PROJECT MANAGEMENT UNIT FOR AGRICULTURAL WORKS INVESTMENT AND RURAL DEVELOPMENT IN HA GIANG PROVINCE ENVIRONMENTAL AND SOCIAL IMPACT ASSESSMENT (ESIA)

ABBREVIATIONS CPMU Central Project Management Unit CPO Central Project Office MARD DARD Department of Agriculture and Rural Development DCM Department of Construction Management DoIT Dep

HA GIANG PEOPLE'S COMMITTEE

PROJECT MANAGEMENT UNIT FOR AGRICULTURAL WORKS INVESTMENT AND RURAL DEVELOPMENT IN HA

HA GIANG PEOPLE'S COMMITTEE

PROJECT MANAGEMENT UNIT FOR AGRICULTURAL WORKS INVESTMENT AND RURAL DEVELOPMENT IN HA

INVESTMENT, DEVELOPMENT OF NATURAL

RESOURCES AND ENVIRONMENT

Ha Giang, June 2019

TABLE OF CONTENTS

TABLE OF CONTENTS I ABBREVIATIONS IV LIST OF TABLES V LIST OF FIGURES VI

SUMMARY 1

CHAPTER 1 INTRODUCTION 7

1.1.BACKGROUND OF THE PROJECT: 7

1.2.GENERAL INFORMATION OF THE SUBPROJECT: 9

1.3.OBJECTIVES AND METHODS OF ENVIRONMENTAL ASSESSMENT: 9

1.4.OBJECTIVES AND METHODS OF SOCIAL ASSESSMENT: 11

1.5.THE SUBPROJECT INVESTOR AND INVESTMENT CAPITAL: 11

1.6.CONSULTING UNIT: 12

CHAPTER 2 SUBPROJECT DESCRIPTION 15

2.1.OBJECTIVES OF THE SUBPROJECT: 15

2.2.OVERVIEW OF THE SUBPROJECT: 15

2.3.STATUS OF WORKS AND CONSTRUCTION SOLUTION: 16

2.4 DISTANCE OF TRANSPORTATION OF MOBILIZATION OF MOTORCYCLES, MANPOWER CONSTRUCTION 36

2.4.1 Transportation distance 36

2.4.2 List of expected machinery and equipment 38

2.4.3 Raw materials, inputs and outputs of the subproject 41

2.4.4 Manpower needs 42

2.5.AUXILIARY WORK ITEMS: 42

2.5.1 Electricity and water for construction and daily life: 42

2.5.2 Demand for workers' houses and concentration camps: 43

2.5.3 Landfill and soil mines: 43

2.5.4 Construction road: 46

2.6.EXPECTED ACTIVITIES BEFORE CONSTRUCTION: 46

2.7.PLAN TO TRANSPORT MATERIALS: 46

2.8.OPERATION AND MAINTENANCE ACTIVITIES: 47

2.9.DAM SAFETY PLAN: 47

2.10.SUBPROJECT IMPLEMENTATION SCHEDULE 49

CHAPTER 3 POLICY, LEGAL AND ADMINISTRATIVE FRAMEWORKS 50

3.1.VIETNAMESE LEGAL DOCUMENTS 50

3.2.SAFEGUARD POLICY OF THE WORLD BANK: 53

3.2.1 Project level: 53

3.2.2 Subproject level: 53

CHAPTER 4 ENVIRONMENTAL, NATURAL AND SOCIO-ECONOMIC CONDITIONS OF THE SUBPROJECT AREA 61

4.1.ENVIRONMENTAL AND NATURAL CONDITIONS: 61

4.1.1 Geological and geographical conditions 61

4.1.2 Climate and meterology: 64

4.1.3 Hydrological conditions: 69

4.1.4 Network of hydrological stations: 69

4.1.5 Status and quality of soil, water and air environment: 71

4.1.6 Current status of biological resources: 79

4.1.7 Condition of the mine, toxic residues after the war: 79

4.2.SOCIO-ECONOMIC PROFILE: 79

4.2.1 Economic profile: 79

4.2.2 Social profile: 86

4.3.PARTICULAR WORKS: 88

CHAPTER 5 ASSESSMENT OF ENVIRONMENTAL AND SOCIAL IMPACTS 90

5.1.TYPES AND SCALE OF IMPACTS: 90

5.2.POTENTIAL POSITIE IMPACTS OF THE SUBPROJECT (14 RESERVOIRS): 91

5.3.POTENTIAL NEGATIVE IMPACTS OF THE SUBPROJECT 92

5.3.1 Impacts during preparation phase: 92

5.3.2 Impacts during constrution phase: 97

5.3.3 Specific impacts during construction phase: 112

5.3.4 Impacts in operation phase 114

5.4.EVALUATE AND FORECAST THE IMPACT CAUSED BY THE PROJECT’S RISKS AND INCIDENTS 115

5.5.ANALYSIS OF IMPACT TYPES 117

5.5.1 Cumulative impacts 117

5.5.2 Direct impacts 117

5.5.3 Indirect impacts 117

5.5.4 Temporary impacts 117

5.5.5 Long-term impacts 117

CHAPTER 6 ANALYSIS OF ALTERNATIVES 118

6.1.WITHOUT THE SUBPROJECT: 118

6.2.WITH THE SUBPROJECT 119

6.2.1 Alternatives during the consruction of works under full water supply): 120

6.2.2 Alternatives measures for the selection of auxiliary works(material pits, landfill): 120 6.2.3 Alternative selection of material and waste transport route: 121

CHAPTER 7 ENVIRONMENTAL AND SOCIAL MANAGEMENT PLAN 125

7.1.OBJECTIVES: 125

7.2.MITIGATION MEASURES: 125

7.2.1 Mitigation measures for preparation phase: 125

7.2.2 Mitigation measures during construction phase: 129

7.2.3 Mitigation measures during operation phase: 155

7.3.IMPLEMENTATION ORGANIZATION: 156

7.3.1 Project management: 156

7.3.2 Roles and responsibilities for environmental and safety management: 157

7.4.ENVIRONMENTAL COMPLIANCE FRAMEWORK: 161

7.4.1 Environmental duties of the Contractor: 161

7.4.2 Contractor’s Safety, Social and Environmental Officer: 162

7.4.3 Environmental and social monitoring during construction: 163

7.4.4 Compliance with Legal and Contractual Requirements: 163

7.4.5 Reporting arrangements: 163

7.4.6 Grievance Redress Mechanism: 164

7.5.ESMP IMPLEMENTATION PLAN: 167

7.5.1 ESMP implementation plan of the Contrator: 167

7.5.2 Launching subproject and personnel: 167

7.6.CAPACITY BUILDING AND TRAINING: 168

7.6.1 Training on safety policies: 168

7.6.2 Training on health and occupational safety: 168

7.6.3 Orientation of visitors: 168

7.6.4 Training contractors and new workers: 168

7.6.5 Basic health and occupational safety training: 169

7.7.ENVIRONMENTAL MONITORING PLAN: 169

7.7.1 Monitoring compliance with mitigation measures: 169

7.7.2 Monitoring of ambient quality: 169

7.7.3 Dam safety monitoring: 171

7.8.ESTIMATED COST: 171

CHAPTER 8 COMMUNITY CONSULTATION AND INFORMATION DISCLOSURE 178

8.1.SUMMARY OF THE ORGANIATION OF COMMUNITY CONSULTATIONS: 178

8.1.1 Summary of consultations with Commune People’s Committees and orrganizations directly affected by the subproject: 180

8.1.2 Summary of community-based consultation meetings for directly affected communities: 183

8.2.COMMUNITY CONSULTATION RESULTS: 183

8.2.1 Feedbacks of the Commune People’s Committee and directly affected organizations: 183

8.2.2 Feedback of local communities directly affected by the subproject: 189

8.2.3 Responses and commitments of subproject investor to recommendations and suggestions of consulted agencies, organization and communities: 189

8.3.INFORMATION DISCLOSURE: 190

CONCLUSIONS AND RECOMMENDATIONS 192

REFERENCES 193 APPENDIX ERROR! BOOKMARK NOT DEFINED

ABBREVIATIONS

CPMU Central Project Management Unit

CPO Central Project Office (MARD)

DARD Department of Agriculture and Rural Development

DCM Department of Construction Management

DoIT Department of Industry and Trade

DoNRE Department of Natural Resources and Environment

DRSIP/WB8 Dam rehabilitation and safety improvement project

DWR Directorate of Water resources

DWRM Department of Water Resources Management - MoNRE EMDP Ethnic Minority Development Plan

ESIA Environmental and Social Impact Assessment

GoV Government of Vietnam

ICD International Cooperation Department

IDA International Development Association

ISEA Industrial safety techniques and environment agency - MoIT MARD Ministry of Agriculture and Rural Development

MOF Ministry of Finance

MoIT Ministry of Industry and Trade

MoNRE Ministry of Natural Resources and Environment

MPI Ministry of Planning and Investment

ODA Official Development Assistance

PPC Provincial People's Committees

PPMU Provincial Project Management Unit

QCVN National Technical Regulation

RAP Resettlement Action Plan

VAWR Vietnam Academy for Water Resources

WB World Bank

LIST OF TABLES

Table 1.1 Total investment capital of the subproject 12

Table 1.2 Assign the task for the ESIA expert developing reports of the Environmental experts group 12

Table 1.3 Assign the task for the ESIA experts of the group of social experts, reseNolement and ethnic minority development 13

Table 2.1 List and location of Reservoirs 15

Table 2.2 Summary information on the status quo of the subproject 17

Table 2.3 Distance and route of material transportation for construction works 36

Table 2.4 Sum up of equipment in the pre-construction phase 38

Table 2.5 Sum up of equipment, machinery in the construction phase 39

Table 2.6 Demand for use of key materials 41

Table 2.7 Human resources for the project during peak periods 42

Table 2.8 Area of construction of auxiliary work items 44

Table 2.9 The overall progress of the subproject 49

Table 3.1: A summary of the WB and GOV regulations on environmental assessment 55

Table 4.1 Geological structure at reservoirs in the project area 61

Table 4.2 Average annual air temperature at Bac Quang Meteorological Station 65

Table 4.3 Distribution of seasonal rain 66

Table 4.4 Monthly rainfall distribution 67

Table 4.5 Average humidity in Bac Quang meteorological station (1981 – 2015) 67

Table 4.6 List of hydrological stations in Ha Giang province 69

Table 4.7 Characteristics of the average annual flow of several stations 70

Table 4.8 Position, coordinates of air quality monitoring location 71

Table 4.9 Air quality monitoring results 72

Table 4.10 Location, coordinates of surface water quality monitoring 73

Table 4.11 Results of surface water quality monitoring 73

Table 4.12 Groundwater quality monitoring site 74

Table 4.13 Results of groundwater quality monitoring 76

Table 4.14 Location of soil quality monitoring 77

Table 4.15 Results of soil quality monitoring 78

Table 4.16 Some indicators in agriculture for the whole subproject area of Bac Quang, Quang Binh and Vi Xuyen district 80

Table 4.17 Situation of agricultural land use of Bac Quang, Quang Binh and Vi Xuyen district81 Table 4.18 Yield of major cropst 82

Table 4.19 Production of livestock and poultry 83

Table 4.20 Statistics of forest areas of communes 85

Table 4.21 Census of population, ethnic composition of the communes in the subproject area 87 Table 4.22 Current status of some particular works belong to subproject 89

Table 5.1: Criteria for classification of negative impacts 90

Table 5.2: Area of land used permanently and temporarily 92

Table 5.3: The volume of waste generated during the project preparation phase 95

Table 5.4: Sum of volume 99

Table 5.5: Estimate the amount of dust generated during the construction phase 100

Table 5.6: Estimate the amount of dust generated by transport 104

Table 5.7: Estimate the amount of emissions generated 105

Table 5.8: The maximum noise level of some equipment and machinery 106

Table 5.9: The level of vibration of some construction equipment 107

Table 5.10: Vibration value allowed at work 107

Table 5.12: Potential impacts during construction to sensitive works 113

Table 5.13: Impacts of dam breakdown during operation 116

Table 6.1: Impacts of dam safety incidents (no project implementation) 118

Table 6.2: Combining the plans to select the location of the pits, waste disposal site and routes of material and waster transportation 121

Table 7.1: Summary of implementing cost of Resettlement Action Plan 125

Table 7.2: Practical Environmental Rules (ECOP) to minimize construction impacts 130

Table 7.3: Mitigation measures for sensitive construction 153

Table 7.4: General mitigation measures of impacts during operation phase 155

Table 7.5: Roles and responsibilities of key partiies 158

Table 7.6: Report request 164

Table 7.7: Environmental monitoring plan during construction and operation phase 170

Table 7.8: Estimated cost for monitoring the implementation of ESMP and training 171

Table 7.9: Capital source for monitoring the ESMP 172

Table 7.10: Summary of mitigation measures 173

Table 8.1 Summary of meetings in districts in project area 179

Table 8.2 Summary of community consultation sessions 181

Table 8.3 Opinions of government representatives and local organizations 184

Table 8.4: Information disclosure 191

LIST OF FIGURES Figure 2.1 Geographical location of the project area 16

Figure 7.1: The project implementation organization 157

Figure 7.2: Organizational chart for ESMP implementation 158

SUMMARY

1 Background: Subproject “Ha Giang Dam Rehabilitation and Safety Improvement” is one of

the proposed subprojects under the World Bank's DRSIP Project The objectives of the subproject is to rehabilitate and improve dam safety of 14 reservoirs in Ha Giang province, to ensure stability of works, protection of population and infrastructure, socio-economy in downstream areas: (i) rehabilitating and improving safety of 14 reservoirs in the Subproject; (ii) ensuring the safety and stability of headworks to protect the downstream population areas as well

as their properties; (iii) in accordance with objectives of the National dam safety program The Environmental and Social Impact Assessment (ESIA) was prepared for the subproject in compliance with the World Bank's Environmental Safeguard Policy (OP/BP4.01) requirements and the Law on Environmental Protection of Vietnam (LEP-2014) and relevant provisions, legal

frameworks Total estimated cost of the Subproject 1 is 344,448,120,000 VND

2 Reservoirs are repaired and enhanced safety dam of Ha Giang province include 14 reservoirs

located on 3 district (Bac Quang, Quang Binh & Vi Xuyen) with 10 communes (Vinh Phuc, Bang Hanh, Kim Ngoc, Dong Tam, Quang Minh, Viet Vinh, Vo Diem- Bac Quang district; Tan Trinh- Quang Binh district; Linh Ho, Kim Thach- Vi Xuyen - district) Among 14 reservoirs 10 reservoirs are located in Bac Quang district (, the remaining 04 reservoirs are located in Quang Binh and Vi Xuyen districts

3 Current status of Headworks: The body of the dam has heavily seepage, the sloping stone

protecting upstream slope is damaged; Top of the dam elevation: due to soil overflow, the

spillway has narrow opening and cannot ensure adequate flood discharge according to QCVN04/05:2012/BNNPTNT and WB’s standards as well, thus there is a high risk of top dam overflowing The culvert is damaged, the valve door is flat, the valve is broken, the valve door

of the valve tower is broken Auxiliary works: There are no management house, road management operators are land lines with small widths and difficult travel

4 Description of the main activities of the subproject: (i) Reinforce dam headworks; (ii)

Repair spillways (reservoir Doi 1, Nam Vac, Thon Lai, Thong Nhat, Thom Ta, Thom Luong, Thon Thia, Khuoi Pha, Na Pong); (iii) New construction of intake sluices; (iv) Stop seepage for the dam (Doi 2, Na Tam, Thon Lai, Thong Nhat)

5 Environmental and social screening: The Subproject is designed and implemented in

accordance with the Environmental and Social Management Framework (ESMF) of DRSIP which was approved by WB, and also ensure compliance with the current Vietnamese law and regulations The purpose of the Environmental and Social Impact Assessment Report is to determine the importance of environmental and social issues in the decision-making process by clearly assessing the environmental and social consequences of proposed research before implementing subproject activities Early identification and characterization of important environmental and social impacts that are important to the community and government to assess the potential environmental and social impacts of the subproject; propose measures to be applied

to mitigate environmental and social risks and impacts Activities during the preparation, construction and operation of the subproject are analyzed and evaluated, and then solutions have been proposed to prevent and minimize adverse impacts on the environment and local residents Screening results showed that 14/14 reservoirs all met the project's standards and the subproject was classified as Category B and Triggered 04 safeguard policies, including: OP/BP 4.01 (Environmental assessment), OP/BP 4.37 (Safety of Dams), OP/BP 4.10 (Indigenous Peoples) and OP/BP 4.12 (Involuntary resettlement)

6 Potential Environmental and Social Impacts:

Positive impacts: The Subproject will bring significant long-term benefits to the community,

will be improved as a result of dam and spillway rehabilitation and safety of downstream population will be ensured Dam management will be more convenient as management roads will be upgraded

Negative impacts:

Preconstruction phase: In this period, the negative impacts mainly arise due to land acquisition

activities; Geological survey, waste from the clearance process, risk for explosives that may be left from the war Permanent and temporary acquired of 83,967 m2 of land of 05 households and CPCs In it, permanent acquired of 42,560 m2 of 05 households and 02 CPCs of Vinh Phuc and Bang Hanh communes, including unused hilly land managed by 02 CPCs with 40,655 m2; Aquaculture aquacultural land (currently raising carp) is 525 m2 of 02 households; rice land is 1,380m2 of 03 households; Temporary acquisition 41,407 m2 managed by the People's Committees of communes in the area along the operating route, and near the construction site (currently vacant land with only naturally growing weeds that are not economically valuable), There is no affected household due to temporary land acquisition Impact due to geological survey: The subproject will conduct geological survey of the dam and spillway with 12 boreholes / reservoirs, each hole has 4 ~ 6m of depth The stratum of the dam foundation is quite good, load-bearing capacity, anti-slip strength of the main layers (layer 2a is the base directly under the dam body, layer 3 is mainly in two shoulders, layer 4: strong weathered base rock layer throughout the dam site to stablize the construction) The impact of geological survey affecting the groundwater quality of the subproject area is consideredconsdered low Construction solid waste arises from cutting trees for clearance Domestic solid waste is generated by the activities

of workers working in construction sites Activities of removing vegetation and top soil, such as the process of transporting waste to the dumping sites, and bulldozing the ground to prepare for construction, will generate increased dust The scope of implementation of the subproject may contain landmines left over from the war Subproject will carry out UXO clearance during

implementation because UXO can cause fatality or injury to workers and local people

Construction phase: General impacts due to construction activities relate to arising of dust, noise,

vibration, waste and waste water, traffic volume increase and social impacts due to influx labours, impacts relating to incidents, accidents which may affect health of local population and environment Specifically: increase temporary sedimentation in rainy days due to rock transport Heavy rock transport volume, therefore, this activity increases the risk of reservoir sedimentation; Dust, noise and discomfort in the construction site and along the transportation route; Disruption in supply of irrigation water during repair process, affecting agricultural production and domestic water supply in the area; Damage to existing roads may be caused by the operation of large means of transport of materials; It can affect the health and safety of local people living near the dam, near the construction site due to the risk from construction activities Daily and hazardous waste: The maximum number of workers on the site is 50 people per reservoir; equipment and machinery used in the construction of 16 equipments per reservoir The total volume of domestic wastes (including wastewater and solid waste) is negligible Emissions from the operation of machinery is negligible In addition to environmental issues, construction activities may lead to a significant increase in the operation of vehicles used to transport construction materials, waste soil; potential risks of traffic accidents and injuries to local communities, the risk of infectious diseases and increased disease vectors can pose a health threat to workers and local communities; Social impacts such as social security and social evils, especially: i) Potential impacts of spreading infectious diseases from workers to local communities and vice versa; ii) Potential impact of prostitution, drugs and gambling; iii) potential conflicts between workers and local communities because of cultural and behavioral differences; iv) Gender-based violence leads to physical and psychological losses for women, including threats and coercion (mental, physical, sexual violence ); v) Use of child labor during construction and vi) conflicts on the need to use local service infrastructure such as electricity

and water supply and transportation systems leading to lack of electricity and water supply and traffic congestion for the area The construction of different items of the subproject may affect some special areas located near the construction sites, 2/14 construction items of the subproject affected are Na Tam (Bridge on Na Tam overflow) and Na Pong (Transformer Station and Memorial house of martyrs in Kim Thach commune) Due to the reality of agricultural cultivation and the need for downstream water use, the investor will require contractors to have appropriate construction solutions so as not to affect the flow and quality of supply water ; therefore, there is no temporary effect during the construction of the dam upgrade Irrigation water supply for agricultural production area of communes within the project scope is guaranteed during the implementation of subprojects

Operation phase: may generate domestic waste due to indiscriminately discharged by farmers or

reservoir operators Repair and maintenance activities can lead to water shortages for a short time This will have a direct impact on the agricultural production and living activities of the downstream people, and will indirectly cause impacts such as income reduction due to non-cultivation time, environmental pollution and epidemics due to lack of water However, the level

of impact of this water cut is not high, because the repair and maintenance activities only last in a short time Emergency flood discharge can affect downstream communities without prior notice, causing a direct impact of downstream flooding, property, crop and life damage and leading to

indirect impacts such as environmental pollution and disease outbreaks and loss of income Long-term impacts: The following are long-term negative effects, remaining after the completion

of the project.Land and soil degradation: This phenomenon can occur in construction works and adjacent areas due to loss of vegetation, change of landscape due to excavation, embankment, quarrying waste Subproject does not use termite-killing chemicals, does not increase irrigation area nor change crop structure, so does not increase the need to use pesticides

7 Mitigation measures To address these negative impacts, the Environmental and Social

Management Plan (ESMP) has been prepared as part of this document with recommendations for implementation for impact management and environmental monitoring, report requirements, capacity building, budget for implementation A separate Resettlement Action Plan / Compensation Plan have been prepared to address land acquisition impacts The following are the measures to be taken

Preparation phase:

- Implementation of RAP

- Incorporation of environmental mitigation measures into technical design where possible

- Consultation with people on the actual time of dam repair activities with the purpose of minimizing the impacts of 3 phases: Preparation, Construction of the Subproject, Operation of the Subproject

- Inclusion of provisions on implementation of mitigation measures into construction bidding documents and construction contracts

Construction phase:

- Request contractors to strictly and fully implement mitigation measures for the impacts mentioned in the Environmental and Social Impact Assessment Report, the subproject social impact assessment report and measures stated in this report

- Request contractors to perform maintenance and regular repair of existing construction routes

Operation phase:

- During the operation phase, the construction items of the subproject were repaired and upgraded as: stop seepage and losses due to damaged items, thus improving water storage capacity and ensuring water regulation ability through repairing culverts Therefore, it is possible

to restore the irrigated area where reservoirs do not provide sufficient designed irrigation area Therefore, it is necessary to introduce and promote integrated pest management methods in irrigation services

- PPMU regularly monitors to ensure that damages to architectural structures will be repaired and restored according to approved records Reservoir management units regularly check dam safety, patrol the reservoir area to avoid drowning accidents; forecasting and warning

to authorities and people when there are extreme weather phenomena; To regularly collect garbage at the reservoir area, for reservoirs with tourist business activities, there must be garbage bins and coordinate with garbage collection units in localities to collect daily

8 Implementation arrangements At the project level, CPMU recruits, hires and coordinates

independent supervision consultant (ISC) and Project implementation consultant (PIC) to carry out independent monitoring on compliance with safeguard policies, and provides regular support for the project activities The consultants will assess the compliance with safeguard policies through the implementation of the safeguard policy instruments adopted by the World Bank during construction, including Environmental and Social Management Plan, Resettlement Policy Framework / Resettlement Action Plan, Ethnic Minority Development Plan, Gender Action Plan For the subproject, PPMU is responsible for implementing and monitoring the implementation of the Environmental and Social Management Plan, ensuring bidding documents and construction contracts fully integrating environmental agreements on compliance of contractors The contractor will implement construction activities and comply with the agreed environmental agreements in the contract The contractor's environmental and social management plan (CESMP) is reviewed and approved by PPMU and sent to relevant units and disclosed to the community in accordance with Vietnamese law, before start construction Project management unit for agricultural works investment and rural development in Ha Giang province and the consultant will monitor compliance with the agreed mitigation measures with the contractor In addition, the contractor's compliance will be closely monitored by Ha Giang DONRE, local authorities and people

Monitoring and reporting mechanism on compliance with project safeguard policies to CPMU and the World Bank: PPMU conducts internal monitoring and reports quarterly to CPMU, CPMU organizes independent monitoring and report to the WB reports every 6 months Detailed monitoring plans will be prepared in the detailed design phase

9 Capacity building During implementation, PPMU receives support from CPMU on the

World Bank's environmental safeguard policy PPMU staff has been trained by CPMU in collaboration with safeguard specialists of the World Bank to guide the environmental safeguard policy issues of the project, including OP/BP 4.01 (Environmental Assessment), General Guidelines Environment, Health and Safety (EHS) of IFC, OP/BP 4.04 (Natural habitats), OP/BP 4.10 (Indigenous Peoples) and OP/BP 4.12 (Involuntary Resettlement)… During implementation of the subproject, training on environmental safeguard policies of Construction Supervision Consultant (CSC) and contractor's EHS staff will be carried out regularly to update relevant information For PPMU, during inplementation, subproject regularly receives support from independent consultants and technical assistance advice on CPMU's safeguard policies on the management of dam safety, monitoring implementation of the ESMP

Cost Estimates for implementation of the ESMP The implementation of the ESMP includes

the cost of monitoring, implementing mitigation measures and capacity building The cost of implementing mitigation measures will be included in construction costs

1 Monitoring of implementation of environmental and social

management plan

746,000,000

10 Grievance Redress Mechanism (GRM) Complaints relating to any subproject's problems

will be solved through negotiations to achieve the consensus A complaint will go through three stages before it can be transferred to the court (People's Committees at commune, district and provincial levels) before submitting to the court in accordance with the Law on Complaints

2011 PPMU The enforcement unit will pay all administrative and legal fees relating to the acceptance of complaints because this cost is included in the subproject budget

11 Community consultation: Applying different methods and techniques to conduct

community consultations with people affected by the subproject, including a) community meetings, b) household survey, c) Focused group discussions, site monitoring and key informant interviews The use of these methods and techniques to enhance the reliability and effectiveness

of feedback from the subproject stakeholders, especially the affected local people and ensure that (i) PAPs receive full information about the subproject; and (ii) all PAPs are involved in the process of free consultation, advance notice and provided complete information during the preparation and implementation process Consultation meetings and direct interviews were conducted from January 9 to 11/2018 In October 2018, send a draft report on environmental and social impact assessment to consult local authorities in the subproject area Consultations will be conducted regularly during the construction process to promptly address issues related to social environmental impact assessment The number of consulted people is 200 in 10 communes in the subproject area, the consultations are summarized as follows: people in the project area communes agree with the implementation of the project in the area and wish to support some items as well as mitigation measures for environmental impact; The work of repairing and improving reservoir dam safety is really meaningful for the economic development of the districts in general and the communes in the project area in particular, however, during the implementation of the project, there will be a partial impact on the daily life of the people but according to the assessment and comments in the community consultation, these impacts are not significant

12 Information Disclosure : In compliance with OP 4.01 policy and World Bank policy on

access to information, at the early stage of preparation phase of the subproject, the subproject information has been transmitted through mass media to local authorities and communities PPMU has disseminated and consulted directly with the local communities in January 2018 and sent consultation information to local organizations The draft Vietnamese Environmental and Social Impact Assessment Report is sent to Commune People's Committees for information dissemination and consultation in October 2018 The final version will be expectedly published

in January 2019 through the project website in Vietnamese and on the Bank external website in English before subproject appraisal

13 Conclusion Subproject "Dam rehabilitation and safety improvement" in Ha Giang

implementation can cause negative impacts in stages, however, due to construction scale of construction items is not large, impacts are considered insignificant, so proposed mitigation measures have been considered feasible and appropriate to local natural and socio- conditions and project management and construction conditions in localities

The Environmental and social management plan are set up to manage and monitor negative impacts, update managers and local authorities on the implementation process of subproject items The monitoring system is prepared and approved by the WB to apply to the implementation of subprojects Supervision consultants shall regularly check and report monthly

to PPMU On that basis, PPMU will report on the compliance with safeguard policies to CPMU and the World Bank

Chapter 1 INTRODUCTION

1.1 Background of the project:

Vietnam has one of the largest irrigation and culvertage networks in the world besides China and the United States This network consists of more than 7,000 dams of various sizes and types More than 750 dams can be classified as large dams (dams over 15m or 5m to 15m with over 3 million m3) and small dams (height <15m and less than 3 million m3) estimated that more than 6,000 dams are Earth-fill dams Of the 4 million hectares of agricultural land, more than 3 million hectares were irrigated through 6,648 dams

The development of this infrastructure also poses some challenges.Many small- and medium-sized reservoirs were built between the 1960s and 1980s with the limitations of technical, design and construction survey These factors coupled with operational and maintenance constraints make many dams degraded and the level of safety of dams is lower than that of international safety standards This brings significant risks to the safety of people and economic security The degradation of these dams, coupled with the increased risk and loss of biodiversity due to climate change as well as rapid upstream development, have led to many reservoirs in risky conditions Risks may arise from an imbalance of the profile, such as too thin

to stabilize, subsidence of the main structure, permeability of the main dam and / or dam and surrounding structures water, deformation of upstream / downstream, overflow, and failure to effectively promote safety monitoring equipment Failure to achieve operational safety of the existing network and capacity site for further development is likely to undermine the Vietnamese economy

Recognizing the importance of ensuring the foundation for maintaining and securing economic growth, the government launched a program of dam safety in 2003 The Bank funded project will support the Government of Vietnam's Dam Safety ProgramThis project will be implemented by supporting both the structural safety of dam and reservoirs themselves, together with operational safety requirements to protect vulnerable people and socio-economic nfrastructure in downstream This is in line with the definition of the Government on the safety

of dams in Decree 114 The project will also support the Government to ensure a more comprehensive integrated river basin development plan to enhance institutional coordination, future development and operational safety

Selection of improved dams in the project will be based on pre-agreed selection criteria

to prioritize interventions that address the risks within the framework of poverty and inequality Priority will be based on the probability and severity of the problem with human and socio-economic infrastructure, including structural, hydrological, downstream and downstream risk risks with economic benefits These priority dams will be further classified according to their willingness to prioritize dams ready for redevelopment with detailed engineering design and rehabilitation with detailed design Apply procedures for the selection of interventions developed

by the International Commission on Large Dams (ICOLD) and other organizations - such as the Portfolio Rist Assessment) Based on the lessons learned from the Vietnam Irrigation Project (VWRAP), this activity will provide clear criteria for future risk assessments, including (i) ) dam break probability (structural height and volume risk); (ii) the degree of impact of the dam incident to the downstream population; (iii) impact of flooding mitigation, (iv) context of poverty and impact, (v) areas of ethnic minorities; and (vi) readiness

The project is designed based on a framework approach to strengthen the Government's system of dam safety with a flexible, transparent and favorable mechanism The number of dams funded under the project is not fixed, but the original list of 450 dams was prioritized based on risk assessment, using risk indicators developed during the project preparation process and

have more funding to expand the existing program that is expected to repair and upgrade 50 dams a year While not evenly distributed among the 34 provinces, the renovation of the 450 dams over a six year period means that there is an average of 75 dams per year, or about two dams per province per year during the implementation

The project offers the optimal combination of structural and non-structural measures designed to enhance the safety of dams Work measures include repair works and upgrades the safety of existing dams and auxiliary works, including both instrumentation and associated safety planning tools Repair works account for the majority of IDA funding (> 80%) Non-structure interventions have been proposed to support a range of institutional and legal measures, as well

as pilot basin-level measures These basin-level measures aim to improve data collection, agency management and coordination of reservoir and dam management in basin management The project will also help to improve institutional coordination as an integral part of these measures to enhance operational safety and regulatory environment support and tooling materials for guidance of development and management of irrigation infrastructure in the future

inter-The project includes three main components:

Component 1: Dam safety rehabilitation

About 450 dams with a capacity of over 0.2 million m3, designed to level IV to special level (reservoirs of Dau Tieng) will be prioritized for repair and restoration This component includes work measures, equipment and operational monitoring of reservoirs These activities will assist in improving the safety of the facilities and downstream areas Large dams will be supported by the Emergency Preparedness Plan (EPP), Operation and Maintenance (O & M) plans will increase the sustainability of the investment In addition, the component that supports the establishment of safety policies includes both Environmental and Social Impact Assessment (ESIA), ReseNolement Action Plan (RAP), Ethnic Minority Development Plan (EMDP) ) to minimize negative impacts during project implementation Estimated cost of this component is USD $ 412 million

Component 2: Dam safety management and planning

This component has a direct impact on the country, directly supporting the Ministry of Agriculture and Rural Development, the Ministry of Industry and Trade, the Ministry of Natural Resources and Environment The component will support the implementation of non-structural measures, improve the legal framework, improve the policy and establish sanctions to enhance implementation Data management will effectively support management levels in the monitoring

of reservoir operations (especially during flood season), and make timely decisions The information sharing mechanism will assist in coordinating flood discharge in the basin, minimizing the risk of dam and flooding in the downstream, synchronizing and unifying information and cost savings The component also supports regulations, standards and application of technology in the field of construction and materials …, It not only reduces the cost and time required for the project, but also provides the capacity for more than 700 dams in the national dam safety program The component also supports the implementation of models for

1 to 2 river basins in combining safe management with disaster management through the implementation of institutional and policy regulations, hydro-meteorology, information monitoring system, information sharing mechanism between authorities and dam investors and coordination in reservoir operation in the basin The component also includes a model for managing reservoirs with the participation of the community and the appropriate financial mechanism towards sustainability in investment The component also supports monitoring and technical assistance to project management agencies, project management agencies and safety experts at the request of the donor The estimated cost is USD $ 20 million

Component 3: Project management support

Component of financial support for project management, auditing (independent audit and financial statement auditing), and technical assistance for project implementation There are 4 provinces that have not participated in ODA projects, 13 provinces have been implementing the first time and 17 provinces (50%) have implemented ODA projects, so the component will spend

a budget to strengthen Capacity of the project management agencies through training, workshops and visits The estimated cost of this component is USD $ 11 million

1.2 General information of the subproject:

Ha Giang Subproject of dam rehabilitation and safety improvement is one of the subproject of project Dam rehabilitation and safety financed by the World Bank in phase 2 The six-year DRSIP project aims to support the National Dam Safety Program There are 14 reservoirs under Subproject “Ha Giang dam rehabilitation and safety improvement ” which will

be built with from the WB loan and a part of the Vietnam Government's counterpart fund Environmental and Social Impact Assessment is part of the World Bank's request for approval of project supports, including the subproject

Fourteen (14) reservoirs to be repaired and upgraded to improve dam's safety in Subproject 1 are: Trung reservoir (Vinh Phuc,Bac Quang), Doi 1, Doi 2 (Bang Hanh,Bac Quang), Nam Vac (Kim Ngoc,Bac Quang), Na Tam (Dong Tam,Bac Quang), Thon Lai, Thong Nhat, Thom Ta (Quang Minh,Bac Quang);Thom Luong (Viet Vinh,Bac Quang), Thon Thia (Vo Diem,Bac Quang), Khuoi Pha, Tan Bang (Tan Trinh,Quang Binh), Coc Bo(Linh Ho, Vi Xuyen) andNa PongBo (Kim Thach, Vi Xuyen)

The Environmental and Social Impact Assessment was prepared in accordance with the guidelines and requirements of the World Bank's Policy on Environmental Assessment (OP/BP 4.01) and complied with provisions of the current Law on Environmental Protection of Vietnam (LEP)

1.3 Objectives and methods of environmental assessment:

Objectives:

• The overall objective is to carry out the Environmental and Social assessments of a specific subproject, including the preparation of necessary tools for improving dam safety to meet requirements of the GoV and the World Bank

• The specific objectives of the Environmental and Social Impact Assessment Report include: (i) assess Environmental and Social Impacts of the rehabilitation of key headworks of 14 Reservoirs (Trung reservoir, Doi 1, Doi 2, Nam Vac, Na Tam, Thon Lai, Thong Nhat, Thom Ta, Thom Luong, Thon Thia, Khuoi Pha, Tan Bang, Coc Bo and Na Pong; (ii) Develop an environmental and social monitoring plan (ESMoP) including compliance monitoring and reporting mechanism; (iii) Create communication channels that allow local communities to participate in decision-making process

Scope of environmental and social impact assessment: Region affected by the Subproject

consists of 2 sub-areas:

(i) Construction and repairs of headwork including upgrading of dams, spillway, intake, management road, borrow pit, stockpiles, machineries, landfills, borrow pits, tents and camps, including the borders affected by water level of reservoirs and downstream canals, etc

(ii) Benefitted and/or affected areas by the subproject, including communesVinh Phuc, Bang Hanh, Kim Ngoc, Dong Tam, Quang Minh, Viet Vinh, Vo Diem (Bac Quang district); Tan Trinh -Quang Binh; Linh Ho, Kim Thach-Vi Xuyen

Assessment includes activities during the whole cycle of the subproject: site clearance; construction and operation phases The basic characteristics of the environment include: soil, air, water and social environment The following objects are considered, assessed:

• Natural environment (water resources, hydrology, air / water / soil pollution, erosion and sedimentation, culvertage, safety for stakeholders and existing infrastructure, taking into account basic conditions such as climate, geography, topography, air quality);

• History, culture and archeology;

• Biological environments: terrestrial and aquatic fauna and flora

• Social environment: health and medical care, employment and income, gender, safety and social stability, access to basic services such as water supply and energy, health care and education, etc

Basic features include the current safety risks of dams as well as past incidents involving safety and disaster issues

Approach: The ESIA report is based on the proposed upgrading and restoration work based on a

safety assessment conducted as part of the DRSIP project preparation, Dam Safety report and Feasible Research report in identifying activities as sources of impact Proposed works and dams have been implemented Environmental and social screening to identify non-eligible items under the World Bank's safety standards as well as to determine the scope of ESIA and Other required tools The ESIA report also uses existing environmental and social regulations to determine the magnitude of impacts and in the identification of mitigation / compliance measures The environmental criteria of the Government have provided reference levels for environmental quality indicators Use available methods where possible to quantify environmental and social impacts

Methods: Data and information were collected by combining secondary data and first hand data

from field surveys, including field surveys, data collection and analysis of environmental samples

• Field surveying method: The consultant conducted two field surveys: 1st round (from

January 9 to 12/2018) and 2nd round (from February 16 to 24/2018);

• Sociological Survey Method: Interviewed 280 households (affected directly, indirectly

and beneficially) in Vinh Phuc, Bang, Hanh, Kim Ngoc, Dong Tam, Quang Minh, Viet Vinh, Vo Diem (Bac Quang district); Tan Trinh, Quang Binh district; Linh Ho, Kim Thach - Vi Xuyen district;

• Statistical methods: Collecting, processing and analyzing: (i) meteorological,

hydrological and environmental data in many years in the project area; (ii) economic and gender data and reports in 3 consecutive years in subproject area

Socio-• Use the results from previous projects / research relating to study objects

• Expert panel Method: The Consultant held meetings and meetings to get feedbacks on

the proposed measures for the mitigation of negative environmental impacts from such experts as Agriculture, Water Resources, Irrigation, Sociology, ReseNolement, Dam Safety and Gender Development

• Collecting, analyzing data and formulating reports: Analyzing and synthesizing the

impacts of the project on the components of the natural and socio-economic environment in the project area

• Rapid assessment method: : Use pollution coefficients issued by the World Health

Organization (WHO) in the estimation of emissions and prediction of pollution

• Comparison method: Assess impacts by comparing against land, air, noise,

environmental and water quality criteria and standards

During the implementation of ESIA, community and stakeholder consultations should be conducted Consultations that provided additional content will be addressed in the ESIA The results of the consultations are presented in Appendix A4

1.4 Objectives and methods of social assessment:

Objectives: :The purpose of the social assessment (SA), which is done simultaneously with the

environmental assessment of the subprojects, with two objectives First, consider the potential impact of the positive and negative subprojects on the basis of the project implementation Secondly, seek from the design of solutions to address potential negative impacts and propose community development activities that are relevant to the development objectives of the project Identification of adverse impacts is unavoidable, consultation with local people, government agencies, project stakeholders, etc., will be undertaken to ensure that affected populations will be compensated and supported in a timely manner so that at least their socio-economic activities are restored to their pre-project levels and, in the long run, their livelihoods will not be worsed, considered as a result of the subproject

A Gender Analysis was also implemented as part of the SA to describe the gender characteristics

of the subproject area (from the perspective of the impact of the project) to enable the integration

of gender issues into promote gender equality and further improve the development of subprojects and entire projects Depending on the magnitude of the potential impacts of the project being identified, the project development objective, the action plan for gender and the monitoring of the gender action plan have been prepared ( See Appendix B4)

Social assessment method: In order to ensure that all potential impacts can be identified during

project preparation, SAs have been conducted through a series of consultations with stakeholders An important part of concern is households, people potentially affected by the project (both positive and negative) Assessment techniques to be used in this SA include: 1) review of secondary data, 2) field observations; 3) focus group discussions / community meetings, 4) in-depth interviews, and 5) household surveys The total number of households consulted is 280 households

In Section V, we will present the findings of SA (positive and negative effects), including the results of gender analysis In Section VI, we will briefly present the SA results, together with the recommendations based on the SA resultsThe gender action plan and the plan for monitoring the gender action plan are presented in Appendix B4, public health management plans, community consultation and communication strategies as described in Appendix B2 and B3, respectively The complaint settlement system is described in Appendix B5

1.5 The subproject investor and investment capital:

The subproject investor: Ha Giang Agriculture and Rural Development Investment and

Construction Project Management Unit

Address: 196, Tran Hung Dao Street, Ha Giang City, Ha Giang Province

Tel: +84 219.3866.799 Fax: +84 219.3866.798

Total investment capital: Total cost of project implementation: 344,448,120,000 VND The sum

of funds for each item is shown in Table 1.1:

- Loans from the World Bank (WB): 326,447,533,000 VND;

- Counterpart fund: 18,000,587,000 VND

Table 1.1 Total investment capital of the subproject

1 Expense for compensation, support and resettlement 1,148,072,000

2 Construction costs 269,120,322,000

3 Project management costs 4,039,594,000

4 Cost of construction consultancy 21,232,747,000

1.6 Consulting unit:

Name of unit: Ioint stock company for investment, development of natural resources and environment - REEN JSC

Represented by: Ms Ngo Thi Binh

Title: Director of the company

Address: 59 Chua Boc Street, Trung Liet Ward, Dong Da Dist., Ha Noi

- Preparing a plan for implementing the package, managing, monitoring and supervising the operation of the bidding package

- Assignment of workers to the implementation of the subproject progress

- Collecting, analysis of the legal framework, regulations of the Government of Viet Nam and the World Bank related to the Environmental and Social Impact Assessment of Subprojects

- Conduct Report on Environmental and Social Impact Assessment (ESIA)

No Names Assigned position Tasks

3 Do Hoai

Nam

Environmental Hydrologist

- Consult the community in the project area;

- Evaluating the current status of natural conditions, negative impacts of the subproject on lagoon hydrology, sediment transport and flood risks in downstream areas, and propose mitigation measures

4 Nguyen Thi

Han

Environmental chemical specialist

Responsible for investigating, collecting and analyzing samples of water, air and soil in the laboratory

5 Nguyen Ba

Tuan Expert in Ecology

- Consult the community in the project area;

- Assess the status of the biological environment, assess the impact of subprojects on biological environment and propose mitigation measures

6 Bui Dinh

Hieu Irrigation expert

- Consult the community in the project area;

- Evaluate negative impacts of irrigation works in downstream during operation

7 Nguyen Thi

Bac

Support workers for environmental tasks

Assist the team members on issues related to the environment

Table 1.3 Assign the task for the ESIA experts of the group of social experts, reselement and

ethnic minority development

1 Nguyen

Duc Chien

Deputy head / social expert

- Preparation of questionnaires, consultation and in-depth interviews with affected households;

- Be responsible for socio-economic investigation of affected households; Conduct Report Social Assessment (SA)

2 Bach Huy

Hoang

ReseNolement expert

- Consult the community in the project area;

- Collecting and analysis of the legal framework, regulations of the Government

of Viet Nam and World Bank related to the resettlement action plan; Investigation of

No Names Assigned position Tasks

accquisition;

- Lead the survey of cost replacement;

- Set up resettlement action plan

- Consult the community in the project area;

- Collecting and analysis of the legal framework and regulations of the Government of Viet Nam and the World Bank relating to the Ethnic Minority Development Plan (EMDP);

4 Nguyen Thi

Chat

Support workers for social tasks

Assist the team members with issues related to the social field

Chapter 2 SUBPROJECT DESCRIPTION

Subproject “Ha Giang dam rehabilitation and safety improvement” is implemented in

10 communes in the districts of Vi Xuyen, Bac Quang and Quang Binh The current status of infrastructure in 14 reservoirs, most of which have been built many years ago, has degraded in quality: Earth-filled damage is the major, roof dam is soaked and eroded; Flood-discharge spillway does not guarantee flood discharge; Culvert valve is broken and leaked; Management road has not been reinforced, damaged and need to be repaired and upgraded to ensure safety and operation of the reservoir

2.1 Objectives of the subproject:

- Ensure safety of reservoirs and key works

- Improve the efficiency of using existing irrigation works to serve intensive farming, increase productivity and product quality; to develop specialized high-yield and high economic value crop areas Maximizing the potential of agricultural land in the region

- Reduce the amount of water loss Ensuring to serve the needs of local people for water use and industrial development, promoting socio-economic development of the project area in particular and Ha Giang province in general

- Creating natural landscapes, improving ecological environment, promoting tourism development in the region

2.2 Overview of the subproject:

Subproject “Ha Giang dam rehabilitation and safety improvement” will implemented for 14 reservoirs located in 3 districts (Bac Quang, Quang Binh & Vi Xuyen) and 10 communes (Bac Quang district: Vinh Phuc commune, Bang Hanh, Kim Ngoc, Dong Tam, Quang Minh, Viet Vinh, Vo Diem; district of Ha Giang province Among 14 reservoirs, 10 reservoirs are located in Bac Quang district, the remaining 04 reservoirs are located in Quang Binh and Vi Xuyen districts

Table 2.1 List and location of Reservoirs

2 Doi 1 2475820.12 425025.38 Tan Thanh

Bang Hanh

3 Doi 2 2483668.78 431655.32 Tan Thanh

4 Nam Vac 2480212.02 443815.10 Nam Vac Kim Ngoc

5 Na Tam 2489668.33 442959.71 Thon Thuong Dong Tam

6 Thon Lai 2465622.17 421853.13 Thon Lai

Quang Minh

7 Thong Nhat 2474910.35 435019.76 Thong Nhat

8 Thom Ta 2477531.40 434693.00 Thon Quan

9 Thom Luong 2483328.79 434896.53 Minh Thang Viet Vinh

10 Thon Thia 2477132.08 440116.62 Thon Thia Vo Diem

No Name

Coordinates

11 Khuoi Pha 247626.15 428251.32 Tan Trang

Tan Trinh Quang

Binh

12 Tan Bang 247733.04 429590.65 Tan Bang

13 Coc Bo 2512550 454948 Na Tra Linh Ho Vi

Xuyen

14 Na Pong 2521890.39 450466.56 Ban Tham Kim Thach

Figure 2.1 Geographical location of the subproject area

2.3 Status of works and construction solution:

Table 2.2 Summary information on the status quo of the subproject

Dam crest elevation is 119.9~120.5m;

Small apertures do not meet the flood discharge requirements QCVN04/05 and

WB standards as well, so there is always

a risk of spill over the crest

The incident damaged building structure:

- Earth-filled dam: The dam body is leakage, The stone of the upstream roof is shattered and damaged

- Flood-discharge spillway: Small aperture, does not meet flood discharge requirements

- Culvert: damaged culvert, Flat valve door, broken valve, broken valve door

Two sides of the culvert are leakage

Auxiliary works: Management house, roads

- Management house: No management house is in operation

- Management road: There has been management road running from the commune center to dam crest, length

~3km,it is difficult to commute by land

- Clue dam: Raise the crest

evelation to 1 meter, apply upstream structure to prevent seepage of the dam, protect the upstream roof from the crest down to NWL 1m as the concrete poured in place M250, the rest is with stone slabs placed in concrete frame;

enlarge flood spillway from 1.5m to 15m, the construction site right at the location of current flood-discharge spillway

-Upstream side: Range from the

dam crest below the normal water level of 1 meter, protected

by the in-place M200 concrete slab dimension 3x3mxthickness

of 12cm; Each slab will place

on, the gravel filter layer thickness of 15cm follow by sand filter thickness of 15cm From 1 meter below the normal water level to the dam foot is protected by paving stones placed on 15cm thick gravel filter layers and 15cm thick sand

Upstream roof (The leg is deflected)

Flood-discharge spillway with narrow opening

No Reser

voir

Status quo

of a new rural road from the commune center to about 250m from the top of the dam Therefore, it is recommended

to upgrade this remaining 250m

- Communication system and lighting system: None

concrete frames with dimensions

of 0.2x0.5m, the size of each cell

is 5x5m

-Replace Culvertintake culvert:

Break down the old culvert, renew by steel pipe diameter D

= 0.5m coated with reinforced concrete thickness of 0.5m Operated by downstream disc valves

Culvert collapsed

2 Doi 1

The reservoir was built since 1960 (208,000 m3); with the catchment area of about 0.57km2; supply irrigation water for 42.2 ha rice field;

Dam crest elevation is 80.73m; filled spill, small apertures does not meet the flood discharge requirements QCVN04/05 and WB standards as well, therefore there is always a risk of spill over the crest;

earth-The incident damaged building structure:

- Earth-filled dam: The dam body is leakage

- Dam crest, Upstream and downstream dam roofs both have not been reinforced and protected, so being eroded, grass and overgrown shrubs

-Clue dam: Remove all old dams

built by the people themselves, rebuild the dam with the structure of homogenous earth-filled dam; raise the crest from 80.73m elevation to 83.0m elevation to increase reservoir capacity Protecting upstream roof with paving stones placed

in reinforced concrete frame M200, size of each cell is 5x5m, frame size bxh = 0.22x0.6m

Paving stone is placed on a 15

cm thick gravel filter layer, filtered sand is 15cm thick

-Flood-discharge spillway: New

Flood-discharge spillway is

Unstable dam surface, upstream roof causing landslide

No Reser

voir

Status quo

affect the dam

- Flood-discharge spillway: Small aperture, does not meet flood discharge requirements

- Culvert: damaged culvert, Flat valve door, broken valve, broken valve door

Two sides of the culvert are leakage

constructed with M250 reinforced concrete structure, at the position of the old spillway

-Culvert: Newly built culvert at

the old culvert location

Broken culvert

3 Doi 2

The reservoir was built since 1990 (221,000 m3); with the catchment area of about 0.24km2; supply irrigation water for 75 ha rice field;

Dam crest elevation is 101.8m, meet Vietnamese standards as well as WB standards However, the end of the spillway is the foothills, the flood flow through the slit is relatively narrow, discharging to the farmers’ fields

The incident damaged building structure:

- Earth-filled dam: The dam body is leakage Dam crest not yet reinforced, grass and large shrubs overgrown

- Stone paving to protect the upstream roof is now greatly shaken, on the roof

-Waterproofing treatment of dam body: Drilling for

waterproofing with cement

-Protecting dam roof:

Upstream roof: Range from the dam crest below the normal water level of 1 meter, protected

by the in-place M200 concrete slab dimension 3x3mxthickness

of 12cm, each slab will place on the gravel filter layer thickness

of 15cm, follow by sand filter thickness of 15cm From 1 meter below the normal water level to the dam foot is protected by paving stones placed on 15cm

Upstream roof is shattered

No Reser

voir

Status quo

- Flood-discharge spillway: The tail part

of the spill is narrow and does not guarantee flood culvertage

15cm thick sand filter; paving stones placed in concrete frames with dimensions of 0.2x0.5m, the size of each cell is 5x5m

Downstream dam roof: Apply the structure to expand the crest from B = 4m to B = 5m; protect downstream dam roof by growing grass; downstream culvertage as stone pile

The tail of the spill is narrow and does not guarantee

The incident damaged building structure:

- Clue dam: Dam surface, dam roof eroded sharply, There are many big trees with stem diameter 10÷30 cm

Seriously affecting the structure of the dam body, Big trees will cause the dam body to have many pores

- Flood-discharge spillway: the last part

of the spill continues into the natural stream bed, the two sides are fields, not yet reinforced and protected, now

-Clue dam: Drilling for waterproofing with cement

-Dam roof: Protecting upstream

dam roof Range from the dam crest below the normal water level of 1 meter, protected by the in-place M200 concrete slab dimension 3x3mxthickness of 12cm, each slab will place on the gravel filter layer thickness

of 15cm, follow by sand filter thickness of 15cm From 1 meter below the normal water level to the dam foot is protected by paving stones placed on 15cm

The foot of the downstream dam is soaked

No Reser

voir

Status quo

collapsed Need to have a long-term embankment plan

- Culvert: The valve tower is located upstream, the valve status is still operating normally but there is no valve protection door system

thick gravel filter layers and 15cm thick sand filter; paving stones placed in concrete frames with dimensions of 0.2x0.5m, the size of each cell is 5x5m

-Flood-discharge spillway: Add

the following passage from spillway with natural riverbed with M250 reinforced concrete structure

Culvert has no security door system

5 Na

Tam

The reservoir was built since 1960 (201,000 m3); with the catchment area of about 1.53km2; supply irrigation water for 55 ha rice field;

Ability to prevent floods, flood culvertage, flood control: spill dam meeting flood discharge requirements according to Vietnamese standards as well as WB standards

The incident damaged building structure:

- The upstream part of the dam is deposited, elevation before spilling threshold from 117.5 ÷ 118.5m

Should reduce part of the tank volume

- The upstream spill dam and the walls

on the shoulders of the dam from elevation 120.86m down to the foot of

-Handling waterproofing for dams: Based on geological

conditions and permeability status, it is recommended that the waterproofing solution for the dam is to create a waterproofing membrane by the method of cement mortar

-Protecting upstream dam roof:

Wrap the whole upstream side, the dam surface made of M250 reinforced concrete, 30cm thick

-Culvert: Replace downstream

disc valve D400 diameter

Upstream of the dam is deposited

No Reser

voir

Status quo

pores surface and in the wall On the top of the spill, there is a lot of peeling, the position of the overflow threshold

on the left side is peeling off to reveal the steel, with the size of 15x25cm, the concrete layer of the top surface is peeled and worn about 5cm

- Culvert is located under the dam body, made of steel pipe with diameter D400, 20m in length There is an upstream valve tower, good structure, but the culvert valve is leaked, not watertight, so it cannot keep water in the reservoir On the other hand, the device opens and closes on the traffic bridge so it is not convenient for operation The guardrail is damaged

There are downstream valves but the

valve system has been damaged

Culvert has no valve system

The incident damaged building structure:

- Main dam: Main dam with length of 125m, Earth-filled dam homogenous

Upstream dam roof reinforced with stone Downstream roof of the dam has

no culvertage system, there are many shrubs, overgrown grass, and small landslides along the downstream roof

- Sub dam: Earth-filled dam homogenous, upstream and downstream dam roofs not yet reinforced be eroded, overgrown shrub

- Culvert on the right shoulder of the dam, reinforced concrete structure, size 70x60cm The culvert has a fissure at the upstream of the dam with reinforced concrete sheet The existing sluice is still in good condition but there is no downstream regulating tower, and the hand-operated screw-opening machine has been damaged

-Clue dam: Drilling for waterproofing with cement -Upstream and downstream dam roof:

+Upstream roof : Range from the dam crest below the normal water level of 1 meter, protected

by the in-place M200 concrete slab dimension 3x3mxthickness

of 12cm, each slab will place on the gravel filter layer thickness

of 15cm, follow by sand filter thickness of 15cm From 1 meter below the normal water level to the dam foot is protected by paving stones placed on 15cm thick gravel filter layers and 15cm thick sand filter; paving stones placed in concrete frames with dimensions of 0.2x0.5m, the size of each cell is 5x5m

+Downstream dam roof: Apply the structure to expand the crest from B = 4m to B = 5m; protect downstream dam roof by growing grass; downstream culvertage as stone pile

-Flood-discharge spillway: Add the following passage from

Downstream dam roof has no culvertage system

Location of landslide in the middle of the dam, the

downstream dam roof area

No Reser

voir

Status quo

with M250 reinforced concrete structure

7 Thong

Nhat

The reservoir was built since 1990 (222,000 m3); with the catchment area of about 0.43km2; supply irrigation water for 78 ha rice field;

Dam crest evelation: 75.57m ~76.52m

So dam crest evelation failing to ensure safety according to the frequency of inspection floods according to WB standards

The incident damaged building structure:

- Clue dam: Earth-filled dam surface not yet reinforced, People transporting vehicles affects damaging surfaces;

upstream dam roof is reinforced with construction stone but along the dam roof grass is still overgrown;

Downstream roof dams overgrown shrubs and landslides, affecting dam structure

- Flood-discharge spillway: Not yet reinforced water ramps, now much eroded

- Culvert: The upstream valve has been broken Need to overcome in order to ensure culvertage of water for downstream

-Handling waterproofing for dams Drilling for waterproofing with cement

-Upstream roof: Range from the dam crest below the normal water level of 1 meter, protected

by the in-place M200 concrete slab dimension 3x3mxthickness

of 12cm, each slab will place on the gravel filter layer thickness

of 15cm, follow by sand filter thickness of 15cm From 1 meter below the normal water level to the dam foot is protected by paving stones placed on 15cm thick gravel filter layers and 15cm thick sand filter; paving stones placed in concrete frames with dimensions of 0.2x0.5m, the size of each cell is 5x5m

-Downstream dam roof: Apply the structure to expand the crest dam from B = 3m to B = 5m;

protect downstream dam roof by growing grass; downstream culvertage as stone pile

Flood-discharge spillway: Due

to the terrain conditions there is

Downstream roof with lots of shrubs, many grass

growing without culverts

Flood-discharge spillway and water slope not yet

reinforced

No Reser

voir

Status quo

no other location to arrange the Flood-discharge spillway route,

it is recommended that New Flood-discharge spillway is constructed with M250 reinforced concrete structure, at the position of the old spillway

-Culvert: CulvertReplace intake culvert: Newly built culvert at the old culvert location Culvert: The valve is broken

8 Thom

Ta

The reservoir was built since 1960 (223,000 m3); with the catchment area of about 0.8km2; supply irrigation water for 24.4 ha rice field;

Status quo of dam crest evelation: Main dam 65.15m, sub dam 65.5m Upstream and downstream dam roof are not reinforced Thus Flood-discharge spillway does not meet the flood discharge requirements Vietnamese standards as well as WB standards

The incident damaged building structure:

- Main dam: upstream and downstream roof not yet reinforced, are eroded, dam roof not according to the fixed section; Weeds grow much in both the upper and lower reaches because they are not regularly maintained Earth-filled dam surface, no reinforcement

-Clue dam: Remove all old dams built by the people themselves, rebuild the dam with the structure of homogenous earth-filled dam Protecting upstream roof with paving stones placed

in reinforced concrete frame M200, size of each cell is 5x5m, frame size bxh = 0.22x0.6m

Paving stone is placed on a 15

cm thick gravel filter layer, filtered sand is 15cm thick

-Flood-discharge spillway: Due

to the terrain conditions there is

no other location to arrange the Flood-discharge spillway route,

it is recommended that new Flood-discharge spillway is constructed with M250

Main dam not yet reinforced

No Reser

voir

Status quo

surface is eroded, making it very difficult to move on stormy days On downstream slope, overgrown grass trees, without sewer culvertage system

- Sub dam: upstream and downstream roof và dam surface not yet reinforced, plants grow much; Landslides appear

in both upstream and downstream roofs

- Discharge spill combine water intake

to downstream canal: Not yet reinforced construction, much sedimentation, both sides have overgrown weeds, reducing transmission capacity as well as losing irrigation water for agriculture

Currently, people use plastic pipes to collect water from the canal

the position of the old spillway

-CulvertReplace intake culvert:

Newly build sluice to get water

at the old location

Discharge spill combine water intake to downstream

canal not yet reinforced, sedimented

9 Thom

Luong

The reservoir was built since 1980 (211,000 m3); with the catchment area of about 0.36km2; supply irrigation water for 36 ha rice field;

Status quo of dam crest evelation:

61m~62.75: not ensuring flood discharge according to WB standards

The incident damaged building structure:

- Clue dam: Dam surface not yet reinforced, no seawalls; upstream dam roof, downstream dam roof shrub is overgrown affecting the dam structure

-Clue dam: Remove all old dams

built by the people themselves, rebuild the dam with the structure of homogenous earth-filled dam Protecting upstream roof with paving stones placed

in reinforced concrete frame M200, size of each cell is 5x5m, frame size bxh = 0.22x0.6m

Paving stone is placed on a 15

cm thick gravel filter layer, filtered sand is 15cm thick Dam surface not yet reinforced

No Reser

voir

Status quo

Along the upstream roof, there is strong erosion, the roof coefficient is only 1: 0.75, not stable

- Flood-discharge spillway: narrow water slope, not reinforced The downstream leg is eroded and its legs are open Water leads to discharge sewers to downstream canal Local roads affect the flood culvertage capacity of spills

- Culvert on the left side of the dam door: The dam does not have a culvert

to get water directly from the reservoir, but the water is led from the slit on the right shoulder of the dam, taking water from a small pond, leading it through the slope behind flood-discharge spillway to the downstream channel

Such water intake does not guarantee water supply for downstream irrigation areas So need to add culvert from the reservoir, be regulated to ensure water supply for the downstream irrigation area

-Flood-discharge spillway: Due

to the terrain conditions there is

no other location to arrange the Flood-discharge spillway route,

it is recommended that new Flood-discharge spillway is constructed with M250 reinforced concrete structure, at the position of the old spillway

-Culvert: Newly build sluice to

get water at the old location

Flood-discharge spillway: narrow water slope, not

Dam crest evelation: 69.48m ~70.86m:

-Clue dam: Remove all old dams

built by the people themselves, rebuild the dam with the structure of homogenous earth-filled dam Protecting upstream

No Reser

voir

Status quo

to ensure safety according to the frequency of inspection floods according

to WB standards

The incident damaged building structure:

- Clue dam: Dam surface, dam roof eroded sharply, There are many big trees with stem diameter 10÷30 cm

Seriously affecting the structure of the dam body, Big trees will cause the dam body to have many pores

- Discharge spill incorporates filled open channel sewers taking water on the left shoulder of the dam

earth-3m width, the head of the spill does not have damper gates; along the overflow route, there is a lot of landslides, sedimentation, and many grasses that hinder the ability of water and flood culvertage On the other hand, spills combined with irrigation canals, so the operation management is not convenient

in reinforced concrete frame M200, size of each cell is 5x5m, frame size bxh = 0.22x0.6m

Paving stone is placed on a 15

cm thick gravel filter layer, filtered sand is 15cm thick

-Flood-discharge spillway: Due

to the terrain conditions there is

no other location to arrange the Flood-discharge spillway route,

it is recommended that new Flood-discharge spillway is constructed with M250 reinforced concrete structure, at the position of the old spillway

-Culvert: Rebuild culvert The

sewer line is selected close to the Flood-discharge spillway line

Dam surface, dam roof eroded

Discharge spill

Status quo of dam crest evelation: Main dam 76.32m, sub dam 1 is 76.52, sub dam 2 is 75.6m: status quo of dam crest evelation failing to ensure safety according to the frequency of inspection floods according to WB standards

The incident damaged building structure:

- Clue dam: Main dam, sub dam no 1 and no 2, dam surface not yet reinforced; upstream dam roof, downstream dam roof shrub is overgrown affecting the dam structure

Along the upstream roof there is strong erosion, not guaranteed according to stability

- Flood-discharge spillway: Flood discharge flow through small culverts does not guarantee flood culvertage when there strong flood occurs

- Culvert on the left side of the dam door: The dam does not have a culvert

to get water directly from the reservoir, but the water is led from the slit on the right shoulder of the dam, taking water from a small pond, leading it through

-Clue dam: Remove all old dams

built by the people themselves, rebuild the dam with the structure of homogenous earth-filled dam Protecting upstream roof with paving stones placed

in reinforced concrete frame M200, size of each cell is 5x5m, frame size bxh = 0.22x0.6m

Paving stone is placed on a 15

cm thick gravel filter layer, filtered sand is 15cm thick

-Flood-discharge spillway: Spill

freely, dissipate in the form of bringing water into the Bac River, away from the 2nd sub dam’s feet

-Culvert: Rebuild culvert The

sewer line is selected close to the Flood-discharge spillway line

Upstream roof main dam, landslides at the foot of the

dam

Excess discharge culvert

No Reser

voir

Status quo

spillway to the downstream channel

Such water intake does not guarantee water supply for downstream irrigation areas

- Additional culvert is required from the reservoir, which is regulated to ensure water supply to the downstream dam area

12 Tan

Bang

The reservoir was built since 1960 (226,000 m3); with the catchment area of about 0.34km2; supply irrigation water for 37.2 ha rice field;

Status quo of dam crest evelation 74.1m~74.5m: status quo of dam crest evelation failing to ensure safety according to the frequency of inspection floods according to WB standards

The incident damaged building structure:

- Clue dam: The whole stone surface is buckled, slipping down into the reservoir Downstream roof dam has many large shrubs, these shrubs are ingrained into the dam body, creating conditions for growth, emptying the dam body The July 2015 flood broke

a dam with a height of 15m

- Flood-discharge spillway: The flood in

2015 has shown that the spill does not meet the flood discharge requirements

It is necessary to have an overflow

-Clue dam: Raise the crest of

evelation from 74.5m to 75m;

Combine expansion of discharge spillway from B = 4m

Flood-to B = 10m, Flood-to ensure flood culvertage according to standards

-Culvert: Rebuild culvert The

sewer line is selected close to the Flood-discharge spillway line

Clue dam (broken part)

No Reser

voir

Status quo

solution or add new flood-discharge spillway

- Culvert the left shoulder of the dam:

The sewer has been filled, completely damaged, people left unused To get water, local people have to dig a new channel to take water directly from the dam, the canal is located on the left shoulder of the dam

Status quo of dam crest evelation 123.4m: failing to ensure safety according to the frequency of inspection floods according to WB standards

The incident damaged building structure:

- Clue dam: the upstream side of the dam has landslides along the length of the dam, the depth of erosion is from 0.5 ~ 0.8m Downstream dam roof has many big trees, trees grow many roots

-Clue dam: Remove all old dams

built by the people themselves, rebuild the dam with the structure of homogenous earth-filled dam Protecting upstream roof with paving stones placed

in reinforced concrete frame M200, size of each cell is 5x5m, frame size bxh = 0.22x0.6m

Paving stone is placed on a 15

cm thick gravel filter layer, filtered sand is 15cm thick

-Culvert: Rebuild culvert The

sewer line is selected close to the

The reservoir is sedimented by landslide

No Reser

voir

Status quo

hollow, affecting the dam structure;

downstream dam roof does not have culvertage system

- Flood-discharge spillway: Located on the left shoulder of the dam, because the people do it themselves in a very simple way, with a wide spill, concrete structures, water discharging directly downstream of the dam, there is no energy dissipators behind the spill

When large flood flows downstream, a part will pass discharge spill to go down to the old stream, partly flow into the downstream rice area of the dam In general, small spillways do not meet the technical requirements and cannot meet flood discharge

- Culvert the left shoulder of the dam:

The culvert does not have a collapsible valve regulating the flow Top of the culvert does not have net, people make

a temporary bamboo net to prevent loss of fish in the reservoir

Flood-discharge spillway has no energy dissipation