„The role of the Authorities and the Public in ...

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„The role of the Authorities and the Public in transboundary SEA and EIA”

REC – 30. November 2010

Prof. Dr. Eike Albrecht Brandenburg University of Technology Cottbus Centre for

Law

and Administration

www.tu-cottbus.de/zfrv

2

“The role of the Authorities and the Public in transboundary

SEA and

EIA”

Szentendre, 30.11.-1.12.2010

3

Introduction

Transboundary participation/cooperation is widely regulated•

In international agreements, for example:–

Espoo Convention + Kiev SEA Protocol (in force since 11 July

2010)

–

Art. 4 Basel Convention–

Art. 3 Biodiversity Convention

–

Art. 11 Rotterdam Convention on PIC procedure for certain hazardous chemicals and pesticides in international trade

–

Art. 10 Nordic Environmental Protection Convention•

In principles of international law/customary law–

ICJ-decision on nuclear tests (New Zealand/France; IJC-reports 1995, 288 [408])

–

ICJ-decision on the Gabcikovo-Nagymaros

Dam (Hungary/Slovakia, ICJ-reports 1997, 7)

Obligation to inform and consult affected states is regarded as

being customary law , in particular in Europe

•

In European law (EIA Directive, SEA Directive, Water Framework Directive, etc.)

•

And in national law

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Introduction

Formal transboundary participation informal transboundary participation

•

Formal transboundary

participation, if not otherwise regulated, means: information and participation via the respective government–

Follows diplomatic routes

–

Is time consuming–

Often not in the responsibility of a body with expertise on the issue

–

For practical issues a bilateral agreement is needed•

Informal transboundary

participation cuts/avoids the formal diplomatic

ways and leads to direct cooperation and negotiations–

Chance: fast results without complicated procedures

–

Problems: •

depends on personal contacts

•

No legal reliability because not binding•

Tendency to exclude the public (mayor’s agreements etc.)

•

Often results are depending on the acceptance of higher bodies (ex.: Neiße-bridge in old-Görlitz/Zgorcelec)

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1. Provisions for transboundary EA in German legislation

a) EIA Act–

Art. 8 EIA Act

–

Art. 9a EIA Act–

Art. 14j EIA Act

–

Art. 9b EIA Actb) Art. 7 para 3 Water Management Act 2010c) Art. 4a para 5 Federal Building Coded) Art. 15 para 3Federal Regional Planning Act 2008e) Landfill-Ordinance

–

Art. 20 Landfill-Ordinance

i.c. with

Art. 11a of the

9. FICA-Ordinancef) Immission Control Act

–

Art. 10 FICA i.c. with

Art. 11a of the

9. FICA-Ordinanceg) Atomic Energy Act

–

Art. 7a of the

Nuclear

Licensing

Procedure

Ordinance

6


a) EIA Act–

Art. 8 EIA Act. Transboundary

participation of authorities

•

Relevant for project-EIA•

Required, if relevant transboundary

effects on the environment

are possible or the neighbour state asks for participation•

Early information of the designated authority in the other state

and request for information if participation is wanted•

If yes, the possibility for issuing opinions is given

•

If required by the affected state, consultations within reasonable times have to be carried out

•

Information of the decision•

Minimum requirements: if further obligations are agreed, they have to be fulfilled

•

problem: the EIA provisions on transboundary

EIA (and SEA) have to be applicable in relation to all neighbour states, regardless if EU or not EU.

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a) EIA Act–

Art. 9a EIA Act. Transboundary

participation of the public

•

Licensing authority is obliged to take care that the project is publicised in the affected state in reasonable ways

•

Information about the competent authority for raising objections•

Including the information that claims are excluded if time limit

for

objections is exceeded•

Publication of the decision in reasonable ways

•

The authority may ask the project developer for a translation of

basic documents on base of the principles of reciprocity and equality

–

Art. 14j EIA Act. Transboundary

participation of authorities and the public•

Links the procedure in transboundary

SEA to the provisions of

transboundary

EIA–

Art. 9b EIA Act. Transboundary

participation of authorities and the public

in case of projects in neighbour states•

Regulates the participation in case of project in neighbour states

•

Responsible German authority is the authority which would be responsible in Germany fro the respective project

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b) Art. 7 para 3 Water Management Act 2010–

Coordination between competent German authorities with the authorities in other states participating at the river system.

c) Art. 4a para 5 Federal Building Code–

Participation on base of the principles of reciprocity and equality

–

Violation of SEA Directive ???d) Art. 15 para 3 Federal Regional Planning Act

–

Participation on base of the principles of reciprocity and equalitye) Landfill-Ordinance

–

Art. 20 Landfill-Ordinance i.c. with Art. 11a of the 9. FICA-Ordinance

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f) Immission Control Act–

Art. 10 FICA i.c. with Art. 11a of the 9. FICA-Ordinance

•

Regulates licensing procedure for all major industrial activities •

Similar participation rights like in the EIA Act

•

Important: Art. 11 para

4 sent. 2: equal rights for inhabitants of affected states if participation is carried out.

g) Atomic Energy Act–

Art. 7a of the Nuclear Licensing Procedure Ordinance

–

Similar regulation to Art. 11 para

4 of the 9. FICA-Ordinance–

Text see next slide

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Example Nuclear Licensing Procedure Ordinance § 7a Procedure for cross-border environmental impacts (1)

If a project requiring an EIA might have major impacts to be described pursuant to §

3 para. (1) subpara. 1 or 9 on properties to be protected in accordance with §

1a and located in another state, or upon request of another state, which might be considerably affected by the impacts, the authorities designated by the other state shall be informed about the project, with a view to the assessment pursuant to §

1a, at the same time and to the same extent as the authorities to be involved pursuant to

§

7 para. (4) sentence 4 of the Atomic Energy Act, allowing a reasonable

period of time for a notice on whether participation in the procedure is requested. If the other state has not designated the authorities to be involved, the supreme authority for environmental matters of the other state shall be informed. The licensing authority has to work towards the announcement of the project in that state in an appropriate way, stating at which authority objections can be filed and pointing out that all objections not based on specific titles under civil law will be excluded after expiration of the period for filing objections. Legal provisions with respect to secrecy, and in particular those for the protection of business or trade secrets, shall remain unaffected; conflicting rights of third parties shall be observed. The provisions of the Federal Data Protection Act and of the data protection acts of the Länder with respect to the transmission of data to organisations outside the scope of the Basic Law shall also remain unaffected.

The licensing authority gives the authorities of the other states to be involved the opportunity to issue their statement on the basis of the submitted documents pursuant to §§2 and 3 within a reasonable time before decision on the application. The public resident in the other state shall be regarded as equal to the national public with regard to their further participation in the licensing procedure.

(2)

The licensing authority may request that the applicant submits a

translation of the brief description pursuant to §

3 para. (4) to the licensing authority and, where required, of further data on the project being relevant to a cross-border involvement, in particular on cross-border environmental impacts, as far as the relationship with the other state is based on the principles of reciprocity and equality.

(3)

If necessary or upon request of the other state, the relevant supreme authorities of the Federal Government and the Länder shall hold consultations with the other state, within an appropriate period of time agreed upon, particularly on cross-border environmental impacts of the project and on the measures for their prevention or mitigation.

(4)

The licensing authority communicates its decision on the application together with explanatory notes to the relevant authorities

of the other state. As far as the principles of reciprocity and equality are met, it may enclose a translation of the licensing notice. The licensing authority shall work towards the announcement of the application to the public involved in the other state in an appropriate way and the availability

of the decision including the justification and the information on available legal remedies.

(5)

Any further obligations of the Federal Government and the Länder under international law shall not be affected.

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2. Roles of authorities and the public

a) Role of authorities–

Guardian of the participation rights in transboundary

cases

–

Responsible for the organisation of public and other authority‘s participation

–

Competent authority:•

The ranked highest authority ( ministry), or

•

The designated authority–

Relevant in particular in those cases when the authorities in the state of origin ar

not planning to carry out transboundary

participation

–

Input of relevant experience to the procedureb) Role of the public

–

The role of the public is often overestimated, but nevertheless sometimes necessary and agreed

–

Problem: who wants to participate in an administrative procedure

in another country when the knowledge and experience with the provisions tends to zero

–

Relevant more for NGOs

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3. Relevant bilateral agreements

Numerous transboundary agreements in the environmental sector, examples:

a) Agreement on cooperation in the field of management of boundary waters of 19 May 1992-

German-Polish Commission on Boundary Watersb) Agreement between Germany and Poland on Cooperation in the field of

environmental protection of 7 April 1994, in force 31 August 1998c) Neuhardenberg Agreement between Germany and Poland on transboundary EIA

of 11 April 2006–

In case of unsolved questions responsibility of the German-Polish Commission for transboundary

cooperation (Art. 13 Neuhardenberg

Agreement)d) Bilateral Councils on Environment–

German-French Council, agreed

2 November 1989; first meeting 13. Februar 1990, annual meetings

–

German-Czech environmental

agreement, signed 1996 •

Czech-German Commission for the Environment –

German-Polish Council, agreed 1991, •

Commission for cross-border cooperation at the field of environment, installed 1991

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3. Relevant bilateral agreements

Numerous transboundary agreements (cont.)

d) Annual meetings between Denmark and Germany to discuss transboundary EIA of certain types of projects

e) Karlsruhe Agreement on Local Cooperation Between Germany, France, Switzerland and Luxembourg of 23 January 1996, in Force 1 September 1997

–

Agreed on base of the European Council Madrid Agreement of 21 May 1980–

Relevant for communal bodies (infrastructure, planning, etc.)

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4. Examples between Germany and Poland

a) Flooding of the Berzdorf Lake (close to Görlitz)–

From German side submitted documents were laid our for public inspection

–

Information of the public by internet, local neswpapers

and administrative gazettes

–

Submission of objections to the Minister for Environment–

Almost no interest of Polish public in this procedure

–

Though a number of objections of the Polish side were not discussed, a decision of the German side was made (violation of Espoo Convention)

b) (Re-) construction of a lignite-power plant in Boxberg/Saxony–

Strange procedure anyway (only one objection which was redrawn at the public hearing)

–

No transboundary

participation •

No environmental effects in Poland in regular operation scenario

•

Situation in case of accidents?•

No wish from Polish side to start participation procedure

New block for the lignite-power plant in Boxberg/Saxony (675 MW)

Source: de.academic.ru

/ Google Earth

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5. Examples between Germany and Czech Republic

c) Transboundary participation in SEA of a German regional land use plan in Upper Lusatia-Lower Silesia–

Interreg

III-a project on „SEA in regional planning“, responsible:

•

BTU Cottbus, Dep. of Environmental Planning (Prof. M. Schmidt); •

Regional Planning Authority of Upper Lusatia-Lower Silesia (Bautzen)

•

Leibnitz Institute of Ecological and Regional Development Dresden–

Carried out between 2004 and 2006 no bilateral agreement in force on transboundary

SEA

–

Base: amendment of a regional plan of Upper Lusatia-Lower Silesia –

No public participation, but two scoping meetings

•

Niesky; with representatives of Polish voivodships•

Obercunnersdorf; with representatives of the Czech Ministry for Environment

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Brandenburg and Lubuskie

LubuskieSource: Google Earth

Brandenburg

18

Lubuskie, Poland

Source: Google Earth

19

Dolnoslaskie, Poland


20

North of Czech Republic


21

Niesky and Obercunnersdorf, Germany


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c) Transboundary participation in SEA of a German regional land use plan in Upper Lusatia-Lower Silesia (cont.)–

Problems:

•

Imbalance between the authorities; in Poland (only) representatives of the voivod

transfer of the whole procedure to the Environment

Ministry in Warsaw•

Language problems here even worse (three languages) and translation problem (burden of payment)

•

Usually agreed: translation by the state of origin („polluter pays principle“); problem: translation of technical terms from mother language to another language is more difficult than vice versa

•

Here no agreement translation costs at the affected state–

Results:

•

(very) early information adjustment of the evaluation possible•

Objections could be considered before any planning started

•

Exchange of data at an early stage A strategy for transboundary

participation should be agreed if there

is no detailed agreement on that.

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d) Transboundary SEA in binding land use planning procedures–

Study project BTU Cottbus

–

April/May 2005 survey to all Brandenburg municipalities on effects of recent changes in the Federal Building Code

–

One part was related to transboundary

SEA in binding land use planning

–

Complementary survey to all municipalities in the Voivodship

Lubuskie in Poland

–

Question: is transboundary

SEA being carried out in binding land use planning

–

Results in Germany : •

59 out of 209 municipalities in Brandenburg responded (= 29 %), 26 (=44%) had experience with SEA so far

•

Only 2 (=3%) had experience with transboundary

SEA, but both communities are situated to boarders to other federal states

Not a single transboundary

SEA in binding land use planning has been carried out, even though the relevant law was in force more

than one year

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d) Transboundary SEA in binding land use planning procedures (cont.)–

Results in Poland:

•

13 of 83 (=16%) of municipalities in the Voivodship

Lubuskie answered, and all have carried out SEA in binding land use

planning•

Transboundary

SEA was carried out by 6 municipalities with

indifferent experiences (very good

(1), good (3), bad (1), very bad (1)

no significance•

Problems mentioned: complicated transboundary

procedure

and language problems

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6. Conclusions

•

Problems of transboundary participation –

Limits national sovereignty

–

Requires additional efforts•

Additional meetings with representatives of authorities in the other state

•

Translation•

Comparability of data

–

Is time consuming•

Diplomatic and/or administrative notification is an additional step

•

Procedures are lasting longer (e.g. in centralised states)•

Translation requires time

–

Is often not really helpful in case of public participation Tendency to avoid transboundary

participation whenever possible

•

Why transboundary participation–

Because it is required by European and international law and

–

Could reduce conflicts between neighbouring states

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6. Literature

•

Albrecht, E. (2010), Bürgerbeteiligung und Regionalentwicklung (public

participation

and regional development), in: Schluchter

(ed.), Die Krise als Chance. Perspektiven für eine zukunftsfähige Region (crisis

as chance

–

perspectives

for

a regionbal

future), dbv

Oldenburg, pp. 191-196 •

Albrecht, E. (2008), Transboundary

consultations in strategic environmental assessment, Impact Assessment and Project Appraisal (IAPA), Volume 26, Number

4, November 2008, pp. 289-298

•

Albrecht, E. (2008), Implementing the Espoo Convention in transboundary

EIA between Germany and Poland, EIA Review 2008, pp. 359-365 •

Albrecht, E. (2008), Standards and Thresholds in German Environmental Law, in: Schmidt/Glasson/Emmelin/Helbron

(eds.), Standards and Thresholds for

Impact Assessment, 2008, p. 19-31

•

Albrecht, E., Hoffmann, J., Knopp, L. (ed.), (2007), Selected Conventions and Treaties on International Environmental

Law (IEL), 3rd

expanded and updated edition, Aktuelle

Reihe

3/2007•

Albrecht, E. (2006), Überblick über die Regelungen zur grenzüberschreitenden Öffentlichkeits-

und Behördenbeteiligung im deutschen Recht (Provisions

on transboundary

participation

of the

public

and of authorities

in German law), in: Albrecht, E., Nowacki, K. (eds.), Die grenzüberschreitende Beteiligung der Öffentlichkeit und von Behörden in Deutschland und Polen (transboundary

participation

of the

public

and of authorities

in Germany and Poland), Lexxion, Berlin, pp. 26-35

•

Helbron, H., Bölitz, D., Schmidt, M. (2006), Erfahrungen aus dem Interreg-III-Aprojekt

zur strategischen Umweltprüfung für Sachsen, Polen und Tschechien (Experiences

from

Interreg-III-A-project

on strategic

environmental

assessment

for

Saxony, Poland and Czech Republic), in: Albrecht, E., Nowacki, K. (eds.), Die grenzüberschreitende Beteiligung der Öffentlichkeit und von Behörden in Deutschland und Polen (Transboundary

participation

of the

public

and of authorities

in Germany and Poland), Lexxion, Berlin; pp. 101-115

•

Jendrośka, J. (2006), Rechtliche Hintergründe der grenzüberschreitenden Öffentlichkeits-

und Behördenbeteiligung an Entscheidungsverfahren zu Umweltangelegenheiten

(legal background

of transboundary

participation

of the

public

and of authorities

in environmental

decision

making

procedures), in: Albrecht, E., Nowacki, K. (eds.). Die grenzüberschreitende Beteiligung der Öffentlichkeit und von Behörden in Deutschland und Polen (Transboundary

participation

of the

public

and of authorities

in Germany and Poland); Lexxion, Berlin, pp. 1-12•

Kläne, C., Albrecht, E. (2005), Purpose and Background of the European SEA-Directive, in: Schmidt/João/Albrecht (ed.), Implementing Strategic Environmental Assessment, Springer Heidelberg, pp. 15-29

•

Kotz, V. (2006), Praktische Erfahrungen des Görlitzer Umweltamtes bei der grenzüberschreitenden Zusammenarbeit in der Europastadt Görlitz-Zgorcelec

(Experiences

of the

environmental

authority

of the

City of Görlitz in transboundary

cooperation

in the

European City Görlitz-Zgorcelec), in: Albrecht, E., Nowacki, K., (eds.), Die grenzüberschreitende Beteiligung der Öffentlichkeit und von Behörden in Deutschland und Polen (Transboundary

participation

of the

public

and of authorities

in Germany and Poland), Lexxion, Berlin, pp. 36-56. •

Stopka

R., (2006), Probleme der Umweltverträglichkeitsprüfung im grenzüberschreitenden Kontext in Niederschlesien –

praktische Fragen (problems

of environmental

impact

assessment

in a transboundary

context

in Lower

Silesia

–

practical

questions), in: Albrecht E., Nowacki

K., (eds.), Die grenzüberschreitende Beteiligung der Öffentlichkeit und von Behörden in Deutschland und Polen (Transboundary

participation

of the

public

and of authorities

in Germany and Poland), Lexxion, Berlin, pp. 149-160.

•

Stratmann, L., Bölitz., D., Heiland, S., Reinke, M. (2006), Die grenzüberschreitende Beteiligung in der Strategischen Umweltprüfung am Beispiel der Regionalplanung (Transboundary

consultation

in SEA: the

example

of regional planning). UVP-report (EIA Report), 20(5), pp. 222-228. •

Zięba

St. (2006), Probleme der Umweltverträglichkeitsprüfung im grenzüberschreitenden Kontext in Niederschlesien (problems

of environmental

impact

assessment

in a transboundary

context

in Lower

Silesia)., in: Albrecht, E., Nowacki, K. (eds.). Die grenzüberschreitende Beteiligung der Öffentlichkeit und von Behörden in Deutschland und Polen (Transboundary

participation

of the

public

and of authorities

in Germany and Poland), Lexxion, Berlin, pp. 131-139 •

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The role of the Authorities and the Public in transboundary

SEA and

EIA

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