 2004a). tected commodity (e.g. rareness of and danger to biotopes) as well as its ecological When the scope of the compensation de- functions (e.g. the filter function of soil for mand has been defined, it is evaluated wheth- ground water) are incorporated in this er or not, to what percentage and by which evaluation. measures the interventions can be compen-

sated. The basis for the selection of suitable 1.5.2 Analysis of Impairments measures is formed by the superordinate and Those impairments which are significant for comprehensive objectives from Berlin's Land- a decision can be forecast and spatialised scape Programme including Nature Conser- by overlapping the parameters of the proj- vation (LaPro) with its individual programme ect with the values and sensitivities of plans as well as any available landscape the protected commodities. The impair- plans. ments are described and presented in the form of maps. To apply as a compensation measure, re-

quirements concerning the functional and 1.5.3 Prevention and Abatement spatial relationship to the intervention must It is a fundamental principle of the regula- be fulfilled. Impairments are counterbal- tion of intervention to avoid and minimise anced when and as soon as both the func- impairments to the ecosystem and country- tions in question of the ecosystem and the side, whereby the object is not to prevent countryside have been redesigned in a the project that causes the intervention, manner consistent with the landscape but rather the impairments to the protected (Sect. 14a(1) BNCL). Apart from this commodities that are based on the project. functional homogeneity, the compensa- Fig. 7: Compensation Measures for prevention or minimisation tion area must be close to the place of inter- measures should be related to these protected com- vention. A measure to compensate for at the motorway interchange modities and planned in accordance with sealing due to road construction is, for in Berlin, Neukölln the phases of the project (construction, in- example, to unseal and renaturize areas vestment, operation). A preventative meas- located close by. ure in the construction phase can be, for example, setting up fences to protect trees.

Separate explanations must be given if preventative measures refer to the impairment or destruction of specially or strictly protected species or their biotopes (Chap. 1.5.7).

Environmental Assessment Berlin's Guide for Urban and Landscape Planning 17

Fig. 8: General urban mitigation plan

Should compensation not be possible, the the ecological and open space system, remaining significant impairments must be i.e. the city's concept for operating in ac- compensated by alternative measures. Al- cordance with its landscape plans ternative measures may suffice lower re- (SENSTADT 2004, S. 10). Top priority quirements with regarding proximity to the areas include green areas and open intervention. The impaired functions of spaces in the mitigation areas of the the ecosystem must, however, be replaced inner city. The areas in the green and in an equivalent manner and/or the coun- open space system within the Barnim, one tryside must be redesigned in a manner of Berlin's local parks, take second priority. consistent with the landscape Apart from these two mitigation areas, cer- (Sect. 14a(1) BNCL). Alternative meas- tain basic elements must be developed ures are not restricted to the location on and augmented, namely the two green cor- which the intervention has a direct effect; ridors in the shape of a cross as well as the they can also be carried out at another place. 'inner' and 'outer' park ring, in which the mitigation areas with third-level priority are When searching for areas, particularly for located. For both compensation as well as alternative measures, those areas in the alternative measures it must be ensured General Urban Mitigation Plan depicted in that the areas selected for compensation the LaPro should be used primarily. The have sufficient potential for revaluation with regard to significance of these areas is measured the objectives defined for revaluation. on their ability to support or complement

18 Environmental Assessment Berlin's Guide for Urban and Landscape Planning

If the biotopes of wildlife and wild-growing Measures and areas have been secured plants belonging to strictly protected species when their development is guaranteed. Gen- are destroyed, appropriate measures must erally, after measures have been completed, be integrated in the compensation they are followed by maintenance ensuring (Chap. 1.5.7). further development and, therefore, that the measures fulfil their functions. To maintain If impairments can be completely compensat- these permanently, continuous upkeep (pre- ed and none of the prohibitions of the special servative care) may be required. The work- law for the protection of endangered species ing group of the Standing Conference of are affected, the project shall be permitted to- Parks Department Heads of the German Asso- gether with the corresponding conditions for ciation of Cities issued recommendations for implementing compensation measures. If the the duration of maintenance during comple- impairments cannot be avoided or only in tion and further development (BÖHME et al. 2005). part, if they cannot be counterbalanced within a reasonable period of time or compensated An "ecological supervision of construction" in some other manner, the intervention shall will be necessary for complex projects and management (Sect. 15(2) BNCL). projects in sensitive areas.

Such an intervention may only be permitted Completed measures of compensation if other superordinate public issues make must be assessed. The compensation and the intervention necessary. Such considera- alternative measures that are significant for tions shall be made by the public office re- the city in general are recorded in Berlin's sponsible for granting permission for the proj- land register for compensation areas ect in question. If, as a result of the interven- (which is administered by the Senate De- tion, biotopes are destroyed that cannot be partment for Urban Development). replaced for the wildlife and wild-growing plants belonging to strictly protected species, 1.5.5 Financial Compensation and Ecological Account the intervention shall only be permitted if it If impairments to the ecosystem and coun- is justified on the basis of compelling rea- tryside cannot be (fully) counterbalanced sons held by the majority of the general public. or compensated in some other manner, and if the intervention has been permitted, Compensation measures must be carried the project developer must make financial out within a period to be defined in the authori- compensation (Sect. 14a(3) BNCL). Fi- sation provided for in this decisio n nancial compensation must also be made (Sect. 14a(1) BNCL). All compensation meas- if this means that a revaluation of the eco- ures and areas must be secured sufficiently system or the landscape scenery can be and sustainably (Sect. 18(5) FNCA). achieved in a better manner with the same The following measures for securing effort. This is particularly the case if, them are possible: using this method, it is possible to achieve • realisation on areas belonging to the project extensive revaluation measures within the developer, possibly after acquiring such areas, framework of land pools which make more • realisation on the state's own areas sense from the point of view of nature con- • assignment of compensation areas to devel- servation that individual, isolated compensa- opment plans (LANA 2002, p. 19 et seq.), tion measures. The funds raised in this man- • registration of rights in rem in the land ner will be used solely for nature conservation register, possibly in addition to the pre- and landscape management measures. ceding measures.

Environmental Assessment Berlin's Guide for Urban and Landscape Planning 19

Generally, the amount to be paid as finan- • permanent, favourable effects on the cial compensation is based on a fictitious further development of the ecosystem

replacement cost plus the cost for plan- and the landscape can be expected

ning such replacement, provision of the from the planned measures,

area and upkeep for further development, • each area on which measures are to be including inspection. The ecological ac- carried out is legally and de facto per- count is an instrument used to make provi- manently secured for measures of sions by stockpiling areas and measures nature conservation and landscape to counterbalance impairments in the eco- management (Sect. 14b BNCL). system and the landscape (BRUNS et al. 2005, BÖHME et al. 2005). Within the scope Measures that are carried out before the of an ecological account it is possible to intervention (advance measures) must

secure areas in a suitable location at an be documented with regard to type, scope

early stage and carry out compensation and cost, and their beginning and end.

and alternative measures and credit them The measures entered in the ecological to the ecological account before planning account will be credited against compen- or carrying out building projects. At a later sation obligations for interventions by the stage, measures (with areas) can be "de- responsible authority, provided the afore- ducted" from such a "credit balance" if, due mentioned prerequisities still to projects for building or planning approval, exist. interventions are prepared. A project devel-

oper can then resort to measures that have 1.5.6 Methods

previously been realised. The guide on "Procedures for the Assess-

ment and Balancing of Interventions in the Fig. 9: Ecological account: Ecological accounts have been introduced Land of Berlin" is available in Berlin as a action plan to give project developers and/or landown- methodical assistance for applying the reg- ers the possibility to take preventative meas- ulation of intervention (SENSTADT 2004a), ures to improve the ecosystem or the land- in which two methods are explained: scape scenery. These measures are credited to an ecological account, where they are The procedure for the assessment and available for future use. The right to set balancing of interventions is recommended these off against interventions can be trans- by the Senate Department for Urban Devel- ferred to others (i.e. who have caused an in- opment for applying the regulation of inter- tervention) at a later date (Sect. 14b(2) BNCL). vention under the nature conservation law, All of the prerequisites listed below must be for example planning approval procedures fulfilled before a measure can be credited to and for larger projects within the scope of ur- an ecological account: ban development planning. This procedure • no conflict with interpretations or assess- qualifies the essential process and decision- ments of the urban development or land- making steps for the regulation of intervention. scape planning for defining the purpose The assessment procedure is derived from of areas, the development objectives and measures of • no other obligation exists under the Berlin landscape and endangered species public law to carry out these programme. The standards are objectified us- measures, ing a selection of 21 value-constituting assets • requirements from the point of view of to depict the capacity and functioning of the nature conservation are protected, ecosystem as well as the landscape scenery and the recreational function.

20 Environmental Assessment Berlin's Guide for Urban and Landscape Planning

By applying the procedure: 1.5.7 Provision for Specially and 3 ECJ judgement dated 2006-01-10 • the significant impairments to the Strictly Protected Species in the legal matter capacity of the ecosystem and the The legal requirements within the regulation Rs C-98/03, in which Ger- landscape scenery associated with of intervention for the protection of endan- many was convicted of in- an intervention in the ecosystem and gered species must continuously be taken sufficient implementation the countryside can be assessed, into account. In the approval procedures for of the Habitats Directive. • possibilities to avoid them can be defined, projects it must be assessed whether the proj- • possibilities for compensating signi- ect might impair specially or strictly protected ficant impairments by means of com- species. The law on nature conservation stip- pensation and alternative measures ulates an investigation of the biotopes of can be assessed, strictly protected species within the scope of • it can be determined in a balance whether the regulation of intervention to determine if possible impairments can be counter- they would be destroyed and recommends balanced by the compensation and al- that the requirements for the special protec- ternative measures, and tion of species be treated in close connection • if applicable, the necessary the financial with the regulation of intervention. compensation can be calculated. If a project incorporates an intervention, The procedure has also been aligned with it will be determined whether, as a result, the basic information available in Berlin and biotopes would be destroyed which are simplifies the fact-finding procedure. Further irreplaceable for plants and animals in advantages include the separate assessment strictly protected species. In such a case, and calculation of individual factors on the the intervention will only be permitted if it basis of an ordinal scale (e.g. 'very low' to is justified because the general public has 'very high') and the possibility of determining strong reasons for doing so (Sect. 19(3), the scope of alternative measures by balanc- 2nd sentence FNCA and Sect. 14a(2) ing the added value across all protected BNCL), whereby the prohibitions in acc. commodities. with Sect. 42 FNCA must be observed.

Within the scope of urban development These prohibitions include, among others, planning, the procedure for determining damage to nesting and hatching places, cost equivalents is provided for small, inner- habitats and sanctuaries. Which species city projects. This procedure determines belong to the specially and strictly pro- the scope of impairments, using a fictitious tected species is defined in Sect. 10(1) replacement cost as an estimate. In addi- Nos. 10 and 11 FNCA. The Federal Agency tion, on behalf of the soil, water and climate for Nature Conservation provides a database systems, the cost of unsealing is also (www.wisia.de) with information on all of the estimated. species protected in Germany and their protective status. There are further specific work tools for certain types of projects. In the light of a judgement reached by the European Court of Justice 3, LANA (the Ger- man Inter-state Working Group for Nature Con- servation, Landscape Management and Recre- ation 2006) recommended that the legal exceptions of Sect. 43(4) FNCA regarding the treatment of the special right for the protection of species in planning procedures not be applied pending further notice.

Environmental Assessment Berlin's Guide for Urban and Landscape Planning 21

Abb. 10: Special right for protection of species

Specially protected species • EC Regulation on the Protection of Species No. 338/97, Annex A+B Sect. 10(1) No. 10 FNCA • Habitats Directive Annex IV (92/43/EEC) • Birds Directive (79/409/EEC) • Federal regulation for the protection of wild species, Annex 1, Column 2

Strictly protected species • EC Regulation on the Protection of Species No. 338/97, Annex A Sect. 10(1) No. 11 FNCA • Habitats Directive Annex IV (92/43/EEC) (All strictly protected species are • Federal regulation for the protection of wild species, Annex 1, Column 3 also specially protected.)

Prohibitions For specially protected species: Sect. 42(1) Nos. 1 and 2 FNCA in conjunction with Birds Directive Art. 5 and Art. 13 and For strictly protected species: Habitats Directive Art. 12 and Art. 13, respectively Sect. 42(1) Nos. 1-4 FNCA

Exemptions Sect. 62 FNCA in conjunction with (possibly in conj. with Sect. 19(3) p. 2 FNCA) Birds Directive Art. 9 and Habitats Directive Art. 16, respectively

Therefore, in relevant cases it must be as- If there is any reference that specially and sumed that an exemption in acc. with strictly protected species are affected, the Sect. 62 FNCA is required from the occurrence of these species will be re- supreme nature conservation auth ority and corded within the scope of stocktaking for the protection of species should be taken the regulation of intervention. into consideration at an early stage. Fig. 10 depicts the requirements of the special pro- Attention must be paid, however, to ensure tection of species that may be connected that an assessment appropriate for the mat- with a Countryside Conservation Plan. For ter at hand is not restricted to specially and reasons of efficiency, it is advisable that an strictly protected species; instead, it must be action plan be developed which suffices assessed regularly whether other protected both the requirements for the regulation of species are also affected by the intervention. intervention as well as those for the pro- The target-oriented procedure is then to tection of species. select the species 'relevant for planning' and differentiate their depth of processing using the following criteria: • species native in Germany according to Sect. 10(2) No. 5 FNCA, • occurrence and incidence of the species in the reference area, • potential occurrence of the species in the habitats of the planning area, • their sensitivity in relation to the project and its parameters.

22 Environmental Assessment Berlin's Guide for Urban and Landscape Planning

In individual cases, the following may also Fig. 11: Joint process steps in the regulation of intervention: special protection of species in the be relevant: Countryside Conservation Plan* • significance from the point of view of nature conservation in the functional structure of the Regulation of intervention Special protection of species reference area, • degree of endangerment of the species Coordination of the framework of examination and the spectrum of the species to be examined according to Red Lists (federal, state), (relevant species or species groups) • limited population/subspecies, • "common" species with regard to possible endangerment of isolated, local population (LANA Collecting and assessing the capacity of the ecosystem and the landscape scenery, including 2006). species relevant acc. to the law for the protection of endangered species

The more endangered or sensitive the species to be recorded is, the sooner the required Assessment of considerable impair- Assessment of degree in which prohibitory data must be collected based on the popu- ments of capacity and functioning- provisions of Sect. 42 FNCA Birds Directive lation. The highest priority and correspond- of ecosystem and the landscape and/or Art. 12, 13 Habitats Directive or ing depth of processing must be given to scenery as well as the destruction of Art. 5 Birds Directive are fulfilled the occurrence of strictly protected species biotopes of strictly protected species and their habitats. With regard to specially protected species, the occurrence of bird species listed in Annex I of the Birds Di- Development of concepts for preventative measures (possibly including examination of other rective as well as species denoted as en- satisfactory solutions within the meaning of Art. 16 Habitats Directive, Art. 9 Birds Directive) dangered on Berlin's Red Lists should be recorded in particular. For specially pro- Action plan for nature conservation and landscape management: tected animal species, the focus should be • compensation measures and other compensation within the meaning of Sect. 19(2) FNCA on their nesting or hatching places, habitats • substitution for destroyed biotopes of strictly protected species within the meaning of Sect. 19(3) FNCA or sanctuaries. Generally, for widely spread • measures for the preservation of a favourable state of preservation within the meaning of Art. 16 and euryoecious species ('common' spe- Habitats Directive cies) that are among the specially protected species but whose population is not endangered, an in-depth examination is not re- General consideration between nature If prohibitions of Art. 12 and 13 Habitats quired. Assigning the species to habitat conservation and issues of the Directive (Annex IV Species) are infringed: complexes or areas of conflict is helpful. project for interventions that cannot proof of strong public reasons for The intensity of possible impairments can be counterbalanced or compensated justifying this, the be estimated and assessed comprehensi- If irreplaceable biotopes of strictly preservation of the state of preservation of the bly by giving information in the planning protected species are destroyed: population and the lack of other satisfactory documents on each type of species that proof of strong public reasons for solutions. might be affected regarding its occurrence, justifying this. how it has been affected, its protective If the prohibitions of Sect. 42 FNCA (other, status, its endangerment and, if applicable, not aforementioned species) are infringed: its state of preservation. proof of strong reasons in favour of the public welfare.

If the prohibitions of Art. 5 Birds Directive (avifauna) are infringed: possibility of exemption only under the pre- requisite of Art. 9 Birds Directive

* (RUNGE 2005, modified)

Environmental Assessment Berlin's Guide for Urban and Landscape Planning 23

The development of 'compensation' measures for affected specially and strictly protected species within the scope of planning

compensation and alternative measures for

the execution of the regulation of intervention is recommended. Only those measures that ensure the continuous function of the affected habitats come into consideration here (LANA 2006). In this respect, they must always be differentiated from alternative measures for the regulation of intervention in accordance with the law on nature conservation ac-

cording to Sect. 19 FNCA (ibid.). Such ad-

vance ('compensation') measures must be defined with binding force before the project Fig. 12: Temporary is approved and implemented before any habitats for sand If the biotopes of wildlife or wild-growing damage is done. At the time of the impairment lizards at the Nature plants belonging to strictly protected species they should already be effective without any Conservation Station are destroyed, appropriate measures must timelag (ibid.). For example, the breeding wa- in Malchow be planned. A biotope is also regarded as ters of the great crested newt may only be filled being 'destroyed' if it is no longer able to in if a substitute body of water is created and fulfil its previous function in the short or long already populated with crested newts (GEL- term, i.e. it no longer provides the previous LERMANN 2003 and FISCHER-HÜFTLE 2003). possibilities for living (FISCHER-HÜFTLE 2003, Sect. 19, marg. no. 116). It is first neces- At the same time, measures that are justified on sary to search for possibilities for the basis of the law on nature conservation also correspond- represent counterbalancing measures within ing measures of prevention. If species from the meaning of the regulation of intervention and Annex IV of the Habitats Directive (strictly can be integrated in the overall concept of com- protected, acc. to FNCA) are affected, it is pensation measures. According to the regulation necessary to investigate alternative solutions of intervention, compensation or alternative meas- for the project in accordance with the regula- ures may also serve as substitute measures in acc. tions of the law on flora-fauna-habitat. If an with the law on nature conservation, provided they alternative solution exists that is reasonable have an effect on the species in question. p and impairs the species less, this alternative must be selected (MÜLLER 2005, p. 161, Chap. 2.8). In other cases, the intervention is only permissible if it is justified on the basis of strong public reasons (Sect. 14(2) BNCL). If species listed in the Birds Directive are affected (specially protected in Sect. 10(2) No. 10b, bb in accordance with the BNCL) the exceptional reasons in Art. 9 of this Directive shall apply.

24 Environmental Assessment Berlin's Guide for Urban and Landscape Planning

2. Natura 2000 Impact Assessment

2 2. Natura 2000 Impact Assessment

2.1 Background, Objectives and Legal Principles In 1998 Germany put the European directives into The European Union’s "Flora-Fauna-Habitat national legislation by means of the Federal Nature Directive" (Council Directive 92/43/EEC Conservation Act (FNCA) and in 2003 Berlin put FFH-CD) of 1992 aims to advance the goal them into state legislation by means of the Berlin of preserving biological diversity. Measures Nature Conservation Law. Annex 4.3 gives a to achieve this include a Europe-wide tabular overview of the statutory sources. Berlin network of protection sites. The focus is on has registered 15 Natura 2000 sites, which cover specific habitats and specific flora and fauna just over 7% of the federal state’s entire area. which are of European significance. The ‘NATURA 2000 Network’ includes both 2.2 Scope of Application Sites of Community Importance as per the A NIA 2000 is required whenever a project subject FFH council directive and also European to approval or a plan being compiled could give Bird Sanctuaries as defined by the Birds rise to significant impairments to those Directive (Art. 10(1) Nos. 5 and 6 Federal components of the site that are of a critical interest Nature Conservation Act). The network for relevant conservation objectives of a Natura should be ‘coherent’ throughout Europe 2000 site. An impact assessment is also required if (Art. 3 FFH-CD). In place of coherence the such impairments could be caused by the effects of German Federal Nature Conservation Act the project or plan concerned in combination with also refers to ‘cohesion’ and ‘continuity’; the other plans or measures (Sect. 16(2) FNCA). The scope of application is defined by means of the Berlin Nature Conservation Law (BNCL) definition of the terms ‘projects’ and ‘plans’ in the refers to ‘continuity of the network’. In Federal Nature Conservation Act (Sect. 10(1) Nos. addition to a spatial-functional network it 11 and 12 FNCA) and Sect. 35 FNCA (see Chap. should also be ensured that NATURA 2000 2.4). A NIA 2000 is required in order to clarify habitats and flora and fauna are represented. whether a project or plan falls under these definitions and could thus possibly give rise to The relevant conservation targets must be significant impairments. defined in order to protect and/or restore the favourable conservation status of an area. All plans, measures, changes or disturbances which could give rise to significant impairments to those components of the site that are of a critical interest for relevant conservation objectives are inadmissible (Deterioration Ban, Sect. 22b(5) and Sect. 16(2) BNCL, Art. 6(2) FFH-CD). Assessing impact, also known as the Natura 2000 Impact Assessment (NIA 2000), is intended to ensure that plans and projects do not give rise to impairments to the conservation objectives for these sites.

26 Environmental Assessment Berlin’s Guide for Urban and Landscape Planning

Europe-wide conservation – Natura 2000 sites in Berlin Information on the implementation of the EU directives on Fauna-Flora-Habitat (FFH) and bird protection

Bird sanctuary Special Protected Area (SPA)

FFH area Schloßpark SPA and FFH areas Tegeler Fließtal Buch

Forest and natural park area Baumberge

Falkenberger Water Spandauer Rieselfelder Forst Tegel Waterworks

Zitadelle

Spandau Fort Hahneberg Fließwiese

Ruhleben

Grunewald

Friedrichshagen Waterworks Wilhelmshagen- Woltersdorfer

Dünenzug Müggelspree/ Pfaueninsel Müggelsee Western Müggelspree Düppeler Forst Teufelsseemoor

Fig. 13

Environmental Assessment Berlin’s Guide for Urban and Landscape Planning 27

2.3 Procedure and Participation 2.4 Preliminary NIA 2000 4 In its judgement of In the case of NIA 2000’s of projects, the At the outset of a procedure the following

10 January 2006, the procedural stages and thus also the questions are used to clarify whether a NIA 2000 is required (‘preliminary assessment’ or European Court of Justice participation of other government authorities; other representatives of public ‘screening’): ruled that the FNCA did not concern and the general public conform to 1. Does the case involve a plan or project as sufficiently implement the the relevant ‘authorisation procedures’, e.g. a defined by Sect. 10 FNCA? scope of application of the planning approval procedure subject to rail 2. Could the project/plan in combination with others give rise to significant impairments NIA 2000 assessment law. In the case of plans and programmes in st on a protected site and/or the conservation obligation. accordance with Sect. 35, 1 sentence, No. 2 objectives for a Natura 2000 site? (Chap. 2.6). FNCA, a NIA 2000 entails the execution of

a Strategic Environmental Impact Assess- The term ‘project’ is defined in broad terms in ment (Sect. 14c German Environmental Sect. 10 of the Federal Nature Conservation Act; Impact Assessment Act – EIA Act). This legislation aims to achieve conformity of the projects are thus: NIA 2000 with the procedural standards for a) projects and measures within a site of EIA’s (SANGENSTEDT 2001). Community importance or a European bird sanctuary, insofar as they require a decision by The authority which is responsible for an authority or a notification to an authority or deciding on approval of a project or plan is are being conducted by a government first obliged to inform the supreme authority authority, for conservation and landscape management b) interventions in nature and landscape within the meaning of Sect. 18 FNCA, insofar as they without delay regarding this matter require a decision by an authority or a (Sect. 17(1) BNCL).The latter carries out the notification to an authority or are being preliminary NIA 2000 and reaches a conducted by a government authority and decision on whether a NIA 2000 is required. c) facilities subject to authorisation under the Carrying out of any further procedures Federal Immission Control Act and water uses relating to the NIA 2000 lies mainly within which require a permit or a licence under the the scope of responsibility of the authority Federal Water Act, conducting the relevant planning approval or

approval process. insofar as they, either individually or in

combination with other projects or plans, have a The officially recognised conservation significant impact on a site of Community associations in Berlin are given an importance or a European bird sanctuary opportunity to inspect papers relating to, and (Sect. 10(1) No. 11 FNCA) 4. comment on, the matter in hand (Sect. 39a BNCL). In certain cases, the European Commission must be involved and/or informed (see Chapters 2.8 and 2.9).

28 Environmental Assessment Berlin’s Guide for Urban and Landscape Planning

The term ‘plans’ includes the following in the Fig. 14: Procedural steps of the FFH impact assessment under Sect. 34 and 35 FNCA sense of the Federal Nature Conservation Act: Plans and decisions from prior procedures 1. Preliminary impact assessment which have to be complied with or taken into Criteria: account in official decisions insofar as they are • plan or project as per Sect. 10(1) FNCA likely, either individually or in combination • In combination with other projects of plans with other plans or projects, to have a significant impact on a site of Community importance or a European bird sanctuary (Sect. 10(1) No. 12 FNCA). • significant impact on a Natura 2000 site regarding its protection No NIA 2000 not purposes or for the conservation objectives of key elements required The obligation to assess covers, for e.g.: possible 1. Route determinations of federal highways Question: Are the preconditions fulfilled which make a NIA 2000 and federal waterways as well as necessary?

2. Regional development plans and regional Yes plans covering the state of Berlin. These NIA 2000 required include the States of Berlin-Brandenburg

Development Programme and the development plans of the Laender (Chap.

3.4). 2. Natura 2000 Impact Assessment 3. Land development plans und development Criteria: Approval plans (Chap. 3.4). • Relevant impact of the project or plan of the project • Significance of the changes to be expected An impact assessment is not required: and/or passing Question: • if the plan or project concerned is designed of the plan Can the project or plan give rise to significant impairments No to implement the objectives of the FFH-CD possible on the conservation objectives for the components of a or the Birds Council Directive (see Sect. 16 critical interest for a NATURA 2000 site? BNCL and Sect. 10 FNCA).

• in the case of building projects in areas with Yes development plans under Sect. 30 of the Exceptional case Federal Building Code and during the plan Inadmissibility proposal procedure under Sect. 33 Federal of the project

Building Code (Sect. 37(1) FNCA). 3. Assessment of exceptional circumstances or plan

Criteria: • no reasonable, acceptable alternatives • imperative reasons of a primarily public interest • measures to preserve coherence possible

In the case of significant impairments to key habitats or Inadmissibility species: of the project • limited exceptional reason under Sect. 16(4) BNCL No or plan • As applicable: statement by the Commission Question: Do the circumstances required for an exceptional approval exist?

Yes

Approval of the project or passing of the plan possible

Environmental Assessment Berlin’s Guide for Urban and Landscape Planning 29

If, as a matter of principle, the plan or 2.5 Specifying the Scope of Assessment programme falls within the scope of With regard to the assessment content of the NIA

application of the NIA 2000, it must be 2000 study it should be clarified (if necessary in a

scoping meeting), clarified whether individual cases in combination with other plans or projects • which impact factors of a project or plan are could result in a significant effects on a relevant, • which other plans and projects must be taken Natura 2000 site (relevance assessment). into consideration due to a possible cumulative During the preliminary assessment the effect impact (Sect. 16(2) BNCL), of possible combinations is only considered • which types of habitat as well as species and its in general terms. The more information on habitats could be affected and what impact, the proposed project or plan (and thus its measured according to the conservation

impact factors) which the supreme authority objectives, could occur in Natura 2000 sites,

for conservation and landscape management • how the area under assessment should be

has, the easier it is for it answer the question delimited (including consideration of areas for of relevance. In the interest of a prompt any coherence protection measures which may decision the objectives and specifications of be required), the plan and/or the objectives and the • if additional assessment is required and if technical design of the project on the part of specialist experts should be consulted,

the project proponent (or the planning • which assessment methods should be used.

office/consultant) should thus be described Furthermore an assessment should be carried out as concretely and clearly as possible. It is recommended that, in conjunction with the regarding whether an alternative assessment will supreme authority for conservation and be necessary. In such a case it is recommended

landscape management, options be sought to that the alternatives to be assessed are taken into

consideration to the fullest extent possible. modify the project or plan at this stage of the

planning process in order to make it possible to exclude any significant impairments to Specifying of the scope of assessment takes place Fig. 15: New construction of Natura 2000 sites (Figure 15). Should this be in consultation with the supreme authority for a cycle path in a NATURA successful the concluding result of the conservation and landscape management and, if 2000 site (FFH site preliminary assessment will be that no required, with other parties involved. Should an Müggelspree, Müggelsee) further steps in the NIA 2000 process are EIA or a strategic EIA be required for a project or required. plan, it is advised that a joint scoping meeting and As a result of the preliminary documentation of the agreements reached be assessment, considerable If significant impairments cannot be impairments could be avoided carried out (Chap. 1). due to a compatible cycle excluded, then a NIA 2000 will be required. track arrangement and The result of the preliminary assessment appropriate construction of must be documented in a clear and the paths. transparent manner.

30 Environmental Assessment Berlin’s Guide for Urban and Landscape Planning

2.6 NIA 2000 Study Assessments focusing on single areas and conservation The NIA 2000 study is the technical cornerstone objectives must be carried out on presentation of the of the NIA 2000. The structure of the NIA 2000 management plan. The supreme authority for study can be based on existing templates (e.g. conservation and landscape management can provide EISENBAHNBUNDESAMT 2005, Annex IV- advice and information in this regard. 1; KÖPPEL et al. 2004, 320). The sample maps developed for federal road building agencies can Favourable conservation status is the status required to provide useful pointers when compiling maps for preliminary NIA 2000’s for projects (Federal ensure long-term, Europe-wide protection of the habitats Ministry of Transport, Building and Urban and species covered by the FFH Council Directive and Affairs 2004). the Birds Directive. The conservation status of a natural

2.6.1 Description of the Site Concerned habitat is considered to be favourable if NIA 2000s assess formally specified NATURA • its natural range and areas it covers within that range 2000 sites with their habitats as stated in the are stable or increasing, FFH Directive (Annex I); the habitats of the • the specific structure and functions which are flora and fauna listed (Annex II) and the habitats necessary for its long-term maintenance exist and are of the birds listed in the Birds Directive, in likely to continue to exist for the foreseeable future, addition to the corresponding conservation and objectives. • the conservation status of its typical species is favourable (Art. I e FFH-CD). The objective is to protect (or restore) the ‘favourable conservation status’ of the habitats The conservation status of a species is considered to be or species concerned. The supreme authority for favourable if conservation and landscape management can • population dynamics data on the species indicate that provide information concerning current it is maintaining itself on a long-term basis as a viable protection of the area concerned. Special component of its natural habit, protection area ordinances specify in detail • the natural range of this species is neither being protection purposes in accordance with the reduced nor is it likely to be reduced for the corresponding conservation objectives. Since foreseeable future and many of Berlin’s Natura 2000 sites are already • there is, and will probably continue to be, a classified as nature reserves or areas of sufficiently large habitat to maintain its populations on outstanding natural beauty special protection a long-term basis (Art. I i FFH-CD).

area ordinances and, in some cases, also When favourable conservation status, which may not be preservation and development plans have impaired, is a stated protection objective it is also already been compiled for the sites. Often, simultaneously the benchmark for assessment of the however, the protection purposes fixed in these documents do not comply with the requirements impact of plans and projects. specified by the NATURA 2000 regulations; the special protection area ordinances must thus be amended accordingly. The general conservation objectives are stated in the “Natura 2000 sites” public announcement of 26.08.2005 and in the Official Gazette for Berlin ( Amtsblatt für Berlin ) No. 48 of 2005-09-29, p. 3717 et sqq.

Environmental Assessment Berlin’s Guide for Urban and Landscape Planning 31

The NIA 2000 study requires a description This also applies to abiotic elements of nature and and assessment of the site and/or the area the landscape as well as to structural characteristics

affected which takes the conservation such as, for example, the intactness of a site (see

objectives into consideration and covers the EISENBAHNBUNDESAMT 2005, Part IV and situation of the key components and priority KÖPPEL et al. 2004). If applicable, it may be species or habitats. Key elements of a site necessary to identify the key components in the are its habitats as defined by the FFH-CD impact assessment study. ‘Priority’ protection

and the Birds Directive, and the species objects are at special risk and thus accorded special Fig. 16: Fließwiese Ruhleben covered by these directives (see Sect. 16(2) protection by the European Community. Priority (Berlin, Charlottenburg) BNCL). Any specific species and habitats habitats are listed and identified in Annex I, priority Thanks to the NIA 2000 carried which are not included in the directives but species in Annex II of the NIA 2000 regulations. out to assess the impact of the are relevant for the favourable conservation Information on Natura 2000 sites in Berlin is development of the River Spree, status of a site – in particular the provided in a flyer produced by the Senate it was possible to sustain this ‘characteristic’ species of the habitat Department for Urban Development (SENSTADT habitat, home to the great concerned – can be included among the key 2005).

crested newt (Annex II of the components (SSYMANK et al. 1998). In order to be able to predict to what extent the FFH-CD), as it was recognised project or plan could give rise to impairments to a that this wet area could possibly dry out as a result. Natura 2000 site an assessment of its specific sensitivities vis-à-vis the impact factors of the plan or project is required. In the case of the FFH habitats this also requires knowledge of their characteristic species. Assignments of such species to habitats are given, for e.g., in the ‘Handbook of the European NATURA 2000 protected sites system’ published by the Federal Nature Conservation Agency (SSYMANK et al. 1998) and in the ‘Interpretation Manual of European Habitats’ (EUROPEAN COMMISSION 1999).

2.6.2 Description of the Project or Plan The project or the plan and/or the impact factors which could be of significance for the NATURA 2000 site should be described by the project proponent as concretely as possible to facilitate an assessment of their impact. Impact relationships can also exist across larger spatial distances; for this reason the assessment cannot be limited solely to the plan/project site.

32 Environmental Assessment Berlin’s Guide for Urban and Landscape Planning

Since the starting point for assessing impact The decisive issue in this regard is the relevance of interrelationships is the Natura 2000 site in the impact to be expected. Assessments are always question and its specific conservation on a case-by-case basis. It is sufficient to establish objectives, other plans and projects which that a proposal could give rise to significant could also result in a cumulative impact impairments without this having to be certain or together with the proposed plan or project must provable. Factors taken into consideration include be included in assessments (Federal Nature the duration, intensity and scope of the negative impact. The site’s conservation objectives are the Conservation Agency 2004; EUROPEAN benchmark for evaluating relevance and thus, COMMISSION 2000, No. 4.4.3). generally, the favourable conservation status – to

be protected or restored – which is Should it be foreseeable that a project or plan correspondingly aspired to. Any impairment ban is inadmissible due to its significant impact and relates to the favourable conservation status. that a special approval procedure will be Should the conservation status be favourable, it requested (Chap. 2.8), it is strongly may not be impaired by the proposal; should it be recommended that acceptable alternatives also compromised, then its improvement may not be be sought from the outset and that their hindered. characteristics and impact factors be described. In the event of a special approval procedure When defining relevance, the significance of the and in order to be able to assess whether FFH site within the NATURA 2000 network must grounds for a special exception are applicable be taken into consideration (criteria in Annex III to the proposal, it is also expedient to include FFH-CD). When assessing the extent of the formulations for the exceptional facts – impairments, any planned compensatory measures such as ‘public interest’, ‘imperative’, etc. – in shall have an alleviating impact. Should special the explanatory statement relating to the protection area ordinances with deviating proposal. regulations be in place, they must be complied with (Sect. 17(4) BNCL). 2.6.3 Assessment of Impairments and Their Relevance (Prediction of Impact) The Berlin Nature Conservation Law states that Probable impairments can be predicted by there have been significant impairments to a site means of a comparison of the proposal’s particularly impact factors and the sensitivities of the • if those habitats which are key to the species and habitats within the site. The conservation objectives or the protection aim are objective is to show the specific impact on impaired or individual partial areas of the Natura 2000 site. • if the species which caused the site to be This consideration may not, however, be solely designated are significantly disturbed or limited to these individual areas. Rather more, • if there are significant impairments to measures the imperative is to assess to what extent there for protection or restoration of a favourable could be impairments to the Natura 2000 site in conservation status (Sect. 16(2) 2 nd sentence its entirety. This can also include changes to BNCL). abiotic factors insofar as they represent key elements for the conservation objectives.

Environmental Assessment Berlin’s Guide for Urban and Landscape Planning 33

Options for avoidance and minimisation include, among others, changes to the dimensioning of

buildings; optimising the timetable for building

works (e.g. to avoid birds’ breeding seasons); using more environment-friendly building procedures or the use of mechanisms to reduce impairments (e.g. immission control planting,

crossing aids).

2.7 Results of the Assessment In cooperation with the supreme authority for conservation and landscape management the government authority in charge of the procedure formulates the results of the assessment and reaches a conclusion regarding the impact of the plan or project – it is either negative, and thus inadmissible, or neutral/positive, and thus admissible. In the case of planning establishment procedures and permits with a concentration impact a conclusion is sufficient. Fig. 17: FFH site Schloßpark Buch 2.6.4 Measures of Avoidance and A project or plan is particularly inadmissible if it Minimisation could have significant impairments to those Within the scope of a Following conclusion of the impact components of a Natura 2000 site which are key preliminary NIA 2000 prediction, the NIA 2000 study compiles for the conservation objectives or protection assessment regarding measures of avoidance and minimisation purposes – either individually or in combination (‘damage-limitation measures’). If negative changes to the system of with other projects or plans (Sect. 16(2) BNCL) consequences for the conservation objectives

ditches it was possible to of a protected site can be avoided or avoid significant significantly limited, this can result in the 2.8 Assessment of Exceptional Circumstances impairments to the effects falling below the significance If the NIA 2000 comes to the conclusion that the threshold. There is a clear differentiation project or plan will give rise to impairments and is habitat. between these measures and coherence thus inadmissible then a subsequent special protection measures (FISCHER-HÜFTLE assessment can examine whether there is still any 2003; Chap. 2.9). other possible way of approving the project or plan. Two steps are required for this: 1. assessment whether there are reasonable alternatives, 2. assessment of the exceptional circumstances.

34 Environmental Assessment Berlin’s Guide for Urban and Landscape Planning

Following selection of the alternatives to be If, in the case of a project giving rise to assessed (possibly as early on as the time significant impairments to a site with priority when the scope of assessment was defined), habitats or species, the imperative exceptional the assessment of alternatives catalogues and reasons do not exist and the project should still assesses impairments and compares them be carried out despite this, an opinion from the with the original solution. The assessment of European Commission must be obtained. This alternatives ends with a conclusion regarding shall be obtained by the competent authority whether reasonable, acceptable alternatives via the Federal Ministry for the Environment, exist or not. The next step, assessing the Nature Conservation and Nuclear Safety. The exceptional circumstances, is only embarked Commission has issued a form detailing the upon if proof can be presented that there are information required in such a case (EURO- no other reasonable alternatives which will PEAN COMMISSION 2000, Annex IV). The give rise to less serious impairments to Commission’s opinion must be taken into

Natura 2000 sites. Proof of these consideration. circumstances must be provided by the project proponent and/or the government Fig. 18: Osmoderma eremita, authority presenting the plans. a priority species from

Annex II of the FFH-CD

Exceptional admissibility is only possible if: • the proposal is in the public interest, • this interest is overriding, • and outweighs those NATURA 2000 interests which are affected (Sect. 16(3) 1st sentence BNCL).

If there will be significant impairments to 2.9 Designing Coherence Protection Measures priority species or priority habitats on the site If it is planned to approve a plan or project concerned, the project or plan may only be despite its significant impairments to a Natura pursued and/or approved if the imperative 2000 site, all necessary measures must be considerations which are raised also fulfil the taken to ensure the continued coherence of the following criteria: NATURA 2000 network. If this is not possible • They are related to human health, public then the proposal shall be deemed safety – including national defence and protection of the civilian population – or inadmissible. • the project or plan will have (additional) beneficial consequences of primary importance for the environment (Sect. 16(4) BNCL).

Environmental Assessment Berlin’s Guide for Urban and Landscape Planning 35

The following are examples of measures: • measures within the site affected which were not in any case planned within the context of the

relevant conservation objectives,

• spatial expansion of a site, • creation of new habitats in another Natura 2000 site or their expansion.

In exceptional cases an application for the addition of a site that is suitable for compensation into the

NATURA 2000 network with the carrying out of

additional enhancing measures shall also be considered to be a coherence protection measure. If measures are carried out on sites which were not previously part of the NATURA 2000 network a (retroactive) registration of these sites as a Fig. 19: Brimstone butterfly component of the network is required. on a Carthusian pink The coherence protection measures will be detailed by the project proponent or the authority proposing the plan in the NIA 2000 In many cases, a proposal for which a special study; assessed and stipulated by the authority assessment in accordance with FFH law is carried managing the procedure in cooperation or out also involves intervention in nature or consultation with the supreme authority for landscape. The coherence protection measures and conservation and landscape management. the compensatory and substitute remediation Carrying out of the measures shall be by the project proponent (Sect. 16(5) BNCL). measures as stipulated by intervention regulations must then be designed in such a way that they are The type and extent of these measures shall be as congruent as possible (Sect. 16(6) BNCL); the related to the adversely affected requirements for coherence protection measures habitats/species within the same bio- must be complied with. Measures by the habitat geographical region. Complete functional association may possibly also support the compensation will be required. The measures coherence of the NATURA 2000 network. must be stipulated prior to approval of the proposal and are binding. As a general matter Lastly, the European Commission shall be of course they must be implemented before informed via the Federal Ministry for the any damage is done, since the overall status Environment, Nature Conservation and Nuclear must be preserved at any given time. Safety of the measures taken (Sect. 16(5) BNCL). A European Commission is also available for this purpose.

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3. Environmental Assessments in Compliance with the German Federal Building Code 3. Environmental Assessments in Compliance With the Environmental Impact Assessment Act and the German Federal Building Code sections in the Environmental 3.1 Definition of Terms Impact Assessment containing Environmental Impact Assessment technical data in the form of text (EIA) is anchored in the Environ- and charts are called the Environ- mental Impact Assessment Act mental Impact Study or Environ- (EIA Act). As a rule, it is under- mental Impact Analysis. These taken in the course of the process expert opinions provide infor- which culminates in the final mation and assist in the decision decision on the proposal’s approv- making process. In the case of the al. Prior to the commencement of Strategic Environmental Assess- the approval process, preliminary ment and Environmental Assess- Fig. 20 Geographical area of ment in regional planning and application of environmental legal decisions must often be taken, provisions programmes established and plans urban land-use planning, the • EU Council Directive on the approved, which, for example, results of the Assessment are Environmental Impact of specific restrict the location of the project, presented in an Environmental public and private projects At this level, the Strategic En- Report. vironmental Assessment (SEA) and the Environmental Assessment 3.2 Background, Objectives are scheduled in urban land-use and Legal Principles planning. The Strategic Environ- In 1985 the European Directive on mental Assessment is, likewise, Environmental Impact Assessment regulated by the Environmental in respect of certain public and Impact Assessment Act, and the private projects was passed. In Environmental Assessment is 1990, this Directive was imple- regulated by the German Federal mented in Germany via the En- Building Code. The issues to be vironmental Impact Assessment assessed at this level are still Act (EIA Act). The EIA Act was relatively open to amendments, supplemented nationally by the less concrete and usually exhibit a General Administrative Regulation larger spatial reference. The term for Implementation of the Environ- • Environmental Impact Strategic Environmental Assess- mental Impact Assessment Act, by Assessment Act (EIA Act) ment is used for the assessment of Regulations in specialist legislation plans and programmes in the on this area and, in Berlin, by a • General Administrative sectoral planning field, while the State Law. In the year 2001, the Regulation on Environmental term Environmental Assessment is European Union extended the Impact Assessment used in relation to plans and pro- scope of the Assessment to include grammes in the regional planning plans and programmes by issuing and urban land-use planning areas. an additional Directive (Directive In this guideline, “Environmental on the Assessment of Environ- Assessment” is used also in a mental Impact of Certain Plans and wider sense as a generic term for Programmes – so-called Strategic the other instruments of Environmental Assessment). In the assessment. case of sectoral planning it is implemented at German Federal level The term Assessment (e.g. En- via the amended Environmental vironmental Impact Assessment, Impact Assessment Act (2005) and Strategic Environmental Asses- the corresponding specialist legis- ment) encompasses all required lation in this area. For regional procedural steps. These include, planning and urban land-use plan- for example, participation of public ning the Directive on Strategic • Berlin Environmental Impact authorities and the wider public. Environmental Assessment was Assessment Act The procedural steps of Environ- integrated into the Regional mental Assessments are integrated Planning Act and the German into the relevant approval process Federal Building Code by the or development planning process European Law Adaptation Act: prescribed by legislation in this Construction Sector (2004). Adap- area (e.g. planning approval tation of the specialist legislation at process) which serves as the German Federal State Law level to process undertaken by the approval the specifications of the amended body. Assessment of the admis- Environmental Impact Assessment sibility of the plan or project is Act is currently underway. carried out by the approval body responsible in each case. The

38 Environmental Assessment Berlin's Guide for Urban and Landscape Planning

The aim of Environmental Impact 3.3 Environmental Assessments in Assessment and Strategic Compliance with the Environmental Assessment is ef- Environmental Impact Assessment fective preventative environmental Act (Strategic Environmental protection. In this context, the im- Assessment and Environmental pact of certain plans, programmes Impact Assessment) and schemes should be ascertained, In this section, Environmental described and evaluated in a timely Impact Assessment (EIA) and and comprehensive manner, and Strategic Environmental Assess- the results of the Environmental ment (SEA) are explained. Annex Assessments considered as early as 4.3 contains tables with the Guide- possible in relation to decisions on lines which must be observed the approval of schemes, or devel- during EIA or SEA in sectoral opment of or amendment to plans planning. Environmental Assess- and programmes. ment in urban land-use planning is presented in Section 3.4. In addition to many commonalities, EIA and SEA also reveal a number of variations.

Table 2: Variations between SEA and EIA (Selection) Strategic Environmental Assessment Environmental Impact Assessment Plan- and Programme Level Project Level scheduled at an earlier stage of the Decision- or scheduled at a more advanced stage of the Decision Process Planning process as a rule, broader scope of analysis, lesser degree of detail as a rule, narrower scope of analysis, higher degree of detail relevant questions for analytical framework and assessment: relevant questions for analytical framework and assessment: Whether or not? For what purpose? What? How much? Where? How? Where specifically? Concerned primarily with objectives and preventative Avoidance and reduction of concrete impacts environmental protection Subject of the assessment (planning) even more open; more Subject of the assessment (project) more concrete; small fundamental, strategic amendments still possible amendments possible Assessment of alternatives Assessment of possible alternative solutions Presentation of monitoring measures in the environmental - report Assessment carried out completely by official bodies Environmental Impact Analysis carried out by the proposal body Inspection of the environmental report by the official body Evaluation and summary presentation of the environmental impacts by the official body Publication of the plan or programme, the monitoring measures Publication of the decision and the justification and a summarising explanation

39 Environmental Assessment Berlin's Guide for Urban and Landscape Planning

relevant for this type of proposal is exceeded. The requirement for an assessment is also triggered when the proposal, or amendment or extension to the proposal, in conjunction with other projects reaches or exceeds the limitation (“cumulative proposals”).

In order to ascertain whether or not there is a requirement for an SEA in the case of some plans and programmes, Annex 3 Number 1 of the EIA Act may simply be consulted. This Annex lists those plans Fig. 21: Scope of application and programmes which must gen- State Forests Act erally (obligatory) be submitted to 3.3.1 Scope of an SEA. An SEA requirement also 3.3.1 Scope of Application exists if an FFH 1-Impact Assess- The necessity for an Environmen- ment must be carried out on the tal Impact Assessment or Strategic respective plan or programme Environmental Assessment is (Sect. 14c of the EIA Act). The fundamentally regulated by the primary objective of this is to Environmental Impact Assessment ensure that FFH-Impact Assess- Act (Sect. 2, 3, 14a-o EIA Act and ments are aligned with the more Annexes). In order to check wheth- extensive Procedural Requirements er or not there is a requirement for of the Strategic Environmental an assessment to take place, it is Assessment, e.g. in relation to necessary to consult the list of public input. plans and programmes requiring Strategic Environmental Assess- For some types of plans and pro- ment (Annex 3 of the EIA Act) as grammes, the requirement for an well as the list of projects subject assessment must be clarified by a to Environmental Impact Assess- preliminary assessment (Screen- ment (Annex 1 of the EIA Act). In ing) (Sect. 14b of the EIA Act, addition, the relevant specialist Section 3.3.4). In Annex 3 No. 2 of legislation in this area (e.g. Ger- the EIA Act, plans and pro- man Federal Emission Protection grammes are listed in relation to Act) is applicable. In Berlin, the which it is essential to undertake a obligation to undertake an assess- preliminary assessment in order to ment is regulated by federal assess whether these fix the limits specialist laws such as, for exam- for the approval of subsequent pro- ple, the Berlin Roads- and State posals which are subject to an EIA. Forests Act. In this case, there is an obligation to undertake a Strategic Environ- Table 3 contains an excerpt from mental Assessment. Annex 1 of the EIA Act and illustrates the system which must In addition, plans or programmes be used to decide whether the which are not listed in Annex 3 of intended proposal constitutes a the EIA Act, but which project requiring a general EIA or nevertheless fix the limits for whether a preliminary assessment proposals which require an EIA, of the individual case, also called must be subjected to preliminary Screening, is required initially. assessment. Minor adjustments to Differentiation is made between plans or programmes, or if they the general preliminary assessment specify the use of smaller areas at and the preliminary assessment local level also constitutes a fur- based on the location. An “L” in ther case where preliminary exam- column 2 indicates that there is a ination is required (Sect. 14d(1) requirement for an EIA as stipu- EIA Act, additional cases see lated under Federal State Law. An PETERS & BALLA 2006). In the EIA must also be carried out in the case of certain plans and case of amendments and exten- programmes, it must still be sions to proposals requiring an clarified to some extent at Federal EIA. The requirement to undertake an EIA is triggered when such an extension means that the limitation 1 Flora-Fauna-Habitat 40 Environmental Assessment Berlin's Guide for Urban and Landscape Planning

State level which circumstances assessment (Sect 2(5) EIA Act). of a legislative process. Pro- necessitate an obligatory SEA The obligation to undertake an grammes by companies or parties (SANGENSTEDT 2005). assessment is, however, restricted are not fundamentally subject to an to such plans and programmes obligatory SEA (Sect. 2(4, 5) of Essentially, amendments to plans which are devised by an official the EIA Act). and programmes are also subject to body, government or in the course

Table 3: Specific proposals necessitating an EIA ( Example from Annex 1 of the EIA Act) No. Proposal Column 1 Column 2 1.1 Erection and operation of a plant for the No. = Number of the Proposal in the EIA Act production of electricity, steam, domestic warm water, process heat or heated exhaust Proposal = emissions through the use of fuel in a Designation of the proposal in the EIA Act combustion installation (such as a power station, heating power station, gas turbine, X (in column 1) = internal combustion engine, other combustion Proposal is subject to an plants) including any steam boilers belonging EIA

thereto, with a firing thermal capacity of: A (in column 2) = 1.1.1 in excess of 200 MW X General preliminary assessment 1.1.2 between 50 MW and 200 MW A of the individual case

1.1.3 20 MW to under 50 MW in the use of S S (in column 2) = domestic heating oil EL, methanol, ethanol, Preliminary assessment of the plant oils in their natural state or plant oil individual case depending on location methyl esters, crude gas in its natural state, liquefied petroleum gas, gas from the public L (in column 2) gas supply or hydrogen, with the exception of EIA as stipulated by Federal internal combustion engines for drilling State Law

installations and emergency back-up generators 17.2 Clearing of woodland as defined in the

German Federal Woodland Act for the purposes of conversion to another type of land use with: 5 For the purposes of easier legibility subsequent reference will mostly be 17.2.1 10 ha or more woodland X to Plans (instead of “plans and 17.2.2 less than 10 ha woodland L programmes”)

41 Environmental Assessment Berlin's Guide for Urban and Landscape Planning

3.2.2 Overview of the Process Environmental Impact Assessment encompasses all sanctions, author- Sequence are integrated into the relevant isations, licences and permits The process for implementation of legal sectoral planning process for regulated by public law. The an SEA or an EIA is conducted by the development of a plan or the implementation of a planning the official body which is also re- approval of a proposal. This assessment procedure is regulated sponsible for the decision approv- means, for example, that documen- by the German Administrative ing the proposal or the develop- tation on the environmental Procedures Act Sect. 72-78. The ment of the plan. In cases where analyses together with the other planning assessment authority approval is required from a num- documentation relating to the makes a decision in the Planning ber of official bodies, Berlin’s EIA proposal is displayed for public Approval Notice with regard to the Act governs primary responsibility inspection. The relevant type of approval of the proposal; it can for the procedural steps of the EIA. process for the approval of a regulate requirements and con- An important procedural compo- proposal and additional specific ditions in the auxiliary clauses. nent of the EIA and the SEA is the procedural requirements are participation of official bodies and regulated by the corresponding When a decision is taken in respect the general public. Participation is specialist legislation (Annex 4.2 of the admissibility of a proposal – organised by the official body con- contains an overview). even within the context of a ducting the process. The adjacent number of processes – the partial table shows the procedural steps A decision is made within the assessments undertaken in the initially as an overview. framework of the planning assess- course of these processes must be ment procedure in relation to many combined into an overall analysis 3.3.3 Process Undertaken by sectoral planning projects – e.g. of all environmental impacts. the Approval Body streets, railway lines and waste dumps. The planning approval The processes of Strategic En- notice has a concerted effect i.e. it vironmental Assessment and

Table 4: Strategic Environmental Assessment and Environmental Impact Assessment process sequences (simplified*) Implementation of the Planning Process Determination of obligation to undertake an SEA or EIA If applicable, individual case assessment (Screening) on the basis of Annexes 1 or 3 No. 2 to the EIA Act for certain projects or plans and programmes, see Section 3.3.3 above Preparation of a draft in relation to a plan or programme If applicable, determination of the scope of analysis (scoping) In the case of EIA, on application by the body responsible for the proposal or decision by authorities, obligatory in the case of an SEA, see Section 3.3.5 below Preparation of the Environmental Report or the Environmental Impact Study Consultation Phase Consultations Participation of authorities and general public, universal participation Additional Process Consideration of the Environmental Report (the Environmental Impact Study) and the results of the consultations completed during the decision making process Publication of the decision and making available relevant information See Section 3.3.8 below Monitoring (only within the context of a Strategic Environmental Assessment)

* (BMU 2 2004, modified)

2 Bundesumweltministerium = Federal Ministry of the Environment 42 Environmental Assessment Berlin's Guide for Urban and Landscape Planning

3.3.4 Content and Sequence of the Preliminary Assessment (Screening) Should a Screening be required (see Section 3.3.1), it takes place before the actual EIA or SEA process. The authorities conducting the process – if applicable with the participation of other authorities – carry out a rough assessment to appraise whether the proposal may have a significant environmental impact. The Prelimi- nary Assessment must remain within its limitations in respect of both the depth of analysis and the timeframe, and should be carried out as quickly as possible. The proposal body provides particulars on the proposal in question and passes on information necessary for the assessment of an EIA requirement to the authorities responsible for making a decision on Thus it is essential in practice to consider also the the requirement for such an proposal’s characteristics during the preliminary Fig. 22: Construction of the Federal assessment. Motorway BAB A113 in Rudow- assessment concerning location, where this applies Altglienicke, Berlin to the relevance of changes to the environment The obligation to undertake an (HARTLIK et al. 2001). During the Screening assessment of the proposal or plan is process, it must also be examined whether a determined by the Screening process significant environmental impact is brought about with the aid of criteria which are by coactions (cumulative effect) with other listed in Annexes 2 and 4 of the EIA proposals thereby rendering the proposal in Act for EIA and SEA Screening. The question liable to an Environmental Impact Screening criteria for an EIA relate Assessment. to the features of the proposal, the location, and the nature of any pos- In order to establish whether the plans are subject sible impact. These criteria are to an SEA, an appraisal is made as to whether the thoroughly checked during the gen- plan or programme might have significant eral Preliminary Assessment. By environmental impacts. The EIA Act contains contrast, during the Preliminary criteria in Annex 4 for the purposes of this Assessment in relation to location, appraisal. The impacts of plans only take effect to only the criteria which relate to loca- some extent indirectly, namely only when the tion need be consulted (Annex 2, specifications of the plan are firmly established at Number 2 of the EIA Act). Proposals subsequent planning levels. Therefore, it must be which are subject to the regulation examined as to whether the plan fixes the limits for concerning location are those of a subsequent proposals which are liable for an EIA lesser size or capacity and where a (Sect. 14b(1, 2) EIA Act in conjunction with significant environmental impact is Annex 3 of the EIA Act). Liability to an EIA can only to be expected if the area likely be avoided if avoidance- and minimising measures to be affected is particularly sus- are scheduled which clearly preclude any negative ceptible to such an impact (Sect. environmental impact. 3c(1) of the EIA Act). Susceptibility may, however, only ever be specified The result of the preliminary assessment is in relation to specific impacts. produced in written format. This illustrates com-

prehensibly the analysis of the criteria and the reasons for the overall decision. The result is also made available to the public. Should the preliminary assessment demonstrate that the EIA / SEA may be omitted, notification of this must be given.

3.3.5. Defining the Scope of the means of scoping, it is possible, at Assessment (Scoping) an early stage, to work towards the The objective of scoping is early avoidance of multiple assessments clarification and approval of the or duplication of work. This is scope, level of detail and methods of particularly significant in the case of the documentation required for the tiered decisions, i.e. if, for example, environmental assessments. By an approval decision with an EIA is

43 Environmental Assessment Berlin's Guide for Urban and Landscape Planning preceded by a plan subject to an The term scope of analysis com- taken into account that any impacts SEA. In this case, advice must also prises the area in which assessments on various types of protected prop- be given during the scoping process should take place (where), as well as erty have varying spatial ranges. as to which environmental impacts what is to be assessed and how. The the assessment should focus on, at contents to be included in an en- The responsible authority sets the which level (so-called stratification). vironmental impact study or an scoping deadline. In addition to the Scoping is implemented within the environmental report are generally authority leading the process and the framework of an Environmental regulated by the EIA Act (Sect. 6 or proposal body, other participants are Impact Assessment if the proposal 14g of the EIA Act, Section 3.3.6). those authorities the remit of which body requires it or the responsible The content and the scope of the is affected by the proposal (Sect. authorities deem it expedient (Sect. Environmental Impact Study or the 14f(4) EIA Act). In addition to the 5 EIA Act). In the case of a Strate- environmental report must be planning office normally assigned, gic Environmental Assessment, this substantiated for each individual additional experts and representa- procedural step is always carried out case. In defining the scope of tives of recognised nature- and as is, incidentally, also recom- analysis, the intention must be that environmental protection alliances mended for the EIA (Section 2). this also includes the area of alter- may be invited to participate (cf. native location and potential com- EIA Administrative Procedures). pensation measures. It must also be

Table 5: Approval of the scope of analysis Questions for discussion during the scoping • Which evaluation criteria should be process applied? • What are the features and factors of • Which assessment criteria should be used? the proposal? • What are the requirements for the • Are there planned or existing preparation of the results of the analysis proposals or partial authorisations, (cartographic, textual)? plans or programmes which must be • How can duplicate analyses be avoided or included for consideration due to analyses be harmonised? possible cumulative effects? • Do previous plans or programmes exist in • Which alternatives and variants must which environmental impact was examined be considered and must be assessed? at a higher level? • How must the area for assessment be defined? In the case of tiered decisions: • Which types of protected property are • To what extend can the EIA be limited to likely to be affected? additional or other significant • What data and information is available environmental impacts as well as concerning the condition, vulnerability developments and updates? (Stratification) and further development of the • Where a plan or a programme is protected property in the area, and concerned: which approval processes who can provide this; which data must subject to an EIA substantiate its contents? be collected? • Which environmental impacts can best be • Which analyses should be undertaken examined for their main points at which within which appropriate timeframe, level? and with which generally recognised • Which questions are relevant to the analytical methods? decision at the present level? • Which timeframes must be observed during the analyses? • Which specialist legislation and directives must be adhered to in the case in question?

44 Environmental Assessment Berlin's Guide for Urban and Landscape Planning

In preparation for the scoping deadline, the Figure 23: For the street proposal body (in the case of the EIA) or the construction Groß-Berliner planning authority (in the case of the SEA) Damm (Treptow-Köpenick, draws up a draft for the anticipated scope of Berlin) the limit of the area analysis. It is the task and duty of the partici- for analysis was determined in relation to the building pating official representatives to make structures available any accessible data and information sources which may be used for the analysis. Thanks to the comprehensive planning principles in Berlin, a considerable amount of information and data is already available, which does not need to be collected a second time (e.g. Environmental Atlas of Berlin, Landscape and Species Protection Programme for Berlin, Annex 4.1). It is also frequently possible to use analysis results from other planning processes.

Table 5 provides a point of reference for approval of the scope of analysis. The results of the scoping process, in the EIA, lead to the responsible authority “Informing the Proposal Body of the anticipated scope of analysis”. In the case of the SEA, the scoping process culminates in the establishment of the scope of analysis including the extent and degree of detail of the data to be incorporated into the environmental report. Individual amendments to the scope of analysis – e.g. in 3.3.6 Identification, Appraisal and defining the scope of analysis – should still Depiction of the Environmental Impacts remain a possibility in the continuing process. in the Environmental Impact Study or the Environmental Report Notification issued by the authority In the course of an Environmental Impact concerning the documentation to be provided Assessment, the body submitting the concludes the scoping process. proposal is obliged to identify any environmental impact brought about by this proposal and to present these in an Environmental Impact Study (EIS). The EIS must then be submitted together with the other documentation relating to the application to the authority leading the process. In the case of a Strategic Environmental Assessment, it is the responsible authority which identifies and appraises the environmental impact of its plan. This is presented in an environmental report.

45 Environmental Assessment Berlin's Guide for Urban and Landscape Planning

3.3.6.1 Requirements Regarding the environmental report. The material implementation of

3 Contents of an Environmental Impact same or further material requirements respectively are Assessment and an Environmental Report dealt with hereunder in more detail.

The German Environmental Impact Assess-

ment Act contains requirements regarding the In the context of the studies the impacts are determined that may arise from a project or plan (which influence documents which the operator of a project parameters inherent in a project or plan or programme requiring an environmental impact assessment or strategic environmental study has to submit. result in which impacts?). The study programme may The documents may consist of several expert vary, as the study is to be adapted specifically to the reports but these ought to be consolidated into case in question – the scoping serves in this regard. one document (environmental impact assessment or environmental report respectively). If it is evident or becomes apparent by “initial exam- Table 6 contains a comparison of the statutory ination” that e.g. no impacts on cultural assets are to be requirements regarding the contents of an feared , this need not be dealt with further in the

environmental impact assessment and an environmental impact assessment or in the environ-

mental report. Dispensing with same should, however,

also be documented. The study may also concentrate on such environmental impacts that were not or were not adequately investigated concretely in previous studies or for the current planning level.

If an environmental impact assessment is carried out

because a project has “grown into” the obligatory

environmental impact assessment through being

expanded, then not only the impacts of the expansion but also those of the existing plant must be considered (Sect. 3b(3) and Sect. 3e German Environmental Impact Assessment Act).

A general state of knowledge is to be assumed in the case of the investigations and the generally recognised study methods are to be applied. The type of process, the methods used (“technical processes”) and encountered difficulties are to be indicated.

Fig. 24: As part of the traffic project “German Unity” no. 17, the environmental impact study was also an integral part of the planning permission process in the case of the new construction of the Charlot- tenburg lock.

46 Environmental Assessment Berlin’s Guide for Urban and Landscape Planning

Table 6: Statutory requirements regarding the contents of an environmental impact study and an environmental report pursuant to an environmental impact assessment Environmental impact study (Sect. 6 German) Environmental report (Sect. 14g German Environmental Impact Assessment Act) Environmental Impact Assessment Act)

Description of the Description of the project with details of the location, Brief presentation of the content and the most important type and scope, and plot and land requirement. (Description of aims of the plan or programme and the relationship project or of the plan / type and scope of the envisaged to other relevant plans and programmes.. programme emissions, the waste, the waste water accruing, the use and constitution of water, soil, nature and landscape, and details on other consequences of the project which may give rise to significant adverse environmental impacts)*

Description of the environment and its component parts Presentation of the environmental protection aims Description of in the impact area of the project, taking into consideration applicable to the plan or the programme and the way that the environment the general state of knowledge and the generally these aims and other environmental considerations recognised study methods, and details on the population were considered in elaborating the plan or programme. in this area, insofar as the description and the details Presentation of the features of the environment, of the are necessary for determining and evaluating significant current state of the environment and its presumed adverse environmental impacts of the project, and development in the case of non-implementation of the furnishing them is reasonable for the operator of plan or programme.

the project. Indication of the current environmental problems of

significance for the plan or programme, in particular

the problems that relate to ecologically sensitive areas

pursuant to no. 2.6 of the German Environmental Impact Assessment Act, Annex 4.

Presentation of Description of the envisaged significant adverse Description of the envisaged the impacts environmental impacts of the process, taking into consid impacts on the environment. eration the general state of knowledge and the generally recognised study methods.

Presentation of Description of the measures with which significant Presentation of the measures that are planned in order the measures adverse environmental impacts of the project are to avoid, reduce and insofar as possible balance out avoided, reduced or, insofar as possible, balanced out, significant adverse environmental impacts based and of possible substitute measures for major on the implementation of the plan or programme. interventions in nature and landscape that cannot be Presentation of the planned supervisory measures. balanced out, broad balancing of intervention and making good

Overview of the most important alternative solution options Presentation of Brief presentation of the reasons for the selection studied by the operator of the project, and details on the material of the studied alternatives, and a description of the alternatives selection reasons, having regard to the environmental impacts of how this study was carried out. the project

Generally non-technical summary comprehensible non-technical summary

summary

Notes on (Description of the most important features of the Notes on difficulties that arose in compiling the methodology and technical processes used [in the study])* details, e.g. technical gaps or a lack of knowledge encountered (Notes on difficulties that arose in compiling the difficulties details, e.g. technical gaps or a lack of knowledge)*

*(The details in brackets are to be given only insofar as they are required according to the type of process.) Environmental Assessment Berlin’s Guide for Urban and Landscape Planning 47

3.3.6.2 Description of the Project or of the Plan 3.3.6.3 Description of the Environment or Programme The environment or the protected commodities in Basically those features of the project or the the investigation area are presented and their plan ought to be described that may exert condition is evaluated (cf. e.g. GASSNER, WINKEL- an influence on the protected commodities BRANDT 2005 on investigating the protected of the German Environmental Impact commodities ). Assessment Act as influential factors. Protected commodities of environmental studies If a project is in question, details are to be given of the type and scope, its location • humans, including human health, and the plot and land requirement. It is to be • animals, plants and biological differentiated whether effects arise from diversity, the construction of the project, from its • soil, (structural) plant, from the operation and • water, if applicable from decommissioning the • air and climate, plant. Time aspects of influential • landscape, factors also play a role. Alternatives under • cultural assets other material consideration are described in a comparable commodities, way. • including the interaction between the above-named protected The following are included in the required commodities. information, e.g.: • area requirement, sealing the area, soil removal, excavation, landfill, In Annex 4.1 there are illustrative fragmentation, elaborations on these protected commodities • production process, and notes on information sources. • resource requirement (water, air, energy etc.), The current state of the environment is • emissions (e.g. noise, waste water, exhaust, surveyed, described and evaluated vibrations, electromagnetic fields), in relation to these protected commodities. • watercourse crossing, watercourse The investigation is to concentrate on the expansion, watercourse redistribution, probable affected protected commodities and watercourse canalisation, modes of action and be adequate to the problem. bank alterations and walling, • ground water impairment Following on from the establishment of the (drawdown of water, slack flow, actual circumstances, a material evaluation of destruction slack of the layers, the conditions is carried out. The pertaining • traffic volume. material laws and the material regulations are the basis and if applicable the relevant local If a plan is in question, its content and its aims (e.g. from the landscape programme). most important aims are presented. When using information from the environmental In addition the relationships to other atlas it should be considered that these frequently relevant plans and programmes are presented. already contain valuations and are to be checked Determinations that either unleash an impact with regard to their up to date position and the case directly through the plan or set the framework in question. for the subsequent planning and approval level are relevant above all for a strategic environmental study.

48 Environmental Assessment Berlin’s Guide for Urban and Landscape Planning

Existing environmental problems in the area 3.3.6.5 Impacts are also to be described. An environmental The impacts are forecast specific to problem is e.g. to hand if environmental protected commodities by juxtaposing quality norms specified in the area are already influential factors of the project or of the

plan with the peculiarities and the specific exceeded. The legislature emphasises in the sensitivities of the protected commodities. case of the Strategic Environmental Study specifically that when presenting environmen- The aim is to allow non-experts as well to tal problems, those connected to areas of high evaluate on this basis whether and to what ecological value – such as NATURA 2000 extent they may be affected by the areas – ought to be afforded particular environmental impacts. attention. The environmental impact study has to

Besides gathering and presenting the current clarify the type, scope, frequency and duration of the anticipated significant condition, the envisaged development of the environment if the project or plan is not adverse impacts. implemented is forecast. This prognosis is Construction-related impacts arise before specifically prescribed in the case of the and during the construction period from strategic environmental study and as a preparatory measures, preparatory building materially necessary yardstick for the work and fitting out and operating the evaluation of changes caused by the building site (building site access, project in question. composition of the plant, construction

noise etc.). 3.3.6.4 Environmental Protection

Aims Plant-related impacts are linked to The relevant environmental protection the construction plant, irreversible and aims that were specified generally and long-term (e.g. roofing and sealing with a especially for the scope of the investigation total loss of all protected commodity in question are ascertained and presented in functions, in addition devaluations caused a further work step. General aims are for the environment such as the frag- contained among others in the Berlin Nature mentation of animal ecological functional Conservation Law (BNCL) or Federal areas or of lines of sight). Immission Control Act, special aims e.g. in the Berlin landscape and species protection Impacts due to operations result from the programme, in set landscape plans, envi- plant operation, from provision and ronmental orders in the material plans of Fig. 25: Reconstruction of disposal, water and energy consumption, water, waste and emission control law and in the Northern Cross for long-distance conservation aims and protection intentions of immissions in normal operation and in the and urban rail (Berlin, protective area orders (Annex 4.1). case of malfunction. Mitte and Pankow)

Even if this is legally elaborated on further for Decommissioning-related impacts may arise the Strategic Environmental Study only, this from dismantling and recultivation work step arises also in the case of an environmen- and concern e.g. the destination of residual tal impact study, since local environmental material. Impacts from the interaction aims are to be drawn on as a yardstick in the between the protected commodities and the concurrence of several influential factors evaluation of the impacts. of the project or plan are to be considered.

Environmental Assessment Berlin’s Guide for Urban and Landscape Planning 49

Effects caused by planning that arise only upon interaction with other plans, projects or realised

projects also play a role. It is also assessed whether existing environmental problems are

aggravated or reduced and to what extent they influence the subject matter of the plan (EUROPEAN COMMISSION 2003, marg. no.

3.55, 5.24). For example, existing air impairment may be reduced by a clean air plan.

3.3.6.6 Study of Alternatives Both in the case of the environmental impact assess-

ment and the strategic environmental study, the study

of alternatives to the intended project or plan/programme is required. “Other solution options” and “variants” are also referred to, whereby more likely

basically other solutions are meant by “alternatives” and more likely various solution options for individual Fig. 26: Route variants from the environmental impact study on the In the evaluation, material laws (e.g. soil parameters of a project are meant by “variants”. The east-west route (Berlin, Köpenick) conservation act, nature conservation act, defined scope of analysis of environmental impact study objective is to optimise the plan or the project in such a route variants water supply act), statutory material norms way that as little damage to the environment as possible

200 m recommended investigation corridor (e.g. limit values of the federal immission is caused. The said alternative or variant is to be filtered control directives) and subordinate environ- out and in its implementation as few impacts as pos- mental standards (Noise Technical Instruction, sible are to arise. Air Technical Instruction, Waste Technical Instruction, DIN and specifications of the In the context of the environmental impact assessment, Association of German Engineers) are impor- alternatives or variants are investigated that relate to tant yardsticks to be considered. The other sites, other technical solutions or other dimen- evaluation of the environmental impacts in the sioning. Thus for example various route variants may context of an environmental impact study (or if be investigated in the planning of a rail power supply. applicable of expert papers in the environ- The most environmentally friendly in the case of such mental report) is still interim. A definitive linear projects is frequently a variant which bundles the evaluation by the authority heading the process planned route with already existing infrastructural also considers the findings that were gleaned routes. from the various involvements. The study of alternatives assumes special significance In the case of the strategic environmental in the Strategic environmental study, since the planning study, such an impact forecast and evaluation is more open to results at the level of plans than at the may not fall to be equally detailed. Above all project level and concern a greater area. In the case of the containment of site or route alternatives, the strategic environmental study, alternatives on benchmark figures of dimensioning and such- decisions on basics (system alternatives) are to be like are directed at here. Besides the direct considered besides technical and site alternatives, effects of a plan on the protected commodities, insofar as they move within the framework of its aims it should also become clear to what extent these decisions may impact on the subsequent levels (contextualising).

50 Environmental Assessment Berlin’s Guide for Urban and Landscape Planning

(STEIN 2005, 38). Basics questions in waste Environmental Impact Assessment Act go 6 In the case of a planning process, management about which is decided in the beyond those of the intervention regulation the term “authority for public and, if applicable, measures over and above context of a waste management concept concerns” (TÖB) is usual; it the concomitant landscape management are e.g.: Are new waste treatment plants encompasses both authorities and required? Which plant type is the most plan (Chap. 1) are necessary – such as frequently for noise protection. certain individuals who exercise a suitable for the specific situation public office. (e.g. incinerator, mechanical-biological waste “Compensatory measures” in the context of the treatment plant)? Which treatment capacities Strategic environmental study have only a ought the new plant have? (ARBTER 2004) preparatory nature due to the strategic and thus 7 The recognised nature conservation

still not very specific direction of the plan. associations are mostly involved in In the Strategic Environmental Study All the same it is to be certified that the option the same way as third parties or as the envisaged development of the of making good exists fundamentally. The total “authorities for public concerns” state of the environment is to be forecast urban compensatory concept of the landscape (transmission of documents etc.). in the case of non-implementation of and species protection programme represents the plan (Sect. 14g(2) no. 3 German in this respect a significant basis in Berlin. In Environmental Impact Assessment Act the context of a strategic environmental study, “status quo prognosis” or “nil variant”). proposals for monitoring or supervisory In the case of environmental impact measures are in addition to be submitted assessments the presentation of a so-called (Chap. 3.3.9). nil variant is also recommended. The various alternatives are juxtaposed and compared and 3.3.7 Involvement of Authorities and the evaluated for each protected commodity. Public The result presents their advantages and Several parties are involved in the process disadvantages and ranks them in an for approval or setting up the plan. order in relation to the environmental • the authority setting up the plan in impact. the case of the strategic environmental study or the operator of the 3.3.6.7 Measures project in the case of the environmental The concept of measures for avoiding, re- impact study, ducing and compensating for adverse environ- • the relevant authority for the process mental impacts are in question here. In the and normally the approving authority case of the measures contained in an environ- (environmental impact assessment), mental impact study or in an environmental • other authorities the concerns and report, material recommendations for over- scope of duties of which are affected, • and other parties (e.g. fire brigade, coming environmental consequences of the power supply companies etc.) and project or plan are in question. The measures • the public including the recognised become compulsory only if they are taken on nature conservation associations. board in the decision, e.g. in a planning per- 7 mission decision which incorporates the In the case of the strategic environmental measures of the concomitant landscape man- study, the involvement of the authorities the agement plan (LBP). Therefore the measures environmental and health-related scope of should to be formulated as specifically as tasks of which are affected, is prescribed back possible back in the environmental impact at the pre-examination of the individual case study. If applicable the estimated scope of (screening) (Sect. 14b(4) together with compensating for interventions can also be Sect.14h German Environmental Impact portrayed. It is to be noted that the protected Assessment Act). When a pre-examination has commodities of the German taken place, the result is made available to the public (Sect. 3a and 14a(2) German Environ- mental Impact Assessment Act, Sect. 10 Environmental Information Act).

Environmental Assessment Berlin’s Guide for Urban and Landscape Planning 51

In the case of scoping, the aforementioned The relevant authority makes public the decision authorities are also to be involved, experts including grounds on the approval of the project

and third parties may be included therein (Sect. 9, 14l German Environmental Impact Assess- (Sect. 5, Sect. 14f(4) German Environ- ment Act). In the case of environmental impact

mental Impact Assessment Act). The assessment processes, the notification with grounds is authorities are to provide information and put on display for viewing and this putting on display formulate requirements which concern the is publicised beforehand (Sect. 9(2) German Environ- environmental impact study or the environmental report. mental Impact Assessment Act). In the case of strategic environmental study processes the following

In the context of the involvement of other documents are displayed after prior announcement: authorities, on the basis of the environmental 1. the accepted plan or the accepted programme, impact study or of the draft environmental 2. the summarising statement report, positions are made known within a 3. the setting up of the supervisory measures (Sect. 14l reasonable time period (Sect. 7, Sect. 14h German Environmental Impact Assessment Act; German Environmental Impact Assessment Act). Chap. 3.3.9). It is to be assessed:

• whether the details in the environmental In the case of rejection of a plan or a programme, the impact study or the environmental report authority setting up the plan is free to decide if it present an adequate basis for the decision on informs the public of this. Results of the strategic Fig. 27: Scheduled discussion the project or the plan, in the context of a planning • whether and in how far the envisaged environmental study monitoring are also made permission procedure environmental impacts hinder the approval available to the authorities and the public (Sect.14m(4) or the setting up of the plan, • whether and if applicable which German Environmental Impact Assessment Act). specifications and conditions are to be set in deciding on the project or the plan (STORM, 3.3.8 Summary and Evaluation by the Authority BUNGE 1988 et seq., Sect. 7, marg. no. 17). and Taking into Consideration when Deciding

The documents are made available to the After the discussion the relevant authority works on public in the context of public display. This is the framework of the environmental impact assess- publicised beforehand locally in the usual ment of the project, a summarising presentation of the channels (Berlin Gazette and daily press). The environmental impacts and the measures with which affected parties have the option of making a significant adverse environmental impacts are to be statement in writing within a set period. If avoided or compensated for (Sect. 11 German Envi- applicable the affected parties may express ronmental Impact Assessment Act). The foundations their concerns at a scheduled discussion. In the for this are the environmental impact study which was framework of the strategic environmental submitted by the operator of the project, the positions study, such a scheduled discussion is obliga- of the authorities and the statements of the public con- tory only if statutory regulations of the Fed- cerned, and if applicable results of in-house findings. eration specify this for certain plans (Sect. 14i In a further step the authority accepts the ultimate German Environmental Impact Assessment evaluation of the environmental impacts of the project Act). In order to avoid elaborate studies of the (Sect. 12 German Environmental Impact Assessment concernment in question, and within the Act). The evaluation is to be done having regard to meaning of transparent, citizen-friendly effective environmental precaution. The summarising processes, the authority may also approve presentation and the evaluation may be integrated into general – i.e. not restricted – involvement the grounds for the decision on the approval of the (SANGENSTEDT 2005, S. 15f ). project. 52 Environmental Assessment Berlin's Guide for Urban and Landscape Planning

Available resources such as the Berlin Digital Envi- ronmental Atlas, the Landscape and Wildlife species conservation programs or the Berlin Air Quality Monitoring Network ( BLUME- Messnetz)

can be drawn upon (Article 14m UVPG). However 3 merely referencing the Environmental Atlas is not sufficient, as environmental impacts specifically relating to the plan need to be identified and where In the context of a Strategic Environmental necessary specific relationships and references must be Assessment the authorities revise the detailed. It is also acceptable to link monitoring activities to cover several plans as long as presentations and evaluations in the enough information concerning the effects of environmental report (concluding evaluation) the individual plans is provided and legal on the basis of the results from the various obligations are fulfilled (EUROPEAN involvement (Sect. 14k German Environmental COMMISSION 2003, subparagraph 8.10). Going Impact Assessment Act). In addition it prepares forward it will also be allowable for the findings in the a summarising statement for publication. reports required by the Flora and Fauna Habitats This reveals how the environmental concerns Directive (FFH-RL) and the Water Framework were incorporated into the plan and how the Directive to be used. Berlin’s municipal planning is an important element of SEA Monitoring as it environmental report and the positions details and assesses the status of protected and submissions were taken into consideration. environmental assets and updates assessments for The reasons why the accepted plan was changes in status. Article 19a of the UVPG chosen after weighing up the examined stipulates that landscape plans must be adapted to alternatives are also to be presented. take into account the Environmental Assets Catalogue .

3.3.9 Monitoring (Surveillance of Significant The monitoring process should result in the Impacts) for Plans and Programmes recognition and disclosure of environmental impacts Material environmental impacts resulting from not identified in the Environmental Forecast planning implementation are to be monitored (Article included in the plan’s Environmental Report. Here it 14 UVPG). The authority responsible for the SEA is is particularly useful to ascertain where uncertainties charged with carrying out monitoring activities. These in the impact forecast arose. Unforeseen activities are detailed in the environmental report and consequences can also arise when planned avoidance form the basis for the decision on whether the plan is accepted. The sectoral planning authority is obligated measures are not implemented (BUNZEL 2005; to contribute to costs relating to monitoring activities, BARTH, FUDER 2002; VON ZAHN 2004). It thus relieving the responsible authority (SCHUBERT should also be examined if anticipated positive 2005, STÜER, SAILER 2004). impacts actually occurred. These relate for example to the implementation of measures to protect, Monitoring aims to identify unforeseen and negative preserve and develop land, nature and the environmental impacts early on (Article 14m(1) countryside, noise protection provisions and also UVPG), allowing appropriate remedial measures to be compensatory and substitute remediation measures . undertaken and future plans to be optimised.

The monitoring plan should specify • what factors are to be monitored , • the area to be monitored • when the first monitoring activity or alternatively the internvals at which monitoring will take place (cf. EUROPEAN COMMISSION 2003, paragraph 8.4).

Environmental Assessment Berlin's Guide for Urban and Landscape Planning 53

The timing of the first monitoring activity should be based on Examples of suggested remedial measures might be: objective criteria appropriate for the particular plan. It should • higher quality implementation of initiatives in the also be borne in mind that early detection of environmental plan relating to the environment, impacts and proactive implementation of remedial measures • initiation of further measures, are the primary aims of the monitoring process. At least for • adaptation of the plan or programme examined, longer term plans a single incidence of monitoring is not • control mechanisms/countermeasures in the form of enough, checks must be performed on several occasions. The subsequent approval procedures(BARTH, length of time between monitoring should be determined FUDER 2002). based on the duration of the plan, its position in the overall planning system and the content of the plan itself. Table 7 The results of the monitoring activity should be made lists some questions which can be used as an available to the public (Chap. 3.3.7).

overview to guide the monitoring activity . 3.3.10 Strategic Environmental Assessment and Landscape Planning Table 7: Design of monitoring measures Landscape planning should, on the one hand, serve to

inform the environmental audits of other plans. It Content Timing should, however, also itself be subject to a strategic • What aspects should the monitoring • When should the first monitoring activity activity concentrate on? take place? environmental assessment. • Which impacts are significant? • Is there a need for further checks or more In Berlin, landscape planning is classified as follows: monitoring activity later on? • the Landscape Planning Programme at a state level • In which areas can impacts be • When/at what intervals should this (LaPro), and Relatively clearly attributed to take place? • Landscape Plans for zones in the municipal area. the plan being examined? Henceforth, all protected environmental assets detailed in • Which impacts are associated with Organisational Article 19a of the Environmental Assessment Act (UVPG) particular uncertainties as regards • Which existing surveillance and reporting will be audited when deploying or changing the Landscape developments forecast for the future? mechanisms can be utilised? Programme of landscape plans, namely: • Which areas of the plan or programme • How can the integration of/compliance 1. humans, including human health, animals, plants and leave scope to allow for conclusions with relevant directives, etc., be effectively the biodiversity of the ecosystem, to be relatively easily drawn from and efficiently coordinated (e.g. monitoring in 2. soil, water, air, climate and landscape, monitoring activity? acc. with the Water Framework Directive, 3. cultural and other assets, as well as environmental observation acc. to Art. 12 4. the interaction between the aforementioned protected Federal Nature Conservation Act assets. • What are the activities involved affecting the environment where Management implementation is inadequately ? • Does it make sense to link the monitoring monitored? activities of this plan with another plan, program or other project(s), either in terms of timing, organisation or content?

54 Environmental Assessment Berlin's Guide for Urban and Landscape Planning

Environmental Audits should draw on the status of the Fig. 28: Soil poductivity * environmental stocktake in landscape planning. The relating to natural soil function and archive function nature conservation and landscape management objectives specified in the Landscape Planning high Above average productivity across the Program and in landscape plans (factual content of five soil functions (Total score >10) objectives as well as areas affected) represent valuable or high productivity in more than one and relevant yardsticks for environmental audits of soil function other plans . medium Medium productivity across the five The UVPG stipulates that a Strategic Environmental soil functions (total score 9-10) or Assessment (SEA) must be performed for both the high productivity in one soil function Landscape Planning Program and landscape plans

(Annex No. 3 of the UVPG). The intention is to introduce a preliminary audit of individual cases in low low productivity across the five soil

Federal Land legislation so that there will only be a functions (total score <9); high productivity not need for minor changes to landscape planning or only 3.4.1 Basic Legal Principles found in any of the five functions utilisation of small land areas on a local level is The Federal Building Code (BauGB) stipulates the required. If the results of the preliminary audit * Map excerpt from the Environmental Atlas Map 2006-12-01 regulation and treatment of environmental impact indicate that there are no material environmental assessments in municipal development planning. impacts then in all probability an Environmental Intervention regulation (provisions governing audit will not be needed. . 8 Regulations relating to municipal intervention in nature and landscape) was integrated in development planning specific to the 1990’s and the audit of environmental impacts of The mandatory information required to comply with Article Berlin are also laid out in the Berlin projects, plans and programs was added with the 14g(2) of the UVPG must be included in the justification Law for Implementation of the adoption the “Adjustment of the German Federal document; this then replaces the environmental report . Federal Building Code, the Berlin Building Law to EU Guidelines“(EAGBau). When Guidelines for Construction conducting the Flora and Fauna Sensitivity Audit it is If there are material environmental impacts resulting from (Development Framework) and also necessary to take into account the Berlin Nature the implementation of landscape planning, these need to be in the changes to the Berlin Land Conservation Act. An overview of the specification is monitored Use Plan (RL-FNP) and also in the provided in Table 13 in the attachment . Berlin Municipal; Development

3.4 Environmental Audits in accordance with the Planning Handbook .. In Berlin the Senate Department for Urban Federal Building Code Development has issued materials explaining the An environmental audit is normally carried out when a EAGBau. An expert report with case studies and urban development plan is deployed or changed. Steps to samples is currently being prepared to include changes enforce intervention regulation and where applicable the needed in the Environmental report for the Berlin Land 8 Flora and Fauna Sensitivity Audit will be carried out at Use Plan. (RESEARCH GROUP CITY + TOWN 2005). this point. The findings will be presented in an environmental report which forms part of the justification document.

Environmental Assessment Berlin's Guide for Urban and Landscape Planning 55

Table 8: Differences between nature conservation and building law intervention regulations An environmental audit is deemed unnecessary only for simplified operations to change or deploy urban Regulation of intervention in nature Regulation of intervention in building development plans. The conditions used to determine what Conservation legislation legislation qualifies as a “simplified operation“ are regulated by

Article 13 of the Federal Building Code. To be exempt Applied to approval procedures Applied to municipal development planning from an audit the plan must also not be subject to a requirement arising from the Environmental Assessment Used in notification and permit require- Applied when urban development plans are de- Act or federal legislation and must not impinge on the ments for other specialised plans ployed, changed, added to or suspended or where protection purpose of the European ecological network 9 a regulation requires their application acc. to Art. “Natura 2000”, areas . 34(4), Cl. 1 No. 3 of the Federal Building Code. Intervention regulation should be applied for every Contribution of nature conservation to other Takes into account the interests of nature conser- change, addition or suspension of an urban development specialised plans vation and landscape management plan as part of the environmental audit. It is also required for “simplified operations“, where there is no Differentiation between avoidance, compensa- Differentiation between avoidance, compensa- environmental audit (Article 13 of the Federal Building tion, substitute remediation, consideration and tion and consideration Code). The Berlin Nature Conservation Act is the basis monetary substitute remediation for determining if a situation requiring intervention exists. Special features relating to intervention Avoidance and compensation are direct legal Avoidance and compensation under landscape regulation in accordance with the Federal Building Code consequences management consideration exist, for example : “substitute remediation“ from a nature conservation perspective is included under the term Compensatory measures are closely linked in Compensatory measures loosely linked in terms of ”compensation“ Furthermore in the area of municipal terms of function, spatial area affected, and spatial area affected and timing development planning compensatory measures may be used timing at other junctures as well as in the intervention development planning process. Additionally building legislation makes Presentation of findings in the accompanying Presentation of findings in the urban develop- provision to allow for compensation to be advanced for landscape conservation and management plan ment plan certain measures where the intervention does not occur until later on (referred to as the “Ecological Account“). Intervening party responsible for implementation/ Implementation/costs the responsibility of the The consideration of the compensatory requirements falls cost reimbursement intervening party or of municipal areas with under the area of municipal development planning. Notable options to refinance differences between nature conservation and building legislation are detailed in Table 8.

3.4.2 Scope of Application 9 As well as dispensing with The Federal Building Code requires that all urban the environmental audit, a development plans initiated after July 2004, or "simplified operation" is also incomplete as of 20 July 2006 undergo an envi- exempt from the environ- onmental audit (Article 2(4), and Article 244(2) mental report and monitoring Federal Building Code). This also applies to activity and, therefore, also additions and changes to urban development plans. from providing a summary An environmental audit in accordance with the statement (KRAUTZBERGER Federal Building Code satisfies the requirements 2004, 408). of a Strategic Environmental Assessment and an environmental sensitivity audit (Article 17 UVPG). This renders unnecessary a preliminary audit of individual cases.

56 Environmental Assessment Berlin's Guide for Urban and Landscape Planning

Floral and Fauna Habitat (FFH) Sensitivity audits are Early consultation with the public can be done to be carried out where development plans or the at the same time as consultation with the Berlin Land Use Plan are deployed, added to or authorities. (Article 3(1), Article 4a(2) Federal changed, in circumstances where it is considered they Building Code). The public is informed on the may have a significant impact on material elements of general aims and purposes of the planning, on the conservation objectives or the protection purposes different solutions under consideration and defined for a designated Flora and Fauna Habitat or also on impacts foreseen. An opportunity is bird sanctuary (Section 2.4). Legislation pertaining to given for public opinion to be voiced and bans on protected species should also be considered in discussed. the planning (Section. 1.5.7). Once the scope of the analysis has been 3.4.3 Procedure and Participation established the urban development plan including The environmental audit forms part of the procedure to the environmental report is first drafted in be followed when urban development plans are proposal form. At this stage any necessary studies deployed, changed or added to. The steps to examine are done and measures to be undertaken are the need for intervention are part of the environmental conceptualised. audit. A procedural integration of a FFH sensitivity audit and an environmental audit is not possible The second, formal part of the consultation however, since the findings of the former cannot be process with the authorities relates to the draft given the same weight as other environmental plan. The authorities generally have a month to interests.(BUNZEL 2005). The findings of the communicate their opinion on the draft. During environmental audit, the intervention regulations, and this time the authority should check information the FFH sensitivity audit can and should be presented relating to it own proposed plans or initiatives in together in the environmental report. the area and relevant information sources should be consulted for the purposes of monitoring Once it has been decided that the Berlin Land Use (BUNZEL 2005). Where a FFH sensitivity audit is Plan or a development plan will be deployed, carried out agreement must be sought from the changed or updated, it must be established to what highest nature conservation authorities for certain extent and to what level of detail the decision making decisions (Section 2.4). process is impacted. Here the proscribed early consultation process with relevant authorities comes In the second formal stage of consutation with into play (Article 4(1) Federal Building Code) All the public the draft master building plans, authorities and parties representing the public interest including the justification document and which may be impacted by the planning are can take statements of opinion on material environmental part in the consultation. The Senate Department has aspects already gathered at that date, are made compiled a list of those organisations representing available for public viewing. Notice is given at the interests of the general public which are regularly least a week beforehand in the official journal consulted. The “Berlin Material“ resources include a and also in the Berlin daily newspapers. The standard form which can be used for writing to the notification should indicate what environmental authorities . related information is available and displayed (Article 3(2) Federal Building Code ).

Environmental Assessment Berlin's Guide for Urban and Landscape Planning 57

The planning authority critically examines the Early consultation with the relevant authorities (Section 3.4.3) results of the consultation process. If new facts should be utilised to clarify and establish an opinion on the are brought to light, the Environmental Report general aims and purposes of the planning, the alternative is amended to reflect these. At the end of the process, the report contents will encompass all solutions existing and probable impacts of the planning relevant facts and evaluations. The initiative (KRAUTZBERGER 2004). If a FFH sensitivity audit enviornmental report is a cornerstone in the cannot be ruled out it is a good idea to investigate at this stage if a decision-making process (BUSSE et al. 2005). preliminary audit is required. This will enable the necessary steps to The decision is made public, and those be taken early on where necessary (Section 2.8). At this stage there is objecting to the plan are informed to what not yet a requirement to express an opinion with regard to the content extent their opinions have been taken into of the plan. account.

During the implementation of the urban If an environmental audit has already been conducted or is being development plans, significant environmental impacts are checked (also referred to as conducted in the area or in parts of the area (for example as part of 'monitoring'). zoning plans) then the findings should be referred back to when

conducting the environmental audit for the next plan (e.g. 3.4.4 Definition of the Scope and Level of Detail of the Environmental Audit development plan) and any significant additional environmental To establish the extent and level of detail impacts should be remediated (Article 2(4) Clause 5 Federal Building required for the audit, those environmental interest decisively impacted should be Code). This is allowable on condition that there have not been major identified (having done a basic analysis of the changes in the intervening time. This approach allows the assessment urban development plan), and it should be of some environmental impacts to be left to the next planning stage if ascertained what information concerning the environmental status and probable it seems more appropriate from a technical point of view to audit environmental impacts is available or is these at that point (BUSSE 2004; KRAUTZBERGER & STÜER additionally required. It is recommended that the planning authority concerned gathers 2004).However this provision should not be used improperly to delay information on the environmental situation and important appraisals in development planning, for example where a possible environmental impacts resulting from the planning at this time. (BUSSE et al. 2005). wide area is affected. The provision also applies to development plans and subsequent approval procedures. For example some If environmental stocktakes and evaluations have already been produced as part of other Immission Protection legislative questions can be left out of the initiatives, e.g. landscape plans, these should development planning audit and tackled instead as part of the also be drawn upon for the audit (Articles 2(4) approval process (BUNZEL 2005 ). Clause 6). The area to be included within the scope of the audit should not be confined to that covered by the urban development plan, since impacts affecting surrounding areas (e.g. effect on ground water or climate) must also be considered (GASSNER 2003).

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3.4.5 Content and Structure of the Fig. 29: Development plan

Environmental Report for Adlershof in Berlin,

The analysis requirements for municipal building collective compensatory planning environmental audits correspond with the measures Plan XV-68 principles in the UVPG relating to the audit of plans Wilflife park and programs since both are based on the same EU Johannisthal- legislation (Section 3.3.6). Highly detailed information Adlershof is provided in the area of municipal development planning in relation to the presentation of analysis findings and recommended actions. The appendix to the Federal Building Code includes a list of which elements must be included in an environmental report (Appendix to Article 2(4) and Article 2a Federal Building Code). The requirements are reproduced and explained below .The listing does not specify the order of presentation or implementation.

If separate expert reports are being compiled (e.g. relating to intervention, FFH-Sensitivity studies, noise In the case of proposed development plans and pollution) these should be mentioned in the town planning contracts it is possible to provide environmental report and the findings should be detailed information on the scheme and therefore incorporated into the report . the environmental influencing factors in the urban development plan. 1. a) Brief outline of content and the most significant objectives of the urban development 1. b) Outline of Environmental Objectives in plan, including details on the specifications of the relevant laws and plans which are of significant plan and data relating to location, type and scope importance for the urban development plan, and as well as utilisation of land and water involved in explanation on how these objectives and the planned initiative . environmental interests are catered for in the deployment of the plan This data is relevant for the environmental audit, since objectives and specifications and the data referred to The environmental protection objectives serve as a above can be considered “influencing factors“which can yardstick to evaluate impacts. They are derived in impact the environment. The objectives also represent a particular from the Berlin Nature Conservation Act, framework for other planning options. Designs and the Berlin Landscape and Wildlife Conservation Program specifications in urban development plans relate in or from landscape plans. In addition objectives relating to particular to the type and extent of land use foreseen . the environment are included in specific areas of legislation e.g. the Federal Act on the Conservation of Soils, the Immission Protection Act and also specialised plans like the Berlin Clean Air Action Plan. Conservation objectives and protection purposes applying to protected areas can also be considered as forming part of the objectives of environmental protection (Section 3.3.6.4).

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2. a) Description and Evaluation of environmental For example it can reasonably be assumed that light and impacts ascertained in the environmental audit noise will emanate from a public sports facility. This can according to Article 2(4) Clause 1 of the Federal have significant impact on residential areas or on particular Building Code. This should include detail on the animal species . environmental stock take relating to pertinent aspects of the current environmental status, including the The forecast for not implementing the planning serves as a environmental characteristics of the area likely to be basis for comparison to evaluate the likely impacts of materially impacted . implementation. Using this approach also highlights negative developments which are anticipated whether or not the plan is Article 1 of the Federal Building Code lists the details on implemented. In order to reach an optimal solution with the which environmental characteristics, which aspects of least possible negative impacts on the environment, a environmental status and which environmental protection comparative analysis is performed and where necessary other interests need to be considered. Accordingly the audit needs planning options are investigated. to capture the present condition of plants, animals and the countryside, of areas designated in the European ecological network “Natura 2000”, of land, 2. c) Description and evaluation of environmental water, air and climate as well as of human health impacts with information on planned measures to and cultural and material assets, depending on avoid, reduce and compensate for negative impacts the degree to which each of these is impacted. In the area of Intervention Regulation it is also Measures to avoid, reduce and compensate for negative necessary to consider the status of nature and the impacts on protected environmental assets, or environmental countryside in areas with established building interests are devised using the knowledge available (Article 1 laws, in order to properly examine the step Federal Building Code ). required in relation to avoiding environmental damage. It should be investigated as early on in Avoidance and reduction of negative impacts can be effected the process as possible whether special or particularly by reducing the land area/number of land area plots strictly protected species are present in the area affected, as well as by changing the arrangement of buildings and where development is proposed and how this open spaces and also reducing the number of floors in buildings. will be dealt with if applicable. If there are Building can be prohibited in areas where nature and the countryside are of indications that such species do inhabit the area particular value through the enforcement of a local embargo on the further investigations may be required (Chap. 1.5.7). erection of any buildings on the areas concerned. Damage to the landscape

can for example be avoided or reduced by stipulating limits on the height 2. b) Description and evaluation of environmental of building structures. By using the least possible sealing for the land the impacts.with details on forecasts for development of the surface water utilised for the receiving water course can be environment if the planning is implemented and if it is not minimised. Measures can also relate to the proper treatment of implemented . waste and sewerage, the usage of renewable energy and also This deals firstly with the forecast impact of the planning economic and efficient energy usage (Article 1 Federal Building on the state of the environment and secondly with the Code ). forecast outcome if the status quo is maintained. Probable impacts are evaluated based on influencing factors in the planning (specifications, utilisation of land and soil etc) and also the current state of the environment. With regard to some plan specifications, particularly proposed development plans, the impact forecast can be detailed in concrete terms similar to the level of detail in environmental sensitivity audits.

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The term “compensation“ in the Federal Building In Berlin,town planning contracts are often drawn upon Code also encompasses compensation in the form of to implement and finance compensation (Article 11(1) what nature conservation legislation on intervention Federal Building Code). regulation refers to as “substitute remedial measures“ (Article 200a Federal Building Code ). If the area where planning is proposed is also a habitat Notwithstanding this the sequence of stages in for one or more protected animal or plant species or a intervention regulation (Avoidance before reduction biotope as defined by Article 26a of the Federal Nature Conservation Act, it must be examined before compensation before substitute remediation) whether the planning operation will be carried out in should still be adhered to when devising measures in municipal planning development (KÖPPEL et al. such as way as to ensure that there is no influence, 2004). damage or destruction of the habitat of these protected species. The documentation provided in the To assess the extent of the compensation the “Procedure development plan contains statements pertaining to for Assessment of Cost Equivalents“ was developed to this, for example to what extent the prohibitions of deal with cases of small areas in the innercity of the Article 42 of the Federal Nature Conservation Act are

Berlin (Section 1.5.6). The compensation required affected and where applicable if exemption conditions

exist, or alternatively what compensatory measures depends solely on the specific damage to nature and the landscape involved, and is made possible by the urban can be implemented with regards to the species development plan in addition to existing building concerned (Chapter 1.5.7). legislation (Article 1a(3) Federal Building Code ). All measures are detailed in the environmental report A direct relationship between intervention and and thereby form part of the justification for the urban compensation in terms of the spatial areas impacted development plan. The Federal Building Code gives and timing is not compulsory in municipal an array of suitable ways of specifying and presenting development planning, as long as other suitable these (Articles 5 and 9 Federal Building Code). measures are compatible with town planning Compensation can be anticipated in the land use plan Fig. 30: The green corridor on development regulations and the objectives set out for through suitable design of land areas for the banks of the Spree was land use planning as well as consistent with the aims of compensation and in the development plan though the partly realised through nature conservation and landscape management. These specifications of land areas or by planning compliance with legal specifications can be given in individual cases with compensatory measures. The basis for this in Berlin is requirements for compensation reference to the land use plan or the aims and the Landscape Planning Program’s “compensatory in the district. initiatives of landscape planning. The degree of concept provisions“. The areas and specific land plots latitude allowed with regard to spatial area and time presented therein should be given priority in the areas expands the opportunities to fully compensate for of development plans, particularly when the intervention in nature and landscape. compensation will not take place in a location close to the intervention. Extensive examples of potential If it is not possible or feasible to execute full specifications which can be used in developments compensation during the duration of the intervention plans are cited by GERHARDS (2002). development plan it should be examined if suitable measures can be undertaken at another point. Compensatory measures can and should be assigned to the relevant intervention (building development plan) (GASSNER 2003, Article 21(29)). The area to be compensated must actually be capable of being improved. Compensatory measures can be implemented even before the intervention takes place and then later wholly or partly assigned to the area of land in the development plan where the intervention is anticipated.

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Land areas where compensation is to take place or Other planning options (alternatives) should compensatory measures executed can not only be assured be examined as to whether they appear through their inclusion in the land use plan and in the reasonable when viewed objectively. The specifications of the building development plan, but also examined alternatives should be consistent

through town planning contracts or through their realisation of with the objectives of the urban development

compensation by using on public open spaces. If a town plan (e.g. creation of residential space) and planning contract has been concluded as an addition to a should also normally fall within the duration building development plan the measures are then no longer period of the plan. Alternatives added during limited to those detailed in the Federal Building Code. the consultation process should also be taken Where compensatory measures are assigned to different into account. The other planning options places than intervention measures, the regional or Senate should be compared with the preferred administration can carry out the measures in place of and option/planning on a level appropriate to their at the cost of the investors or the land owners and also individual degree of importance as to what make available the land areas needed for such extent each option impacts the environment

and other interests. (BUNZEL 2005). measures (Article 135 a Federal building Code) as long as the execution of the compensatory measures Also in relation to interventions in nature and landscape one is not provided for in some other way. of the requirements falling under the area of avoidance is to look at what other plan options were considered and why the 2. d) Description and Evaluation of environmental proposed solution was chosen. impacts. Including information on the other planning options under consideration, whereby On the level of land use planning the most relevant question the objectives and the spatial area covered under is the alternative locations in the city; on the level of

development plans the area within the planning area is the master building plan is to be taken into account . considered e.g. the alternatives for arrangement and height of buildings, the location of green areas or the site Fig. 31: Environmental report development. If for example the plan area is situated in a

(excerpt ): Land Use Plan Changes Fresh Air Corridor then the various alternative options can for Berlin, Mahlsdorf have a strong influence on how the fresh air supply is impacted. Where the land use plan has as yet been implemented without an environmental audit then the location options for the building development plans should also be brought into the decision making process (BUSSE et al. 2005 p.16, BUNZEL 2005 ).

If a FFH sensitivity audit has been carried out as part of the environmental audit the investigation of alternatives included as part of the exceptions audit must give particular weight to the following factors : Appropriate alternatives that are associated with less negative impacts on the European ecological network “Natura 2000” areas cannot be rejected (Chapter 2.8).

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Detached residences evenly spaced Looser detached housing development Terraced houses City mansions on the outskirts

3. a) Following additional data : 3.4.6 Considerations in Decision-making Fig. 32: Alternative building Description of the most significant characteristics of the The environmental report, which incorporates the structures in the Land Use Plan technical process used in the environmental audit as well results of the consultation process, forms a separate (residential area type W3) as details of problems which arose when compiling this part of the justification document for the urban (SAUER 2005 ) information, for example technical gaps or missing facts. development plan. When the decision on the urban development plan is Information on the methods used in examination and undertaken the various interests involved, among them the evaluations preformed for the environmental report or environmental concerns detailed in Article 1 of the Federal the type of process utilised (“technical procedure“) and Building Code are weighed up. The findings of the problems arising where applicable serves to increase environmental audit are also considered. This is also true the transparency of the report findings . for findings resulting from implementation of intervention provisions, however is not valid for the FFH sensitivity 3. b) Description of the planned measures to audit or for the interests concerning protected species. monitor significant environmental impacts arising If the environmental audit identifies a material impact from the implementation of the urban develop- on the European ecological network “Natura ment plan. 2000”, areas and if alternative solutions are possible then there is no room for deliberation, the alternative Surveillance (monitoring) of the significant impacts of solution must be chosen. If there is no alternative the plan takes place after the set-up process of the plan solution and the interests of Nature conservation in the has been completed (Section 3.4.8). For this reason the area take precedence then the plan cannot be environmental report already includes information on implemented, assuming there are no valid grounds for the type of monitoring intended to be conducted and at exception. If necessary an opinion may be sought from what intervals it will take place . the European Commission on the validity of grounds for exception (Section 2.8). Compensatory measures to 3. c) Easily understandable general summary ensure continuity of the environment may be needed. The statement of information required . interests of particular protested species can only be superseded where there is a prospect of a dispensation, This summary statement serves the purpose of normally granted in the interests of general well being (Chap. 1.5.7). providing a quick overview of the results of the environmental audit and should be easily understood by the lay person .

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3.4.7 Summary Statement on Decision Articles 4c and 4(3) and the appendix to the Federal Once the decision on the urban development Building Code should be observed. Concrete legislative plan has been made, a summary statement considerations in relation to the requirements for monitoring explaing the decision is appended to the plan activity under the UVPG are as follows: (Article 6(5) Clause 3 and Article 10(4) in the • If other authorities are in possession of information pertaining to Federal Building Code). This is not the same as significant, in particular negative environmental impacts arising the easily understandable general summary from the implementation of the plan they are obligated statement of the environmental report supplied according to Article 4(3) of the Federal Building Code to pass in the urban development plan justification on this information to the relevant planning authority. document; this statement is issued when the • The Federal Building Code does not stipulate any requirement for the results of the monitoring activities to be made available decision-making process with regards to the to the public. However an entitlement to access the relevant urban development plan has been concluded documents exists in any case in accordance with the (KRAUTZBERGER & STÜER 2004). The Environmental Information Act (BUNZEL 2005), and also in statement lays out in brief how environmental Berlin according to the Freedom of Information Act (Chap. 4.4). interests were dealt with, what planning alternatives were examined and how the results The question of whether significant environmental impacts of the consultation with the general public and exist cannot be answered on a general level, but must rather the authorities were integrated into the plan be examined at the level of each individual case. The method (BUNZEL 2005, "Berlin Material" resources). used for defining the audit parameters is also left open for the The summary statement can be adapted to be responsible authority to decide. It can be determined on the used as a press statement. basis of location (e.g. the location or land area covered by the The intention of the statement is to enable plan), or on the basis of an objective criteria (e.g. different ranges information concerning the urban development determined by the type of utilisation involved in the plan, or the stage of plan to be accessed quickly, even when the plan realisation)or also on the basis of the frequency of activities (e.g. first process has ended. The statement is, therefore, action in Year “x“, and thereafter every “y“ number of years (Berlin made readily accessible. Material 2005). Different designs can be deployed depending on the type best suited to the different kinds of master Once the formal process has been concluded, the building plans (for example for a residential or industrial urban development plan therefore consists of the area ). The Federal Building Code permits several plans to following components: be monitored at once and allows the utilisation of existing • the plan itself, monitoring mechanisms (STÜER, SAILER 2004). • the justification document (with a separate environmental report), and an appended Remedial measures used for handling outcomes can be in two • summary statement on the decision reached different directions: On the one hand retroactive outcome (Berlin Material 2005). handling for changes to a plan or the re-evaluation of projects, on the other hand future oriented outcome handling which 3.4.8 Monitoring (Surveillance of deals with consequences for subsequent planning and Significant Impacts) approval processes (HANUSCH et al. 2005, KRAUTZBERGER The Federal Building Code obliges municipalities to & STÜER 2004 ). p monitor and control significant environmental impacts arising from the implementation of urban development plans, for Berlin this means the relevant district or the Senate Department for Urban Development. The monitoring activities should not be deemed to represent a comprehensive audit of the execution of the plan. Where not otherwise indicated below the objectives and requirements described in Section 3.3.9 are also valid for municipal development planning .

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4. Annexes

4 4. Annexes

Humans

4.1. Protected Commodities 4.1.1 Humans Including Human Health

The term "protected commodities" is under 10 www.stadtentwicklung. Relevance of the protected commodity berlin.de/geoinformation/ stood here as collective for all partial sectors within the test control units fis-broker of the environment that are to be 'protected'

against impairment by means of the instru Regulation of Nature and land- 11 www.stadtentwicklung. ments described or rather to which the hand Intervention scape as a basis berlin.de/geoinformation/ for human life ling of consequences refers. The term is used fis-broker/

particularly in connection with the environ Natura 2000 Impact 12 The law concerning the Environ mental impact assessments in compliance with Assessment mental Impact Assessment pays the EIAA; the consequential categorisation is special attention to areas with a Strategic Humans, based on the classification of protected com high density of population; cf. Environmental including human 2.3.8 of Annex 2 and 2.6 of the modities as described in the EIAA (Sect. 2 Assessment health Annex 4 of the EIAA. EIAA). The Nature Conservation Act, that forms the basis of the regulation of interven Environmental tion and the Natura 2000 Impact Assessment Impact Assess ment study, indeed does not contain the term

‘protected commodities’; the fact is that Environmental Environmental ‘partial areas of nature and landscape’ are, to a Assessment effects on human (Urban Development beings and their great extent, identical with the corresponding Planning) health ‘protected commodities’. A binding specifica and on the popu tion for the classification in the representation lation as a whole of present status and impact does not exist

(e.g. a classification according to function is Life, health and welfare of human beings are to be also possible). In the case of permit or propos protected with the strategic environmental assessment, al procedures that include several studies (e.g. the environmental impact assessment and the the Natura 2000 Impact Assessment and environmental assessment in the urban development Environmental Impact Assessment), a uniform planning. The regulation of intervention, on the other classification is recommended. To do so, first hand, is only aimed indirectly at protecting human a table is compiled for each protected com beings as its application contributes towards the modity showing for which instruments or protection of nature and landscape as a basis of life of assessment methods there is a relevance the human being. (green-shaded fields) and the name of the The protected commodity Human Beings incl. human protected commodity under each legal basis. health is particularly significant within the densely populated city areas of Berlin.12 Then follows a list of each significant legal Human beings are mostly basis and available sources in Berlin for information, data and assessment standards.

Apart from the sources of available informa tion bases quoted for each protected commod ity, a continually up-dated rate of numerous digital geo-basic and geo-specialised data can be found via the geo-portal of the FIS broker in the form of plans, maps and factual data10. For administrative clerks a version of the FIS Broker with extended functions (e.g. superi mposition possibilities) is offered via the administration’s own Intranet11 .

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affected by the pollution of other protected • Recreational function (see also Protected 13 www.stadtentwicklung.berlin. commodities such as e.g. the air or the water. Commodities 'Landscape'): Berlin Nature de/service/gesetzestexte For this reason, in the representation links are Conservation Law (BNCL) and 14 www.bgbl.de offered to other protected commodities. Here Federal Nature Conservation Act 15 Federal Act for the Protection the emphasis is on the impact on human beings (FNCA); Landscape and Species Protection against Pollution on as users of the corresponding protected com Programme Berlin, landscape plans; bundesrecht.juris.de modity. In addition, there are detriments to life, lists of public green and recreational spaces, 16 www.stadtentwicklung. health and well-being that cannot be registered green space information system, provision of berlin.de/umwelt/laerm/ baulaerm via other protected commodities. public green spaces18 17 www.stadtentwicklung. • Accidents19: Störfall-Verordnung B berlin.de/umwelt/laerm/ The following can be considered relevant influ (Breakdown Act)(12. BImSchV), Traffic ential factors depending on the plan or project: laermminderungsplanung/ Safety Programme Berlin 201020 accident risks, pollutants, noise, vibrations, index.shtml • Health: Health Report Berlin21, Social heat/sultriness, odours, electro-magnetic fields 18 www.stadtentwicklung.berlin. Structure Atlas Berlin22, Guidelines for a and the throwing of light and casting of shade. de/umwelt/umweltatlas/ healthy city of Berlin23, Brochure "Gesunde i605.htm Bezirke – Gesunde Stadt Berlin (Healthy The protected commodity Humans 19 depending on the project also: Districts – Healthy City Berlin) Chemical Law, Work Protection including human health – Legal bases and • for pollution as a result of air pollutants see Law, Technical Rules for Hazardous (selection) information sources Protected Commodities Air and Climate; for Substances etc. Bundesimissionsschutzgesetz (Federal • Noise: Pollution of soil and plants see Protected 20 www.stadtentwicklung. Control of Pollution Act) (FIPA), Landes- Commodity Soil berlin.de/verkehr/ Immissionsschutzgesetz Berlin (State Control • Electro-magnetic fields: Verordnung verkehrssicherheitsprogramm/ of Pollution Act Berlin) (LImSchG Bln)13, TA über elektromagnetische Felder (Electro- download/ Lärm (TA Noise) (Sixth Ordinance for the Magnetic Fields Ordinance (26. BImSchV), verkehrssicherheitsprogramm. Implementation of the Federal Control of Verordnung über das Nach pdf. (Traffic Safety Prog.) Pollution Act – 6. BImSchV), Verkehrslärm weisverfahren zur Begrenzung elektroma 21 www.berlin.de/sen/gsv/ schutzverordnung (Traffic Noise Protection Act) (16. BImSchV), Sportanlagen gnetischer Felder (Verification Procedure for statistik/gesundheit/basis.html lärmschutzverordnung (Protection against the Restriction of Electro-Magnetic Field 22 www.berlin.de/sen/gsv/ Noise from Sports Facilities Act) (18. Ordinance) (BEMVF); Instructions for the statistik/gesundheit/ th BImSchV); 24. BImSchV; Verordnung Implementation of the 26 Federal spezial_sbw.html über die Lärmkartierung (Noise Mapping Protection against Immission Act in the 23 www.gesunde-staedte Ordinance) (34. BImSchV14)15; AVV revised version in acc. with Resolution by netzwerk.de/aktuell_pdf/ Baulärm (General Administrative Regulation the State Committee for Immission leitlinien_gesunde_stadt.pdf for the Prevention of Building Noise); Protection (2004); see also information 24 www.stadtentwicklung. Brochure Building Noise by the Senate Dept. issued by the Senatsverwaltung für berlin.de/umwelt/ for Urban Development16 Stadtentwicklung24 (Senate Administration umweltratgeber/de/emf/ Berlin Environmental Atlas Topic 07 Traffic/ for Urban Development); Berlin index.shtml Noise; Noise Abatement Plans17 Environmental Atlas Map of Electro- 25 www.stadtentwicklung. Residential function: Building Code of Laws berlin.de/umwelt/ Magnetic Fields25 (FBC), Building Utilisation Act (BNVO); • Smells: Technische Anleitung zur Rein umweltatlas/i805.htm Zoning Plan, Development Plans haltung der Luft (Technical Instructions for 26 www.stadtentwicklung. Maintaining Clean Air) (First General berlin.de/umwelt/ Administration Directive on the Federal umweltatlas/din_606.htm Immission Control Act – TA Luft (Air); Smell Immission Guideline recommended by the State Committee for Immission Protection (GIRL) • Density of population: Environmental Atlas Map Density of Population 06.0626

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4 Animals Plants

4.1.2 Plants, Animals, the Biological Diversity The biological diversity (synonym: bio-diversity) includes

the diversity of habitats and relationships of various 27 Here the interrelationship Relevance of the protected commodity within the test control units species and the genetic diversity within the species between plants, animals, soil, (Sect. 2(1) No. 8 FNCA). If there are indications of the existence of particularly and strictly protected species, the recording of these species with their habitats is imperative. Information of survey methods and time intervals of faunistic studies are, for example, given in the Manual for the water, air, climate and biological Regulation of Plants and animals as part of the ecosystem Allocation and Implementation of Freelance Services diversity should be taken into Intervention by Engineers and Landscape Architects in Road and consideration Bridge Construction (HVA F-StB). (BMVBW 2004a). 28 www.stadtentwicklung. Natura 2000 Impact Conservation targets in an area of common berlin.de/umwelt/ Assessment significance or of a European bird sanctuary Relevant influential factors, apart from the destruction, naturschutz/de/karten/ (NATURA 2000 – area) can also be the restriction of habitats due to changes in index.shtml Strategic the locality, fragmentation and isolation effects or the 29 Senatsverwaltung für Plants, animals and the biological diversity, Environmental disturbance of animal species due to noise and light. Stadtentwicklung und Assessment ecologically sensitive areas (incl. Landesbeauftragter für NATURA 2000 areas, nature conservation Protection commodity Plants and Animals – Legal Naturschutz und Land areas, landscape conservation areas, legally Environmental bases and information sources (selection) schaftspflege 2005: protected biotopes) • Berliner Naturschutzgesetz (Berlin Nature Biotope Mapping Berlin. Impact Assessment Conservation Law) (BNCL), Bundesnaturschutzgesetz Bases - Standards Plants, animals27. Preservation targets and the (Federal Nature Conservation Act (FNCA), Federal Evaluation. Version 2.1 Environmental purpose of protecting areas of common signi Protection of Species Act (FPSO), Flora-Fauna-Habitat (June 2005). CD-ROM. Survey (Urban ficance and the European bird sanctuaries Guideline Berlin. Available from: Development Planning) (FFH Directive), Birds Directive Senatsverwaltung für Stadt • Overview and maps with exact details of plots in entwicklung Info-Centre, All the environmental assessment processes conservation areas and properties in acc. with BNCL, Tel. (030) 9025 12 45, presented here integrate the protected biotic Schutzgebietsverordnungen28 info-center@senstadt. commodities. • Berliner Baumschutzverordnung (Berlin Tree verwalt-berlin.de The Natura 2000 Impact Assessment is directed Conservation Act) 30 Der Landesbeauftragte für 32 www.stadtentwicklung. in each case at certain habitat types, species of • Biotopentypenliste Berlin (Biotope Type List)29 Naturschutz- und Land berlin.de/forsten flora and fauna and their habitats. In the strate • Red List Berlin30 schaftspflege und SenStadt 33 www.stadtentwicklung. gic environmental assessment, the environment • Landscape and Species Protection Programme 2005: Red List of the En berlin.de/umwelt/ impact assessment and the regulation of inter Berlin, Species Aid Programmes, Landscape dangered Flora and Fauna in b_naturschutz/ vention, flora and fauna are mostly regarded on Protection Plans, Reed Protection Programme Berlin. Version oekogrube.shtml the level of biotopes or of vegetation units and • Berlin Environmental Atlas Topic Section 05 1.2 - 07/2005. CD-ROM. 34 Technical University & Working animal habitats. Biotopes (e.g. maps Vegetation, Valuable Areas for Berlin. Available from: Senats Group Flora The value and impairment can be recorded on and Fauna, balance sheet of the breeding bird stocks, verwaltung für Stadtent Biotope System Berlin the grounds of their rarity, degree of endanger 2005: Biotope system in acc. ecological systems depending on ground water)31 wicklung Info-Centre, see above. ment and representativeness or of legal protec with Sect. 3 FNCA in the State • Forest maps, location maps, reports on condition of 31 www.stadtentwicklung. tion, in the case of biotopes also on the grounds of Berlin. Use of the standard forests in the Laender Brandenburg and Berlin32 berlin.de/umwelt/ of their functions as habitat, for the climate and umweltatlas/dinh_05.htm criteria list. Choice of relevant • Documentation of environment-oriented types of targets for the biotope the habitat system. Special attention should be studies in Berlin "ÖKOGRUBE"

system. Commissioned by the devoted to the NATURA 2000 areas, nature and (ÖKOlogische GRundlagen-Untersuchungen landscape conservation areas and the legally Senate Department for Urban Berlin33 (Ecological Basic Examinations Berlin) Planning, Dept. I Ref. IE. protected biotopes. • Targeted types for the interlinked biotopes and their distribution34

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4 Soil Protected commodity soil – legal bases and information sources (selection)

4.1.3 Soil • Federal Act on the Conservation of Soils

(FACS) Relevance of the protected commodity • Berlin Act on the Conservation of Soils 35 www.stadtentwicklung. (BlnACS) berlin.de/umwelt/ within the test control units • Federal Soil Conservation and Pollutants umweltatlas/dinh_01.htm

36 www.stadtentwicklung. Regulation of Soil as part of the Ordinance (BBodSchV) Intervention ecosystem • Environmental Atlas Topic Section 01 (e. g. berlin.de/umwelt/ Map of soil associations, map of soil bodenschutz/index.shtml Natura 2000 Impact functions; sealing map)35 37 www.stadtentwicklung. Assessment • Berlin Polluted Soil Land Register (records berlin.de/umwelt/ areas with suspicion of and evidence of umweltatlas/i1031.htm, Strategic Soil harmful soil changes36 www.stadtentwicklung. Environmental • Environmental Atlas Maps of Heavy Metals berlin.de/umwelt/ umweltatlas/i1033.htm Assessment in Soils and Plants37 • Landscape & Species Protection Programme 38 www.stadtentwicklung. Environmental Berlin, Landscape Plans berlin.de/umwelt/ bodenschutz/de/vorsorge/ Impact Assessment • Leaflet on the Consideration of Requirements of Preventive Soil Conservation in Environ bauleitplanung.shtml

mental Reports in acc. with Sect. 2(4) Environmental Assessment (Urban Soil FBC38 Fig. 33: Soil profile Development Planning)

Soil is a protected commodity of all the envi ronmental assessment methods described here; in the Natura 2000 Impact Assessment it is of indirect significance. It is the basis of life and habitat for humans, fauna, flora and soil organisms (biotic habitat function, natural yield function), as should be regarded and protected as part of the ecosystem, in particular with its water and nutrition circulations (storage and regulation function), degradation, compensation and structural medium for material influence (filtering and buffering properties). Soil also functions as an archive of natural and cultural history.

Relevant influential factors are in particular sealing, compaction, movement of soil material and absorption of pollutants. In the regulation of intervention the changing of form or usage of soil as a 'surface area' represents an intervention offence.

Environmental Assessment Berlin's Guide for Urban and Landscape Planning 69

Water

4.1.4 Water Protected commodity Water – Legal bases and sources

of information (selection) Relevance of the protected commodity within the test control units • Berlin Water Act (BWA) and Water Balance Act (WHG), Regulation of • Water Conservation Areas in acc. with Sect. 19 of the Intervention Watercourses (as habitat, part of the ecosystem and in significance for Water Balance Law and Sect. 22, landscape image and recreation) 22a Berlin Water Act and Water Conservation Ordinances Natura 2000 Impact • Ordinance on the Withdrawal of Water from Surface Assessment Watercourses for the Purpose of the Drinking Water Supply Strategic Environ- Water • Ordinance on the Withdrawal of Water for Building mental Assessment Purposes and Own Water Supply Systems in the State of Berlin Environmental • FNCA (Sect. 2(1) No. 4), BNCL Impact Assessment (Sect. 2 No. 5) • Environmental Atlas Topic Section 02 (Water Environmental Water; conservation areas, quality of watercourses, quality Test (Urban Develop proper handling of waste materials and of the ground water near to the surface, depth to ment Planning) waste water water table of the ground water, ecological systems dependent on ground water, soiling sensitivity of the ground water, surface water drainage, etc.)39 39 www.stadtentwicklung. The protected commodity water is relevant in all berlin.de/umwelt/ the environmental test methods described here; • Aids of the Federal-State Working Group Water umweltatlas/dinh_02.htm but, in the Natura 2000 Impact Assessment is (LAWA)40 40 www.lawa.de/pub/ only indirectly significant for species and • Informative leaflets on the European download.html habitats. The protected commodity includes Water Framework Guideline41 41 www.stadtentwicklung. ground water (with the aspects ground water • Assessment criteria for the evaluation of ground water berlin.de/umwelt/wasser/ resources and quality, function for the landscape pollution in Berlin (Berlin List 2005)42 wrrl/de/download.shtml water balance, in particular biotopes that are • Water Management Monthly Reports43 42 www.stadtentwicklung. dependent on ground water), and the surface • Landscape and Species Protection Programme watercourses (with the aspects natural retention berlin.de/umwelt/ Berlin, Landscape Plans function, water quality, self-cleansing capa bodenschutz/de/gesetze/ bility, biotic habitat function, function as bath download/ ing facility). Particular attention is drawn to BerlinerListe2005.pdf water conservation areas and flood areas in acc. 43 www.stadtentwicklung. with Sect. 63-65 Berlin Water Law. berlin.de/umwelt/wasser/ monat/index.shtml For example, the introduction of nutritional and harmful substances, changes in the surface drainage, water extraction, temperature changes and morphological changes are to be regarded as influential factors. In the regulation of inter vention, changes in the ground water level that are connected with live soil layer represent an intervention offence.

70 Environmental Assessment Berlin's Guide for Urban and Landscape Planning

Climate Air

4.1.5 Climate, Air Within the scope of the Strategic Environment Relevance of the Assessment Test, the Environmental Impact Assessment and the Environmental Assessment Relevance of the Test in the urban development planning, the protected commodity particular aim is the maintenance of clean air within the test control and the protection of the climate; units in the regulation of intervention climate and air are addressed as parts of the ecosystem. Regulation of Air, climate as parts berlin.de/umwelt/ intervention of the ecosystem Particular strain is exercised on the air and the umweltaltas/dinh_04.htm climate by the emission of harmful substances, 45 www.stadtentwicklung. Natura 2000 Impact Air, climate the setting up of exchange barriers and the dis berlin.de/umwelt/ Assessment posal of elements with air-hygienic balancing luftqualitaet/de/messnetz function such as large green areas. The climate 46 www.stadtentwicklung. Strategic can be impaired by warming, sultriness or berlin.de/umwelt/ luftqualitaet/de/ Environmental strong local wind flows. In addition, within the publikationen.shtml Assessment framework of the environmental assessments in

the case of consequence analyses and preven Environmental tion measures also contributions towards influ Impact ences on the climate over large areas (emission

Assessment of so-called greenhouse gases) should be taken

into consideration. Environmental Air, climate, avoidance of emissions, Assessment Test maintenance of the Protected commodities Air and Climate – Legal (Urban Development best possible air bases and information sources (selection) Planning) quality in areas where immission • Bundesimmissionsschutzgesetz (FIPA) limit values are not • Bundesimmissionsschutzverordnungen, exceeded. Use of insbes. Verordnung über Immissionswerte renewable energies für Schadstoffe in der Luft (22. BImSchV), and the sparing and Verordnung über genehmigungsbedürftige efficient use of energy. Anlagen (4. BImSchV) • Bundesnaturschutzgesetz FNCA Sect. 2(1) No. 6 • Luftreinhalte- und Aktionsplan Berlin (Maintenance of Clean Air and Action Plan Berlin) 2005-2010 • Environmental Atlas Topic Sections 03 and 04 (incl. emissions, immissions, wind speeds, surface temperatures, planning indication map Urban Climate)44 • BLUME Measuring Network45 • Monthly and annual reports on air quality data in Berlin46 • Landscape and Species Protection Programme Berlin, Landscape Plans

Environmental Assessment Berlin's Guide for Urban and Landscape Planning 71

Landscape

4.1.6 Landscape, Landscape Scenery The urban and landscape scenery can be impaired by buildings, the interruption of view relations, noise and Relevance of the protected commodity within the test control units smell pollution and the disturbing of landscape-oriented recreation. Regulation of Intervention Landscape (diversity, uniqueness and Protect commodity Landscape – Legal provisions beauty as well as recreational value of and information sources nature and natural scenery), efficiency and • Berlin Nature Conservation Law (BNCL) functionality of the ecosystem and Federal Nature Conservation Act (FNCA) • Landscape and Species Protection Programme Natura 2000 Impact Berlin, Landscape Plans Assessment • Green area information system47 • Topographical maps, historic maps Strategic Landscape Environmental Assessment

Environmental- Impact Assessment

Environmental Assessment Landscape (Urban Development Planning)

47 www.stadtentwicklung. 'Landscape' includes both the landscape system berlin.de/umwelt/ and the natural scenery. As the aspects of the natural stadtgruen/gris/ scenery are already recorded within the scope of

index.shtml recording the other protected commodities, here

only the natural scenery is dealt with. The term

natural scenery includes the outward appear ances of nature and landscape that are sensorial ly perceptible to human beings and the suita bility of the area for recreation (GASSNER, WINKELBRANDT 2005, 330). It can also be Fig. 34: Avenue of trees in Barnim near Berlin mainly characterised by buildings. In a popu lated area, the townscape is to a large extent equated with the natural scenery. Apart from optical impressions also sensory perceptions such as smells and sounds form part of it. Thus, all the main structures of the landscape flow into the perception and assessment of the natural scenery no matter whether they are historic or current, whether they evolved as a result of natural or cultural influences. Value-adding cri teria are diversity, uniqueness, beauty and the recreational value of a landscape (Sect. 1 FNCA).

72 Environmental Assessment Berlin's Guide for Urban and Landscape Planning

4 Denkmal

4.1.7 Cultural Assets and Other Real 4.1.8 Interactions Assets Relevance of the protected commodity Relevance of the protected commodity within the test control units i nnerhalb der Prüfinstrumente within the test control units Regulation of The interrelationships between the Regulation of Intervention components of the ecosystem intervention

Natura 2000 Impact Natura 2000 Impact Assessment Assessment

Strategic Strategic Environmental Cultural and other Environmental The interactions between the above Assessment real assets Assessment mentioned protected commodities

Environmental Cultural and other Environmental The interactions between the above Impact Assessment real assets Impact Assessment mentioned protected commodities

Environmental Environment-relevant Environmental The interactions between the individual Assessment effects on cultural Assessment concerns of environmental protection (Urban Development and other real assets (Urban Development Planning) Planning)

Protected cultural, structural assets or The term 'interactions' means, on the one 48 www.stadtentwicklung. archaeological sites or such that are worthy of hand, that the connections between the berlin.de/denkmal/ protected commodities should be regarded denkmalliste protection, historical cultural landscapes and among each other (interrelationships). These 49 www.stadtentwicklung. parts of landscapes of particularly charac also include material circulation and energy berlin.de/umwelt/ teristic uniqueness with regard to visual and flows within the ecosystem. They can be umweltatlas/dinh_01.htm historical landscape protection all count as recorded on the grounds of typical landscape 50 www.stadtentwicklung. related connections between and within the cultural or other real assets. The elements berlin.de/umwelt/ abiotic and biotic functional elements of the umweltatlas/d11205.htm mentioned in the Berlin List of Monuments protected commodities. Secondly, with this the should be taken into consideration (Annex 2 reciprocal influences and dependencies No. 2.3.9 EIAA). They can be impaired by between human utilisation and e.g. the vegetation or the soil should be taken into removal or change. The description of the consideration. In addition, in the impact effects on the cultural and real assets can also analysis also the interactions between the be effected together with the protected influences should be observed, e.g. a reciprocal commodities Soil or Landscape. intensification of various influences. Proposals for the depiction of the interactions Protected commodities Cultural and Real are offered by RASSMUS et al. 2001. Assets – Legal bases and information sources • Preservation of Historic Buildings and Monuments Act Berlin (DSchG Bln) • Historic Buildings and Monuments List Berlin (including Archaeological and Garden Monuments)48 • Environmental Atlas Topic Section 01 Soil49, Map Archive Function for Natural History50

Environmental Assessment Berlin's Guide for Urban and Landscape Planning 73

4.2 Legal Bases for the Procedure by the Authorities Responsible

Table 9 (Part 1): Legal bases for the implementation of the environmental test control units in the statutory planning procedure and project approval procedure*

Plans or Projects (Selection) Legal bases

Noise abatement plan Sect. 47d and 47e Federal Immission Protection Act (FIPA); No. 2.1 of Appendix 3 to the Environmental Impact Assessment Act (EIAA)

Air pollution control plans Sect. 47 FIPA, No. 2.2 of Appendix 3 to the EIAA

Combined heat and power plants etc. Sect. 4-21 FIPA, Ordinance on Production Plants Subject to Approval (4. BImSchV); Ordinance on the Approval Procedure (9. BImSchV), No. 1 of the Appendix 1 to the EIAA

Projects from the sector Chemical Products Sect. 4-21 FIPA, 4. BImSchV, 9. BImSchV, (e.g. plants for manufacturing soaps, artificial fibres, base materials for pharma ceuticals)

(Communal) waste disposal concepts Sect. 6 Recycling and Waste Management Act Berlin (RWMA Bln), No. 2.3 and 2.4 of Appendix 3 to the EIAA

Waste management plans Sect. 14 RWMA Bln, No. 2.5 of Appendix 3 to the EIAA

Waste disposal sites Sect. 31 Recycling and Waste Management Act (RWMA), (Sect. 16 RWMA Bln), No. 12 of the Appendix 1 to the EIAA

Regional development plans Sect. 8 and 9 ROG, No. 1.5 of the Appendix 3 to the EIAA, Sect. 35 FNCA

Regional development processes Art. 16 Regional Planning Contract; Mutual Regional Development Process Ordinance (GROVerfV); Sect. 15 and Sect. 6a(2) 1st sentence Regional Development Act (ROG), Sect. 16 EIAA

Landscape and Species Conservation Sect. 3-13 BNCL; Sect. 19a EIAA, No. 1.9 of Appendix 3 to the EIAA Programme and Landscape Plans

Airports Extension plan: Sect. 12(1) of the Air Traffic Act (LuftVG); No. 1.2 of the Appendix 3 to the EIAA; Planning approval: Sect. 6 and 8 LuftVG, Sect. 15 EIAA

Motorways, trunk roads Route determination: Sect. 16 Federal Highways Act (FHA), Sect. 35 FNCA; Permission: Sect. 17 FHA (or via a development plan: Sect. 9 FBC), No. 14.3-14.6 of the Appendix 1 to the EIAA

Roads I. and 2. layout Sect. 20 Berlin Roads Act (BlnRA)

Railway tracks Sect. 18 and 20 General Railway Act (GRA); No. 14.7-14.11 of the Appendix 1 to the EIAA

Trams, underground and city trains Sect. 28 Passenger Transport Act (PBefG) or for trams also development plans pursuant to Sect. 9 FBC, No. 14.11 of the Appendix 1 to the EIAA

74 Environmental Assessment Berlin's Guide for Urban and Landscape Planning

Table 9 (Part 2): Legal bases for implementation of the environmental test control units in the statutory planning procedure and project approval procedure*

Plans or projects (selection) Legal bases

Waterways Determination of routes: Sect. 13 Bundeswasserstraßengesetz (FWA); 51 The state law implementation of Sect. 2c Sect. 35 FNCA Berlin Water Act is still outstanding. Plan establishment: Sect. 14 FWA, No. 14.1 and 14.2 of the Appendix 1 to the EIAA

Programme of measures for the river Sect. 36 Water Management Act (WHG)51, No. 1.4 of the Appendix 3 to the

territory unit Elbe EIAA

River channelling and flow correction Sect. 16-16h and Appendix 3 to the Berlin Water Act (BWA) work and other extension measures

Retention and lowering of surface waters Sect. 10(1) No. 11 FNCA in combination with Sect. 3, 7 and 8 WHG incl. the utilisations of waters and Sect. 15, 16 BWA; Sect. 6(2) WHG

*Due diligence is derived, amongst others, Withdrawal of ground water from the EIAA, the FNCA and BNCL. Sect. 16-16h and Appendix 3 BWA, No. 13.3 of the Appendix 1 to the Construction of a waste water treatment EIAA; Sect. 16-16h and Appendix 3 BWA, No. 13.1 of the Appendix 1 plant to the EIAA

4.3 Legal Provisions for the Control Units Table 10: Legal bases for the regulation of intervention: plans or projects (selection) Germany Berlin

Legal texts Federal Nature Conservation Act (FNCA); Berlin Nature Conservation Act German Federal Building Code (BNCL)

Scope Sect. 20(1), Sect. 18 FNCA Sect. 14, Sect. 15(2) BNCL

Landscape conservation support plan Sect. 20(4) FNCA Sect. 15(3, 5) BNCL

Avoidance, reduction, compensation and Sect. 19 FNCA Sect. 14a BNCL

substitution measures, compensation payment

Sect. 14b BNCL Ecological account

Area land register Sect. 15(6) BNCL

Sect. 19(3), Sect. 42 and Sect. 43, Sect. 62 Consideration for special protection of Sect. 14a(2) BNCL species FNCA

Sect. 15 BNCL Responsibilities and consultations Sect. 20 FNCA

Sect. 15 BNCL Official decision Sect. 20 FNCA

Environmental Assessment Berlin's Guide for Urban and Landscape Planning 75

Table 11: Legal bases for the Natura 2000 Impact Assessment

European Union Germany Berlin

Legal texts/ Flora-Fauna-Habitat Directive 1992 Federal Nature Conservation Act Berlin Nature Conservation Act Publications (Council Directive 92/43/EEC) (FNCA) 2002, Sect. 10 and 32ff (BNCL) 2006, Sect. 16 et sqq., 22b, (FFH Directive)‚ Publication NATURA Birds Directive 1979 2000 Areas dated 26 August 2005; (Council Directive 79/409/EEC) Bulletin for Berlin No. 48 dd. 29 September 2005, p. 3717 et sqq.

Sect. 10 nos. 11, 12, Sect. 34-37 FNCA Sect. 16(1, 7), Scope, Art. 4 Cl. 3 FFH Directive Sect. 17(1), (Sect. 22b) BNCL prelim. survey

Impact assessment Sect. 34(2), Sect. 10(1) Nos. 9 and 10 Sect. 16(2) BNCL Art. 1, Art 2, Art. 6 Cl. 3 FFH Directive, FNCA Exception rule Appendix 3 FFH Directive

Sect. 34 Cl.(3, 4), Sect. 16(3, 4), Coherence safeguard Art. 6 Cl. 4 FFH Directive Sect. 37(2) FNCA Sect. 17(4) BNCL measures

Art. 6 Cl. 4 FFH Directive Sect. 34(5), Sect. 37(3) FNCA Sect. 16(5, 6), Consultations Sect. 17(2, 3) BNCL

Art. 6 Cl. 3 and 4 FFH Directive, Sect. 34(4, 5) FNCA Sect. 17, Sect. 16(4, 5) Art. 3 Cl. 2b SEA Directive Sect. 14c EIAA Sect. 39a, Sect. 39a BNCL

76 Environmental Assessment Berlin's Guide for Urban and Landscape Planning

Table 12: Legal bases for the environmental impact assessment and the strategic environmental assessment

European Union Germany Berlin

Legal texts UVP Directive: Council Directive Law concerning the Environmental Berlin Law governing the Environ dd. 27 June 1985 concerning the Impact Assessment (EIAA) 2005 mental Impact Assessment Environmental Impact Assessment in General Administration Directive for (BlnAEIA) certain public and private projects the Implementation of the Law Special Laws of the Laender

(85/337/EEC) and governing the Environmental Impact (e. g. Berlin Water Act)

SUP Directive: Directive 2001/42/EC Assessment (UVPVwV) 1995

of the European Parliament and Special Federal Laws (e.g. FIPA)

Council governing the assessment of environmental influences of certain

plans and programmes

Scope, prelim. Art. 1, 2 and 4 EIA Directive, Sect. 2, 3a-f EIAA, Sect. 1 BlnAEIA survey Art. 2, 3, 4 Cl. 3 and 11 SEA Directive Sect. 14a-d, o EIAA, (Screening) Sect. 15-19b EIAA, Appendices 1-4 EIAA,

No. 0.1-0.2 UVPVwV

Determination of Art. 5 Cl. 2 EIA Directive Sect. 5, 14f EIAA scope of the im No. 0.4 UVPVwV

pact assessment

(Scoping)

Environmental Impact Assessment Art. 3, 5 Cl. 3 EIA Directive, Sect. 6, 14g, 4 EIAA Survey/Environ Art. 2, 5 SEA Directive No. 0.3 UVPVwV

mental Report

Areas of Art. 1, 5 Cl. 2 and 4, Sect. 7, 8 EIAA Sect. 2, 3, 4 BlnAEIA responsibility and Art. 6, 7, 9, 10, 10a EIA Directive Sect. 2(1, 6) consultations Art. 2, 6, 7, 9 SEA Directive Sect. 3a, 9 EIAA

Sect. 14f(4), Sect. 14h-j, l,

Sect. 14m(4) EIAA

Art. 8 EIA Directive Sect. 11-14 EIAA, Official decision Art. 8 SEA Directive Sect. 14k-14l EIAA

0.5-0.6 UVP-VwV

Art. 9c, 10 SEA Directive Sect. 14m EIAA Monitoring

Environmental Assessment Berlin's Guide for Urban and Landscape Planning 77

Table 13: Legal bases for environmental assessment in urban development planning

European Union Germany Berlin

Legal texts UVP Directive: Council Directive dd. German Federal Building Code (FBC) Berlin Materials on the EAG Bau 27 June 1985 governing the 2004, environmental impact assessment in (Law governing Environmental Impact certain public and private projects Assessment (EIAA) 2005)

(85/337/EEC) and SUP Directive:

Directive 2001/42/EG of the European

Parliament and Council governing the

examination of the environmental

influences of certain plans and programmes

Scope, prelim. Art. 1, 2, 4 EIA Directive Sect. 17 EIAA survey Art. 2, 3, Art. 4 Cl. 3, Art. 11 SEA Directive Sect. 2(4), Sect. 13 and 37 Sect. 244(2) FBC

Determination of Art. 5 Cl. 2 EIA Directive Sect. 2(4) FBC the extent and

degree of de

tailing

Environmental Art. 3, Art. 5 Cl. 3 EIA Directive Sect. 1(6) No. 7, Sect. 1a, Sect. 2(4) report Art. 2, 5 SEA Directive FBC, Appendix to Sect. 2(4) FBC

Art. 1, Art. 5 Cl. 2 and 4 Sect. 2-4a FBC Responsibilities Art. 6, 7, 9, 10, 10a EIA Directive and consultations Art. 2, 6, 7, 9 SEA Directive

Official decision Art. 8 EIA Directive Sect. 2(4) FBC Art. 8 SEA Directive

Compensation Sect. 1a(3), Sect. 5(2a), Sect. 9, 24, 55,

measures 135a-b FBC

Sect. 6(5), Sect. 10(3, 4) FBC Conclusive

declaration

Sect. 4c, Sect. 4(3) FBC, Monitoring Art. 9c, 10 SEA Directive52 Appendix to Sect. 2(4) FBC

52 Remedial actions through

retrospective protective

measures e.g. pursuant

to Sect. 29(2) FBC,

Sect. 15 BauNVO,

Sect. 17(2) FIPA or Sect. 75(2) VwVfG.

78 Environmental Assessment Berlin's Guide for Urban and Landscape Planning

4.4 Legal Bases for Access to Environmental Information

The Berlin Freedom of Information Act (Bln

FIA) manages the access of the people of Berlin to environmental information, authorities and other bodies that are obliged to provide infor mation in the federal state of Berlin (Bln FIA). Access to environmental information supplied by the federal authorities and bodies of the Federal Republic obliged to provide information is controlled by the Environmental Information Act (EInfA). Which fees, if applicable, must be paid, can be taken from the Berlin Environment Protec tion Scale of Charges or the EInfA Charges Ordi nance of the Federal Republic.

Environmental Information Directive,

Environmental Information Act and Berlin Fig. 35:Environmental information: Freedom of Information Act realise a part of The agreements on the participation of the public www.stadtentwicklung. the Aarhus Convention that deals with access have been realised at EU level through the Public berlin.de/umwelt to environmental information. The Aarhus Participation Directive (RL 2003/35/EG)

Convention is an international agreement that and the SUP Directive as well as in Germany 53 www.bmu.de/ Germany and the other EU member states partially through the amended EIAA and FBC. Further regulations for realisation are still to be buergerbeteiligungs signed in 1998, that came into force in 2001 expected from the European Union and from the rechte/die_aarhus and has already been ratified by the European Federal Republic of Germany. A Public Participation konvention/doc/2608.php Community. Altogether the Convention Act and an Environmental Appeal Act are available consists of three "pillars": in a draft version, also an Aarhus Contract Act. As 1. Easier access to environmental information long as the Public Participation Directive has not 2. Right of the public to participate in decision been completely transformed into German law, it is procedures directly applicable.53. 3. Access to courts in environmental matters.

Environmental Assessment Berlin's Guide for Urban and Landscape Planning 79

Table14: Legal bases for access to environmental information

European Union Germany Berlin

Legal bases for Environmental Information Directive Environmental Information Act Berlin Freedom of Information Act access to of the European Parliament and the (EInfA) Law on the Restructuring of (Bln FIA) – Law for the Enforcement of environmental Council dd. 28 January 2003 the Environmental Information Act for Freedom of Information in the State of information (Directive 2003/4/EG) Amending the Legal bases Berlin dd. 15 October 1999, last Governing the Emissions Trade dd. amended on 19 December 2005. 22 December 200454

Legal bases for Environmental Information Expenses Environment Protection Scale of Directive (UIGGebV) – Directive expenses Charges (EPSC) – Directive governing official acts by the bodies governing the charging of fees in obliged to provide information when environment protection dd. 1 July implementing the Environmental 1988, last amended on 19 December Information Act55 th 200556 by the 11 Directive on the Specialised laws (e.g. Federal Amendment of the Environment Pro Immission Control Act, Recycling Management and Waste Disposal Act) tection Scale of Charges57

Bodies obliged to Art. 2 No. 2 UIRL Sect. 1, Sect. 2(1) and 2 EInfA provide Sect. 2 Bln FIA,

information

Sect. 1 EInfA Environmental Art. 2 No. 1, Art. 8 UIRL Sect. 3(2) Bln FIA, Sect. 18a Bln FIA information

Right of access Art. 1, 3 UIRL Sect. 3 EInfA Sect. 3 Bln FIA

Art. 3 UIRL Sect. 4 EInfA Application and Sect. 13-15, Sect. 18a(3) Bln FIA

procedure

Art. 7 UIRL Sect. 7, 10, 11 EInfA Supporting Sect. 17 Bln FIA

access, distribution of environmental information

Art. 5 UIRL Sect. 12 EInfA, UIGGebV Sect. 18a(4), Sect. 16 Bln FIA, Expenses Sect. 8-9 EInfA, EPSC

Reasons for Art. 4 UIRL Sect. 3(2), Sect. 4 EInfA rejection Sect. 4-12 Bln FIA

Sect. 5, 6 EInfA

Rejection; Art. 6 UIRL legal protection Sect. 14, Sect. 18(2) and 3 Bln FIA

54 www.stadtentwicklung. 56 www.kulturbuch-verlag.de/

berlin.de/service/ online/brv/D0002/ gesetzestexte/de/ F00076.pdf download/ 57 www.stadtentwicklung. umwelt/UIG.pdf berlin.de/service/ 55 bundesrecht.juris.de/ gesetzestexte/de/ bundesrecht/uiggebv/ download/umwelt/BGBl. gesamt.pdf pdf

80 Environmental Assessment Berlin's Guide for Urban and Landscape Planning

4.5 Sources ARBTER, K. (2004): SUP – Strategische BMV (FEDERAL MINISTER OF TRANSPORT) Umweltprüfung für die Planungspraxis der (Publ.) (1998): Musterkarten für die ein Zukunft. Neuer Wissenschaftlicher Verlag, heitliche Gestaltung Landschaftspflegeri Vienna, Graz. scher Begleitpläne im Straßenbau (Muster karten LBP). Allgemeines Rundschreiben BARTH, R., FUDER, A. (2002): IMPEL Project: Straßenbau No. 32/1998, Bonn. Implementing Article 10 of the SEA Direc tive 2001/423/EC, Final Report, European BMVBW (FEDERAL MINISTRY FOR TRANSPORT, Union Network for the Implementation BUILDING AND HOUSING) and Enforcement of Environmental Law. (2004): Leitfaden zur FFH-Verträglich www.bmu.de/ keitsprüfung im Bundesfernstraßenbau umweltvertraeglichkeitspruefung/ (Leitfaden FFH-VP), Musterkarten zur downloads/doc/6360.php einheitlichen Darstellung von FFH-Verträg Access June 2006. lichkeitsprüfungen im Bundesfernstraßen bau (Musterkarten FFH-VP). Version 2004. BERLINER MATERIALIEN zum Gesetz zur Anpassung des Baugesetzbuchs an EU- BMVBW (FEDERAL MINISTRY FOR TRANSPORT, Richtlinien (European Building Law BUILDING AND HOUSING) Adjustment Act – EAG Bau), EAG-Building (2004a): Handbuch für die Vergabe und Sample Directive supplemented by Spezielle Ausführung von freiberuflichen Leistungen Anmerkungen der Senats der Ingenieure und Landschaftsarchitekten verwaltung für Stadtentwicklung – Grund im Straßen- und Brückenbau (HVA F-StB). satzbereich II C 1 – für die verwaltungsein Status: 02/2004. heitliche Berliner Praxis und Rechtsanwen dung, 2nd version dd. 29 July 2005. BMU (FEDERAL MINISTRY FOR THE ENVIRONMENT, NATURE CONSERVATION AND REACTOR SAFETY) BFN (FEDERAL OFFICE FOR NATURE (2004): Empfehlungen des Bundes CONSERVATION) ministeriums für Umwelt, Naturschutz und (Publ.) (2004): Ermittlung von erheblichen Reaktorsicherheit vom 2. August 2004 für Beeinträchtigungen im Rahmen der FFH- Vollzugshinweise der Länder zur unmittel Verträglichkeitsuntersuchung. Endbericht. baren Anwendung der SUP-Richtlinie. F+E-Vorhaben im Rahmen des environmental www.bmu.de/files/pdfs/allgemein/ forschungsplans des Bundesministeriums für application/pdf/empfehlung_suprl.pdf. Umwelt , Naturschutz und Reaktorsicherheit, Status: 09.11.2005, Access June 2006. im Auftrag des Bundesamtes für Natur schutz, Arbeitsgemeinschaft Planungs BÖHME, C.; BRUNS, E.; BUNZEL, A.; HER gruppe Ökologie + Umwelt GmBH, Arbeits BERG, A.; KÖPPEL, J. (2005): Flächen- und gruppe für Tierökologie und Planung J. Maßnahmenpools in Germany, Ergeb Trautner, Prof. Dr. Giselher Kaule, Rechtsant nisse aus dem F+E-Vorhaben 802 82 120 walt Dr. jur. Erich Gassner, Ministerialrat a.D., "Naturschutzfachliches Flächenmanage Hanover, Filderstadt, Stuttgart, Bonn. ment als Beitrag für eine nachhaltige Flächenhaushaltspolitik" des Bundesamtes für Naturschutzes (BfN), Schriftenreihe "Naturschutz und Biologische Vielfalt" des BfN, Booklet 06. Bonn-Bad Godesberg.

Environmental Assessment Berlin's Guide for Urban and Landscape Planning 81

BRUNS, E.; Herberg, A.; Köppel, J. (2005): EISENBAHNBUNDESAMT (2005): Umwelt- Flächen- und Maßnahmenpools in Deutsch Leitfaden zur eisenbahnrechtlichen Plan land. Konzepte, Management und natur feststellung und Plangenehmigung sowie schutzfachliche Standards, Natur und Land für Magnetschwebebahnen. 5th version, schaft 80 (3): p. 89-95. Part IV: FFH-Verträglichkeitsprüfung und Ausnahmeverfahren, erstellt unter Ver BUNGE, TH.; NESEMANN, URTE (2005): Das wendung einer Vorlage des "Leitfaden zur Gesetz zur Einführung einer strategischen FFH-Verträglichkeitsprüfung im Bundes Umweltprüfung und zur Umsetzung der EG- fernstaßenbau (Leitfaden FFH-VP)", Issue 2004, Richtlinie 2001/42/EG, in: Hand des BMVBW, bearbeitet in der Arbeitsgruppe des buch der Umweltverträglichkeitsprüfung, Eisenbahn-Bundesamtes "Umweltleitfaden", Eckhard Chapter 0507, Issue 4/05. 65 p. Roll, Bertram Walter, Cornelia Hauke, Kirsten Sommerlatte, Status: July 2005. BUNZEL, A. (2005): Umweltprüfung in der Bauleitplanung. Arbeitshilfe Städtebaurecht, EUROPEAN COMMISSION (2000): Deutsches Institut für Urbanistik, Berlin, NATURA 2000 – Area Management. 156 p. The specification of Article 6 of the Habitat Directive 92/43/EEC, Luxembourg. BUSSE, J. (2004): Die Plan-UP-Richtlinie aus eur-lex.europa.eu/LexUriServ/ kommunaler Sicht, in: BayGTzeitung 4/2004. LexUriServ.do?uri=CELEX:31992L0043: DE:HTML. Access June 2006. BUSSE, J.; DIRNBERGER, F.; PRÖBSTL, U.; SCHMID, W. (2005): Die neue Umweltprüfung EUROPEAN COMMISSION (Publ.) (2001): in der Bauleitplanung – Ratgeber für Planer Examination of the compatibility of plans and und Verwaltung. Verlagsgruppe Hüthig Projects with considerable effects on NATURA Jehle Rehm, Heidelberg u. a. 2000 areas. Methodology Guidelines for Fulfilling the Specifications of Article 6 Clauses 3 and 4 of the DER LANDESBEAUFTRAGTE FÜR NATUR Habitat Directive 92/43/EEC, Impacts Assessment SCHUTZ UND LANDSCHAFTSPFLEGE UND Unit, School of Planning, Oxford Brookes SENSTADT (SENATE DEPARTMENT FOR URBAN ec.europa.eu/environment/nature/nature DEVELOPMENT) 2005: Rote Listen _conservation/eu_nature_legislation/ der gefährdeten Pflanzen und Tiere von specific_articles/art6/pdf/nature_2000 Berlin. Version 1.2-07/2005. CD-ROM. Berlin. _assess_de.pdf. Access June 2006.

EAG BUILDING SAMPLE DIRECTIVE (2004) EUROPEAN COMMISSION (2003): (Sample introductory directive on the law Commission's Guidance on Implementation of the Directive 2001/42/EG of the European Parliament governing the adjustment of the Federal and Council on the examination of the environmental Building Code to the EU Directives effects of certain plans and programmes. (European Building Law Adjustment Act – EAG ec.europa.eu/ Bau); resolved by the Special Commission Urban environment/eia/home.htm. Development on 1st July 2004, Acknowledgement Access June 2006. by the Committee for the Building Trade and Urban Development on 21st/22nd October 2004.

82 Environmental Assessment Berlin's Guide for Urban and Landscape Planning

FISCHER-HÜFTLE, P. (2003): Bundesnatur HANUSCH, M.; KÖPPEL, J.; WEILAND, U. schutzgesetz Kommentar, Kohlhammer, (2005): Monitoring-Verpflichtungen aus Stuttgart, 743 p. EU-Richtlinien und ihre Umsetzbarkeit durch die Landschaftsplanung. In: UVP- FORSCHUNGSGRUPPE STADT + DORF PROF. report 19 (3+4), p. 159-165. DR. RUDOLF SCHÄFER GMBH BERLIN (2005): Ausgestaltung des Umweltberichts IÖR (INSTITUT FÜR ÖKOLOGISCHE RAUM bei Änderungen des Berliner Flächennut ENTWICKLUNG E.V. DRESDEN) (2006): zungsplans nach dem EAG – Expertise – Forschungsvorhaben "Pilotvorhaben für (aktualisierte Endfassung). August 2005, eine Strategische Umweltprüfung zur Berlin, 46 p. Flächennutzungsplanung" gefördert durch die Stiftung für Bildung und Behinderten GASSNER, E. (2003): Bundesnaturschutzge förderung, Stuttgart (ehemals Stiftung setz. Kommentar unter Berücksichtigung für Bildung und Behindertenförderung). der Bundesartenschutzverordnung, des Abschlussbericht inklusive Umweltbericht Washingtoner Artenschutzübereinkom zum Flächennutzungsplan der VG Rothen mens, der EG-Artenschutz-Verordnungen, burg-Hähnichen. 14.02.2006, Prof. Dr. der EG-Vogelschutz-Richtlinie und der EG- Markus Reinke, Dresden / Weihenstefan. Richtlinie "Fauna, Flora, Habitate". 2nd completely 145 p. www.tu-dresden.de/ioer/PDF/ revised edition, neubearb. Aufl. Beck, München, PublikPDF/P158_Endbericht.pdf. 1299 p. KÖPPEL, J.; PETERS, W.; WENDE, W. (2004): GASSNER, E.; WINKELBRANDT, A. (2005): Eingriffsregelung Umweltverträglichkeit UVP - Rechtliche und fachliche Anleitung sprüfung FFH-Verträglichkeitsprüfung. für die Umweltverträglichkeitsprüfung. 4. Ulmer, Stuttgart, 367 p. Auflage, C. F. Müller Verlag, Heidelberg. KRAUTZBERGER, M. (2004): Die Umwelt GELLERMANN, M. (2003): Artenschutz in der prüfung im Bauleitplanverfahren nach Fachplanung und der kommunalen Bauleit dem EAG Bau 2004. Umweltplanungsrecht, planung. in: Natur und Recht, Heft 7/2003. 24 (11+12), p. 401-408. p. 385-394. KRAUTZBERGER, M.; STÜER, B. (2004): GERHARDS, I. (2002): Naturschutzfachliche Umweltprüfung und Abwägung. Vom Handlungsempfehlungen zur Eingriffs schlichten Wegwägen zum Grundsatz regelung in der Bauleitplanung. Auf der der nachhaltigen Trauerarbeit. DVBl. 2004, Grundlage der Ergebnisse des F+E-Vorha Heft 15. bens 899 82 100 "Erarbeitung von Hand lungsempfehlungen für die Kommunen LANA (GERMAN INTER-STATE WORKING GROUP FOR zur Abarbeitung der naturschutzrechtlichen NATURE CONSERVATION, LANDSCAPE MANAGEMENT Eingriffsregelung in der Bauleitplanung" AND RECREATION, STANDING COMMITTEE des Bundesamtes für Naturschutz. INTERVENTION REGULATION) (2002): Position Bonn-Bad Godesberg, 159 p. paper on the regulation of intervention pursuant to Sect. 18-21 FNCA. Unpublished.

Environmental Assessment Berlin's Guide for Urban and Landscape Planning 83

LANA (GERMAN INTER-STATE WORKING GROUP RUNGE, H. (2005): Feldlerche, Schlingnatter FOR NATURE CONSERVATION, LANDSCAPE und Feldspitzmaus in der Vorhabenszulas MANAGEMENT AND RECREATION) (2006): sung. Erfahrungen mit der Bewältigung Indications of the LANA on the application of artenschutzrechtlicher Anforderungen in the European Species Protection Act in the der Verkehrsplanung. Vortrag. Tagung Na approval of projects and in planning. tionale und europäische Anforderungen an Umweltbeiträge in der Verkehrsplanung, LAMBRECHT, H. (1998): Der Vollzug des BMVBW, Technical University, BDLA. 17.-18.11.2005. Vermeidungsgebotes der naturschutzrecht Berlin. lichen Eingriffsregelung – Grundlagen, offene Fragen und Perspektiven am Beispiel SANGENSTEDT, C. (2000):"Stand der Einfüh des Straßenbaus. Zeitschr. f. angewandte rung einer Strategischen Umweltprüfung Umweltforschung 11 (2), p. 167-185. in Europa und Handlungsbedarf in Deutsch land" in BDLA (Hrsg.): Strategische Umwelt MÜLLER, M.H. (2005): Das System des deut prüfung von Plänen und Programmen, schen Artenschutzrechts und die Auswir Wann und wie kommt die SUP?; Tagungs kungen der Caretta-Entscheidung des EuGH dokumentation vom 5. May 2000 in der Uni auf den Absichtsbegriff des § 43 Abs. 4 versität GH Kassel, August 2000. FNCA. in: Natur und Recht, Heft 3/2005, p. 157-163. SANGENSTEDT, C. (2001): Vorstellung und Bewertung der Richtlinie der EG zur Strate PETERS, H.-J.; BALLA, p. (2006): Gesetz gischen Umweltprüfung. in: Reiter, Sven über die Umweltverträglichkeitsprüfung. (Hrsg.): Neue Wege in der UVP. Novellierte Handkommentar. 3rd edition 2006. Nomos, UVP-Gesetzgebung und innovative Metho Baden-Baden. 533 p. dik. Verlag Irene Kuron Bonn, p. 235-254.

RASSMUS, J., BRÜNING, H., KLEINSCHMIDT, SANGENSTEDT, C. (2005):"Die SUP-Richtlinie: V., RECK, H. & DIERSSEN, K. (2001): Stand der Umsetzung in Germany". Arbeitsanleitung zur Berücksichtigung der UVP-report. 19 (1): p. 12-19. Wechselwirkungen in der Umweltverträg lichkeitsprüfung. F & E - Vorhaben des SANGENSTEDT C. (2005a): Das Gesetz zur Umweltbundesamtes, UBA-Texte 18/01: Einführung einer Strategischen Umwelt p. 1-135. prüfung und zur Umsetzung der Richtlinie 2001/42/EG. Gemeinsame Fachtagung des RODER, M. (2003): Anforderungen der Plan BMU, der Universität Kassel und des BDLA UVP-Richtlinie an ein Monitoring für Pläne "Strategische Umweltprüfung im neuen und Programme. Vortrag im Rahmen der UVPG" Kassel, 26.09.2005, Tagungsdoku DIFU-Fachtagung "Kommunale Umwelt mentation, 23 p. berichterstattung und Monitoring bei der Plan-UVP", 30 September 2003, Berlin. SAUER, H. (2005): FNP-Änderungen und Umweltprüfungen in der Praxis. 488. Kurs des Instituts für Städtebau Berlin.

84 Environmental Assessment Berlin's Guide for Urban and Landscape Planning

SCHUBERT, M. (2005): Die bauplanungsrecht STEIN, W. (2005): Entwurf des Merkblatts zur liche Umweltprüfung im Spannungsfeld Strategischen Umweltprüfung von Plänen EG-rechtlicher Vorgaben und kommunaler und Programmen im Verkehrssektor. UVP- Praktikabilitätsansprüche. Natur und Recht, report, 19 (1): p. 38-40. 27 (6): p. 369-375. STORM, P.-C.; BUNGE, T. (1988ff): Hand SENSTADT (SENATE DEPARTMENT FOR URBAN buch der Umweltverträglichkeitsprüfung DEVELOPMENT) (2001): Richtlinien (HdUVP). Ergänzbare Sammlung der zum Darstellungsumfang (Entwicklungs Rechtsgrundlagen, Prüfungsinhalte und rahmen) sowie zu Änderungen des methoden für Behörden, Unternehmen, Flächennutzungsplans Berlin (RL - FNP) Sachverständige und die juristische Praxis, vom 23. January 2001. lose Blattsammlung Stand 2005, Erich Schmidt, Berlin. SENSTADT (SENATE DEPARTMENT FOR URBAN DEVELOPMENT) (2004): Land STÜER, B.; SAILER, A. (2004): Monitoring schafts- und Artenschutzprogramm und in der Bauleitplanung. in: BauR 9/2004, Artenschutzprogramm. Ergänzung 2004. p. 1392-1398. Die Ausgleichsflächenkonzeption. Berlin.

TU BERLIN (TECHNISCHES UNIVERSITÄT SENSTADT (SENATE DEPARTMENT FOR URBAN BERLIN, INSTITUTE FOR LANDSCAPE DEVELOPMENT) (2004a): Verfahren ARCHITECTURE AND ENVIRONMENTAL zur Bewertung und Bilanzierung von Ein PLANNING) (2005): Methodische griffen im Land Berlin. Berlin. Ergänzung des Verfahrens zur

Bewertung und Bilanzierungvon SENSTADT (SENATE DEPARTMENT FOR URBAN Eingriffen im Land Berlin als Öko- DEVELOPMENT) (Publ.) (2005): Kontoansatz. im Auftrag der Senatsverwaltung Europaweiter Naturschutz NATURA 2000 in für Stadtentwicklung I. Projektleiter: Prof. Berlin – Informationen zur Umsetzung der Dr. Johann Köppel, Bearbeitung: Dipl.-Ing. EU-Richtlinien zu Fauna-Flora-Habitat und Julya Köller, Berlin. Vogelschutz. Faltblatt, Berlin.

TECHNISCHES UNIVERSITÄT, PLANNING GROUP ECOLOGY SENSTADT (SENATE DEPARTMENT FOR URBAN + ENVIRONMENT, BAUMEISTER RECHTSAN DEVELOPMENT) UND LANDESBE WÄLTE (2005): Bestimmung des Verhältnis AUFTRAGTER FÜR NATURSCHUTZ UND ses von Eingriffsregelung, FFH-VP, UVP und LANDSCHAFTSPFLEGE (2005): Biotop SUP im Vorhabensbereich. F+E-Vorhaben kartierung Berlin. Grundlagen - Standards im Auftrag des Bundesamts für Natuschutz. Bewertung. Version 2.1 (June 2005). FKZ 803 82 060. CD-ROM. Berlin.

VON ZAHN, K. (2005): Monitoring in SSYMANK, A.; HAUKE, U.; RÜCKRIEM, C.; der Bebauungsplanung und bei FNP-Ände SCHRÖDER, E. (1998): Das europäische rungsverfahren. Ergebnisse eines Fachgesprächs, Schutzgebietssystem Natura 2000. BfN- in: UVP-report 19 (1) 2005: p. 50-53. Handbuch zur Umsetzung der Fauna-Flora Habitat-Richtlinie und der Vogelschutz- Richtlinie, Schriftenreihe für Landschafts pflege und Naturschutz 53, Bonn, 560 p.

Environmental Assessment Berlin's Guide for Urban and Landscape Planning 85

4.6 Legislation and Ordinances General Railways Act (GRA) dd. Berlin Waterways Act (BWA) in the version 27 December 1993 (GVBl. I p. 2378, 2396) dd. 3 March 1989 (GVBl. p. 606), last last amended by Art. 1 of the Act amended by Act dd. 17 January dd. 3 August 2005 (FG p. 2270 corr. 5. 2005 (GVBl. p. 106), amended by Art. XI 2420) of the Act dd. 21 July 2006 (GVBl. p. 819) Tree Preservation Ordinance (TPO), Ordinance governing the protection of the Federal Protection of Species Ordinance existing stock of trees in Berlin dd. (FPSO) dd. 16 January 2005 11 January 1982 (GVBl. p. 250), last (FG I p. 258 (896)) amended by Art. x of the Act dd. 21 July 2006 (GVBl. p. 819) Federal Act on the Conservation of Soils (FACS),

Law governing protection against harmful soil Federal Building Code (FBC) in the version changes and the remediation of pollution, dd. of the publication dd. 23 September 2004 (FG I 17 March 1998 (FG I p. 502), last amended by Art. 3 p. 2141), last amended by of the Act dd. 9 December 2004 (FG I p. 3214) Article 3 of the Act dd. 5 September 2006 (FG I p. 2098) Federal Highways Act (FHA) in the version of the publication dd. Building Regulations for Berlin (BRBln) dd. 20 January 2003 (FG I p. 286), last 23 September 2005 (GVBl. p. 495) amended by amended by Art. 3 of the Act dd. Article V of the Act dd. 21 July 2006 (GVBl. p. 22 April 2005 (FG I p.1128)

819) (FIPA) Federal Immission Protection Act in the version of the publication dd. Construction Method Ordinance (CMO), 26 September 2002 (FG I p. 3830), last Ordinance governing building documents, amended by Article 1 of the Act dd. constructional certification and the method in 25 June 2005 (FG I p. 1865) detail dd. 19 October 2006

(GVBl. p. 1035) Federal Nature Conservation Act (FNCA), Berlin Act on the Conservation of Soils Law governing nature conservation and landscape management dd. 25 March 2002, FG I p. 1193, (BlnACS), last amended by Art. 40 of the Act Berlin law governing the implementation of dd. 21 June 2005 (FG I p. 1818) the Federal Act on the Conservation of Soils

dd. 24 June 2004 Federal Waterways Act (FWA) in (GVBl. p. 250) the version of the publication dd. 4 November 1998 (FG I p. 3294), last Berlin Act on the Environmental Impact amended by Act dd. 25 May 2005 Assessment (BlnAEIA); dated 21 July (FG I p. 1537) 1992 (GVBl. p. 234), amended on 16 Sep tember 2004 (GVBl. p. 391) European Building Law Adjustment Act (EAG

Bau), law governing the adjustment of the Federal Building Berlin Nature Conservation Act (BNCL), Code to EU Directives dd. 24 June 2004 Law governing nature conservation and landscape management in Berlin in the (FG I p.1359) version dd. 9 November 2006 (GVBl. p. 1073) Berlin Freedom of Information Act (BlnFIA), Law supporting the freedom of information in the Berlin Roads Act (BlnRA) dd. Federal state of Berlin dd. 15 October 1999 13 July 1999 (GVBl. S 380), last amended (GVBl. p. 561; Sect. 2(2) newly worded by Act dd. by Art. VI of the Act dd. 21 July 2006 19 December 2005, GVBl. p. 791) (GVBl. p. 819)

86 Environmental Assessment Berlin's Guide for Urban and Landscape Planning

Recycling and Waste Management Act Environmental Information Act (EInfA), (RWMA), law for the support of recycling and Law governing the restructuring of the ensuring the environmentally friendly Environmental Information Act and disposal of waste. amendment of the legal bases for the Dated 27 September 1994 (FG I p. 2705), last emissions trade dd. 22 December 2004 amended by Act dd. 15 July (FG I p.3704). 2006 (FG I p. 1619) Environmental Information Directive, Recycling and Waste Management Act Directive 2003/4/EG of the European Parlia Berlin (RWMA Bln), law for the support of ment and the Council dd. 28 January 2003 recycling and ensuring the environmentally concerning access by the public to environ friendly removal of waste in Berlin dd. mental information and for suspension of the 21 July 1999 (GVBl. p. 413), last amended Council Directive 90/313/EEC by Act dd. 11 July 2006 (GVBl. p. 819) (ABl. EU No. L 41 p.26)

Federal State Forestry Act (FSFA): law Act governing the Environmental for the conservation and management of the Impact Assessment (EIAA) in the forest. Dated 16 September 2004 (GVBl. p. version of the publication dd. 5 September 391), last amended by Act dd. 11 July 2006 2001 (FG I p. 2350), last amended by (GVBl. S 819) Act dd. 15 July 2006 (FG I p. 1619)

Federal State Immission Protection Act EIA Directive (EIA Directive), Council directive dd. 27 June 1985 concerning the environ Berlin mental impact assessment for certain public (FSIPA) dd. 5 December 2005, and private projects (85/337/EEC). (GVBl. p. 735, corrected GVBl. 2006 p. 42) Dd. 27 June 1985 (ABl. EG L 175 p. 40),

last amended on 26 May 2003 (ABl. EG Regional Planning Act (RPA) dd. 18 August L156 p. 17) 1997 (FG S 2081) last amended by

Art. 2b of the Act dd. 25 June 2005 Traffic Route Planning Acceleration Act (BGBL I p. 1746) (TRPAA) dd. 16 December 1991

(FG I p. 2174), last amended by Act Environmental Protection Scale of Charges dd. 22 December 2005 (FG I p. 3691) (EPSC), ordinance governing the charging of fees in Ordinance on Planning Approval Procedure environment protection dd. 1 July 1988, (9th OPAP), Ninth Ordinance governing the last amended by Art. 2 of the Act dd. Implementation of the Federal Immission Pro 19 December 2005 (GVBl. p. 791) tection Act in the version of the publication dd. 29 May 1992 (FG I p. 1001), last Environmental Information Expenses amended by Art. 5 of the Act dd. 21 June 2005 Ordinance (EIEO), ordinance governing (FG I p. 1666) expenses of official acts by the bodies obliged to provide information when implementing the Federal Water Act (WHG), law governing Environmental Information Act in the version the management of the water system. In the version of the publication of the new version of the publication dd. 23 August 2001 dd. 19 August 2002 (FG I p. 3245), (FG I p. 2247), amended by Act last amended by Art. 2 of the Act dd. 22 December 2004 (FG I p. 3704) dd. 25 June 2005 (FG I p. 1746)

Environmental Liability Act (ELA) dd. 10 December 1990 (FG I p.2634) last amended by Act dd. 19 April 2006 (FG I p.866)

Environmental Assessment Berlin's Guide for Urban and Landscape Planning 87

4.7 Abbreviations A FG Federal Gazette acc. according FHA Federal Highways Act Art. Article Fig. Figure B FIPA Federal Immission Protection Act FNCA BlnACS Berlin Act on the Conservation Federal Nature Conservation Act of Soils FPSO Federal Protection of Species BlnAEIA Berlin Act on the Environmen- Ordinance tal Impact Assessment FSFA Federal State Forestry Act FSIPA BlnFIA Berlin Freedom of Information Federal State Immission Protection Act Act Berlin BlnRA Berlin Roads Act FWA Federal Waterways Act BNCL Berlin Nature Conservation Act BWA Berlin Waterways Act G BRBln Building Regulations for Berlin GRA General Railways Act

C I cf. compare ibid. at the same place Chap. Chapter i.e. that is Cl. Clause CMO Construction Method Ordinance L conj. conjunction LANA German Inter-state Working Group for Nature Conservation, Landscape D Management and Recreation dd. dated LaPro Berlin's Landscape Programme including Nature Conservation Landscape Management Plan E LBP

EAGBau European Building Law Adjust- ment Act M EBC Federal Building Code Ed. Editor e.g. for example marg. no. marginal number EIA Environmental Impact Assessment N EIAA Act governing the Environmen- NIA 2000 Natura 2000 Impact Assessment tal Impact Assessment no. number EIEO Environmental Information nos. numbers Expenses Ordinance EInfA Environmental Information Act O ELA Environmental Liability Act OPAP Ordinance on Planning Approval EPSC Environmental Protection Scale Procedure of Charges

especially P esp. page(s) et seq. and the following page p. prelim. preliminary et sqq. and the following pages

F FACS Federal Act on the Conservation of Soils FBC Federal Building Code FFH Flora-Fauna-Habitat Normung e.V. FFH-CD Flora-Fauna-Habitat Council Directive

88 Environmental Assessment Berlin's Guide for Urban and Landscape Planning

R RPA Regional Planning Act RWMA Recycling and Waste Management Act RWMA Bln Recycling and Waste Manage ment Act Berlin

S SEA Strategic Environmental Assessment Sect. Section SenStadt Senate Department for Urban Planning SPA Special Protected Area

T TÖB authority for public concerns TPO Tree Preservation Ordinance TRPAA Traffic Route Planning Acceleration Act

W WHG Federal Water Act

Environmental Assessment Berlin's Guide for Urban and Landscape Planning 89

4.8 Addresses

4.8.1 Recognised Nature Conservation Organisations Schutzgemeinschaft Berliner Landesarbeitsgemeinschaft Deutscher Wald e.V. Naturschutz e. V. Königsweg 4 / Jagen 57 Potsdamer Straße 68 14193 Berlin, Eichkamp / Germany 10785 Berlin / Germany Tel. +49 30 8133442 Tel. +49 30 2655-0864-08 or -65 Fax +49 30 8133442 Fax +49 30 2655-1263 [email protected] [email protected] www.sdw-berlin.de www.bln-berlin.de Volksbund Naturschutz e. V. Bund für Umwelt und Naturschutz Königin-Luise-Straße 6-8 Berlin e. V. 14195 Berlin / Germany Landesverband Berlin e.V. Tel./Fax 01805 060 33 44 13 49 Crellestraße 35 [email protected] 10827 Berlin / Germany www.vbnev.de Tel. +49 30 787900-0 Fax +49 30 787900-18 Landesjagdverband Berlin e. V. [email protected], Haus der Jagd [email protected] Sundgauer Straße 4 www.bund-berlin.de 14169 Berlin / Germany Tel. +49 30 8116565 German Nature Conservation Association Fax +49 30 8114022 (NABU) [email protected] Landesverband Berlin e.V. www.ljv-berlin.de Wollankstraße 4 13187 Berlin / Germany Baumschutzgemeinschaft Berlin e. V. Tel. +49 30 9860837-0 / 986 4107 Potsdamer Straße 65 Fax +49 30 986-7051 10785 Berlin / Germany [email protected] Tel. +49 30 25794353 www.nabu-berlin.de Fax +49 30 2655-1263 [email protected]

Deutsche Gesellschaft für Herpetologie und Terrarienkunde (DGHT) Naturschutzzentrum Ökowerk Berlin e. V. Landesverband Berlin e.V. Teufelsseechaussee 22 - 24 Attn. Dr. A. Biehler 14193 Berlin / Germany Bartschweg 20 a Tel. +49 30 30000-50 14089 Berlin / Germany Fax +49 30 30000-515 Tel. +49 30 3654275 [email protected] [email protected] [email protected] www.dght.de www.oekowerk.de

90 Environmental Assessment Berlin's Guide for Urban and Landscape Planning

4.8.2 Public Authorities

4.8.2.1 Supreme Nature Conservation Authority Grüne Liga Berlin Senate Department for Urban Development Landesverband des Grüne Liga e. V. IE - Landscape Planning, Nature Conservation Grünes Haus Berlin and Forestry Prenzlauer Allee 230 Am Köllnischen Park 3 10405 Berlin / Germany 10179 Berlin / Germany Tel. +49 30 443391-0 Tel. +49 30 9025-1303 Fax +49 30 443391-33 Fax +49 30 9025-1057 [email protected] www.grueneliga-berlin.de 4.8.2.2 Regional Representative for Nature Conservation and Landscape Management NaturFreunde Deutschlands Senate Department for Urban Development Landesverband Berlin e.V. Am Köllnischen Park 3 Verband für Umweltschutz, 10179 Berlin / Germany sanften Tourismus, Sport und Kultur Tel. +49 30 9025-1030 Ringstraße 76/77 Fax +49 30 9025-1057 12205 Berlin / Germany Tel. +49 30 8332013 Fax +49 30 83203911 [email protected] www.naturFreunde-Berlin.de

Environmental Assessment Berlin's Guide for Urban and Landscape Planning 91

4.8.2.3 Borough Administrations

Borough Mitte Friedrichshain - Pankow Charlottenburg- Spandau Steglitz - Kreuzberg Wilmersdorf Zehlendorf

Amt/LuV Amt für Planen Amt für Stadt Amt für Planen Stadtplanungs Stadtplanungsamt Bauordnungsamt und Genehmigen planung, und Genehmigen und Vermessungs FB Stadtplanung Vermessung und amt Bauaufsicht

Office Iranische Straße 3 Yorckstraße 4-11 Storkower Straße Fehrbelliner Platz 4 Carl-Schurz-Straße Kirchstraße 1-3 13347 Berlin 10965 Berlin 139C, 10407 Berlin 10707 Berlin 2-6, 13597 Berlin Bauteil E 14163 Berlin

Tel. 2009-45845/ 90298-2543 90295-3464 9029-14100 3303-2263 90299-5263 Fax 2009-88-45846 90298-2411 90295-3484 9029-14105 3303-2947 90299-7725

Amt/LuV Amt für Umwelt Amt für Umwelt Amt für Umwelt Amt für Umwelt, Naturschutz- und Naturschutz- und Natur und Natur und Natur Natur und Verkehr Grünflächenamt und Grün flächenamt

Office Iranische Straße 3 Yorckstraße 4-11 Fröbelstraße 17 Fehrbelliner Pionierstraße 80 Kirchstraße 1-3, 13347 Berlin 10965 Berlin 10405 Berlin, Platz 4 13589 Berlin Bauteil B Haus 6 10707 Berlin 14163 Berlin

Tel. 2009-43054 90298-4411 90295-6447 9029-14501 3303-3025 90299-5268 Fax 2009-43057 90298-2727 90295-6215 9029-14505 3303-3955 90299-6388

Amt/LuV Umweltamt

Office Carl-Schurz-Straße 2-6, 13597 Berlin

Tel. 3303-3888 Fax 3303-3388

92 Environmental Assessment Berlin's Guide for Urban and Landscape Planning

Bezirk Tempelhof - Neukölln Treptow- Marzahn - Lichtenberg Reinickendorf Schöneberg Köpenick Hellersdorf

Amt/LuV Amt für Planen, Amt für Planen, Stadtplanungsamt Amt für Stadt Amt für Planen Planen, Genehmigen und Bauordnung und planung und Vermessen Ordnen und Denkmalschutz Vermessung, und Vermessung Vermessen Stadt- u. Land schaftsplanung

Office Tempelhofer Karl-Marx-Straße Alt-Köpenick 21 Helene-Weigel- Möllendorff Eichborndamm Damm 165 83, 12043 Berlin (Rathaus Köpe Platz 8 straße 6, 215-239 12099 Berlin nick) 12555 Berlin 12681 Berlin / 10367 Berlin 13437 Berlin Germany Tel./Fax 7560-6523 6809-3512 6172-2312 90296-4210 90294-2263 7560-7852 6809-2418 6172-2324 90293-5100 90296-6409 90294-3423 90293-5105 Amt/LuV Amt für Umwelt, Naturschutz- und Amt für Umwelt Amt für Umwelt Garten- und Natur und Grünflächenamt und Natur Natur- und und Natur Straßenbauamt Tiefbau Umweltamt

Office Manteuffelstraße Karl-Marx-Straße Rinkartstraße 13 Alt-Friedrichsfelde Teichstraße 65 63, 12103 Berlin 83, 12043 Berlin 12437 Berlin Premnitzer Straße 60, 10315 Berlin 13407 Berlin 4, 12681 Berlin Tel./Fax 7560-3801 6809-2268 6172-5823 90296-4280 90294-2268 7560-3802 6809-3748 6172-5859 90293-6700 90296-4289 90294-3420 90293-6705 Amt/LuV Umweltamt

Office Karl-Marx-Straße 83, 12043 Berlin

Tel./Fax 6809-2352 6809-3200

Environmental Assessment Berlin's Guide for Urban and Landscape Planning 93

4.9 Index of Figures Page 35 Fig. 18: Osmoderma eremita, a priority species 6 Fig. 1: River Spree, East Harbour from Annex II of the FFH-CD

9 Fig. 2: Evaluation instruments and their 36 Fig. 19: Brimstone butterfly on a Carthusian pink protected commodities 38 Fig. 20: Geographical area of application of 12 Fig. 3: Construction site at the main train environmental legal provisions station in Berlin, Spreebogen 40 Fig. 21: Scope of application 14 Fig. 4: Test steps for regulating interventions State Forests Act under the Nature Conservation Law 43 Fig. 22: Construction of the Federal Motorway 15 Fig. 5: Preventative measure on Pots BAB A113 in Rudow-Altglienicke, Berlin damer Platz: conservation of the natural landmark 'Alte Potsdamer Straße' 45 Fig. 23: For the street construction Groß-Berliner Damm 16 Fig. 6: System for controlling amphibians on Pankgrafenstraße in Berlin, Pankow 46 Fig. 24: New construction of the Charlottenburg lock 17 Fig. 7: Compensation measures at the motorway interchange in Berlin, Neukölln 49 Fig. 25: Reconstruction of the Northern Cross for long-distance and urban rail (Berlin, Mitte and 18 Fig. 8: General urban mitigation Pankow) plan 50 Fig. 26: Route variants from the EIA study 20 Fig. 9: Ecological account: action plan on the east-west route (Berlin, Köpenick)

22 Fig. 10: Special right for protection of species 52 Fig. 27: Scheduled discussion in the context of a planning permission procedure 23 Fig. 11: Joint process steps in the regula tion of intervention: special protection of 55 Fig. 28: Soil productivity: map excerpt species in the Countryside Conservation from the Environmental Atlas Plan Map 2006-12-01

24 Fig. 12: Temporary habitats for sand 59 Fig. 29: Development plan for Adlershof in lizards at the Nature Conservation Berlin, collective compensatory measures Station in Malchow Plan XV-68 61 27 Fig. 13: Europe-wide conservation – Fig. 30: Green corridor on the banks Natura 2000 sites in Berlin of the Spree

29 Fig. 14: Procedural steps of the FFH impact 62 Fig. 31: Environmental report (excerpt): assessment under Sect. 34 and 35 FNCA Land Use Plan Changes for Berlin, Mahlsdorf

30 Fig. 15: New construction of a cycle path 63 Fig. 32: Alternative building structurs in the in a NATURA 2000 site Land Use Plan (residential area type W3) (Sauer 2005) 32 Fig. 16: Fließwiese Ruhleben (Berlin, Charlottenburg) 69 Fig. 33: Soil profile

34 Fig. 17: FFH site: Schloßpark Buch 72 Fig. 34: Avenue of trees in Barnim near Berlin

79 Fig. 35: Environmental information

94 Environmental Assessment Berlin's Guide for Urban and Landscape Planning

4.10 Index of Tables 4.11 Sources of Figures Page

10 Table 1: Scoping (general questions Photographs spanning all instruments) Title UrbanPR

39 Table 2: Variations between SEA and EIA 6 P. Meuser (Selection) 12 SenStadt 41 Table 3: Specific proposals necessitating an EIA (example from Annex 1 of 15 U. Borgenhagen the EIA Act) 16 C. Funk 42 Table 4: Strategic Environmental Assess ment and Environmental Impact Assess 17, 43 Kempa ment process sequences (simplified) 18 Senate Department for Urban Development, IE1 44 Table 5: Approval of the scope of analysis 24 Naturschutzstation Malchow e. V.

47 Table 6: Statutory requirements regarding 30, 52 H. Thierfelder the contents of an environmental im pact study and an environmental 49 G. Schumann report pursuant to an environmental impact assessment 36 B. Machatzi

54 Table 7: Design of monitoring 32 K. Goetz

measures 34 T. Eichhorn

56 Table 8: Differences between nature conservation and building law 69 M. Frielinghaus intervention regulations 33, 72 M. Kirsten

74-75 Table 9: Legal bases for the implementation G. Möller of the environmental test control units in 35 the statutory planning procedure and project approval procedure 40 T. Wiehle

75 Table 10: Legal bases of the regulation of 46 Orthofotomosaik, aerial survey 2004, intervention Senatsverwaltung, III

76 Table 11: Legal bases for the Reproductions 6, 38 Natura 2000 Impact Assessment piekart e.K.

Runge 77 Table 12: Legal bases for the 23

environmental impact assessment and the strategic 45 büro limburg arbeitsgemeinschaft environmental assessment landschaftsarchitekten & dipl.ing.

Table 13: Legal bases for environmental 50 Seebauer, Wefers und Partner GBR 78 assessment in urban development

59 Adlershof Projekt GmbH planning

80 Table 14: Legal bases for access to 55 Environmental Atlas of Berlin environmental information 63 H. Sauer

Environmental Assessment Berlin's Guide for Urban and Landscape Planning 95

4 About this website

Editor Senate Department for Urban Development - Communications Württembergische Straße 6 10707 Berlin Editorial processing Technische Universität Berlin Institute of Landscape Architecture and Environmental Planning (esp. Environmental Impact Assessment) Prof. Dr. Johann Köppel Dipl. Ing Sonja Pobloth Dipl. Ing Elke Weingarten Senate Department for Urban Development I E Editor-in-Chief: Heinz Brandl (responsible) Christoph Funk Annette Mangold Karin Ruddeck Holle Thierfelder We would like to express our gratitude to the colleagues from the following Depart ments: IA, I B, I E, II C, III F, VII E and IX. www.stadtentwicklung.berlin.de Graphic concept, layout and production MedienDesignBÜRO, Christian Vahldiek www.mediendesignbuero.de Distribution Kulturbuch-Verlag GmbH Sprosserweg 3 12351 Berlin Tel. +49 30 6618484 Fax +49 30 6617828 3. Updated edition Berlin, December 2006 Nominal fee 12.00 euros ISBN 978-3-88961-198-7

96 Environmental Assessment Berlin's Guide for Urban and Landscape Planning

During the past few years, new EU legal regulations in particular have considerably extended the scope of application in urban and landscape planning for issues from the fields of nature, landscape and the environment.

Apart from instruments well -proven in practice, such as the regu - lation of intervention in accordance with the nature conservation law and the environmental impact assessment, new procedures were integrated in special laws. Now, in particular, the Natura 2000 Impact Assessment, Strategic Environmental Assessment and environmental assessment in urban development planning supple - ment the planning inspection catalogue from an environmental and land - scaping point of view.

In order to present the resultant requirements and processing steps in a user -friendly manner to all of those involved (planning offices, public administration, associations as well as the interested public) the environmental assessments have been compiled in this guide.

For a better understanding, each one is explained individually. Sensible steps for coordinating them are given, and these are additional information on legal and/or further sources of infor - mation are provided. As often as possible, reference is made to planning practice in Berlin.

In future, the challenging standards set by the environment and landscapes shall also be efficiently integrated in planning procedures.