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					Mega-Urban Transport Projects in Germany:
   Understanding the National Context

          Working Paper 1 for OMEGA Project 2
       „Mega-Urban Transport Projects: Lessons for
                   Decision-Makers“
                     Deike Peters
                      STUDY TEAM



Dr. Markus Hesse, Associate Professor (Principal Investigator)
Free University Berlin, Institute for Geographical Sciences

Dr. Deike Peters (Ph.D., Rutgers)       (Co-Investigator)
Technical University Berlin, Centre for Metropolitan Studies

N.N. [Matthias Kracht]                   (Ph.D. Cand.)
 Free University Berlin, Institute for Geographical Sciences

Sébastien Munafò, lic.oec.              (Project Intern)
 Université Neuchatel, CH / FU Berlin (until Feb. 2008)


[Professor Dr. Gerhard Braun              (Dept. Chair)
 Free University Berlin, Institute for Geographical Sciences]



                                                                 2
   Draft Overview the Working Paper (as of July 2007)
1 Introduction
2 The Regulatory and Planning Framework
   2.1 Planning in Post-WWII Germany: Introductory Remarks
   2.2 Spatial Planning in Germany: Overview
   - Federal Spatial Development Plan (Raumordnungsplan)
   - State Land Use Plans
   - European Dimension of German Spatial Planning
   2.3 Transport Planning in Germany
   - Federal Transport Infrastructure Plan (Bundesverkehrswegeplan)
   - Transport Projects Germany Unity (Verkehrsprojekte Deutsche Einheit)
   - European Dimension of German Transport Planning: TEN-Projects in Germany
3 Prioritizing Transport Mega-Projects
   3.1 The Official, Scientific Assessment Procedure for the BVWP
   - Economic Evaluation: Benefit-Cost Analysis (BCA)
   - Spatial Impact Analysis (SIA)
   - Environmental Risk Analysis (ERA) with Habitats Directive Assessment (HDA)
   3.2 Political Dimensions of Mega-Transport Project Approval
   3.3 Public Participation: Before, During and After Approval
4 Financial Dimensions of Mega-Urban Transport Projects
   4.1 General Remarks
   4.2 Road Sector
   4.3 Rail Sector
   4.4 EU Funds (EFRE & TEN Priority)
5 Summary Remarks



                                                                                  3
1 Summary of Key Points
• Germany is a federal republic: strong federal government, but also
much state-level power
• Post WW2 tradition of federal-level investment framework program:
extensive funding for federal road and rail infrastructures (“FTIPs”)
• Priorities since 1989 strongly dominated by reunification (“VDEs”)
• Influence of Eastern enlargement and deepening integration of the EU
( TEN Priority projects, ERDF objective 1 funds for former GDR states)
• Good rhetoric favoring environmental modes, sophisticated planning
frameworks & infrastructure assessment methodologies, EIAs, etc
• BUT at the end of the day, approval process for mega-urban transport
projects remains subject to political dealing & wheeling
•The myth of (esp. road) infrastructure bringing economic/regional
development still prevails (  A20 case study)
•(Most powerful) states tend to have upper hand
• Comparatively little experience with privately planned/owned/funded
mega-projects
• Few examples of citizen or environmental groups killing megaprojects

                                                                       4
2.1 Regulatory and Planning Framework


Spatial Planning in in Post-WW2 Germany:


• Significant Changes in Planning Culture from 1950s to 2000s…
• Federal Level Spatial Development Plans
• State Land Use Plans
• Also: Added European Dimension (ESDP & Leipzig Agenda)




                                                                 5
2.2 German Spatial Planning Context




                                      6
2.2 German Spatial Planning Context


Level                 Decision making




Bund (Federation)     Legislation for federal spatial planning (Raumordnung), including material principles
                      Legislation for local planning




Bundesland            Legislation for state spatial planning (Landesplanung), including sub-regional planning (Regionalplanung)
( Federal State )     Establishment of State Development Programme (Landesentwicklungsprogramm)
                      Legislation on State Building Code (Landesbauordnung)




Region (Sub-Region)   Establishment of sub-regional plan State Development Programme (Regionalplan), coordinating state
                      and local development goals




                      Establishment of land use plan (Flächennutzungsplan) indicating the intended spatial development for
Municipal council     the community
                      Fixes in statute (Satzung) as legally binding local plans (Bebauungspläne) for limited areas to be evolved
                      from land-use plan




                                                                                                                             7
2.2 German Spatial Planning Context


Level                Responsible body          Planning instruments                             Description


                                                                                                Basic goals of principles of countries
                                               Legislation:
                                                                                                spatial organisation taking account of
                                               Spatial Organisation Act
                                                                                                European Union spatial policy and setting
                     Federal Ministry of       Federal Town Planning Act
1                                                                                               a framework for the states
    Federation       Transport, Building and   Land Use Ordinances
                                                                                                Legal regulations affecting local plan:
                     Urban Affairs             Map sign Ordinances
                                                                                                types of plans, range of potential contents,
                                               Special Provisions for development and urban
                                                                                                procedures and
                                               renewal
                                                                                                citizen participation


                                               State Planning Act                               Laws for regional and sub-regional
2                    Ministries of State       State Development Programme                      planning
    Federal States
                     Parliament                Design Guide Ordinance                           General guidelines for sub-regional and
                                               State Building Code Approval of Local Planning   local planning



                                                                                                Preparatory plan made for the entire area
                                                                                                of the community, fixing the main lines in
                                                                                                future urban development
                                                                                                Obligations only for the public authorities
                     Local Authorities
3                                              General Land Use Plan                            involved in its preparation
    Community        Council Development
                                               Detailed Development Plan                        Legal Statute. Local statute to which all
                     control office
                                                                                                building and development have to
                                                                                                conform. Regulations: intensity and kind of
                                                                                                land use, public and private spaces,
                                                                                                building masses, etc.




                                                                                                                                        8
                             2.3 Transport Planning in Germany
                            Transport Projects German Unity

Project   1:    Rail - Upgrading Lübeck/Hagenow Land - Rostock - Stralsand (242 km)
Project   2:    Rail - Upgrading Hamburg - Büchen - Berlin (270 km)
Project   3:    Rail - Upgrading Uelzen – Salzwedel - Stendal (113 km)
Project   4:    Rail – Upgrading and new construction Hannover - Stendal - Berlin (264 km)
Project   5:    Rail - Upgrading Helmstedt - Magdeburg - Berlin (163 km)
Project   6:    Rail - Upgrading Eichenberg - Halle (170 km)
Project   7:    Rail - Upgrading Bebra - Erfurt (104 km)
Project   8:    Rail - Upgrading/new construction Nürnberg - Erfurt - Halle/Leipzig - Berlin (514 km)
Project   9:    Rail - Upgrading Leipzig - Dresden (117 km)
Project   10:   Road - New construction Freeway A 20, Lübeck - Stettin (323 km)
Project   11:   Road - Widening A 2, Hannover - Berlin (209 km) and A 10 Berliner Süd and Ost
Project   12:   Road - Widening A 9, Berlin - Nürnberg (371 km)
Project   13:   Road - New constr. A 38, Göttingen - Halle A 9 (186 km) and A 143 Westumf. Halle
Project   14:   Road - New construction A 14, Magdeburg - Halle (102 km)
Project   15:   Road - Freeways A 44, Kassel - Eisenach (64 km), Eisenach - Görlitz (386 km)
Project   16:   Road - New constr. A 71, Erfurt-Schweinfurt (152 km), A 73 Suhl-Lichtenfels (70 km)
Project   17:   Water - Upgrading Waterway Hannover - Berlin (ca. 280 km)



  Details Project 8:
  8.1 New construction Nürnberg – Erfurt (completion until 2016/17)
  8.2 New construction Erfurt – Leipzig/Halle (Grobers – Erfurt complete, rest 2015)
  8.3 Upgrading Berlin – Leipzig/Halle, including the Berlin Main Station hub (complete)



                                                                                                  9
                 2.3 Transport Planning in Germany
        Transport Projects German Unity - Road



A20 Case Study




                                                     10
      2.3 Transport Planning in Germany
Transport Projects German Unity - Rail




                                          11
3 Assessing and Approving Mega-projects: The FTIPs

• Germany's “master plan” for federal-level transport infrastructure investments
• Overall framework for the investment in road, rail and water infrastructures
• Key planning document at the federal level
• But no specific budget plan for new construction of particular infrastructures
• States suggest priorities, but Federal government pays for all FTIP projects.
So not surprisingly, cumulative investment volume from all listed projects in the
plan always vastly exceeds actually available funds


Short History:
• 1st FTIP in 1973
• 2nd FTIP in 1980 ( reduce costs, deliver quality rather than quantity)
• 3rd FTIP in 1985 (pre-unification)
• 4th FTIP in 1992 (post-reunification priorities)
• 5th FTIP in 2003 (new assessment methodology. Yet key criticisms remain)




                                                                                 12
3 Assessing and Approving Mega-projects: The FTIP Process
              Traffic forecast (2015)                     Inputs from ministries


     Propose upgrades and new construction
                                                         States list their projects
       Check project merit and their urgency
            via CBA plus ERA, SIA, HDA                 States comment on results of
                                                       CBA before other methods are
                                                                  applied
                    Priority List

                                                          States exert influence
Negotiation with Lander, Inform other Stakeholder,
            presentation to parliament

                                                        Finance and environmental
         Coordination between ministries
                                                          ministry exert influence

 Legal approval process: passing of mode-specific
                                                         Federal parliament exerts
   extension laws with pertaining needs plans
                                                                 influence

Linkage with medium-term federal budget planning
via five year plan and annual road construction plan
                                                                 Source: After Puls (2003:19)


                                                                                      13
3 Assessing and Approving Mega-Projects: FTIP Project Evaluation


 Project Evaluation in the FTIP 2003




                                                            14
 3 Assessing and Approving Mega-Projects: ERA in the FTIP
Overview of the FTIP Environmental Risks Assessment Procedure




                                                            15
3 Assessing and Approving Mega-projects:                  Politics Prevails
              Traffic forecast (2015)                     Inputs from ministries


     Propose upgrades and new construction
                                                         States list their projects
       Check project merit and their urgency
            via CBA plus ERA, SIA, HDA                 States comment on results of
                                                       CBA before other methods are
                                                                  applied
                    Priority List

                                                          States exert influence
Negotiation with Lander, Inform other Stakeholder,
            presentation to parliament

                                                        Finance and environmental
         Coordination between ministries
                                                          ministry exert influence

 Legal approval process: passing of mode-specific
                                                         Federal parliament exerts
   extension laws with pertaining needs plans
                                                                 influence

Linkage with medium-term federal budget planning
via five year plan and annual road construction plan
                                                                 Source: After Puls (2003:19)


                                                                                      16

				
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