The Provincial Project Management Unit PPMU established at the provincialDepartment of Agriculture and Rural Development DARD in each of the ten provinces isresponsible for preparation a
Trang 1SOCIALIST REPUBLIC OF VIETNAM MINISTRY OF AGRICULTURE AND RURAL DEVELOPMENT (MARD)
CENTRAL PROJECT OFFICE (CPO)
VIETNAM MANAGING NATURAL HAZARDS PROJECT
(VN-Haz)
ENVIRONMENTAL AND SOCIAL MANAGEMENT
FRAMEWORK (ESMF)
March - 2012
Trang 2Viet Nam Managing Natural Hazards Project (Vn-Haz/WB5) (the Project) It is developed toguide the Central Project Management Office (CPMO) and the subproject implementers inscreening future subprojects/subprojects to be implemented during the second phase forenvironment and social impacts, the relevant environmental assessment documents that need
to be prepared and the corresponding mitigating measures as well as the implementationarrangements and capacity building, among others It also includes an exclusion list wherebysubprojects that pose adverse impacts on natural habitats and forest will be excluded fromproject financing The ESMF was developed as a standalone document to satisfy WB’ssafeguard 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/BP7.50) It is also connected to other safeguard policy documents namely the Ethnic MinoritiesPolicy Framework (EMPF), the Resettlement Policy Framework (RPF), the Dam SafetyFramework (DSF) as well as the safeguard action plans for the subprojects namely theResettlement Action Plans (RAPs), the Ethnic Minority Development Plans (EMDPs), theDam Safety Report (DSR), and the Environmental Management Plans (EMPs), including theEnvironmental 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 CentralProjects Office (CPO) of the Ministry of Agriculture and Rural Development (MARD), will
be responsible for the overall implementation of the Project including the implementation ofthe ESMF The Provincial Project Management Unit (PPMU) established at the provincialDepartment of Agriculture and Rural Development (DARD) in each of the ten provinces isresponsible for preparation and implementation of the mitigation measures as described in thesubproject specific RAP, EMDP, and/or EMP/ECOP in consistency with this ESMF Thesubproject specific RAP, EMDP, and EMP, including DSR as needed, would be subject to thereview and clearance by the Bank before implementation
Trang 3Table of contents
SOCIALIST REPUBLIC OF VIETNAM 1
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 3 and 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 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 73
Components 73
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 73
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] 73
Pre-const 73
L 73
L 73
L 73
N 73
L 73
H 73
N 73
L 73
M 73
L 73
L 73
- Ensure effective implementation of ECOP and consultation with local residents 73
Construction 73
M 73
M 73
M 73
N 73
L 73
Trang 4N 73
N 73
L 73
M 73
M 73
M 73
Operation 73
N 73
N 73
N 73
N 73
N 73
N 73
N 73
N 73
M 73
L 73
N 73
- Ensure effective O/M; Build capacity of local community with high risks through Component 3 implementation 73
Pre-const 74
L 74
L 74
L 74
N 74
L 74
H 74
N 74
L 74
M 74
L 74
L 74
- Ensure effective implementation of ECOP and consultation with local residents 74
Construction 74
M 74
M 74
M 74
N 74
L 74
N 74
N 74
L 74
M 74
M 74
M 74
Operation 74
N 74
N 74
N 74
N 74
N 74
N 74
N 74
N 74
M 74
Trang 5L 74
N 74
- Ensure effective O/M; Build capacity of local community with high risks through Component 3 implementation 74
Subproject 3: Bridge combining with overflow connecting rescued roads, Nghi Loc and Vinh city (Nghe An) (27 bil VND); 74
Scope includes 65m bridge combining with overflow and 1Km road and a drain sluice with B=7.5m 74
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 687m3, dust and noise in construction phase ] 74
Pre-const 74
L 74
L 74
L 74
N 74
L 74
H 74
N 74
L 74
M 74
L 74
L 74
- Ensure effective implementation of ECOP and consultation with local residents 74
Construction 74
M 74
M 74
M 74
N 74
L 74
N 74
N 74
L 74
M 74
M 74
M 74
Operation 74
N 74
N 74
N 74
N 74
N 74
N 74
N 74
N 74
M 74
L 74
N 74
- Ensure effective O/M; Build capacity of local community with high risks through Component 3 implementation 74 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 74
Trang 6Contract arrangement? 74
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] 74
Pre-const 74
L 74
L 74
L 74
N 74
L 74
H 74
N 74
L 74
M 74
L 74
L 74
- Ensure effective implementation of ECOP and consultation with local residents 74
Construction 74
M 74
M 74
M 74
N 74
L 74
N 74
N 74
L 74
M 74
M 74
M 74
Operation 74
N 74
N 74
N 74
N 74
N 74
N 74
N 74
N 74
M 74
L 74
N 74
- Ensure effective O/M; Build capacity of local community with high risks through Component 3 implementation 74
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 74 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
Trang 7Duy Thu commune have temporary acquisition of 2 ha forest land]; [150,000 m3 of fill-land, 1,748.05 m3 of stone, 11,271.84 m3 of sand and gravel are needed for the construction;
Air, noise and water pollution] 74
Pre-const 75
L 75
L 75
L 75
N 75
L 75
H 75
N 75
L 75
M 75
L 75
L 75
- Ensure effective implementation of ECOP and consultation with local residents 75
Construction 75
M 75
M 75
M 75
N 75
L 75
N 75
N 75
L 75
M 75
M 75
M 75
Operation 75
N 75
N 75
N 75
N 75
N 75
N 75
N 75
N 75
M 75
L 75
N 75
-To ensure effective O/M; Build capacity of local community with high risks through Component 3 implementation 75
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 75
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 m3 of fill-land; Dust, noise, water pollution] 75
Trang 8Pre-const 75
L 75
L 75
L 75
N 75
L 75
H 75
N 75
L 75
M 75
L 75
L 75
- Ensure effective implementation of ECOP and consultation with local residents 75
Construction 75
M 75
M 75
M 75
N 75
L 75
N 75
N 75
L 75
M 75
M 75
M 75
Operation 75
N 75
N 75
N 75
N 75
N 75
N 75
N 75
N 75
M 75
L 75
N 75
- Ensure effective O/M; Build capacity of local community with high risks through Component 3 implementation 75
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 75
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
Trang 9LIST 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 3 and 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 A5.1: Results of Safeguard Screening for the First Year Component 4 Subprojects 71
Trang 10Table A5.2: Potential Negative Impacts of the First Year Component 4 Subprojects 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
Trang 11CAFSCP 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
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
Trang 12Project 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 lessonlearning
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 thefollowing safeguard policies: Environmental Assessment (OP/BP 4.01); InvoluntaryResettlement (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/BP7.50) Public Consultation and Information Disclosure of safeguard documents as well as fullcompliance with GOV regulations will also be required To assess the potential impacts anEnvironmental Assessment (EA) and a Social Study were carried out The EA concluded thatthe Project will not affect critical natural habitats/protected areas and/or involve forestlogging/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) Landacquisition and resettlement of local people including ethnic people and (ii) Site clearance andconstruction which could temporary increase levels of dust and other air pollution, noise,vibration, water pollution, local traffic volume, safety risk, and other impacts on localresidents and businesses These impacts however will be small to moderate, localized andtemporary, and can be mitigated through good construction management and practices withclose supervision of contractors by field/site engineers and in consultation with localauthorities and local residents To mitigate these impacts a standard Environmental Code ofPractices (ECOP) has been developed and it will be included in the bidding and contractdocuments for the Component 4 subprojects There are UXO risks during construction butthis risk is considered moderate and could be mitigated through an UXO examination andclearance (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 sluicesare not properly operated, but these risks are also considered moderate and could be mitigatedthrough proper design, close consultation among stakeholders, and the capacity buildingactivities 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 localauthorities and communities
Trang 134 Potential negative impacts of the activities to be carried out under Components 1, 2, 3will 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-storyconcrete school building for evacuation purpose during emergency cases These impacts can
be mitigated through the participatory planning process and/or the application of goodconstruction practices A simple ECOP has also been developed and it will be applied tobidding 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 thesubprojects 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 impactswill be adequately mitigated in line with the WB’s safeguard policy The ESMF describescriteria 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 andsource of funds Below provides a brief summary of the ESMF process while details areprovided 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 thepotential negative impacts An exclusion list has been developed to screen and excludesubprojects that potentially adversely affect areas of biological importance, conversion
of site with valuable landscape, removal of objects with historical/religiousappreciation, 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 asneeded
• 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 ofthe project, will be responsible for the implementation of the ESMF, RPF and EMPF whilePPMUs who is responsible for project implementation at the local level will also beresponsible for implementation of safeguard measures at the subproject level Cost for thepreparation of the subproject safeguard documents and implementation of safeguards policieswill be included in the Project cost Safeguard training will be provided
Trang 14Section I: Introduction
8 The development objective of the Vietnam-Managing Natural Hazards Project (theProject) is to support the implementation of the National Disaster Prevention, Response andMitigation 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 bothstructural and non-structural measures including institutional capacity building The Projectdescription and areas are provided in Section II
9 Given that the implementation of the structural measures, although are designed toimprove safety of local population and property through rehabilitation and/or upgrading ofexisting dams and/or reservoires, dykes, rescue roads, and/or harbor facilities in priority areas,may create potential negative impacts on local environment and local people, the following WorldBank (WB) safeguard policies are triggered for the Project: (a) Environmental Assessment(OP/BP 4.01); (b) Indigenous Peoples (OP/BP 4.10); (c) Physical Cultural Resources (OP/BP4.11); (d) Involuntary Resettlement (OP/BP 4.12); (e) Safety of Dams (OP/BP 4.37); 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 DisputedAreas (OP/BP 7.60) are not triggered since all the subprojects are not located in the critical naturalhabitats and/or degrade any natural habitats or affect ecological health and quality of forestsand/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 Giventhat the scope of Component 3 activities which will be limited to increasing awareness andcapacity building of local communities and renovations and/or construction of small officebuildings, the EA concluded that (i) key potential negative impacts of the Project (both socialand environmental) will be due to the implementation of Component 4 subprojects; and (ii) anEnvironmental and Social Management Framework (ESMF) should be prepared to ensure thatthe subprojects and activities to be financed under the Project would not create adverseimpacts on the local environment and local communities and the residual and/or unavoidableimpacts will be adequately mitigated in line with the WB’s safeguard policy In this contextthe 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 ofactivities to be implemented under Components 1, 2, 3 that involve small civil works, asimple Environmental Code of Practice (ECOP) has been prepared and it will be included inbidding and contract documents
11 Section II briefly outlines the Project description while more details can be found inthe Project Appraisal Document (PAD) Section III outlines the legal and policy frameworkrelated to the safeguard policies, while Section IV summarizes the potential impacts and keymitigation measures for the Project Section V describes the ESMF process for theComponent 4 subproject comprising safeguard screening, impact assessment, safeguarddocumentation and clearance, and safeguard implementation, supervision, and monitoringwhile Section VI describes measures for other activities The social safeguard documentscomprising the Resettlement Policy Framework (RPF) and the Ethnic Minority PolicyFramework (EMPF) for the Project and the Resettlement Action Plans (RAPs) and EthnicMinority Development Plans (EMDPs) of the first year subprojects have been preparedseparately 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
Trang 15Section 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 technicalcapacities 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 toproperty, and economic disruption The institutional strengthening will be in line with thepriorities outlined in the National Strategy for Natural Disaster Prevention, Response andMitigation to 2020 its national Action Plan and draft DRM law, which serves as theoverarching document for the Government's approach to disaster management and MARD’sInstitutional 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 DRMinstitutions 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 coveredwith 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 mechanismsbetween the government ministries, development partners, academic institutions, NGOs andprivate sector One of the outputs of this activity will be to develop an on-line web-basedknowledge sharing portal on Disaster Risk Management (DRM) and Climate ChangeAdaptation (CCA) at national level The sub-component will also review and update DRMcodes, 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 forDRM
17 The sub-component will support the establishment of 8 Provincial DisasterManagement Centers (PDMCs) in the project target provinces (except in Quang Ngai and DaNang where PDMCs already exist) This would include renovation of office facilities andbasic equipments Before establishing PDMCs, a detailed study on the performance ofexisting PDMCs and standing office of PCFSC will be conducted in order to propose the mostrelevant PDMC model The experience and lessons learned from the existing PDMCs andriver basin approach adopted in this project will be considered while establishing PDMCs ineight provinces
Trang 1618 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 andprovincial 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 levelDisaster Management Centre (DMC), which is mandated to offer CBDRM training toprovincial and district level staff, will be supported with technical assistance to improvetraining content Technical expertise on CBDRM will be strengthened at the provincial andlower levels following a Training of Trainers (ToT) approach, using an experienced localconsultancy 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 targetprovincial level staff, and after the training, these staff would participate together with otherexperts in providing similar trainings to selected district and commune (component 3) levelstaff It is proposed to conduct CBDRM trainings in each of the 28 districts selected undercomponent 3 This sub-component will also support international training on DRM and studytours
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 ondamage and loss, socio-economic information and post disaster interventions MARD’scurrent information collection procedures will be improved and linked to the proposedinformation systems In addition, links will be established to existing socio-economicdatabase of General Statistics Office (GSO) of Vietnam Interactivity of the databases isexpected to be enhanced by strengthening query and quality checking procedures Thisactivity will help to harmonize all existing DRM databases and provide access to agenciesinvolved in DRM related work
21 A database on smaller dams/reservoirs held by MARD is currently not available at theprovincial level There are at least three different management layers of reservoirs (provincial,district and commune level), and lack of coordination and information exchange weakens thereservoir operation and disaster preparedness Improved coordination and sharing ofinformation can promote better management of these reservoirs and protect lives andlivelihood assets The project will support: (i) an inventory of existing medium and smallscale reservoirs, their safety standards, operational procedures; (ii) development of a softwarethat 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 onhow to use the database, software and on guidelines for safety of medium and small reservoiroperations 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 andvulnerability at the basin scale, (b) identification of vulnerable areas, and possible structuraland non-structural measures to mitigate the natural disaster risks The sub-component willcover all river basins in the 10 project provinces to be supported under the project, and takeplace in two phases: a study phase and the preparation of the river basin plan itself
Trang 1723 The study phase will assess the main DRM problems in the river basins (such asenvironmental degradation, soil erosion, drought, landslides, sedimentation, solid wastemanagement, water quality, flood impacts); the climate change impacts on the major riverbasins; flood mapping combining existing hazard and vulnerability maps prepared underNDRMP project with new data sets; an institutional analysis; and an inventory of existingplans (land use, provincial disaster management plans, agriculture, transport) The DRMpriorities 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 onClimate Change requests provinces to prepare provincial plans on adaptation to climatechange Given that there are similarities with respect to actions under DRM and CCA and thatpromoting 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 thesame time with long-term perspectives This activity will promote a joint action plan for CCAand DRM in 10 provinces based on lessons and experiences from IDRMP exercise andupdated comprehensive vulnerability and risk analysis
25 Finally, the sub-component will provide training on the use of hydrological modelsand GIS tools to DRM staff at provincial level and will be closely linked to component 2 ofthe project This activity will promote use of existing data on land use, vulnerabilities and riskmaps 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, ThachHan, Gianh, Cai Phan Rang) These flood maps will contribute to preparation of river basinplans and joint action plans for DRM and CCA described above Technical specialists fromthe sub-Department for Water Resources and Flood and Storm Control within the provincialDARD, MARD’s Water Resources Directorate and Faculty of Hydrology in Water ResourcesUniversity (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 toimprove delivery of locally relevant early warning products and services Particular emphasiswill be given to strengthening the integration of the existing and planned hydro-metcomponents in the country Two sub-components will be implemented: (i) Designing andimplementing an integrated national hydromet forecasting and early warning system and end-to-end applications at the regional and provincial level; and (ii) Strengthening hydrometobservation 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 willinclude the preparation of hydrometeorological implementation plans for the national andcentral region and the design of a nation-wide communication system Priorities to beaddressed include (i) Analysing institutional frameworks, staff capacity requirements andPreparation of Concept of Operation; (ii) providing technical advice on software, forecastingmodels, instruments, computer architecture and data processing; (iii) Instrumentspecifications, ensuring inter-operability of the observation networks and contractperformance monitoring; and (iv) providing support for the development and testing of asustainable hydromet business model An Integrator will be hired at the beginning of the
Trang 18project to develop a detailed framework and to support and monitor the implementation of theintegrated system
28 Technical support will be provided for the maintenance and operation of hard- andsoftware of weather forecasting and early warning systems according to the developedconcept of operation The national level strengthening will ensure better integration of theplanned improvements (observation, forecasting and communication infrastructures) proposedfor three regional hydrometeorological centers (north-central, mid-central, and southern)under sub-component 2.2 Synergies and collaboration will be sought with other proposed andexisting investment programs, including the Government-funded MONRE investmentprogram and donor-funded programs such as the Italian ODA program phase I & II, theMekong River Commission’s-HYCOS, the USAID support and the Japan InternationalCooperation Agency (JICA) assistance
29 An overall training strategy will be developed to improve the technical capacity atnational, regional and provincial levels based on user information needs and institutionalanalysis The objectives of the training are to maintain the hard- and software, use the weatherand hydrological models and analyse model outputs (down-scaling), and prepare qualityforecast products and early warning information The capacity development programs willinclude training on weather forecasting, drought monitoring, storm surge prediction, seasonalclimate prediction and assessment of climate change impacts Improvement of forecastmodels and other software include high resolution non-hydrostatic Numerical WeatherPrediction (NWP) models, topography and land use database, ensemble multi-scale weatherforecast models for short range forecasts, hydrological and hydraulic models for floodforecasting and flash flood warning, integration of radar data (existing) for hydraulic modelsand development of techniques for quantitative precipitation estimate from radar and visualdisplay and analysis system
30 User interaction, climate data and information sharing will be strengthened byestablishing a national user forum (linked to a national platform supported under component1) 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 earlywarning products for provincial departments, district staff and communities for betterinformed decisions Three regional hydro-met centers (north-central, mid-central andsouthern) are included
32 Major priorities to be addressed include: (i) Upgrading ICT infrastructure andcomputer hardware at national, regional and provincial NHMS centers, (ii) modernization ofhydromet observation and monitoring infrastructure in north-central, mid-central and southernregional centers; and (iii) improvement of technical capacity to maintain instruments,including observation, data transfer and communication between provincial, regional andnational hydro-met centers Installation of computer systems and forecast interpretation toolssuch as GIS mapping facility to deliver rapid location-specific forecasts are included Threeregional hydro-met centers (north-central, mid-central and southern) are included under thissub-component1This sub-project would be implemented in the two phases: (a) Phase 1
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
Trang 19(southern region) to complete the initiative taken by the NDRMP, and (b) Phase 2 (nationaland central region)
33 Major investments include High Performamce Computer (HPC) hardware andoperating software, service development and technical support for the national center,upgradation of computer hardwares and operating softwares, service development andtechnical support for the provincial centres; modernization and upgrading of existingmeteorological stations and automatic weather stations, upgrading to SMS automated raingauge networks, automatic water level and rain gauge stations, integrated discharge andsuspended sediment, water level and rainfall measuring devices and boats for discharge andvelocity measurements This sub-component covers upgrading of communication networks toconnect provincial and regional centres with the national centre and setting up a LAN andother communication networks in three regional centres, together with a reliable backupsystem Real time status of major and important reservoirs will be included within the LANcommunication network for development of flood forecasting services Upgrading ofequipment and networks will be closely coordinated with ODA activities to avoid potentialduplication 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 ofthe hydrological monitoring along the Mekong river The support in question will focus on thedesign and establishment of an automated hydrologic network and on defining clear operatingprocedures for the network The modernization will cover automatic weather stations, riverdischarge measurements devices, suspended sediment measurement, sounding depthmeasurement device, automatic water level recorders and flood measurement poles; andcalibration and evaluation of flood danger/alarm levels It will also help complete therenovation/construction of office buildings for five provincial centres and other fire fightingand early warning equipments Training and capacity development activities include operationand maintenance of automatic weather stations, maintenance of water level and rainmeasurement devices and maintenance of discharge and water depth measurementinstruments
Component 3: Community-Based Disaster Risk Management ($22.0 million)
36 This component will build on the successful pilot experiences in community-baseddisaster preparedness including safer commune planning and risk management awarenessunder the current Bank-financed NDRMP project It also introduces new design features,including river basin approaches, cluster approaches, interactive Management InformationSystem (MIS) with commune reporting by cell phone and private sector-communepartnerships
37 The objective of this component is to help implement the GoV’s national CBDRMstrategy (Decision 1002/QD-TTg) As a result this component, approximately 100 communeswill be better prepared for natural disaster events
38 The selection of communes will be carried using a clustering approach which willensure that the communes selected are those benefiting from the larger scale infrastructureinvestments 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
as the commune level engagement Under the first phase of the DRM investments, 27communes have been identified for support (see Table 1) The identification of the remainingcommunes will be conducted after project inception The abovementioned objective will be
Centre located in Da Nang.
Trang 20achieved 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
11 Ha Tinh Cam Xuyen Cam Phuc Rac River
12 Cam Long/ Thien Cam town Rac River
15 Quang Nam Duy Xuyen Duy Phu Thu Bon river
19 Binh Dinh Tuy Phuoc Phuoc Hoa Kon 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 andengage in a broad range of risk reduction measures encompassing “pre-, during- and post-disaster” activities Gender equality and integration will be ensured through these capacitydevelopment initiatives, as too will be the focus on vulnerable groups Main activitiesinclude:
• Strengthening of commune-level flood and storm risks management procedure This
activity will help commune-based institutions to prepare a commune-annual flood andstorm risks management plan (CAFSCP) on yearly basis. 3 The plan will improve earlywarning and support the Communal Committee for Flood and Storm Control (CFSC)and its counterparts to understand responsibilities during pre- and post-disasteractivities
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”
Trang 21• Training for commune-based institution leaders The project will provide training to
improve capacity of CFSC, CBDRM facilitators and other commune-level stakeholdersand agencies (see Appendix 1 for details of training)
• Development of communal support platforms This activity will develop an
inter-communal support platform where leaders of the CFSCs and commune-basedinstitutions conduct exchange visits to plan co-operation for pre- and post-disasteractivities, including joint evacuation exercises, post-disaster clean up and reliefoperations
• Community Resilient Planning: Each participating commune will: (i) identify its
vulnerability through a participatory risk assessment; (ii) prepare and update level annual flood and storm control plans (CAFSCP) based on the risk assessment;and (iii) integrate the CAFSCP into commune socio-economic development plans
commune-• Private sector-commune partnerships This project seeks to develop
enterprise-community collaboration for enhancing commune resilience to disasters and therebysupport 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 successfulimplementation
40 CBDRM Investments ($18.0 million) This sub-component will fund CBDRM
activities identified in the updated CAFSCPs Risk reduction measures will include structural and structural measures determined through the VCA and CAFSCP and driven bythe needs of the local communities, which would include representatives of most vulnerable
non-in the communes
• Non-structural measures: Activities will include evacuation drills, public
awareness raising, communications/early warning systems, provision of smallequipment such as small boats, pumps, and first aid kits Activities will befollowed by participatory workshops to review the results and document thelessons 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 bankrehabilitation, retention ponds as well as reforestations and other structuresidentified by the target communes The project will also provide support to prepareplans and designs for such prevention measures and plans for the management,operation and maintenance of each structural measure built The CPC would beresponsible for monitoring and reporting on the progress and quality ofconstruction as well as for preparing and implementing operational andmaintenance 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 bothparticipatory and also use a web-based Management Information System (MIS) at nationaland sub-national levels The system will record the performance of each commune in close toreal time Key performance information on the status of project implementation will beavailable to authorized users at national and provincial level
Component 4: Priority Disaster Risk Mitigation Investments ($104.7m)
Trang 2242 A river basin approach will be used to identify and prioritize major DRM investments(subprojects) within the four selected river basins in the Central Region The structuralmeasures will mitigate risks posed by storms, floods, landslides and drought, including riverand sea dykes/ embankments, safe harbors, rescue roads and bridges, and reservoirs TheGovernment strategy on reservoirs for disaster management objective would mainly befocusing on rehabilitation of selected existing dams and reservoirs to improve their safety Therehabilitation would involve safety measures such as lowering and/or expansion of existingspillway or building addition spillway, additional backfill with better compaction of the maindam and its auxiliary apparatus, termite treatment, grouting, and installation of safetymonitoring devices.
43 Based on the Integrated DRM Plans (IDRMPs) developed under the on-going financed NDRMP project in all 12 project provinces using hydraulic modeling technologypiloted in the three provinces of Thanh Hoa, Quang Tri and Quang Nam These plans providenumber of priority infrastructure investments within the context of disaster risk managementand climate change adaptation for long-term benefits These plans have been reviewed andendorsed by MARD and the provincial authorities
Bank-44 Experience learned from the on-going Bank-financed NDRMP project proved that aninvestment of approximately UD$ 12 million protecting 12 communes with population of64,000 and 5,271 hectares of rice land A dam safety investment with budget of US$ 6 millionprotected 8 communes living downstream 80,960 population and about 4,500 hectares ofagricultural land Similarly an amount of US$ 2.5 million to build a safe harbor in one of theprovince in the Central Coast that helped protect about 1,500 small fishing boats to evacuateduring the typhoons season of the last and this year This proves that priority infrastructureinvestments are crucial to protect livelihood and economic assets of local people who areliving in the disaster-prone areas This is also confirmed in the Government’s strategy onDRM 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 projectdepending on the readiness of preparation of subprojects Greater priority would be given tothose subprojects that incorporate a river basin approach, and have complementaryinvestments 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 embankmentupgrading, 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
Trang 23with Phase 1 investments fall under within the cost ceilings indicated above Provinces wouldundertake 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 Bankfor execution in years 3, 4 and 5 28 other subprojects are shortlisted for inclusion in Phase 2including 11 dyke, embankment and weir repair, 3 roads/bridges, 2 harbors and 9 reservoirsubprojects The harbor works would involve some dredging of sea sand, construction ofbreakwater structure, buoys and anchoring system for fishing boats to hire during flood andtyphoon events Reservoir works would be mainly on rehabilitation a stated earlier Details ofphase 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, financingand procurement, as well as ensure timely reporting and lesson learning This componentprovides financial support for those project implementing entities in MARD and MONREresponsible for project coordination, financial management and procurement, as well asensuring compliance with relevant safeguards and fiduciary policies It would provideincremental operating cost for implementing agencies at all levels in managing theimplementation of the project
48 Strengthening of both national and provincial implementation capacity of the projectwill include provision of office renovation, equipment facilities and vehicles, externalmonitoring on fiduciary and safeguards, internal audit and control, operating expenses andtraining The component will also support the establishment of an effective M&E system forthe 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 variousimplementing 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 andfinal 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 takeplace 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 andinvolving 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 locatedentirely within Vietnam, except the upper part of Ca River which is located in Lao People’sDemocratic Republic (PDR), and Ma River which originates in Vietnam but runs through LaoPDR 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 (withless 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
Trang 2451 Below briefly summarizes the background related to the natural disaster risks in thefour 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 (coastallowlands), 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 inmost of the rivers, causing a relatively high content of TSS (total suspended solids) inthe 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 oneflood 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 flowhas two separate seasons; the flood season often begins from half a month to a monthlater than the rainy season, and often not stable Thach Han high slope typographycreates straight flows from the highlands to the lowlands, easily causing floods in therainy season and drought in the dry season; The flow varies in different months with abig difference between the highest and lowest flows, causing a prolonged floodseason
- 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 theneeds for transportation and rescue in heavy rains or floods There are somecommunity 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 occurwhen 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 sewagesystems 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 onlarge scale, simultaneously in several provinces, sometimes cover the entire region(such as in 1999, 2003, 2009, 2010) Floods occur in the region more frequently andmore fiercely, causing human casualties, property damage, and soil and waterpollution 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 andintensely Heat waves often develop in lowlands such as the coastal plain and rivervalleys 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 fishingboat harbours) Annex 1 (Table A1.1 – A1.6) provides brief description of the proposedsubprojects
Trang 2553 Activities proposed under Component 3 of capacity building include: supporting forthe establishment or activities of CDPMs at provincial, district and commune levels andproviding training and communication, awareness raising and capacity strengtheningactivities 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 thesimple 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
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
Trang 26Section 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 standingagency and to cooperate with relevant agencies to support theGovernment in executing state management in the field of disastermanagement The overall goal of the Strategy is to “Mobilize all resources
to effectively implement disaster prevention, response and mitigation fromnow 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 countrysustainable development, national defense and security” To achieve thisgoal, 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) Financialresources; (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 mitigationtasks 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, forwhich the following solutions must be taken in places in the sametime: making flood control plannings for river systems, reviewingand adjusting dyke system plannings as bases for activities of dykeconstruction, upgrading, protection, and management;strengthening of underdyke structures; treatment of weak dykefoundation; 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 fordevelopment", for which following solutions are considered aspriorities: planning residential, industrial and tourism areas; planningand constructing disaster prevention and mitigation structures, andtransportation infrastructures to ensure flood resilience anddrainability; shifting crops and animal husbandry; strengtheningdykes, building reservoirs and embankment structures, andincreasing forestation; building storm shelters for boats and ships;establishing and upgrading coastal communication stations fortyphoon, sea rise and tsunami warning
3.2 Government Laws and Regulations
3.2.1 EIA regulations
Trang 2757 The Law on Environmental Protection (2005) sets out regulations on strategic
environmental assessment, environmental impact assessment and environmental protectioncommitment 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
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 andapproval of an EIA report, inclduing a detailed description of technical and managementsolutions to address negative impacts and environemtnal monitoring program According tothis Decree, the subprojects under the Project that require an EIA approval are included inAnnex 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 andapproval process and responsibilities of the project owners and agencies in charge of the EPCpreparation, description of pollution mitigation measures, environmental monitoringprograms, 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 andinvestment projects and Decree No 209/2004/ND-CP dated 16th December 2004 onmanaging 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 andresettlement 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 andprotection of irrigation works, Decree detailing some of the Flood Prevention andResponse 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, dammanagement and state management on dam safety The Decree distinguishes between smalland large dams Small dams are normally less than 15 meters in height Large dams are 15meters 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 worksoperation, dam safety and hydrological monitoring/ inspection, dam maintenance andprotection, dam rescue, dam safety reporting, flood and inundation prevention in thedownstream All plans must be carried out strictly MARD is responsible for the statemanagement of reservoirs and dams nationwide The Directorate of Water Resources underMARD assists MARD to implement the function of state management on safety of
Trang 28reservoirs The Ministry of Industry and Trade is responsible for the state management ofhydroelectric dam safety Provincial People's Committees (PPCs) are responsible for thestate management function on reservoir safety in their provinces PPCs assign theDepartment 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 WaterResources No 8/1998/QH10
•Vietnamese Environment Standards: National technical regulations on quality of drinking
water QCVN01:2009/BYT; National technical regulations on quality of domestic waterQCVN02:2009/BYT; National technical regulations on quality of surface waterQCVN08:2008/BTNMT; National technical regulations on quality of groundwaterQCVN09:2008/BTNMT; National technical regulations on quality of coastal waterQCVN10:2008/BTNMT; Air quality – Standards for ambient air qualityQCVN05:2009/BTNMT; Air quality – Maximum allowable concentration of hazardoussubstances in the ambient air QCVN06:2009/BTNMT
•Dam design standards for flood cycle: 500 to 1000 years for dam grade I; 200 years for damgrade 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
Trang 29consultation and participatory processes
by the project to share in project benefits (implemented through the 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 assetsattributable 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 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
62 Other policies such as Natural Habitats (OP 4.04), Forests (OP 4.36), PestManagement (OP 4.09), and Projects in Disputed Areas (7.60) are not triggered since all thesubprojects: i) are not located in the critical natural habitats and/or would not degrade anynatural habitats or affect ecological health and quality of forests and/or the people who aredepending on them; ii) would not involve procurement of pesticides, pesticide applicationequipment, and would not affect pest management; and iii) are not situated in any disputedarea with any neighboring countries
63 To comply with these policies, the following safeguard documents have been preparedfor the Project:
(a) An Environmental Assessment (EA) assessing the overall impacts of the project as awhole, including the first year subprojects, and possible follow-on year subprojects Asocial assessment was also carried out for the Project
(b) An Environmental and Social Safeguard Framework (ESMF), including a standardEnvironmental Code of Practices (ECOP) for civil works to be carried out underComponent 4 and actions related to dam safety and subprojects related to dredgingand upgrading of fishing boat harbors, and a simple ECOP to be applied to theactivities to be implemented under Components 1, 2, 3 that are related to small civilworks
(c) A Dam Safety Framework (DSF), outlining the policy requirements for ensuringsafety of dams to be rehabilitated and/or upgrading including a technical guideline forpreparation 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
Trang 30(e) A Resettlement Policy Framework (RPF)
64 In addition, preparation of the following subproject specific documents will berequired: Environmental Management Plan (EMPs); Resettlement Action Plan (RAPs); andEthnic Minority Development Plan (EMDPs) EMPs, RAPs, and EMDPs for the six first yearsubprojects have been prepared
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 theother in September 2011 Participants included farmer and fisherman households directly orindirectly affected by the projects, local authorities, central and local state agencies, and massorganizations, etc Opinions and concerns provided during the consultation were taken intoaccount in the preparation of the EA, ESMF, DSF, and EMPs Most of the provinces andcommunities in the Project area showed enthusiasm in supporting the implementation of theProject and wished that the Project would be carried out as soon as possible
Trang 31Section 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 willincrease 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 Thepotential negative impacts will be limited to the subproject sites, temporary, and can bemitigated Implementation of Component 3 will increase capacity of local government andcommunities to address natural disaster issues while activities under Component 1 willstrengthen 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, andmitigation The Project is fully in line with the target of the National Strategy for NaturalDisaster Prevention, Response and Mitigation to 2020, the National Strategy on EnvironmentProtection 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 annualfloods and droughts, including people of 5 ethnic groups: Muong, Thai, Co Tu, H’re andCham The Project would also help maintain the trust of people in the Communist Partyand the Government, making them feel secured to focus on production and settling downtheir lives
• Facilitation for socio-economic development: According to the social assessment
report, the Project would protect approximately 50,000 ha of production lands from floodsand droughts each year As the result, it would increase agricultural productivity, increaseincomes and livelihoods opportunities, and people’s lives in the areas affected by naturaldisasters to recover faster Moreover, the subprojects would enhance trading activitiesbetween communes, districts and provinces, possibly create more jobs for local residents,and help to develop the local infrastructure and a better investment environment to attractinvestors The socio-economic development, in turn, would increase the human capacityand material resources for natural disaster response and post-disaster recovery of thecommunities
• 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 thecommunity awareness on natural disaster prevention and response would help theresidents and the communities change their attitudes and behaviours in their response toclimate change, especially towards the environment, including: use and protection offorest resources (watershed and protective forests), water resources, dikes, and dams;proactive response to natural disasters, mobilization of internal resources to rescue andsupport 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 erosionprocess is the result of increased content of suspended solids in the river water and it can
Trang 32largely affect domestic water quality of the riverside residents The subproject group ofupgrading river revetments would reduce the river bank erosion process, which will helpimprove 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 environmentaldegradation happening after storms and floods, and increasing the local residents’ habitatquality because after flood events It would help improve domestic water supply sourcesduring and after floods, reduce diseases (such as red eye sores, skin diseases, diarrhea,etc.), and limit environmental landscape degradation (with wastes, mud, dead animals andplants, 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 naturereserves, protected areas, or protection forests However, all of the subprojects are not locatedwithin 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 noconstruction of new dam, major sea dykes nor major sea sluices and/or big-scale bridgeswhich 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 bedue to the implementation of Component 4 subproject, especially those related to: (i) Landacquisition and resettlement of local people including ethnic people and (ii) Site clearance andconstruction which could temporary increase levels of dust and other air pollution, noise,vibration, water pollution, local traffic volume, safety risk, and other impacts on localresidents and businesses The impacts however will be small to moderate, localized, andtemporary, and can be mitigated There are UXO risks during construction and other risksduring operation if the infrastructures are not properly designed and/or maintained adequatelyand/or sluices are not properly operated These risks however are considered moderate andcould 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, andconstruction of small rescue roads The impacts are considered significant and efforts willhave to be made to avoid/reduce the need for land acquisition and/or relations, and ifunavoidable, the affected people will be adequately compensated in line with the Banksafeguard policy A RPF has been developed in close consultation with local agencies andaffected people, and specific policy and procedures has been finalized, including thoserelated 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.
Trang 33 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 whosegraves are affected (as a practice in Vietnam) Rituals for relocation of graves may bedifferent among Kinh, and ethnic minority peoples Affected households will receivecompensation payment to conduct the relocation on their own Payment to the graverelocation includes costs of excavation, relocation, reburial, purchasing land for reburial(if any), and all other reasonable costs associated with necessary rituals by the localpractice Local ritual means relocation of graves will be carried out in accordance withlocal cultural practices, taking into account cultural preferences which are typical for eachethnic group When graves of ethnic minorities are affected, grave relocation ritualsadopted will be documented in respective Ethic Minority Development Plan (EMDPs)based on the consultation with affected ethnic minority peoples during projectimplementation Where graveyard - owned collectively by ethnic groups, are affected,appropriate consultation with affected groups will be conducted during social assessmentunder respective subproject to work out solutions acceptable to affected ethnic minorities.Relocation of graves will be done satisfactorily to the affected households prior to thecommencement 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 beenprepared
Table 4.1: Impacts due to land acquisition and relocations of first year Component 4
subprojects
Total affected HH
Permanent land (m 2 )
Temporary land (m 2 )
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
1,020 m; 2 commune,
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
Trang 34embankment of Kone river for
safety, An Nhon and Tuy Phuoc
(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 fishingboat harbors and/or river mouth erosion protection) The assessment concluded that thepotential negative impacts of these activities will be moderate, localized, temporary, and can
be mitigated through the application of good construction and management practices and withclose supervision of contractor performance by field engineers and in close consultation withlocal communities The impacts of the first year subprojects will be limited to an increase indust, noise, vibration, waste generation, traffic hindrance, public safety, and exploitation ofconstruction materials (soil, gravel, rocks, etc.) Increased turbidity resulting from dredging atthe river mouth and rehabilitation of fishing boat harbor, which has been proposed for thefollow-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 localizedand temporary and close monitoring and immediate suspension of the construction works incase of the abnormality would be adequate These issues will be addressed during thepreparation of the EIA and EMPs for these subprojects
73 For the subprojects involve river mouth dredging and construction of coastalinfrastructure that could change flow of the near shore current and/or sediment transport, aquick study will be made during the preparation of the EIA/EMP of the subprojects to assessthe risks of coastal erosion in nearby area Consultation and active participation of localcommunities will be the key elements during the development of the mitigation measures Fordredging, preparation of a Dredge Material Disposal Plan (DMDP) should be considered TheDMDP will provide information on amount and characteristic of dredge materials especiallythose 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 nearbyland/water uses along the coast
74 The contractor will be responsible for mitigating these impacts Damage will berepaired, fixed, and/or paid for as appropriate by the contractors After completion ofconstruction, the contractor will be required to complete or rehabilitate the construction site tobring it back to the prior construction situation These requirements will be included as part of
Trang 35the construction contract with appropriate mitigation cost and they will be specified in thebidding documents and be informed during the bidding process
75 In this context, a standard Environmental Code of Practices (ECOP) has been prepareddescribing 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 beingimplemented by contractor However, the monitoring parameters, locations, and timing should
be designed in line with the subproject activities, locations, and nearby water uses The EMPwill 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 belimited to the potential risks related to: (a) failure of dams, dyke, and/or rescue roads andpotential land/water use conflicts during sluice operation and local floods and (b) possibleimpacts on coastal erosion in nearby area due to construction of new structure that could changeflow pattern of nearshore current and/or sediment transport Mitgation measures will benecessary and actions below will be undertaken during the preparation of the EIA and EMP
• Dam safety: A DSF has been prepared to provide policy and tehnical guidances
during the preparation of an EIA/EMP for the subprojects involving damsrehabilitation and/or upgrading For large and high hazard dams (see definition inDSF), submission of a Dam Safety Report (DSR) to the WB will be required It isnoted that while design standards for earth dam exist, instrumentation and dam safetyinspection appear lacking due to limited financial resources and technical knowledgeand experience of responsible agencies Therefore, a capacity building of agenciesresponsible for operation and maintenance of dams (especially large and/or highhazard dams) should be identified in the DSR Scope of the DSR is provided in theDSF The safeguard screening excludes the financing of a new dam
• Dyke safety and operation of sluices: The potential impacts due to dyke safety and
operation of sluices will be mitigated through the implementation of Component 3.The target communties for Component 3 will include those communities to be affected
by the Component 4 subprojects
4.2.2 Impacts of Other Project Activities
77 The potential negative impacts of other Project activities will be limited to smallworks/infrastructure such as renovation/construction of office/building, community shelters,elevated road path, small bridges and/or two-story concrete school building for evacuationpurpose during emergency cases These impacts can be mitigated through the participatoryplanning 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 theProject, as the proposed investments are limited to rehabilitation and upgrading of existingdams, dykes, reservoirs, and roads, etc and therefore does not create any cumulative impacts
Trang 36on local environment and/or local people In fact, the proposed investment in repair andupgrading of dams, dykes, reservoirs, and rescue roads are critical for reducing damage due tonatural hazards Supporting local community through the community-based program(Component 3) will increase awareness and capacity of local communities to be responsive tothe natural hazards, and thus considered as a means to mitigate the potential risks due tooperation failure of dams, dykes, reservoirs, and rescue roads to be implemented under theComponent 4 subprojects During the preparation of an EIA/EMP for the subprojects, localcommunities with risks will be identified and assistance on capacity building will be providedfollowing the CBDRM principle and a separate budget has been provided as part of the blocgrant 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 Projectwould not create adverse impacts on the local environment and local communities and theresidual and/or unavoidable impacts will be adequately mitigated in line with the WB’ssafeguard 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 impactsand documentation, (3) Development of mitigation measures and public consultation, (4)Information disclosure and WB safeguard clearance, and (5) Implementation, monitoring, andreporting The first year Component 4 subprojects have gone through the first three steps andspecific mitigation plans (RAPs, EMDPs, and EMPs//DSRs) have been prepared and thesedocuments will be submitted to WB for public disclosure and clearance The safeguardscreening, impact assessment, and preparation of safeguard documents for all the second andfollow-on year subprojects will be carried out during the Project implementation and thesafeguard 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 adequatelymitigated by the Project, an initial screening would be carried out to identify subprojectswhich may cause serious impacts which would not be easily mitigated with the project’scurrent 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-scalebridges which may pose major or significant irreversible environmental impacts that would beequivalent to a Category A as described in World Bank safeguard guidelines The subprojectsthat can create significant loss or damage to physical cultural resources, including sites havingarcheological (prehistoric), paleontological, historical, religious, cultural and/or uniquenatural values will not be eligible for Project
Trang 3782 To avoid potential adverse potential socio-environmental impacts on areas of criticalimportance such as national parks, biological conservation areas, protected forests or areas ofhistorical values, subprojects under the Vn-Haz will be screened for their environmentaleligibility The subprojects that potentially adversely affect areas of biological importance,conversion of site with valuable landscape, removal of objects with historical/religiousappreciation, or encroachment on mangrove forest regardless of the size will be excludedfrom the Project financing
83 The criteria for exclusion of subprojects have been developed with reference to AnnexIII of Decree No.29/2011/ND-CP (listing the projects subject to appraisal by MONRE) asdetailed below:
i) Subprojects that use land of national parks, natural reserves, world heritage,historical/cultural sites, nationally protected landscapes, biosphere conservationsites;
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 morewith 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 bedetermined 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 bemade considering the above-mentioned criteria Once the subprojects are selected, theapplicable 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 brieflysummarized 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 ResettlementPolicy Framework (RPF) and/or the Ethnic Minority Policy Framework (EMPF) whichhas been developed for the Project During the preparation of RAPs and EMDPs,consultation with affected population, local authorities, local communities, and interestedmass organizations and/or NGOs will be required Due attention should also be given toaddress 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 graveswill 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, takinginto account cultural preferences which are typical for each ethnic group as set out in theRAPs and EMDPs WB approval of the RAPs and EMDPs will be mandatory
Trang 38• Environmental impacts screening and assessment Key potential negative impacts on local
environment and local community will mainly occur during construction and operationphases Scope and extent of the impacts during construction, however would depend ontype and nature of civil works and locations of the subprojects The subproject willtherefore 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 localresident 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) – noimpact; 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 requirecompensation Both M and H impacts need development and implementation ofmitigation measures, monitoring program, and adequate institutional capacity onsafeguard and this will be used as the basis for development of an EIA/EMP for thesubproject Data collection, field survey, and consultation with local communities andaffected population will be carried out Technical guidelines for the preparation of an EMPare provided in Section 5.3 below If an EIA or EPC for the subproject is required by theGovernment’s EIA regulations, appropriate actions and documents will be preparedaccordingly
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 thatguidelines for preparation of RAP, EMDP, and DSR will be prepared separately; this sectionfocuses on the preparation of an EMP describing the basic principles and activities to becarried out to mitigate the potential negative impacts The EMP will briefly describe thesubproject 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 asappropriate; the potential impacts and proposed mitigation measures; and the implementationand monitoring arrangement and budget Public consultation is to be carried out as part of theEMP preparation For each subproject, the EMP will clearly define actions to assess andmitigate UXO risks as well as to mitigate potential impacts during site clearance andconstruction and to reduce the risks during operation At a minimum the EMP will include thestandard 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 quickassessment of potential impacts on coastal erosion
87 To ensure effective implementation of the EMP, the following actions will be carriedout during the implementation of the Project:
(a) During feasibility study and conceptual design
Trang 39• 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 sluiceoperation 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 appliedduring the preparation of the EMP:
– For the subproject involving dam rehabilitation and/or upgrading, the DSF will bestrictly 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 capacitybuilding building program on large and high hazard dam should be described inthe DSR Scope of the DSR is provided in DSF The safeguard screening excludesthe financing of a new dam
– For the subproject involving dyke safety and operation of sluices, the potentialimpacts due to dyke safety and operation of sluices will be mitigated by providingtraining and capacity building following the CBDRM approach and a budget hasbeen provided as part of the EMP
– For the subprojects involving river mouth dredging and construction of rivermouth infrastructure that could change flow of the near shore current and/orsediment 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 bethe 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 dredgematerials especially those related to organic content and heavy metals as well asthe dredging methods, transportation, and disposal areas such that it will minimizepotential 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 activitieswill 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 largeand 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 TheECOP comprises five sections: (I) objective and application, (II) brief description
of policies and regulations, (III) roles and responsibilities of key parties (projectowner and contractor), (IV) general provisions, and (V) construction management.The general provisions section prescribes the need for preparation of a ContractSpecific Environmental Management Plan (CSEP), the non-compliance reportingprocedures, 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 managementsection prescribes the general management of construction sites, the management
Trang 40of environmental quality from sources (i.e control of water pollution, air pollution,waste generation, traffic and transportation, etc.), and the management of workcamps, quarries/borrow pits, dredging, and monitoring of environmental quality.The contractor will be required to prepare the CSEP which is to be approved bythe Construction Supervising Consultant (CSC) before starting construction TheCSEP will also include a monitoring plan for air, noise/vibration, soilerosion/sedimentation, and water quality during construction Cost for mitigatingthe impacts during construction must be included as part of the Project cost Thesupervision and/or field engineers will be responsible for supervision andmonitoring of safeguard performance of contractor and this responsibility will beincluded in the TOR for field engineers
– Ensure that all safeguard activities and documentation have been completed anddisclosed
– Secure Government approval of the EIA/EPC for the subprojects as required bythe Government regulations The subproject EMPs should be submitted to therelevant authority for review and comment
– Relocation of graves will be done satisfactorily to the affected households prior tothe commencement of construction in accordance with the related RAPs andEMDPs
(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 landand facilities are provided and relocation and/or land acquisition/donation has beencompleted; (b) the subproject EIA and/or mitigation measures for specific site areapproved by Government; and (c) the above-mentioned environmental plan havebeen approved by concerned parties
– During construction, closely supervise the implementation of safeguard measuresthroughout the construction period
– At the completion of the construction, confirm the compliance with the agreedenvironmental plan and inspect any damages incurred by the contractor Ifnecessary, prepare an order to compensate/restore the construction sites asspecified in the contracts Contractor safeguard performance will be included inthe 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 bythe contractor, including preparation of the Contract Specific Environmental Plan (CSEP)and communication with local authorities and local communities In particular, theEnvironmental Contractor will carry out but not limited to the following tasks: