Thông tư 01/2011/TT-BXD

CIRCULAR

GUIDING THE STRATEGIC ENVIRONMENTAL ASSESSMENT IN CONSTRUCTION AND URBAN PLANS

Pursuant to the Government's Decree No. 17/ 2008/ND-CP of February 4, 2008, defining the functions, tasks, powers and organizational structure of the Ministry of Construction;
Pursuant to the Government's Decree No. 08/ 2005/ND-CP of January 24, 2005, on construction planning;
Pursuant to the Government's Decree No. 37/ 2010/ND-CP of April 7. 2010, on formulation, appraisal, approval and management of urban planning;
Pursuant to the Government's Decree No. 80/ 2006/ND-CP of September 8. 2006. detailing and guiding a number of articles of the Law on Environmental Protection;
Pursuant to the Government's Decree No. 140/2006/ND-CP of November 22, 2006. providing for environmental protection in the formulation, appraisal, approval and implementation of development strategies, planning, plans, programs and projects,
The Ministry of Construction guides the strategic environmental assessment in construction and urban plans as follows:

Chapter I

GENERAL PROVISIONS

Article 1. Scope of regulation and subjects of application

1. This Circular guides the strategic environmental assessment in construction and urban plans, including regional construction plans, general plans, zoning plans, detailed plans, rural-population quarter construction plans and specialized technical infrastructure plans (below collectively referred to as construction planning).

2. This Circular applies to domestic and foreign organizations and individuals involved in the formulation, appraisal, approval and management of construction planning.

Article 2. Interpretation of terms

In this Circular, the terms below are-construed as follows:

Strategic environmental assessment means the analysis and forecast of environmental impacts of construction plans before they are approved in order to put forth optimum options of the construction plans, ensuring sustainable development.

Main environmental issues means environmental issues which can seriously affect communities on a large scale or are sensitive to alteration options of construction plans.

Environment observation means the process of systematic surveillance of the environment, elements affecting the environment, aiming to provide information for the assessment of the current situation and quality developments of the environment and environmental impacts.

Secondary impacts means indirect impacts of environment-related activities after a complex process.

Accumulated impacts mean impacts from impacts aggregated over the period of time when development activities take place.

Determination of scope means the determination of the impact assessment space and time, matters and objectives. The impact assessment space shall be determined on the basis of the boundary between the area covered by the construction planning and nearby areas likely to be directly affected by the implementation of the construction planning. The impact assessment time shall be determined according to the construction planning period.

Article 3. General principles

1. Strategic environmental assessment is a content of a construction plan, which is carried out simultaneously in the course of formulating the construction plan.

2. Analyses, assessments and forecasts in the strategic environmental assessment focus on main environmental issues and latent accumulated impacts, aiming to propose options and solutions for minimizing and addressing negative impacts on the environment when the construction plan is implemented.

3. Methods used in the strategic environmental assessment must be based on clear scientific grounds and specific input information and data sources. Analyses and forecasts must be based on specific sources of data and forecasting methods and quantify to the utmost the impacts and clearly show the reliability of forecasts.

4. For each type of construction planning for an area, the strategic environmental assessment contents must not contradict and overlap the contents of the explanation of the higher-level construction plan embracing such construction planning. In case of inheriting the results of higher-level strategic environmental assessment, they should be summarized with quoted document sources.

5. The strategic environmental assessment contents shall be appraised simultaneously with the appraisal of construction plans. The construction plan-appraising council must be composed of specialists with professional qualifications for strategic environmental assessment for construction plans.

Article 4. Capacity conditions and responsibilities of strategic environmental assessment specialists

1. Individuals in charge of strategic environmental assessment or appraisal of strategic environmental assessment reports for construction plans must have university or higher degree in construction or technical infrastructure planning and work in the field of planning or environmental protection for at least 5 years; or in environment and work in the field of construction planning for at least 5 years.

2. Individuals performing strategic environmental assessment shall coordinate with construction planning specialists in task formulation, performance of strategic environmental assessment contents and incorporation into construction plans; and take responsibility for the results of analyzing, calculating and forecasting environmental impacts.

Chapter II

STRATEGIC ENVIRONMENT-ASSESSMENT METHOD

Article 5. Strategic environmental assessment steps

The method of conducting strategic environmental assessment in a construction plan involves the following principal steps:

1. Conducting investigations, surveys, information collection, determination of strategic environmental assessment scope.

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

3. Analyzing current environmental conditions and developments when the construction planning is not yet formulated.

4. Analyzing environmental developments when the construction planning is implemented.

5. Proposing overall solutions to minimize and redress environmental impacts.

6. Making a strategic environmental assessment report in the explanation of the construction plan.

Article 6. Investigations, surveys, information collection, determination of strategic environmental assessment scope

The determination of strategic environmental assessment scope aims to ensure the strategic environmental assessment process focuses on the most important issues and provide a comprehensive picture of the environment, not collect and provide unnecessary information. The strategic environmental assessment scope determination covers:

1. Determination of strategic environmental assessment space and time;

2. Collection of basic data to be investigated. The results of investigations, surveys and information collection for the formulation of the construction plan shall be commonly used for the process of strategic environmental assessment:

3. Identification of relevant specialists and contents that require strategic environmental assessment;

4. Determination of contents and formulation of plans for consultancy with concerned parties.

Article 7. Identification of objectives and main environmental issues related to construction planning

1. Construction planning-related main environmental issues must reflect the current environmental conditions, tendency and possible environmental impacts. They must be listed with specific environmental objectives and indicators, which serve as bases for analyzing and assessing construction planning options.

2. The determination of environmental objectives must be pursuant to the law on environ menial protection, environment-related strategies, programs and action plans, environmental regulations and standards as well as other scientific grounds.

3. Main environmental issues may relate to:

a/ Climatic, geological and hydrological conditions, eco-systems and biodiversity;

b/ Geological catastrophes (landslide, erosion and earthquake), water-logging, floods;

c/ Use of natural resources (groundwater, agricultural and forestry land, mineral resources...);

d/ Soil, water and air quality, noise;

e/ Management of wastes (wastewater, garbage, emission);

f/ Social issues: population, poverty. resettlement, livelihood and community health;

g/ Cultural issues, heritages.

Article 8. Analysis of current environmental conditions and developments when construction planning is not yet formulated

1. The analysis of current environmental conditions and developments prior to the formulation of construction planning must focus on relevant main environmental issues, serving as a basis for comparison with environmental developments when the construction planning is implemented.

2. Contents of analysis of environmental developments when the construction planning is not yet formulated cover the assessment of current environmental conditions and the forecast of environmental developments when the construction planning is not yet formulated (called ''Option Zero'').

3. Upon the assessment of current environmental conditions, available reports on current environmental conditions can be referred to. The environmental development forecasts for "Option Zero"' must be based on the past and present trends of environmental issues and development activities which will lead to environmental changes in future.

Article 9. Analysis of environmental developments when construction planning is implemented

1. Assessment of the objectives and orientations of the construction plan: examination of the consistency and conformity in objectives and targets of construction planning orientations with environmental objectives and targets. In case of non conformity, the objectives, norms and orientations of the construction planning should be adjusted.

2. Upon forecasting the environmental developments during the implementation of the construction planning, the trend of environmental changes which may occur when the construction planning contents are implemented should he clarified: comparing environmental impacts between different options and comparing with the case of non-implementation of the construction planning as well as with identified environmental objectives; describing temporary or long-term, positive or negative changes in size, spatial and temporal scope, their probabilities and frequencies, with or without secondary impacts and accumulated impacts.

Article 10. Proposal of solutions for preventing, minimizing and redressing impacts, formulation of environment supervision plans

1. Technical solutions will be proposed to control, prevent and mitigate natural disasters or respond to environmental incidents which may occur during the implementation of construction planning. Technical solutions must be arranged in priority order.

2. Contents of proposed plans on environmental management and supervision cover the supervision of main environmental issues; networks, frequency, environmental indicators and observation methods. To prioritize the incorporation of environmental observation contents of strategic environmental assessment into the existing local observation systems. New observation contents will he proposed only when necessary. Environmental management and supervision activities must be integrated with construction planning management activities.

Chapter III

STRATEGIC ENVIRONMENT ASSESSMENT CONTENTS

In addition to main environmental issues as guided in Article 7 of this Circular, the strategic environmental assessment contents of each type of construction planning should focus on the following matters:

Article 11. Strategic environmental assessment contents in regional construction planning

1. Environmental issues with a wide scope of impact, including use of natural resources (land, water sources, minerals, forests, scenic places...); pressure on distribution of population, distribution of economic activities in the area (industry, agriculture, tourism...); river basin environment; influence of climate change, poverty, environmental degeneration, natural disasters and floods.

2. Assessment of the current state of major polluting sources (urban areas, industrial zones, mining areas...), areas with environmental degeneration, eco-landscape conservation zones. Identification of environmental protection contents for regional planning (regional water supply, regional transportation, inter-urban center waste treatment, river basin environment protection...).

3. Forecasts of the trends of environmental issues affected by urban distribution, population, economic activities, technical infrastructure networks in the region; stating environmental issues already addressed or not yet addressed in the plan. Assessment of the consistency between the construction planning and environmental protection viewpoints and objectives; forecast and comparison of environmental impacts of different plans.

4. Summarization, suggestion and arrangement in priority order of measures to ward off. minimize and improve existing environmental issues in the plan: proposal of environmental protection zones (special-use forests, protection forests, green corridors, heritage zones, water source basins...).

Article 12. Strategic environmental assessment contents in general planning

1. Determination of major, burning environmental issues inside and outside urban centers, including the selection of construction land in relation to natural disaster prevention and flooding minimization: transport environment, construction and beautiful views: air and noise pollution; river, lake and ground water pollution; pressure on solid waste management: wastewater and water drainage; protection of heritages and eco-systems...

2. Assessment of the current state of polluting sources with direct impacts (population quarters, industrial production units, hospitals, waste treatment areas...): polluted areas: degree and consequences of environmental pollution. Assessment of eco-systems, craft village environment, environment of outlying areas.

3. Forecast of environmental impacts and developments to be caused by activities in population quarters, industrial production units, trade and service centers, hospitals, traffic and waste treatment on the basis of orientations for spatial development, urban structure, construction land selection, population density and demarcation of functional zones.

4. Summarization, proposal and arrangement in priority order of measures to prevent. minimize and improve existing environmental problems in the plan, proposal of isolation areas for environmental protection (green space, river and lake protection corridors, development-limited zones...).

Article 13. Strategic environmental assessment contents in zoning plans

1. Identification of main environmental issues: air quality, noise, soil, water, green trees, groundwater, environmental sanitation, social conditions of the areas...

2. Assessment of regional environment developments, forecast and comparison of environmental impacts of various planning options on the basis of construction density, land use planning and arrangement of functional zones.

3. Summarization and arrangement in priority order of measures to prevent, minimize and improve environmental problems in the plan, proposal of isolation distances for environmental protection in functional zones and no-construction areas.

Article 14. Strategic environmental assessment contents in detailed planning

1. Identification of main environmental issues: air quality, traffic and noise, soil, water, green trees, groundwater, wastewater and solid waste collection and treatment.

2. Assessment and forecast of impacts of planning options on the regional environment.

3. Summarization and arrangement in priority order of measures to prevent, minimize and solve environmental problems in the plan; proposal of lists of construction investment projects requiring environmental impact assessment.

4. For detailed planning formulated for construction investment projects, Clause 2. Article 19 of this Circular will apply.

Article 15. Strategic environmental assessment contents in population quarter construction planning

1. Identification of main environmental issues in the course of implementing the construction planning, in activities of population quarters: soil, water and air quality. Environmental sanitation, environmental problems in handicraft-cottage industrial, craft village, cultivation, husbandry and fisheries activities.

2. Forecast of environmental impacts and developments in the course of implementing the population quarter construction planning.

3. Summarization and arrangement in-priority order of measures for environmental protection in the plan.

Article 16. Strategic environmental assessment contents in specialized technical infrastructure planning

1. Strategic environmental assessment of specialized technical infrastructure plans shall be conducted for specialized transport plans, foundation levels and surface water drainage. electricity supply and public lighting, water supply, wastewater drainage, solid waste treatment, cemeteries and information and communication.

2. Strategic environmental assessment contents should focus on the following matters:

a/ Specialized transport planning: Assessment and comparison of positive and negative environmental impacts of selected options on routes, locations of key works (airports, seaports, river ports, junctions, car terminals and parks, subway stations and railway stations); traffic flow, air and noise pollution; social impacts related to land recovery and resettlement due to opening of new routes or road expansion; effects on cultural-historical works: negative impacts on nature reserves. national parks and environment-sensitive areas due to the accessibility to or divisibility of bio-habitats: impacts on surface water systems and impacts on water drainage systems;

b/ Foundation level and surface water drainage planning: Assessment and comparison of positive and negative environmental impacts of selected options on water drainage basins, water drainage networks and surface water-receiving sources, locations of key works; impacts of topographical, geological and hydrological conditions and areas with geological catastrophes: environmental criteria in the assessment and selection of construction land; impacts of climate change, including rain intensity, frequency and duration, impacts upon occurrence of typhoons and related flood risks and impacts of sea level rises and tidal waves: relations between drained water volumes and floods, hydrological regimes of downstream flows as well as groundwater distribution rates;

c/ Electricity supply and lighting planning: Assessment and comparison of environmental impacts of options on transmission lines, locations of transformer stations: ecological changes resulting from isolation and safety requirements of transmission line corridors; impacts of electromagnetic field and lighting on human health; social impacts related to land recovery and resettlement due to construction of electricity distribution and transmission systems and traffic safety:

d/ Water supply planning: Assessment and comparison of positive and negative environmental impacts of options on selection of water supply sources, water supply zoning, water supply networks and lines; matters related to supplied water quality; impacts on downstream flow and aquatic flora and fauna in case of use of surface water; earth surface depression and effects on groundwater quality and deposits in case of use of groundwater; waste residues and chemicals in the water treatment process;

e/ Wastewater drainage planning: Assessment and comparison of positive and negative environmental impacts of options on receiving sources, load-bearing capacity, wastewater collection and treatment options, quality of treated water based on pollution parameters: solid wastes and mud discharged from the wastewater treatment process; characters of groundwater in areas where wastewater treatment plants are built and pollution-leaking possibility; hydrological regime and flooding possibility in areas where wastewater treatment plants are located; emissions and bad odors arising in the course of wastewater treatment; toxic chemical residues; pathogenic microorganisms and people's health as well as labor safety of water drainage workers;

f/ Solid waste treatment planning: Assessment and comparison of positive and negative environmental impacts of options on collection lines, locations and sizes of depot stations, complexes, solid waste treatment establishments, treatment technologies: components of common and hazardous solid wastes; characteristics of land in areas where waste burial sites arc built and soil-polluting possibility; characteristics of groundwater in areas where solid waste treatment establishments arc built and groundwater- polluting possibility; characters of surface water systems, flow directions and distance to solid waste treatment establishments; emissions and bad odors from treatment establishments; negative social impacts on population communities in areas where treatment establishments are located or along garbage-transporting routes;

g/ Cemetery planning: Assessment and comparison of positive and negative environmental impacts of options on locations and sizes of cemeteries as well as interment works and technologies; distance from residential areas and sensitive works; geological conditions and soil characteristics in areas projected for construction of cemeteries; hydrological regimes and movement of decaying matters in groundwater; characters of regional surface water systems and distance to cemeteries; social impacts related to land recovery and resettlement due to cemetery construction; religious and spiritual matters as well as customs and practices related to burial;

h/ Information and communication planning: Assessment of the impacts of construction and operation of broadcasting stations and transmission systems on human health and the environment; transmission line directions and impacts on eco-systems; impacts on surface water (lows or groundwater pollution due to construction of underground systems and multimedia stations.

Chapter IV

STRATEGIC ENVIRONMENT ASSESSMENT REPORTS AND APPRAISAL THEREOF

Article 17. Forms of presentation of strategic environmental assessment reports in explanation of construction plans

1. Separate strategic environmental assessment report: Applicable to construction plans for inter-provincial regions, peculiar regions lying within the administrative boundaries of two or more provinces and general planning of centrally run cities.

2. Report being a separate chapter of the explanation document of a construction plan: Applicable to construction plans other than those defined in Clause 1 of this Article.

Article 18. Structure and contents of strategic environmental assessment reports in explanation of construction plans

A strategic environmental assessment, report has the following contents:

1. Introduction: Scope and contents of strategic environment research, analysis and assessment; scientific grounds for methods used in the strategic environmental assessment process.

2. Main environmental issues and objectives related to construction planning: Main environmental issues; environmental objectives mentioned in environment-related legal documents, orientations, strategies, action plans, regulations and standards.

3. Analysis and assessment of the environmental situation and developments when construction planning is not implemented: Quantification of the environmental situation: forecast of environmental developments on the basis of data and analytical methods as well as scientific calculations.

4. Analysis and forecast of environmental impacts and developments when construction planning is implemented:

a/ Assessment of the consistency of planning viewpoints and objectives as well as environmental protection objectives;

b/ Identification of major environmental developments and impacts which may occur when construction planning is implemented;

c/ Analysis, calculation, forecast and quantification of environmental impacts and developments on the basis of data of construction planning options. Results of environmental impact and development analyses for construction planning options must be tabulated for comparison and use as a basis for selection of construction planning options:

d/ Analysis, forecast and quantification of environmental impacts and developments in the "course of implementing construction planning (technical infrastructure construction investment, constructions of functional zones...), proposed lists of projects requiring environmental impact assessment;

e/ Construction planning solutions to minimize and redress the identified environmental impacts and developments.

5. Technical solutions to control pollution, prevent and mitigate natural disasters or respond to environmental incidents, control environmental impacts: environment management and supervision plans.

6. Enclosed drawings:

A strategic environmental assessment report will be enclosed with at least two drawings: a map on the environmental situation and a map on strategic environment assessment.

a/ The map on the environmental situation: To reflect the environmental situation and the development of environmental components. main environmental issues when the planning is not implemented. It must demonstrate major polluting sources, polluted locations and areas as well as pollution parameters already observed. Pollution parameters shall be presented in diagrams or tables, with comparison to national standards and technical regulations;

b/ The map on strategic environment assessment: To demonstrate the results of assessment of impacts on main environmental issues in the course of implementing the planning. It must express the results of forecast of major polluting sources, polluted locations and areas in (he future. The pollution parameters shall be presented in diagrams or tables, with comparison to national standards and technical regulations. Results of pollution calculation shall be forecast according to (he planning formulation lime frame for short, medium and lone-term periods. It is encouraged to demonstrate environmental protection measures and zoning.

c/ The drawing scales and presentation specifications comply with regulations on dossiers and drawings of construction plans.

Article 19. Contents of strategic environ­mental assessment reports in construction plans in (he same geographical areas

1. If strategic environmental assessment reports in construction plans of higher level are available, the contents of strategic environmental assessment reports in construction plans of lower levels must not repeat (he strategic environmental assessment contents already stated in the approved construction plans of higher level. In this case, a strategic environmental assessment report should contain:

a/ Summary of major environmental developments and impacts, measures to redress and minimize (he environmental impacts already stated in the strategic environmental assessment report in the approved higher-level construction plan:

b/ Summary of the environment management and supervision plan in the strategic environmental assessment report in the approved higher-level construction plan;

c/ Assessment of the efficiency of solutions and proposals stated in strategic environmental assessment reports in the approved higher-level construction plans, which are being implemented.

2. If the detailed planning of projects contain adequate quantitative information on systems of technical infrastructure facilities and constructions, the strategic environmental assessment contents may be converted into contents of an environment impact assessment report. The making, contents and appraisal of an environment impact assessment report comply with regulations on environmental impact assessment.

Article 20. Appraisal of strategic environmental assessment reports

Appraisal of a strategic environmental assessment report covers the following contents:

1. Report-making method and report structure:

2. Scientific grounds. Documents and reliability of results of major environmental developments and impact analysis, calculation and forecast:

3. Results of comparison of major environmental developments and impacts of various construction planning options, which serve as basis for selection of construction planning options;

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

Chapter V

ORGANIZATION OF IMPLEMENTATION

Article 21. Responsibilities of organizations and individuals that formulate, appraise or approve construction planning

1. To comply with the law on construction planning and implement the strategic environmental assessment contents in the construction plans as guided in this Circular.

2. After the construction plans are approved and publicized, to cite or summarize the strategic environmental assessment reports and publicize them on the websites of local administrations and concurrently send a file (document file with the ending *.pdf or *.doc/docx) to the Ministry of Construction at [email protected].

Article 22. Responsibilities of management agencies

1. The Planning Architecture Department (the Ministry of Construction), provincial-level Departments of Construction. Architecture Planning Departments of Hanoi and Ho Chi Minh City shall inspect and examine the compliance with requirements on strategic environmental assessment in construction plans under their respective management.

2. The Science. Technology and Environment Department shall act as a focal point assisting the Minister of Construction in managing and guiding strategic environmental assessment activities, periodically review and report thereon to the Ministry's leadership.

Article 23. Effect

1. This Circular lakes effect on March 15, 2011.

2. This Circular replaces the Ministry of Construction's Circular No. 10/2000ATT-BXD of August 8. 2000. guiding the formulation of environmental impact assessment reports for construction plans.

3. Problems arising in the course of implementation should be reported in writing to the Ministry of Construction for guidance and handling.-