The glossary

Sectoral planning is the systematic preparation and execution of measures within one specific sector of public policy by the competent sectoral authority (federal or state ministry, local sectoral authorities or other bodies governed by public law). Sectoral planning is deemed to be spatially relevant when it directly or indirectly influences the development of spatial structures. Planning in the transport, energy, environmental, waste management, and water management sectors has a major impact on space, and is concerned particularly with public infrastructure projects (including roads, canals, airports, power lines, sewage plants, fortifications). Some sectoral planning also provides for the designation of protected areas to safeguard public interests. Particularly concerned are nature reserves, landscape and water conservation areas, restricted areas for military facilities, and building protection areas in the vicinity of airports and airfields.

A legal basis has been created for each of these types of sectoral planning (e.g. Federal Highways Act, Federal Nature Conservation Act, the Federal Water Act), laying down the tasks and competencies of each authority and regulating planning approval procedure. The relevant legislation contains what are referred to as “spatial planning clauses” included with the purpose of safeguarding the requirements of federal and state spatial planning. The coordination of state and regional planning is indispensable, since sectoral planning generally goes beyond the territory of a single local authority, so that urban development planning can exert only limit influence.

Spatial structure results from the interplay of the entire range of factors which impact on the conditions which exist within an area, i.e., natural and administrative/political circumstances, places of work and housing, transport infrastructure, and leisure and recreational facilities. Spatial structure thus emerges out of the totality of conditions affecting living and working in the territory; to a great extent, these conditions are interdependent, thus influencing the development or structure of the area. Settlement structure is the quantitative and qualitative pattern of distribution of housing, places of work, and infrastructure within a certain area. The two terms are often combined to form a dual concept, “spatial and settlement structure”.

The “Socially Integrative City” is a programme launched by the federal and state governments in 1999 to tackle problems in deprived urban districts or in other areas of the municipal territory with special development needs. The overriding objective is to improve living conditions in districts with high concentrations of social and economic deprivation.

Strategic lower-order goals include bundling human and material (investment and non-investment) resources, activating and involving local residents and other local actors, and establishing and testing suitable new management systems and organisational structures. Local initiatives in the fields of employment, cultural and social work are given priority support. Within the neighbourhood concerned, special emphasis is placed on district or neighbourhood management. New organisational structures are tested, which develop complex, neighbourhood-related programmes and bundle existing resources, which include funding from other programmes, from the EU, from other policy areas, and from private actors.

Neighbourhood management contributes to strengthening communicative structures and tests new, “integrated” forms of policy at the local level. Given the favourable feedback from urban districts, the federal/state programme “Socially Integrative City” is regarded as a promising advance in urban development. In 2004 it was included in Federal Building Code under special urban planning legislation. Local authorities can now designate areas for “Socially Integrative City” support by simple resolution. The basis is provided by an local development concept prepared by the municipality with the collaboration of the affected parties, public authorities, and other public agencies. The concept must state in writing what goals and measures are to be pursued in the area in question.

Soil conservation includes all activities for conserving and protecting soils and soil functions under the general heading of nature conservation and environmental protection. The soil, which has to be regarded as the basis for all life and as an integral component of the natural environment, is threatened by a multitude of factors, e.g. the extraction of raw materials, land take, surface sealing, compaction, erosion and contamination by harmful substances. Special care needs to be taken to give the soil the protection it requires. The Federal Soil Protection Act aims to provide long-term protection for soil functions, and to restore these functions where they have been impaired. The Act includes provides for

• the prevention of harmful changes to the soil,
• the remediation of soil and contaminated sites, and of consequently contaminated water, and
• precautionary measures to avert adverse impacts on soil.

Under the Act, soil polluters and landowners can be required to take preventive measures and remediate contaminated sites. The pertinent provisions determine the parties responsible for remediation, define the powers of the public authorities, and regulate remediation planning.

Spatial categories (spatial order categories, area types) are areas defined in terms of specific criteria in which comparable structures exist and where similar spatial planning goals are pursued. Spatial categories can be defined in terms of settlement structure, quality, or potential. There is no binding set of area types. Comprehensive spatial planning and state spatial planning define them for their own purposes. The administrative borders of territorial authorities (municipalities or counties) are generally taken, although more recent models use geographically more precise boundaries. The most important defining criteria are population density, centrality, and location. The numbers and names of categories vary. In settlement structure approaches, for example, the spectrum runs from metropolitan area (agglomeration, conurbation) to rural area (sparsely populated region). Problemoriented approaches make use of spatial categories like “growth region” (area with good development prospects) or “structurally weak area” (region with adverse economic development).

Spatial monitoring is the indicator-based, on-going, systematic, and comprehensive identification and description of spatial structural developments in such fields as demography, the economy, the labour market, agriculture, tourism, and the environment. As a basis for planning, spatial monitoring is an important and permanent task both at the national level (on-going spatial monitoring by the Federal Office for Building and Regional Planning, BBR) and by most state and regional planning authorities. It provides planning bodies with early information on spatial processes affecting planning and on the effectiveness of measures that are already running.
Spatial monitoring addresses spatial policy and planning issues on the basis of regional statistics and area-related data. The results of spatial monitoring are presented in maps and diagrams, and increasingly in the form of digital spatial planning registers.

“Raumordnung” (translated in the glossary as “spatial planning”), “Raumentwicklung” (spatial development), and “Raumplanung” (also literally spatial planning) are closely related concepts denoting deliberate human intervention in the development of an area (or “space”). The traditional term “Raumordnung” refers to the comprehensive, supra-local and superordinate tier of planning the structure and development of space. The attribute “comprehensive” emphasises the function of co-ordinating and harmonising those elements of the various types of sectoral planning which have spatial impacts. “Supra-local” indicates that the territory affected by this tier of planning extends beyond the boundaries and jurisdictions of local authorities. The “superordinate” character of spatial planning is a reflection of the power of central government to play an all-embracing and co-ordinating role with regard to planning by virtue of its sovereign powers for the entire national territory. As a consequence, all public planning authorities are subject to government authority and are thus bound by state spatial planning. “Raumentwicklung,” translated as “spatial development” has for some time now been used in place of “Raumordnung“ (e.g. European Spatial Development Concept). The more strongly formative, dynamic nature of the development concept is intended to underline that more than an “ordering” function is involved. In general usage, the term “Raumplanung,” also translated as spatial planning, refers quite broadly to the various actions taken within a particular territory with the purpose of affecting or influencing the spatial development of the community, of industry and commerce, and of the natural, built and social environment.

From the point of view of German planning law and administration, “Raumplanung” is the cover term which embraces three tiers of supra-sectoral planning: federal spatial planning (Bundes-Raumordnung); state spatial planning (Landesplanung), which includes regional planning (Regionalplanung); and urban land-use planning (Bauleitplanung). Taken together, these three planning tiers constitute a coherent spatial planning system. The supra-sectoral and co-ordinating remit which is a central aspect of the planning system means that “Raumplanung” has to be seen as legally, organisationally and materially distinct from spatially relevant sectoral planning.

A spatial planning contract is a coordination tool for balancing spatial planning requirements between state governments and one or more municipalities or between different municipalities. Spatial planning contracts provide a binding basis for preparing and implementing spatial structure plans and regional development strategies in harmony with local interests. Such contracts do not replace existing spatial planning tools but complement them in specific task areas where cooperation is paramount (cf. Article 13 ROG). The entire spectrum of spatial planning can be the subject of spatial planning contracts, but in practice the focus is on implementation aspects. For example, cooperation between municipalities in city networks is regulated by contract. Depending on the type of plan involved, contracts are referred to as state spatial planning contracts (landesplanerische Verträge) or regional planning contracts (regionalplanerische Verträge).

The Spatial Planning Policy Guidelines and the Framework for Action in Spatial Planning Policy are federal action plans. The Spatial Planning Policy Guidelines were drawn up in 1993 by the then Federal Ministry for Regional Planning, Building and Urban Development (now the Federal Ministry of Transport, Building and Urban Development) in collaboration with the states in the context of the Conference of Ministers for Spatial Planning. It formulates five guiding principles for spatial development and a strategy for the whole of Germany, include the European frame of reference. The guidelines seek to promote equivalent living conditions throughout the country and integrate the fundamentally altered situation in Europe (completion of the internal market, the opening up of Eastern Europe) in a model for spatial development. Polycentric spatial and settlement structures are to be safeguarded and developed, and natural resources protected.

The Framework of Action in Spatial Planning Policy, which works out the guidelines in detail, was adopted by the Conference of Ministers for Spatial Planning (MKRO) in 1996 as a medium-term working and action programme with 10 specific bundles of measures. The topics it addresses include regional development concepts, city networks, European metropolitan regions, strategies for structurally weak rural areas, and cross-border cooperation. The Spatial Planning Policy Guidelines and Framework for Action in Spatial Planning Policy have made important contributions to spatial development in Germany and Europe.

Since the conditions for spatial development change, guidelines and frameworks for action are constantly updated. For instance, in June 2006 the Conference of Ministers for Spatial Planning adopted the “Guiding Principles and Strategies for Spatial Development in Germany”, setting new priorities in spatial planning for the coming years.

The Spatial Planning Policy Guidelines and the Framework for Action in Spatial Planning Policy are federal action plans.

The Spatial Planning Policy Guidelines were drawn up in 1993 by the then Federal Ministry for Regional Planning, Building and Urban Development (now the Federal Ministry of Transport, Building and Urban Development) in collaboration with the states in the context of the Conference of Ministers for Spatial Planning. It formulates five guiding principles for spatial development and a strategy for the whole of Germany, include the European frame of reference. The guidelines seek to promote equivalent living conditions throughout the country and integrate the fundamentally altered situation in Europe (completion of the internal market, the opening up of Eastern Europe) in a model for spatial development. Polycentric spatial and settlement structures are to be safeguarded and developed, and natural resources protected.

The Framework of Action in Spatial Planning Policy, which works out the guidelines in detail, was adopted by the Conference of Ministers for Spatial Planning (MKRO) in 1996 as a medium-term working and action programme with 10 specific bundles of measures. The topics it addresses include regional development concepts, city networks, European metropolitan regions, strategies for structurally weak rural areas, and cross-border cooperation. The Spatial Planning Policy Guidelines and Framework for Action in Spatial Planning Policy have made important contributions to spatial development in Germany and Europe.

Since the conditions for spatial development change, guidelines and frameworks for action are constantly updated. For instance, in June 2006 the Conference of Ministers for Spatial Planning adopted the “Guiding Principles and Strategies for Spatial Development in Germany”, setting new priorities in spatial planning for the coming years.

State development plans outline the desired spatial and structural development for the territory of the state. The name given such plans varies from state to state. They are termed state development plan (Landesentwicklungsplan), state spatial planning programme (Landesraumordungsprogramm), state development programme (Landesentwicklungsprogramm), etc. Plans for subdivisions of states (regions) are referred to as regional spatial structure plans (regionaler Raumordungsplan) or regional plans (Regionalplan) (
regional plan).
Procedures for preparing spatial structure plans and their content differ widely from state to state. In 1998, the Federal Spatial Planning Act therefore laid down general rules for state development plans. For instance, they are required to address settlement and open-space structures and infrastructure, and sectoral planning in the fields of the environment, transport, and pollution control.

In state and regional planning, spatial planning requirements are laid down in spatial structure plans in the form of texts and drawings. The term covers the goals, principles, and other requirements of spatial planning. According to the Federal Spatial Planning Act, “other equirements” are:

• regional planning goals in the process of being established,
• results of formal state spatial planning procedures such spatial planning procedures, and
• state government opinions.

The goals, principles, and other requirements of spatial planning differ in their binding force as laid down by the Federal Spatial Planning Act. The goals of spatial planning must be strictly observed by all actors mentioned by the Federal Spatial Planning Act (especially public authorities and planning bodies) in all spatially relevant planning and activities. This requirement of compliance prevents the circumvention of spatial planning goals in the course of balancing interests or by discretionary decisions. The principles of spatial planning and other spatial planning requirements are to be observed in planning and administrative decisions in weighing up interests or in making discretionary decisions in accordance with the relevant legal provisions.

Spatial structure results from the interplay of the entire range of factors which impact on the conditions which exist within an area, i.e., natural and administrative/ political circumstances, places of work and housing, transport infrastructure, and leisure and recreational facilities. Spatial structure thus emerges out of the totality of conditions affecting living and working in the territory; to a great extent, these conditions are interdependent, thus influencing the development or structure of the area. Settlement structure is the quantitative and qualitative pattern of distribution of housing, places of work, and infrastructure within a certain area.

The two terms are often combined to form a dual concept, “spatial and settlement structure”.

The legal framework for state spatial planning is set by the Federal Spatial Planning Act (ROG), with state-specific regulation being provided by state spatial planning acts. State spatial planning is carried out by the administrative authorities in the states. Its task is to prepare comprehensive, superordinate spatial structure plans in conformity with the principles of spatial planning and to coordinate the relevant planning and measures. State spatial planning thus involves both planning functions proper as well as coordination and safeguards. Legal instruments are available for both fields.

State spatial planning acts govern spatial planning within their own territories on the basis of the Federal Spatial Planning Act. All states – except the city-states of Berlin, Bremen and Hamburg – have enacted state spatial planning acts, however they differ in many aspects. Some states restrict the scope of legislation to organisational matters and instruments; others go beyond this minimum content to include substantive provisions in the form of spatial planning principles.

State spatial planning authorities are charged with the implementaion of spatial planning law. In all states the highest state spatial planning authority is the relevant ministry. The highest state spatial planning authorities of the states together with the federal ministry responsible for spatial planning constitute the standing Conference of Ministers for Spatial Planning (MKRO). The state spatial planning authorities prepare spatial structure plans for the state territory (termed either state development plan or programme). State spatial planning is governed by state spatial planning acts.

In addition to the highest state spatial planning authorities at government level in the states, there are regional and county planning authorities. In some states there are is a two-tier structure. Subordinate state spatial planning authorities have consultative and supervisory functions, as well as being required to inform and notify superior authorities. State spatial planning authorities also coordinate the work of various planning bodies, for example, in spatial planning procedures.

State development plans outline the desired spatial and structural development for the territory of the state. The name given such plans varies from state to state. They are termed state development plan (Landesentwicklungsplan), state spatial planning programme (Landesraumordungsprogramm), state development programme (Landesentwicklungsprogramm), etc. Plans for subdivisions of states (regions) are referred to as regional spatial structure plans (regionaler Raumordungsplan) or regional plans (Regionalplan) (see regional plan).
Procedures for preparing spatial structure plans and their content differ widely from state to state. In 1998, the Federal Spatial Planning Act therefore laid down general rules for state development plans. For instance, they are required to address settlement and open-space structures and infrastructure, and sectoral planning in the fields of the environment, transport, and pollution control.

Directive 2001/42/EC of the European Parliament and the Council of June 27th 2001 on the assessment of the effects of certain plans and programmes on the environment defines environmental assessment as the preparation of an environmental report, the carrying out of consultations, the taking into account of the environmental report and the results of the consultations in decision-making and the provision of information on the decision in accordance with relevant provisions of the Directive. The Directive was to be transposed into national law by member states by July 20th 2004. In Germany, it was transposed by the EAG Bau (European Law Adaptation Act for the Construction Sector) for urban land-use planning and spatial planning and by the SUPG (Act on the Introduction of Strategic Environmental Assessment and Implementation of Directive 2001/42/EG) for other categories of planning.

The key elements in environmental assessment are the identification, description, and evaluation of the considerable environmental impacts that ensue from the implementation of planning. They include effects on biodiversity, population, human health, fauna, flora, soil, water, air, climatic factors, material assets, cultural heritage including architectural and archaeological heritage, landscape, and on interaction between the factors mentioned. An environmental report is required to provide more detailed information on environmental impacts. The pertinent public authorities are to be consulted on the extent and depth of environmental assessment. Furthermore, public authorities and the public at large are to be given the opportunity to state their views on the draft plan and on the accompanying environmental report. Both the environmental report and comments are to be taken into account in preparing and adopting the plan. Over and above this, environmental assessment has no binding effect. In Germany, environmental assessment is required for all spatial structure plans, and for preparatory and binding land-use plans.

Many cities face planning tasks of unaccustomed dimensions owing to economic and societal structural change. These new challenges have affected not only concepts but also methods in urban planning. The planning hierarchy of classical urban land-use planning has given way to informal and strategic approaches. The classical tools are no longer expected to perform a general lead function in restructuring. In many places it has been superseded by “strategic planning,” under which objectives are progressively implemented through sets of measures at various levels of planning and over various time horizons. The scope of strategic plans varies and they combine planning steps on several levels.

The present concentration of urban development processes on strategically important projects results from the experience that comprehensive, hierarchical planning in successive, chronological steps cannot do justice to current requirements and conditions. From a strategic point of view, simultaneity and interaction between concept and project development are important. This means that guiding concepts and projects are interdependent, can be both consequence and cause. Especially when public finances are tight, it has proved necessary to set clear temporal and spatial priorities for the implementation of planning concepts.

Suburbanisation is the process by which a population and jobs shift from the core city of an urban region to outlying areas. Suburbanisation has taken place in the major cities of the Western world in several waves since the 19th century. It is closely associated with shifts in transport modes from public transport to private motorisation and with socio-spatial segregation processes. Owing to less dense land use in suburban residential, commercial, and industrial locations, suburbanisation exacerbates land consumption, urban sprawl, and the proliferation of private motorised transport. Whereas during the suburbanisation wave from about 1960 in western Germany the exodus of the urban population preceded the departure of commerce and industry from the core city, “catch-up” suburbanisation in East Germany from 1990 onwards was led by large-scale retail establishments before residential outmigration occurred. In recent decades, suburbanisation, especially as far as housing is concerned, has tended to shift to rural areas increasingly distant from cities. This process is termed “exurbanisation” or “peri-urbanisation”.

The designation of certain sites outside the areas covered by a binding land-use plans as areas suitable for development is a means of exerting control over spatially relevant development measures (spatially relevant projects, plans and measures) in what in planning law is termed the outer zone by declaring certain areas within a region as suitable areas for certain types of development. The implication of such a designation is that such measures will in general not be permitted outside these areas. This is the case for privileged undertakings in the outer zone, e.g., the planning and construction of wind farms.

The designation of certain areas as suitable areas for development invokes the legally binding force of spatial planning goals. In this, suitable development areas differ from priority and reserve areas, where a certain use is granted privileged status over others without being prohibited outside the designated area.

In conceptual terms, the principle of (ecological) sustainability in both the Federal Nature Conservation Act and the Federal Forestry Act means that natural resources should be used and managed only in a manner which leaves the capacity of ecosystems undepleted for future generations. Since the 1992 environmental summit in Rio de Janeiro, the principle has often been linked with the concept of “development.” The expansion of the sustainability concept to one of “sustainable development” is directed in more general terms towards balanced development (taking equal account of economic, social, and environmental aspects) and towards long-term development in all areas of life (thus conserving resources). The Federal Spatial Planning Act sees sustainable spatial development as the key guideline and substantive vision for spatial planning in Germany. The social and economic demands made on an area and its ecological functions are to be harmonised so as to establish sustainable, comprehensive order throughout the area in question.