Concept and Objective of Environmental Impact Assessment (EIA)
The Environmental Impact Assessment (EIA) is a legally binding procedure for systematically identifying, describing, and evaluating the environmental impacts of certain projects before they are approved. The goal of the EIA is to identify any significant environmental effects at an early stage and to ensure that they are appropriately considered during the decision-making process regarding a project’s approval. The EIA serves as a preventive measure for environmental protection and aims to achieve a high level of protection for people and the environment.
Legal Foundations of the Environmental Impact Assessment
International and European Requirements
The primary international requirements are based particularly on the Espoo Convention of 1991, which sets out fundamental rules for transboundary environmental impact assessments. At a European level, Directive 2011/92/EU, as amended by Directive 2014/52/EU (the EIA Amending Directive), is the key legal basis. This directive obliges all member states to implement the EIA procedure for certain public and private projects and to conduct them according to uniform standards.
National Implementation in Germany
In Germany, the EIA is comprehensively regulated in the Environmental Impact Assessment Act (UVPG). The UVPG legally binds the EIA to the approval procedure for numerous projects, supplemented by specific provisions in other sectoral laws such as the Building Code (BauGB), the Federal Immission Control Act (BImSchG), the Water Resources Act (WHG), and the Energy Industry Act (EnWG). The EIA is also an integral part of various specialized planning procedures as an independent procedural step (for example, in large infrastructure projects or industrial facilities).
Essential Characteristics of the EIA under German Law
- Legal basis: Especially the UVPG as well as provisions of the respective sectoral and planning law
- Mandatory implementation for projects that are conclusively listed in Annex 1 UVPG (e.g., large-scale plants, infrastructure projects)
- Case-by-case preliminary examination where an EIA obligation depends on the specific project
- Consideration of results as a binding part of the overall planning decision (“integration of the EIA”)
Procedure and Sequence of the Environmental Impact Assessment
Examination Obligation and Scope of Application
In Germany, the obligation to conduct an EIA is generally derived from a conclusive list in Annex 1 of the UVPG, which covers projects causing significant environmental impacts. For other projects, a preliminary assessment is carried out to determine whether a significant environmental risk exists (screening). Key criteria include the nature, size, and location of the project as well as its potential effects.
Detailed Steps of the Procedure
Application Submission and Presentation of Documents
The project developer must submit an application subject to EIA to the permitting authority. They are obliged to provide extensive documentation, including a description of the project, possible alternatives, and an environmental impact study called an EIA report.
Notification and Public Participation
The EIA is characterized by transparency and public participation. All application documents must be made accessible, and the public (including recognized environmental organizations) is invited to submit comments. Interested parties may raise objections, thus playing a significant role in the decision-making process.
Involvement of Authorities
Specialist authorities are extensively involved in the procedure. They provide their opinions, particularly concerning their respective environmental interests (e.g., emission control, nature conservation, water management).
Environmental Impact Study and Evaluation
The core of the procedure is the preparation and evaluation of the Environmental Impact Assessment. All significant environmental effects of the project are described, assessed, and documented: impacts on people, animals, plants, soil, water, air, climate, landscape, cultural and material assets, as well as the interactions between these protected assets. The assessment includes the consideration of alternatives and, if necessary, measures to prevent, reduce, or compensate for these impacts.
Environmental Impact Assessment in the Decision-Making Process
The results of the EIA must be taken into account in the reasoning for the approval decision. The authority must explain how environmental concerns were assessed and integrated into the overall decision (statement of reasons pursuant to § 12 UVPG).
Environmental Impact Assessment and Legal Remedies
Appealability of EIA-Based Permits
Permits based on an EIA procedure are subject to judicial review by administrative courts. Incorrect implementation of the EIA or insufficient consideration of environmental issues can render the permit unlawful. Violations of public participation requirements are also taken into account during judicial review.
Right to Sue for Environmental Organizations and Affected Parties
The Environmental Legal Remedies Act (UmwRG) stipulates that recognized environmental organizations are entitled to file lawsuits against approvals requiring an EIA as well as against flawed EIA procedures. In addition, directly affected persons are entitled to file lawsuits under the general rules. The procedural steps of the EIA process give rise to special rights of participation and lawsuits, especially in cases of violations of participation rights.
Special Aspects and Further Development of the Environmental Impact Assessment
Transboundary EIA
For projects with potential impacts on neighboring states, the Espoo Convention and the UVPG (§ 14 ff.) require international consultation and transboundary public participation.
Strategic Environmental Assessment (SEA)
The EIA is further developed through the Strategic Environmental Assessment (SEA), which assesses not only individual projects but also plans and programs. The SEA is to be conducted according to SEA Directive 2001/42/EC and the German UVPG.
Electronic Procedure Management
As part of digitalization, EIA documents are increasingly published electronically and processes are handled digitally, which is intended to simplify and strengthen access to information and public participation.
Literature and Further References
- Environmental Impact Assessment Act (UVPG)
- EIA Directive 2011/92/EU as currently amended
- Environmental Legal Remedies Act (UmwRG)
- Espoo Convention
- Federal Immission Control Act (BImSchG)
Summary
The Environmental Impact Assessment (EIA) is a central component of German and European environmental law. It ensures the comprehensive identification, documentation, and consideration of environmental risks in the planning and authorization of construction projects. Its implementation is strictly regulated by law, involves extensive public participation, and, through the right of action afforded to environmental organizations, offers an effective instrument for enforcing environmental interests and controlling errors in the approval process. The EIA therefore makes a significant contribution to sustainable development and to preserving natural living resources.
Frequently Asked Questions
Who is responsible for carrying out an Environmental Impact Assessment (EIA) under German law?
The responsibility for carrying out an Environmental Impact Assessment (EIA) in Germany is determined by the relevant sectoral law under which the project approval decision is made. As a rule, this is the respective permitting or planning approval authority responsible for authorizing the project. For example, in the case of industrial plants under the Federal Immission Control Act (BImSchG), the competent environmental authorities or the environmental office of the respective municipality or federal state are responsible, while for the construction of infrastructure measures such as roads or railway lines, the planning approval authorities are responsible. It is the duty of this authority to properly initiate, implement, and consider the results of the EIA as part of its decision-making process. The competent authority must ensure that the public and other affected authorities are involved according to the requirements of the UVPG (Environmental Impact Assessment Act) and that all necessary environmental information is incorporated into the decision-making process.
What procedural steps are mandatory within the EIA process?
The EIA procedure is subject to statutory procedures which are clearly structured and must be strictly adhered to. Essential procedural steps include, first, the EIA preliminary assessment (screening), unless the project is already explicitly listed as subject to EIA. This is followed by the so-called ‘scoping’ phase, during which the scope of the study is defined together with authorities and, if necessary, the public. Subsequently, the project developer prepares an EIA report (environmental impact study) in which the anticipated environmental impacts of the project are comprehensively set out. The competent authority reviews this report for completeness and plausibility. Public participation is generally mandatory, with the documents being made available to the public and any affected party or interested person able to submit comments. The authority evaluates all objections and the statements submitted by specialist authorities and assesses the environmental impacts considering all interests. Finally, the result of the EIA is incorporated into the final approval decision, generally in the form of an ‘Environmental Impact Assessment under § 2 para. 1 UVPG,’ and the result is made public. Each of these procedural steps is bindingly regulated in the UVPG and in various sectoral laws.
What is the significance of public participation in the EIA process?
Public participation plays a central role in the EIA process and is comprehensively regulated under both the UVPG and relevant sectoral laws. It embodies the democratic principle of participation and serves to involve the concerns of citizens as well as the expertise of environmental organizations and other stakeholders in the process. Participation primarily occurs through the display (or digital publication) of EIA documents, whereby any person may submit statements and objections within a set deadline. The authority is obliged to carefully review and consider this feedback in its decision. Furthermore, the UVPG provides that statements and suggestions may be submitted not only by directly affected parties, but by any interested persons (‘anyone principle’). In cases of serious concerns, supplementary explanations or hearings must be arranged. Public participation serves the transparency and traceability of decision-making and provides a legal safeguard against erroneous environmental decisions.
To what extent can environmental organizations have standing to bring a legal action in the EIA process?
Environmental organizations may, according to the Environmental Legal Remedies Act (UmwRG) and the requirements of the Aarhus Convention, have standing as recognized environmental associations in EIA proceedings. Under § 2 UmwRG, environmental organizations have a special legal status: They can not only submit objections but also sue against the approval of a project if their statutory objectives are affected. A decisive prerequisite is that the EIA Act or the relevant sectoral law provides for an EIA or the involvement of the organizations, and that the organizations were involved at the time the documents were made public. Judicial review particularly addresses procedural errors in the EIA process, such as inadequate public or authority participation, flawed identification of environmental impacts, or the failure to consider important environmental interests. The ability of organizations to bring claims is an essential tool for monitoring compliance with environmental law requirements in the EIA process.
What are the legal consequences of a faulty or omitted EIA for the approval procedure?
If the legal requirements for the EIA are not properly observed during an approval or planning procedure – particularly in the case of a missing or inadequately conducted EIA, insufficient public participation, or neglect of relevant environmental impacts – this has serious legal consequences. In particular, there is a risk that the permit or planning decision may be challenged. German law under § 4 para. 1 sentence 1 UmwRG stipulates that an EIA that has been wrongfully omitted or inadequately conducted can lead to the annulment of the approval decision if significant environmental concerns were not properly examined and this influenced the decision. In addition, a subsequent EIA (“curing of procedural errors”) may be ordered by the authority; however, this is subject to strict time and content limits, especially if irreversible facts have already been created. The authorities and courts involved are obliged to rigorously examine and sanction violations of EIA-related requirements in accordance with the law.
Under what circumstances is a transboundary EIA required under German law?
A transboundary EIA must always be carried out when a project in Germany could have significant effects on the environment of another country, or vice versa, as regulated by the Espoo Convention and the UVPG (§ 8 ff. UVPG). In such cases, the responsible German authority must inform the affected neighboring country at an early stage about the project so that this country and its public are given the opportunity to participate in the procedure. Mutual notification, consultation, and involvement are legally mandated duties. This is particularly applicable to major infrastructure projects such as nuclear power plants, airports, or cross-border industrial facilities. The exact procedure follows international law requirements, EU directives, and the German UVPG. The transboundary EIA is of particular importance for environmental protection in the international context and contributes to European and global coordination in the protection of shared environmental assets.
