Circular No. 01/2011/TT-BXD guiding strategic environmental assessment in urban planning projects and construction planning.

CIRCULAR

Guidelines for Strategic Environmental Assessment in Urban Planning and Construction Master Plans

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Pursuant to Decree No. 17/2008/NĐ-CP dated February 4, 2008 of the Government stipulating the functions, tasks, powers, and organizational structure of the Ministry of Construction;

Pursuant to Decree No. 08/2005/NĐ-CP dated January 24, 2005 of the Government on construction planning;

Pursuant to Decree No. 37/2010/NĐ-CP dated April 7, 2010 of the Government on the establishment, review, approval, and management of urban planning;

Pursuant to Decree No. 80/2006/NĐ-CP dated August 9, 2006 of the Government detailing and guiding the implementation of certain provisions of the Law on Environmental Protection;

Pursuant to Decree No. 140/2006/NĐ-CP dated November 22, 2006 of the Government on environmental protection in the stages of establishing, reviewing, approving, and implementing strategies, plans, programs, and development projects;

The Ministry of Construction provides guidelines for strategic environmental assessment in urban planning and construction master plans as follows:

PART I

GENERAL PROVISIONS

Article 1. Scope of Regulation and Applicability

Article 1. These Circulars guide the strategic environmental assessment (SEA) in construction planning and urban planning projects, including regional construction planning projects, general planning projects, sectoral planning projects, detailed planning projects, rural settlement construction planning projects, and specialized infrastructure technical planning projects (hereinafter referred to collectively as construction planning projects).

Article 2. These Circulars apply to organizations and individuals, both domestic and foreign, involved in the establishment, review, approval, and management of construction planning projects.

Article 2. Interpretation of Terms

In this Circular, the following terms shall be understood as follows:

Strategic Environmental Assessment (SEA): is the process of analyzing and forecasting the environmental impacts of construction planning projects before approval, aiming to propose optimal solutions for construction planning projects that ensure sustainable development.

Key Environmental Issues: are environmental issues that may cause significant impacts on communities over a wide area or are sensitive to changes in construction planning options.

Environmental Monitoring: is the systematic observation of the environment and factors affecting it to provide information for assessing current conditions, trends in environmental quality, and environmental impacts.

Secondary Impacts: are indirect environmental impacts resulting from activities related to the environment following a complex process.

Cumulative Impacts: are impacts resulting from the cumulative effects of development activities over time.

Determining Scope: involves defining the spatial, temporal scope of impact assessment, issues, and objectives. The spatial scope of impact assessment is determined based on the boundaries of the construction planning project and adjacent territories potentially directly affected by the impacts caused by the implementation of the construction planning project. The temporal scope of impact assessment is determined according to the timeframe of the construction planning project phase.

Article 3. General Principles

Clause 1. SEA is a component of the construction planning project, carried out concurrently during the establishment of the construction planning project.

Clause 2. Analyses, assessments, and forecasts in SEA focus on key environmental issues and potential cumulative impacts, aiming to propose measures to mitigate and address negative environmental impacts when implementing the construction planning project.

Clause 3. Methods used in SEA must be based on clear scientific foundations and specific input data sources. Analyses and forecasts must be based on specific numerical data and forecasting methods, quantifying impacts as much as possible and clearly indicating the reliability of forecasts.

Clause 4. For each type of construction planning project within a territorial area, the content of SEA must not contradict or overlap with the contents outlined in the explanatory notes of higher-level construction planning projects encompassing it. In cases where results from higher-level SEAs are inherited, summaries and citations of source materials should be provided.

Clause 5. The review of SEA content is conducted concurrently with the review of the construction planning project. The review board for the construction planning project must include experts specializing in SEA for the construction planning project.

Article 4. Conditions of capacity and responsibility of strategic environmental assessment (SEA) experts

1. Individuals leading the implementation of SEA or reviewing SEA reports for urban planning projects must have a bachelor's degree or higher in urban planning or technical infrastructure and at least five years of experience in the field of planning and environmental protection; or in the environmental field with at least five years of experience in urban planning.

2. Individuals implementing SEA must cooperate with urban planning experts in tasks such as formulating assignments, carrying out SEA content, and integrating it into urban planning projects; they are responsible for the results of environmental impact analysis, calculations, and forecasts.

Chapter II

STRATEGIC ENVIRONMENTAL ASSESSMENT METHODS

Article 5. Steps to conduct SEA

The method of conducting SEA in urban planning projects includes the following main steps:

1. Investigating, surveying, collecting information, and determining the scope for the SEA work.

2. Identifying the main environmental objectives and issues related to urban planning.

3. Analyzing the current state and trends of the environment before urban planning is established.

4. Analyzing the trends of the environment during the implementation of urban planning.

5. Proposing comprehensive solutions to minimize and mitigate environmental impacts.

6. Preparing the SEA report in the explanatory documents of urban planning projects.

Article 6. Investigation, Survey, Information Collection, and Determination of the Scope of SEA

Determining the scope of SEA aims to ensure that the SEA process focuses on the most important issues and provides a comprehensive picture of the environment, avoiding unnecessary information collection and presentation. Determining the scope of SEA includes:

1. Determining the spatial and temporal scope of SEA;

2. Collecting basic data required for investigation. The results of investigation, survey, and information collection for the preparation of urban planning project documents are used jointly for the SEA process;

3. Identifying the fields and contents requiring SEA;

4. Determining the content and developing plans to consult relevant parties.

Article 7. Identification of Main Environmental Objectives and Issues Related to Urban Planning

1. Main environmental issues related to urban planning must reflect the current situation, trends, and potential environmental impacts. Main environmental issues must be compiled into a list with specific environmental goals and indicators, serving as a basis for analyzing and evaluating urban planning schemes.

2. The identification of environmental goals must be based on legal provisions on environmental protection, environmental strategies, programs, action plans, environmental standards and norms, and other scientific foundations.

3. Main environmental issues may relate to:

a) Climatic, geological, hydrological conditions, ecosystems, and biodiversity.

b) Geological disasters (landslides, landslips, earthquakes), flooding, and inundation.

c) Resource utilization (groundwater, agricultural and forestry land, mineral resources...).

d) Soil quality, water quality, air quality, noise levels.

đ) Waste management (wastewater, solid waste, exhaust gases).

e) Social issues: population, poverty, resettlement, livelihoods, and community health.

g) Cultural and heritage issues.

Article 8. Analysis of current status and environmental trends before developing a construction plan

1. The analysis of current status and environmental trends before developing a construction plan must focus on major related environmental issues to serve as a basis for comparison with environmental changes when the construction plan is implemented.

2. The content of analyzing environmental trends before developing a construction plan includes evaluating the current environmental status and forecasting environmental trends without a construction plan (referred to as the "No Plan Scenario").

3. When assessing the current environmental status, existing environmental status reports can be utilized for synthesis. Forecasting environmental trends for the "No Plan Scenario" must be based on past and present environmental trends and development activities that will lead to future environmental changes.

Article 9. Analysis of environmental trends during implementation of a construction plan

1. Evaluate the objectives and orientation of the construction planning project: examine the consistency and compatibility between the objectives and standards of the construction planning orientation with environmental objectives and standards. In cases where there is inconsistency, adjustments to the objectives, standards, and orientation of the construction plan are necessary.

2. When forecasting environmental trends during the implementation of a construction plan, it is essential to clarify the potential environmental changes that may occur when implementing the contents of the construction plan: compare the environmental impacts among different scenarios and compare them with the scenario of not implementing the construction plan as well as with established environmental goals; describe changes in scale, spatial and temporal scope, temporary or long-term, positive or negative, probability and frequency of occurrence, presence or absence of secondary impacts, cumulative impacts.

Article 10. Proposing preventive, mitigating, and remedial measures for impacts, and formulating an environmental monitoring plan

1. Propose technical solutions to control pollution, prevent, mitigate natural disasters, or respond to environmental incidents that may occur during the implementation of the construction plan. Technical solutions must be prioritized.

2. The content of the proposed environmental management and monitoring plan must include: monitoring major environmental issues; network, frequency, environmental indicators, and observation methods. Prioritize integrating the environmental monitoring content of the Environmental Impact Assessment into the existing local monitoring system. Only propose new monitoring content when truly necessary. Environmental management and monitoring activities must be integrated with construction planning management activities.

Chapter III

CONTENT OF STRATEGIC ENVIRONMENTAL ASSESSMENT

In addition to the main environmental issues guided by Article 7 of this Circular, the content of the Environmental Impact Assessment for each type of construction plan needs to focus on the following issues:

Article 11. Content of the Environmental Impact Assessment in regional construction plans

1. Environmental issues with large impact ranges, including: resource utilization (land, water sources, minerals, forests, landscapes...); population distribution pressure, economic activity distribution on the territory (industry, agriculture, tourism...); river basin environment; impact of climate change, poverty, environmental degradation, natural disasters, floods.

2. Assess the current status of major pollution sources (urban areas, industrial zones, mineral extraction areas...), degraded environmental areas, ecological landscape conservation areas. Determine the environmental protection content of the plan at the regional level (regional water supply, regional transportation, inter-urban waste treatment, river basin environmental protection...).

3. Forecast trends in environmental issues caused by urban and population distribution, economic activities, technical infrastructure networks in the region; identify environmental issues already and yet to be resolved in the planning project. Evaluate the consistency between the perspectives and objectives of the construction plan and environmental protection perspectives and objectives; forecast and compare the environmental impacts of various planning scenarios.

4. Summarize, propose, and prioritize measures to prevent, mitigate, and improve existing environmental issues in the planning project; propose environmental protection zones (special-use forests, protective forests, green belts, heritage areas, water source basins...).

Article 12. Content of Environmental Impact Assessment (EIA) in the General Master Plan

1. Identify major environmental issues, including pressing concerns both within and outside the urban area such as: selection of construction land in relation to disaster prevention and flood mitigation; traffic, construction, and aesthetic environment; air pollution, noise pollution; river and lake pollution, underground water pollution; solid waste management pressure; wastewater and drainage; protection of heritage, ecosystems...

2. Assess the current status of pollution sources with direct impact (residential areas, industrial production facilities, hospitals, waste treatment areas...); polluted areas; degree and consequences of environmental pollution. Evaluate ecosystems, village environments, peri-urban environments.

3. Forecast environmental impacts and trends from activities in residential areas, industrial production facilities, commercial service centers, hospitals, transportation, and waste treatment based on spatial development orientation, urban structure, construction land selection, population density, and functional zoning.

4. Summarize, propose, and prioritize measures for preventing, reducing, and improving existing environmental issues in the planning project; propose isolation zones for environmental protection (green spaces, river and lake protection corridors, restricted development areas...).

Article 13. Content of EIA in Zoning Master Plans

1. Identify major environmental issues: air quality, noise, soil, water, greenery, underground water, sanitation, social conditions of the area...

2. Assess environmental trends in the area, forecast, and compare environmental impacts of various planning schemes based on building density, land use planning, functional area layout.

3. Summarize and prioritize measures for preventing, reducing, and improving environmental issues in the planning project; propose isolation zones for environmental protection for functional areas and prohibited construction zones.

Article 14. Content of EIA in Detailed Planning

1. Identify major environmental issues: air quality, traffic and noise, soil, water, greenery, underground water, sewage collection and treatment, solid waste.

2. Assess and forecast the environmental impact of planning schemes in the area.

3. Summarize and prioritize measures for preventing, reducing, and improving environmental issues in the planning project; Propose a list of investment and construction projects that require environmental impact assessment.

4. For detailed planning prepared for investment and construction projects, implement Clause 2 of Article 19 of this Circular.

Article 15. Content of EIA in Community Construction Planning

1. Identify major environmental issues during the implementation of community construction planning and in the operation of community settlements: soil quality, water, air, sanitation, environmental issues in small-scale industry-village craft activities, farming, animal husbandry, aquaculture.

2. Forecast environmental impacts and trends during the implementation of community construction planning.

3. Summarize and prioritize environmental protection measures in the planning project.

Article 16. Content of Strategic Environmental Assessment (SEA) in specialized infrastructure planning

1. SEA of specialized infrastructure planning projects shall be carried out for transportation, land elevation and surface drainage, public electricity and lighting, water supply, wastewater, solid waste treatment, cemeteries, and telecommunications planning projects.

2. The content of SEA needs to focus on the following issues:

a) Transportation planning: assessment and comparison of positive and negative environmental impacts of selected options regarding road routes, locations of key facilities (airports, seaports, river ports, traffic intersections, parking lots, subway stations, railways); traffic volume and air pollution, noise; social impacts related to land acquisition and resettlement due to new or expanded roads; impact on cultural-historical sites; negative impacts on nature reserves, national parks, and environmentally sensitive areas due to increased accessibility or habitat fragmentation; impact on surface water systems; and impact on drainage systems.

b) Land elevation and surface drainage planning: assessment and comparison of positive and negative environmental impacts of selected options regarding drainage basins, surface water networks and receiving waters, locations of key facilities; impacts of topography, construction geology, hydrogeology, and areas prone to geological hazards; environmental criteria in site selection; impacts from climate change including rainfall intensity, frequency, duration, effects during typhoons and flood risks, and sea level rise and high tides; relationship between discharge and flooding, downstream hydrological regime, and groundwater recharge rates.

c) Electricity and lighting planning: assessment and comparison of environmental impacts of selected options regarding power line routes, locations of substations; ecological disruption due to required isolation and safety buffer zones; human health impacts from electromagnetic fields and lighting; social impacts related to land acquisition and resettlement due to construction of power distribution and transmission systems, and traffic safety.

d) Water supply planning: assessment and comparison of positive and negative environmental impacts of selected options regarding water sources, water supply zones, water network and pipeline routes; water quality issues; impacts on downstream flow and aquatic species when surface water is extracted; subsidence and impacts on groundwater quality and quantity when groundwater is extracted; residual waste and chemicals from water treatment processes.

đ) Wastewater planning: assessment and comparison of positive and negative environmental impacts of selected options regarding receiving water bodies, capacity, collection and treatment schemes; post-treatment water quality based on pollution parameters; solid waste and sludge from wastewater treatment; characteristics of groundwater at the wastewater treatment plant site and potential for pollution leakage; hydrological conditions and flood risk at the wastewater treatment plant location; emissions and odors generated during wastewater treatment; residual hazardous chemicals; pathogenic microorganisms and public health, as well as worker safety.

e) Solid waste management planning: assessment and comparison of positive and negative environmental impacts of selected options regarding collection routes, locations, scale of transfer stations, integrated facilities, waste treatment sites, and technologies; composition of general and hazardous solid waste; characteristics of soil at landfill sites and potential for soil contamination; groundwater characteristics at waste treatment facility sites and potential for groundwater contamination; surface water system features, flow direction, and distance to waste treatment facilities; emissions and odors from treatment facilities; negative social impacts on local communities due to waste disposal or transport routes.

g) Cemetery planning: assessment and comparison of positive and negative environmental impacts of selected options regarding cemetery locations, sizes, burial facilities, and technologies; distances from residential areas and sensitive structures; geological conditions and soil characteristics at proposed cemetery sites; hydrological conditions and movement of decomposing materials in groundwater; surface water system features in the area and distance to other cemeteries; social impacts related to land acquisition and resettlement due to cemetery construction; religious, spiritual, and cultural issues related to burial practices.

h) Telecommunications planning: assessment of the impact of constructing and operating transmission towers and systems on human health and the environment; routing of cable systems and their impact on ecosystems; impact on surface water flows or groundwater pollution due to underground construction of Viba stations.

Chapter IV

REPORTING AND REVIEW OF STRATEGIC ENVIRONMENTAL ASSESSMENT REPORTS

Article 17. Forms of presenting the Environmental Impact Report in the Detailed Description of Construction Planning Projects

1. Separate Environmental Impact Report: applicable to construction planning projects for inter-provincial regions, special regions with a planning scope within the administrative boundaries of two or more provinces, and overall planning for centrally-administered cities.

2. Environmental Impact Report as a chapter in the Detailed Description of Construction Planning Projects: applicable to construction planning projects not covered under Clause 1 of this Article.

Article 18. Structure and Content of the Environmental Impact Report in the Detailed Description of Construction Planning Projects

The structure of the Environmental Impact Report includes the following contents:

1. Introduction Section: scope and content of research, analysis, and strategic environmental assessment; scientific bases of the methods used during the implementation of the Environmental Impact Assessment.

2. Main environmental issues and objectives related to construction planning: main environmental issues; environmental objectives stated in regulatory legal documents, orientations, strategies, action plans, standards, and norms related to the environment.

3. Analysis and assessment of current status and environmental trends without implementing construction planning: quantification of current environmental status; prediction of environmental trends based on data and scientific analytical and calculation methods.

4. Analysis and forecasting of impacts and environmental trends when implementing construction planning:

a) Evaluation of consistency between the viewpoints and objectives of the planning and environmental protection goals.

b) Identification of environmental trends and main impacts that may occur when implementing construction planning.

c) Analysis, calculation, forecasting, and quantification of environmental impacts and trends based on data from construction planning schemes. The results of impact analysis and environmental trends for each planning scheme must be compiled into tables for comparison and verification, serving as a basis for selecting the construction planning scheme.

d) Analysis, forecasting, and quantification of environmental impacts and trends during the implementation of construction planning (investment in technical infrastructure, construction works within functional zones...), proposing a list of projects requiring environmental impact assessment.

đ) Planning solutions to mitigate and address identified environmental impacts and trends.

5. Technical measures to control pollution, prevent, reduce, or respond to environmental emergencies, manage and monitor environmental impacts; environmental management and monitoring plan.

6. Accompanying drawings:

The Environmental Impact Report must include at least two drawings: an environmental status map and a strategic environmental assessment map.

a) Environmental status map: depicting the condition and trends of environmental components, main environmental issues when construction planning is not implemented. The map must show major pollution sources, points, and areas, along with monitored pollution parameters. Pollution parameters are presented in graphs or tables, compared with national technical standards and regulations.

b) Strategic environmental assessment map: showing the results of impact assessments on main environmental issues during the implementation of construction planning. The map must depict future predictions of major pollution sources, points, and areas. Pollution parameters are presented in graphs or tables, compared with national technical standards and regulations. Pollution load forecasts are made according to the planning timeframe for short-term, medium-term, and long-term stages. It is encouraged to present protective measures and environmental protection zones.

c) Scale and presentation format of the drawings shall comply with the provisions regarding project documentation and drawings for construction planning projects.

Article 19. Content of the Environmental Impact Assessment Report (EIA Report) in urban planning projects on the same territory

1. In cases where there is already an EIA report in higher-level urban planning projects, the content of the EIA report in lower-level urban planning projects shall not repeat the contents of the EIA report already stated in the approved higher-level urban planning project. At that time, the EIA report must include the following contents:

a) A summary of the main environmental impacts and measures to mitigate and reduce these impacts as stated in the EIA report of the approved higher-level urban planning project;

b) A summary of the environmental management and monitoring plan as stated in the EIA report of the approved higher-level urban planning project;

c) An assessment of the effectiveness of the implementation of measures and recommendations stated in the EIA report of the approved higher-level urban planning project and currently being implemented.

2. In cases where detailed planning for projects already contains quantitative information about infrastructure systems and construction works, the content of the EIA can be converted into the content of an Environmental Impact Assessment (EIA) report. The procedures for implementing, reporting, and reviewing the EIA report shall comply with the provisions of the law on environmental impact assessment.

Article 20. Review of the EIA Report

The review of the EIA report includes the following contents:

1. Methodology and structure of the report content;

2. Scientific basis, source materials, and reliability of analytical results, calculations, and predictions of main environmental impacts and their evolution;

3. Results of comparing the main environmental impacts of various urban planning schemes, serving as a basis for selecting an urban planning scheme;

4. Contents and feasibility of the environmental management and monitoring plan.

Chapter V

IMPLEMENTATION

Article 21. Responsibilities of organizations and individuals drafting, reviewing, and approving urban planning projects

1. Organizations and individuals drafting, reviewing, and approving urban planning projects have the responsibility to implement according to the regulations of the law on urban planning and to carry out the EIA content in urban planning projects in accordance with the guidelines set forth in this Circular.

2. After the urban planning project has been approved and published, the organization drafting the urban planning project is responsible for excerpting the EIA report or summarizing the EIA report and publishing it on the local government's electronic information website, while sending one copy (in PDF or DOC/DOCX format) to the Ministry of Construction at the email address [email protected].

Article 22. Responsibilities of management agencies

1. The Architecture and Planning Department (Ministry of Construction), the Construction Departments (provincial and centrally-administered city level), and the Planning and Architecture Departments (Hanoi and Ho Chi Minh City) are responsible for inspecting and supervising the implementation of EIA requirements in urban planning projects within their jurisdiction.

2. The Science, Technology, and Environment Department acts as the lead agency assisting the Minister of Construction in managing and guiding EIA activities, regularly compiling and reporting to the leadership of the Ministry on the situation of EIA activities in urban planning.

Article 23. Effectiveness of Implementation

1. This Circular takes effect from March 15, 2011.

2. This Circular replaces Circular No. 10/2000/TT-BXD dated August 8, 2000 of the Ministry of Construction on Guidelines for Preparing Environmental Impact Assessment Reports for Urban Planning Projects.

3. During the implementation period, if there are any difficulties, please submit a written request to the Ministry of Construction for guidance and resolution./.