bimschg-genehmigungsverfahren

/umweltrecht:bimschg-genehmigungsverfahren

Purpose

The immission control permit procedure is the central intervention and control interface for industrial installations. A permit is effective only if formal requirements (correct procedure, public participation, concentration of authorities under § 13 BImSchG) and substantive requirements (§ 5 BImSchG: protection, precaution, waste avoidance and energy efficiency obligations) are met. This skill reviews both and classifies third-party protection, neighbour actions and association actions.

Inputs

Installation type and location (federal state, outdoor/indoor area, protected areas)
Intended activity and capacity (quantities, output, number of animals)
Existing decision or application (if available)
Neighbourhood (residential development, SAC/bird protection area, water protection area)
Urban land-use planning at the site (B-plan, F-plan, § 35 BauGB)

Sub-agent architecture

Researcher provides the 4th BImSchV installation number, relevant TA rule sets, Federal Administrative Court and CJEU case law. Drafter prepares the expert opinion in the order formal → substantive → third-party protection and reviews the operative provisions. Reviewer reviews EU conformity (IED 2010/75/EU), protected area affectedness and action deadlines.

Procedure

1. Permit requirement under § 4 BImSchG in conjunction with the 4th BImSchV

Step	Review
Installation catalogue	Subsumption under Annex 1 to the 4th BImSchV. Column c) or d) determines the procedure
Quantity thresholds	Installations below the threshold: not subject to a permit, fall under §§ 22 et seq. BImSchG (operator obligations)
Construction threshold vs. modification permit	§ 16 BImSchG: a substantial modification requires its own permit

2. Choice of procedure

Procedure	Norm	Consequence
Formal	§ 10 BImSchG in conjunction with 9th BImSchV	Public participation, discussion meeting, EIA integration § 4 UVPG
Simplified	§ 19 BImSchG	Without public participation – only for column c) installations
Notification § 15 BImSchG	Non-substantial modification	No permit, only notification

Standard for procedural defects: Federal Administrative Court, judgment of 22 October 2015 – 7 C 15/13, NVwZ 2016, 308 [unverifiziert – prüfen]; CJEU, judgment of 15 October 2015 – C-137/14 (Commission v. Germany) – material preclusion incompatible with EU law.

3. Substantive permit requirements § 5 BImSchG

Obligation	Norm	Content
Protection obligation	§ 5 (1) no. 1 BImSchG	No harmful environmental impacts (TA Luft, TA Lärm); third-party protective
precautionary duty	§ 5(1) no. 2 BImSchG	state of the art (§ 3(6) BImSchG), BAT conclusions IED; not third-party protective (prevailing view, dissenting in part Jarass)
waste avoidance	§ 5(1) no. 3 BImSchG	recovery, otherwise disposal
energy efficiency	§ 5(1) no. 4 BImSchG	efficient energy use

4. Conditions and ancillary provisions § 12 BImSchG

Definiteness § 37 VwVfG (clearly definable act/sufferance/omission)
Proportionality (suitable, necessary, appropriate)
Distinguish modifying condition vs. subsequent order § 17 BImSchG
Security § 12(1) BImSchG, insofar as recultivation/decommissioning obligation

5. Third-party protection and legal protection

Claimant	Basis
Neighbour	Action against permit, based on third-party protective norms (§ 5(1) no. 1 BImSchG, if applicable § 15 BauNVO duty of consideration)
Recognised environmental association	§ 2 UmwRG, extended to procedural errors under § 4 UmwRG
Project developer	Obligation action for grant; action for failure to act § 75 VwGO

6. Subsequent order and decommissioning

§ 17 BImSchG – subsequent order for subsequently recognised risks or changed requirements (state of the art)
§ 20 BImSchG – prohibition of operation, decommissioning, removal; hearing § 28 VwVfG mandatory
§ 21 BImSchG – revocation

Sources and citation style

Binding: ../../../references/zitierweise.md.

Statutes / Ordinances

§§ 4–7 BImSchG (permit)
§ 5 BImSchG (substantive requirements)
§ 10 BImSchG (public participation)
§ 12 BImSchG (conditions)
§ 13 BImSchG (concentration effect)
§ 17 BImSchG (subsequent order)
§ 20 BImSchG (decommissioning)
§§ 22 ff. BImSchG (installations not requiring a permit)
4. BImSchV (installation catalogue)
9. BImSchV (procedure ordinance)
TA Luft 2021
TA Lärm 1998
IED 2010/75/EU

Commentaries

Jarass, BImSchG, 14th ed. 2022, § 4 marginal no. 1 ff., § 5 marginal no. 1 ff., § 10 marginal no. 1 ff.
Dietlein, in: Landmann/Rohmer, Umweltrecht (loose-leaf, as of: 2024), § 5 BImSchG marginal no. 50 ff.
Hansmann/Röckinghausen, in: Landmann/Rohmer, § 10 BImSchG marginal no. 100 et seq. (public participation)
Storost, in: Landmann/Rohmer, § 17 BImSchG marginal no. 30 et seq. (subsequent order)

Case law (`[unverifiziert – prüfen in Beck-Online/juris/BVerwG-Datenbank]`)

Federal Administrative Court, judgment of 22.10.2015 – 7 C 15/13, NVwZ 2016, 308 (state of the art) [unverifiziert – prüfen]
Federal Administrative Court, judgment of 24.10.2013 – 7 C 36/11, BVerwGE 148, 155 (third-party protection under § 5 BImSchG) [unverifiziert – prüfen]
Court of Justice of the European Union, judgment of 15.10.2015 – C-137/14, ECLI:EU:C:2015:683 (substantive preclusion / EIA Directive) [unverifiziert – prüfen]
Federal Administrative Court, judgment of 21.11.2018 – 7 C 17/16, NVwZ 2019, 567 (association action / § 4 UmwRG) [unverifiziert – prüfen]

Output format

GUTACHTEN — Immissionsschutzrechtliche Genehmigung
<Mandat-Kürzel> — <Datum>

I.   Sachverhalt
     Anlage: <Typ, Kapazität, Standort>
     Vorhaben: <Errichtung / Änderung / Anzeige>
     Umgebung: <Wohnbebauung, Schutzgebiete>

II.  Frage(n)
     1. Ist die Anlage genehmigungsbedürftig?
     2. Welches Verfahren ist einschlägig?
     3. Liegen die materiellen Voraussetzungen § 5 BImSchG vor?
     4. Welche Drittschutz-/Verbandsklagerisiken bestehen?

III. Kurzantwort
     <ein Satz>

IV.  Rechtliche Bewertung (Gutachtenstil)
     1. Genehmigungsbedürftigkeit § 4 BImSchG i. V. m. 4. BImSchV
        - Anlagennummer: <Anhang 1 Nr. …>
        - Spalte c) / d)
     2. Verfahren
        - § 10 BImSchG / § 19 BImSchG
        - Öffentlichkeitsbeteiligung 9. BImSchV
        - UVP-Integration § 4 UVPG (Verweis auf uvp-verfahrenspruefung)
     3. Materielle Voraussetzungen § 5 BImSchG
        a) Schutzpflicht — TA Luft / TA Lärm
        b) Vorsorgepflicht — Stand der Technik / BVT
        c) Abfallvermeidung
        d) Energieeffizienz
     4. Auflagen § 12 BImSchG
        - Bestimmtheit, Verhältnismäßigkeit
     5. Drittschutz und Verbandsklage
        - Nachbarklage (drittschützende Normen)
        - § 2 UmwRG / § 4 UmwRG

V.   Gesamtergebnis
     <…>

VI.  Risiken / offene Punkte
     - Emissionsprognose ausstehend
     - FFH-Vorprüfung erforderlich?
     - Schallgutachten (TA Lärm) aktualisieren

VII. Risikoeinstufung
     [🟢 / 🟡 / 🔴]

VIII. Quellenverzeichnis
     <gem. zitierweise.md>

Risks / typical errors

Wrong installation number in the 4th BImSchV → wrong procedure, formal unlawfulness.
Simplified procedure instead of formal procedure → association action succeeds under § 4 UmwRG because public participation is lacking.
Precautionary duty confused with protective duty → third-party protection wrongly affirmed/denied.
Conditions indeterminate (§ 37 VwVfG) → individual ancillary provisions can be challenged, the main permit does not necessarily waver, but enforcement fails.
State of the art outdated → precautionary duty breached, subsequent order under § 17 BImSchG looms.
FFH compatibility / species protection overlooked → not the subject of the skill in the narrower sense, but the permit fails under § 34/§ 44 BNatSchG.