ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK€¦ · Innovation Project (VIIP) (herein refer to as the Project). The Project will focus on development of high-performance and affordable

Ministry of Planning and Investment

Enterprise Development Agency

Vietnam Inclusive Innovation Project

ENVIRONMENTAL AND SOCIAL

MANAGEMENT FRAMEWORK

(Final Draft)

January, 2013

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VIETNAM INCLUSIVE INNOVATION PROJECT – ENTERPRISE DEVELOPMENT AGENY

Page 1

Table of Contents

1. Introduction ............................................................................................................................. 3

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

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

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

2. Environmental legislation applicable to the projects ............................................................... 6

3. Project potential impacts and mitigation measures ................................................................. 9

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

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

4. Institutional Arrangement and Capacity for Environmental Management ............................. 9

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

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

5. Environmental Management Procedures for subprojects under Components 1 and 2 .......... 12

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

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

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

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

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

6. Environment Management Procedures for upgrading activities for institutions under

Component 3 ................................................................................................................................. 31

7. Capacity building and Training Plan ..................................................................................... 32

8. Estimated Cost for ESMF implementation ............................................................................ 32

9. Public Consultation and Disclosure of Project ESMF........................................................... 33

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

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

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

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

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


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ABBREVIATIONS AND ACRONYMS BoP Bottom of Pyramid

EDA Enterprise Development Agency (MPI)

EPC Environmental Protection Commitment

EIA Environmental Impact Assessment

EMP Environmental Management Plan

ESMF Environment and Social Management Framework

FM Financial Management

FMM Financial Management Manual

GDP Gross Domestic Product

GKTP Global Knowledge Transfer and Partnership

GM Grant Manual

GoV Government of Vietnam

GRA Global Research Alliance

ICB International Competitive Bidding

ICT Information and Communication Technology

IE Initial Environment

MPI Ministry of Planning and Investment

MoST Ministry of Science and Technology

NDCs National Development Challenges

NDCC National Development Challenges Council

MoH Ministry of Health

MoNRE Ministry of Natural Resource and Environment

NIMM National Institute of Medical Materials

NHTM National Hospital of Traditional Medicine

NAFOSTED National Foundation for Science and Technology Development

PFIs : Participating Financial Institutions

PIA Project Implementation Agency

PIU Project Implementation Unit

PMU Project Management Unit

POM Project Operational Manual

PSC Project Steering Committee

R&D Research and Development

RTDI Research and Technology Development Institute

SBV State Bank of Vietnam

SEDS Social and Economic Development Strategy (2011~2020)

SME Small and Medium Enterprise

SOEs Statement of Expenditures

STI Science and Technology Innovations

THM Traditional Herbal Medicine

ToR Terms of Reference

VAST Vietnam Academy of Science and Technology

VIIP Vietnam Inclusive Innovation Project

WA Withdrawal Application

WB World Bank


Page 3

1. Introduction

The Government of Vietnam has requested World Bank to finance the Vietnam Inclusive

Innovation Project (VIIP) (herein refer to as the Project). The Project will focus on development

of high-performance and affordable solutions to address the needs of the Base of Pyramid

population, including through providing support to SMEs to acquire, adopt, create and use of

technology and innovation.

The VIIP will comply with applicable Vietnamese environmental regulations and the World

Bank Environmental and Social and Safeguard Policies. By design, the Project will not finance

any innovations and technologies which cause significant adverse environmental and social

impacts. Potential impacts, if there is any, would not be irreversible and will be at low and

medium scale, mitigable and manageable. The project therefore has been classified as category B

and an Environmental and Social Management Framework (ESMF) is developed by EDA as part

of Project preparation to ensure that all the financed subprojects corresponding to innovative

technology development/adaptation/creation would be implemented in an environmentally and

socially sustainable manner.

The ESMF will screen all innovation technologies to determine their eligibility regarding

environmental and social safeguards. The ESMF includes a procedure to develop and implement

relevant measures to mitigate the impacts; specifies institutional arrangement, cost for

implementing screening, preventive, mitigation measure and monitoring.

The ESMF will be integrated into the Project Operational Manual and deliberately reflected in

the subproject application forms to ensure that environmental and social issue will be considered

together with other requirement during project implementation.

1.1 Project description:

Project Objectives

The Project Development Objective (PDO) is to adopt, upgrade and develop inclusive

innovations for the benefit of the Base of Pyramid (BoP) population. This will be achieved

by strengthening Vietnam's capacity to undertake inclusive innovation, including financing

development, adaptation, adoption, scaling up and commercialization of inclusive technologies,

and improving Research and Development Institutions’ (RDIs’) and Small and Medium

Enterprises’ (SMEs’) technological and innovation capabilities thereby enhancing their

competitiveness

Project Components

The project with an IDA Credit of US$55 million will consist of the following four components:

i. Developing Inclusive Technologies

ii. Scaling up and Commercialization of Inclusive Technologies

iii. Capacity Building and Global Knowledge Transfer

iv. Project Management, Monitoring and Evaluation


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Component I: Developing Inclusive Technologies. The project will support the development of

inclusive technologies that will help address the problems of the BoP population, through

competitive grants, based on public calls for proposals and transparent selection criteria. This

component will provide support for: (i) developing technological solutions to address a few

National Development Challenges (NDCs); (ii) developing, acquiring, adapting and upgrading

inclusive technologies by enterprises and grassroot innovators. The project will focus on key

priority themes which could have a quick and significant impact for the BoP population and in

which Vietnam has a strong tradition, capacity and strategic interest, as reflected in Vietnam’s

2011-2020 Social and Economic Development Strategy (SEDS). The priority themes to be

supported under the project are selected by a National Development Challenges Council in

Vietnam as: (i) Traditional Herbal Medicine (THM); (ii) Information and Communications

Technologies (ICT) Applications (as a tool for the delivery of services to the BoP), and (iii)

Agriculture/Aquaculture applications. Other themes may be considered during project

implementation by the Project Steering Committee (PSC). While developing actual solutions, the

project will also provide ancillary benefits in the strengthening of the capacity (see Component

III) of the key participating institutions

Component II: Scaling up and Commercialization of Inclusive Technologies. This

component will provide loans and matching grants to private enterprises for upgrading, scaling

up and commercialization of inclusive technologies. This will include (i) support for scaling-up,

commercialization and sustainable production of inclusive technologies dealing with

manufacturing of products and services for the BoP; (ii) funding to private sector SMEs1 for the

acquisition, adoption and use of technology and innovations in priority areas with significant

potential for technological up-gradation and growth.

The general eligibility criteria for subproject selection under Component I and II include: a)

existing or new technologies applicable to Vietnam, b) readiness to adoption/adaptation and cost

reduction potential; c) provide solutions to address the needs of BoP and are affordable, durable,

and environmentally friendly; d) time-bond deliverables with 2-3 years to reach the prototype

stage or have the potential to commercialize in Vietnam within 2 years; e) multi-disciplinary

applications of new ideas/ technologies; f) collaboration among RDIs, enterprises, local and

international partners, researchers/ innovators to ensure quality and commercialization potential.

See Annex 2 for details on funding arrangement and subproject selection criteria.

Component III: Capacity Building and Global Knowledge Transfer. The project will support

capacity building of key Vietnamese national institutions for the sustainable development and

delivery of inclusive technologies in the priority areas supported under the project a) enhancing

technology, quality and clinical trial of traditional herbal medicine products; b) enhancing

innovation grant management capacity; c) enhancing capacity in technology transfer and

commercialization, intellectual property rights protection.

1 SMEs are defined as independent production and business establishments registered in Vietnam with a total

registered capital of less than VND 10 billion or total employee fewer than 300 people as per government

regulation.


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Component IV: Project Management, Monitoring and Evaluation. The project will provide

support to EDA PMU and PIUs in NAFOSTED and PFIs for project management, coordination,

capacity building, oversight, monitoring and evaluation, reporting and audits to enable them to

perform its responsibility for project coordination and management.

Project area:

Nationwide as the innovation activities could take place anywhere in Vietnam

Type of potential subprojects:

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

Herbal Medicine (THM)

Quality enhancement in cultivation, production, manufacturing, distribution and

marketing of herbal medicines.

Technology upgrading for cultivation, production, manufacturing, distribution

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

development).

b. Information and Communication Technology (ICT)applications

Enhance the availability, relevance and access to information and contents

targeted at the BoP.

Develop/ design affordable, durable and user friendly ICT devices / applications

for the benefits of BoP.

Develop the appropriate databases for SMEs and farmers.

Develop the advanced software for the big quantity of databases and support to

easily export the databases

c. Agriculture/ Aquaculture applications

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

products.

Develop clean energy/ energy efficient solutions for use by villagers and farmers

to improve life quality and productivity.

Improve quality and safety of agri/aquaculture products.

Other themes may be considered during project implementation by the Project Steering

Committee (PSC). While developing actual solutions, the project will also provide ancillary

benefits in the strengthening of the capacity (see Component III) of the key participating

institutions

1.2 Project management and personnel

Name of Project: Vietnam Inclusive Innovation Project

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

Line Agency: Ministry of Planning and Investment (MPI)


Page 6

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

b) Phone: 04.37349755; Fax: 04.37349755

Project Owner: Enterprise Development Agency

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

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

Project duration: 5 years: 2013-2017

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

a) ODA Funds: USD $ 55.0 million

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

Type of ODA: ODA concessional loan - IDA Credit

1.3 Scope of the ESMF

The ESMF will be used to screen and manage potential environmental and social impacts arising

from implementation of subprojects under components I and II. It also sets out requirements for

activities of upgrading facilities for institutions under component III of VIIP Project.

2. Environmental legislation applicable to the projects

2.1 Vietnamese Environmental Legislations

Law on Environment Protection, No 52/2005/QH11 dated 12 December 2005

Decree No.29/2011/ND-CP dated on April 18, 2011 by Government on provisions on

SEA/EIA and environmental protection commitment

Circular No. 26/2011/TT-BTNMT dated on July 18, 2011 by MONRE on details

provision of some articles of the Government’s Decree No.29/2011/ND-CP dated on

April 18, 2011 on provisions on SEA/EIA and environmental protection commitment

Decree No. 21/2008/ND-CP dated on February 28, 2008 of the Government amending

and supplementing a number of articles of the Government’s Decree No. 80/2006/ND-CP

dated on August 9, 2006

Decree No. 80/2006/ND-CP dated 09 August 2006 by Government, providing details

guidelines for implementation of the Law on Environment Protection No. 52/2005/QH11

Law on water resources No. 1998/QH adopted by Vietnam social republic parliament,

session X, third time dated 20/5/1998.

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

implementation.

Decree No. 149/2004/ND-CP dated 27/7/2004 of Prime Minister on Regulations of

permission for surveying, exploitation, using water resource, discharge into water source;


Page 7

Decree No. 38/2011/NĐ-CP dated on May 26, 2011 on revising and supplementing some

articles of Decree No. 149/2004/ND-CP;

Decree No. 81/2006/ND-CP dated August 9, 2006 by Government: Decree on sanction of

administrative violations in the domain of environmental protection

Decree No. 117/2009/ND-CP dated 31 December 2009 by Government on handling of

violations in the area of environment protection

Decree No. 73/2010/ND-CP on administrative penalization security and society issues

Decree No. 59/2007/ND-CP dated 09/4/2007 of Prime Minister on Solid waste

management;

Circular No. 12/2011/TT-BTNMT on management of hazardous substance

Circular No. 12/2006/TT – BTNMT dated 26/12/2006 of MONRE on guidelines of

practice condition, document procedures, registration, practice permit, code for hazardous

waste management;

Decision No. 23/2006/QD-BTNMT dated 26/12/2006 of Ministry of Natural resources

and environment on hazardous waste catalogue;

Decree No. 13/2003/ND-CP dated 19/2/2003 of Prime Minister on articles regulating

hazardous waste types and their transportation on road;

Circular No. 02/2009/TT-BTNMT dated 10/03/2009 of Ministry of Natural resources and

environment on regulations of waste water receiving capacity of water resource

Law on Vietnam technical regulations No. 68/2006/QH11 dated 29/6/2006.

The Vietnamese Good Agricultural Practice for production of fresh fruit and vegetables

(VietGAP)

Vietnam National Technical Regulations/Standards, include:

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

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

ambient air;

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

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

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

inorganic substances.

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

organic substances.

QCVN 26:2010/BTNMT: Acoustic – Noise from public area and residence. Maximum

allowable noise; TCVN 3985:1999: Acoustic – Allowable noise level at working areas.

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

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

agriculture


Page 8

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

Water quality standards: TCVN 7222 : 2002: General environmental requirements of

centralized wastewater treatment plants;

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

6706-2000: Hazardous waste. Classification.

If new relevant regulation and standards are issued during the Project implementation, then

the new regulations and standard shall be followed.

2.2 World Bank Safeguard Policies and Guidelines

OP 4.01: Environmental Assessment2

The OP 4.01 is triggered as the project may cause some minor adverse environmental and

social impacts associated with supported innovative sub-projects under Components I and

II, and upgrading activities of laboratories from selective institutions under Component

III.

Public Consultation and Information Disclosure

OP4.01 requires during the EA process, that project-affected groups and local

nongovernmental organizations (NGOs) be consulted about the project's environmental

aspects and takes their views into account. OP 4.01 further requires that such

consultations are initiated as early as possible during project preparation and throughout

project implementation as necessary to address EA-related issues that affect them.

As per the World Bank’s Policy on Disclosure of Information and OP4.01 all

Environmental Assessment reports will be disclosed locally in Vietnam and also at the

Info shop in Washington DC.

The World Bank Group Environmental, Health & Safety (EHS) General Guidelines

The EHS Guidelines are technical reference documents with general and industry-

specific examples of Good International Industry Practice (GIIP), as defined in IFC's

Performance Standard 3 on Pollution Prevention and Abatement.

The EHS Guidelines contain the performance levels and measures that are normally

acceptable to The World Bank Group and are generally considered to be achievable in

new facilities at reasonable costs by existing technology.

When host country regulations differ from the levels and measures presented in the EHS

Guidelines, projects are expected to achieve whichever is more stringent. If less stringent

levels or measures are appropriate in view of specific project circumstances, a full and

detailed justification for any proposed alternatives is needed as part of the site-specific

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

http://web.worldbank.org/WBSITE/EXTERNAL/PROJECTS/EXTPOLICIES/EXTSAFEPOL/0,,menuPK:584441~pagePK:641684

27~piPK:64168435~theSitePK:584435,00.html and http://www.ifc.org/ifcext/sustainability.nsf/Content/EHSGuidelines

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

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

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


Page 9

environmental assessment. This justification should demonstrate that the choice for any

alternate performance levels is protective of human health and the environment.

3. Project potential impacts and mitigation measures

3.1 Project potential impacts

The project will include a number of innovative sub-projects under grant and/or loan under

component 1 and 2. In addition, it includes upgrading activities of laboratories from two RDTIs

under component 3. Given the exact nature and location of innovative subprojects under

component 1 and 2 are not identified prior to appraisal; the relevant impacts associated with

these subprojects are mostly unknown. The known impacts may include safety issue and disposal

of waste from RDTIs and SMEs during subproject implementation and operation. The impacts

relating to upgrading of laboratories under component 3 may include during construction minor,

short term impact relating to generation of noise, dust, and waste and safety concern; and during

operation the issue of waste management and laboratory safety. The subprojects’ potential

impacts, if any, are expected to be localized, varying from small medium scale and can be

managed through good design and good management practices during Project implementation

and operation. The Project is not expected to have significant adverse impacts and thus has been

classified as category B Project

3.2 Mitigation measures

As the subprojects are not identified by appraisal, the site-specific impacts of subprojects are not

yet known until implementation phase. Nevertheless, during implementation, the mitigation

measures for generic impacts associated with the upgrading of laboratories under component 3

e.g. generation of dust, noise, waste water, solid waste, and traffic and labor safety - are

described in the Environmental Codes of Practices (ECOPs). These mitigation measures are

applied to construction and/or minor construction activities and shall be implemented by the

contractor implementation construction phase. The ECOPs will be included into the bidding

documents and relevant contract documents.

4. Institutional Arrangement and Capacity for Environmental Management

4.1 Institutional Arrangement

The broad framework for project implementation has been worked out between EDA and the

World Bank. EDA will be the responsible Government agency for the overall planning,

coordination and implementation of the project. A Project Steering Council (PSC) is being

formulated as a policy advisory body to MPI for the project. PSC members will be proposed as

participation of ministerial leaders. Specific members of PSC will be defined before negotiation.

The Director General of EDA will be the Secretary of the PSC. It is expected to meet every six

months to provide policy advice and review project progress. PSC would not be involved in the


Page 10

routine implementation of the project. Consequently, the WB proposal designates the entire

selection process to NAFOSTED (for all grants) and the selected PFIs (for loans). Agencies like

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

the project.

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

Overall mgmt. of grants & loan to

SMEs

Proposal selection criteria

Proposal evaluation

process

Funds management

Overall

implementati

on management;

Coordination;

M&E

World Bank

Enterprises Development Agency (EDA)

Project Management Unit(PMU)

Component III EDA/PMU/

NAFOSTED

Component II

PFIs/NAFOSTED

Gov’t of Viet Nam

Ministry of Planning &

Investment (MPI)

R&D

Institutions

Project

Steering

Council

(PSC)

Component I

NAFOSTED

R&D

Institutions

R&D

Institutions/

Enterprises

Enterprises/SMEs

Component IV

EDA/PMU

EDA/PMU

Overall mgmt. of

grants to R&Ds

Beneficiary

selection criteria

Proposal evaluation process

Funds management

TA/training

Study tour

Equipment;

NHTM

NIMM

VAST

HUST

NAFOSTED

EDA


Page 11

Figure 1: Institutional arrangement for Project Implementation

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

Table 1: Institutional arrangement for ESMF implementation

No Organizations Responsibilities

1 Ministry of Investment

and Planning (MPI)/

Project Management Unit

(PMU) under EDA

- Responsible for overall coordination of Project implementation including

safeguard execution.

- Provide training and technical assistance as necessary to strengthen capacity

for environmental staff/consultant under EDA and NAFOSTED.

- Update the ESMF as necessary, taking into the lesson learnt during Project

implementation.

- Allocate staff /consultant responsible for ensuring social and environmental

compliance of institute upgrading activities under Component 3. The role of

staff/consultant but not limited to the following:

Preparation of environmental documents to ensure the environmental

compliance and safety during upgrading process.

Monitoring the implementation of environment and safety compliance by

contractor/equipment supplier during upgrading process and by

beneficiary institutes during 1st year of operation.

Report on implementation including environmental compliance to WB for

review.

2 Project Implementing

Unit (PIU) under

NAFOSTED

- Allocate qualified staff and/or consultants to be responsible for ensuring

environmental and social safeguard compliance of the subprojects under

Components 1 and 2. The role of the allocated staff and/or consultant

include but not limited to the followings:

Screening, reviewing and appraisal of Environmental Safeguard

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

institutions and financed SMEs.

Monitoring the implementation of mitigation measures by subproject

owners.

Report on subproject implementation including environmental

compliance to WB for review.

3 Participating Financial

Institution (PFIs)

- Rely on NAFOSTED system to ensure the social and environmental

compliance of sub-loans under Component 2

4 Subproject owners under

Components 1 &2

- To carry out measures to mitigate impacts as specified in approved

environmental safeguard documents (EIA/EPC/EMP)

- Internal monitoring and reporting the sub-project implementation, including

environmental safeguard compliance to PIU for reviewing

5 Contractors and

equipment suppliers,

beneficiary institutes

under Component 3

- Contractor and equipment supplier: carry out mitigation measures during

implementation

- Beneficiary institutes: carry out mitigation measures and environmental

compliance during operation

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


Page 12

including DONRE monitoring as mandated by GoV regulations

7 World Bank - Provide guidance to PMU, PIU and PFIs in project implementation

including ESMF execution

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

component 1 and 2

4.2 Institutional Capacity

The MPI/EDA may have some previous experience in carry out WB financed projects. However,

the staffs that had experience on safeguard management of these previous projects may not be

available to be assigned as Staff Officer for VIIP project. NAFOSTED may allocate qualified

staff who understands well GoV environmental regulation under its relevant Science Committee.

However, NAFOSTED has never been carried out WB funded project and therefore does not

have experience of the World Bank’s safeguard policies. The current capacity of NAFOSTED

and EDA regarding ESMF implementation, therefore, is considered to be limited.

The Project will require the allocation of qualified environmental staff under EDA and

NAFOSTED to oversee environment and social safeguard issues and necessary training will be

carried out to strengthen capacity of EDA and NAFOSTED in implementing safeguard

requirements

5. Environmental Management Procedures for subprojects under Components 1

and 2

This section describes the actions to be followed by other actors – as specified in section 3 – to

implement World Bank safeguard policies and GoV environmental requirements at each stage of

subproject implementation and preparation. These include:

- Environmental and social screening

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

- Public Consultation and Disclosure

- Monitoring

- Reporting

The Environmental Management Procedures described in details in section 5.1 -5.5. In addition,

the Environmental Management for subproject under components 1 and 2 is summarized in

Table 3.


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5.1 Environmental and Social Screening

5.1.1 Subproject classification criteria

The purpose of screening is to determine the subproject eligibility for WB funding and to

identify subproject potential impacts and consequently the appropriate instrument to manage

those impacts.

By design, the VIIP Project only triggers the Bank safeguard policies OP/BP 4.01 Environment

Assessment. Any subproject triggering other safeguard policies will be excluded from Bank

financing. In addition, the subprojects which cause significant impacts will not be eligible for

Bank financing.

According to the OP/BP 4.01, the WB classifies the projects based on the extent and potential

severity of the impacts. A project which causes significant adverse environmental impacts that

are diverse, irreversible and unprecedented is categorized as A and for this project, a full

environmental assessment (EA) needed to be prepared. Category B projects are those with less

significant adverse impacts which are site-specific, few if any of them are irreversible; and in

most cases mitigation measures can be designed more readily than for Category A projects.

Category B project will require preparation of Environmental Management Plan (EMP) or an

EIA with scope narrower than that of category A The project that causes minimal or no adverse

impacts is categorized as C and beyond screening, no environmental assessment is required.

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

projects.

i. The projects belong to the list in Annex II of Decree No29 are subjected to

Environmental Impact Assessment (EIA) elaboration. In addition, for those projects

belonging to Annex III, which cause potential high adverse impacts, an EIA report needs

to be prepared and approved by MONRE instead of local authorities.

ii. The subprojects/activities subject to prepare and register for an Environmental Protection

Commitment (EPC) include:

o Investment projects having nature, scale and capacity which are not listed or under

the level prescribed in the list in the Annex II of this Decree

o Activities of production, business, or services which are not required to formulate

investment project but shall generate waste during its implementation

The differences in GoV and WB category approaches may lead to different requirements on

potential subprojects. To address any potential the inconsistency and to ensure that the selection

of sub-projects will strictly follow the GoV regulation, the WB safeguard policies and project

design, the subprojects/activities under VIIP Project Support is classified in 5 types as

follows:


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

a) those subprojects which cause significant, diverse, irreversible and unprecedented

environmental impacts corresponding to WB category A classification impacts

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

- EIA-type: the subprojects that belong to the list in Annex II of Decree

No29/2011/ND-CP. They are subprojects/activities with impacts that are site-specific, not

irreversible, and can be readily identified and standard preventative and/or remedial

measures can be designed more readily.

It is required that an EIA for each sub-project be prepared and approved by related

provincial people’s committee. An EMP that meets World Bank’s requirements will be

integrated into the EIA. The content of an EMP can be found in Annex 3.

- EPC-type: those subprojects/activities subjected to EPC preparation and registration as

regulated by Decree No29.

It is required that an EPC for each sub-project be prepared and approved by related

district/commune-level people’s committee. An EMP that meets WB’s requirements will

be incorporated into the EPC.

- EMP-type: the subprojects are classified neither in EIA-type nor in EPC-type but they

may generate dust, noise, solid waste and waste water and labor safety issues during

subproject cycle; for example research subproject/activity.

It is required an EMP in accordance with World Bank’s safeguard policies. The EMP

will be approved by PIU under NAFOSTED.

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

It requires no further environmental assessment

5.1.2 First level: Safeguard policies screening

For each subproject, PIU environmental staff/consultant will refer to the project proposal and to

fill in an “ENVIRONMENTAL AND SOCIAL SAFEGUARDS CHECKLIST” as introduced in

Annex 1.

By design, the Project will not trigger any Bank safeguard policies except OP 4.01 –

Environmental Assessment and not finance any technology or activity which causes significant

adverse, irreversible impacts.

In addition, to avoid any impacts on the misuse of pesticide to human health and environment, by

design, the Project will not support the procurement of pesticide and pesticide equipment

application. The Project will not finance any activity that may lead to a substantial increase in

use of pesticides and subsequent increase in health and environmental risk. The project will also

exclude any activity/subproject that may maintain or expand present pest management practices


Page 15

that are unstable, not based on an integrated pest management (IPM) approach and/or pose

significant health and environmental risk.

Eligibility:

If the subprojects only bring about positive impacts and/or causing no adverse impact, it is

appraised as environmental eligible and beyond screening, no environmental requirements

is needed.

If sub-projects implementation triggers any of the Bank safeguard policies beyond OP4.01

Environmental Assessment, it is considered as ineligible for financing

If the sub-project implementation triggers OP/BP 4.01, the 2nd

level screening is required

5.1.3 Second-level: Impacts screening

Base on the nature, scale, extent of subprojects/activities and their impacts, the NAFOSTED

environment officer will classify them into EIA-type, EPC-type and EMP-type or C-type as

described in section 5.1.1 above. The screening result should be recorded the Environmental

Screening Form as attached in Annex 2.

The NAFOSTED PIU environment officer must send to the WB the list of propose sub-projects

and screening result at two screening levels as specified in Annex 1 and Annex 2. The WB may

randomly screen about 5-10% of total proposed sub-projects to evaluate the screening process. If

the WB does not satisfy with capacity of PIU in screening process, the EDA shall provide

additional strengthening measures to enhance capacity.

5.2 Preparation of EIA/EPC/EMP

Subproject owners will prepare an EIA/ EPC/EMP for each subproject at preparation phase, i.e.

in parallel with the preparation of Economic-Technical Report (ETR) or Feasibility Study (FS)

and conduct public consultations and information disclosure as guided in section 5.3.

Specifically:

- EPC-type subprojects: The subproject owners will develop one EPC and get approval from

appropriate local authorities.

- EIA-type subprojects: The subproject owners will prepare TOR for the EIA report and send to

PIU under NAFOSTED for prior review. Upon clearance, subproject owner should proceed to

hire a consultant to prepare the EIA report. The draft EIA report will be reviewed by

NAFOSTED. The WB may randomly prior review up to 30 % of draft EIAs to ensure that the

potential impacts are considered and adequately addressed. After the draft EIA is cleared by

NAFOSTED and/or WB, the sub-project owner will get it approved from appropriate local

authority.

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

and CirNo 26/2011/MONRE.


Page 16

- EMP-type subproject: The subproject owner will develop one EMP to address potential

adverse impacts. The content of the EMP can be referred to in Annex 3

- For subproject which have a recently approved EIA or EPC

For subproject which an EIA and EPC has already been approved by GoV authorities, the

NAFOSTED environment staff/consultant will make a due diligence to assess the adequacy of

these reports. If any insufficiency is identified, the subproject owner will have to prepare one

Environmental Management Plan (EMP) with supplementary measures, subjected to

NAFOSTED prior review and approval. A commitment of MOU signed between subproject

owners and NAFOSTED PIU in allocating resources for implementing EMP is the condition for

grant/loan disbursement. The content of EMP can be found in ANNEX 3

Note: Project does not support any new construction work and the safeguard policy on Physical

Cultural Resources (OP4.11) is not triggered. However, during subproject implementation,

chance-find procedures shall be included into EA documents and contracts to guide the

sub-project owner and contractors on necessary step to be taken in case of finding archeological

artifacts. The chance-find procedures are described in ANNEX 4.

5.3 Public consultation and disclosure of EIA/EMP/EPC

Public consultation

During preparation of EIA/EMP/EPC, the subproject owners will conduct public consultation to

ensure that potential affected people understand subproject and their concern will be adequately

addressed via mitigation measures during subproject design, implementation and operation.

Concretely, during EIA preparation, the sub-project owner will consult commune-level People

Committee and representatives of residential community and organization which is directly

affected by the project. During EMP/EPC preparation, the subprojects owners will consult with

the potential affected people. The public consultation can be either in the form of questionnaire

or community meeting. The subproject owner will present potential affected people

negative/positive impacts of the subproject and proposed mitigation measures and monitoring

process as proposed in draft EIA/EMP/EPC and take their view into account.

The public consultation activities - including date, location, and publication form, comment from

consulted people and response from subproject owner - shall be documented in the final

EIA/EMP/EPC report.

Public consultation is required for enterprise but not for research institute because the

characteristics of research activities are unique and it is most likely that affected household

regarding to such is identified.


Page 17

Disclosure of EA documents

During sub-project preparation, all EIA/ EMP/ EPC for subprojects must be disclosed in a timely

manner, in an accessible place, in a form and language understandable to stakeholders.

In addition, a package including EIA/EMP/EPC final reports, approval documents and any other

environmental certificates will be disclosed at WB library (VDIC) in Hanoi before loan/grant

agreement.

5.4 Monitoring

During subproject/activity implementation, the mitigation measures outlined in EIA/EMP/EPC

should be monitored to ensure that they are implemented in a timely and adequately. In some

case, it is necessary to take additional measures to ensure that all arising impacts are adequately

addressed.

Internal monitoring

Each subproject owner should carry out internal monitoring during implementation. For EPC-

type project, the internal monitoring by subproject own staff is sufficient.

For EIA-type project, the subproject owner may use its own staff for monitoring if it is certified

as capable by PIU. In most cases, it needs to hire the consultant to carry out internal monitoring.

In this case, TOR for consultant shall be prepared by sub-project owner and approved by

NAFOSTED.

PIU monitoring

In addition to internal monitoring, the PIU environmental staff/consultant will monitor the

environmental and social safeguard compliance of subprojects on periodic basis as committed in

the EIA documents. Generally, it will be twice per year for EIA-type sub-project and one per

year for EPC-type subproject. The monitoring shall be conducted during implementation and 1st

year of sub-project operation phase.

5.5 Reporting and documentation

Reporting:

The subproject owner will prepare periodic reports on implementation of mitigation measures

and internal monitoring as scheduled in EIA/EMP/EPC reports. These reports shall be sent to

PIU under NAFOSTED prior to scheduled date of external monitoring by PIU.

The PIU will provide the bi-annual report on project implementation and safeguard compliance

and send them to WB for reviewing. Also, the PIU shall send the report to PMU for

documentation.


Page 18

Documentation

It is the responsibility of the sub-project owners to obtain any necessary licenses or permits

which is required approval of any Vietnamese environmental authorities during project

implementation and operation phases.

PIU and the sub-project owners are responsible for record and keep all safeguard documents

including Environmental and social safeguard checklist, Environmental Impact Screening Form,

confirmation on Public Disclosure, Licenses and permits, environmental monitoring report from

each subproject investment.


Page 19

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

Phase Subproject owners NAFOSTED -PIU WB

Subproject

identification

Step1: Screening

1.1 Prepare basic information and

submit to PIU under NAFOSTED for

screening.

1.1 Screening

- Screening to exclude subprojects

triggering Bank safeguard policies other

than OP/BP 4.01.

- Screen to categorize project as

IE-type, EIA-type, EPC-type or C-type

- Submit project information and

screening results to WB for reviewing

1.1 Review on random basis and

confirm the appropriateness of

NAFOSTED reviewing

1.2. If the project is determined as

EIA-type, prepare and submit to

NAFOSTED the report on its

institutional capacity to carry out

environmental safeguard

1.2 Assess the report on borrower

institutional capacity to carry out

safeguard requirement.

1.2 Review on random basis to

ensure the acceptability of

institutional capacity of

subproject owner

1.2 Require the sub-project owner to

prepare the EA documents

(EIA/EPC/EMP) corresponding to the

category of each subproject.

- For EIA subproject, require the

subproject owner to prepare the EIA

report.


Page 20


- For EPC-type subproject, require the

subproject owner to prepare the EPC

- For EMP-type subproject, require the

subproject owner to prepare an EMP

- For C-type subproject, no further

environmental process is required

- If the subproject owner present a

recent approved EIA/EPC, conduct an

environmental due diligence and request

the sub-borrower to prepare an EMP as

necessary

Sub-project

preparation

Step 2: EA preparation

2.1 For EIA-type subproject, prepare

the TOR for EIA preparation and send

to PIU for review

2.1 Review the TOR submitted by

subproject owner. Send the TOR for WB

for random review

- Clear the content of TOR

2.1 Random on random basis

the TOR for EIA-subjected

project ensure that it is

acceptable

2.2 Prepare EIA/EMP/EPC as required

by GoV and WB regulations

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

3.1 Conduct public consultation with

potential affected people about the


Page 21


content of EIA/EMP/EPC

3.2 For EIA-type project, also consult

with commune/ward authorities

3.3 Incorporate inputs from public

consultation into the final

EIA/EPC/EMP report

3.4 Disclose the EIA/EMP/EPC report

at public place

Step 4: Finalization and Approval of EA report

4.1 Finalize EIA/EPC/EMP report,

submit to NAFOSTED for reviewing

4.1 Review the EIA/EMP/EPC, send to

WB for random review

4.1 Review on random basis to

ensure that it is acceptability

WB may review the first two

reports of each type: EIA, EPC,

EMP

4.2

- For subproject needed to prepare

additional EMP, send the EMP to

NAFOSTED for approval

- For EIA/EPC type: send the EIA/EPC,

acceptable by NAFOSTED to

appropriate authorities for approval.

4.2

- Approve the EMP

- Send the safeguard approval package to

WB for recording

4.2 Disclose the approval

package (approved report and

document) in Vietnam

Development Information

Center (VDIC) in Hanoi


Page 22


Send the approval package to

NAFOSTED.

Sub-project

Implementation

Step 5: Monitoring and Reporting

- Implement the mitigation measures

via contractors

- Conduct internal monitoring on

contractor implementation of safeguard

requirement. Frequency: regular basis-

daily.

- Send the biannually safeguard

monitoring report to NAFOSTED

- Carry out monitoring on the

implementation of safeguard

requirements and internal monitoring

- Prepare the environmental monitoring

report and send to WB for review

- Review to ensure the

acceptability of the

environmental monitoring

report

- Carry out monitoring on

random basis during annual

supervision mission


31

6. Environment Management Procedures for upgrading activities for

institutions under Component 3

Preparation

During preparation period, the PMU staff/consultant under EDA will to prepare an EMP to

address any potential impacts associated with the upgrading activities of institutions under

component 3.

The content of EMP shall include brief description of upgrading activity, potential impacts

and relevant mitigation measures, monitoring plan, public consultation, institutional

arrangement and cost for environmental safeguard implementation. EMP template can be

found in ANNEX 3. The content of draft EMP must be consulted and agreed with beneficiary

institutions.

The mitigation measures as specified in the EMP generally should include those conducted in

during design, implementation and operation phases. The mitigation measures during detail

design shall be carried out by PMU/design consultant. The mitigation measures during

rehabilitation period shall be carried out by contractor while the beneficiary institutions shall

be responsible for carrying out mitigation measures during operation phase.

As the minor civil work/rehabilitation activities might cause impacts and nuisance to nearby

surroundings, generation of dust, noise, waste water, solid waste, traffic and labor safety.

These impacts needed to be avoid and mitigated through good construction practices. The

mitigation measures for impacts during minor construction/rehabilitation period are included

in the ECOPs (see ANNEX 5). They shall be carried out by contractor during

rehabilitation/construction period. The PMU shall include ECOPs into the bidding and

contract documents.

The PMU shall send the draft EMP to WB for prior review and then approve it. The final

approved EMP will be sent to WB for disclosed in WB library (VDIC). In addition, the

approved EMP will be disclosed at beneficiary institutions.

Note: Project does not support any new construction work and the safeguard policy on

Physical Cultural Resources (OP4.11) is not triggered. However, chance-find procedures

shall be included rehabilitation contracts to guide the contractors on necessary step to be

taken in case of finding archeological artifacts during upgrading of selective institutions. The

chance-find procedures are described in ANNEX 4.

Implementation

During implementation, the PMU environmental officer/consultant shall conduct monitoring

the contractor and equipment suppliers in implementing mitigation measures as specified in

the ECOPs. The PMU shall report on the safeguard implementation as a part of Progress

Report.

Operation

During the 1st year of operation, the PMU shall monitor the implementation of environmental

compliance by beneficiary institutions. The monitor will be carried out twice a year when


32

applicable and the PMU shall include the monitoring result in the Progress Report to WB for

review.

7. Capacity building and Training Plan

Based on actual demands, a capacity building and training program for relevant agencies is

established as shown in the table below. The cost for capacity building program is included in

cost for safeguard implementation.

Table 4: Proposed programs on capacity building on environmental management

Training content Objects Training time Responsibility Budget

Training on the

safeguard

implementation

EDAPMU

Safeguard staff;

PIU staff

Subproject

owners

Beneficiary

institutions

During

subproject’s

preparation stage

PMU in

coordination

with

Environmental

Consultant

A part of

environmental

consultant

contract

8. Estimated Cost for ESMF implementation

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

Table 5.


33

Table 5: Estimated cost for safeguard implementation

Description Time Unit cost Total

(USD)

NAFOSTED/PIU

PIU

environmental

staff/consultant

- Carry out environmental management for subprojects

under Component 1 & 2 including

+ Environmental screening

+ Review to ensure the adequacy of safeguard document

i.e. EIA/EPC/EMP prior to submission

+ Monitoring implementation of safeguard compliance

by subproject owners under component 1&2.

5 years

69915

EDA/PMU

Local

Environment

safeguard

specialist in

PMU

- Capacity building related to safeguard implementation

for PIU, PMU and beneficiaries staff.

- Preparation of EMP for institutions upgrading under

component 3

- Monitoring safeguard compliance by contractors and

beneficiary institutions under component 3

5 years

7000

TOTAL EXPENSES 78,915

9. Public Consultation and Disclosure of Project ESMF

During preparation of ESMF, meaningful consultations have been conducted with key

stakeholders of VIIP project including NAFOSTED, one potential PFI and EDA some

institutions i.e. Vietnam Academy of Science and Technology (VAST), National Institute of

Medical Materials (NIMM), National Hospital of Traditional Medicine (NHTM). Detailed of

the public consultation is shown in Table 6. The concerns/feedbacks from stakeholders have

been incorporated into the final ESMF.

At Project level, the final draft of the ESMF has been disclosed locally in NAFOSTED, EDA

and one potential PFI Offices and at Vietnam Development Information Center (VDIC) in

Vietnamese language and in the WB InfoShop in Washington DC in English language prior

to the appraisal mission.


34

Table 6: Public consultation and information disclosure of the ESMF

Objective Participants Time Consultation results

The first round

Dissemination of project

information; Collection of

environmental baseline

information; identification

of potential environmental

issues during the project

implementation

Representatives of

EDA, NAFOSTED,

NHTM, NIMM,

VAST, HUST

During number of meeting with

potential beneficiaries and

workshop Saturday 3/10/2012

at Workshop Woman Center

Hotel, Hanoi

Discussion

Dissemination of the

content first draft ESMF

Representatives of

EDA, NAFOSTED,

NHTM, NIMM,

VAST, HUST

Thursday 01/11/2012 at

workshop for comment on FS

including ESMF preparation in

Kim Boi Hotel, Hoa Binh

Agreement of the content

Dissemination of the

content first draft ESMF

Representatives of

EDA, NAFOSTED,

NHTM, NIMM,

VAST, HUST

During number of Meetings

with World Bank pre-appraisal

mission from November 5-15,

2012

Meeting note and Aide

Memoir

The second round

Disclosure of the second

draft ESMF

Public on website uploaded your news plus

attached file to

bussiness.gov.vn with follow

link: http://www.business.gov.v

n/newsevents.aspx?id=13068

Public awareness

Discussion about the

content second draft

ESMF

Representatives of

EDA, NAFOSTED,

NHTM, NIMM,

VAST, HUST

Workshop for reviewing final

draft FS including ESMF in

Yen Bai, Ba Vi, Hanoi, dated

12/12/2012-13/12/2012

Representatives of

participants agree with

content of second draft

ESMF.

Disclosure Final version

of ESMF

EDA, NAFOSTED, Via email dated 03/12/2013 Agreement of the content.

Officially written opinions

specific in reply email

http://bussiness.gov.vn/

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

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


35

ANNEXES

ANNEX 1: ENVIRONMENTAL AND SOCIAL SAFEGUARDS CHECKLIST

With all subprojects/activities under Component 1, 2 and 3 under VIIP, the EDA/NAFOSTED

environmental staff/consultant will do screening to determine the eligibility of the subproject.

The PMU/PIU environmental staff and/or consultant will complete checklist. By indicating “yes” to

any safeguard policy other than Environment Assessment – OP4.01, the project is considered as not

eligible

Note: if any policy is triggered by the sub-project, the project’s owner must indicate the

severity of the potential impact as instructed in the Table below. If not, the sub-project will be

considered as environmentally non-eligible.

Note: If any policy is triggered by the subproject, the project’s owner must indicate the severity of

the potential impact as instructed in the Table below. If not, the subproject will be considered as

safeguard ineligible.

Subproject Name:

SAFEGUARD

POLICY

Identification of Possible

Safeguard issue(s)

Please check one box: Provide your

response here,

if applicable:

Environmental

Assessment

Does the project have the

potential for adverse

environmental or social risks

and impacts in its area of

influence?

No

Yes

If yes, indicate here the

potential severity of the

impact and proposed

project design elements

that will help prevent

potential adverse impacts.

Natural

Habitats

The World Bank does not

finance projects that degrade

or convert critical habitats

(protected areas or sites

important for biodiversity).

Do the project activities have

the potential to cause

significant conversion (loss)

or degradation of non-critical

natural habitats? (The loss

can occur either directly (e.g.

construction activities) or

indirectly (through human

activities induced by the

project).

No Yes

If yes, indicate here either

proposed alternative site(s)

or if no alternative sites

are available, proposed

project design elements

that will help prevent

potential adverse impacts.

Pest

Management

Are any pesticides or

procurement of pesticide

equipment being financed by

the project?

No Yes

If yes, indicate the

proposed project design

elements (Integrated Pest

Management) that will help

prevent potential adverse

impacts. If yes, indicate

here proposed project

Does the project introduce

new pest management

practices or expand or alter

existing pest management

No


36

practices? design elements that will

help prevent potential

adverse impacts

Are there other project

activities that may lead to

substantially increased

pesticide use?

No

Does the project include the

manufacture or disposal of

environmentally significant

quantities of pest control

products?

No

Forests Does the project have the

potential to have an impact on

the health and quality of

forests or the rights and

welfare of people and their

level of dependence upon or

interaction with forests?

No Yes

If yes, indicate the potential

severity of the impact and


elements that will help


impacts.

Does the project aim to bring

about changes in the

management, protection, or

utilization of natural forests

or plantations?

No Yes

If yes, indicate whether the

management will ensure

sustainability of the forest

resources.

Safety of Dams Are any project activities

related to the construction of

a large-scale dam?

No

Cultural

Property

Would project activities

likely adversely affect

physical cultural resources?

These could be temples,

burial sites, or archeological

sites.

No Yes






impacts.

Projects in

International

Waterways

Are project activities being

conducted in international

waterways?

No

If yes, please contact the

World Bank for further

information.

Projects in

Disputed Areas

Will the project be working

where there are different

countries that are claimants to

disputed areas?

No

If yes, please contact the

World Bank for further

information.

Involuntary

Resettlement

Is there any possibility that

project activities would

displace persons

involuntarily? Please note

that displacement includes

loss of land or other assets

caused by: (i) relocation or

loss of shelter; (ii) loss access

to assets in protected areas

resulting in adverse impacts

on livelihoods; (iii) loss of

income sources or means of

No Yes



describe project activities

that would assist displaced

persons in their efforts to

improve or at least restore

their standards of living.


37

livelihood, whether or not the

affected people must move to

another location. If land is

acquired and no person is

involuntarily displaced, the

policy is not triggered.

Indigenous

Peoples (ethnic

minorities)

Would the project likely have

negative impacts on ethnic

minorities or have the

potential to bring positive

benefits to ethnic minorities?

No Yes

If yes, indicate the severity

of the potential impact

(positive or negative) and




impacts or ensure

appropriate access to

positive benefits.

Date Screen by

(Full name and signature)

Verified by

(Sign and stamp by the PMU/PIU

director)


38

ANNEX 2: ENVIRONMENTAL IMPACT SCREENING FORM

After referring to each sub-project proposal and their relevant “Environmental and Social Safeguards

check list, the PMU/PIU (please specify) and its consultant is required to fill in the Environmental

Impact Screening Form to determine the magnitude of positive and negative impacts that each

subproject can bring about and thus to decide if the subproject is environmentally eligible.

Sub-Project Name:

1. Determination of Subproject Type

EIA-type EPC-type EMP-type C-type

2. Reason for the subproject type characterization

Assessment of Potential impact caused by sub-project implementation: the magnitude of potential

impact and the ready level for designing the mitigation measures

Socio-environmental issue Yes No comment

Will the implementation and associated activities cause:

(Instruction: Where possible, give quantitative information

in “comments” column when the answer is “yes” for the

case that no mitigation measures applied FIRTST-PMU can

add questions at the end of this table and give the answer if

additional issues are identified.

1. Clearance of trees at construction sites, camps, or

storage areas?

2. Water pollution (increased turbidity due to construction

wastes or construction materials, fuels from construction

sites come into water bodies), or localized flooding due to

wastewater from construction site?

3. Noise, dusts and vibrations generated from construction

plants (e.g. noise from trucks) and construction activities

(e.g. pilling, concrete mixing etc)?

4. Generation of waste?

5. Landscape degradation at site exploited for filling

materials?

6. Increased land sliding potentials at excavated sites?

7. Traffic disturbance due to the transportation and

temporary loading of construction materials, and/or

construction activities?


39

8. Damages to crops, existing infrastructure?

9. Interruption of existing public services (irrigation, power

supply, telecommunication phone line etc)?

10. Safety risks to local community, particularly children,

and workers?

11. Limit access to water by local water users, or limit

access to other public services?

12. Graves, explosive materials, cultural/ archeological

objects are exposed?

13. Erosion during operation phase of rehabilitated

irrigation works?

14. Disrupt access to households?

15.etc

3. Conclusions

Is the subproject environmentally eligible?

Yes No

4. If there is any approved safeguard documents was obtained?

Yes No

If yes, please specify and provide the date of the obtained safeguard documents.

5. What further Environmental Assessment report should be prepared and getting approval by

the subproject owner?

EIA-type EPC-type EMP-type None

Date Verified and Screened by

Full name and signature of Staff/Consultant


40

ANNEX 3: Environmental Management Plan (EMP) Model

FOR

Inclusive Innovation Sub-Project

1. Sub-Project description

Provide pertinent background for parties who may conduct the SEMP, whether they are

government agencies/sponsors, consultants or NGOs. Include a brief description of the major

components of the proposed project, a statement about its need and objectives, the

implementing agency, a brief history of the project (including alternatives considered), its

current status and timetable, and the identities/natures of any associated projects. A summary

description of the environmental setting should be provided.

2. Applicable Environmental Legislations

Identify laws, regulations and guidelines likely to govern the conduct of the assessment or

specify the content of its report. They may include any or all of the following:

World Bank Operational Policy; i.e "Environmental Assessment; Public Consultation

and Information Disclosure and The World Bank’s Environmental, Health and Safety

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

Regional, provincial or communal environmental assessment regulations; and

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

Identify design or operating standards that project components must meet to be in

compliance with environmental safeguards. This will include, for example, air emission

standards and occupational health and safety requirements.

3. Overview of Adverse Impacts and Mitigate Measures

Summary of impacts: Predicted adverse environmental and social impacts (and any

uncertainties about their effects) for which mitigation is necessary should be identified and

summarized.

Description of mitigation measures: Each measure should be briefly described in relation to

the impact(s) and conditions under which it is required. These should be accompanied by, or

referenced to, designs, development activities (including equipment descriptions), operating

procedures, and implementation responsibilities. Proposed mitigation measures to facilitate

public consultation should be clearly described and justified.


41

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

Activities Environmental

Impacts/Issue

Mitigating

Measures

Responsibility Date

(Start/End)

Design Phase

Sub-Project

implementation

phase

Sub-Project

Operation phase

4. Institutional Arrangements

Responsibilities for mitigation, monitoring, and supervision should be defined along with

arrangements for information flow, especially for coordination between agencies responsible

for mitigation. This is especially important for projects requiring cross-sectoral/Institutional

integration. In particular, the EMP specifies who is responsible for undertaking the

mitigating and monitoring measures, e.g., for enforcement of remedial actions, monitoring of

implementation, training, financing, and reporting. Institutional arrangements should also be

crafted to maintain support for agreed enforcement measures for environmental protection.

Where necessary, the EMP should propose strengthening the relevant agencies through such

actions as: establishment of appropriate organizational arrangements; appointment of key

staff and consultants; and, arrangements for counterpart funding and on-lending.

4.1 Organizations

The organizations in charge of implementation and supervision of the mitigation and

monitoring measures can be described via a chart. For example:


42

4.2 Responsibilities

These stakeholders may be involved in the sub-project environmental management. The

responsibilities of the relevant stakes holders in each sub-project should be represented as

bellows

No Organization Responsibilities

1 Subproject owner

2 Design Engineer

3 PIU/PMU

4 Contractors/Equipment

Suppliers

5 Consultant

6 Environmental Consultant

7 Etc

5. Monitoring and Reporting

5.1 Description of monitoring program (where applicable)

The EMP identifies monitoring objectives and specifies the type of monitoring required; it

also describes performance indicators which provide linkages between impacts and

mitigation measures identified in the EA report, parameters to be measured, methods to be

The World Bank MPI Vietnam

PIU/NAFOSTED

PMU

Under EDA

Sub projects

Department of Natural

Resources &

Environment

(DONRE)

Equipment suppliers

and contractors (where

applicable)


43

used, sampling location and frequency of measurements, detection limits (as appropriate)

and definition of thresholds to signal the need for corrective actions. Monitoring and

supervision arrangements should be agreed by the sub-project owner and PIU/PMU the

Bank and the borrower to: ensure timely detection of conditions requiring remedial measures

in keeping with good practice; furnish information and the progress and results of mitigation

and institutional strengthening measures; and, assess compliance with national and Bank

environmental safeguard policies.

MONITORING PLAN

What

parameter

is to be

monitore?

Where

is the

parameter

to be

monitore?

How

is the

parameter

to be

monitored/

type of

monitoring

equipment?

When

is the

parameter to

be monitored-

frequency of

measurement

or continuous

Standard

applied

Monitoring

Cost

What is the

cost of

equipment or

contractor

charges to

perform

monitoring

Responsibility Report to /

frequency

Time

(Start/End

Date)

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

For example: contingency plan against fire risk

5.3 Environmental Compliance Framework

For example Compliance framework for equipment suppliers

6. Capacity Building/Training Plan (where applicable)

Organizer Course Participants Frequency Duration Content Budget

7 Budget

Cost estimates: These should be specified for both the initial investment and recurring

expenses for implementing all measures defined in the EMP, integrated into the total project

costs and factored into loan negotiations.

It is important to capture all costs – including administrative, design and consultancy, and

operational and maintenance costs – resulting from meeting required standards or modifying

project design.

8. Consultation and Public Disclosure


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Presenting the results of Consultation and Public Disclosure

9. Other Information

Include here lists of data sources, project background reports and studies, relevant publications, and other

items to which the consultant's attention should be directed.


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ANNEX 4: CHANCE-FIND PROCEDURES

Specific procedures are to be applied in case of archeological artifact finds. The

diagram below identifies steps to be taken. The sub-project owner will be responsible

for the overall coordination and reporting. The chance find procedures will be

included in all contracts and sub-project owner and contractors will be responsible to

implement them.

Archeological artifacts found during

sub-project implementation

(Contractor)

Temporarily stop implementation,

and install the protection fence,

immediately contact the sub-project

owner

All parties record the scene

Subproject owner report in writing

to Department of Culture,

Information and Tourism (DCIT)

Subproject owner shall also report

to NAFOSTED/EDA for

information

Implement next steps under

guidance of DCIT


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ANNEX 5: Environmental Code of Practice (ECOPs)

ISSUES/RISKS MITIGATION MEASURE

1. Dust generation/

Air pollution

The Contractor implement dust control measures to ensure that the generation of dust is minimized and is

not perceived as a nuisance by local residents, maintain a safe working environment, such as:

- water dusty roads and construction sites;

- covering of material stockpiles;

- Material loads covered and secured during transportation to prevent the scattering of soil, sand, materials,

or dust;

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

2. Noise and

vibration

All vehicles must have appropriate “Certificate of conformity from inspection of quality, technical safety and

environmental protection” following Decision No. 35/2005/QD-BGTVT; to avoid exceeding noise emission

from poorly maintained machines.

3. Water pollution Portable or constructed toilets must be provided on site for construction workers. Wastewater from toilets as

well as kitchens, showers, sinks, etc. shall be discharged into a conservancy tank for removal from the site or

discharged into municipal sewerage systems; there should be no direct discharges to any water body.

Wastewater over permissible values set by relevant Vietnam technical standards/regulations must be

collected in a conservancy tank and removed from site by licensed waste collectors.

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

sealed off.

Do not allow waste, litter, oils or foreign materials into water sources


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Do not wash cars or machinery in natural water sources

A comprehensive listing of sources and location of wastewater discharge will be prepared and maintained

Appropriate operating procedure will be undertaken for minimization of wastewater (such as neutralizing

predisposal treatment, etc.)

4. Drainage and

sedimentation

The Contractor shall follow the detailed drainage design included in the construction plans, to ensure

drainage system is always maintained cleared of mud and other obstructions.

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

5. Solid waste At all places of work, the Contractor shall provide litter bins, containers and refuse collection facilities.

Solid waste may be temporarily stored on site in a designated area approved by the Construction Supervision

Consultant and relevant local authorities prior to collection and disposal.

Waste storage containers shall be covered, tip-proof, weatherproof and scavenger proof.

No burning, on-site burying or dumping of solid waste shall occur.

Recyclable materials such as wooden plates for trench works, steel, scaffolding material, site holding,

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

fill, or for sale.

If not removed off site, solid waste or construction debris shall be disposed of only at sites identified and

approved by the Construction Supervision Consultant and included in the solid waste plan. Under no

circumstances shall the contractor dispose of any material in environmentally sensitive areas, such as in

areas of natural habitat or in watercourses.

6. Chemical or

hazardous wastes

Used oil and grease shall be removed from site and sold to an approved used oil recycling company.

Used oil, lubricants, cleaning materials, etc. from the maintenance of vehicles and machinery shall be

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


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approved hazardous waste site.

Store chemicals in safe manner, such as roofing, fenced and appropriate labeling.

Do not use unapproved toxic materials, including lead-based paints

7. Disruption of

vegetative cover

and ecological

resources

Areas to be cleared should be minimized as much as possible.

The Contractor shall remove topsoil from all areas where topsoil will be impacted on by rehabilitation

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

stockpiled in areas agreed with the Construction Supervision Consultant for later use in re-vegetation and

shall be adequately protected.

The application of chemicals for vegetation clearing is not permitted.

Prohibit cutting of any tree unless explicitly authorized in the vegetation clearing plan.

When needed, erect temporary protective fencing to efficiently protect the preserved trees before

commencement of any works within the site.

The Contractor shall ensure that no hunting, trapping shooting, poisoning of fauna takes place.

8. Traffic

management

Before construction, carry out consultations with local government and community and with traffic police.

Significant increases in number of vehicle trips must be covered in a construction plan previously approved.

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

and markets.

Installation of lighting at night must be done if this is necessary to ensure safe traffic circulation.

Place signs around the construction areas to facilitate traffic movement, provide directions to various

components of the works, and provide safety advice and warning.

Employing safe traffic control measures, including road/rivers/canal signs and flag persons to warn of

dangerous conditions.


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Avoid material transportation for construction during rush hour.

Signpost shall be installed appropriately in both water-ways and roads where necessary.

9. Interruption of

utility services

Provide information to affected households on working schedules as well as planned disruptions of

water/power at least 2 days in advance.

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

possible.

10. Restoration of

affected areas

Cleared areas such as disposal areas, site facilities, workers’ camps, stockpiles areas, working platforms and

any areas temporarily occupied during construction of the project works shall be restored using landscaping,

adequate drainage and revegetation.

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

waste disposal areas.

11. Worker and

public Safety

Training workers on occupational safety regulations and provide sufficient protective clothing for workers in

accordance with applicable Vietnamese laws.

Install fences, barriers, dangerous warning/prohibition site around the construction area which showing

potential danger to public people.

The contractor shall provide safety measures as installation of fences, barriers warning signs, lighting system

against traffic accidents as well as other risk to people and sensitive areas.

If previous assessments indicate there could be unexploded ordnance (UXO), clearance must be done by

qualified personnel and as per detailed plans approved by the Construction Engineer.

Do not use of alcohol by workers during work hours

Do not work without safety equipment (including boots and helmets)

12. Communication The contractor shall coordinate with local authorities (leaders of local communes, leader of villages) for


50

with local

communities

agreed schedules of construction activities at areas nearby sensitive places or at sensitive times (e.g.,

religious festival days).

Copies in Vietnamese of these ECOPs and of other relevant environmental safeguard documents shall be

made available to local communities and to workers at the site.

Disseminate project information to affected parties (for example local authority, enterprises and affected

households, etc) through community meetings before construction commencement.

Provide a community relations contact from whom interested parties can receive information on site

activities, project status and project implementation results.

Inform local residents about construction and work schedules, interruption of services, traffic detour routes

and provisional bus routes, blasting and demolition, as appropriate.

Notification boards shall be erected at all construction sites providing information about the project, as well

as contact information about the site managers, environmental staff, health and safety staff, telephone

numbers and other contact information so that any affected people can have the channel to voice their

concerns and suggestions.

Do not create nuisances and disturbances in or near communities

13. Chance find

procedures

If the Contractor discovers archeological sites, historical sites, remains and objects, including graveyards and/or

individual graves during excavation or construction, the Contractor shall:

Stop the construction activities in the area of the chance find;

Delineate the discovered site or area;

Secure the site to prevent any damage or loss of removable objects. In cases of removable antiquities or

sensitive remains, a night guard shall be arranged until the responsible local authorities or the Department

of Culture and Information takes over;

Notify the Construction Supervision Consultant who in turn will notify responsible local or national


51

authorities in charge of the Cultural Property of Viet Nam (within 24 hours or less);

Relevant local or national authorities would be in charge of protecting and preserving the site before

deciding on subsequent appropriate procedures. This would require a preliminary evaluation of the findings

to be performed. The significance and importance of the findings should be assessed according to the

various criteria relevant to cultural heritage; those include the aesthetic, historic, scientific or research,

social and economic values;

Decisions on how to handle the finding shall be taken by the responsible authorities. This could include

changes in the layout (such as when finding an irremovable remain of cultural or archeological importance)

conservation, preservation, restoration and salvage;

If the cultural sites and/or relics are of high value and site preservation is recommended by the professionals

and required by the cultural relics authority, the Project’s Owner will need to make necessary design

changes to accommodate the request and preserve the site;

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

authorities;

Construction works could resume only after permission is granted from the responsible local authorities

concerning safeguard of the heritage.