socialist republic of vietnam ministry of agriculture … · viet nam managing natural hazards...

SOCIALIST REPUBLIC OF VIETNAM

MINISTRY OF AGRICULTURE AND RURAL DEVELOPMENT (MARD)

CENTRAL PROJECT OFFICE (CPO)

VIETNAM MANAGING NATURAL HAZARDS PROJECT

(VN-Haz)

(ESMF)

March - 2012

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Preface

This document is called the Environment and Social Management Framework (ESMF) for the

Viet Nam Managing Natural Hazards Project (Vn-Haz/WB5) (the Project). It is developed to

guide the Central Project Management Office (CPMO) and the subproject implementers in

screening future subprojects/subprojects to be implemented during the second phase for

environment and social impacts, the relevant environmental assessment documents that need

to be prepared and the corresponding mitigating measures as well as the implementation

arrangements and capacity building, among others. It also includes an exclusion list whereby

subprojects that pose adverse impacts on natural habitats and forest will be excluded from

project financing. The ESMF was developed as a standalone document to satisfy WB’s

safeguard requirements on Environmental Assessment (OP/BP 4.01), Indigenous Peoples

(OP/BP 4.10), Involuntary Resettlement (OP/BP 4.12), Safety of Dams (OP/BP 4.37);

Physical Cultural Resources (OP/BP 4.11), and Projects on International Waterways (OP/BP

7.50). It is also connected to other safeguard policy documents namely the Ethnic Minorities

Policy Framework (EMPF), the Resettlement Policy Framework (RPF), the Dam Safety

Framework (DSF) as well as the safeguard action plans for the subprojects namely the

Resettlement Action Plans (RAPs), the Ethnic Minority Development Plans (EMDPs), the

Dam Safety Report (DSR), and the Environmental Management Plans (EMPs), including the

Environmental Code of Practices (ECOPs). The ESMF will be applied to all the subprojects to

be financed under the Project.

The Central Project Management Office (CPMO), which was established within the Central

Projects Office (CPO) of the Ministry of Agriculture and Rural Development (MARD), will

be responsible for the overall implementation of the Project including the implementation of

the ESMF. The Provincial Project Management Unit (PPMU) established at the provincial

Department of Agriculture and Rural Development (DARD) in each of the ten provinces is

responsible for preparation and implementation of the mitigation measures as described in the

subproject specific RAP, EMDP, and/or EMP/ECOP in consistency with this ESMF. The

subproject specific RAP, EMDP, and EMP, including DSR as needed, would be subject to the

review and clearance by the Bank before implementation.

Environmental and Social Management Framework (ESMF) Viet Nam Managing Natural Hazards Project (Vn-Haz/WB5)

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Table of contents

Preface ......................................................................................................................................... i

Abbreviations ............................................................................................................................. v

Executive Summary .................................................................................................................... 1

Section I: Introduction ................................................................................................................ 3

Section II. Project Description ................................................................................................... 4

Section III. Legal and Policy Frameworks ............................................................................... 15

3.1. Government Policy on Natural Disaster Management ....................................................... 15 3.2. Government Laws and Regulations ...................................................................................... 15 3.3. Application of World Bank Safeguard Policies .................................................................... 17

Section IV: Summary of Impacts and Mitigation Measures .................................................... 20

4.1. Potential Positive Impacts ...................................................................................................... 20 4.2. Potential Negative Impacts and Mitigation Measures ........................................................ 21 4.3 Potential Cumulative Impacts and Enhancement Opportunities ....................................... 24

Section V. ESMF Process for the Subprojects ......................................................................... 25

5.1. Objective and Approach ......................................................................................................... 25 5.2. Safeguard Screening and Impact Assessment (Step 1&2) ............................................... 25 5.3. Development of Mitigation Measures and Public Consultation (Step 3) ......................... 27 5.4. Information Disclosure and WB Safeguard Clearance (Step 4) ....................................... 31 5.5. Implementation, Supervision, Monitoring, and Reporting (Step 5) .................................. 31

Section VI. Mitigation Measures for Other Project Activities ................................................. 34

Section VII. Implementation Arrangement and Budget .......................................................... 35

7.1. Roles and Responsibilities ..................................................................................................... 35 7.2. Reporting Arrangement........................................................................................................... 36 7.3. Safeguard Training and Capacity Building .......................................................................... 36 7.4. Budget Allocation ..................................................................................................................... 37

Annex 1: Location of River Basins and List of Potential Subprojects ..................................... 38

Annex 2: Standard Environmental Code of Practices (ECOP) for the Subprojects ................ 46

I. Introduction ........................................................................................................................... 48

II. Relevant World Bank’s Safeguard Policies and Government’s Regulations ..................... 48 III. Responsibilities .......................................................................................................................... 49 IV. General Provisions .................................................................................................................... 50 4.1 Contract Specific Environmental Plan (CSEP) ..................................................................... 50 4.2 Non-compliance Reporting Procedures ................................................................................ 51 4.3 Liaising with Authorities and the Public ................................................................................. 51 4.5 Mitigation Objectives and Special Considerations ............................................................... 52 4.6 Implementation of “Chance Find” Procedures...................................................................... 52 4.7 Prohibitions ................................................................................................................................ 53

V. Management of Construction ............................................................................................. 53

5.1 Management of Construction Sites ........................................................................................ 54 5.2 Management of Environmental Quality ................................................................................. 56 5.3 Management of Work Camp ................................................................................................... 60 5.4 Management of Stockpiles, Quarries, and Borrow Pits ...................................................... 61


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5.5 Management of Dredging ........................................................................................................ 61 5.6. Monitoring of Potential Impacts ............................................................................................. 62

Annex 3: Scope for an EMP Preparation ................................................................................. 63

I. EMP Outline .................................................................................................................................. 63 II. Consultation and Information Disclosure ................................................................................. 64 III. Preparation of a DMDP ............................................................................................................. 65 IV. Preparation of a study for coastal erosion ............................................................................. 66

Annex 4: Simple Environmental Code of Practices (ECOP) for Small Works ....................... 67

I. General provisions ....................................................................................................................... 67 II. Good Environmental and Housekeeping Practices ............................................................... 67 III. Prohibitions ................................................................................................................................. 69 IV. “Chance find” Procedures ........................................................................................................ 69

Annex 5. Safeguard Screening and Key Impacts of Component 4 Subprojects ....................... 70

Annex 6. Summary of Potential Impacts, Mitigating Measures; Monitoring, and Responsible

agencies ..................................................................................................................................... 81

References…………………………………………………………………………………….75


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LIST OF TABLES AND FIGURES

Table 2.1: List of proposed first year subprojects under Component 4 ................................... 14

Table 4.1: Impacts due to land acquisition and relocations of first year Component 4

subprojects ................................................................................................................................ 22

Figure 5.1 – Schematic Flowchart for Safeguard Actions for Components 4 Subprojects ...... 32

Table 5.1: Technical Guideline for Safeguard Screening and Actions for Component 4

Subprojects ............................................................................................................................... 33

Table 7.1: Institutional responsibilities for the Project and Subproject ................................... 35

Figure A1.1. River basins and provinces related to WB5 Project ............................................ 38

Table A1.1: List of the first year subprojects (5 provinces, 5 basins) ...................................... 39

Table A1.3: Classification of subprojects under Component 4 by type of works .................... 42

Table A1.4: Number of subprojects under Component 4 by provinces ................................... 43

Table A1.6: List of List of Dams Proposed Under the Project…………………………….....45

Table A1.7: List of the activities to be implemented under Component 3 .... Error! Bookmark

not defined.

Table A5.1: Results of Safeguard Screening for the First Year Component 4 Subprojects..... 71

Table A5.2: Potential Negative Impacts of the First Year Component 4 Subprojects: Chị cập

nhật lại số liệu theo email a. Tuấn gửi ngày 21-10-2011. ........................................................ 73

Table A5.3: Results of Preliminary Safeguard Screening for potential subprojects for the

follow-on years by provinces ................................................................................................... 76

Table A6.1. Potential Environmental and Social Impacts, Mitigating Measures; Monitoring,

and Responsible agencies ......................................................................................................... 81


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Abbreviations CAFSCP Commune Annual Flood and Storm Control Plan

CBDRM Community-Based Disaster Risk Management

CCCC Commune CBDRM Coordination Committee

CCFSC Central Committee for Flood and Storm Control

CDPM Community Disaster Prevention Management

CFSC Committee for Flood and Storm Control (at Province, District and

Commune levels)

CPC Commune People's Committee

CPMO Central Project Management Office

CPO Central Project Office of MARD

CSC Construction Supervising Consultant

CSEP Contract Specific Environmental Plan

DARD Department of Agriculture and Rural Development

DMC Disaster Risk Management Committee

DMDP Dredge Materials Disposal Plan

DoNRE Department of Natural Resources and Environment

DPC District People's Committee

DRM Disaster Risk Management

DSF Dam Safety Framework

DSR Dam Safety Report

EA Environmental Assessment

EIA Environmental Impact Assessment

ECOP Environmental Code of Practices

EMC Environmental Management Consultant

EMDP Ethnic Minority Development Plan

EMP Environment Management Plan

EMPF Ethnic Minority Policy Framework

EPC Environment Protection Commitment

ESMF Environment and Social Management Framework

ESU Environment and Social Unit

GoV Government of Vietnam

HH Household

MARD Ministry of Agriculture and Rural Development

MoNRE Ministry of Natural Resources and Environment

NRDMP National Risk and Disaster Management Project

OP Operation Policy of World Bank

PPC Provincial People’s Committee

PPMU Provincial Project Management Unit

QCVN National Technical Regulations

RAP Resettlement Action Plan

RPF Resettlement Policy Framework

TCVN National Environmental Standards

UXO Unexploded Ordnance

WB World Bank

Executive Summary

1. Project Development Objective and Components: The development objective of the

Project is to increase the resilience of the people and economic assets to natural hazards in

selected river basins of the project provinces within the overall framework of the Vietnam’s

National Disaster Prevention, Response and Mitigation Strategy Towards 2020. The Project

consists of the following components: (i) Strengthening Disaster Risk Management

Institutions, Information Systems and Planning to promote technical capacities and

implement policies, plans, guidelines, databases related to disaster prevention, response

and mitigation; (ii) Strengthening Weather Forecasting and Early Warning Systems to

improve national integration of hydrometeorology services and the delivery of locally

relevant early warning and weather information services; (iii) Community-Based Disaster

Risk Management to make vulnerable communes more disaster-resilient; (iv) Priority

Disaster Risk Mitigation Investments to mitigate risks posed by storms, floods, landslides

and drought, including river and sea dykes and embankments, safe harbors, dam safety,

rescue roads and reservoirs; and (v) Project Management to deliver sound project

coordination, financing and procurement, as well as ensure timely reporting and lesson

learning.

2. World Bank’s safeguard policy: The Project has been assigned as category “B” and

WB clearance of the mitigation measures is required. The Project has to comply with the

following safeguard policies: Environmental Assessment (OP/BP 4.01); Involuntary

Resettlement (OP/BP 4.12); Indigenous Peoples (OP/BP 4.10); Safety of Dams (OP/BP 4.37);

Physical Cultural Resources (OP/BP 4.11); and Projects on International Waterways (OP/BP

7.50). Public Consultation and Information Disclosure of safeguard documents as well as full

compliance with GOV regulations will also be required. To assess the potential impacts an

Environmental Assessment (EA) and a Social Study were carried out. The EA concluded that

the Project will not affect critical natural habitats/protected areas and/or involve forest

logging/production but may involve relocation of graves.

3. Project impacts: The overall impacts will be positive. The negative impacts will be

due to activities to be carried out under Component 4, especially those related to: (i) Land

acquisition and resettlement of local people including ethnic people and (ii) Site clearance and

construction which could temporary increase levels of dust and other air pollution, noise,

vibration, water pollution, local traffic volume, safety risk, and other impacts on local

residents and businesses. These impacts however will be small to moderate, localized and

temporary, and can be mitigated through good construction management and practices with

close supervision of contractors by field/site engineers and in consultation with local

authorities and local residents. To mitigate these impacts a standard Environmental Code of

Practices (ECOP) has been developed and it will be included in the bidding and contract

documents for the Component 4 subprojects. There are UXO risks during construction but

this risk is considered moderate and could be mitigated through an UXO examination and

clearance (as needed) prior to commencing civil works. There are also risks during operation

if the infrastructures are not properly designed and/or maintained adequately and/or sluices

are not properly operated, but these risks are also considered moderate and could be mitigated

through proper design, close consultation among stakeholders, and the capacity building

activities to be carried out under Components 1, 2, and 3. Risk related to coastal erosion could

be mitigated through proper design of coastal structure and consultation with nearby local

authorities and communities.


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4. Potential negative impacts of the activities to be carried out under Components 1, 2, 3

will be limited to those related to small works/infrastructure such as renovation/construction

of office/building, community shelters, elevated road path, small bridges and/or two-story

concrete school building for evacuation purpose during emergency cases. These impacts can

be mitigated through the participatory planning process and/or the application of good

construction practices. A simple ECOP has also been developed and it will be applied to

bidding and/or construction contracts.

5. The Environmental and Social Management Framework (ESMF). Given that the

subprojects will be implemented in phases an ESMF has been prepared to ensure that the

subprojects and activities to be financed under the Project would not create adverse impacts

on the local environment and local communities and the residual and/or unavoidable impacts

will be adequately mitigated in line with the WB’s safeguard policy. The ESMF describes

criteria for safeguard screening and identification of impacts; basic principles for development

of mitigation measures; requirements for WB safeguard clearance; and implementation,

supervision, monitoring, and reporting. The ESMF also provides guidelines for preparation of

an EMP for a subproject, including actions to facilitate effective implementation of the EMP,

institutional arrangement, safeguard training and capacity building, and budget allocation and

source of funds. Below provides a brief summary of the ESMF process while details are

provided in Section V.

Safeguard Screening and Identification of Impacts. All the Component 4 subprojects

will undergo the safeguard screening process to determine the nature and scale of the

potential negative impacts. An exclusion list has been developed to screen and exclude

subprojects that potentially adversely affect areas of biological importance, conversion

of site with valuable landscape, removal of objects with historical/religious

appreciation, or encroachment on mangrove forest regardless of the size.

Development of Mitigation Measures and Public Consultation. Data collection will be

carried out to develop mitigation measures including conducting public consultation as

needed.

EMPs, EMDPs, and RAPs Preparation and Clearance. PPMUs will be responsible for

preparing EMPs, EMDPs, and RAPs with assistance from international and/or national

technical specialists. CPMO will be responsible for the review and ensuring the

compliance with ESMF, RPF and EMPF.

6. Implementation, Supervision, Monitoring, and Reporting. This will be in line with the

overall institutional arrangement of the Project.

7. The CPMO set up by MARD, which is responsible for the overall implementation of

the project, will be responsible for the implementation of the ESMF, RPF and EMPF while

PPMUs who is responsible for project implementation at the local level will also be

responsible for implementation of safeguard measures at the subproject level. Cost for the

preparation of the subproject safeguard documents and implementation of safeguards policies

will be included in the Project cost. Safeguard training will be provided.


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Section I: Introduction

8. The development objective of the Vietnam-Managing Natural Hazards Project (the

Project) is to support the implementation of the National Disaster Prevention, Response and

Mitigation Strategy by increasing the resilience of people and assets to natural hazards in

selected major river basins in Central Vietnam. The Project activities will be implemented

through five components over a five-year period (2012-2017). The Project will involve both

structural and non-structural measures including institutional capacity building. The Project

description and areas are provided in Section II.

); and (f)

Projects on International Waterways (OP/BP 7.50). Other policies such as Natural Habitats

(OP/BP 4.04), Forests (OP/BP 4.36), Pest Management (OP/BP 4.09), and Project in Disputed

Areas (OP/BP 7.60) are not triggered since all the subprojects are not located in the critical natural

habitats and/or degrade any natural habitats or affect ecological health and quality of forests

and/or the people who are depending on them.

10. To be in line with WB’s safeguard policy on Environemtnal Assessment (OP/BP

4.01), an Environmental Assessment (EA) and a social study were carried out for the Project.

Given that the scope of Component 3 activities which will be limited to increasing awareness

and capacity building of local communities and renovations and/or construction of small

office buildings, the EA concluded that (i) key potential negative impacts of the Project (both

social and environmental) will be due to the implementation of Component 4 subprojects; and

(ii) an Environmental and Social Management Framework (ESMF) should be prepared to

ensure that the subprojects and activities to be financed under the Project would not create

adverse impacts on the local environment and local communities and the residual and/or

unavoidable impacts will be adequately mitigated in line with the WB’s safeguard policy. In

this context the ESMF has been prepared as a standalone document and the ESMF process

will be applied to the Component 4 subprojects. A Dam Safety Framework (DSF) has also

been prepared to be aplied to the subproject involving dam safety. To mitigate the potential

negative impacts of activities to be implemented under Components 1, 2, 3 that involve small

civil works, a simple Environmental Code of Practice (ECOP) has been prepared and it will

be included in bidding and contract documents.

11. Section II briefly outlines the Project description while more details can be found in

the Project Appraisal Document (PAD). Section III outlines the legal and policy framework

related to the safeguard policies, while Section IV summarizes the potential impacts and key

mitigation measures for the Project. Section V describes the ESMF process for the

Component 4 subproject comprising safeguard screening, impact assessment, safeguard

documentation and clearance, and safeguard implementation, supervision, and monitoring

while Section VI describes measures for other activities. The social safeguard documents

comprising the Resettlement Policy Framework (RPF) and the Ethnic Minority Policy

Framework (EMPF) for the Project and the Resettlement Action Plans (RAPs) and Ethnic

Minority Development Plans (EMDPs) of the first year subprojects have been prepared

separately and submitted to the Bank. The safeguard screening and preparation of EMPs,

RAPs, and EMDPs for the future subprojects will be carried out during implementation.


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Section II. Project Description

(a) Project Components

12. The project consists of five components, namely Component 1: Strengthening DRM

Institutions, Information Systems and Planning; (2) Strengthening Weather Forecasting and

Early Warning Systems; (3) Community-Based Disaster Risk Management; (4) Priority

Disaster Risk Mitigation Investments; and (5) Project Management.

Component 1: Strengthening Disaster Risk Management Institutions, Information

Systems and Planning (US$ 7.0 million).

13. The specific objective of Component 1 is to strengthen institutional and technical

capacities at national, provincial and local level on disaster risk management (DRM) in order

to better plan and mitigate hazard risks, thereby reducing potential loss of life, damage to

property, and economic disruption. The institutional strengthening will be in line with the

priorities outlined in the National Strategy for Natural Disaster Prevention, Response and

Mitigation to 2020 its national Action Plan and draft DRM law, which serves as the

overarching document for the Government's approach to disaster management and MARD’s

Institutional Vision for 2020.

14. The component will focus on the institutional mechanisms relevant to national,

provincial and local levels as well as regional scale for hydromet services. The DRM

institutions of 10 provinces of Central Vietnam (Thanh Hoa, Nghe An, Ha Tinh, Quang Binh,

Quang Tri, Da Nang, Quang Nam, Quang Ngai, Binh Dinh and Ninh Thuan) will be covered

with an renewed focus on a river basin approach.

15. Component 1 will have three sub-components: (i) Strengthening DRM institutions, (ii)

Improvement of the DRM information systems, and (iii) Support for the integration of DRM

in river basin Planning.

16. Under the first sub-component, Strengthening DRM Institutions, the project will

provide relevant support to implement the National Platform on Disaster Preparedness,

Prevention and Mitigation and Adaptation to Climate Change. This activity aims to facilitate

inter-ministerial coordination meetings, policy dialogue and knowledge-sharing mechanisms

between the government ministries, development partners, academic institutions, NGOs and

private sector. One of the outputs of this activity will be to develop an on-line web-based

knowledge sharing portal on Disaster Risk Management (DRM) and Climate Change

Adaptation (CCA) at national level. The sub-component will also review and update DRM

codes, standards and technical manuals for water resources management at river basin level.

Technical assistance will be given for a study on the feasibility of financing mechanisms for

DRM.

17. The sub-component will support the establishment of 8 Provincial Disaster

Management Centers (PDMCs) in the project target provinces (except in Quang Ngai and Da

Nang where PDMCs already exist). This would include renovation of office facilities and

basic equipments. Before establishing PDMCs, a detailed study on the performance of

existing PDMCs and standing office of PCFSC will be conducted in order to propose the most

relevant PDMC model. The experience and lessons learned from the existing PDMCs and

river basin approach adopted in this project will be considered while establishing PDMCs in

eight provinces.


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18. The sub-component will strengthen DRM technical capacity of government agencies

at different levels. This will require an update of training needs assessment of national and

provincial level agencies involved in DRM work which was done by the on-going Bank-

financed NDRMP, and subsequent training would cover all aspects of DRM such as risk,

vulnerability assessments, preparedness, search and rescue, and response. The National level

Disaster Management Centre (DMC), which is mandated to offer CBDRM training to

provincial and district level staff, will be supported with technical assistance to improve

training content. Technical expertise on CBDRM will be strengthened at the provincial and

lower levels following a Training of Trainers (ToT) approach, using an experienced local

consultancy firm to conduct the trainings. The national DMC would provide supervision,

technical guidance and monitoring of these trainings.

19. The CBDRM training curriculum will integrate on-going capacity development related

to Community Based Adaptation (CBA). This activity is closely related to component 3

(CBDRM), and ToT training would cover all 10 provinces. The ToT training will target

provincial level staff, and after the training, these staff would participate together with other

experts in providing similar trainings to selected district and commune (component 3) level

staff. It is proposed to conduct CBDRM trainings in each of the 28 districts selected under

component 3. This sub-component will also support international training on DRM and study

tours.

20. The second sub-component, Improvement of the DRM information Systems, will

support DRM databases, spatial interpretation tools, and dam/reservoir safety information

systems. Strengthening existing DRM databases and information systems include update

and addition of indicators such as hazards, vulnerability, risks, livelihood groups, data on

damage and loss, socio-economic information and post disaster interventions. MARD’s

current information collection procedures will be improved and linked to the proposed

information systems. In addition, links will be established to existing socio-economic

database of General Statistics Office (GSO) of Vietnam. Interactivity of the databases is

expected to be enhanced by strengthening query and quality checking procedures. This

activity will help to harmonize all existing DRM databases and provide access to agencies

involved in DRM related work.

21. A database on smaller dams/reservoirs held by MARD is currently not available at the

provincial level. There are at least three different management layers of reservoirs (provincial,

district and commune level), and lack of coordination and information exchange weakens the

reservoir operation and disaster preparedness. Improved coordination and sharing of

information can promote better management of these reservoirs and protect lives and

livelihood assets. The project will support: (i) an inventory of existing medium and small

scale reservoirs, their safety standards, operational procedures; (ii) development of a software

that can be applied at national and provincial level; (iii) development of guidelines for safety

of medium and small reservoir/dam operations in 10 provinces, and (iv) a training program on

how to use the database, software and on guidelines for safety of medium and small reservoir

operations to provincial and district staff.

22. The third sub-component, Support for the Integration of DRM in River Basin

Planning, will help integrate DRM into river basin management. In particular, the sub-

component would support: (a) data collection and assessment of exposure, risks and

vulnerability at the basin scale, (b) identification of vulnerable areas, and possible structural

and non-structural measures to mitigate the natural disaster risks. The sub-component will

cover all river basins in the 10 project provinces to be supported under the project, and take

place in two phases: a study phase and the preparation of the river basin plan itself.


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23. The study phase will assess the main DRM problems in the river basins (such as

environmental degradation, soil erosion, drought, landslides, sedimentation, solid waste

management, water quality, flood impacts); the climate change impacts on the major river

basins; flood mapping combining existing hazard and vulnerability maps prepared under

NDRMP project with new data sets; an institutional analysis; and an inventory of existing

plans (land use, provincial disaster management plans, agriculture, transport). The DRM

priorities and basin risk maps would then be integrated into river basin plans.

24. At present, nine out of ten provinces have prepared Integrated DRM Plans (IDRMs)

under the Bank-funded NDRMP project. At the same time, the National Target Programme on

Climate Change requests provinces to prepare provincial plans on adaptation to climate

change. Given that there are similarities with respect to actions under DRM and CCA and that

promoting two similar plans may add complexity for the provincial authorities, there is a need

to integrate CCA into DRM action plans aiming to address short term priorities, but at the

same time with long-term perspectives. This activity will promote a joint action plan for CCA

and DRM in 10 provinces based on lessons and experiences from IDRMP exercise and

updated comprehensive vulnerability and risk analysis.

25. Finally, the sub-component will provide training on the use of hydrological models

and GIS tools to DRM staff at provincial level and will be closely linked to component 2 of

the project. This activity will promote use of existing data on land use, vulnerabilities and risk

maps from NDRMP project combined with satellite imageries for preparation of flood maps

in eight river basins (Ma, Ca, Vu Gia-Thu Bon, Tra Khuc Tra Bong, Kone Ha Thanh, Thach

Han, Gianh, Cai Phan Rang). These flood maps will contribute to preparation of river basin

plans and joint action plans for DRM and CCA described above. Technical specialists from

the sub-Department for Water Resources and Flood and Storm Control within the provincial

DARD, MARD’s Water Resources Directorate and Faculty of Hydrology in Water Resources

University (WRU) will be trained on modeling, use of satellite maps and GIS.

Component 2: Strengthening Weather Forecasting and Early Warning Systems ($30.0

million)

26. The objectives of component 2 are to strengthen hydrometeorological services,

weather forecasting and early warning systems for disaster preparedness at all levels and to

improve delivery of locally relevant early warning products and services. Particular emphasis

will be given to strengthening the integration of the existing and planned hydro-met

components in the country. Two sub-components will be implemented: (i) Designing and

implementing an integrated national hydromet forecasting and early warning system and end-

to-end applications at the regional and provincial level; and (ii) Strengthening hydromet

observation and monitoring network, computer hardware and ICT infrastructure.

27. Sub-Component 2.1 Technical Assistance for development and implementation of an

integrated National Hydromet forecasting and EW System and end-to-end applications ($6

million): This sub-component will cover the technical assistance to design a nation-wide

integrated system and to provide overall guidance and implementation support. This will

include the preparation of hydrometeorological implementation plans for the national and

central region and the design of a nation-wide communication system. Priorities to be

addressed include (i) Analysing institutional frameworks, staff capacity requirements and

Preparation of Concept of Operation; (ii) providing technical advice on software, forecasting

models, instruments, computer architecture and data processing; (iii) Instrument

specifications, ensuring inter-operability of the observation networks and contract

performance monitoring; and (iv) providing support for the development and testing of a

sustainable hydromet business model. An Integrator will be hired at the beginning of the


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project to develop a detailed framework and to support and monitor the implementation of the

integrated system.

28. Technical support will be provided for the maintenance and operation of hard- and

software of weather forecasting and early warning systems according to the developed

concept of operation. The national level strengthening will ensure better integration of the

planned improvements (observation, forecasting and communication infrastructures) proposed

for three regional hydrometeorological centers (north-central, mid-central, and southern)

under sub-component 2.2. Synergies and collaboration will be sought with other proposed and

existing investment programs, including the Government-funded MONRE investment

program and donor-funded programs such as the Italian ODA program phase I & II, the

Mekong River Commission’s-HYCOS, the USAID support and the Japan International

Cooperation Agency (JICA) assistance.

29. An overall training strategy will be developed to improve the technical capacity at

national, regional and provincial levels based on user information needs and institutional

analysis. The objectives of the training are to maintain the hard- and software, use the weather

and hydrological models and analyse model outputs (down-scaling), and prepare quality

forecast products and early warning information. The capacity development programs will

include training on weather forecasting, drought monitoring, storm surge prediction, seasonal

climate prediction and assessment of climate change impacts. Improvement of forecast

models and other software include high resolution non-hydrostatic Numerical Weather

Prediction (NWP) models, topography and land use database, ensemble multi-scale weather

forecast models for short range forecasts, hydrological and hydraulic models for flood

forecasting and flash flood warning, integration of radar data (existing) for hydraulic models

and development of techniques for quantitative precipitation estimate from radar and visual

display and analysis system.

30. User interaction, climate data and information sharing will be strengthened by

establishing a national user forum (linked to a national platform supported under component

1). This sub-component includes study tours and on-the-job training for managers.

Strengthening of end-to-end application includes user training on interpretation of early

warning products for provincial departments, district staff and communities for better

informed decisions. Three regional hydro-met centers (north-central, mid-central and

southern) are included.

31. Sub-Component 2.2. Strengthening hydro-met observation and monitoring network,

computer hardware and ICT infrastructure ($20 million): This sub-component will support

the establishment of multi-hazard early warning systems, including the installation of

automated hydro-meteorological observing networks and communication systems through

provision of equipment and relevant training.

32. Major priorities to be addressed include: (i) Upgrading ICT infrastructure and

computer hardware at national, regional and provincial NHMS centers, (ii) modernization of

hydromet observation and monitoring infrastructure in north-central, mid-central and southern

regional centers; and (iii) improvement of technical capacity to maintain instruments,

including observation, data transfer and communication between provincial, regional and

national hydro-met centers. Installation of computer systems and forecast interpretation tools

such as GIS mapping facility to deliver rapid location-specific forecasts are included. Three

regional hydro-met centers (north-central, mid-central and southern) are included under this


8

sub-component1This sub-project would be implemented in the two phases: (a) Phase 1

(southern region) to complete the initiative taken by the NDRMP, and (b) Phase 2 (national

and central region).

33. Major investments include High Performamce Computer (HPC) hardware and

operating software, service development and technical support for the national center,

upgradation of computer hardwares and operating softwares, service development and

technical support for the provincial centres; modernization and upgrading of existing

meteorological stations and automatic weather stations, upgrading to SMS automated rain

gauge networks, automatic water level and rain gauge stations, integrated discharge and

suspended sediment, water level and rainfall measuring devices and boats for discharge and

velocity measurements. This sub-component covers upgrading of communication networks to

connect provincial and regional centres with the national centre and setting up a LAN and

other communication networks in three regional centres, together with a reliable backup

system. Real time status of major and important reservoirs will be included within the LAN

communication network for development of flood forecasting services. Upgrading of

equipment and networks will be closely coordinated with ODA activities to avoid potential

duplication and overlaps.

34. The sub-component will include support for the southern regional hydromet centre.

This support will facilitate an upgrade of meteorological instruments and an enhancement of

the hydrological monitoring along the Mekong river. The support in question will focus on the

design and establishment of an automated hydrologic network and on defining clear operating

procedures for the network. The modernization will cover automatic weather stations, river

discharge measurements devices, suspended sediment measurement, sounding depth

measurement device, automatic water level recorders and flood measurement poles; and

calibration and evaluation of flood danger/alarm levels. It will also help complete the

renovation/construction of office buildings for five provincial centres and other fire fighting

and early warning equipments. Training and capacity development activities include operation

and maintenance of automatic weather stations, maintenance of water level and rain

measurement devices and maintenance of discharge and water depth measurement

instruments.

Component 3: Community-Based Disaster Risk Management ($22.0 million)

36. This component will build on the successful pilot experiences in community-based

disaster preparedness including safer commune planning and risk management awareness

under the current Bank-financed NDRMP project. It also introduces new design features,

including river basin approaches, cluster approaches, interactive Management Information

System (MIS) with commune reporting by cell phone and private sector-commune

partnerships.

37. The objective of this component is to help implement the GoV’s national CBDRM

strategy (Decision 1002/QD-TTg). As a result this component, approximately 100 communes

will be better prepared for natural disaster events.

38. The selection of communes will be carried using a clustering approach which will

ensure that the communes selected are those benefiting from the larger scale infrastructure

investments supported under Component 4. This integration, following a river basin approach,

will maximize and better sustain the impacts from the larger scale DRM investments as well

1 The priority (i) on “modernization of measurement/monitoring infrastructure and data transfer” will be excluded

for mid-central region as this has already been covered by ODA assistance to the Regional Hydro-Meteorological Centre located in Da Nang.


9

as the commune level engagement. Under the first phase of the DRM investments, 27

communes have been identified for support (see Table 1). The identification of the remaining

communes will be conducted after project inception. The abovementioned objective will be

achieved through two sub-components: (i) Commune Institutional Strengthening and (ii)

CBDRM Investments.

Table 1. The List of Proposed Commune for Phase 1 CBDRM Activities

No Province District Commune River basin

1 Thanh Hoa Yen Dinh Yen Thinh Ma river

2 Dinh Hoa Ma river

3 Dinh Thanh Ma river

4 Dinh Cong Ma river

5 Dinh Binh Ma river

6 Dinh Tuong Ma river

7 Yen Tam Ma river

8 Yen Giang Ma river

9 Thieu Hoa Thieu Thanh Ma river

10 Tho Xuan Xuan Vinh Ma river

11 Ha Tinh Cam Xuyen Cam Phuc Rac River

12 Cam Long/

Thien Cam town Rac River

13 Cam Nhuong Rac River

14 Cam Thang Rac River

15 Quang Nam Duy Xuyen Duy Phu Thu Bon river

16 Duy Thu Thu Bon river

17 Duy Tan Thu Bon river

18 Duy Hoo Thu Bon river

19 Binh Dinh Tuy Phuoc Phuoc Hoa Kon river

20 Phuoc Hiep Kon river

21 Phuoc Quang Kon river

22 Phuoc Loc Kon river

23 Phuoc Thuan Ha Thanh river

24 An Nhon Nhon An Kon river

25 Nhon Phong Kon river

26 Nhơo Hau Kon river

27 Nhon Khanh Ha Thanh river

28 Nhon Hung Ha Thanh river

39. Commune Institutional Strengthening ($2.0 million). This sub-component aims to

develop the capacity of participating commune-level stakeholders and agencies2 to plan and

engage in a broad range of risk reduction measures encompassing “pre-, during- and post-

disaster” activities. Gender equality and integration will be ensured through these capacity

development initiatives, as too will be the focus on vulnerable groups. Main activities

include:

Strengthening of commune-level flood and storm risks management procedure. This

activity will help commune-based institutions to prepare a commune-annual flood and

storm risks management plan (CAFSCP) on yearly basis. 3

The plan will improve early

warning and support the Communal Committee for Flood and Storm Control (CFSC)

2 Commune-level stakeholders and agencies in this document refer to not only government

agencies, institutions, political parties and interest groups, but also other private organizations and citizens.

3 This activity would build on existing manuals such as CCFSC Manual/Handbook, the “four on the

spots’ motto” and CCFSC “Emergency response and early recovery guidelines”.


10

and its counterparts to understand responsibilities during pre- and post-disaster

activities.

Training for commune-based institution leaders. The project will provide training to

improve capacity of CFSC, CBDRM facilitators and other commune-level stakeholders

and agencies (see Appendix 1 for details of training).

Development of inter-communal support platforms. This activity will develop an inter-

communal support platform where leaders of the CFSCs and commune-based

institutions conduct exchange visits to plan co-operation for pre- and post-disaster

activities, including joint evacuation exercises, post-disaster clean up and relief

operations.

Community Resilient Planning: Each participating commune will: (i) identify its

vulnerability through a participatory risk assessment; (ii) prepare and update commune-

level annual flood and storm control plans (CAFSCP) based on the risk assessment;

and (iii) integrate the CAFSCP into commune socio-economic development plans.

Private sector-commune partnerships. This project seeks to develop enterprise-

community collaboration for enhancing commune resilience to disasters and thereby

support the Government’s development objectives under the National Community-

Based DRM Program and the National Program of Developing New Rural Areas, both

of which highlight private sector engagement as a key requisite for successful

implementation.

40. CBDRM Investments ($18.0 million). This sub-component will fund CBDRM

activities identified in the updated CAFSCPs. Risk reduction measures will include non-

structural and structural measures determined through the VCA and CAFSCP and driven by

the needs of the local communities, which would include representatives of most vulnerable

in the communes.

Non-structural measures: Activities will include evacuation drills, public

awareness raising, communications/early warning systems, provision of small

equipment such as small boats, pumps, and first aid kits. Activities will be

followed by participatory workshops to review the results and document the

lessons learned in the CAFSCP.

Structural measures: The project would support the participating communes to

construct small-scale physical structural measures in a hazard-resilient manner.

These would include multi-purpose shelters, evacuation roads, bridges, river bank

rehabilitation, retention ponds as well as reforestations and other structures

identified by the target communes. The project will also provide support to prepare

plans and designs for such prevention measures and plans for the management,

operation and maintenance of each structural measure built. The CPC would be

responsible for monitoring and reporting on the progress and quality of

construction as well as for preparing and implementing operational and

maintenance guidelines.

41. Monitoring and Evaluation of CBDRM. As a part of the project-wide M&E

framework, the project will set up a CBDRM monitoring system that will be both

participatory and also use a web-based Management Information System (MIS) at national

and sub-national levels. The system will record the performance of each commune in close to

real time. Key performance information on the status of project implementation will be

available to authorized users at national and provincial level.


11

Component 4: Priority Disaster Risk Mitigation Investments ($104.7m)

42. A river basin approach will be used to identify and prioritize major DRM investments

(subprojects) within the four selected river basins in the Central Region. The structural

measures will mitigate risks posed by storms, floods, landslides and drought, including river

and sea dykes/ embankments, safe harbors, rescue roads and bridges, and reservoirs. The

Government strategy on reservoirs for disaster management objective would mainly be

focusing on rehabilitation of selected existing dams and reservoirs to improve their safety.

The rehabilitation would involve safety measures such as lowering and/or expansion of

existing spillway or building addition spillway, additional backfill with better compaction of

the main dam and its auxiliary apparatus, termite treatment, grouting, and installation of

safety monitoring devices.

43. Based on the Integrated DRM Plans (IDRMPs) developed under the on-going Bank-

financed NDRMP project in all 12 project provinces using hydraulic modeling technology

piloted in the three provinces of Thanh Hoa, Quang Tri and Quang Nam. These plans provide

number of priority infrastructure investments within the context of disaster risk management

and climate change adaptation for long-term benefits. These plans have been reviewed and

endorsed by MARD and the provincial authorities.

44. Experience learned from the on-going Bank-financed NDRMP project proved that an

investment of approximately UD$ 12 million protecting 12 communes with population of

64,000 and 5,271 hectares of rice land. A dam safety investment with budget of US$ 6 million

protected 8 communes living downstream 80,960 population and about 4,500 hectares of

agricultural land. Similarly an amount of US$ 2.5 million to build a safe harbor in one of the

province in the Central Coast that helped protect about 1,500 small fishing boats to evacuate

during the typhoons season of the last and this year. This proves that priority infrastructure

investments are crucial to protect livelihood and economic assets of local people who are

living in the disaster-prone areas. This is also confirmed in the Government’s strategy on

DRM prevention and mitigation.

45. Phase 1 Investments: These will include the high priority specified in the approved

IDRMPs, and are most advanced in term of preparation including technical engineering,

economic/financial, social safeguards aspects. A maximum of two such ‘subprojects’ would

be implemented per one province over the course of the first two years of the project

depending on the readiness of preparation of subprojects. Greater priority would be given to

those subprojects that incorporate a river basin approach, and have complementary

investments under other components clustered nearby. Six subprojects have been confirmed

as ready for inclusion in Phase 1 spanning in 5 provinces, including four dyke or embankment

upgrading, one bridge with connecting rescue roads, and one reservoir upgrade. These are:

(i) 42 km. of a river dyke system in a tributary of Ma river basin in Thanh Hoa province

(ii) 7 km. of river bank protection and 3 km. of rescue roads and 100 m and a birdge in Ca

river basin in Nghe An (2 subprojects)

(iii)11.5 km of Phuc-Long-Nhuong Sea-dyke improvement in Ha Tinh province, prepared

by the current NDRMP project

(iv) Dam safety improvement in Vu Gia-Thu Bon river basin in Quang Nam province

(v) 4 km. of River embankment erosion protection in Kon river basin in Binh Dinh

province

46. Phase 2 Investments: These investments would include other high priority physical

investments that need further detailed preparation work after project start-up, and that together


12

with Phase 1 investments fall under within the cost ceilings indicated above. Provinces would

undertake detailed technical, social, environmental and economic design work over the course

of year 1 and 2 and submit these for approval by MARD and no objection by the World Bank

for execution in years 3, 4 and 5. 28 other subprojects are shortlisted for inclusion in Phase 2

including 11 dyke, embankment and weir repair, 3 roads/bridges, 2 harbors and 9 reservoir

subprojects. The harbor works would involve some dredging of sea sand, construction of

breakwater structure, buoys and anchoring system for fishing boats to hire during flood and

typhoon events. Reservoir works would be mainly on rehabilitation a stated earlier. Details of

phase 2 proposed by provinces are in Annex 1.

Component 5: Project Management ($3.8m)

47. The objective of this component is to deliver sound project coordination, financing

and procurement, as well as ensure timely reporting and lesson learning. This component

provides financial support for those project implementing entities in MARD and MONRE

responsible for project coordination, financial management and procurement, as well as

ensuring compliance with relevant safeguards and fiduciary policies. It would provide

incremental operating cost for implementing agencies at all levels in managing the

implementation of the project.

48. Strengthening of both national and provincial implementation capacity of the project

will include provision of office renovation, equipment facilities and vehicles, external

monitoring on fiduciary and safeguards, internal audit and control, operating expenses and

training. The component will also support the establishment of an effective M&E system for

the project and applicable to the broader DRM sector including tracking the implementation

of the National DRM Strategy. The system will monitor the performance of the various

implementing partners at national and local level and the achievement of project deliverables

as defined in the results framework and detailed M&E design. An independent baseline and

final evaluation will be funded.

49. The detailed design will be prepared by international technical assistance in the first

six months of project implementation. Funding is provided for an independent baseline to take

place between appraisal and project effectiveness, and final evaluation in Year 5. The

estimated cost includes contribution from the Government, such as personnel, office space,

and utilities both at the central and provincial level.

(b) The Project Area and the Subprojects 50. The project area will cover the central part of Vietnam, spanning 8 river basins and

involving ten provinces including Thanh Hoa, Nghe An, Ha Tinh, Quang Binh, Quang Tri,

Danang, Quang Nam, Quang Ngai, Binh Dinh, and Ninh Thuan. Priority investments would

be given to the following four major river basins: Ma River basin in Thanh Hoa, Ca River

basin in Nghe An and Ha Tinh provinces; Thach Han River Basin in Quang Tri province; and

Vu Gia-Thu Bon in Da Nang and Quang Nam provinces. These river basins are located

entirely within Vietnam, except the upper part of Ca River which is located in Lao People’s

Democratic Republic (PDR), and Ma River which originates in Vietnam but runs through Lao

PDR before coming back to Vietnam territory. Of the 513 km long and 27,200 km² catchment

of the Ca River, 361 km and 17,730 km² are located in Vietnam. Other four river basins (with

less number of subprojects) include Ha Vang-Rac River basin in Ha Tinh province, Tra Khuc-

Ve-Tra Bong River basin in Quang Ngai province, Kone River basin in Binh Dinh province,

and Dinh River basin in Ninh Thuan.


13

51. Below briefly summarizes the background related to the natural disaster risks in the

four major river basins (Ma, Ca, Thach Han, and Vu Gia-Thu Bon) while more details are

provided in the EA (see location maps in Annex 1).

- Topography: Narrow land, descending from the West (highlands) to the East (coastal

lowlands), divided by dense river networks and mountain ranges extending to the sea.

The plain area is divided into three strips, the coastal strip including sand dunes,

lagoons, coves and gulfs, the middle lowland areas, and the alluvial plain.

- River bank and coastal erosion: River bank erosion and river sedimentation happen in

most of the rivers, causing a relatively high content of TSS (total suspended solids) in

the rivers. Coastal erosion also occurs in many areas along the coast.

- Surface water hydrology: Ma River is short and steep with rapid flows; Flow varies

greatly causing water shortage in the dry season and floods in rainy season with one

flood peak a year. Ca River is originated from Laos and is narrow in the upstream,

widening towards downstream and with two flood peaks a year. Vu Gia-Thu Bon flow

has two separate seasons; the flood season often begins from half a month to a month

later than the rainy season, and often not stable. Thach Han high slope typography

creates straight flows from the highlands to the lowlands, easily causing floods in the

rainy season and drought in the dry season; The flow varies in different months with a

big difference between the highest and lowest flows, causing a prolonged flood

season.

- Infrastructure: In the urban areas, the infrastructure is quite good. In rural areas, the

infrastructure is still poor, especially the rural road systems which haven’t met the

needs for transportation and rescue in heavy rains or floods. There are some

community projects at the commune level which are quite small and scattered.

- Agriculture and aquaculture: The main agriculture form is cultivation of rice and

other edible crops, cultivation and catching of aquatic products which are heavily

dependent on nature variables. Therefore, poor crops and/or considerable damage

often occur when there are floods and storms.

- Community floods: Rural health services haven’t been well-equipped. Epidemics and

environmental pollution often occur after floods due to a lack of proper sewage

systems. During and after floods or storms, floodwater spreads waste from toilets,

causing epidemics and environmental pollution.

- Natural disaster risks: The areas often suffer from storms, floods, flash floods, heat

waves, droughts, etc. Floods and inundations in the Central region usually occur on

large scale, simultaneously in several provinces, sometimes cover the entire region

(such as in 1999, 2003, 2009, 2010). Floods occur in the region more frequently and

more fiercely, causing human casualties, property damage, and soil and water

pollution. Flash floods occur in the headwaters in Ha Tinh, Quang Binh, Quang Nam,

Da Nang, Quang Ngai. Storms and tropical low pressure occur more regularly and

intensely. Heat waves often develop in lowlands such as the coastal plain and river

valleys. In river valleys, hot weather occurs at greater length and intensity.

52. In terms of subprojects, about 34 subprojects have been proposed for Component 4

involving rehabilitation, upgrading, and/or construction of existing dykes/embankments,

rescue roads/bridge, dams/reservoirs, and/or river mouth infrastructure (such as safe fishing

boat harbours). Annex 1 (Table A1.1 – A1.6) provides brief description of the proposed

subprojects.


14

53. Activities proposed under Component 3 of capacity building include: supporting for

the establishment or activities of CDPMs at provincial, district and commune levels and

providing training and communication, awareness raising and capacity strengthening

activities on natural disaster prevention at community levels in select communes (Annex 1,

Table A1.7). There are some proposed construction works of small-scale building and

renovating CDPMs such as disaster prevention storages and public houses, etc. where the

simple ECOP will be applied.

(c) The First year subprojects

54. Six subprojects have been proposed for the first year implementation under

Component 4 (Table 2.1) and RAPs, EMDPs, and EMPs for the subprojects have been

prepared and submitted for WB review.

Table 2.1: List of proposed first year subprojects under Component 4

No Sub-Projects River

basins Investment Items

Remarks

I. Thanh Hoa

1

Maintain, upgrade and treat

the key parts of the left

dyke of Cau Chay river

(section from K0-K42),

Yen Dinh district

Ma

river

upgrade 42 km dyke site;

Repair, upgrade and renew

structures on the site; build

more rescue roads

EIA approved by Thanh

Hoa PPC by its Decision

No. 3709/ QD-UBND

dated 11/11/2011

II. Nghe An

2

Bridge combining with

overflow connecting

Rescue roads, Nghi Loc

and Vinh city

Ca

river

65 m bridge combining

with overflow and 1 Km

road and a drain sluice

with B=7.5m

EPC will be prepared and

approved before project

implementation

3 Upgrade dyke site of

Luong Yen Khai Ca

river Line, widen, stabilize the

surface 2.87Km

EIA approved by Nghe An

PPC in its Decision No.

5689/ QD-UBND dated

23/12/2011

III. Ha Tinh

4 Upgrade dyke site Phuc

Long Nhuong, Cam Xuyen

district

Ha

Vang -

Rac

river

Upgrade dyke site of 11.41

km; Renew 21 drainage

sluices crossing the dyke;

build 12 road sites

combining with dyke

rescue with the total length

of 8.974 km

EIA approved by Ha Tinh

PPC in its Decision No.

3954/ QD-UBND dated

14/12/2011

VII. Quang Nam

5 Repair, upgrade Thạch Ban

reservoir, Duy Xuyen

district

Thu

Bon

river

Main dam, overflow,

intake gate, management

house and road

EIA approved by Quang

Nam PPC in its Decision

No. 576/ QD-UBND dated

24/2/2012

X. Binh Dinh

6

Upgrade anti-erosion

embankment of Kone

river for safety, An Nhon

and Tuy Phuoc districts

Kone

river

Upgrade for anti-erosion

for 4 dike sections with a

total length of 5.8 km

EIA approved by Binh

Dinh PPC in its Decision

No. 3044/QD-UBND

dated 29/12/2011


15

Section III. Legal and Policy Frameworks

3.1. Government Policy on Natural Disaster Management

55. Natural disaster management. On 16 July 2007, the GOV approved the “National

Strategy for Natural Disaster Prevention, Response and Mitigation to 2020”. Accordingly,

Ministry of Agriculture and Rural Development (MARD) is the standing agency and to

cooperate with relevant agencies to support the Government in executing state management in

the field of disaster management. The overall goal of the Strategy is to “Mobilize all resources

to effectively implement disaster prevention, response and mitigation from now up to 2020 in

order to minimize losses of human life and properties, damage of natural resources and

cultural heritages, and the degradation of environment, contributing significantly to ensure the

country sustainable development, national defense and security”. To achieve this goal, tasks

and measures are laid out as follow: (1) Consolidate the system of laws, policies and

mechanisms; (2) Consolidate organizational structure; (3) Human resources development and

social mobilization, (4) Financial resources; (5) Community awareness raising; (6) Ensure

safety for dyke, reservoir and dam systems; (7) Enhance the search and rescue capacities; and

(8) Promote international cooperation and integration.

56. For the Project areas, natural disaster prevention and mitigation tasks and measures in

the strategy include:

(i) North Central Region: Radically prevent floods, and take initiatives in preventing and

responding to storm, drought and storm surge, for which the following solutions must

be taken in places in the same time: making flood control plannings for river systems,

reviewing and adjusting dyke system plannings as bases for activities of dyke

construction, upgrading, protection, and management; strengthening of underdyke

structures; treatment of weak dyke foundation; and reinforcing dyke surface for rural

traffic, etc.

(ii) Central Coast and the Eastern South: the approach applied for the areas is

"Proactiveness in disaster prevention, and adaptation for development", for which

following solutions are considered as priorities: planning residential, industrial and

tourism areas; planning and constructing disaster prevention and mitigation structures,

and transportation infrastructures to ensure flood resilience and drainability; shifting

crops and animal husbandry; strengthening dykes, building reservoirs and

embankment structures, and increasing forestation; building storm shelters for boats

and ships; establishing and upgrading coastal communication stations for typhoon, sea

rise and tsunami warning.

3.2. Government Laws and Regulations

3.2.1 EIA regulations

57. The Law on Environmental Protection (2005) sets out regulations on strategic

environmental assessment, environmental impact assessment and environmental protection

commitment of development activities. Environmental impact assessment report is developed

at the same time as investment project preparation (feasibility study). Time of preparation,

submission and approval of reports are detailed in Term 2, Article 13 of Circular 26/2011/TT-

BTNMT. The project’s type for the environmental assessment is carried out based on the list

of project types in Annex I and Annex II of Decree 29/2011/ND-CP.


16

58. Environmental Impact Assessment (EIA). Articles from 12 to 28 in Chapter 3 of

Decree 29/2011/NĐ-CP provide detailed regulations on the preparation, appraisal and

approval of an EIA report, inclduing a detailed description of technical and management

solutions to address negative impacts and environemtnal monitoring program. According to

this Decree, the subprojects under the Project that require an EIA approval are included in

Annex II of the Decree.

59. Environmental Protection Commitment (EPC). Article 29 to 36 in Chapter 4 of Decree

No. 29/2011/NĐ-CP identifies scope of the EPC requirements, including the review and

approval process and responsibilities of the project owners and agencies in charge of the EPC

preparation, description of pollution mitigation measures, environmental monitoring

programs, and committment to comply with environmental standards.

3.2.2. Pollution control and other regulations

60. Other related regulations:

Regarding construction: Law on Construction No. 16/2003/QH11 and some Decrees such

as the Decree No.12/2009/ND-CP dated 10th February 2009 on managing construction and

investment projects and Decree No. 209/2004/ND-CP dated 16th December 2004 on

managing the quality of construction projects.

Regarding planning, land acquisition and resettlement: Law on Land No.13/2003/QH11

dated 26th

November 2003; Decree No. 197/2004/ND-CP on compensation, support and

resettlement when the State acquires land; Circular No. 116/2004/TT-BTC on instruction

on executing the Decree No.197/2004/ND-CP, etc.

Regarding disaster management: Law on Dykes No. 79/2006/QH11 dated 29 Nov 2006,

Ordinance No. 32/2001/PL-UBTVQH10 dated 04 April 2001 on the exploitation and

protection of irrigation works, Decree detailing some of the Flood Prevention and

Response Ordinance No. 08/2006/NĐ-CP dated 16 Jan 2006, etc.

Regarding dam safety: The Decree No. 72/ND-CP dated 07/05/2007 of the Government's

dam safety management clearly provides provisions for dam construction, dam

management and state management on dam safety. The Decree distinguishes between

small and large dams. Small dams are normally less than 15 meters in height. Large dams

are 15 meters or more in height and/or create a reservoir having a capacity above 3,000,000

m3. Dam owners must have detail plans for water regulation, sluice and related works

operation, dam safety and hydrological monitoring/ inspection, dam maintenance and

protection, dam rescue, dam safety reporting, flood and inundation prevention in the

downstream. All plans must be carried out strictly. MARD is responsible for the state

management of reservoirs and dams nationwide. The Directorate of Water Resources under

MARD assists MARD to implement the function of state management on safety of

reservoirs. The Ministry of Industry and Trade is responsible for the state management of

hydroelectric dam safety. Provincial People's Committees (PPCs) are responsible for the

state management function on reservoir safety in their provinces. PPCs assign the

Department of Agriculture and Rural Development to implement this function.

Other related areas: Law on Forest Development and Protection No. 29/2004/QH11, Law

on Labor dated 23 June 1994, Law on Cultural Heritage No. 28/2001/QH10, Law on Water

Resources No. 8/1998/QH10.


17

Vietnamese Environment Standards: National technical regulations on quality of drinking

water QCVN01:2009/BYT; National technical regulations on quality of domestic water

QCVN02:2009/BYT; National technical regulations on quality of surface water

QCVN08:2008/BTNMT; National technical regulations on quality of groundwater

QCVN09:2008/BTNMT; National technical regulations on quality of coastal water

QCVN10:2008/BTNMT; Air quality – Standards for ambient air quality

QCVN05:2009/BTNMT; Air quality – Maximum allowable concentration of hazardous

substances in the ambient air QCVN06:2009/BTNMT.

Dam design standards for flood cycle: 500 to 1000 years for dam grade I; 200 years for dam

grade II; 100 years for dam grade III; 67 years for dam grade IV; and 50 years for dam grade V.

3.3. Application of World Bank Safeguard Policies

61. Out of the ten safeguard policies of the World Bank, six policies are triggered by this

Project: Environmental Assessment (OP/BP 4.01); Safety of Dams (OP/BP 4.37); Indigenous

Peoples (OP/BP 4.10); Involuntary Resettlement (OP/BP 4.12); Physical Cultural Resources

(OP/BP 4.11); and Projects on International Waterways (OP/BP 7.50). Key objectives of the

policies are briefly summarized in Table 3.1 below. In addition, the World Bank Group’s

Environment Health and Safety Guidelines will also be referred to.

Table 3.1: Relevant WB’s Safeguard Policies

Policy Objective

OP 4.01

Environmental

Assessment

To ensure the environmental and social soundness and sustainability of

investment projects.

To provide decision makers with information on potential

environmental and social impacts related to the project.

To enhance the transparency and participation of affected communities

into the decision making process.

OP/BP 4.11

Physical

Cultural

Resources

The policy aims to avoid, or mitigate, adverse impacts on cultural

resources which are important as sources of valuable historical and

scientific information, as assets for economic and social development,

and as integral parts of a people's cultural identity and practices,

including graves and graveyards. The policy provide guideline to ensure

that (a) Physical cultural resources are identified and protected in the

project and (b) National legislations on Physical Cultural Resources

Protection are fully complied with.

OP 4.10

Indigenous

Peoples

To ensure that ethnic peoples: (a) Receive full respect for their dignity,

human rights, and cultural uniqueness; (b) Do not suffer adverse

effects during the development process; (c) Receive culturally

compatible social and economic benefits; and (d) Benefit from

consultation and participatory processes.

OP 4.12

Involuntary

Resettlement

To ensure that the following policies will be applied: (a) Avoid or

minimize involuntary resettlement and impacts on economic activities,

including loss of livelihoods; (b) Provide transparent compensation

procedures during involuntary taking of land and other assets; (c)

Provide sufficient investment resources to enable the persons displaced

by the project to share in project benefits (implemented through the


18

62. Other policies such as Natural Habitats (OP 4.04), Forests (OP 4.36), Pest

Management (OP 4.09), and Projects in Disputed Areas (7.60) are not triggered since all the

subprojects: i) are not located in the critical natural habitats and/or would not degrade any

natural habitats or affect ecological health and quality of forests and/or the people who are

depending on them; ii) would not involve procurement of pesticides, pesticide application

equipment, and would not affect pest management; and iii) are not situated in any disputed

area with any neighboring countries.

63. To comply with these policies, the following safeguard documents have been prepared

for the Project:

(a) An Environmental Assessment (EA) assessing the overall impacts of the project as a

whole, including the first year subprojects, and possible follow-on year subprojects. A

social assessment was also carried out for the Project.

(b) An Environmental and Social Safeguard Framework (ESMF), including a standard

Environmental Code of Practices (ECOP) for civil works to be carried out under

Component 4 and actions related to dam safety and subprojects related to dredging and

upgrading of fishing boat harbors, and a simple ECOP to be applied to the activities to

be implemented under Components 1, 2, 3 that are related to small civil works.

(c) A Dam Safety Framework (DSF), outlining the policy requirements for ensuring

safety of dams to be rehabilitated and/or upgrading including a technical guideline for

preparation of Dam Safety Report (DSR) and a sample table of content. The DSF will

be applied to all the subproject involving dams.

(d) An Ethnic Minority Policy Framework (EMPF); and

(e) A Resettlement Policy Framework (RPF).

64. In addition, preparation of the following subproject specific documents will be

required: Environmental Management Plan (EMPs); Resettlement Action Plan (RAPs); and

Ethnic Minority Development Plan (EMDPs). EMPs, RAPs, and EMDPs for the six first year

subprojects have been prepared.

Resettlement Action Plan); (d) Restore and improve the standards of

living of persons affected by the project; and (e) Provide prompt and

effective compensation at full replacement cost for losses of assets

attributable directly to the project. Development of Resettlement Plan

and mitigation measures must be carried out based on consultation with

affected populations and participatory approaches.

OP 4.37

Safety of

Dams

To ensure that dam safety issues are adequately addressed, especially

for high and/or risky dams; The policy applied to new dams, existing

dams, and/or dams under construction that are related to infrastructure

to be financed by WB.

OP 7.50

Projects on

International

Waterways

To ensure that the projects neither affect the effective use and protection

of international waterways, nor the relationship between the Bank and

the borrower and between nations sharing the same waterway.


19

65. Public consultation: During the preparation of the EA, ESMF, DSF, and EMPs for

the first year subprojects, two public consultations were conducted: one in June-July 2011 and

the other in September 2011. Participants included farmer and fisherman households directly

or indirectly affected by the projects, local authorities, central and local state agencies, and

mass organizations, etc. Opinions and concerns provided during the consultation were taken

into account in the preparation of the EA, ESMF, DSF, and EMPs. Most of the provinces and

communities in the Project area showed enthusiasm in supporting the implementation of the

Project and wished that the Project would be carried out as soon as possible.


20

Section IV: Summary of Impacts and Mitigation Measures

66. Overview. The EA conducted for the Project concluded that the overall impacts of

the Project will be positive since an improved infrastructure under Component 4 will

increase effectiveness of local infrastructure capacity to prevent and/or rescue impacts due

to natural hazard, and thus create positive impacts at provincial and river basin levels. The

potential negative impacts will be limited to the subproject sites, temporary, and can be

mitigated. Implementation of Component 3 will increase capacity of local government and

communities to address natural disaster issues while activities under Component 1 will

strengthen policy, planning and coordination capacity at central and river basin level.

Details are highlighted below.

4.1. Potential Positive Impacts

67. General benefits: The Project would have potential positive impacts in strengthening

national, provincial, and local capacities for natural disaster prevention, preparedness, and

mitigation. The Project is fully in line with the target of the National Strategy for Natural

Disaster Prevention, Response and Mitigation to 2020, the National Strategy on Environment

Protection to 2010 and Direction to 2020, and regional master planning. Key benefits include:

Reduction of human losses and property damage: According to the RPF report, the

Project will protect approximately 900,000 people (more than 210,000 households) from

annual floods and droughts, including people of 5 ethnic groups: Muong, Thai, Co Tu,

H’re and Cham. The Project would also help maintain the trust of people in the

Communist Party and the Government, making them feel secured to focus on production

and settling down their lives.

Facilitation for socio-economic development: According to the social assessment report,

the Project would protect approximately 50,000 ha of production lands from floods and

droughts each year. As the result, it would increase agricultural productivity, increase

incomes and livelihoods opportunities, and people’s lives in the areas affected by natural

disasters to recover faster. Moreover, the subprojects would enhance trading activities

between communes, districts and provinces, possibly create more jobs for local residents,

and help to develop the local infrastructure and a better investment environment to attract

investors. The socio-economic development, in turn, would increase the human capacity

and material resources for natural disaster response and post-disaster recovery of the

communities.

Raising community awareness and natural disaster risk management capacity of different

levels: Through the Project activities, local people would increase their awareness in

natural disaster risks as well as community-based DRM capacity. Raising the community

awareness on natural disaster prevention and response would help the residents and the

communities change their attitudes and behaviours in their response to climate change,

especially towards the environment, including: use and protection of forest resources

(watershed and protective forests), water resources, dikes, and dams; proactive response to

natural disasters, mobilization of internal resources to rescue and support each other in

disaster events and post-disaster reconstruction.

Improvement in quality of living environment: The rivers in the Central region are narrow

and steep. This characteristic forms a relatively high river flow in the flood season, which

results in river bank erosion happening more frequently. The river bank erosion process is

the result of increased content of suspended solids in the river water and it can largely


21

affect domestic water quality of the riverside residents. The subproject group of upgrading

river revetments would reduce the river bank erosion process, which will help improve the

river water quality, especially in terms of suspended solids parameter. Besides, the Project

activities would reduce the inundation currently occurring every year in the Central

provinces or damage caused to fishing boats at river mouth areas. Preventing natural

disaster would be an effective way in reducing the environmental degradation happening

after storms and floods, and increasing the local residents’ habitat quality because after

flood events. It would help improve domestic water supply sources during and after

floods, reduce diseases (such as red eye sores, skin diseases, diarrhea, etc.), and limit

environmental landscape degradation (with wastes, mud, dead animals and plants,

offensive smell, etc.).

4.2. Potential Negative Impacts and Mitigation Measures

68. In the river basins of the Project area there are 8 physical cultural sites and 10 nature

reserves, protected areas, or protection forests. However, all of the subprojects are not located

within or nearby those sites. It is thus concluded that the Project would not cause any impacts

on the physical cultural resources and natural habitats and/or forests. There will be no

construction of new dam, major sea dykes nor major sea sluices and/or big-scale bridges

which may pose major environmental concerns beyond B environmental category as defined

by WB safeguard policy. These conditions will be explicitly defined during the eligible

screening of safeguard (Section 5.2).

4.2.1 Impacts of Component 4 Subprojects

69. Key potential negative impacts of the Project (both social and environmental) will be

due to the implementation of Component 4 subproject, especially those related to: (i) Land

acquisition and resettlement of local people including ethnic people and (ii) Site clearance and

construction which could temporary increase levels of dust and other air pollution, noise,

vibration, water pollution, local traffic volume, safety risk, and other impacts on local

residents and businesses. The impacts however will be small to moderate, localized, and

temporary, and can be mitigated. There are UXO risks during construction and other risks

during operation if the infrastructures are not properly designed and/or maintained adequately

and/or sluices are not properly operated. These risks however are considered moderate and

could be mitigated.

70. Below briefly describes the key negative impacts and need for mitigation measures.

(a) Impacts due to land acquisition, relocation, and ethnic groups

Land acquisition and relocation. Land acquisitions will be required mostly for upgrading

of existing dykes, dams, roads, overflow bridges, fishing boat shelters, sluices, and

construction of small rescue roads. The impacts are considered significant and efforts will

have to be made to avoid/reduce the need for land acquisition and/or relations, and if

unavoidable, the affected people will be adequately compensated in line with the Bank

safeguard policy. A RPF has been developed in close consultation with local agencies and

affected people, and specific policy and procedures has been finalized, including those

related to grave relocation. RAPs for the first year subprojects have also be prepared,

including compensation and grave relocation. Table 4.1 summarizes the level of impacts

due to the first year subprojects.


22

Relocation of graves. During the preparation of the six subprojects, twenty two graves

were identified affected. Relocation of graves would be carried out by households whose

graves are affected (as a practice in Vietnam). Rituals for relocation of graves may be

different among Kinh, and ethnic minority peoples. Affected households will receive

compensation payment to conduct the relocation on their own. Payment to the grave

relocation includes costs of excavation, relocation, reburial, purchasing land for reburial

(if any), and all other reasonable costs associated with necessary rituals by the local

practice. Local ritual means relocation of graves will be carried out in accordance with

local cultural practices, taking into account cultural preferences which are typical for each

ethnic group. When graves of ethnic minorities are affected, grave relocation rituals

adopted will be documented in respective Ethic Minority Development Plan (EMDPs)

based on the consultation with affected ethnic minority peoples during project

implementation. Where graveyard - owned collectively by ethnic groups, are affected,

appropriate consultation with affected groups will be conducted during social assessment

under respective subproject to work out solutions acceptable to affected ethnic minorities.

Relocation of graves will be done satisfactorily to the affected households prior to the

commencement of construction.

Ethnic Minorities. The Project will involve ethnic minority and an EMPF has been

prepared in line with the WB policy. EMDPs for the first year subprojects have been

prepared.

Table 4.1: Impacts due to land acquisition and relocations of first year Component 4

subprojects

Total

affected

HH

Permanent

land (m2)

Temporary

land (m2)

Remarks No. of

grave

relocation

I. Thanh Hoa 1. Maintain, upgrade and treat the

key parts of the left dyke of Cau

Chay river (section from K0-K42),

Yen Dinh district

781 147,337 537,673

42,000 m

dyke; 11

communes

in 1 district

3

II. Nghe An 2. Bridge combining with overflow

connecting Rescue roads, Nghi Loc

and Vinh city 5 0 200

1,020 m; 2

commune,

2 districts 0

3. Upgrade dyke site of Luong Yen

Khai 83 13,300 0

2,870 m

dyke; 2

communes,

1 district

0

III. Ha Tinh

4. Upgrade dyke site Phuc Long

Nhuong, Cam Xuyen district 335 91,402 0

11,000 m;

4

communes,

1 district

1

IV. Quang Nam

5. Repair, upgrade Thach Ban

reservoir, Duy Xuyen district 7 0 20,000

1

communes,

1 district 0

V. Binh Dinh

6. Upgrade anti-erosion 73 9,156 1,037 5,700 m; 4 18


23

embankment of Kone river for

safety, An Nhon and Tuy Phuoc

districts

communes,

2 districts

Total 1,284 261,195 558,910 22

(b) UXO risk.

71. Safety risk related to UXO is considered moderate since most of the subprojects will

involve existing infrastructure with very limited number of new construction (some small

rescue roads). However, UXO risk assessment will be conducted for all the subproject sites

and UXO clearance (if needed) will be carried out by qualified agencies. Construction

activities will not be allowed prior to UXO clearance.

(a) Impacts during site clearance and construction stage

72. The EA assessed the impact according to type of civil works as follows:

rehabilitation/upgrading of existing dykes, embankments, and overflow bridges,

upgrading/construction of rescue roads, rehabilitation/upgrading of existing dams/reservoir,

and dredging and/or construction of river mouth infrastructure (i.e. rehabilitation of fishing

boat harbors and/or river mouth erosion protection). The assessment concluded that the

potential negative impacts of these activities will be moderate, localized, temporary, and can

be mitigated through the application of good construction and management practices and with

close supervision of contractor performance by field engineers and in close consultation with

local communities. The impacts of the first year subprojects will be limited to an increase in

dust, noise, vibration, waste generation, traffic hindrance, public safety, and exploitation of

construction materials (soil, gravel, rocks, etc.). Increased turbidity resulting from dredging at

the river mouth and rehabilitation of fishing boat harbor, which has been proposed for the

follow-on years, however may create negative impacts on nearby water uses along the coast

(such as recreation and coastal aquaculture), but these impacts are most likely to be localized

and temporary and close monitoring and immediate suspension of the construction works in

case of the abnormality would be adequate. These issues will be addressed during the

preparation of the EIA and EMPs for these subprojects.

73. For the subprojects involve river mouth dredging and construction of coastal

infrastructure that could change flow of the near shore current and/or sediment transport, a

quick study will be made during the preparation of the EIA/EMP of the subprojects to assess

the risks of coastal erosion in nearby area. Consultation and active participation of local

communities will be the key elements during the development of the mitigation measures. For

dredging, preparation of a Dredge Material Disposal Plan (DMDP) should be considered. The

DMDP will provide information on amount and characteristic of dredge materials especially

those related to organic content and heavy metals as well as the dredging methods,

transportation, and disposal areas such that it will minimize potential impacts on the nearby

land/water uses along the coast.

74. The contractor will be responsible for mitigating these impacts. Damage will be

repaired, fixed, and/or paid for as appropriate by the contractors. After completion of

construction, the contractor will be required to complete or rehabilitate the construction site to

bring it back to the prior construction situation. These requirements will be included as part of


24

the construction contract with appropriate mitigation cost and they will be specified in the

bidding documents and be informed during the bidding process.

75. In this context, a standard Environmental Code of Practices (ECOP) has been prepared

describing specific requirements to be carried out by contractor and scope of the ECOP is

provided in Annex 2 and briefly described in Section V. Monitoring of environmental quality

during construction can be useful in ensuring adequacy of the mitigation measures being

implemented by contractor. However, the monitoring parameters, locations, and timing

should be designed in line with the subproject activities, locations, and nearby water uses.

The EMP will clearly define the need for environmental quality monitoring with specific

locations, monitoring parameters, frequency, and an estimated cost.

(e) Impacts during operation phase

76. The potential negative impact during operation of Component 4 subprojects would be

limited to the potential risks related to: (a) failure of dams, dyke, and/or rescue roads and

potential land/water use conflicts during sluice operation and local floods and (b) possible

impacts on coastal erosion in nearby area due to construction of new structure that could change

flow pattern of nearshore current and/or sediment transport. Mitgation measures will be

necessary and actions below will be undertaken during the preparation of the EIA and EMP.

4.2.2 Impacts of Other Project Activities

77. The potential negative impacts of other Project activities will be limited to small

works/infrastructure such as renovation/construction of office/building, community shelters,

elevated road path, small bridges and/or two-story concrete school building for evacuation

purpose during emergency cases. These impacts can be mitigated through the participatory

planning process and/or the application of good construction practices (see Section VI).

4.3 Potential Cumulative Impacts and Enhancement Opportunities

78. In general, the EA found no major cumulative negative impacts resulting from the

Project, as the proposed investments are limited to rehabilitation and upgrading of existing

dams, dykes, reservoirs, and roads, etc. and therefore does not create any cumulative impacts


25

on local environment and/or local people. In fact, the proposed investment in repair and

upgrading of dams, dykes, reservoirs, and rescue roads are critical for reducing damage due to

natural hazards. Supporting local community through the community-based program

(Component 3) will increase awareness and capacity of local communities to be responsive to

the natural hazards, and thus considered as a means to mitigate the potential risks due to

operation failure of dams, dykes, reservoirs, and rescue roads to be implemented under the

Component 4 subprojects. During the preparation of an EIA/EMP for the subprojects, local

communities with risks will be identified and assistance on capacity building will be provided

following the CBDRM principle and a separate budget has been provided as part of the bloc

grant to be implemented under Component 3.

Section V. ESMF Process for the Subprojects

5.1. Objective and Approach

79. The ESMF will be applied only to the Component 4 subprojects. The main objective

of the ESMF is to ensure that the subprojects and activities to be finance under the Project

would not create adverse impacts on the local environment and local communities and the

residual and/or unavoidable impacts will be adequately mitigated in line with the WB’s

safeguard policy. Based on the potential negative impacts and mitigation measures described

in Section IV, the ESMF process for Component 4 subprojects has been designed to comprise

5 key steps: (1) Eligibility screening, (2) Technical screening and identification of key

impacts and documentation, (3) Development of mitigation measures and public consultation,

(4) Information disclosure and WB safeguard clearance, and (5) Implementation, monitoring,

and reporting. The first year Component 4 subprojects have gone through the first three steps

and specific mitigation plans (RAPs, EMDPs, and EMPs//DSRs) have been prepared and

these documents will be submitted to WB for public disclosure and clearance. The safeguard

screening, impact assessment, and preparation of safeguard documents for all the second and

follow-on year subprojects will be carried out during the Project implementation and the

safeguard documents (RAPs, EMDPs, and EMPs, including dam safety report as needed) will

be submitted for WB clearance before their approval and implementation.

80. Figure 5.1 and Table 5.1 identifies criteria and actions to be undertaken during the

ESMF process and they are briefly discussed in Section 5.2 below.

5.2. Safeguard Screening and Impact Assessment (Step 1and2)

(a) Eligibility screening (Step 1)

81. To avoid adverse social and environmental impacts which cannot be adequately

mitigated by the Project, an initial screening would be carried out to identify subprojects

which may cause serious impacts which would not be easily mitigated with the project’s

current set of safeguard instruments, and therefore not eligible for the Project financing.

There will be no construction of new dams, new major sea dykes/sluices, and/or big-scale

bridges which may pose major or significant irreversible environmental impacts that would be

equivalent to a Category A as described in World Bank safeguard guidelines. The subprojects

that can create significant loss or damage to physical cultural resources, including sites having

archeological (prehistoric), paleontological, historical, religious, cultural and/or unique

natural values will not be eligible for Project.


26

82. To avoid potential adverse potential socio-environmental impacts on areas of critical

importance such as national parks, biological conservation areas, protected forests or areas of

historical values, subprojects under the Vn-Haz will be screened for their environmental

eligibility. The subprojects that potentially adversely affect areas of biological importance,

conversion of site with valuable landscape, removal of objects with historical/religious

appreciation, or encroachment on mangrove forest regardless of the size will be excluded

from the Project financing.

83. The criteria for exclusion of subprojects have been developed with reference to Annex

III of Decree No.29/2011/ND-CP (listing the projects subject to appraisal by MONRE) as

detailed below:

i) Subprojects that use land of national parks, natural reserves, world heritage,

historical/cultural sites, nationally protected landscapes, biosphere conservation

sites;

ii) Subprojects that cause conversion of natural forests including mangrove forests,

watershed protection forests, waves/wind shield forests, etc;

iii) Subprojects that cause sea encroachment of 20 ha or more;

iv) Subprojects that cause conversion of two-crop rice field land of 20 ha or more

with high productivity;

v) Subprojects having project sites in more than one province.

vi) If access/rescue roads are needed, the alignment for each of these roads must be

determined to avoid critical habitats and such as national parks, natural reserves,

world heritage, historical/cultural sites, nationally protected landscapes,

biosphere conservation sites.

84. During the eligibility screening, careful selection of the possible subprojects should be

made considering the above-mentioned criteria. Once the subprojects are selected, the

applicable Bank safeguard policies should be determined for each subproject identified.

(b) Technical screening and assessment of potential impacts (Step 2)

85. For activities which are eligible for the Project financing, a technical screening will be

carried out to identify key potential impacts of the subproject. Table 5.1 identifies criteria for

safeguard actions and documents necessary for WB clearance and they can be briefly

summarized below:

Social impacts screening and assessment. The subproject will be screened for the nature

and extent of potential negative impacts on local people related to land acquisition,

resettlement, land donation, relocation of graves, and/or involvement with ethnic minority.

If the impacts exist, RAPs and/or EMDPs will be prepared in line with the Resettlement

Policy Framework (RPF) and/or the Ethnic Minority Policy Framework (EMPF) which

has been developed for the Project. During the preparation of RAPs and EMDPs,

consultation with affected population, local authorities, local communities, and interested

mass organizations and/or NGOs will be required. Due attention should also be given to

address the issues related to gender, ethnic minority, and other disadvantage groups,

especially when they are likely to be affected by the natural disaster. Relation of graves

will be in line with the WB policy on PCR. Relocation of graves will be carried out based

on the principle of replacement cost and in accordance with local cultural practices, taking

into account cultural preferences which are typical for each ethnic group as set out in the

RAPs and EMDPs. WB approval of the RAPs and EMDPs will be mandatory.


27

Environmental impacts screening and assessment. Key potential negative impacts on local

environment and local community will mainly occur during construction and operation

phases. Scope and extent of the impacts during construction, however would depend on

type and nature of civil works and locations of the subprojects. The subproject will

therefore be screened for the extent of the potential impacts on air/noise/vibration;

land/soil/water; solid wastes; natural habitats/fisheries/aquatic life; livelihoods and local

resident disturbance; and other aspects such as local floods, public safety/UXO risks, off-

site impacts, etc. The level of impacts to be assigned should be as follows: None (N) – no

impact; Low (L) – Small works, minor impacts, localized, reversible, temporary; Medium

(M) – Small works in coastal/sensitive areas, medium scale works with moderate impacts

of which most are reversible, reducible and manageable, localized, temporary; High (H) –

Medium scale works in coastal/sensitive area, large scale works with significant impacts

(socially and/or environmentally) of which some are irreversible and require

compensation. Both M and H impacts need development and implementation of

mitigation measures, monitoring program, and adequate institutional capacity on

safeguard and this will be used as the basis for development of an EIA/EMP for the

subproject. Data collection, field survey, and consultation with local communities and

affected population will be carried out. Technical guidelines for the preparation of an

EMP are provided in Section 5.3 below. If an EIA or EPC for the subproject is required by

the Government’s EIA regulations, appropriate actions and documents will be prepared

accordingly.

5.3. Development of Mitigation Measures and Public Consultation (Step 3)

5.3.1 Preparation of an EMP and public consultation

86. Environmental Management Plan (EMP). Appropriate mitigation measures should be

identified according to the nature and extent of the potential negative impacts. Given that

guidelines for preparation of RAP, EMDP, and DSR will be prepared separately; this section

focuses on the preparation of an EMP describing the basic principles and activities to be

carried out to mitigate the potential negative impacts. The EMP will briefly describe the

subproject description; environmental and social background of the subproject area, including

a good map showing locations of the subproject and site specific activities and/or process as

appropriate; the potential impacts and proposed mitigation measures; and the implementation

and monitoring arrangement and budget. Public consultation is to be carried out as part of the

EMP preparation. For each subproject, the EMP will clearly define actions to assess and

mitigate UXO risks as well as to mitigate potential impacts during site clearance and

construction and to reduce the risks during operation. At a minimum the EMP will include the

standard ECOP and actions identified in Section 4.2, including environmental monitoring

program. Annex 3 provides a sample content of the EMP as well as technical guidelines for

EMP preparation, consultation and information disclosure, preparation of DMDP, and a quick

assessment of potential impacts on coastal erosion.

87. To ensure effective implementation of the EMP, the following actions will be carried

out during the implementation of the Project:

(a) During feasibility study and conceptual design


28

To mitigate the potential risks during operation that are related to: (a) failure of dams,

dykes, and/or rescue roads and potential land/water use conflicts during sluice

operation and local floods and (b) possible impacts on coastal erosion in nearby area

as identified in Section 4.2, the following principles will be considered and applied

during the preparation of the EMP:

– For the subproject involving dam rehabilitation and/or upgrading, the DSF will be

strictly followed. For large and high hazard dams (see definition in DSF),

submission of a Dam Safety Report (DSR) to the WB will be required. A capacity

building building program on large and high hazard dam should be described in

the DSR. Scope of the DSR is provided in DSF. The safeguard screening excludes

the financing of a new dam.

– For the subproject involving dyke safety and operation of sluices, the potential

impacts due to dyke safety and operation of sluices will be mitigated by providing

training and capacity building following the CBDRM approach and a budget has

been provided as part of the EMP.

– For the subprojects involving river mouth dredging and construction of river

mouth infrastructure that could change flow of the near shore current and/or

sediment transport, a quick study will be made to assess the risks of coastal erosion

in nearby area. Consultation and active participation of local communities will be

the key elements during the development of the mitigation measures. For dredging,

preparation of a Dredge Material Disposal Plan (DMDP) should be considered.

The DMDP will provide information on amount and characteristics of dredge

materials especially those related to organic content and heavy metals as well as

the dredging methods, transportation, and disposal areas such that it will minimize

potential impacts on the nearby land/water uses along the coast.

(b) During detailed design and preparation of bidding and contract documents

To mitigate the impacts during site clearance and construction, the following activities

will be carried out by PPMU:

– Include specific mitigation measures described in the EMP into the detailed design

as appropriate. For dredging, preparation of a DMDP may be necessary. For large

and high hazard dams a dam safety report will be submitted to WB.

– In preparing the bidding and contract documents, include the standard ECOPs

(Annex 2) in the bidding and contract documents and make an effort to ensure that

the contractors are aware of the safeguard obligation and commit to comply. The

ECOP comprises five sections: (I) objective and application, (II) brief description

of policies and regulations, (III) roles and responsibilities of key parties (project

owner and contractor), (IV) general provisions, and (V) construction management.

The general provisions section prescribes the need for preparation of a Contract

Specific Environmental Management Plan (CSEP), the non-compliance reporting

procedures, the liaising with authorities and the public, the community relations,

the mitigation objectives and special considerations, the implementation of

“Chance Find” procedures, and prohibitions while the construction management

section prescribes the general management of construction sites, the management


29

of environmental quality from sources (i.e. control of water pollution, air pollution,

waste generation, traffic and transportation, etc.), and the management of work

camps, quarries/borrow pits, dredging, and monitoring of environmental quality.

The contractor will be required to prepare the CSEP which is to be approved by

the Construction Supervising Consultant (CSC) before starting construction. The

CSEP will also include a monitoring plan for air, noise/vibration, soil

erosion/sedimentation, and water quality during construction. Cost for mitigating

the impacts during construction must be included as part of the Project cost. The

supervision and/or field engineers will be responsible for supervision and

monitoring of safeguard performance of contractor and this responsibility will be

included in the TOR for field engineers.

– Ensure that all safeguard activities and documentation have been completed and

disclosed.

– Secure Government approval of the EIA/EPC for the subprojects as required by

the Government regulations. The subproject EMPs should be submitted to the

relevant authority for review and comment.

– Relocation of graves will be done satisfactorily to the affected households prior to

the commencement of construction in accordance with the related RAPs and

EMDPs.

(c) During Construction stage

PPMU will assign the Construction Supervising Consultant (CSC) and/or field engineer to

be responsible for supervision of safeguard performance of contractor on a daily basis.

CSC and/or field engineers will carry out, but not limited to, the following tasks:

– Before the launch of the construction, confirm that (a) all compensation for land

and facilities are provided and relocation and/or land acquisition/donation has been

completed; (b) the subproject EIA and/or mitigation measures for specific site are

approved by Government; and (c) the above-mentioned environmental plan have

been approved by concerned parties.

– During construction, closely supervise the implementation of safeguard measures

throughout the construction period.

– At the completion of the construction, confirm the compliance with the agreed

environmental plan and inspect any damages incurred by the contractor. If

necessary, prepare an order to compensate/restore the construction sites as

specified in the contracts. Contractor safeguard performance will be included in

the subproject progress report.

The contractor will recruit a group of national consultants (the Environmental Contractor)

to assist in the planning and implementation of safeguard measures to be carried out by

the contractor, including preparation of the Contract Specific Environmental Plan (CSEP)

and communication with local authorities and local communities. In particular, the

Environmental Contractor will carry out but not limited to the following tasks:


30

– Prepare a CSEP in compliance with the ECOP before launch of the construction

given due attention to reduce potential negative impacts on safety of resident and

general public, dust/noise suppression, waste management, and traffic congestion.

Efforts should be made to identify sensitive areas that may be affected by and/or

issues that may arise from the construction activities due to large number of local

population and/or important use of land and water.

– During construction stage, monitor the compliance with the agreed environmental

plan, and maintain close consultation with the community residents, and

information disclosure and timely responsive to any possible complaints from

residents and general public throughout the construction duration.

– At the completion of the construction, confirm the compliance with the agreed

environmental plan and inspect any damages incurred to be paid by the contractor,

including preparation of an order to compensate/restore the construction sites as

specified in the contracts.

– Prepare a periodical report to the contractor and the subproject owners as agreed in

the CSEP.

– Assist the CPMO/ESU/CEMC in conducting periodic monitoring of safeguard

performance of construction contractors.

5.3.2 Preparation of an environmental monitoring program

88. Water quality monitoring: Water quality monitoring is considered an important

mitigation measure for the Component 4 subproject. However, the monitoring plan (locations,

parameters, and frequency) should be strategically considered to ensure cost effectiveness of

the measures. Basic water quality monitoring should be designed to protect water users as

well as to facilitate effective operation of water resources management. Water quality

monitoring during construction is the responsibility of the contractor. The contractor’s

environmental consultant will monitor the water quality (including sampling and analysis) in

construction areas and report to the Provincial Project Management Unit (PPMU). It is

anticipated that the water quality parameters to be monitored by the contractor at a minimum

will include pH, total suspended solids (TSS), dissolved oxygen (DO), and coliform bacteria

while selective analysis of heavy metals should be made as required by DMDP. The PPMU’s

PEMC to review the contractor’s water quality monitoring data, and if necessary, collect

independently its own water quality data. The contractor will be required to take actions to

avoid and/or mitigate impacts on water users during dredging and rehabilitation of bridges

and this requirement has been included in the standard ECOP. It is anticipated that the

subprojects related to dredging and upgrading of fishing boat harbors will require a more

comprehensive monitoring of water quality during construction as well as operation stage.

89. The same monitoring approach can be applied to all monitoring parameters if the

impacts on local residents and/or water users are likely to be significant and/or there are

complaints (such as when/where the works is carried out in urban area or near sensitive spot

and/or might adversely impacts other water user. Monitoring during operation is not

anticipated.


31

5.4. Information Disclosure and WB Safeguard Clearance (Step 4)

90. Before commencement of implementation of a subproject, the subproject EMP will

be submitted to the WB for disclosure in the Bank InfoShop and WB safeguard clearance.

Public disclosure of the EMP in the country and the project areas will also be required.

91. Government’s approval. If the subproject requires Government approval according to

the EIA and/or other regulations, the subproject owner will prepare and submit the report as

required by the Government and secure their approvals and clearances. An English summary

of the EIA as well as the approval conditions will be provided to the Bank for information.

The EIA report and approval condition will also be disclosed to the public.

5.5. Implementation, Supervision, Monitoring, and Reporting (Step 5)

92. Subproject level: During Project implementation, the subproject owner (PPMUs)

responsible for each subproject will be responsible for ensuring effective implementation of

safeguard measures (RAPs, EMDPs, EMPs/ECOP, DSRs, water quality monitoring etc.) in

close consultation with local authorities and local communities. PPMU will assign at least one

full time staff (as the safeguard focal point) to be responsible for forging effective

implementation of RAP, EMDP, EMP/DSR of the subproject. During construction, PPMU

will assign the Construction Supervising Consultant (CSC) and/or field engineer to be

responsibility for monitoring and supervision of contractor performance on a daily basis. The

results will be part of the subproject progress report and the safeguard focal point will be

responsible for ensuring proper documentation of safeguard activities. PPMU will also be

assisted by qualified Provincial Environmental Management Consultants (PEMC) and the

environmental staff in the implementation of the EMP, including training of field engineers

and supervision of contractor environmental performance.

93. Project level: The Central Project Management Office (CPMO) who has been

assigned to take the lead in overseeing and monitoring of the implementation of subproject

will periodically supervise and monitor the safeguard implementation performance and

include the progress/results in the Project progress report. CPMO will set up an

Environmental and Social Unit (ESU) responsible for forging effective and timely

implementation of safeguard activities and assign one senior staff and at least one full time

safeguard staff to be responsible for managing and monitoring of the environmental and social

impacts of the subproject throughout the Project period. Main responsibility of the ESU will

include, but not limited to, (a) forging compliance, including supervision and monitoring, of

all environment and social aspects; (b) representing the subproject owner for all matters

related to the project safeguards; and (c) be responsible for overall coordination of the

subproject EMP implementation. Information regarding the safeguard measures and

performance should be periodically disclosed to the public. A Cental Environmental

Management Consultant (CEMC) will be hired to assist ESU in performing it tasks.

94. The WB will conduct regular safeguard supervision, monitoring, and post review both

at the subproject and Project levels.


32

Figure 5.1 – Schematic Flowchart for Safeguard Actions for Components 3 and 4 Subprojects

CPMO conduct initial screening to determine the environmental category

of subprojects (Step 1)

Involve civil works that could

generate potential negative impacts

under Component 4: PPMU

prepare EIA/EPC as required by

GoV regulations. If the subproject

involves dam, DSF will be

followed (Step 3)

Pass: CPMO identifies potential negative impacts (environment

and social), mitigation measures and/or next actions–using the

checklist forms, discuss the results with local government and/or

communities –Apply criteria described in Table 5.1 (Step 2)

CPMO monitor/report safeguard implementation/performance in the project

progress report; WB will periodically review and monitor the results/reports

(Step 5)

PPMUs prepare EMPs in line with

ESMF, including ECOP, dam

safety report (DSR) and/or water

quality monitoring as needed; the

EMPs will be submitted for WB

clearance. Public consultation will

be part of the EMP preparation. If

UXO risk exists, the EMP will also

include measures to mitigate the

risk.

(Step 4)

Small civil works

under Component

3 with small

impacts and no

EIA/EPC is

required (Step 3)

Fail:

The Project will

not fund the

proposed

activities

Involve

ethnic

peoples:

PPMU

prepare

EMDP (Step

3)

Involve land

acquisition,

relocation, and/or

compensation:

PPMU prepare RAP

(Step 3)

PPMUs use the

ECOP for small

civil work in the

ESMF and include

them in the bidding

and contract

documents (Step 4)

PPMUs prepare

RAP in line with

RPF, including

consultation with

affected population.

Compensation must

be paid before the

civil works could

begin (Step 4)

PPMUs

prepare an

EMDP in

line with the

EMPF

(Step 4)

PPMUs, assisted by Construction Supervising Consultant (CSC) and/or field engineer monitor and

supervise contractor performance and report the results periodically to CPMO; Information disclosure

should be conducted periodically (Step 5)

Table 5.1: Technical Guideline for Safeguard Screening and Actions for Component 4

Subprojects

Potential negative

impacts Required mitigation actions

(If Yes) Requir

ed

docum

ent

Remarks

(1) Permanent or

temporary loss of land or

resources for any

families,

Identify the amount and nature of land

required, owner, and/or other issues and

prepare a RAP to provide compensation

and/or assistance following the RPF.

RAP Prior consultation

with WB, proper

documentation, and

Post review by WB

may be necessary.

(2) Likely to involve

ethnic minorities and/or

adversely affect ethnic

groups

Carry out social assessment process through

free, prior, and informed consultations and

prepare an EMDP in accordance with

guidance in the EMPF. The project will

support increasing awareness of affected

population, in respective languages of ethnic

minority groups, about the Grievance

Redress mechanisms, and building capacity

of those involved in the existing Grievance

Redress mechanism on the required tasks,

including dealing with or mediating

complaints from individual and/or ethnic

groups, recording and reporting, and

monitoring proposed resolutions.

EMDP Prior consultation

with WB, proper

documentation, and

Post review by WB

may be necessary.

(3) Likely to have

artifacts or remains

found during excavation

works, and physical

relocation of graves.

Physical relocation of graves is likely. If this

is the case follows the procedure described in

the RPF;

A standard “Chance Find” Procedure

included in the ECOP will be incorporated in

the subproject EMP.

RAP

EMP

Preparation of

procedures to

address when local

grave is encountered

has been included in

the RPF.

Contractor will

apply the chance

finds procedure (4) Likely to involve

UXO risk? If identified at the feasibility stage, include

the clause in the EMP. The procedures would

include: contact responsible agencies and

complete the clearance before conducting

construction activities. The subproject will

be required to provide a UXO clearance

certificate before undertaking site clearance

and/or construction.

EMP PPMU will be

responsible for

contacting the

concerned agencies

and obtain clearance

to secure safety of

the project area

(5) Involve civil works

which can generate air,

noise, and/or water

pollution, soil erosion,

public health risks,

and/or impacts on

downstream and/or

nearby water uses during

site clearance and

construction.

Include the standard ECOP into bidding and

contract documents and ensure that

Construction Supervising Consultant (CSC)

and/or field engineer closely monitor

performance of contractor.

EMP PPMU will ensure

that the ECOP is

included in the

contract and the

CSC responsibility

to supervise the

contractors is

included in the

TOR.

Environmental and Social Management Framework (ESMF) Viet Nam Natural Hazards Management Project (Vn-Haz/WB5)

34

(6) Involve dredging

and/or possible

contamination of soil

and water quality from

the disposal of dredged

materials during

construction

Prepare a Dredge Materials Disposal Plan

(DMDP) during the preparation of the

EIA/EMP and/or detailed design.

Compliance with the DMDP has been

included in the standard ECOP.

EMP Technical guidelines

are provided in

Annex 3

(7) Involve risk related

to safety of dams

Apply DSF and include the mitigation

measures as part of the EMP: For a large and

high hazard dams prepare a dam safety report

(DSR) as described in the DSF.

Identify local community with high risk and

provide capacity building as part of the

Component 3 implementation.

EMP

/DSF PPMU/CPMO will

ensure that this is

the case

(8) Likely to cause

land/water use conflicts

due to dyke safety and/or

sluice operation

Identify areas/local community with high

risks and provide capacity building as part of

the Component 3 implementation.

EMP PPMU/CPMO will

ensure that this is

the case

(9) Likely to create

coastal erosion nearby

during operation.

Conduct a review for potential erosion in

nearby area and identify areas/local

community with high risks and provide

capacity building as part of the Component 3

implementation.

EMP PPMU/CPMOwill

ensure that this is

the case

Section VI. Mitigation Measures for Other Project Activities

95. As mentioned in Section IV that the potential negative impacts of these activities will

be limited to small civil works and the potential impacts can be mitigated through the

participatory planning process and/or the application of good construction practices. In this

context, a simple ECOP comprising Prohibitions; “Chance Find” procedures, and Good

Environmental and Housekeeping practices has also been developed (Annex 4) and it will be

applied to all the bidding and/or contract documents of all the activities to be implemented

under the Project, excluding those related to the subproject. Efforts will be made to integrate

the knowledge on environment and social safeguard into the planning process and capacity

building to be implemented under Components 1, 2, 3 as appropriate.

96. The agencies responsible for implementation of the activities (i.e. PPMUs of DARD

for Component1 and 3 and the Project Management Unit (PMU) of MONRE for Component

2) will (a) ensure that the simple ECOP is included in the bidding and contract documents

and it is effectively implemented by contractor, (b) integrate safeguard knowledge and

consideration into the planning and capacity building process, and (c) report the safeguard

performance in the component progress report.


35

Section VII. Implementation Arrangement and Budget

7.1. Roles and Responsibilities

97. The implementation arrangement will follow the Project implementation arrangement.

Specifically for Component 4 subprojects, CPMO/CEMC, PPMUs/CSC, the Department of

Natural Resources and Environmental at provincial level (DoNRE), and the provincial

Peoples’ Committee (PPCs), and representative from mass organization and/or local

community are the key parties responsible for implementation of safeguard measures

including the ESMF and EMPs (see Table 7.1). The Contractors are responsible for

implementing mitigation measures and the mitigation costs will be part of the contract. The

CSC is responsible for assisting PPMU in supervision and monitoring the day-to-day

implementation of mitigation measures undertaken by the contractor while the CEMC is

responsible for assisting CPMO through it ESU in managing the safeguard implementation

including monitoring of EMP performance and environmental quality. For other activities the

agencies responsible for Components 1, 2, 3 will be responsible for implementation of the

safeguard measures described in Section VI.

Table 7.1: Institutional responsibilities for the Project and Subproject

Community/agencies Responsibilities

CPMO

- Periodically monitor performance of the subproject and include the

safeguard performance in the project progress report and be the overall

contact point with the World Bank.

- A Central Environmental Management Consultant (CEMC) at the central

level will be hired to assist ESU in performing it tasks

PPMU

- As the subproject owner, PPMU is responsible for implementation of the all

the EMP activities to be carried out under the Project, including fostering

effective coordination and cooperation between contractor, local authorities,

and local communities during construction phase. PPMU will be assisted by

a team of qualified consultants (CSC and PEMC), the environmental staff,

and/or field engineer.

Environmental staff

and Provincial

Environmental

Management

Consultant (PEMC)

- Assist PPMU in the implementation of the EMP, including training of field

engineers and supervision of contractor monitoring and water quality

monitoring.

CSC and/or Field

engineer

- Assist PPMU in the routine supervision of contractor performance in line

with the ECOP, including reporting and maintain close coordination with

local community.

Contractor

- Take actions to mitigate all potential negative impacts in line with the

objective described in the ECOP - Actively communicate with local residents and take actions to prevent

disturbance during construction. - Ensure that at least a staff is assigned to monitor EMP compliance during

the preconstruction and construction periods.

- Ensure all the construction activities having sufficient documents from the


36

related organization.

- Ensure that all staff and workers understand the procedure and their tasks in

the environmental management program. - Report to the PPMU on any difficulties and their solutions

- Report to local authority and PPMU if environmental accidents occur and

coordinate with agencies and keys stakeholders to resolve these issues

Local community

Community: According to Vietnamese practice, the community has the right

and responsibility to routinely monitor environmental performance during

construction to ensure that their rights and safety are adequately protected

and that the mitigation measures are effectively implemented by contractors

and the PPMU. In case of unexpected problems, they will report to

CSC/PPMU.

Women Union and

other mass

organizations

- These organizations could play a role as a bridge between the PPC/DPC,

communities, contractors, and PPMU by assisting in community

monitoring, - Mobilizing communities participation in the subproject, providing training

to communities, and

- Participating in solving environmental problems if any.

Province and District People’s

Committees

(PPCs/DPCs)

- Oversee the implementation of the subproject under the recommendations of

the DONRE and the PPMU to ensure compliance of Government policy and

regulations

Provincial DONREs

- DONRE represents the MONRE for environmental management. It is

responsible for monitoring the compliance with the Government

environmental requirements.

7.2. Reporting Arrangement

98. The safeguard performance will be included in the subproject and Project progress

reports. PPMU with assistance from the CSC and PEMC will include safeguard

performance at subproject level to CPMO periodically. At the project level, CPMO assisted

by CEMC will prepare safeguard performance report twice per year for submission to the

World Bank describing the Project progress and compliance with the ESMF and other

safeguard requirements.

7.3. Safeguard Training and Capacity Building

99. Although most of the Project provinces have been involved in the implementation of

WB safeguard under the on-going WB funded projects, knowledge and expereince on WB

safeguard requirements as well as of environment and and social issues remain limited.

Given that most of the key mitgation measures are good engineering practices, the

safeguard training should focus on increasing knowledge on (a) safeguard policy and

procedures to implement the safeguard instruments (RAP/RPF, EMDP/EMPF, EMP/ESMF,

DSR/DSF) designed for the Project and subproject (b) specific training on supervision and

monitoring of contractor perforamnce, including forms and reporting process, and (c)

general knowledge on good construction practices for reducing potential impacts on local

environment and safety aspects.


37

100. Given the number of the subprojects and its nature/locations, it is anticipated that at

least 4 safeguard training courses should be provided during the first 3 years of the project

implementation. The training should first focus on the knowledge, policies, and procedures

related to land acquisition and resettlement and involvement of ethnic minority and/or other

social aspect so that RAP implementation could be completed before construction start. All

key staff responsible for the activities should particapate in the training. The supervision of

contractor training should be conducted at least 1 month before the construction. The key

participants should include PPMU staff and its consultants (CSC), and representatives from

local agencies, local communities, and/or mass organizations, responsible for supervison of

contractor.

7.4. Budget Allocation

101. To support effective implementation of safeguard, the Project budget has been

allocated as follows:

Feasibility Studies and Safeguard Documents for the second and follow-on year

subprojects. About 1.5 percent of the estimated civil works cost is appropriated to support

the preparation of the detailed feasibility studies (including economic analysis) and

safeguard document preparation (RAP, EMP/DSR, and EMDP) for the follow-on

Component 4 subprojects. The PPMUs will carry out the feasibility studies and safeguard

documents preparation with the assistance of national consulting firms/institutions

financed by the counterpart, whereas the CPMO will review and carry out quality control

with the assistance of international experts funded by the Bank.

Detailed Design and Construction Supervision. The Government has appropriated

approximately US$2.00 million to finance the preparation of the detailed design for the

follow-on Component 4 subprojects and to carry out technical supervision for the civil works

which will also be responsible for monitoring of safeguard. The funds would support the

recruitment of national consulting firms which will assist the PPMUs in carry out the tasks.

Environment Management Plan and Monitoring. About US$250,000 will support the

environmental management plan and monitoring for the potential impacts possibly

resulting from the proposed investment under the project, including training and capacity

building for the affected local communities following the CBDRM. The detailed scope

and frequency of the monitoring is described in the EMP prepared for each subprojects.

The monitoring would be carried out by a team of national consultant to be recruited by

CPMO. A report would be prepared by the CPMO with the assistance of national

consultants financed by the Bank for each subproject every year.

Social Safeguard Monitoring. US$250,000 will support the monitoring the

implementation of the social safeguards, namely RAP and EMDP. The monitoring would

be carried out by a team of independent experts recruited by the CPMO. The monitoring

report would be prepared for each subproject every year.

Land Appropriation. About 15 percent of the total estimated cost of civil works under

Component 4 has been appropriated to be used for the appropriation of the land necessary

to implement the civil works for the subprojects. The cost for the land appropriation

would be exclusively financed by the Government, and this amount would be adjusted

when the RAP is prepared for each subproject.


38

Annex 1: Location of River Basins and List of Potential Subprojects

Figure A1.1. River basins and provinces related to WB5 Project


39

Table A1.1: List of the first year subprojects (5 provinces, 5 basins)

No. Sub-Projects River basins

Total

(Bill.

VND)

IDA

fund

(Bill.

VND)

Type of

works

River

basins

I. Thanh Hoa

1 Maintain, upgrade and treat the

key parts of the left dyke of

Cau Chay river (section from

K0-K42), Yen Dinh district

Ma river

263 240 Dyke/road Ma

River

II. Nghe An

2 Bridge combining with

overflow connecting Rescue

roads, Nghi Loc and Vinh city Ca river

53 45 Dyke/road Ca River

3 Upgrade dyke site of Luong

Yen Khai Ca river

29 27 Dyke/road Ca River

III. Ha Tinh

4

Upgrade dyke site Phuc Long

Nhuong, Cam Xuyen district Ha Vang-Rac river

191 180 Dyke/road Ha

Vang-

Rac

River

VII. Quang Nam

5 Repair, upgrade Thạch Ban

reservoir, Duy Xuyen district Thu Bon river

92 86 Dam Thu Bon

River

X. Binh Dinh

6 Upgrade anti-erosion

embankment of Kone river

for safety, An Nhon and Tuy

Phuoc districts

Kone river

53 47 Dyke/road Kone

River

Sub-Projects River basins 681 625

Table A1.2: List of potential subprojects for the follow-on years by provinces

No.

Name of subproject Investment Items Total

(Bil.

VND)

IDA

fund

(Bil.V

ND)

Type of

works River

basins

Total 9 provinces 1,487 1,294

I. Thanh Hoa 0 0

II. Nghe An 268 235

1 Repair, Upgrade, ensure

safety for reservoirs Ban

Muong, Cho Quan, Xop

Thap, Khe Lau, Khe Lang,

Lach Buoi

Earthen dam; overflow;

intake gate and

management house 70 62

Dam Ca

River

2 Rescued road of Hung

Nguyen district (including

Hung Lam, Hung Nhan,

Line, widen, stabilize the

road surface 23.5 Km 20 17

Dyke/road Ca

River


40

Hng Xuan, Hung Chau)

3 Embankment protecting Ca

River, acrossing Dinh Son,

district Anh Son. 2 km embankment

50 45

Dyke/road Ca

River

4 Embankment protecting Ca

River, acrossing Linh Son,

district Anh Son. 2 km embankment

40 36

Dyke/road Ca

River

5 Rescued road of Do

Luong district (including

Thai Son, Minh Son

communes)


road surface 12 km 10 8

Dyke/road Ca

River

6 Upgrade dyke Vach Bac,

district Yen Thanh 9km dike

64 55 Dyke/road Ca

River 7 Rescued road connecting

national road 46 to Thanh

Luong - Nam Hung.


road surface 11.5 km 14 12

Dyke/road Ca

River

III. Ha Tinh 88 60

8

Dredging, treating jet to

Cua Sot shelter, Loc Ha

district

Dredge a jet with 4 km

length; build 300 m

embankment, treat flow; 2

km rescued roads, 1.5 km

embankment protecting

harbors and flood shelters 88 60

Coastal

structure Ca

River

IV. Quang Binh 150 128

9 Fishing boat harbor in Nhat

Le river basin Boats anchoring

structures; anti-wave dike 150 128 Coastal

structure Gianh

River V. Quang Tri 122 111

10 Upgrade Trieu Thuong

reservoirs 1 and 2

Upgrade main damp, flood

overflow, intake gate

under damp 38 34

Dam Thach

Han

River 11 Repair and upgrade

Hydraulic Structures:

Viet Yen – Vinh Phuoc

Upgrade sluice and sluice

gate 15 14

Dam Thach

Han

River 12

Upgrade Phuoc Mon

reservoir, Hai Le commune

Upgrade main dam, flood

overflow, sluice under

dam 14 13

Dam Thach

Han

River 13 Emergency anti- erosion

embankment for Nai Cuu –

Trieu Dong commune –

Trieu Phong district

Build 1.02 km river

embankment 16 14

Dyke/road Thach

Han

River

14 Embankment for Trieu Do

commune – Trieu Phong

district

Build 2.24 km river

embankment 24 22

Dyke/road Thach

Han

River 15 Emergency anti-erosion

embankment for Trieu Tai

commune – Trieu Phong

district

Build 1km river

embankment 15 14

Dyke/road Thach

Han

River

VI. Da Nang 245 221

16 Upgrade ensure safety for

Hoa Trung reservoir

(i) Widen main overflow

(ii) Reinforce main dam

(iii) Equipments and 85 77

Dam Vu Gia-

Thu

Bon


41

management house

(iv) Upgrade rescued road

and overflood bridge 17

Upgrade, widen flood drain

for An Trach weir

(i) Replace 12 old valvet

gates by 12 flat valvet

gates operating by

electricity

(ii) Widen 2 more drain

section

(iii) Reinforce, upgrade

absorption yard

(iv) Equip controlling

system

(v) Repair Ha Thanh dam 60 54

Dam Vu Gia-

Thu

Bon

18

Upgrade ensure safety for

4 reservoirs: Truoc Dong,

Truong Loan, Hoc Khe, Ho

Cau

(i) Upgrade main dam

(ii) Upgrade & widen

main overflow

(iii) Widen auxiliary

overflow

(iv) Repair intake gate

(v) Reinforce rescued &

management roads 80 72

Dam Vu Gia-

Thu

Bon

19

Upgrade ensure safety for

2 small reservoirs: Dong

Treo and Ho Thung


(ii) Widen, reinforce main

overflow

(iii) Repair auxiliary

overflow

(iv) Repair intake gate 20 18

Dam Vu Gia-

Thu

Bon

VII. Quang Nam 178 161

20 Repair, upgrade Khe Tan

reservoir, Dai Loc district

Main dam, overflow,


house and road 66 58

Dam Vu Gia

River

21 Build anti-erosion

embankment for Thu Bon

river, Phu Da area, Duy

Xuyen district

Embankment’s body and

foot made of concrete

slabs, length 1.5 km 33 31

Dyke/road Thu

Bon

River

22 Repair, upgrade Chan Son


Main dam, overflow,


house and road, electricity

system 21 20

Dam Vu Gia

River

23 Build river embankment

for Tan Binh village, Dien

Trung commune, Dien Ban

district

Embankment’s body and

foot made of concrete

slabs, length 1.5 km 33 31

Dyke/road Thu

Bon

River

24 Build anti-landslide

embankment for Bau Sau

river, in the down-stream

of Bau Nit weir, Dien Ban

district

Embankment’s body made

of precast concrete, its foot

made of Ferro-concrete

M200, length 1 km 25 21

Dyke/road Thu

Bon

River

VIII. Quang Ngai 190 171

25 Duc Loi dam Headwork dam

50 45 Dam Ve

River


42

26

Fishing boat harbor and

My A sea gates (phase 2)

Lengthen 180 m South

dike Nam, 160 m North

dike Bac to the level of

+6.0 m; Lengthen anti-

sand dike, flood

prevention for more than

120 m, crest level of +3.2

m. Dredge and widen jet

to 60 m. Logistic fishing

structure, shelters for

fishermen and technical

structures 140 126

Coastal

structure Ve

River

IX. Binh Dinh 90 81

27

Upgrade, repair overflow

bridges of rescued road

Dong Tuy Phuoc – An

Nhon – Phu Cat

Upgrade 8 overflow

bridges of road DT640:

Bridge # 15 in Huynh Mai;

Km14+310; Km14+760;

Km15+820; Km16+620;

Km17+080; Km17+865;

and Bau Sao overflow

bridge on road DT636A 90 81

Dyke/road Kone

River

X. Ninh Thuan 156 126

28

Upgrade dyke at the north

of Dinh river

Upgrade the whole dike

site to protect Phan Rang –

Thap Cham city

combining with traffic,

length of 11.1 Km 156 126

Dyke/road Dinh

River

Table A1.3: Classification of subprojects under Component 4 by type of works

[(1) Upgrading river dikes and revetments; (2) Upgrading rescue roads/bridge; (3) Upgrading

dams and reservoirs; and (4) Dredging of river mouth and upgrading of habors for fishing boats]

Type of works No. of

Subprojects Main activities

(1) Upgrading

river dikes and

revetments,

including roads

and bridges

14

Upgrading: Raising and widening cross-section, reinforcing dike

surface (combined with traffic way function), construction of wave-

prevention walls on the dike surface, dike slope embankments;

construction of under dyke sluices; construction of premises for the

dike management and flood and storm prevention and control unit on

the dike, construction of rescue roads, construction of pumping stations

to the river; Revetment: Reinforcing river banks mainly with slope revetments

(ashlars or rock gabions aranged in reinforced concrete frames (pile

up or excavate earth to form slope design before reinforcing));

construction of reinforced concrete wave-prevention walls on the

revetment surface; construction of management and operation roads

combined with transport ways on top of the revetments; construction of

drainages to the river. (2) Upgrading

rescue

roads/bridge 5

Raising and widening cross-section, stabilize surface to facilitate

rescue activities; construction of sluices accross the roads, construction

of traffic bridges combined with overflow dam;


43

(3) Upgrading

dams and

reservoirs,

including

upgrading and

widening flood

drain for An

Trach weir

12

raising and widening cross-section, reinforcing dam surface (combined

with traffic road function and reservoir management and operation

function); Construction of wave-prevention walls on the dam surface;

reinforcing upstream slope, plantting grass on downstream slope;

supplement or repairing drainage structures, new construction or

reparing/upgrading flood drain; new construction or

reparing/upgrading sluices; construction of head management house;

new construction of management and operation roads, reparing and

upgrading irrigation canals; Replacing 12 old valvet gates by 12 flat valvet gates operating by

electricity to gain control in operation of flood drain, Widening 2

more drain section two sides of the weir to increase flood drain

capacity (due to climate change, flood flow has increased);

Reinforcing absorption yard and basin, Reparing the weir, Equiping

automatic control system. (4) Coastal

structure (river

mouth

dredging, safe

habors for

fishing boats)

3

Dredging passages to ensure safe water-line for ships to enter ports to

avoid storms; construction of flow control embankments;

construction of rescue roads, construction of dyke protection port and

surrounding; construction of technical infrastructure for anchorages;

construction of mooring posts;

Total 34

Table A1.4: Number of subprojects under Component 4 by provinces

Province

I.

Thanh

Hoa

II.

Nghe

An

III.

Ha

Tinh

IV.

Quang

Binh

V.

Quang

Tri

VI.

Da

Nang

VII.

Quang

Nam

VIII.

Quang

Ngai

IX.

Binh

Dinh

X.

Ninh

Thuan Total

No. of

subprojects

under

Component 4

1 9 2 1 6 4 6 2 2 1 34

Table A1.5: Number of subprojects proposed under component 4 by river basins (9)

River basins Ma Ca

Ha

Vang-

Rac

Gianh

River Thach

Han

Vu

Gia-

Thu

Bon

Vu

Gia-

Thu

Bon

Tra

Khuc-

Tra

Bong

Kone

River

Dinh

River Total

No. of

subprojects

under

Component 4

1 9 2 1 6 4 6 2 2 1 34


44

Table A1.6: List of Dams Proposed Under the Project

Subproj

ect

Name of

Dam

Province /

District

River-

basin

Built

Year

Widt

h

(m)

Lengt

h

(m)

Heigh

t

(m)

Volum

e

(millio

n m3)

Population

Downstrea

m

Purposes of Dams

Remark

Sub 1 Thạch Ban

Reservoir

Quang Nam

/ Duy

Xuyen

Thach

Han

1984 6 776 20 9.84 13615 Agriculture / Flood

Cntrl / Drought Mgt

Phase 1

Sub 2 Bản Muỗng,

Reservoir

Nghệ

An/Quy

Hop

Cả 1971 5 120 23 3.14 5344 Agriculture / Flood

Cntrl

Phase 2

Chọ Quan

Reservoir

Nghệ

An/Anh Son

Cả 1990 5 205 13.2 3.1 967 Agriculture / Flood

Cntrl

Phase 2

Xốp Thập

Reservoir

Nghệ

An/Ky Son

Cả 2000 5 50 7 0.16 1531 Agriculture / Flood

Cntrl , /supply water

for 350 households

Phase 2

Khe Lau Nghê

Cả 1978 6 308.32 13.49 2.133 5,010

Agriculture / Flood

Cntrl , /supply water

for 140 ha crops

Phase 2

Khe Lang Nghê An/Nghi Lô c

Cả 1967 4.5 130 13.7 2.7 7,780 Agriculture / Flood

Cntrl

Phase 2

Lach Buoi Nghê An/Nghi Lô c

Cả 1964 4.5 130 18.2 3.6 10,919 Agriculture / Flood

Cntrl

Phase 2

Sub 3 Triệu

Thượng 1

Reservoir

Quảng

Trị/Trieu

Phong

Thach

Hãn

1979 5 666.4 11.5 3.6

5000

Agriculture / Flood

Cntrl

Phase 2


45

Triệu

Thượng 2

Reservoir

Quảng

Trị//Trieu

Phong

Thach

Hãn

1989 5 547 10.7 3.5 Agriculture / Flood

Cntrl

Phase 2

Sub 4 Phước Môn

Reservoir

Quảng Trị Thach

Hãn

1980 5 282 8.4 0.85 1435 Agriculture / fishing

/Flood Cntrl

Phase 2

Sub 5 Khe Tan

Reservoir

Quang Nam

/ Dai Loc

Vu Gia-

Thu Bon

1985 6 1700 22.40 108.5 25000 Agriculture / Flood

Cntrl / Drought Mgt

Phase 2

Sub 6 Chan Son

Reservoir

Quang Nam

/ Dai Loc

Vu Gia-

Thu Bon


Cntrl / Drought Mgt

Phase 2

Sub 7 Hòa Trung

Reservoir

Da Nang/

Hoa Vang

Vu Gia

– Thu

Bồn


Control

Phase 2

Sub 8 Trước Đông

Reservoir

Da Nang/

Hoa Vang

Vu Gia

– Thu

Bồn


Control

Phase 2

Trường Loan

Reservoir

Da Nang/

Hoa Vang

Vu Gia

– Thu

Bồn


Control

Phase 2

Hốc Khế

Reservoir

Da Nang/

Hoa Vang

Vu Gia

– Thu

Bồn


Control

Phase 2

Hố Cau

Reservoir

Da Nang/

Hoa Vang

Vu Gia

– Thu

Bồn


Control

Phase 2

Sub 9 Đồng Tréo

Reservoir

Da Nang/

Hoa Vang

Vu Gia

– Thu

Bồn

1985 4 410 7 0.8

7000 Agriculture / Flood

Control

Phase 2

Hồ Thung

Reservoir

Da Nang/

Hoa Vang

Vu Gia

– Thu

Bồn


Control

Phase 2


46

Table A1.7: List of the activities to be implemented under Component 3

No Component / Sub-component / Activity

Sub C 3.1 Capacity strengthening for CBDRM at commune level

A Commune Resilient Planning

1 Commune risk assessment preparation

2 Commune annual flood and storm control plan (CAFSCP) Improvement

3 Integration of safety plan into Socio Economic Dev. Plan

4 Commune Resilient Planning

B Commune Institution Strengthening

1 Facilitation skill

2 CBDRM, risk assessment and safety plan

3 Exchange visits

4 M&E training

5 Network of CFSC

6 CPC/CF follow-up training

Sub C 3.2 CBDRM Investments

C CBDRM Non-structural Investment

1 Public evacuation drills

2 IEC material development

3 Public awareness

4 School education and evacuation drills

5 Loud speaker system

6 Safe house design training

7 Mass organization training (first aid, evacuation support, others)

8 Equipment for emergency response

D CBDRM structural measure investment

1

Small scale structures (Multi-purpose shelter, feeder road, pumps, drainage

dredging, ,…)


47

Annex 2: Standard Environmental Code of Practices (ECOP) for the Subprojects

Table of content

I. Introduction

II. Relevant World Bank’s Safeguard Policies and Government’s Regulations

III. Responsibilities

IV. General Provisions

4.1 Contract Specific Environmental Plan (CSEP)

4.2 Non-compliance and Incident Reporting Procedure

4.3 Coordination with Government Authorities and the Public

4.4 Community Relations

4.5 Mitigation Objective

4.6 Implementation of “Chance Find” Procedures

4.7. Prohibitions

V. Management of Construction

5.1 Management of Construction Sites and Activities

5.2 Management of Environmental Quality

5.3 Management of Work Camp

5.4 Management of Stockpiles, Quarries, and Borrow pits.

5.5 Management of Dredging

5.6 Monitoring of Potential Impacts


48

I. Introduction

1. Objective. This Environmental Code of Practices (ECOP) was prepared to guide the

planning and implementation of the mitigation measures to be carried out by Contractor during

construction. It sets out standard practices and procedures for managing the potential negative

impacts on local environment and local communities of all civil works to be carried out under

the Project. The ECOP will be included as a separate annex in all bidding and contract

documents and the field engineers and supervisor will be assigned the responsibility to ensure

compliance and reporting. The Contractor will be made aware of and commit to this obligation

and know that cost for implementation of the measures is part of the construction cost.

2. Scope and application. This ECOP will be applied to all the subprojects to be

implemented under Component 4. For the sake of clarity, “construction” in this document

includes all site preparation, demolition of structures, spoil disposal, materials and waste

removal and all related engineering and construction activities.

II. Relevant World Bank’s Safeguard Policies and Government’s Regulations

3. World Bank’s safeguard policies. This ECOP is prepared to satisfy the WB safeguard

requirements under OP4.01 (EA) which requires planning, implementation, and monitoring of

the mitigation measures during construction.

4. GOV’s regulations. There are a number of GoV regulations, standards, code of

practices, etc. related to environmental and safety that are relevant to construction activities and

environmental quality. In addition to the main laws and regulation outlined in the

Environmental and Social Management Framework, the ones related to environmental quality

and safety are listed below (not exhaustive) and have to be closed observed:

Water environment

- QCVN 01:2009/BYT: National technical regulation on drinking water quality

- QCVN 02:2009/BYT: National technical regulation on domestic water quality

- QCVN 08:2008/BTNMT: National technical regulations on surface water quality

- QCVN 09:2008/BTNMT: National technical regulations on groundwater quality

- QCVN 10:2008/BTNMT: National technical regulations on quality of coastal water

- QCVN 11:2008/BTNMT: National technical regulation on industrial wastewater quality.

- QCVN 14:2008/BTNMT: National technical regulations on quality of domestic

wastewater

- QCVN 24:2008/BTNMT: Industrial wastewater – Discharge standards

- TCVN 5502:2003: Supplied water – Requirements for quality

- TCVN 6773:2000: Water quality – Water quality for irrigational purposes

- TCVN 6774:2000: Water quality – Water quality for aquaculture protection

- TCVN 7222:2002: Water quality – Water quality for concentrated domestic water

Soil environment

- QCVN 03:2008/BTNMT – National technical regulation on the allowable limits of

heavy metals in the soils;

Air environment

- QCVN 05:2008: Air quality – Standards for ambient air quality


49

- QCVN 06:2008: Air quality – Maximum allowable concentration of hazardous

substances in the ambient air.

- QCVN 07:2008: Air quality – Threat hold of hazardous substances in the air.

- TCVN 6438:2001: Road vehicles – Maximum permitted emission limits of exhausted

gases

- TCVN 6438:2001 - Road vehicles - Maximum permitted emission limits of exhaust.

- QCVN 07:2009: National technical regulations for classification of hazardous wastes

Vibration and Noise

- QCVN 27:2010/BTNMT – National technical regulation on Vibration (replace TCVN

6962:2001 - Vibration emitted by construction works and factories - Maximum

permitted levels in the environment of public and residential areas;

- QCVN 26:2010/BTNMT – National technical regulation on Noise (replace TCVN

5948:1999 Acoustics - Noise caused by transportation means when speeding -

Allowable level)

- TCVN 5949:1998 Acoustics - Noise in public and residential areas - Allowable level

Labor Health and Safety

- Decision No.3733/2002/QĐ-BYT issued by Ministry of Healthcare dated on 10/10/2002

about the application of 21 Labor health and safety standards that concerned about

microclimate, noise, vibration, Chemicals – Permitted level in the working environment.

Moreover, regarding planning and design of infrastructure, operation and management of

the water supply systems, and water source option to serve domestic water supply systems

the following standards are used:

- Decision No.628/BXD-CSXD of the Ministry of Construction (MOC) dated 14th

December 1996: Vietnamese Construction Regulations and Standards;

- Design standards No. 20TCN-33-85 for water supply projects;

- Instructions for preparation and approval of town construction planning of MOC in

1998;

- Construction standard TCXD No.66:1991 on Operation of water supply and drainage

systems - Safety requirements;

- Construction standard TCXD No. 76:1979 on Procedures for technical management in

operation of water supply systems; and

- Construction standard TCXD No.233:1999 on criteria used for choosing surface water,

groundwater sources to serve domestic water supply system.

III. Responsibilities

5. The subproject owner (PPMUs) and the contractor are the key entities responsible for

implementation of this ECOP. Key responsibilities of the subproject owners and the contractors

are as follows:

(a) Subproject owner

- General: The subproject owner (PPMUs) on behalf of the Central Project Management

Unit (CPMO) is responsible for ensuring that the ECOP is effectively implemented. The

subproject owner will assign a group of qualified staff to be responsible for preparation

and management of environmental and social safeguard of the subproject throughout its


50

life, including supervision of contractors. The subproject owner is responsible for

preparing the safeguard reports and submitting to the CPMO.

- For the contract involving dredging, the subproject owners with assistance of the

consultants will prepare a Dredge Materials Disposal Plan (DMDP) during the

preparation of an EMP or detailed design as appropriate.

- During construction, the subproject owners will assign the Construction Supervision

Consultants (CSCs) and/or field engineer to be responsible for monitoring and

supervision of the compliance of the contractors to fulfill the agreed CSEP (see below).

Responsibilities of the CSCs would include the following: (a) monitoring the

contractors’ compliance with the environmental plan, (b) taking remedial actions in the

event of non-compliance and/or adverse impacts occur, (c) investigating complaints,

evaluating and identifying corrective measures; (d) advising to the Contractor on

environment improvement, awareness, proactive pollution prevention measures; (f)

supervising the Contractor’s activities in responding to the complaints; (g) providing

guidance and on-the-job training to field engineers on various aspects to avoid/mitigate

potential negative impacts to local environment and communities during construction.

(b) Contractors

- Contractors have the responsibility of carrying out contracted works through fulfilling

the agreed CESP (Contract Environmental Specification Plan as defined in General

Provisions below). In doing so, the contactors will establish and maintain contact with

the subproject owner and local residents, and keep them informed of construction

matters likely to affect them. This may include regular and frequent distribution of

newsletters and attendance at meetings at the request of the subproject owner with

representatives of local residents groups.

- Contractors will provide information and reporting telephone “Hot Line”, staffed at all

times during working hours. Contact details should be prominently displayed at the sites.

Information on the construction progress, including the projected activities that might

require closure of traffic or may cause safety risk should be timely provided.

- Contractors have the duty to secure appropriate permits and licenses before undertaking

the works or moving heavy equipment. It is the responsibility of the Contractors to

monitor the development and implementation of new environmental legislation and

regulation and to use the appropriate standards prevailing at the time of awarding

contracts. Contractors must comply with all prevailing legislation at the time of

construction, including any requirements under health and safety.

IV. General Provisions

4.1 Contract Specific Environmental Plan (CSEP)

6. Contractors will be required to prepare a CSEP describing how the Contractor intends to

operate construction at works sites as well as other specific measures necessary to avoid and/or

reduce the potential negative impacts as required in the ECOP, especially those related to

management of the construction site, including borrow pits; transportation of construction

materials, especially dredge materials; control of dust, noise, and vibration; solid and liquid

waste management; and public health. Given different scope and nature of civil works, scope


51

and nature of the CSEP could be differ and all the CSEP will be reviewed and approved by the

PEMC to be assigned by the subproject owner.

4.2 Non-compliance Reporting Procedures

7. Contractors must comply with the CSEP, and must ensure that their Sub-Contractors (if

any) also comply with it. To ensure that necessary action has been undertaken and that steps to

avoid recurrence have been implemented, the CSC/PEMCs and/or Contractors must advise the

subproject owner within 24 hours of any serious incidents of non-compliance with the CSEP

that may have serious consequence. In the event of working practices being deemed dangerous

either by the subproject owners, the local authorities, or the other concerned agencies,

immediate remedial action must be taken by the Contractors. The Contractors must keep records

of any incidents and any ameliorative action taken. The records on non-compliance that could

be practically addressed (not cause serious impacts) should be reported to the subproject owner

on a monthly basis.

8. The Contractor will be responsible for dealing with any reports forwarded by the

subproject owner, Police or other agencies by (following instruction from the subproject owner

representative as appropriate) as soon as practicable, preferably within one hour but always

within 24 hours of receipt by either the Contractor. The CSC/PEMC will monitor and ensure

that the Contractor has taken appropriate action. Where appropriate, approval remedial actions

may require an agreement from the local authorities and/or other GOV agencies. Procedures

should be put in place to ensure, as far as is reasonably practical, that necessary actions can be

undertaken to avoid recurrence and/or serious damage.

4.3 Liaising with Authorities and the Public

9. Prior to the commencement of subproject activities and throughout the construction

duration, the Contractors will work closely with the local authorities and other agencies to

ensure full compliance with GOV regulations and will also provide adequate information on the

Project to the General Public, especially those that may cause public safety, nuisance, and

sensitive areas and the locations of storage and special handling areas.

10. The Contractor will provide information and reporting telephone “Hot Line” staffed at

all times during working hours. Information on this facility shall be prominently displayed on

site hoardings.

4.4 Community Relations

11. Contractors will assign a community-relation personnel, who will be focused on

engaging with the community to provide appropriate information and to be the first line of

response to resolve issues of concern. Contractors will take reasonable steps to engage with

residents of ethnic minority backgrounds and residents with disabilities (or other priority groups

as appropriate), who may be differentially affected by construction impacts.

12. Contractors will ensure that local residents nearby the construction sites will be

informed in advance of works taking place, including the estimated duration. In the case of

work required in response to an emergency, local residents shall be advised as soon as

reasonably practicable that emergency work is taking place. Potentially affected residents will

also be notified of the ‘Hotline’ number, which will operate during working hours. The


52

“Hotline” will be maintained to handle enquiries regarding construction activities from the

general public as well as to act as a first point of contact and information in the case of any

emergency. All calls will be logged, together with the responses given and the callers' concerns

action and a response provided promptly. The helpline will be widely advertised and displayed

on site signboards.

13. The Contractor respond quickly to emergencies, complaints or other contacts made via

the ‘Hotline’ or any other recognized means and liaise closely with the emergency services,

local authority officers and other agencies (based on established contacts) who may be involved

in incidents or emergency situations.

14. The Contractor will manage the work sites, work camps, and workers in a way that is

acceptable to local residents and will not create any social impacts due to workers. Any

construction workers, office staff, Contractor’s employees, or any other person related to the

Project found violating the “prohibitions” activities listed in Section A2 below may be subject

to disciplinary actions that can range from a simple reprimand to termination of his/her

employment depending on the seriousness of the violation.

4.5 Mitigation Objectives and Special Considerations

15. Main objective of this ECOP is to minimize the potential negative impacts during

construction on local environment, local community, and human and environmental safety and

disturbance. The Contractor is expected to implement the activities in line with the following

approach as much as possible in close consultation with the supervision and/or field engineers

who will be assigned by PPMU to supervise the contract. Key approaches include, but not

limited, to:

- Minimize impacts and restore damages;

- Replanting trees in project areas;

- Control erosion and sedimentation during construction;

- Proper control of suspended solids during dredging;

- Use main roads when possible;

- Heavy traffic restrictions;

- Control (collection, disposal) of wastes (solid and liquid);

- Minimize disturbance to local population; Frequent meetings with local people and

provision of timely and adequate information to the project affected peoples (PAPs)

so that their living and production conditions could be managed;

- Engage and provide labour opportunity for local population;

- Application of proper safety and warning measures in the construction sites,

especially in dredging activities;

- Provision of temporary crossings and bridges during construction of bridges;

Application of proper safety and warning measures;

- Conduct public information campaign and outreach program, including training and

capacity building.

4.6 Implementation of “Chance Find” Procedures


53

16. If Contractors discovers archeological sites, historical sites, remains and objects,

including graveyards and/or individual graves during excavation or construction, the

Contractors will carry out the following steps:

- 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 National Culture Administration take over;

- Notify the supervisory Project Environmental Officer and Project Engineer who in

turn will notify the responsible local authorities and the Culture Department of

Province immediately (within 24 hours or less);

- Responsible local authorities and the Culture Department of Province 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 by the archeologists of National Culture Administration. 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

and Culture Department of Province. This could include changes in the layout (such

as when finding an irremovable remain of cultural or archeological importance)

conservation, preservation, restoration and salvage;

- Implementation for the authority decision concerning the management of the finding

shall be communicated in writing by relevant local authorities; and

- Construction work could resume only after permission is given from the responsible

local authorities or Culture Department of Province concerning safeguard of the

heritage.

4.7 Prohibitions

17. The following activities are prohibited on or near the Project sites:

- Cutting of trees for any reason outside the approved construction area; Hunting, fishing,

wildlife capture, or plant collection; Buying of wild animals for food; Having caged wild

animals (especially birds) in camps; Poaching of any description; Explosive and

chemical fishing; Disturbance to anything with architectural or historical value;

- Building of fires; Use of unapproved toxic materials, including lead-based paints,

asbestos, etc.; Use of firearms (except authorized security guards); Use of alcohol by

workers in office hours; Driving in an unsafe manner in local roads;

- Washing cars or machinery in streams or creeks; Maintenance (change of oils and

filters) of cars and equipment outside authorized areas: Creating nuisances and

disturbances in or near communities; Disposing garbage in unauthorized places;

Indiscriminate disposal of rubbish or construction wastes; Littering the site; Spillage of

potential pollutants, such as petroleum products; Collection of firewood; Urinating or

defecating outside the designated facilities; and Burning of wastes and/or cleared

vegetation.

V. Management of Construction


54

5.1 Management of Construction Sites

18. This section outlines the requirements relating to site management practices that should

be implemented during site operation. These relate to working hours, site layout and appearance

and good housekeeping as well as operations of equipment and vehicles. Monthly

inspection/meeting should be conducted to ensure that these procedures are adhered to. The

Contractor must follow a ‘good housekeeping’ policy at all times. The site should be cleared by

the Contractor on completion of the construction.

19. The Contractor is required to minimize, as far as reasonably practicable, any adverse

environmental impact of their construction activities. All appropriate licenses and consents in

respect of site operations will be timely secured. Key measures are as follows:

(i) General requirements on construction sites. A construction site must satisfy the following

requirements

- Site layout. The overall site layout must be designed and approved under regulations to

suit the construction location, the site’s area, natural and climate conditions in the place

of construction, facilitate the construction and ensure safety for human, machines and

equipments at the construction site and the surrounding areas affected by construction

activities.

- Site arrangement. Supplies and materials are placed neatly according to the approved

overall plan design. Supplies, materials and obstacles are not placed on roads,

emergency exits or fire entrances. Flammable and explosive material warehouses are not

arranged near the place of construction and tents. Waste materials are removed and

discharged in prescribed places. Water drainage systems are regularly cleared to ensure

that the construction ground is always dry.

- Signs. At the construction site there are signs according to Article 74 of the

Construction Law. At the main entrance, a plan of the overall ground of the construction

site and working regulations is displayed. Safety measures and rules are publicized at the

construction site for compliance. At dangerous places at the construction site, such as

trenches and foundation pits, there are fences, warning signs and instructions for

accident prevention. At night, signal lights are turned on.

- Good housekeeping: The Contractor will follow a ‘good housekeeping’ policy at all time

for the workers and the surrounding environment. This will include, but not necessarily

be limited to the following: dust and noise control; waste treatment, keeping the site

clean and tidy. To sites located near residential areas, wastes must be covered and

collected and properly disposed off. Construction and waste materials during

transportation must be properly covered to ensure safety and environmental sanitation.

In case the Contractor does not comply with environmental protection regulations, the

project owner and environmental authorized state agencies will have the power to

suspend the construction operations. Persons responsible for adverse environmental

impacts during the construction will be held responsible and compensate for any

damages caused at his fault.

- Power safety: Motive and lighting power grids at the construction site are separate and

installed with general circuit-breakers and sectioned circuit-breakers for cutting off

power in part or the whole of the construction area. Ensure power safety for workers,

construction machines and equipment at the construction site. Electric equipment are

safely insulated during the construction process. Workers are guided on power safety

techniques and ways to give first aid to persons who get electric shock in power

accident.


55

- Fire and explosion safety: the Subproject Management Unit needs to set up a

commanding board for fire and explosion prevention and fighting at the construction

site, which has its own working regulations on its specific duties and powers. Fire and

explosion prevention and fighting plans are appraised and approved under regulations.

The contractor organizes a fire and explosion prevention and fighting brigade which has

its own working regulations on its specific duties and tasks. At the construction site,

local fire fighting equipments are arranged. At fire-prone places, inflammable

signboards and fire fighting and alarm equipment are installed to promptly detect fires

and take remedies.

(ii) Requirements during construction. During construction, the following requirements must be

satisfied:

- Working hours: Core working hours will be from 0800 to 1800 on weekdays and 0800

to 1300 on Saturday. Individual site requirements which differ from the above will be

considered on a site by site basis. Noisy operations shall not take place outside these

hours without prior approval from the subproject owner. All construction related traffic

will abide by the agreed hours of working for each site. Any exemption will require an

agreement with the Subproject owner, subproject, and/or local authorities.

- Before starting construction, an approved design of construction measures is required,

including labor safety solutions for workers and construction machines and equipment

for each job, which has explanations about technical and use instructions.

- During construction, the approved design as well as regulations, standards and technical

processes are complied with. Jobs dependent on the quality of previous jobs are

performed only after the previous jobs have been tested to meet quality requirements

under regulations.

- Construction measures and safety solutions are periodically or extraordinarily examined

for modification according to practical conditions at the construction site.

- Organizations and individuals are fully capable in the jobs they perform under

regulations. Operators of construction machines and equipment and performers of jobs

with strict labor safety requirements are trained in labor safety and possess labor safety

cards under regulations.

- Construction machines and equipment with strict labor safety requirements are inspected

by and registered with competent agencies under regulations for operation at the

construction site. During operation, they comply with safety processes and measures. If

construction equipment is operated outside the construction site, the investor approves

safety measures for construction-affected people, machines, equipment and works inside

and outside the construction site. If due to construction conditions, equipment have to be

placed outside the construction site and while not in operation, if they operate outside

the construction site, such is permitted by authorized agencies under local regulations.

- Workers at the construction site are provided with medical checks-up and safety training

and adequate personal safety equipment under the labor law.

- Unexploded Ordnance (UXO): Although the risk is not present in the entire project area,

in some subproject areas such as in Quang Nam and Quang Tri, the Contractor will be

responsible for ensuring UXO safety of the construction site. The response process

needs to be included in emergency procedures. The emergency procedures will be

prepared and carried out if UXO risk is identified at the construction site.


56

(iii) Clearance and rehabilitation of construction site after completion:

- On completion of the works the Contractor will clear away and remove all materials and

rubbish and temporary works of every kind. The site will be left clean and in a condition

to the satisfaction of the PPMU. Any potentially hazardous defects to the works will be

made good, prior to permanent reinstatement

5.2 Management of Environmental Quality

(a) Water quality

20. The Contractor must take all the efforts to prevent wastes (solid and liquid) discharge

into all rivers and coastal water and to protect surface and groundwater from pollution and other

adverse impacts including changes to water levels, flows and general water quality. Discharge

of engine oil and oily waste from dredgers and construction machines to the rivers will be

strictly prohibited. Engine oil, used oil, and other toxic substances and hazardous wastes must

be properly collected, stored, treated, and/or disposed off. Key measures are as follows:

- Used oil/engine oil: The oil container at the construction site (especially when the site is

located less than 10 meters from the waterways) must be of sufficient strength to ensure

to prevent leakage. The container must be situated within a secondary containment

system (bunded), which will prevent the release of any leaked oil. The Contractor must

make provisions to ensure that all hazardous substances including oil drums or

containers on site are properly labeled and properly stored and that no oil or other

contaminants are allowed to reach water courses or groundwater.

- Wastewater from sites: Whenever possible, the Contractor must minimize the amounts

of wastewater that need to be discharged and find alternative means of disposal. The

Contractor will ensure that any seepage and wastewater arising from the works and

camp sites must be collected and discharged via a settlement tank. The standards for

wastewater treatment prior to discharge must be agreed in advance with the ESA.

Contaminated water or water of an uncertain quality must be discharged into sewers by

tankers or other approved means of disposal.

- Drainage. Water drainage must be designed to avoid stagnant conditions that could

create bad smell and unsanitary condition. The Contractor must agree with the ESA in

advance, details of the methodology to be employed, prior to commencement of the

construction. Particular attention must be given to regular pest control treatment

(particularly rats and flies); removal of sludge and other debris after drainage; reducing

smell nuisance from sludge and algae by measures including deodorizing, hosing down

etc. Safety measures must also be taken to protect both the general public and employees

and to prevent fly-tipping and illegal access during the development works.

- Water quality monitoring: The Contractor must ensure continuous compliance with all

the above conditions under the monitoring of the Subproject Owner and/or field

engineer, including undertaking water quality monitoring at specific sites and are in

compliance with government regulation related to wastewater management and water

quality monitoring.


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(b) Dust, noise, vibration

21. The Contractor must take all the efforts to control dust, noise, and vibration levels from

the site, as far as is reasonably practicable. Excessive noise/vibration generation activities must

be in accordance with GOV standards. For critical areas, the Contractor many be required to

conduct noise measurement in close consultation with the local residents and establish

appropriate measures to control and manage noise level. Measures for reducing dust and other

air pollution, noise, and vibration are provided as follows:

- Inform the residents: Prior to commencement of work at any site, the Contractor will be

required to inform the local authority and residents regarding the construction plan and

potential noise and vibration that may occur from the construction activities, including

measures to reduce noise and vibration.

- Dust control: The Contractor will ensue that no burning of waste materials on site;

adequate water supply is available on site; dry sweeping of large areas is not allowed;

Cover all trucks carrying loose or potentially dusty materials (soil, mud, etc.) to and

from construction site; Water or sprinkle the construction areas periodically, especially

at site located near residential area; avoid overloaded of trucks; routinely clean public

roads and access routes; Ensure vehicles working on site have exhausts positioned such

that the risk of re-suspension of ground dust is minimized (exhausts should preferably

point upwards), where reasonably practicable; Control driving speed on un-surfaced haul

routes and work areas; Ensure bulk cement and other fine powder materials are delivered

in enclosed tankers and stored in silos with suitable emission control systems to prevent

escape of material and overfilling during delivery; Mix large quantities of cement, grouts

and other similar materials in designated areas; Store materials with the potential to

produce dust away from site boundaries where reasonably practicable; Minimize the

amount of excavated material held on site; Sheet, seal or damp down unavoidable

stockpiles of excavated material held on site, where required; Seal or re-vegetate

completed earthworks as soon as reasonably practicable after completion.

- Care must be undertaken during the transportation of dredge spoil to and from the

construction site; the spoil must be covered at all time. Fly-tipping will not be permitted.

Loads must only be deposited at designated sites. The Contractor will be responsible for

all the trucks delivering to, or exiting from, a worksite and will clean up all damage that

may occur to public road and other public facilities. Care should be taken when loading

or unloading vehicles or dismantling scaffolding or moving materials to reduce impact

noise. Loading or unloading bays may have to be housed in suitable acoustic enclosures.

- The installation of sheet piling with a diesel or air driven impact or drop hammer may

not be acceptable on some of the sites. Use of hydraulically operated or vibratory

hammers may be necessary in these circumstances to drive and extract sheet piling,

provided the soil strata are suitable for such equipment. Where practicable, rotary drills

and bursters actuated by hydraulic or electrical power should be used for excavating

hard material. Noisy plant or equipment will be sited as far away as is practicable from

noise sensitive buildings. The use of barriers, (e.g. soil mounds), site huts, acoustic sheds

or partitions to deflect noise away from noise sensitive areas must be employed

wherever practicable.


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- The Contractor will be obliged to comply with the vibration levels established by

agreement with the ESA on a site by site basis given due attention to minimize human

exposure (1 Hz to 80 Hz) and protection of damage to nearby structures.

(d) Solid waste control and treatment

1. Solid wastes from subproject construction activities. The subproject construction activities

will generate a big amount of escaped soil and stones, cement bags and other surplus

materials (oily wastes, miscellaneous woods, etc.). Although solid wastes discharged in this

stage are not toxic or dangerous (except for some oily wastes such as oily cloths after

cleansing machines and equipments, etc.), proper measures for waste collection and

treatment are required to avoid contaminating the environment and affecting local

landscape. The Contractor must make a commitment to collect all escaped soil and stones

and transport to designated areas or reuse them for dyke/road construction. Bags and other

solid wastes will be collected for recycling or burning or taken to temporary dumps in the

area (solid wastes disposed at these temporary dumps must be buried or covered in a

sanitary way). In addition, during subproject construction, uncontrolled discharging of solid

wastes into the environment needs to be minimized to reduce impacts to environmental

landscape, transportation and daily activities of local residents, and the environment (water

quality, soil quality and natural habitats).

2. Domestic solid wastes. During subproject construction, the Contractor must carry out

appropriate measures for waste collection and treatment. The domestic wastes will be

collected in plastic or wooden bins with lids placed in convenient places and in worker

canteens. Periodically, at appropriate time, transport those bins to the dumping lot (the

Contractor will select a proper location for the dumping lot, at least 500 m away from

residential areas, 200 m away from work camps and surface water sources, and not in the

prevalent wind direction of the area) to dispose of the wastes, from which the local Urban

Environmental and Construction Company will be hired to carry out proper removal and

treatment. The Contractor must sign a contract with the Urban Environmental and

Construction Company to collect and treat solid wastes generated during the subproject

construction. In case the wastes cannot be transported to the dumping lot (for example, due

to lack of appropriate transport route), wastes must be buried at temporary dumps in the

project area in a sanitary way – a waste layer covered by a layer of soil, and when the dump

is filled, it is covered by a soil layer about 50 cm thick. Temporary dumps must be located at

least 500 m away from residential areas, 200 m away from work camps and surface water

sources, and not in the prevalent wind direction of the area. Upon completion of works,

cover the entire temporary dumps with soil, ensure land and landscape restoration for the

subproject area.

(d) Traffic and Transportation

22. The Contractor will be required to use designated construction traffic routes as directed

by the local authorities and the Police. The number of truck movements, hours of operation and

any truck holding areas will be agreed in advance with the local authority and the Police. Plans

will be required for each site showing the site entrances/exits and the agreed access roads for

use to the nearest main road, and the routes to be used by truck to and from the strategic road

network.

- The Contractor will maintain an up to date log of all drivers that will include a written

undertaking from them to adhere to the local authority’s approved routes for


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construction traffic. In the case of non-compliance, the Contractor and/or their sub-

contractor(s) would be in breach of contract, necessitating disciplinary action against

individual drivers.

- The Contractor may be required to provide truck stickers uniquely identifying the group

of construction sites included in each contract, details of which shall be submitted to the

local authority for approval. For identification purposes the Contractor will fix these in a

prominent position on all trucks frequently serving the construction site. The

identification will need to be sufficiently large to be easily read from a distance of 20

meters. Trucks waiting to enter or leave the site must switch off their engines to avoid

unnecessary engine noise and emissions. Restrictions on the size and weight of vehicles

accessing each site may be imposed depending on agreed access routes.

- For construction that interference with a carriageway or footway, the Contractor will

inform the local authorities, responsible agencies, and local residents before

commencing the works and proposed measures to minimize the safety risk and

inconvenience to the public. All necessary consents and licenses must be obtained in

advance. The safety of the public must be ensured. In the case of temporary footways,

reasonable access shall be provided for people in accordance with the following

requirements: (a) Any temporary footways and carriageways will be constructed to the

reasonable requirements of the local authorities and should have uniform surfaces as

much as possible; (b) Clear signing must be provided at all times for pedestrian routes

with the minimum number of changes to all temporary layouts in order to reduce

confusion. Advance warning should, if possible, indicate alternative existing wheelchair-

accessible routes; (c) After completion of the works all materials arising from the works

will be cleared from the highway leaving the same in a clean and tidy condition to the

reasonable requirements of the local authorities; and (d) The Contractor will be

responsible for any damage caused by their activities to the roads and public facilities in

the vicinity of the worksite. Any defects caused by the Contractors must be rectified

immediately if dangerous or otherwise within 24 hours.

- Any street furniture (electrical or non electrical) cannot be removed or relocated by the

Contractor or any of its sub-contractors without written agreement from the responsible

agencies.

(d) Excavation Materials and Demolition Materials

3. Earth excavation must be carefully handled to reduce dust and possible obstruction and

causing nuisance and health impacts to local residents. Excavation that affects public roads

(such as pipeline and bridges) must be properly planned in consultation with local authority

and informed to the residents in advance. All dredged spoils as well as excavation materials

will be reused for dike/road construction and/or land filling at or nearby the work site.

Demolition materials must be properly disposed off. The Contractor must consult ESA on

the final selection of disposal sites and methods.

(f) Protection of natural habitats

4. During the construction stage, if mitigation measures of air, noise, water and soil pollution,

the project will create negative impacts on the growth and development of some animal and

plant species in the area, especially aquatic species. Proposed mitigation measure is to

develop a detailed plan and speed up the construction progress. The Contractor must

observe the national and local regulations and policies related to protected areas/species,


60

wildlife sanctuaries. No trees in sensitive areas shall be cut without obtaining prior

agreement with the authorities. Strengthen monitoring the contractor’s compliance with

environmental protection commitments. In addition, organize training courses to improve

environmental protection awareness of the staff and local communities.

5.3 Management of Work Camp

23. The Contractor will consult with local authority regarding the location of the worker

camps and will provide appropriate water supply, garbage collection, toilets, mosquito net, and

other health protection measures to all workers. Fishing, wildlife hunting, and other social

disturbance to local societies are prohibited. Training of workers on safety, good hygiene, and

prohibitions activities is required. Detail measures as follow:

(i) During the preconstruction stage:

Contractor will consult with local authority and subproject management unit regarding

the location of the worker camps

Once work camp location is identified, the Contractor will set up temporary

accommodation for all the workers throughout the construction or maintenance period.

In terms of supply and storage of domestic water at the work camp area, the Contractor

will comply with the following requirements: (a) Provide adequate drinking water

supply for the work camps in appropriate tanks/containers. The Contractor will identify

appropriate public water source for drinking in consultation with the local authority; (b)

in case no appropriate source of water is identified, the Contractor will take water from

other sources which will be tested and treated before supplied to the work camps; (c) All

water supply and storage areas must be away from the wastewater storage area, drainage

system or other sources of contamination according to the regulations. Water from

drains or contaminated water must not be used as domestic water at the site.

At all construction sites, facilities for washing and necessary and appropriate tools must

be provided by the Contractor. Bathrooms must be provided separately for male and

female workers. Such facilities must ensure convenience for use and cleaning.

Waste discharges, wastewater must be properly collected and disposed off.

First aid/Emergency aid kit. The first/emergency aid kit must be available at the work

camp area and managed by a responsible person. This person must be trained on

emergency/first aid. Injured or seriously sick people must be taken to the nearest

hospital.

Community relations. The Contractor will ensure that conflicts between the workers and

local population are avoided.

(ii) Construction stage:

Work camps must be kept clean and tidy, unaffected by oil spill and construction wastes.

Any oil spilt or leaked must be cleaned immediately to avoid soil and water

contamination. Some actions to carry out are as follow: (a) avoid oil leakage into surface

water or groundwater; (b) wastewater must not be disposed directly to natural water

areas; (c) solid waste materials are removed and discharged in prescribed places at

frequent intervals; (d) First/Emergency aid supplies and materials and cleaning tools are

regularly provided.


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PPMU will monitor the housekeeping of work camp areas and ensure these areas are

kept clean throughout the construction period.

(iii) Construction completion.

During this stage, all work camps and facilities will be cleared away and removed from

the site. The site will be rehabilitated to ensure the operation of the works.

5.4 Management of Stockpiles, Quarries, and Borrow Pits

24. Commercial quarries and borrow pits approved by local environmental agencies should

be used as much as possible. If non-commercial quarries and/or borrow pits are used, in

consultation with the Construction Management Consultant (CSC) and/or field engineers, the

Contractor will comply with the following requirements:

Large-scale borrow pits or stockpiles will need site-specific measures that go beyond

those required in this ECOP.

All locations to be used must be previously identified in the approved construction

specifications. Sensitive sites such as scenic spots, areas of natural habitat, areas near

sensitive receptors, or areas near water should be avoided.

An open ditch shall be built around the stockpile site to intercept wastewater.

Stockpile topsoil when first opening a borrow pit and use it later to restore the area to

near natural conditions.

If needed, disposal sites shall include a retaining wall.

If the need for new sites arises during construction, they must be pre-approved by the

responsible local authorities.

If landowners are affected by use of their areas for stockpiles or borrow pits, they must

be included in the project resettlement plan.

For any stockpile, quarry, or borrow pit sites involved in this project, but not to be used

afterwards. The contractor will prepare and implement a Contract Specific

Environmental Plan (CSEP) in compliance with the ECOP that includes management of

borrow pits and their closure plans.

If access/rescue roads are needed, they must have been considered in the environmental

assessment. The alignment for each of these roads must be clearly determined with its

impacts and mitigation measures.

5.5 Management of Dredging

25. Some of the Component 4 subprojects may involve maintenance dredging of existing

river mounts/coastal area in relation to construction of safe harbor for fishing boats. For these

subprojects, a dredge material disposal plan (DMDP) will be prepared by the project owner

during the preparation of an EMP or detailed design stage as appropriate. The DMDP will

describe the amount of dredge materials and its potential contamination during dredging and

disposal as well as the mitigation measure to be carried out during dredging and disposal

process. The Contractor will be required to strictly follow the DMDP as well as to make all

efforts to avoid and/or minimize potential negative impacts on local use of land, beaches, and/or


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water especially impact on local fisheries. Details will be prepared as part of the Contract

Specific Environmental Plan (CSEP) given due attention to address the following issues:

Pollution control during the transport of the dredged materials from the dredging site to

the disposal area;

Potential increase in turbidity and pollution of the water in the areas due to the dredging

and potential impacts on other nearby beneficial uses;

Potential contamination of soil and water source including groundwater nearby the

disposal area; and

Potential misuse of the contaminated dredged materials for public infrastructure and

households.

26. The assessment of dredged materials must be based on quantitative methods based on

sampling and analysis/testing (such a toxicity characteristics leachate procedure-TCLP for

hazardousness), and the determination of the use of the dredged materials should be conducted

in light of these test results, considering the legal requirements for potential end uses.

5.6. Monitoring of Potential Impacts

27. The Contractor will be required to carry out the following monitoring program and a

monitoring plan will be included as part of the CSEP:

IMPACT PARAMETERS EXAMPLE LOCATIONS FREQUENCY

Air emissions

Dust level Vicinity of

clearing works

In windy

conditions

Noise and

vibration

generation

Noise levels to meet

TCVN/QCVN

requirements

In the vicinity of

sensitive receivers

In response to

complaints

Erosion and

sedimentation

Efficiency of erosion

and sediment controls

Erosion and

sediment controls

After heavy rain

events

Surface water

quality

deterioration

TSS, pH, BOD,

salinity, coliform

Upstream and downstream of

dredging and/or construction

works, especially when other

beneficial uses (aquaculture,

water supply sources, etc.)

are located.

Regularly during

construction works


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Annex 3: Scope for an EMP Preparation

1. This annex provides technical guidelines for preparing the EMPs to be submitted to

World Bank, including guidelines for consultation and information disclosure. Preparation of a

Dam Safety Report for large dam and a Dam Safety Inspection Report for small dam as required

by DSF and the water quality monitoring are considered as part of the EMP for the subproject.

I. EMP Outline

2. Below provide a sample outline of an EMP for the subprojects to be implemented under

Component 4.

Executive summary

1. Introduction - provide brief but concise information on objective of the EMP and its

connection with the ESMF and the Project

2. Policy, regulations, and institutional frameworks

2.1 GOV’s regulations - provide brief description of GOV regulations related to EIA

and standards applied for the subproject

2.2 WB’s safeguard policy – list WB policy triggered

3. Project description – provide description of the subproject including location maps

showing location in the project area as well as details at the subproject level. This is to

provide reader who is not familiar with the area to understand the issue clearer. For

the subproject involving dam/reservoir safety and/or upgrading/construction of coastal

infrastructure, scope of the new activities should be clearly defined in relations to

existing condition. For the subproject related to dam safety a Dam Safety Report (for

large dam) or a Dam Safety Inspection Report (for small dam) will be prepared

separately.

4. Environmental background – provide key information on the environmental

background of the subproject as well as its connection with the project area, including

maps. Focus should be given to provide clear data on topography, major land use and

water uses, water flow and water quality, and natural hazard and emergency response

in the subproject area. Brief description on socioeconomic condition and ethnic minority

should also be provided. For the subproject involving dam safety, background

information regarding existing dam design, instruments, and performance as well as

potential risk associated with dams breach should be provided in line with the Dam

Safety Report or Dam Safety Inspection Report. For the subproject involving dredging of

the river mouth and/or construction of coastal infrastructure, background information

regarding existing land/water use along the coastline and coastal erosion should be

provided.

5. Potential impacts and mitigation measures – provide results of the safeguard

screening following the criteria in the ESMF, identify potential impacts (positive and

negative) and mitigation measures; the impacts should be described for pre-

construction, construction, and operation phases; using a matrix format could help

understanding connection between the impacts and mitigation better. For the


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subproject involving dam safety, the impact assessment should also include risks

associated with dam breach and adequacy of existing instruments and inspection

procedures and/or capacity while the mitigation measures should be proposed in line

with the Dam Safety Report or Dam Safety Inspection Report. For the subproject

involving dredging of the river mouth and/or construction of coastal infrastructure, the

impacts assessment and mitigation measures should also include the impacts on existing

land/water use along the coastline and coastal erosion.

6. Actions to be carried out under the subproject – explain the mitigation measures and

agencies responsible for the implementation during preconstruction, construction, and

operation stages of the subproject. Details on the ECOP, dam safety measures, and/or

water quality monitoring could be provided as an annex if appropriate in line with the

Dam Safety Report or Dam Safety Inspection Report. For the subprojects involving

dredging at the river mouth and/or upgrading/construction of infrastructure along the

coastline a study on the potential impacts on other land/water users and coastal erosion

will be carried out and the required mitigation measures be included as part of the

EMP.

7. Implementation arrangement – explain responsible agencies (including their capacity

to carry out the activities identified in the EMP and the need for training),

implementation schedule, cost estimate, and how the EMP will be integrated into the

subproject, including state explicitly that the ECOP will be included in the bidding

documents of contractors.

8. Consultation and information disclosure – provide summary on consultation activities

and stakeholders on the EMP at subproject level (This can be combined with RAP) and

concerns raised and responses. Locations and dates of EMP to be disclosed should be

provided (see guidelines below).

II. Consultation and Information Disclosure

3. Consultation. The WB requires that for project category B at least one consultation with

the local actors, including the community will be carried out. This consultation should provide

information on the following aspects: a) purposes of the project; b) results of the environmental

evaluation; and c) presentation of the complementary studies required in the case that they

apply. The results should be presented in the EMP report. Consultation through a community

outreach or relations program during implementation is considered a good practice to ensure

that the potential negative impacts and concerns are properly addressed during construction and

operation of a project. Details on consultation can be found in the guideline for consultation in

investment lending (Consultations in Investment Lending: Guidance Note, World Bank March

2010). Extensive consultation with affected population and ethnic minority are required when

the activities involve relocation, land acquisition, and ethnic minority.

4. Information disclosure. Disclosure of safeguard documents is required throughout the

project cycle. All the RAPs, EMDPs, and EMPs will be made available to the public in the local

languages. Disclosure of information in advance of at least 60 days before construction is

considered a good practice.


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III. Preparation of a DMDP

5. For the subproject that involves dredging, preparation of a Dredge Materials Disposal

Plan (DMDP) will be required during the preparation of an EMP and/or detailed design. The

DMDP will cover the following aspects:

Identifying water users that may be affected by the dredging, including water quality

monitoring plan that could be used to monitor the potential impacts. Priority should be given

to monitor the areas that are sensitive to change in water quality (high suspended solid (SS),

high BOD or COD, high salinity, etc.) especially where the water is used for recreation

purposes and/or aquaculture production.

Identifying the available land for disposing the dredged materials. The plan should also

identify the possible lands to be appropriated for the disposal of dredged materials. Public

land, land for construction of rural roads, public works, private land, etc. may be used, with

an agreement with the project affected households. It should also meet local plans for land

use. The identified land should be large enough to accommodate the detailed estimated

amount of the dredged materials. The selected disposal land should be located at least 1 km

from any Bird Sanctuary or protected sites, at least 200 m from public works (schools,

administrative offices, and markets), temples and churches, and at least 200 m from

aquaculture farms.

Preparing for a transportation plan. In case, the dredge disposal area is far away from the

dredged sites, the DMDP shall set out a transportation plan including: (a) methods of

transportation (pipeline, barges, hopper barges) and uploading to the disposal area. If trucks

are used, indicate proposed route of the transport from the dredged site to the disposal area,

(b) time of operation, (c) type of vehicles/trucks and proposed measures to reduce the

leakage of the dredged materials from the transport trucks, (d) contractors’ responsibilities

for cleaning the roads and carry out remedial works if necessary, and (e) a communication

plan for the nearby communities including contact number for possible complaints.

Plan for managing the disposal site including: (a) plan for reducing the drainage (refer the

next bullet), (b) construction of the perimeter dykes, (c) construction of sub-containment

area, if applicable, (d) planned thickness of the dredged materials (typically less than 1.5

meters), (e) any measures to protect ground water and soils (e.g., installation of PVC

membrane).

Designing the Draining for Disposal lands. As the dredged materials are in the state of mud

at first and soil particles are suspended for 24 to 48 hours. All drainage water from disposal

land shall be driven to the drains and discharged back to the river. In order to limit the

negative impacts of mud (produced by dredging) on the environment as well as the water

quality of river and coastal areas, the dredged sediment will be transported to a containing

area which is appropriately located and properly design with an adequate size. The dredged

spoil will be pumped to the disposal land and then overflow to a settlement pond, where

turbidity and total suspended solids are settled. After some time, effluent is returned to the

river and coastal water.

A typical design of the dike around each disposal may be as follows: Height: 2m, Footing

width: 5 m, and Surface width: 1m. The plan should set out a basic layout.


66

Identification of the disturbance on local businesses and transportation. The DMDP shall

carry out an inventory analysis on the possible affected local businesses, access to water,

and transportation (mainly due to the dredging) and provide a plan to compensate the

disturbances of the businesses (through the respective RAPs) and make a plan for

constructing temporary bridges. If access to water is affected for some households by the

disposal of the dredged materials, a plan to provide alternative access to water shall be

included in the DMDP.

Monitoring the Disposed Dredged Materials. A plan for monitoring the dredged materials as

well as water quality of effluent would be required. As stated before, an intensive

monitoring would be required if the dredged materials contains higher content of the heavy

metals and other harmful materials than the national thresholds.

In order to mitigate the issue of turbidity during dredging operation, the DMDP shall set out

dredging equipment and/or techniques suitable to the particular site. On laying dredging

machines on a barge, contractors can use a proper mud–stopping net for enclosing the

dredging site and keeping back mud on land, not to let it goes back to the river and coastal

water. If the disposal site for dredge materials is located far away from the dredger, a

suction dredger should be used to transfer all the mud and soil in water to the disposal sites.

The length of dredging sections should be limited less than 1 km and the dredging should be

done one by one.

IV. Preparation of a study for coastal erosion

6. Given that construction of solid infrastructure along the coast could significantly change

the near shore current and sediment transport pattern, a quick assessment of potential impacts on

coastal erosion in nearby area should be conducted if the subproject involves construction

and/or upgrading of existing structure for the purpose of erosion protection and/or storm

protection. The study will be conducted by a group of qualified consultants.


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Annex 4: Simple Environmental Code of Practices (ECOP) for Small Works

1. This ECOP comprises three parts: Prohibitions; “Chance Find” procedures, and Good

environmental and housekeeping practices. It will be applied for the Project activities to be

implemented under Components 1, 2, 3 that are involved civil works. The ECOP will be

included in the bidding document and/or agreement with local communities as appropriate.

Monitoring of the ECOP implementation at the subproject level will be responsible by PPMU

while that at Project level will be responsible by CPMO. Results will be included in the

subproject and/or Project progress reports.

I. General provisions

1. Preconstruction stage

- Design drawings. Prior to commencement of construction, the project owner should

develop design drawings. The design should be based on examination of land boundaries

and the quality of the ground planned for construction or on the construction survey

report, if any, and results of examination of the conditions of adjacent and neighboring

works; complying with construction technical regulations, technical standards and other

relevant laws; and assuring safety for the construction without adversely affecting

adjacent and neighboring works.

- Prior to commencement of construction, the project owner must inform the Commune

and Ward People’s Committees of the place of construction within 7 working days, as

well as adjacent and neighboring project owners.

2. Construction stage

- The construction must guarantee work quality, labor safety and environmental

sanitation; comply with provisions of the construction permit; and does not adversely

affect adjacent and neighboring works. Especially, mitigation measures for noise, dust,

vibration, scraps and wastes, etc. must be strictly complied.

- The project owner may assign each job to each contractor. Agreement between the

project owner and contractors shall be made in written construction contracts, especially

for construction surveyors, work construction designers and builders.

3. Construction completion

- On completion of the works the project owner or the Contractor will clear away and

remove all materials and rubbish and temporary works of every kind. The site will be

left clean and in a condition to the satisfaction of the PPMU

II. Good Environmental and Housekeeping Practices

4. This practice is intended to minimize the potential negative impacts during construction for

small civil works given attention to address the issue related to human and environmental

safety and minimize disturbance of local residents. The Contractor will strictly implement

the following practices as relevant to the activities and locations of works:

DO:

- Limited working hour during the day time, especially in residential areas, and

control driving speed;

- Minimize earth excavation and dispose spoils in designated areas;


68

- Minimize opening of new borrow pits and ensure leveling and re-vegetation of the

affected areas;

- Minimize traffic congestion, dust and noise generation;

- Proper maintenance of construction equipment and vehicles;

- Provide appropriate safety sign (day and night) and closely inform local residents;

- Avoid spill of used oil and other toxic materials, including safe transportation and

storage;

- Apply good housekeeping in the construction and/or storage sites to ensure safety of

workers and peoples

- Ensure access to clean water and latrines by workers and provide mosquito net.

- Avoid social/cultural conflict between workers and local population.

DO NOT:

- Do not permit rubbish to fall freely from any locations of the project and/or access

by animals (dogs, cats, pigs, etc.). Use appropriate containers.

- Do not throw tools or other materials.

- Do not raise or lower any tool or equipment by its own cable or supply hose.

- Use grounding straps equipped with clamps on containers to prevent static electricity

buildup.

- Do not allow hunting of animals by workers in protected areas.

SPECIAL NOTE ON FLAMMABLE/EXPLOSIVE MATERIALS:

- Store flammable or explosive materials such as gasoline, oil and cleaning agents

apart from other materials.

- Keep flammable and explosive materials in proper containers with contents clearly

marked.

- Dispose of greasy, oily rags and other flammable materials in approved containers.

- Store full barrels in an upright position.

- Store empty barrels separately.

- Post signs prohibiting smoking, open flames and other ignition sources in areas

where flammable and explosive materials are stored or used.

- Store and chain all compressed gas cylinders in an upright position.

- Mark empty cylinders and store them separately from full or partially full cylinders.

- Ventilate all storage areas properly.

- Ensure that all electric fixtures and switches are explosion proof where flammable

materials are stored.


69

III. Prohibitions

5. The following activities are specifically prohibited:

- Cutting of trees for any reason outside the approved construction area or poaching of

any description; Explosive and chemical fishing;

- Spillage of potential pollutants, such as petroleum products; Burning of wastes

and/or cleared vegetation outside the project area; Indiscriminate disposal of rubbish

or construction wastes or rubble; and

- Disturbance to anything with architectural or historical value; Use of firearms

(except authorized security guards); Use of alcohol by workers in office hours;

Driving in an unsafe manner in local roads; Creating nuisances and disturbances in

or near communities.

IV. “Chance find” Procedures

6. If the Contractor discovers archeological sites, historical sites, remains and objects,

including graveyards and/or individual graves during excavation or construction, the

Contractor will carry out the following steps:

- 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 National Culture Administration take over;

- Notify the supervisory Project Environmental Officer and Project Engineer who in

turn will notify the responsible local authorities and the Culture Department of

Province immediately (within 24 hours or less);

- Responsible local authorities and the Culture Department of Province 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 by the archaeologists of National Culture Administration. 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

and Culture Department of Province. This could include changes in the layout (such

as when finding an irremovable remain of cultural or archaeological importance)

conservation, preservation, restoration and salvage;

- Implementation for the authority decision concerning the management of the finding

shall be communicated in writing by relevant local authorities; and

- Construction work could resume only after permission is given from the responsible local

authorities or Culture Department of Province concerning safeguard of the heritage.


70

Annex 5. Safeguard Screening and Key Impacts of Component 4 Subprojects

A5.1 Key Impacts of the First Year Subprojects

1. Tables A5.1-5.2 summarize results of the safeguard screening and impacts assessment of

the first year subprojects. The subproject specific EMPs have been prepared and will be

submitted to WB for public disclosure and clearance. The safeguard screening and identification

of key impacts for the follow-on subprojects will be carried out during Project implementation.

A5.2 Key Impacts of the Follow-on Year Subprojects

2. Table A5.3 summarizes results of preliminary safeguard screening and impacts

assessment of potential subprojects for the follow-on years. The screening and assessment are

done based on investment items of the subproject and information provided by the province.

They could be changed during EMPs preparation.


71

Table A5.1: Results of Safeguard Screening for the First Year Component 4 Subprojects

No. Subproject name Investment Items

Type of

works River

basins

Potential negative

impacts per the

screening criteria

indicated in Table 5.1

Safeguard

document

prepared

GOV EIA

requireme

nt

I. Thanh Hoa

1 Maintain, upgrade and

treat the key parts of the

left dyke of Cau Chay

river (section from K0-

K42), Yen Dinh district

Upgrade 42 km dyke site;

Renew structures on the site;

build more rescue roads

Dyke/

road

Ma River (1), (3), (4), (5), (8) RAP, EMP EIA

II. Nghe An

2 Upgrade dyke site of

Lương Yen Khai Line, widen, stabilize the surface

2.87 Km

Dyke/

road

Ca River (1), (4), (5), (8) RAP, EMP EIA

3 Bridge combining with

overflow connecting

rescued roads, Nghi Loc

and Vinh city

65m bridge combining with

overflow and 1 Km road and a

drain sluice with B=7.5 m

Dyke/

road

Ca River (1), (5) RAP,EMP

III. Ha Tinh

4

Upgrade dyke site Phuc

Long Nhuong, Cam

Xuyen district

Upgrade dyke site of 11.41 km;

Renew 21 drainage sluices

crossing the dyke; build 12 road

sites combining with dyke

rescue with the total length of

8.974 km

Dyke/

road

Ha Vang-

Rac River (1), (3), (4), (5), (8) RAP, EMP EIA

VII. Quang Nam

5 Repair, upgrade Thach Main dam, overflow, intake Dam Thu Bon (1), (4), (5), (6), (7), RAP, EMP EIA


72

Ban reservoir, Duy

Xuyen district gate, management house and

road River (8)

IX. Binh Dinh

6

Upgrade anti-erosion

embankment of Kone

river for safety, An

Nhon and Tuy Phuoc

district

(i) 1.2 km Thang Cong section –

Nhon Phuc commune

(ii) 1.5 km Song Ngheo section

– Nhon Hau commune

(iii) 1.8 km Tam Dan – Tan

Duong section – Nhon An

commune

(iv) 1.3 km embankment in the

downstream of Ba Di bridge –

Phuoc Loc commune

Dyke/

road

Kone River (1), (3), (5) RAP,EMP EIA

*Note: (1) Involve land acquisition and/or resettlement, (2) involve ethnic minority, (3) involve PCR, (4) involve UXO risk; (5) involve civil works;

(6) involve dredging; (7) involve dam safety; (8) likely to involve land/water use conflicts; (9) involve river mouth construction.


73

Table A5.2: Potential Negative Impacts of the First Year Component 4 Subprojects

Components Physical Biological Socio Others Remarks

Air,

noise,

vibrati

on

Land,

soil,

water

Solid

waste,

Sludge

Forest,

natural

habitat

s

Fish,

aquatic

life

Land

acquisi

tion,

resettle

ment

Indigen

ous

peoples

Physical

cultural

resource

s

Livelih

ood,

comm

unity

disturb

ance

Local

flood,

traffic,

safety

Off-

site

impact

s

Subproject 1: Maintain, upgrade and treat the key parts of the left dyke of Cau Chay river (section from K0-K42), Yen Dinh district (Thanh Hoa) (240 bil. VND);

Scope include: upgrade 42km dyke site; Repair, upgrade and renew structures on the site, including construction of sluices; build more rescue roads

Background/Key issues: [ protect property and life of 130,000 people; protect 10,000 ha agricultural land and ensure the safety for infrastructures; build the rescue

road to boost the socio-economic development for 25 communes in Yen Dinh district] [781 affected HHs, of which 18 HHs lose more than 20% of productive land;

04 HHs have to relocate graves; 43 HHs are in vulnerable group (18 poor HHs, 20 FHHs); [1 million cubic meters will be excavated and dyked; dust and noise in

construction phase]

Pre-const. L L L N L H N L M L L - Ensure effective implementation of

ECOP and consultation with local

residents Construction M M M N L N N L M M M

Operation N N N N N N N N M L N - Ensure effective O/M; Build capacity of

local community with high risks through

Component 3 implementation

Subproject 2: Upgrade dyke site of Luong Yen Khai (Nghe An) (45 bil VND): Scope includes (Line, widen, stabilize the surface of 2.87km) Background/Key issues: [protect life and property for 10.756 inhabitants and maintain production stability for 651.8 ha of agricultural land]; [83 affected HHs, of

which 80 HHs lose their agricultural land, 03 HHs lose adjacent garden to their residential land, affected land is 13,300 m2];[ 186,314.98 m

3 soil will be excavated

and dyked; dust and noise in construction phase]


74







Subproject 3: Bridge combining with overflow connecting rescued roads, Nghi Loc and Vinh city (Nghe An) (27 bil. VND);

Scope includes 65m bridge combining with overflow and 1Km road and a drain sluice with B=7.5m

Background/Key issues: [improve the economy and reduce poverty for about 13,709 people in Hung Hoa and Nghi Thai communes by increasing access ability to

the administrative centers, market centers, health care, education and social services, reducing the time and cost for agricultural products transportation];[5

affected HHs, earth fill K95 7,940 m3, mud dredging 687m

3, dust and noise in construction phase ].







Subproject 4: Upgrade dyke site Phuc Long Nhuong, Cam Xuyen district (Ha Tinh) (180 bil VND); Scope include: upgrade dyke site of 11 km; Renew 21 drainage

sluices crossing the dyke; build 12 road sites combining with dyke rescue with a total length of 8.974 km.

Contract arrangement?

Background/Key issues: [Preventing and reduction of disaster damage by storm, tropical depression, storm surges occur frequently in direct of 19,728

persons/2,471 ha of Thien Cam town, Cam Phuc, Cam Nhuong communes and indirect of 12,450 persons/1,345ha of Cam Xuyen town and Cam Thang commune.];

[335 affected HHs, of which 125 households will lose agricultural land, 119 households will lose house-stage garden, 22 households will lose aqua-cultural land,

and 44 households will lose residential land]; [excavation soil 90,000 m3; dust and noise in construction phase]







Subproject 5: Repair, upgrade Thạch Ban reservoir, Duy Xuyen district (Quang Nam) (86 bil VND); Scope includes: Main dam, overflow, intake gate,

management house and road

Background/key issues:[ reduce the vulnerability due to the external factors such as drought, floods and erosion, flood control issues will be enhanced, protect more

than 10,000 people in two communes (Duy Phu, Duy Thu), protect infrastructure such as houses of citizens, clinics, post offices, markets, kindergartens, primary

schools, secondary schools, inter-village transportation system and electricity]; [7 affected HHs in Duy Thu commune have temporary acquisition of 2 ha forest


75

land]; [150,000 m3 of fill-land, 1,748.05 m

3 of stone, 11,271.84 m

3 of sand and gravel are needed for the construction; Air, noise and water pollution]




Operation N N N N N N N N M L N -To ensure effective O/M; Build capacity

of local community with high risks

through Component 3 implementation

Subproject 6: Upgrade anti-erosion embankment of Kone river for safety, An Nhon and Tuy Phuoc district (Binh Dinh) (47 bil. VND); Scope include (i) 1,2 km

Thang Cong section – Nhon Phuc commune; (ii) 1,5km Song Nghẹo section – Nhon Hau commune; (iii) 1,8km Tam Dan – Tan Duong section – Nhon An commune;

(iv) 1,3 km embankment in the downstream of Ba Di bridge – Phuoc Loc commune.

Background, key issues: [Upgrading anti-flood and anti-inundation capacity for all of the dyke belong to Kone river dyke system aim to protect directly human,

infrastructure, land, house and property of 49,183 people (8,197 households) in 3 communes Nhon An, Nhon Hau, Nhon Phuc (An Nhon District) and Phuoc Loc

(Tuy Phuoc District)]; [73 affected HHs in 3 Ward PCs of Binh Dinh province, including: 16 HHs in Phuoc Loc Commune, 13 HHs in Nhon An Commune, 27 HHs

in Nhon Phuc Commune and 17 HHs in Nhon Hau Commune]; [45,092 m3 of excavation land and 66,673 m

3 of fill-land; Dust, noise, water pollution]







Note: The following criteria are used for the assessment of level of impacts: None (N) –no impact; Low (L) – Small works, minor impacts, localized, reversible,

temporary; Medium (M) –Small works in coastal/sensitive areas, medium scale works with moderate impacts of which most are reversible, reducible and

manageable, localized, temporary; High (H) –Medium scale works in coastal/sensitive area, large scale works with significant impacts (socially and/or

environmentally) of which many are irreversible and require compensation; Both M and H levels need implementation of the mitigation measures, monitoring, and

adequate institutional capacity on safeguard.


76

Table A5.3: Results of Preliminary Safeguard Screening for potential subprojects for the follow-on years by provinces

No. Name of subproject Investment Items Type of

works

River

basins

Potential negative

impacts per the

screening criteria

indicated in Table 5.1

Safeguard

document

prepared

GOV

EIA

requirem

ent

Total 9 provinces

I. Thanh Hoa

II. Nghe An

1 Repair, Upgrade, ensure safety for

reservoirs Ban Muong, Cho Quan,

Xop Thap

Earthen dam; overflow; intake

gate and management house

Dam - Ca

River

(1), (2), (3), (4), (5),

(7), (8)

RAP

EMDP

EMP/DSR

EIA

2

Rescued road of Hung Nguyen

district (including Hung Lam,

Hung Nhan, Hng Xuan, Hung

Chau)

Line, widen, stabilize the road

surface 23.5 Km

Dyke/

road

Ca

River

(1), (3), (4), (5) RAP

EMP

EIA

3 Embankment protecting Ca River,

acrossing Dinh Son, district Anh

Son. 2 km embankment

Dyke/

road

Ca

River

(1), (3), (5) RAP

EMP

EIA or

EPC

4 Embankment protecting Ca River,

acrossing Linh Son, district Anh

Son. 2 km embankment

Dyke/

road

Ca

River

(1), (3), (4), (5) RAP

EMP

EIA or

EPC

5 Rescued road of Do Luong

district (including Thai Son, Minh

Son communes)


surface 12 km

Dyke/

road

Ca

River

(1), (3), (4), (5) RAP

EMP

EIA

6 Upgrade dyke Vach Bac, district

Yen Thanh 9km dike

Dyke/

road

Ca

River

EIA


77

7 Rescued road connecting national

road 46 to Thanh Luong - Nam

Hung.


surface 11.5 km

Dyke/

road

Ca

River

(1), (3), (4), (5) RAP

EMP

EIA

III. Ha Tinh

8

Dredging, treating jet to Cua Sot

shelter, Loc Ha district

Dredge a jet with 4 km length;

build 300 m embankment, treat

flow; 2 km rescued roads, 1.5 km

embankment protecting harbors

and flood shelters

Coastal

structure

Ca

River

(1), (3), (4), (5), (6), (9) RAP

EMP

EIA

IV. Quang Binh

9 Fishing boat harbor in Nhat Le

river basin Boats anchoring structures; anti-

wave dike

Coastal

structure

Gianh

River

(1), (3), (4), (5), (6), (9) RAP

EMP

EIA

V. Quang Tri

10 Upgrade Trieu Thuong reservoirs

1 and 2 Upgrade main damp, flood

overflow, intake gate under damp

Dam Thach

Han

River

(1), (3), (4), (5), (7), (8) RAP

EMP/DSR

EIA

11 Repair and upgrade Hydraulic

Structures:

Viet Yen – Vinh Phuoc Upgrade sluice and sluice gate

Dam Thach

Han

River

(3), (5) EMP/DSR EIA or

EPC

12 Upgrade Phuoc Mon reservoir,

Hai Le commune Upgrade main dam, flood

overflow, sluice under dam

Dam Thach

Han

River

(3), (4), (5), (7), (8) EMP/DSR

EIA

13 Emergency anti- erosion

embankment for Nai Cuu – Trieu

Dong commune – Trieu Phong

district

Build 1.02 km river embankment

Dyke/

road

Thach

Han

River

(1), (3), (4), (5) RAP

EMP

EIA or

EPC

14 Embankment for Trieu Do

commune – Trieu Phong district Build 2.24 km river embankment

Dyke/

road

Thach

Han

River

(3), (4), (5) EMP

EIA

15 Emergency anti-erosion

embankment for Trieu Tai

commune – Trieu Phong district Build 1km river embankment

Dyke/

road

Thach

Han

River

(1), (3), (4), (5) RAP

EMP

EIA or

EPC

VI. Da Nang


78

16

Upgrade ensure safety for Hoa

Trung reservoir

(i) Widen main overflow

(ii) Reinforce main dam

(iii) Equipments and management

house

(iv) Upgrade rescued road and

over flood bridge

Dam Vu Gia-

Thu

Bon

(1), (3), (5), (7), (8) RAP

EMP/DSR

EIA

17

Upgrade, widen flood drain for An

Trach weir

(i) Replace 12 old valvet gates by

12 flat valvet gates operating by

electricity

(ii) Widen 2 more drain section

(iii) Reinforce, upgrade

absorption yard

(iv) Equip controlling system

(v) Repair Ha Thanh dam

Dam Vu Gia-

Thu

Bon

(1), (3), (5), (8) RAP

EMP/DSR

EIA

18

Upgrade ensure safety for 4

reservoirs: Truoc Dong, Truong

Loan, Hoc Khe, Ho Cau


(ii) Upgrade & widen main

overflow

(iii) Widen auxiliary overflow


(v) Reinforce rescued &

management roads

Dam Vu Gia-

Thu

Bon

(1), (3), (5), (7), (8) RAP

EMP/DSR

EIA

19

Upgrade ensure safety for 2 small

reservoirs: Dong Treo and Ho

Thung


(ii) Widen, reinforce main

overflow

(iii) Repair auxiliary overflow


Dam Vu Gia-

Thu

Bon

(1), (3), (5), (7), (8) RAP

EMP/DSR

EIA

VII. Quang Nam

20 Repair, upgrade Khe Tan

reservoir, Dai Loc district Main dam, overflow, intake gate,

management house and road

Dam Vu Gia

River

(1), (2), (3), (4), (5),

(7), (8)

RAP

EMDP

EMP/DSR

EIA


79

21 Build anti-erosion embankment

for Thu Bon river, Phu Da area,

Duy Xuyen district

Embankment’s body and foot

made of concrete slabs, length 1.5

km

Dyke/

road

Thu

Bon

River

(1), (3), (4), (5) RAP

EMP

EIA

22 Repair, upgrade Chan Son


Main dam, overflow, intake gate,

management house and road,

electricity system

Dam Vu Gia

River

(1), (3), (4), (5), (7), (8) RAP

EMP/DSR

EIA or

EPC

23 Build river embankment for Tan

Binh village, Dien Trung

commune, Dien Ban district

Embankment’s body and foot

made of concrete slabs, length 1.5

km

Dyke/

road

Thu

Bon

River

(1), (3), (4), (5) RAP

EMP

EIA

24 Build anti-landslide embankment

for Bau Sau river, in the down-

stream of Bau Nit weir, Dien Ban

district

Embankment’s body made of

precast concrete, its foot made of

Ferro-concrete M200, length 1

km

Dyke/

road

? (1), (3), (4), (5) RAP

EMP

EIA or

EPC

VIII. Quang Ngai

25

Duc Loi dam Headwork dam

Dam Tra

Khuc–

Tra

Bong

River

(1), (2), (3), (4), (5),

(7), (8)

RAP

EMDP

EMP/DSR

EIA

26

Fishing boat harbor and My A sea

gates (phase 2)

Lengthen 180 m South dike Nam,

160 m North dike Bac to the

level of +6.0 m; Lengthen anti-

sand dike, flood prevention for

more than 120 m, crest level of

+3.2 m. Dredge and widen jet to

60 m. Logistic fishing structure,

shelters for fishermen and

technical structures

Coastal

structure

Tra

Khuc–

Tra

Bong

River

(3), (4), (5), (6), (9) EMP

EIA

IX. Binh Dinh


80

27

Upgrade, repair overflow bridges

of rescued road Dong Tuy Phuoc

– An Nhon – Phu Cat

Upgrade 8 overflow bridges of

road DT640: Bridge # 15 in

Huynh Mai; Km14+310;

Km14+760; Km15+820;

Km16+620; Km17+080;

Km17+865;

and Bau Sao overflow bridge on

road DT636A

Dyke/

road

Kone

River

(1), (3), (4), (5) RAP

EMP

EIA

X. Ninh Thuan

28 Upgrade dyke at the north of Dinh

river

Upgrade the whole dike site to

protect Phan Rang – Thap Cham

city combining with traffic,

length of 11.1 Km

Dyke/

road

Dinh

River

(1), (2), (3), (5), (8) RAP

EMDP

EMP

EIA

*Note:

- (1) Involve land acquisition and/or resettlement, (2) involve ethnic minority, (3) involve PCR, (4) involve UXO risk; (5) involve civil works; (6) involve

dredging; (7) involve dam safety; (8) likely to involve land/water use conflicts; (9) involve river mouth construction.

- Results of Preliminary Safeguard Screening for potential subprojects for the follow-on years are done based on investment items of the subproject and

raw information provided by the province. They could be changed during EMPs preparation.


81

Annex 6. Summary of Potential Impacts, Mitigating Measures; Monitoring, and Responsible agencies

Table A6.1. Potential Environmental and Social Impacts, Mitigating Measures; Monitoring, and Responsible agencies

Component 1 2 3 4 5

Key activities Strengthening

DRM institutions,

information

systems and

planning

Strengthening

weather

forecasting

and early

warning

systems

Community-based

disaster risk

management,

including non-

structural and

structural measure

investment (Multi-

purpose shelter,

feeder road, pumps,

drainage dredging,

…) participatory

process

Priority disaster risk mitigation investments

including upgrade existing and/or construct new

for dam, dyke, rescue roads, protection of coastal

erosion/storm surge)

There are 6 subproject in first phase and 28

subprojects in second phase (total 34 projects)

Project management

including safeguard

activities

Positive

impacts

Improve policy

and institutional

capacity at

national/basin

level

Improve

technical

capacity on

forecasting

Improve capacity at

community level

Improve infrastructure services and institutional

capacity at provincial level that contribute to

increase capacity at basin/sub-basin level

Reduction of human losses and property damage

Facilitation for socio-economic development and

improvement in living standards for local people

in the project areas

Raising community awareness and natural

disaster risk management capacity of different

levels

Improvement in quality of living environment

Strengthen safeguard

capacity of project

staff

Negative

impacts

- - Involve small works

that may require land,

involve EM, and

create impacts during

Involve small and medium size works in priority

areas;

Preparation stage: Impacts due to land

The project focus in

high risk areas (more

people, inadequate

infra, or protection of


82

construction acquisition and resettlement of local people

including ethnic people, grave. The impacts will

be small to medium localized, and temporary,

and can be mitigated

Construction stage:

- Impacts due to civil works could temporary

increase levels of dust and other air pollution,

noise, vibration, water pollution, local traffic

volume, safety risk, and other impacts on local

residents and businesses to be small to moderate

(depending on size and type of works); The

impacts however will be small to moderate,

localized, and temporary, and can be mitigated.

- There are UXO risks during construction but

this risk is considered moderate and could be

mitigated.

Operation stage: Impacts during operation will

be positive however there are risk due to

dams/dyke/structure breach, coastal erosion or

land/water use conflicts

sensitive areas

(culture, habitats,

coastal, etc.); So

background

information should be

adequate to make

appropriate judgment

on level of impacts

and mitigation needs

-- EMP should

provide information

on institutional

arrangement and

capacity to deal with

disaster for each

subproject too

Mitigation The impacts should

be mitigated through

participatory

planning and

application of

standard ECOP for

small works –good

construction practices

Impacts on land acquisition, EM, grave will be

medium and will be mitigated via compensation,

etc. RPF, EMPF, subproject EMDPs and RAPs

are prepared.

Impacts due to civil works could be mitigated

via a standard ECOP for works. UXO risks

could be mitigated through an UXO examination

and clearance (as needed). ESMF and MPs are

prepared.

Impacts during operation could be mitigated via

the preparation of an emergency plan and

strengthen institutional capacity, of which

priority activities should be incorporated into


83

Components 1 and 3. DSMF will provide

guideline on what should be done; priority

activities will be part of the EMP.

Monitoring Monitor/report on

safeguard

performance during

construction in terms

of land acquisition,

complaints

During construction:

Monitor water quality upstream and downstream

of the area where dyke construction is located

near rivers/water bodies, and/or sluice

construction is located; Air and other monitoring

should be made only when necessary.

The EMP team should

be able to identify

sensitive areas that

need to be monitored,

especially WQ based

on knowledge on the

project sites,

sensitivity of the area,

water users, and

consultation with the

people.

During operation: monitoring safety of

dams/dyke will be necessary and budget/capacity

of staff must be adequate. Monitoring result

should be submitted to WB on an annual basis

after completion of construction and one year

after completion of the project.

Training on

dams/dyke safety

monitoring should be

carried out during

implementation. This

can be part of

Component 1 and 3 or

be part of safeguard

training

Responsible

agencies/entiti

es

Each PPMU

implement and

include progress in

progress report;

CPMO/ESU/CEMC

monitor/report

Each PPMU implement and include progress in

progress report; CSC/field engineers are

responsible for day-to-day

supervision/monitoring/reporting

CPMO/ESU/CEMC monitor/report


84

REFERENCES

1. Environment Protection Law No.52/2005/QH11 dated November 29th 2005, issued on

December 12th 2005, and became full effect on July 1st 2006.

2. Decree No.29/2011/ND-CP dated April 18th 2011 of the Government guiding the the

assessment of strategic environment, environment impact assessment and environment

protection commitment.

3. Circular No.26/2011/BTNMT dated July 18th 2011 of the Ministry of Natural Resources and

Environment guiding the assessment of strategic environment, environment impact assessment

and environment protection commitment.

4. The World Bank in Viet Nam, 2004, World Bank environment safeguard policies

5. The World Bank in Viet Nam, 2004, World Bank social safeguard policies.

6. Final draft report of Vn-Haz/WB5 Environment Assessment.

7. Final draft report of Vn-Haz/WB5 first year subprojects Environmental Impact Assessment.

8. Final draft report of Vn-Haz/WB5 first year subprojects Environmental Management Plan.

9. Final draft report of Vn-Haz/WB5 Resettlement Action Plan.