vietnam inclusive innovation project - … · web viewthe government of vietnam has requested world...

Ministry of Planning and Investment

Enterprise Development Agency

Vietnam Inclusive Innovation Project

ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK

(Final Draft)

January, 2013

VIETNAM INCLUSIVE INNOVATION PROJECT – ENTERPRISE DEVELOPMENT AGENY

Table of Contents

1. Introduction 3

1.1 Project description:................................................................................................................3

1.2 Project management and personnel........................................................................................5

1.3 Scope of the ESMF................................................................................................................6

2. Environmental legislation applicable to the projects 6

3. Project potential impacts and mitigation measures 9

3.1 Project potential impacts........................................................................................................9

3.2 Mitigation measures...............................................................................................................9

4. Institutional Arrangement and Capacity for Environmental Management 9

4.1 Institutional Arrangement......................................................................................................9

4.2 Institutional Capacity...........................................................................................................12

5. Environmental Management Procedures for subprojects under Components 1 and 212

5.1 Environmental and Social Screening...................................................................................13

5.2 Preparation of EIA/EPC/EMP.............................................................................................15

5.3 Public consultation and disclosure of EIA/EMP/EPC.........................................................16

5.4 Monitoring...........................................................................................................................17

5.5 Reporting and documentation..............................................................................................17

6. Environment Management Procedures for upgrading activities for institutions under Component 3 31

7. Capacity building and Training Plan 32

8. Estimated Cost for ESMF implementation 32

9. Public Consultation and Disclosure of Project ESMF 33

ANNEX 1: ENVIRONMENTAL AND SOCIAL SAFEGUARDS CHECKLIST...................35

ANNEX 2: ENVIRONMENTAL IMPACT SCREENING FORM..........................................38

ANNEX 3: Environmental Management Plan (EMP) Model...................................................40

ANNEX 4: CHANCE-FIND PROCEDURES..........................................................................45

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ANNEX 5: Environmental Code of Practice (ECOPs)..............................................................46

ABBREVIATIONS AND ACRONYMSBoP Bottom of PyramidEDA Enterprise Development Agency (MPI)EPC Environmental Protection Commitment EIA Environmental Impact AssessmentEMP Environmental Management PlanESMF Environment and Social Management FrameworkFM Financial ManagementFMM Financial Management ManualGDP Gross Domestic ProductGKTP Global Knowledge Transfer and PartnershipGM Grant ManualGoV Government of VietnamGRA Global Research AllianceICB International Competitive BiddingICT Information and Communication TechnologyIE Initial EnvironmentMPI Ministry of Planning and InvestmentMoST Ministry of Science and TechnologyNDCs National Development ChallengesNDCC National Development Challenges CouncilMoH Ministry of HealthMoNRE Ministry of Natural Resource and EnvironmentNIMM National Institute of Medical MaterialsNHTM National Hospital of Traditional MedicineNAFOSTED National Foundation for Science and Technology DevelopmentPFIs : Participating Financial Institutions PIA Project Implementation AgencyPIU Project Implementation UnitPMU Project Management UnitPOM Project Operational ManualPSC Project Steering CommitteeR&D Research and DevelopmentRTDI Research and Technology Development InstituteSBV State Bank of VietnamSEDS Social and Economic Development Strategy (2011~2020)SME Small and Medium EnterpriseSOEs Statement of ExpendituresSTI Science and Technology InnovationsTHM Traditional Herbal MedicineToR Terms of ReferenceVAST Vietnam Academy of Science and TechnologyVIIP Vietnam Inclusive Innovation ProjectWA Withdrawal ApplicationWB World Bank

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1. Introduction

The Government of Vietnam has requested World Bank to finance the Vietnam Inclusive Innovation Project (VIIP) (herein refer to as the Project). The Project will focus on development of high-performance and affordable solutions to address the needs of the Base of Pyramid population, including through providing support to SMEs to acquire, adopt, create and use of technology and innovation.

The VIIP will comply with applicable Vietnamese environmental regulations and the World Bank Environmental and Social and Safeguard Policies. By design, the Project will not finance any innovations and technologies which cause significant adverse environmental and social impacts. Potential impacts, if there is any, would not be irreversible and will be at low and medium scale, mitigable and manageable. The project therefore has been classified as category B and an Environmental and Social Management Framework (ESMF) is developed by EDA as part of Project preparation to ensure that all the financed subprojects corresponding to innovative technology development/adaptation/creation would be implemented in an environmentally and socially sustainable manner.

The ESMF will screen all innovation technologies to determine their eligibility regarding environmental and social safeguards. The ESMF includes a procedure to develop and implement relevant measures to mitigate the impacts; specifies institutional arrangement, cost for implementing screening, preventive, mitigation measure and monitoring.

The ESMF will be integrated into the Project Operational Manual and deliberately reflected in the subproject application forms to ensure that environmental and social issue will be considered together with other requirement during project implementation.

1.1 Project description:

Project ObjectivesThe Project Development Objective (PDO) is to adopt, upgrade and develop inclusive innovations for the benefit of the Base of Pyramid (BoP) population. This will be achieved by strengthening Vietnam's capacity to undertake inclusive innovation, including financing development, adaptation, adoption, scaling up and commercialization of inclusive technologies, and improving Research and Development Institutions’ (RDIs’) and Small and Medium Enterprises’ (SMEs’) technological and innovation capabilities thereby enhancing their competitiveness

Project Components

The project with an IDA Credit of US$55 million will consist of the following four components: i. Developing Inclusive Technologies

ii. Scaling up and Commercialization of Inclusive Technologies iii. Capacity Building and Global Knowledge Transfer

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iv. Project Management, Monitoring and Evaluation

Component I: Developing Inclusive Technologies. The project will support the development of inclusive technologies that will help address the problems of the BoP population, through competitive grants, based on public calls for proposals and transparent selection criteria. This component will provide support for: (i) developing technological solutions to address a few National Development Challenges (NDCs); (ii) developing, acquiring, adapting and upgrading inclusive technologies by enterprises and grassroot innovators. The project will focus on key priority themes which could have a quick and significant impact for the BoP population and in which Vietnam has a strong tradition, capacity and strategic interest, as reflected in Vietnam’s 2011-2020 Social and Economic Development Strategy (SEDS). The priority themes to be supported under the project are selected by a National Development Challenges Council in Vietnam as: (i) Traditional Herbal Medicine (THM); (ii) Information and Communications Technologies (ICT) Applications (as a tool for the delivery of services to the BoP), and (iii) Agriculture/Aquaculture applications. Other themes may be considered during project implementation by the Project Steering Committee (PSC). While developing actual solutions, the project will also provide ancillary benefits in the strengthening of the capacity (see Component III) of the key participating institutions

Component II: Scaling up and Commercialization of Inclusive Technologies . This component will provide loans and matching grants to private enterprises for upgrading, scaling up and commercialization of inclusive technologies. This will include (i) support for scaling-up, commercialization and sustainable production of inclusive technologies dealing with manufacturing of products and services for the BoP; (ii) funding to private sector SMEs 1 for the acquisition, adoption and use of technology and innovations in priority areas with significant potential for technological up-gradation and growth.

The general eligibility criteria for subproject selection under Component I and II include: a) existing or new technologies applicable to Vietnam, b) readiness to adoption/adaptation and cost reduction potential; c) provide solutions to address the needs of BoP and are affordable, durable, and environmentally friendly; d) time-bond deliverables with 2-3 years to reach the prototype stage or have the potential to commercialize in Vietnam within 2 years; e) multi-disciplinary applications of new ideas/ technologies; f) collaboration among RDIs, enterprises, local and international partners, researchers/ innovators to ensure quality and commercialization potential. See Annex 2 for details on funding arrangement and subproject selection criteria.

Component III: Capacity Building and Global Knowledge Transfer. The project will support capacity building of key Vietnamese national institutions for the sustainable development and delivery of inclusive technologies in the priority areas supported under the project a) enhancing technology, quality and clinical trial of traditional herbal medicine products; b) enhancing innovation grant management capacity; c) enhancing capacity in technology transfer and commercialization, intellectual property rights protection.

1 SMEs are defined as independent production and business establishments registered in Vietnam with a total registered capital of less than VND 10 billion or total employee fewer than 300 people as per government regulation.

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Component IV: Project Management, Monitoring and Evaluation. The project will provide support to EDA PMU and PIUs in NAFOSTED and PFIs for project management, coordination, capacity building, oversight, monitoring and evaluation, reporting and audits to enable them to perform its responsibility for project coordination and management.

Project area:Nationwide as the innovation activities could take place anywhere in Vietnam

Type of potential subprojects: a. The potential subprojects of VIIP Project will lie under the following themes Traditional

Herbal Medicine (THM) Quality enhancement in cultivation, production, manufacturing, distribution and

marketing of herbal medicines. Technology upgrading for cultivation, production, manufacturing, distribution

and marketing with GMP standards (entire value chain of herbal medicine development).

b. Information and Communication Technology (ICT)applications Enhance the availability, relevance and access to information and contents

targeted at the BoP. Develop/ design affordable, durable and user friendly ICT devices / applications

for the benefits of BoP. Develop the appropriate databases for SMEs and farmers. Develop the advanced software for the big quantity of databases and support to

easily export the databasesc. Agriculture/ Aquaculture applications

Develop technology solutions to reduce post harvest losses in agri/ aquaculture products.

Develop clean energy/ energy efficient solutions for use by villagers and farmers to improve life quality and productivity.

Improve quality and safety of agri/aquaculture products.Other themes may be considered during project implementation by the Project Steering Committee (PSC). While developing actual solutions, the project will also provide ancillary benefits in the strengthening of the capacity (see Component III) of the key participating institutions

1.2 Project management and personnelName of Project: Vietnam Inclusive Innovation Project

Name of Donor: The World Bank (WB) / International Development Agency (IDA)

Line Agency: Ministry of Planning and Investment (MPI)

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a) Contact Address: No 6B, Hoang Dieu Street, Quan Thanh ward, Ba Dinh District, Hanoi

b) Phone: 04.37349755; Fax: 04.37349755

Project Owner: Enterprise Development Agency

a) Contact Address: No 6B, Hoang Dieu Street, Quan Thanh ward, Ba Dinh District, Hanoi

b) Tel: 080 43854 / Fax: (84-4) 37342189

Project duration: 5 years: 2013-2017

Total Project Budget: USD $ 55.625 million, of which:

a) ODA Funds: USD $ 55.0 million

b) Counterpart Funds: 12,5 billion VND, equivalent to USD $ 0.625 million

Type of ODA: ODA concessional loan - IDA Credit

1.3 Scope of the ESMFThe ESMF will be used to screen and manage potential environmental and social impacts arising from implementation of subprojects under components I and II. It also sets out requirements for activities of upgrading facilities for institutions under component III of VIIP Project.

2. Environmental legislation applicable to the projects

2.1 Vietnamese Environmental Legislations

Law on Environment Protection, No 52/2005/QH11 dated 12 December 2005 Decree No.29/2011/ND-CP dated on April 18, 2011 by Government on provisions on

SEA/EIA and environmental protection commitment Circular No. 26/2011/TT-BTNMT dated on July 18, 2011 by MONRE on details

provision of some articles of the Government’s Decree No.29/2011/ND-CP dated on April 18, 2011 on provisions on SEA/EIA and environmental protection commitment

Decree No. 21/2008/ND-CP dated on February 28, 2008 of the Government amending and supplementing a number of articles of the Government’s Decree No. 80/2006/ND-CP dated on August 9, 2006

Decree No. 80/2006/ND-CP dated 09 August 2006 by Government, providing details guidelines for implementation of the Law on Environment Protection No. 52/2005/QH11

Law on water resources No. 1998/QH adopted by Vietnam social republic parliament, session X, third time dated 20/5/1998.

Decree No. 179/1999/ND-CP dated 30/12/1999 of Prime Minister on water resource law implementation.

Decree No. 149/2004/ND-CP dated 27/7/2004 of Prime Minister on Regulations of permission for surveying, exploitation, using water resource, discharge into water source;

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Decree No. 38/2011/NĐ-CP dated on May 26, 2011 on revising and supplementing some articles of Decree No. 149/2004/ND-CP;

Decree No. 81/2006/ND-CP dated August 9, 2006 by Government: Decree on sanction of administrative violations in the domain of environmental protection

Decree No. 117/2009/ND-CP dated 31 December 2009 by Government on handling of violations in the area of environment protection

Decree No. 73/2010/ND-CP on administrative penalization security and society issues Decree No. 59/2007/ND-CP dated 09/4/2007 of Prime Minister on Solid waste

management; Circular No. 12/2011/TT-BTNMT on management of hazardous substance Circular No. 12/2006/TT – BTNMT dated 26/12/2006 of MONRE on guidelines of

practice condition, document procedures, registration, practice permit, code for hazardous waste management;

Decision No. 23/2006/QD-BTNMT dated 26/12/2006 of Ministry of Natural resources and environment on hazardous waste catalogue;

Decree No. 13/2003/ND-CP dated 19/2/2003 of Prime Minister on articles regulating hazardous waste types and their transportation on road;

Circular No. 02/2009/TT-BTNMT dated 10/03/2009 of Ministry of Natural resources and environment on regulations of waste water receiving capacity of water resource

Law on Vietnam technical regulations No. 68/2006/QH11 dated 29/6/2006. The Vietnamese Good Agricultural Practice for production of fresh fruit and vegetables

(VietGAP)

Vietnam National Technical Regulations/Standards, include:

QCVN 05:2009/BTNMT-National technical regulations on ambient air quality;

QCVN 06:2009/BTNMT-National technical regulation on hazardous substances in ambient air;

QCVN 07:2009/BTNMT – National technical regulation on limit of hazardous wastes;

QCVN 14:2008/BTNMT-National technical regulation on domestic wastewater;

QCVN 19:2009/BTNMT-National technical regulation on industrial emission of dust and inorganic substances.

QCVN 20:2009/BTNMT-National technical regulations on industrial emission of some organic substances.

QCVN 26:2010/BTNMT: Acoustic – Noise from public area and residence. Maximum allowable noise; TCVN 3985:1999: Acoustic – Allowable noise level at working areas.

QCVN 27:2010/BTNMT: National technical regulation on vibration

QCVN 39:2011/BTNMT - National technical regulation on Water Quality for irrigated agriculture

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QCVN 40:2011/BTNMT: National Technical Regulation on Industrial Wastewater.

Water quality standards: TCVN 7222 : 2002: General environmental requirements of centralized wastewater treatment plants;

Solid waste standards: TCVN 6705-2000: Non-hazardous waste. Classification; TCVN 6706-2000: Hazardous waste. Classification.

If new relevant regulation and standards are issued during the Project implementation, then the new regulations and standard shall be followed.

2.2 World Bank Safeguard Policies and Guidelines

OP 4.01: Environmental Assessment2

The OP 4.01 is triggered as the project may cause some minor adverse environmental and social impacts associated with supported innovative sub-projects under Components I and II, and upgrading activities of laboratories from selective institutions under Component III.

Public Consultation and Information Disclosure

OP4.01 requires during the EA process, that project-affected groups and local nongovernmental organizations (NGOs) be consulted about the project's environmental aspects and takes their views into account. OP 4.01 further requires that such consultations are initiated as early as possible during project preparation and throughout project implementation as necessary to address EA-related issues that affect them.

As per the World Bank’s Policy on Disclosure of Information and OP4.01 all Environmental Assessment reports will be disclosed locally in Vietnam and also at the Info shop in Washington DC.

The World Bank Group Environmental, Health & Safety (EHS) General GuidelinesThe EHS Guidelines are technical reference documents with general and industry-specific examples of Good International Industry Practice (GIIP), as defined in IFC's Performance Standard 3 on Pollution Prevention and Abatement. The EHS Guidelines contain the performance levels and measures that are normally acceptable to The World Bank Group and are generally considered to be achievable in new facilities at reasonable costs by existing technology. When host country regulations differ from the levels and measures presented in the EHS Guidelines, projects are expected to achieve whichever is more stringent. If less stringent levels or measures are appropriate in view of specific project circumstances, a full and detailed justification for any proposed alternatives is needed as part of the site-specific environmental assessment. This justification should demonstrate that the choice for any alternate performance levels is protective of human health and the environment.

2 For more details about WB guidelines and Policies, please visit Bank websites:

http://web.worldbank.org/WBSITE/EXTERNAL/PROJECTS/EXTPOLICIES/EXTSAFEPOL/0,,menuPK:584441~pagePK:64168427~piPK:64168435~theSitePK:584435,00.html and http://www.ifc.org/ifcext/sustainability.nsf/Content/EHSGuidelines

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http://www.ifc.org/ifcext/sustainability.nsf/Content/EHSGuidelines

http://web.worldbank.org/WBSITE/EXTERNAL/PROJECTS/EXTPOLICIES/EXTSAFEPOL/0,,menuPK:584441~pagePK:64168427~piPK:64168435~theSitePK:584435,00.html

http://web.worldbank.org/WBSITE/EXTERNAL/PROJECTS/EXTPOLICIES/EXTSAFEPOL/0,,menuPK:584441~pagePK:64168427~piPK:64168435~theSitePK:584435,00.html


3. Project potential impacts and mitigation measures

3.1 Project potential impactsThe project will include a number of innovative sub-projects under grant and/or loan under component 1 and 2. In addition, it includes upgrading activities of laboratories from two RDTIs under component 3. Given the exact nature and location of innovative subprojects under component 1 and 2 are not identified prior to appraisal; the relevant impacts associated with these subprojects are mostly unknown. The known impacts may include safety issue and disposal of waste from RDTIs and SMEs during subproject implementation and operation. The impacts relating to upgrading of laboratories under component 3 may include during construction minor, short term impact relating to generation of noise, dust, and waste and safety concern; and during operation the issue of waste management and laboratory safety. The subprojects’ potential impacts, if any, are expected to be localized, varying from small medium scale and can be managed through good design and good management practices during Project implementation and operation. The Project is not expected to have significant adverse impacts and thus has been classified as category B Project

3.2 Mitigation measuresAs the subprojects are not identified by appraisal, the site-specific impacts of subprojects are not yet known until implementation phase. Nevertheless, during implementation, the mitigation measures for generic impacts associated with the upgrading of laboratories under component 3 e.g. generation of dust, noise, waste water, solid waste, and traffic and labor safety - are described in the Environmental Codes of Practices (ECOPs). These mitigation measures are applied to construction and/or minor construction activities and shall be implemented by the contractor implementation construction phase. The ECOPs will be included into the bidding documents and relevant contract documents.

4. Institutional Arrangement and Capacity for Environmental Management

4.1 Institutional ArrangementThe broad framework for project implementation has been worked out between EDA and the World Bank. EDA will be the responsible Government agency for the overall planning, coordination and implementation of the project. A Project Steering Council (PSC) is being formulated as a policy advisory body to MPI for the project. PSC members will be proposed as participation of ministerial leaders. Specific members of PSC will be defined before negotiation. The Director General of EDA will be the Secretary of the PSC. It is expected to meet every six months to provide policy advice and review project progress. PSC would not be involved in the routine implementation of the project. Consequently, the WB proposal designates the entire selection process to NAFOSTED (for all grants) and the selected PFIs (for loans). Agencies like

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NAFOSTED and Commercial Banks are best suited to the specific implementation roles under the project.

Institutional arrangement for Project implementation is demonstrated in the Figure 1 below:

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Overall mgmt. of grants & loan to SMEs

Proposal selection criteria

Proposal evaluation

Overall implementation management;

Coordination;

World Bank

Enterprises Development Agency (EDA)

Project Management Unit(PMU)

Component III EDA/PMU/

Component II

PFIs/NAFOSTED

Gov’t of Viet Nam

Ministry of Planning &

R&D

Institutions

Project Steering Council

(PSC)

Component I

NAFOSTED

R&D

Institutions

R&D

Institutions/ Enterprises/SMEs

Component IV

EDA/PMU

Overall mgmt. of grants to R&Ds

Beneficiary selection criteria

Proposal evaluation process

TA/training

Study tour

Equipment;

NHTM NIMM

VAST

HUST


Figure 1: Institutional arrangement for Project Implementation

The responsibility of key stakeholders for ESMF implementation is listed in the Table 1

Table 1: Institutional arrangement for ESMF implementation

No Organizations Responsibilities1 Ministry of Investment

and Planning (MPI)/Project Management Unit (PMU) under EDA

- Responsible for overall coordination of Project implementation including safeguard execution.- Provide training and technical assistance as necessary to strengthen capacity for environmental staff/consultant under EDA and NAFOSTED.- Update the ESMF as necessary, taking into the lesson learnt during Project implementation.- Allocate staff /consultant responsible for ensuring social and environmental compliance of institute upgrading activities under Component 3. The role of staff/consultant but not limited to the following: Preparation of environmental documents to ensure the environmental

compliance and safety during upgrading process. Monitoring the implementation of environment and safety compliance by

contractor/equipment supplier during upgrading process and by beneficiary institutes during 1st year of operation.

Report on implementation including environmental compliance to WB for review.

2 Project Implementing Unit (PIU) underNAFOSTED

- Allocate qualified staff and/or consultants to be responsible for ensuring environmental and social safeguard compliance of the subprojects under Components 1 and 2. The role of the allocated staff and/or consultant include but not limited to the followings: Screening, reviewing and appraisal of Environmental Safeguard

Documents and monitoring reports from subproject owners’ i.e. granted institutions and financed SMEs.

Monitoring the implementation of mitigation measures by subproject owners.

Report on subproject implementation including environmental compliance to WB for review.

3 Participating Financial Institution (PFIs)

- Rely on NAFOSTED system to ensure the social and environmental compliance of sub-loans under Component 2

4 Subproject owners under Components 1 &2

- To carry out measures to mitigate impacts as specified in approved environmental safeguard documents (EIA/EPC/EMP)- Internal monitoring and reporting the sub-project implementation, including environmental safeguard compliance to PIU for reviewing

5 Contractors and equipment suppliers, beneficiary institutes under Component 3

- Contractor and equipment supplier: carry out mitigation measures during implementation- Beneficiary institutes: carry out mitigation measures and environmental compliance during operation

6 Local authorities - Approving Environmental Report (EIA/EPC) and carry out environmental

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including DONRE monitoring as mandated by GoV regulations7 World Bank - Provide guidance to PMU, PIU and PFIs in project implementation

including ESMF execution

Note: sub-project owner here refer to as granted/financed institution and enterprises under component 1 and 2

4.2 Institutional CapacityThe MPI/EDA may have some previous experience in carry out WB financed projects. However, the staffs that had experience on safeguard management of these previous projects may not be available to be assigned as Staff Officer for VIIP project. NAFOSTED may allocate qualified staff who understands well GoV environmental regulation under its relevant Science Committee. However, NAFOSTED has never been carried out WB funded project and therefore does not have experience of the World Bank’s safeguard policies. The current capacity of NAFOSTED and EDA regarding ESMF implementation, therefore, is considered to be limited.

The Project will require the allocation of qualified environmental staff under EDA and NAFOSTED to oversee environment and social safeguard issues and necessary training will be carried out to strengthen capacity of EDA and NAFOSTED in implementing safeguard requirements

5. Environmental Management Procedures for subprojects under Components 1 and 2

This section describes the actions to be followed by other actors – as specified in section 3 – to implement World Bank safeguard policies and GoV environmental requirements at each stage of subproject implementation and preparation. These include:

- Environmental and social screening

- Preparation of Environment Assessment Report (EIA/EMP/EPC).

- Public Consultation and Disclosure

- Monitoring

- Reporting

The Environmental Management Procedures described in details in section 5.1 -5.5. In addition, the Environmental Management for subproject under components 1 and 2 is summarized in Table 3.

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5.1 Environmental and Social Screening 5.1.1 Subproject classification criteria

The purpose of screening is to determine the subproject eligibility for WB funding and to identify subproject potential impacts and consequently the appropriate instrument to manage those impacts.

By design, the VIIP Project only triggers the Bank safeguard policies OP/BP 4.01 Environment Assessment. Any subproject triggering other safeguard policies will be excluded from Bank financing. In addition, the subprojects which cause significant impacts will not be eligible for Bank financing.

According to the OP/BP 4.01, the WB classifies the projects based on the extent and potential severity of the impacts. A project which causes significant adverse environmental impacts that are diverse, irreversible and unprecedented is categorized as A and for this project, a full environmental assessment (EA) needed to be prepared. Category B projects are those with less significant adverse impacts which are site-specific, few if any of them are irreversible; and in most cases mitigation measures can be designed more readily than for Category A projects. Category B project will require preparation of Environmental Management Plan (EMP) or an EIA with scope narrower than that of category A The project that causes minimal or no adverse impacts is categorized as C and beyond screening, no environmental assessment is required.

GoV legal documents, i.e. Decree No29/2011/ND-CP, use a list of Project type to classify projects.

i. The projects belong to the list in Annex II of Decree No29 are subjected to Environmental Impact Assessment (EIA) elaboration. In addition, for those projects belonging to Annex III, which cause potential high adverse impacts, an EIA report needs to be prepared and approved by MONRE instead of local authorities.

ii. The subprojects/activities subject to prepare and register for an Environmental Protection Commitment (EPC) include:

o Investment projects having nature, scale and capacity which are not listed or under the level prescribed in the list in the Annex II of this Decree

o Activities of production, business, or services which are not required to formulate investment project but shall generate waste during its implementation

The differences in GoV and WB category approaches may lead to different requirements on potential subprojects. To address any potential the inconsistency and to ensure that the selection of sub-projects will strictly follow the GoV regulation, the WB safeguard policies and project design, the subprojects/activities under VIIP Project Support is classified in 5 types as follows:

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- IE-type (in-eligible type): subprojects that are ineligible for financing include:

a) those subprojects which cause significant, diverse, irreversible and unprecedented environmental impacts corresponding to WB category A classification impacts

b) those belong to Annex III of Decree No29/2011/ND-CP

- EIA-type: the subprojects that belong to the list in Annex II of Decree No29/2011/ND-CP. They are subprojects/activities with impacts that are site-specific, not irreversible, and can be readily identified and standard preventative and/or remedial measures can be designed more readily.

It is required that an EIA for each sub-project be prepared and approved by related provincial people’s committee. An EMP that meets World Bank’s requirements will be integrated into the EIA. The content of an EMP can be found in Annex 3.

- EPC-type: those subprojects/activities subjected to EPC preparation and registration as regulated by Decree No29.

It is required that an EPC for each sub-project be prepared and approved by related district/commune-level people’s committee. An EMP that meets WB’s requirements will be incorporated into the EPC.

- EMP-type: the subprojects are classified neither in EIA-type nor in EPC-type but they may generate dust, noise, solid waste and waste water and labor safety issues during subproject cycle; for example research subproject/activity.

It is required an EMP in accordance with World Bank’s safeguard policies. The EMP will be approved by PIU under NAFOSTED.

- C-type: the project that causes minimal or no adverse environmental impact

It requires no further environmental assessment

5.1.2 First level: Safeguard policies screening

For each subproject, PIU environmental staff/consultant will refer to the project proposal and to fill in an “ENVIRONMENTAL AND SOCIAL SAFEGUARDS CHECKLIST” as introduced in Annex 1.

By design, the Project will not trigger any Bank safeguard policies except OP 4.01 – Environmental Assessment and not finance any technology or activity which causes significant adverse, irreversible impacts.

In addition, to avoid any impacts on the misuse of pesticide to human health and environment, by design, the Project will not support the procurement of pesticide and pesticide equipment application. The Project will not finance any activity that may lead to a substantial increase in

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use of pesticides and subsequent increase in health and environmental risk. The project will also exclude any activity/subproject that may maintain or expand present pest management practices that are unstable, not based on an integrated pest management (IPM) approach and/or pose significant health and environmental risk.

Eligibility:

If the subprojects only bring about positive impacts and/or causing no adverse impact, it is appraised as environmental eligible and beyond screening, no environmental requirements is needed.

If sub-projects implementation triggers any of the Bank safeguard policies beyond OP4.01 Environmental Assessment, it is considered as ineligible for financing

If the sub-project implementation triggers OP/BP 4.01, the 2nd level screening is required

5.1.3 Second-level: Impacts screening

Base on the nature, scale, extent of subprojects/activities and their impacts, the NAFOSTED environment officer will classify them into EIA-type, EPC-type and EMP-type or C-type as described in section 5.1.1 above. The screening result should be recorded the Environmental Screening Form as attached in Annex 2.

The NAFOSTED PIU environment officer must send to the WB the list of propose sub-projects and screening result at two screening levels as specified in Annex 1 and Annex 2. The WB may randomly screen about 5-10% of total proposed sub-projects to evaluate the screening process. If the WB does not satisfy with capacity of PIU in screening process, the EDA shall provide additional strengthening measures to enhance capacity.

5.2 Preparation of EIA/EPC/EMPSubproject owners will prepare an EIA/ EPC/EMP for each subproject at preparation phase, i.e. in parallel with the preparation of Economic-Technical Report (ETR) or Feasibility Study (FS) and conduct public consultations and information disclosure as guided in section 5.3. Specifically:

- EPC-type subprojects: The subproject owners will develop one EPC and get approval from appropriate local authorities.

- EIA-type subprojects: The subproject owners will prepare TOR for the EIA report and send to PIU under NAFOSTED for prior review. Upon clearance, subproject owner should proceed to hire a consultant to prepare the EIA report. The draft EIA report will be reviewed by NAFOSTED. The WB may randomly prior review up to 30 % of draft EIAs to ensure that the potential impacts are considered and adequately addressed. After the draft EIA is cleared by NAFOSTED and/or WB, the sub-project owner will get it approved from appropriate local authority.

The EIA/EPC content, format and approval process is regulated in Decree No 29/2011/ND-CP and CirNo 26/2011/MONRE.

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- EMP-type subproject: The subproject owner will develop one EMP to address potential adverse impacts. The content of the EMP can be referred to in Annex 3

- For subproject which have a recently approved EIA or EPC

For subproject which an EIA and EPC has already been approved by GoV authorities, the NAFOSTED environment staff/consultant will make a due diligence to assess the adequacy of these reports. If any insufficiency is identified, the subproject owner will have to prepare one Environmental Management Plan (EMP) with supplementary measures, subjected to NAFOSTED prior review and approval. A commitment of MOU signed between subproject owners and NAFOSTED PIU in allocating resources for implementing EMP is the condition for grant/loan disbursement. The content of EMP can be found in ANNEX 3

Note: Project does not support any new construction work and the safeguard policy on Physical Cultural Resources (OP4.11) is not triggered. However, during subproject implementation, chance-find procedures shall be included into EA documents and contracts to guide the sub-project owner and contractors on necessary step to be taken in case of finding archeological artifacts. The chance-find procedures are described in ANNEX 4.

5.3 Public consultation and disclosure of EIA/EMP/EPC

Public consultation

During preparation of EIA/EMP/EPC, the subproject owners will conduct public consultation to ensure that potential affected people understand subproject and their concern will be adequately addressed via mitigation measures during subproject design, implementation and operation.

Concretely, during EIA preparation, the sub-project owner will consult commune-level People Committee and representatives of residential community and organization which is directly affected by the project. During EMP/EPC preparation, the subprojects owners will consult with the potential affected people. The public consultation can be either in the form of questionnaire or community meeting. The subproject owner will present potential affected people negative/positive impacts of the subproject and proposed mitigation measures and monitoring process as proposed in draft EIA/EMP/EPC and take their view into account.

The public consultation activities - including date, location, and publication form, comment from consulted people and response from subproject owner - shall be documented in the final EIA/EMP/EPC report.

Public consultation is required for enterprise but not for research institute because the characteristics of research activities are unique and it is most likely that affected household regarding to such is identified.

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Disclosure of EA documents

During sub-project preparation, all EIA/ EMP/ EPC for subprojects must be disclosed in a timely manner, in an accessible place, in a form and language understandable to stakeholders.

In addition, a package including EIA/EMP/EPC final reports, approval documents and any other environmental certificates will be disclosed at WB library (VDIC) in Hanoi before loan/grant agreement.

5.4 Monitoring During subproject/activity implementation, the mitigation measures outlined in EIA/EMP/EPC should be monitored to ensure that they are implemented in a timely and adequately. In some case, it is necessary to take additional measures to ensure that all arising impacts are adequately addressed.

Internal monitoring

Each subproject owner should carry out internal monitoring during implementation. For EPC-type project, the internal monitoring by subproject own staff is sufficient.

For EIA-type project, the subproject owner may use its own staff for monitoring if it is certified as capable by PIU. In most cases, it needs to hire the consultant to carry out internal monitoring. In this case, TOR for consultant shall be prepared by sub-project owner and approved by NAFOSTED.

PIU monitoring

In addition to internal monitoring, the PIU environmental staff/consultant will monitor the environmental and social safeguard compliance of subprojects on periodic basis as committed in the EIA documents. Generally, it will be twice per year for EIA-type sub-project and one per year for EPC-type subproject. The monitoring shall be conducted during implementation and 1st

year of sub-project operation phase.

5.5 Reporting and documentationReporting:

The subproject owner will prepare periodic reports on implementation of mitigation measures and internal monitoring as scheduled in EIA/EMP/EPC reports. These reports shall be sent to PIU under NAFOSTED prior to scheduled date of external monitoring by PIU.

The PIU will provide the bi-annual report on project implementation and safeguard compliance and send them to WB for reviewing. Also, the PIU shall send the report to PMU for documentation.

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Documentation

It is the responsibility of the sub-project owners to obtain any necessary licenses or permits which is required approval of any Vietnamese environmental authorities during project implementation and operation phases.

PIU and the sub-project owners are responsible for record and keep all safeguard documents including Environmental and social safeguard checklist, Environmental Impact Screening Form, confirmation on Public Disclosure, Licenses and permits, environmental monitoring report from each subproject investment.

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Table 3: Summarization of Environmental Management Procedures for subproject under Component 1 and 2

Phase Subproject owners NAFOSTED -PIU WB

Subproject identification

Step1: Screening

1.1 Prepare basic information and submit to PIU under NAFOSTED for screening.

1.1 Screening

- Screening to exclude subprojects triggering Bank safeguard policies other than OP/BP 4.01.

- Screen to categorize project as IE-type, EIA-type, EPC-type or C-type

- Submit project information and screening results to WB for reviewing

1.1 Review on random basis and confirm the appropriateness of NAFOSTED reviewing

1.2. If the project is determined as EIA-type, prepare and submit to NAFOSTED the report on its institutional capacity to carry out environmental safeguard

1.2 Assess the report on borrower institutional capacity to carry out safeguard requirement.

1.2 Review on random basis to ensure the acceptability of institutional capacity of subproject owner

1.2 Require the sub-project owner to prepare the EA documents (EIA/EPC/EMP) corresponding to the category of each subproject.

- For EIA subproject, require the subproject owner to prepare the EIA

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report.

- For EPC-type subproject, require the subproject owner to prepare the EPC

- For EMP-type subproject, require the subproject owner to prepare an EMP

- For C-type subproject, no further environmental process is required

- If the subproject owner present a recent approved EIA/EPC, conduct an environmental due diligence and request the sub-borrower to prepare an EMP as necessary

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Sub-project preparation

Step 2: EA preparation

2.1 For EIA-type subproject, prepare the TOR for EIA preparation and send to PIU for review

2.1 Review the TOR submitted by subproject owner. Send the TOR for WB for random review

- Clear the content of TOR

2.1 Random on random basis the TOR for EIA-subjected project ensure that it is acceptable

2.2 Prepare EIA/EMP/EPC as required by GoV and WB regulations

Step 3: Public consultation and disclosure, approval of EA report

3.1 Conduct public consultation with potential affected people about the content of EIA/EMP/EPC

3.2 For EIA-type project, also consult with commune/ward authorities

3.3 Incorporate inputs from public consultation into the final EIA/EPC/EMP report

3.4 Disclose the EIA/EMP/EPC report at public place

Step 4: Finalization and Approval of EA report

4.1 Finalize EIA/EPC/EMP report, 4.1 Review the EIA/EMP/EPC, send to 4.1 Review on random basis to

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submit to NAFOSTED for reviewing WB for random review

ensure that it is acceptability

WB may review the first two reports of each type: EIA, EPC, EMP

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4.2

- For subproject needed to prepare additional EMP, send the EMP to NAFOSTED for approval

- For EIA/EPC type: send the EIA/EPC, acceptable by NAFOSTED to appropriate authorities for approval. Send the approval package to NAFOSTED.

4.2

- Approve the EMP

- Send the safeguard approval package to WB for recording

4.2 Disclose the approval package (approved report and document) in Vietnam Development Information Center (VDIC) in Hanoi

Sub-project Implementation

Step 5: Monitoring and Reporting

- Implement the mitigation measures via contractors

- Conduct internal monitoring on contractor implementation of safeguard requirement. Frequency: regular basis- daily.

- Send the biannually safeguard monitoring report to NAFOSTED

- Carry out monitoring on the implementation of safeguard requirements and internal monitoring

- Prepare the environmental monitoring report and send to WB for review

- Review to ensure the acceptability of the environmental monitoring report

- Carry out monitoring on random basis during annual supervision mission

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6. Environment Management Procedures for upgrading activities for institutions under Component 3

Preparation

During preparation period, the PMU staff/consultant under EDA will to prepare an EMP to address any potential impacts associated with the upgrading activities of institutions under component 3.

The content of EMP shall include brief description of upgrading activity, potential impacts and relevant mitigation measures, monitoring plan, public consultation, institutional arrangement and cost for environmental safeguard implementation. EMP template can be found in ANNEX 3. The content of draft EMP must be consulted and agreed with beneficiary institutions.

The mitigation measures as specified in the EMP generally should include those conducted in during design, implementation and operation phases. The mitigation measures during detail design shall be carried out by PMU/design consultant. The mitigation measures during rehabilitation period shall be carried out by contractor while the beneficiary institutions shall be responsible for carrying out mitigation measures during operation phase.

As the minor civil work/rehabilitation activities might cause impacts and nuisance to nearby surroundings, generation of dust, noise, waste water, solid waste, traffic and labor safety. These impacts needed to be avoid and mitigated through good construction practices. The mitigation measures for impacts during minor construction/rehabilitation period are included in the ECOPs (see ANNEX 5). They shall be carried out by contractor during rehabilitation/construction period. The PMU shall include ECOPs into the bidding and contract documents.

The PMU shall send the draft EMP to WB for prior review and then approve it. The final approved EMP will be sent to WB for disclosed in WB library (VDIC). In addition, the approved EMP will be disclosed at beneficiary institutions.

Note: Project does not support any new construction work and the safeguard policy on Physical Cultural Resources (OP4.11) is not triggered. However, chance-find procedures shall be included rehabilitation contracts to guide the contractors on necessary step to be taken in case of finding archeological artifacts during upgrading of selective institutions. The chance-find procedures are described in ANNEX 4.

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Implementation

During implementation, the PMU environmental officer/consultant shall conduct monitoring the contractor and equipment suppliers in implementing mitigation measures as specified in the ECOPs. The PMU shall report on the safeguard implementation as a part of Progress Report.

Operation

During the 1st year of operation, the PMU shall monitor the implementation of environmental compliance by beneficiary institutions. The monitor will be carried out twice a year when applicable and the PMU shall include the monitoring result in the Progress Report to WB for review.

7. Capacity building and Training Plan

Based on actual demands, a capacity building and training program for relevant agencies is established as shown in the table below. The cost for capacity building program is included in cost for safeguard implementation.

Table 4: Proposed programs on capacity building on environmental management

Training content Objects Training time Responsibility Budget

Training on the safeguard implementation

EDAPMU Safeguard staff;

PIU staff

Subproject owners

Beneficiary institutions

During subproject’s preparation stage

PMU in coordination with Environmental Consultant

A part of environmental consultant contract

8. Estimated Cost for ESMF implementation

The estimated cost for ESMF implementation is a part of Project cost and is provided in Table 5.

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Table 5: Estimated cost for safeguard implementation

Description Time Unit costTotal

(USD)

NAFOSTED/PIU

PIU environmental staff/consultant

- Carry out environmental management for subprojects under Component 1 & 2 including

+ Environmental screening

+ Review to ensure the adequacy of safeguard document i.e. EIA/EPC/EMP prior to submission

+ Monitoring implementation of safeguard compliance by subproject owners under component 1&2.

5 years

69915

EDA/PMU

Local Environment safeguard specialist in PMU

- Capacity building related to safeguard implementation for PIU, PMU and beneficiaries staff.

- Preparation of EMP for institutions upgrading under component 3

- Monitoring safeguard compliance by contractors and beneficiary institutions under component 3

5 years 7000

TOTAL EXPENSES 78,915

9. Public Consultation and Disclosure of Project ESMF

During preparation of ESMF, meaningful consultations have been conducted with key stakeholders of VIIP project including NAFOSTED, one potential PFI and EDA some institutions i.e. Vietnam Academy of Science and Technology (VAST), National Institute of Medical Materials (NIMM), National Hospital of Traditional Medicine (NHTM). Detailed of the public consultation is shown in Table 6. The concerns/feedbacks from stakeholders have been incorporated into the final ESMF.

At Project level, the final draft of the ESMF has been disclosed locally in NAFOSTED, EDA and one potential PFI Offices and at Vietnam Development Information Center (VDIC) in Vietnamese language and in the WB InfoShop in Washington DC in English language prior to the appraisal mission.

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Table 6: Public consultation and information disclosure of the ESMF

Objective Participants Time Consultation results

The first round

Dissemination of project information; Collection of environmental baseline information; identification of potential environmental issues during the project implementation

Representatives of EDA, NAFOSTED, NHTM, NIMM, VAST, HUST

During number of meeting with potential beneficiaries and workshop Saturday 3/10/2012 at Workshop Woman Center Hotel, Hanoi

Discussion

Dissemination of the content first draft ESMF


Thursday 01/11/2012 at workshop for comment on FS including ESMF preparation in Kim Boi Hotel, Hoa Binh

Agreement of the content

Dissemination of the content first draft ESMF


During number of Meetings with World Bank pre-appraisal mission from November 5-15, 2012

Meeting note and Aide Memoir

The second round

Disclosure of the second draft ESMF

Public on website uploaded your news plus attached file to bussiness.gov.vn with follow link: http://www.business.gov.vn/newsevents.aspx?id=13068

Public awareness

Discussion about the content second draft ESMF


Workshop for reviewing final draft FS including ESMF in Yen Bai, Ba Vi, Hanoi, dated 12/12/2012-13/12/2012

Representatives of participants agree with content of second draft ESMF.

Disclosure Final version of ESMF

EDA, NAFOSTED, Via email dated 03/12/2013 Agreement of the content. Officially written opinions specific in reply email

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http://www.business.gov.vn/newsevents.aspx?id=13068

http://www.business.gov.vn/newsevents.aspx?id=13068

http://bussiness.gov.vn/


ANNEXES

ANNEX 1: ENVIRONMENTAL AND SOCIAL SAFEGUARDS CHECKLISTWith all subprojects/activities under Component 1, 2 and 3 under VIIP, the EDA/NAFOSTED environmental staff/consultant will do screening to determine the eligibility of the subproject.

The PMU/PIU environmental staff and/or consultant will complete checklist. By indicating “yes” to any safeguard policy other than Environment Assessment – OP4.01, the project is considered as not eligible

Note: if any policy is triggered by the sub-project, the project’s owner must indicate the severity of the potential impact as instructed in the Table below. If not, the sub-project will be considered as environmentally non-eligible.Note: If any policy is triggered by the subproject, the project’s owner must indicate the severity of the potential impact as instructed in the Table below. If not, the subproject will be considered as safeguard ineligible.

Subproject Name:

SAFEGUARD POLICY

Identification of Possible Safeguard issue(s)

Please check one box: Provide your response here, if applicable:

Environmental Assessment

Does the project have the potential for adverse environmental or social risks and impacts in its area of influence?

No

YesIf yes, indicate here the potential severity of the impact and proposed project design elements that will help prevent potential adverse impacts.

Natural Habitats

The World Bank does not finance projects that degrade or convert critical habitats (protected areas or sites important for biodiversity). Do the project activities have the potential to cause significant conversion (loss) or degradation of non-critical natural habitats? (The loss can occur either directly (e.g. construction activities) or indirectly (through human activities induced by the project).

No YesIf yes, indicate here either proposed alternative site(s) or if no alternative sites are available, proposed project design elements that will help prevent potential adverse impacts.

Pest Management

Are any pesticides or procurement of pesticide equipment being financed by the project?

No YesIf yes, indicate the proposed project design elements (Integrated Pest Management) that will help prevent potential adverse impacts. If yes, indicate here proposed project

Does the project introduce new pest management practices or expand or alter existing pest management

No

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practices? design elements that will help prevent potential adverse impacts

Are there other project activities that may lead to substantially increased pesticide use?

No

Does the project include the manufacture or disposal of environmentally significant quantities of pest control products?

No

Forests Does the project have the potential to have an impact on the health and quality of forests or the rights and welfare of people and their level of dependence upon or interaction with forests?

No YesIf yes, indicate the potential severity of the impact and proposed project design elements that will help prevent potential adverse impacts.

Does the project aim to bring about changes in the management, protection, or utilization of natural forests or plantations?

No YesIf yes, indicate whether the management will ensure sustainability of the forest resources.

Safety of Dams Are any project activities related to the construction of a large-scale dam?

No

Cultural Property

Would project activities likely adversely affect physical cultural resources? These could be temples, burial sites, or archeological sites.

No YesIf yes, indicate the potential severity of the impact and proposed project design elements that will help prevent potential adverse impacts.

Projects in International Waterways

Are project activities being conducted in international waterways?

No

If yes, please contact the World Bank for further information.

Projects in Disputed Areas

Will the project be working where there are different countries that are claimants to disputed areas?

No

If yes, please contact the World Bank for further information.

Involuntary Resettlement

Is there any possibility that project activities would displace persons involuntarily? Please note that displacement includes loss of land or other assets caused by: (i) relocation or loss of shelter; (ii) loss access to assets in protected areas resulting in adverse impacts on livelihoods; (iii) loss of income sources or means of livelihood, whether or not the affected people must move to another location. If land is

No YesIf yes, indicate the potential severity of the impact and describe project activities that would assist displaced persons in their efforts to improve or at least restore their standards of living.

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acquired and no person is involuntarily displaced, the policy is not triggered.

Indigenous Peoples (ethnic minorities)

Would the project likely have negative impacts on ethnic minorities or have the potential to bring positive benefits to ethnic minorities?

No YesIf yes, indicate the severity of the potential impact (positive or negative) and proposed project design elements that will help prevent potential adverse impacts or ensure appropriate access to positive benefits.

Date Screen by

(Full name and signature)

Verified by

(Sign and stamp by the PMU/PIU director)

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ANNEX 2: ENVIRONMENTAL IMPACT SCREENING FORMAfter referring to each sub-project proposal and their relevant “Environmental and Social Safeguards check list, the PMU/PIU (please specify) and its consultant is required to fill in the Environmental Impact Screening Form to determine the magnitude of positive and negative impacts that each subproject can bring about and thus to decide if the subproject is environmentally eligible.

Sub-Project Name:

1. Determination of Subproject TypeEIA-type EPC-type EMP-type C-type

2. Reason for the subproject type characterizationAssessment of Potential impact caused by sub-project implementation: the magnitude of potential impact and the ready level for designing the mitigation measures

Socio-environmental issue Yes No comment

Will the implementation and associated activities cause:

(Instruction: Where possible, give quantitative information in “comments” column when the answer is “yes” for the case that no mitigation measures applied FIRTST-PMU can add questions at the end of this table and give the answer if additional issues are identified.

1. Clearance of trees at construction sites, camps, or storage areas?

2. Water pollution (increased turbidity due to construction wastes or construction materials, fuels from construction sites come into water bodies), or localized flooding due to wastewater from construction site?

3. Noise, dusts and vibrations generated from construction plants (e.g. noise from trucks) and construction activities (e.g. pilling, concrete mixing etc)?

4. Generation of waste?

5. Landscape degradation at site exploited for filling materials?

6. Increased land sliding potentials at excavated sites?

7. Traffic disturbance due to the transportation and temporary loading of construction materials, and/or

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Socio-environmental issue Yes No comment

construction activities?

8. Damages to crops, existing infrastructure?

9. Interruption of existing public services (irrigation, power supply, telecommunication phone line etc)?

10. Safety risks to local community, particularly children, and workers?

11. Limit access to water by local water users, or limit access to other public services?

12. Graves, explosive materials, cultural/ archeological objects are exposed?

13. Erosion during operation phase of rehabilitated irrigation works?

14. Disrupt access to households?

15.etc

3. ConclusionsIs the subproject environmentally eligible?Yes No

4. If there is any approved safeguard documents was obtained?Yes No If yes, please specify and provide the date of the obtained safeguard documents.

5. What further Environmental Assessment report should be prepared and getting approval by the subproject owner?

EIA-type EPC-type EMP-type None

Date Verified and Screened byFull name and signature of Staff/Consultant

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ANNEX 3: Environmental Management Plan (EMP) ModelFOR

Inclusive Innovation Sub-Project

1. Sub-Project description

Provide pertinent background for parties who may conduct the SEMP, whether they are government agencies/sponsors, consultants or NGOs. Include a brief description of the major components of the proposed project, a statement about its need and objectives, the implementing agency, a brief history of the project (including alternatives considered), its current status and timetable, and the identities/natures of any associated projects. A summary description of the environmental setting should be provided.

2. Applicable Environmental Legislations

Identify laws, regulations and guidelines likely to govern the conduct of the assessment or specify the content of its report. They may include any or all of the following:

World Bank Operational Policy; i.e "Environmental Assessment; Public Consultation and Information Disclosure and The World Bank’s Environmental, Health and Safety

National laws and/or regulations on environmental reviews and impact assessments;

Regional, provincial or communal environmental assessment regulations; and

EA regulations of any other financing organizations involved in the project.

Identify design or operating standards that project components must meet to be in compliance with environmental safeguards. This will include, for example, air emission standards and occupational health and safety requirements.

3. Overview of Adverse Impacts and Mitigate Measures

Summary of impacts: Predicted adverse environmental and social impacts (and any uncertainties about their effects) for which mitigation is necessary should be identified and summarized.

Description of mitigation measures: Each measure should be briefly described in relation to the impact(s) and conditions under which it is required. These should be accompanied by, or referenced to, designs, development activities (including equipment descriptions), operating procedures, and implementation responsibilities. Proposed mitigation measures to facilitate public consultation should be clearly described and justified.

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The presentation of adverse impacts and mitigation measures can be as follows:

Activities Environmental Impacts/Issue

Mitigating Measures

Responsibility Date

(Start/End)

Design Phase

Sub-Project implementation phase

Sub-Project Operation phase

4. Institutional Arrangements

Responsibilities for mitigation, monitoring, and supervision should be defined along with arrangements for information flow, especially for coordination between agencies responsible for mitigation. This is especially important for projects requiring cross-sectoral/Institutional integration. In particular, the EMP specifies who is responsible for undertaking the mitigating and monitoring measures, e.g., for enforcement of remedial actions, monitoring of implementation, training, financing, and reporting. Institutional arrangements should also be crafted to maintain support for agreed enforcement measures for environmental protection.

Where necessary, the EMP should propose strengthening the relevant agencies through such actions as: establishment of appropriate organizational arrangements; appointment of key staff and consultants; and, arrangements for counterpart funding and on-lending.

4.1 Organizations

The organizations in charge of implementation and supervision of the mitigation and monitoring measures can be described via a chart. For example:

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The World BankMPI Vietnam

PMU

Under EDAEquipment suppliers and contractors (where applicable)


4.2 Responsibilities

These stakeholders may be involved in the sub-project environmental management. The responsibilities of the relevant stakes holders in each sub-project should be represented as bellows

No Organization Responsibilities

1 Subproject owner

2 Design Engineer

3 PIU/PMU

4 Contractors/Equipment Suppliers

5 Consultant

6 Environmental Consultant

7 Etc

5. Monitoring and Reporting

5.1 Description of monitoring program (where applicable)

The EMP identifies monitoring objectives and specifies the type of monitoring required; it also describes performance indicators which provide linkages between impacts and mitigation measures identified in the EA report, parameters to be measured, methods to be used, sampling location and frequency of measurements, detection limits (as appropriate) and definition of thresholds to signal the need for corrective actions. Monitoring and supervision arrangements should be agreed by the sub-project owner and PIU/PMU the Bank and the borrower to: ensure timely detection of conditions requiring remedial measures in keeping with good practice; furnish information and the progress and results of mitigation and institutional strengthening measures; and, assess compliance with national and Bank environmental safeguard policies.

MONITORING PLAN

What Where How When Standard Monitoring Responsibility Report to / Time

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PIU/NAFOSTED

Sub projects

Department of Natural Resources & Environment (DONRE)


parameter is to be monitore?

is the parameter to be monitore?

is the parameter to be monitored/ type of monitoring equipment?

is the parameter to be monitored-frequency of measurement or continuous

applied Cost

What is the cost of equipment or contractor charges to perform monitoring

frequency

(Start/End Date)

5.2 Supervision of Contingency Plan Preparation, training activities (where applicable)

For example: contingency plan against fire risk

5.3 Environmental Compliance Framework

For example Compliance framework for equipment suppliers

6. Capacity Building/Training Plan (where applicable)

Organizer Course Participants Frequency Duration Content Budget

7 Budget

Cost estimates: These should be specified for both the initial investment and recurring expenses for implementing all measures defined in the EMP, integrated into the total project costs and factored into loan negotiations.

It is important to capture all costs – including administrative, design and consultancy, and operational and maintenance costs – resulting from meeting required standards or modifying project design.

8. Consultation and Public Disclosure

Presenting the results of Consultation and Public Disclosure

9. Other Information

Include here lists of data sources, project background reports and studies, relevant publications, and other items to which the consultant's attention should be directed.

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ANNEX 4: CHANCE-FIND PROCEDURES

Specific procedures are to be applied in case of archeological artifact finds. The diagram below identifies steps to be taken. The sub-project owner will be responsible for the overall coordination and reporting. The chance find procedures will be included in all contracts and sub-project owner and contractors will be responsible to implement them.

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Archeological artifacts found during sub-project implementation

(Contractor)

Temporarily stop implementation, and install the protection fence,

immediately contact the sub-project owner

All parties record the scene

Subproject owner report in writing to Department of Culture,

Information and Tourism (DCIT)

Subproject owner shall also report to NAFOSTED/EDA for

information

Implement next steps under guidance of DCIT


ANNEX 5: Environmental Code of Practice (ECOPs)

ISSUES/RISKS MITIGATION MEASURE

1. Dust generation/ Air pollution

The Contractor implement dust control measures to ensure that the generation of dust is minimized and is not perceived as a nuisance by local residents, maintain a safe working environment, such as:- water dusty roads and construction sites; - covering of material stockpiles;- Material loads covered and secured during transportation to prevent the scattering of soil, sand, materials,

or dust;- Exposed soil and material stockpiles shall be protected against wind erosion.

2. Noise and vibration

All vehicles must have appropriate “Certificate of conformity from inspection of quality, technical safety and environmental protection” following Decision No. 35/2005/QD-BGTVT; to avoid exceeding noise emission from poorly maintained machines.

3. Water pollution Portable or constructed toilets must be provided on site for construction workers. Wastewater from toilets as well as kitchens, showers, sinks, etc. shall be discharged into a conservancy tank for removal from the site or discharged into municipal sewerage systems; there should be no direct discharges to any water body.

Wastewater over permissible values set by relevant Vietnam technical standards/regulations must be collected in a conservancy tank and removed from site by licensed waste collectors.

At completion of construction works, water collection tanks and septic tanks shall be covered and effectively sealed off.

Do not allow waste, litter, oils or foreign materials into water sources Do not wash cars or machinery in natural water sources A comprehensive listing of sources and location of wastewater discharge will be prepared and maintained Appropriate operating procedure will be undertaken for minimization of wastewater (such as neutralizing

45


predisposal treatment, etc.)

4. Drainage and sedimentation

The Contractor shall follow the detailed drainage design included in the construction plans, to ensure drainage system is always maintained cleared of mud and other obstructions.

Areas of the site not disturbed by construction activities shall be maintained in their existing conditions.

5. Solid waste At all places of work, the Contractor shall provide litter bins, containers and refuse collection facilities. Solid waste may be temporarily stored on site in a designated area approved by the Construction Supervision

Consultant and relevant local authorities prior to collection and disposal. Waste storage containers shall be covered, tip-proof, weatherproof and scavenger proof. No burning, on-site burying or dumping of solid waste shall occur. Recyclable materials such as wooden plates for trench works, steel, scaffolding material, site holding,

packaging material, etc shall be collected and separated on-site from other waste sources for reuse, for use as fill, or for sale.

If not removed off site, solid waste or construction debris shall be disposed of only at sites identified and approved by the Construction Supervision Consultant and included in the solid waste plan. Under no circumstances shall the contractor dispose of any material in environmentally sensitive areas, such as in areas of natural habitat or in watercourses.

6. Chemical or hazardous wastes

Used oil and grease shall be removed from site and sold to an approved used oil recycling company. Used oil, lubricants, cleaning materials, etc. from the maintenance of vehicles and machinery shall be

collected in holding tanks and removed from site by a specialized oil recycling company for disposal at an approved hazardous waste site.

Store chemicals in safe manner, such as roofing, fenced and appropriate labeling. Do not use unapproved toxic materials, including lead-based paints

7. Disruption of vegetative cover and ecological

Areas to be cleared should be minimized as much as possible. The Contractor shall remove topsoil from all areas where topsoil will be impacted on by rehabilitation

activities, including temporary activities such as storage and stockpiling, etc; the stripped topsoil shall be

46


resources stockpiled in areas agreed with the Construction Supervision Consultant for later use in re-vegetation and shall be adequately protected.

The application of chemicals for vegetation clearing is not permitted. Prohibit cutting of any tree unless explicitly authorized in the vegetation clearing plan. When needed, erect temporary protective fencing to efficiently protect the preserved trees before

commencement of any works within the site. The Contractor shall ensure that no hunting, trapping shooting, poisoning of fauna takes place.

8. Traffic management

Before construction, carry out consultations with local government and community and with traffic police. Significant increases in number of vehicle trips must be covered in a construction plan previously approved.

Routing, especially of heavy vehicles, needs to take into account sensitive sites such as schools, hospitals, and markets.

Installation of lighting at night must be done if this is necessary to ensure safe traffic circulation. Place signs around the construction areas to facilitate traffic movement, provide directions to various

components of the works, and provide safety advice and warning. Employing safe traffic control measures, including road/rivers/canal signs and flag persons to warn of

dangerous conditions. Avoid material transportation for construction during rush hour. Signpost shall be installed appropriately in both water-ways and roads where necessary.

9. Interruption of utility services

Provide information to affected households on working schedules as well as planned disruptions of water/power at least 2 days in advance.

Any damages to existing utility systems of cable shall be reported to authorities and repaired as soon as possible.

10. Restoration of affected areas

Cleared areas such as disposal areas, site facilities, workers’ camps, stockpiles areas, working platforms and any areas temporarily occupied during construction of the project works shall be restored using landscaping, adequate drainage and revegetation.

Soil contaminated with chemicals or hazardous substances shall be removed and transported and buried in 47


waste disposal areas.

11. Worker and public Safety

Training workers on occupational safety regulations and provide sufficient protective clothing for workers in accordance with applicable Vietnamese laws.

Install fences, barriers, dangerous warning/prohibition site around the construction area which showing potential danger to public people.

The contractor shall provide safety measures as installation of fences, barriers warning signs, lighting system against traffic accidents as well as other risk to people and sensitive areas.

If previous assessments indicate there could be unexploded ordnance (UXO), clearance must be done by qualified personnel and as per detailed plans approved by the Construction Engineer.

Do not use of alcohol by workers during work hours Do not work without safety equipment (including boots and helmets)

12. Communication with local communities

The contractor shall coordinate with local authorities (leaders of local communes, leader of villages) for agreed schedules of construction activities at areas nearby sensitive places or at sensitive times (e.g., religious festival days).

Copies in Vietnamese of these ECOPs and of other relevant environmental safeguard documents shall be made available to local communities and to workers at the site.

Disseminate project information to affected parties (for example local authority, enterprises and affected households, etc) through community meetings before construction commencement.

Provide a community relations contact from whom interested parties can receive information on site activities, project status and project implementation results.

Inform local residents about construction and work schedules, interruption of services, traffic detour routes and provisional bus routes, blasting and demolition, as appropriate.

Notification boards shall be erected at all construction sites providing information about the project, as well as contact information about the site managers, environmental staff, health and safety staff, telephone numbers and other contact information so that any affected people can have the channel to voice their concerns and suggestions.

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Do not create nuisances and disturbances in or near communities

13. Chance find procedures

If the Contractor discovers archeological sites, historical sites, remains and objects, including graveyards and/or individual graves during excavation or construction, the Contractor shall:

Stop the construction activities in the area of the chance find; Delineate the discovered site or area; Secure the site to prevent any damage or loss of removable objects. In cases of removable antiquities or

sensitive remains, a night guard shall be arranged until the responsible local authorities or the Department of Culture and Information takes over;

Notify the Construction Supervision Consultant who in turn will notify responsible local or national authorities in charge of the Cultural Property of Viet Nam (within 24 hours or less);

Relevant local or national authorities would be in charge of protecting and preserving the site before deciding on subsequent appropriate procedures. This would require a preliminary evaluation of the findings to be performed. The significance and importance of the findings should be assessed according to the various criteria relevant to cultural heritage; those include the aesthetic, historic, scientific or research, social and economic values;

Decisions on how to handle the finding shall be taken by the responsible authorities. This could include changes in the layout (such as when finding an irremovable remain of cultural or archeological importance) conservation, preservation, restoration and salvage;

If the cultural sites and/or relics are of high value and site preservation is recommended by the professionals and required by the cultural relics authority, the Project’s Owner will need to make necessary design changes to accommodate the request and preserve the site;

Decisions concerning the management of the finding shall be communicated in writing by relevant authorities;

Construction works could resume only after permission is granted from the responsible local authorities concerning safeguard of the heritage.

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