ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK

Transcription

1 Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Authorized Ministry of Science and Technology Department of International Co-operation E4111 Fostering Innovation Through Research, Science and Technology (FIRST) Project ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK (Draft version)

2 January 16, 2013 Contents Contents... ii I. Introduction Project Description... 1 II. Legal Basis Vietnam s Legislation for Environmental Assessment and Management... 5 III. Institutional Arrangement and Capacity for Safeguard Implementation Institutional Arrangement Institutional Capacity... 9 IV. Project Potential Impacts and Mitigation Measures Potential Impacts Mitigation Measures V. Environmental Management Procedures for Aubprojects Under Sub-component 2a/2b Environmental and social screening Sub-project classification criteria Safeguard policies screening Impact screening Preparation of EIA/EMP/EPC Reports Public Consultation and Disclosure of EIA/EMP/EPC Monitoring Reporting and documentation VI. Outlined Environment Management Plan for Construction of the VINALAB-MAMET under Sub-component 2c Key project Features & Timeline Description of Baseline Environment Air quality Soil quality ii

3 6.2.3 Water sources and quality Potential socio-environmental impacts Environmental Impact Mitigation Plan Roles and Responsibilities of Stakeholders Monitoring Plan Monitoring Report System Capacity building/training plan Budget for EMP Public consultation and information disclosure VII. Capacity building/training plan VIII. Estimated Cost for safeguard implementation IX. Public Consultation and Disclosure of Project ESMF X. ANNEXES Annex1: Environmental and social safeguards checklist Annex 2: Environmental Impacts Screening Annex 3: Environmental management plan (EMP) model for FIRST subproject Annex4: Sample Format for Checklist on Environmentally Friendly Design Criteria Annex5: Environmental Code of Practice (ECOPs) Annex 6: Minutes from the public discussion entitled project environmental management framework Annex7: Official letter of DIC for the agreement of content of ESMF iii

4 List of tables Table 1. World Bank Safeguards Policies Triggered by the FIRST Project... 4 Table 3. Summary of environmental management procedures for subprojects under component 2a/2b Table 4. Area breakdown Table 5.Potential Socio-Environmental Impacts during LAB construction and operation Table 6. Responsibilities for Environmental Management Table 7. Environmental monitoring plan Table 8. System of Environmental Monitoring Report Table 9. Proposed programs on capacity building on environmental management Table 10. Consultation with the management unit of HHTP Table 11. Proposed programs on capacity building on environmental management Table 12. Cost estimation for ESMF Table 13. Public consultation and disclosure of the ESMF List of figures Figure 1. Environmental Screening Procedure Figure 2. VINALAB-MAMET Location Figure 3. Location of Tich River and the Red River System Figure 4. Environmental Management System during Construction iv

5 ABBREVIATIONS AND ACRONYMS CPMU CRIMUs CSC DIC DIA EC ECOPs EHS EPC EIA EMP ESMF FIRST GM GIIP GoV GRI GRIMUs HHTP ICB ICT IDA IE IPR LAB MPI MoST MoF MoNRE NASATI NGO ODA PMU PIM Central Project Management Unit Research Consortium Implementation Management Units Construction Supervision Consultant Department of International Co-operation Direct Impact Area Environmental Consultant Environmental Codes of Practice Environmental, Health & Safety Environmental Protection Commitment Environmental Impact Assessment Environmental Management Plan Environment and Social Management Framework Fostering Innovation Through Research, Science and Technology Project Grant Manual Good International Industry Practice Government of Vietnam Government Research Institute Government Research Institute Management Units Hoa Lac High Tech Park International Competitive Bidding Information and Communications Technology International Development Association Initial Environment Intellectual Property Rights VINALAB-MAMET Ministry of Planning and Investment Ministry of Science and Technology Ministry of Finance Ministry of Natural Resource and Environment National Science and Technology Information Agency Non-Governmental Organizations Official Development Assistance Project Management Unit Project Implementation Manual v

6 PPP PSC R&D RIA SBV SEMP SME SIA SPO SOEs S&T STI ToR VAST WWTP WA WB Public-Private Partnership Project Steering Committee Research and Development Region Impact Area State Bank of Vietnam Site-specific Environment Management Plan Small and Medium Enterprise Secondary Impact Area Sub-project owner Statement of Expenditures Science and Technology Science and Technology Innovations Terms of Reference Vietnam Academy of Science and Technology wastewater treatment plans Withdrawal Application World Bank vi

7 I. Introduction The Fostering Innovation through Research, Science and Technology Project, herein referred to as the FIRST Project or the Project, is executed by the Ministry of Science and Technology (MOST) with funding from the International Development Association (IDA) under the World Bank. The FIRST will comply with applicable Vietnamese environmental legislations and the World Bank Safeguard Policies. By design, the Project will not finance any activity which causes significant adverse environmental and social impacts. The Project potential impacts, if any, are expected to be site-specific, and localized at small to medium magnitudes and mitigable through good design and appropriate mitigation measures. Therefore, the project has been categorized as Environmental Category B by the World Bank classification. The Project will finance sub-projects with a view of encouraging the research and development activities of private enterprises, government research institutes and universities. In the preparation phase, these sub-projects have not yet been identified and the activities of the sub-projects may cause unknown impacts. Hence, an Environmental and Social Management Framework (ESMF) has been prepared by the MOST to ensure that the subprojects would be implemented in an environmentally and socially sustainable manner. The ESMF sets out procedures and guidelines for assessing possible environmental and social impacts of the financed subprojects. These procedures and guidelines will help the implementing agency in screening sub-projects eligibility; determining their environmental and social impacts; identifying appropriate mitigation measures to be incorporated into the subproject reports; and specifying institutional responsibilities for implementing preventive, mitigation and compensation measures, and monitoring and evaluation. The ESMF will be incorporated into the Project Implementation Manual to ensure that environmental and social issues will be considered together with other requirements during project implementation. 1.1 Project Description Objectives The project development objective is to support science and technology development in Vietnam by improving the national policy framework for Science and Technology(S&T), enhancing the effectiveness of Research and Development (R&D) institutions, and strengthening linkages between supply and demand of S&T. Components The FIRST project would consist of the following three components: (i) Knowledge Infrastructure; (ii) Innovative Financing for Research and Development; and (iii) Project Management Component 1: Knowledge Infrastructure (US$13m IDA): The component will include:(a) Pilot policy implementation in the area of international scientific talent networks; and (b) Upgrading and modernizing the collection, dissemination and application of STI statistics from research institutions, universities and enterprises. a. Sub-component 1 (a): Evidence-Based Policy Implementation for Innovation (US$6m IDA): This sub-component will provide the Government with solutions to better implement selected policy elements at the same time as it strengthens capacity at the Ministry of Science and Technology. Policy experimentation will be carried out in international scientific talent networks for STI.

8 b. Sub-component 1 (b): Strengthening Results Measurement in Science, Technology and Innovation (US$7m IDA): This sub-component seeks to upgrade and modernize the collection, dissemination and use of Science and Technology and Innovation statistics from enterprises and research institutions. Component 2: Supporting GRI Reform and Enterprise Innovation (US$82m IDA): The component will provide: (a) grants to selected GRIs to help implement their strategic plans to convert from traditionally managed organizations towards becoming autonomous marketdriven institutions; (b) matching grants to competitively selected innovation-driven enterprises in order to strengthen effective partnerships between enterprises, research institutions and universities; and (c) support for the establishment of a national laboratory for Mechanical Manufacturing Automation and Embedded Technology (VINALAB-MAMET) at the Hoa Lac High Tech Park (HHTP): a. Sub-component 2(a): Supporting GRI Reform (US$40m IDA): This subcomponent seeks to make a strategic contribution to the conversion of GRIs from traditionally managed institutions, dependent on the state-budget to market-driven and self-financed autonomous institutions. The project will showcase a select number of high performance GRIs by deepening their capacity to conduct market-oriented applied scientific research. The project will finance 15 GRIs, in three rounds of 5 GRIs in each round with approximately US$ 2-4 million financing for each selected GRI. The GRIs will be selected from four priority sectors identified in Law 21/2008/QH12 on High Technology: i) information and communications technology (ICT); ii) bio-technology and agriculture; iii) advanced materials and iv) mechanical manufacturing and automation. An additional category of pure public goods producing GRIs will also be prioritized these include GRIs working in areas such as geodesics, cartography, metrology, metallurgy, hydrology, environmental protection, meteorology and climate change b. Sub-component 2(b): Enterprise Innovation (US$28m IDA): The objective of this sub-component is to help stimulate entrepreneurship and to provide incentives to private enterprises to conduct more R&D activities, especially those with significant spillover benefits; to strengthen cooperative linkages between enterprises working together, and between enterprises, research institutes and universities. The subcomponent is comprised of activities directed towards two sets of beneficiaries: (i) new firms and entrepreneurs, particularly those in research institutions and universities; and (ii) more established firms and entrepreneurs working in consortia. Project resources will be provided as matching grants, with a focus on the four priority sectors of ICT, bio-technology and agriculture, advanced materials and mechanical manufacturing and automation. c. Sub-component 2(c) PPP for applied scientific research in R&D Zone of Hoa Lac High Tech Park (US$14m IDA): This subcomponent will support the establishment of VINALAB-MAMET in the R&D Zone of Hoa Lac High Tech Park. The laboratory will pioneer in Vietnam the Government Owned, Company Operated (GOCO) model, providing learning experience in PPP for applied scientific research that the GOV wishes to implement in other similar facilities. Component 3: Project Management (US$5m IDA): The component will provide financing for the Project Management Unit (PMU) within the Ministry of Science and Technology (MOST) to support effective implementation of the project. The PPTAF has already been effective to set up functions of project management, financial management, procurement, and monitoring and evaluation. The component will further strengthen these areas and help to generate capacity within the PMU as well as in the various line departments involved in 2

9 project implementation. Financing will be provided for technical assistance, training, study tours, workshops and conferences, and purchases of equipment. Eligible incremental operational costs will also be financed. Project Area Nationwide as the innovation activities could take place anywhere in Vietnam More detailed project description is included in Annex 2 of the Project Appraisal Document. Management and Personnel Name of Project: FOSTERING INNOVATION THROUGH RESEARCH, SCIENCE AND TECHNOLOGY (FIRST) PROJECT Name of Donor: The World Bank (WB) / International Development Agency (IDA) Line Agency: Ministry of Science and Technology (MOST) a) Contact Address: 39 Tran Hung Dao street, Ha Noi b) Phone: Fax: Project owner: Department of International Co-operation (DIC) under MOST. The project owner will establish a Central Project Management Unit (CPMU) as Implementing Agency, to act on behalf of the project owner to organize and manage the project during the implementation. a) Contact Address: Room 1501 Thang Long building, 98 Nguy Nhu Kom Tum, HaNoi b) Phone: Fax: Project duration: 5 years: Total Project Budget: a) ODA Funds: USD $ 100 million USD $103 million, of which: b) Counterpart Funds: USD $ 3 million Type of ODA: ODA concessional loan - IDA Credit 1.2 Purpose of the ESMF The purpose of this ESMF is to set out the principles, rules, guidelines and procedures to assess the environmental and social impacts of the FIRST Project to ensure the EA process is carried out in compliance with national legislation and OP It provides an environmental and social screening process to allow for identification, assessment and mitigation of potential impacts by proposed subprojects/activities at the time the detailed aspects are known. It also serves as guidelines for the development of sub-project/site-specific Environmental Management Plans (EMPs) including Environmental Codes of Practice (ECOPs), Environmental Assessments (EAs), due diligence reports. The ESMF will be used to screen and manage potential environmental and social impacts arising from implementation of subprojects under component 2 (consist of both sub-component 2a and 2b. It also sets out requirements for establishment of the VINALAB-MAMET under subcomponent 2c. 3

10 II. Legal Basis 2.1 World Bank Safeguard Policies and Guidelines OP 4.01: Environmental Assessment 1 The OP 4.01 is triggered as the project may cause some minor/moderate adverse environmental and social impacts associated with the construction of VINALAB- MAMET under component 2c and subprojects and activities under Components 2a and 2b. Public Consultation and Information Disclosure OP4.01 requires during the EA process, that project-affected groups and local non-governmental organizations (NGOs) be consulted about the project's environmental aspects and takes their views into account. OP 4.01 further requires that such consultations are initiated as early as possible during project preparation and throughout project implementation as necessary to address EA-related issues that affect them. As per the World Bank s Policy on Access to Information and OP4.01 all Environmental Assessment reports will be disclosed locally inaccessible place and also at the InfoShop in Washington DC. The World Bank Group Environmental, Health & Safety (EHS) General Guidelines The EHS Guidelines are technical reference documents with general and industry-specific examples of Good International Industry Practice (GIIP), as defined in IFC's Performance Standard 3 on Pollution Prevention and Abatement. The EHS Guidelines contain the performance levels and measures that are normally acceptable to The World Bank Group and are generally considered to be achievable in new facilities at reasonable costs by existing technology. When host country regulations differ from the levels and measures presented in the EHS Guidelines, projects are expected to achieve whichever is more stringent. If less stringent levels or measures are appropriate in view of specific project circumstances, a full and detailed justification for any proposed alternatives is needed as part of the site-specific environmental assessment. This justification should demonstrate that the choice for any alternate performance levels is protective of human health and the environment. The FIRST Project has been screened and rated as environmental Category B under the World Bank's policy on environmental assessment (OP 4.01). Only the OP/BP 4.01 is triggered, any proposed sub-project triggering other WB safeguard policies other than OP/BP 4.01 is not eligible for financing. The safeguard policies triggered by project activities are presented in Table 1. Table 1. World Bank Safeguards Policies Triggered by the FIRST Project World Bank Safeguard policies Environmental Assessment (OP/BP 4.01) Natural Habitats (OP/BP 4.04) Forests (OP/BP 4.36) Pest Management (OP 4.09) Triggered Yes No No No 1 For more details about WB guidelines and Policies, please visit Bank websites: ~piPK: ~theSitePK:584435,00.html and 4

11 Physical Culture Resources (OP/BP 4.11) Indigenous Peoples (OP/BP 4.10) Involuntary Resettlement (OP/BP 4.12) Safety of Dams (OP/BP 4.37) Projects on International Waters (OP/BP 7.50) Projects in Disputed Areas (OP/BP 7.60) 2.2. Vietnam s Legislation for Environmental Assessment and Management The following Vietnamese laws, decrees and standards are applicable to the Project: Laws Environment Protection Law 52/2005/QH11 passed by the National Assembly dated on 29/11/2005 regulating responsibilities of individuals and organizations regarding environmental protection. The Law on Water resources no. 08/1998/QH10 dated 20 May 1998 The Law on traffic and transportation No. 23/2008/QH12 The Law on construction No. 16/2003/QH11 Decrees and Circulars Decree No. 80/2006/ND-CP dated August 9 th, 2006 by Vietnamese Government on detail regulations and guidance on the implementation of some Articles of the Environment Law. Decree No. 29/2011/NÐ-CP dated 18 April 2011 regarding regulations on strategic environmental assessment, environmental impacts assessment and environmental protection commitments Decree No. 73/2010/ND-CP on administrative penalization security and society issues Decree No. 59/ND-CP on management of solid waste Decree of Government No. 149/2004/ND-CP on the permits for water resource exploration, exploitation and use, or for discharge of wastewater into water source Decree No. 1338/NĐ-CP on technical guidelines for construction within weak foundation area Decree No. 22/2010/TT-BXD on regulation of construction safety; Circular No. 26/2011/TT-BTNMT dated 18 July 2011 detailing some articles of Decree no. 29/2011/ND-CP dated 18 April 2011 regarding regulations on strategic environmental assessment, environmental impacts assessment and environmental protection commitments Circular No.12/2006/TT-BTNMT on Regulations on Companies engaging in Hazardous Waste Generation, Transportation and Disposal Circular No.12/2011/TT-BTNMT on Hazardous waste management No No No No No No Circular No.02/2005/TT-BTNMT on guiding the implementation of the Government Decree 149/2004/ND-CP on the permits for water resource exploration, exploitation and use, or for discharge of wastewater into water source 5

12 Decision 35/2010/QĐ-UBND on the permits for water resource exploration, exploitation and use, or for discharge of wastewater into water source within the area of Hanoi Decision No.23/2006/QD-BTNMT on the List of Hazardous Waste Instruction No. 02 /2008/CT-BXD on safety and sanitation issues in construction agencies Among the above legislations, the Decree No. 29/2011/ND-CP details some regulations that the project has to directly cross-reference as discussed below: Standards Appendix II lists the projects that requires EIA be prepared. Appendix III lists the projects of which EIAs are subjected to MONRE appraisal and approval. Below are most relevant to the proposed projects: Projects that use land of national park, natural reserve, world heritage, national historical/ cultural/landscape, biosphere conservation sites, except those using less than 20 ha of land in the buffer of biosphere conservation sites; Projects that require conversion of watershed protection forests, waves/wind/sand blowing protection forests, from 20 ha of specialized forests or from 100 ha of other natural forests, from 20 ha of two crops rice field land, from 100 ha new aquaculture farms on sandy soil; Projects implemented in areas covering more than one province. QCVN 03: 2008/BTNMT: National technical regulation on the allowable limits of heavy metals in the soils; TCVN 6774:2000 water quality freshwater quality for aquatic lives QCVN 05:2009/BTNMT-National technical regulations on ambient air quality; QCVN 06: 2009/BTNMT: National technical regulation on hazardous substances ambient air QCVN 07: 2009/BTNMT: National technical regulation on hazardous waste thresholds QCVN 08: 2008/BTNMT: National technical regulation on quality of surface water QCVN09:2008/BTNMT: National technical regulation on quality of groundwater QCVN 14: 2008/BTNMT :National technical regulation on domestic wastewater QCVN 15:2008/BTNMT: National technical regulation on the pesticide residues in the soils; QCVN 40:2011/BTNMT: National technical regulation on industrial wastewater TCVN : Technical regulation on safety in construction; TCVN 7222:2002: General requirements on waste water treatment plants; TCVN 4447:1987: Earth works-codes for construction Chance finds procedures Law on Cultural Heritage (2002) Law on Cultural Heritage (2009) for supplementary and reformation Decree No. 98/2010/ND-CP for supplementary and reformation 6

13 III. Institutional Arrangement and Capacity for Safeguard Implementation 3.1 Institutional Arrangement The executing agency will be the Department of International Co-operation (DIC) of the Ministry of Science and Technology (MOST) with a central Project Management Unit (PMU) under DIC established and staffed to coordinate the overall project and implement its activities. A Project Steering Committee (PSC) including representatives from MOST, Ministry of Planning and Investment (MPI), Ministry of Finance (MOF), State Bank of Vietnam (SBV) and other concerned ministries and sectors will provide guidance and oversight. The PMU will be headed by a Projector Director appointed by the Minister of MOST, who will also chair the PSC. It is expected to meet every six months to provide policy advice and review project progress. PSC would not be involved in the routine implementation of the project. MOST and its corresponding project PMU will have overall responsibility for safeguard implementation including providing guidance, requirements and carrying out environmental monitoring to ensure the subproject owners to adequately implement the safeguard requirements. In addition, the PMU assisted by environmental consultant and construction supervision consultant will be responsible for ensuring safeguard compliance relating to the establishment of VINALAB-MAMET. The participating GRIs and enterprises will be accountable for implementing safeguard requirements of specified activities under component 2. The responsibility of CPMU, GRIs, enterprises as well as other stakeholders for ESMF implementation is described in the Table 2. 7

14 Table 2: Institutional Arrangement for ESMF Implementation No Organizations Responsibilities 1 CPMU under MOST/DIC, - Responsible for overall coordination of Project implementation including safeguard execution. - Provide training and technical assistance as necessary to strengthen capacity for environmental staff, consultant and subsidiary under DIC - Update the ESMF as necessary, taking into account the lesson learnt during Project implementation. - Allocate qualified staff /consultant responsible for ensuring social and environmental compliance during the construction phase and the first year of operation of VINALAB-MAMET and other activities/subprojects under component 2. The role of staff/consultant but not limited to the following: For VINALAB-MAMET construction under component 2c Preparation and get approval of necessary environmental assessment report for the establishment of VINALAB-MAMET according to Vietnamese legislations and WB requirements Monitoring to ensure the environmental safeguard compliance as specified in relevant documents during the design, construction and 1 st year operation of the VINALAB-MAMET Report on implementation including environmental compliance to WB for review. For subprojects/activities under component 2a and 2b Screening, reviewing and appraisal of Environmental Documents and monitoring reports from subproject owners i.e. financed GRIs or enterprises Monitoring the implementation of environment and safety compliance by contractor/equipment supplier during implementation and during 1 st year of operation by GRIs/ enterprises. Report on implementation including environmental compliance to WB for review. 2 GIRs and Enterprises GIRs and enterprises are responsible for ensuring environmental compliance during implementation and operation of subprojects under subcomponents 2a/2b. These includes: Preparing appropriate environmental documents required by Vietnamese law and WB Collecting and recording all licenses/permits necessary Carrying out mitigation measures to mitigate impacts as specified in approved environmental safeguard documents Internal monitoring the implementation of mitigation 8

15 No Organizations Responsibilities measures by contractors 3 Contractors and equipment suppliers 4 VINALAB-MAMET owner under subcomponent 2c 5 HHTP Management Unit 6 Local authorities including DONRE Report on sub-project environmental compliance to CPMU for review - carry out mitigation measures and self-monitoring during construction of VINALAB-MAMET and other activities/subprojects under component 2 - Carry out mitigation measures and ensuring environmental compliance during implementation and operation phase of LAB - To carry out enforcement control and monitoring the operation of VINALAB-MAMET - Approving Environmental Report (EIA/EPC) and carry out environmental monitoring as mandated by GoV regulations 7 World Bank - Conduct project safeguard supervision and provide guidance to the central PMU in project implementation including safeguard execution 3.2 Institutional Capacity The MOST/DIC has never carried out a WB funded project, and therefore does not have experience with the World Bank s safeguard policies. The FIRST Project officers have working experience in WB s previous projects but they have not worked on details of the environmental field nor have adequate environmental knowledge in the implementation of environmental management procedures. The current capacity of DIC and CPMU regarding ESMF implementation, therefore, is considered to be limited. The Project will require the allocation of a qualified environmental staff/consultant under the central PMU to help oversee environmental and social safeguard issues, and necessary training will be carried out to strengthen capacity of DIC and the central PMU in implementing safeguard requirements. IV. Project Potential Impacts and Mitigation Measures 4.1 Potential Impacts The Project will have some potential negative environmental impacts associated with the construction of VINALAB-MAMET in HHTP subcomponent 2c. The key potential adverse impacts during construction of the LAB are known including generation of noise, dust, solid waste, waste water, and traffic and labor safety at moderate level and in short-term period. Generation of industrial/domestic waste water and solid waste are the main, long-term impacts during the LAB operation. In addition, the Project will provide grant financing for GRIs and private enterprises for competitively selected R&D programs in 4 priority sectors i.e. mechanic manufacturing, biotechnology and agriculture, advanced materials, and information and communication technologies. These include equipment purchase and facility rehabilitation/upgrading by GRIs under component 2a and enterprises subprojects under component 2b. Since the exact nature and locations of these activities under component 2 have not yet been identified during the project preparation, the relevant impacts under this component are mostly unknown. 9

16 However, there are some potential impacts relating to rehabilitation of GRIs facilities and equipment purchase under component 2a including dust, noise, solid waste, waste water generation and labor safety at small-scale during implementation and operation. The potential impacts of the Project are expected to be localized, varying from small to moderate scale and can be managed through good design, the implementation of construction practices as described in the Environmental Codes of Practices (ECOPs) and through measures specified in the ESMF during Project implementation. The Project is not expected to have significant adverse environmental impacts and thus has been classified as a Category B project. 4.2 Mitigation Measures As subprojects are not known by appraisal, the site-specific impacts for subprojects are not yet known until implementation phase. Nevertheless, during implementation, the mitigation measures for generic impacts relevant to generation of dust, noise, waste water, solid waste, and traffic and labor safety are described in the Environmental Codes of Practices (ECOPs). These mitigation measures are applied to construction and/or minor construction activities and shall be implemented by the contractor during construction phase. The ECOPs will be included into the bidding documents and relevant contract documents. V. Environmental Management Procedures for Aubprojects Under Sub-component 2a/2b This section describes the actions to be followed by stakeholders to implement World Bank safeguard policies and GoV environmental requirements at each stage of subproject preparation and implementation. Environmental screening Environmental assessment report (EIA/EMP/EPC) preparation Public consultation and disclosure Monitoring Reporting The environmental management procedures are described in details in section In addition, the environmental management for subprojects under subcomponents 2a/2b is summarized in Table Environmental and social screening The purpose of screening is to determine the sub-project s eligibility for World Bank funding and to identify, whether the subproject would have the potential to cause significant adverse impacts on the environment. Environmental screening will be carried out at the stage of identification and selection of subprojects. Subproject owners will fill in screening form (shown in annex 1) and attach to the subproject application sent to CPMU for appraisal. The environmental screening procedure for subprojects under component 2a/2b is described in figure 1 below. 10

17 Figure 1. Environmental Screening Procedure Application submitted to CPMU CPMU and its Environmental staff/ consultant screening of application from environmental checklist safeguard (Annex 1). Is this sub-project eligible? NO STOP These subprojects are NOT eligible for YES C-type CPMU conducts Environmental Impact screening (Annex 2) of subprojects NO further environmental documents or processes required. Keep Environmental Impact screening records and visually EIA/EMP/EPC/ ECOP - type GIRs and enterprises to prepared the Safeguard report s i.e. EMP/EIA/EPC. Disclosure and Public consultations Sub-project classification criteria The purpose of screening is to determine the subprojects eligibility for WB funding and to identify subprojects potential adverse environmental and social impacts and consequently the appropriate safeguard instruments and mitigation measures to manage those impacts. By design, the FIRST Project only triggers the WB safeguard policy on Environmental Assessment (OP/BP 4.01). Any subproject triggering other safeguard policies will be excluded from Bank financing. The Project is classified as category B. Therefore, the subprojects which would cause significant adverse impacts will not be eligible for Bank financing. According to the OP/BP 4.01, the WB classifies the projects based on the extent and potential magnitude of the impacts. A project which causes significant adverse environmental impacts that are diverse, irreversible and unprecedented is categorized as A and for this project, a full Environmental Assessment (EA) needs to be conducted. Category B projects are those with less significant adverse impacts which are site-specific, few if any of them are irreversible; and in most cases mitigation measures can be designed more readily than for Category A projects. Category B project will require preparation of Environmental Management Plan (EMP) or an EIA with scope narrower than that of category A. The project that causes 11

18 minimal or no adverse impact is categorized as C and beyond screening, no environmental assessment is required. The GoV legal documents, i.e. Decree No29/2011/ND-CP, use a list of Project type to classify projects: The projects belong to the list in Annex II of Decree 29 are subjected to EIA elaboration. In addition, for those projects belonging to Annex III, which cause potential high adverse impacts, an EIA report needs to be prepared and approved by MONRE instead of local authorities. The subprojects/activities subject to prepare and register for an Environmental Protection Commitment (EPC) include: i) Investment projects having nature, scale and capacity which are not listed or under the level prescribed in the list in the Annex II of this Decree ii) Activities of production, business, or services which are not required to formulate investment project but shall generate waste during its implementation The differences in GoV and WB category approaches may lead to different requirements on potential subprojects. To address any potential inconsistency and to ensure that the selection of subprojects will strictly follow the GoV regulations, the WB safeguard policies and project design, the subprojects/activities under the Project are classified as follows: IE-type (in eligible type): subprojects that are ineligible for financing includes: a) those subprojects which cause significant, diverse, irreversible and unprecedented environmental impacts corresponding to WB category A classification b) those belong to Annex III of Decree No. 29/2011/ND-CP EIA-type: subprojects that belong to the list of Annex II of Decree No29. They are subprojects/activities with impacts that are site-specific, not irreversible, and can be readily identified and standard preventative and/or remedial measures can be designed more readily. It is required that an EIA for each sub-project be prepared and approved by related provincial people s committee. An EMP that meets World Bank s requirements will be integrated into the EIA. The content of an EMP can be found in Annex 3. EPC-type: those subprojects/activities subject to EPC preparation and registration as regulated by Decree No29. It is required that an EPC for each sub-project be prepared and approved by related district/commune-level people s committee. An EMP that meets WB s requirements will be incorporated into the EPC. ECOP-type: the subprojects are classified neither in EIA-type nor in EPC-type but they may generate dust, noise, solid waste and waste water and labor safety issues during sub-project cycle. It is required a relevant simple ECOPs is developed and included in the bidding and contractual documents by the responsible implementing organizations. C-type: the project that causes minimal or no environmental adverse impacts It requires no further environmental assessment 12

19 5.1.2 Safeguard policies screening For each subproject, CPMU environmental staff/consultant will refer to the project proposal and to fill in an ENVIRONMENTAL AND SOCIAL SAFEGUARDS CHECKLIST as introduced in Annex1. To avoid unforeseen significant environmental impacts, except the construction of VINALAB-MAMET, the Project will not support any new construction of large scale civil work though minor rehabilitation and repairing/updating of facilities are eligible. In addition, to avoid any impacts on the misuse of pesticide to human health and environment, by design, the Project will not support the procurement of pesticide and pesticide equipment application. The Project will not finance any activity that may lead to a substantial increase in use of pesticides and subsequent increase in health and environmental risk. The project will also exclude any activity/subproject that may maintain or expand present pest management practices that are unstable, not based on an integrated pest management (IPM) approach and/or pose significant health and environmental risk. Eligibility: If the subprojects only bring about positive impacts and/or causing minimal or no adverse impact, it is appraised as environmental eligible and beyond screening; no environmental assessment action is needed. If subproject implementation triggers any of the Bank safeguard policies beyond OP4.01 Environmental Assessment, it is considered as ineligible for financing. If the subproject implementation triggers OP/BP 4.01, the impact screening is required Impact screening For each eligible subproject, its owner will answer the questions provided in Environmental Impacts Screening Form (provided in Annex 2) to determine the impacts potentially occurred during the construction phase as well as operation phase of the subproject. The sub-projects will be classified into one of the four types i.e. EIA-type; EPC-type, ECOP-type or C-type as described in section The central PMU environment officer must send to the WB the list of proposed subprojects and screening result at two screening levels as specified in Annex 1 and Annex 2. The WB may randomly screen about 5-10% of the total proposed subprojects to evaluate the screening process. If the WB does not satisfy with capacity of CPMU in screening process, the CPMU shall provide additional strengthening measures to enhance capacity. 5.2 Preparation of EIA/EMP/EPC Reports Subproject owners will prepare an EIA/ EPC/ECOP for each subproject at preparation phase, i.e. in parallel with the preparation of Economic-Technical Report (ETR) or Feasibility Study (FS) and conduct public consultations and information disclosure as guided in section 5.3. The content and format of EIA and EPC will follow the guide in Circular No. 26/2011/TT- BTNMT dated 18 July Specifically, for EIA type subproject, before preparing EIA, the subproject owner shall prepare TOR for the EIA report and send to central PMU to prior review and clearance. For sub-project which an EIA and EPC has already been approved by GoV authorities, the CPMU environment staff/consultant will make a due diligence to assess the adequacy of these reports. If any insufficiency is identified, the subproject owner will have to prepare one EMP with supplementary measures, subject to CPMU prior review and approval. 13

20 Note: The Project does not support any new construction work except the construction of VINALAB-MAMET. The VINALAB MAMET is located in a vacant land in the Hoa Lac High Tech Park (HHTP) with no sensitive sites surrounding. The safeguard policy on Physical Cultural Resources (OP4.11) therefore is not triggered. However, during subproject implementation, chance-find procedures shall be included into EA documents and contracts to guide the subproject owner and contractors on necessary step to be taken in case of finding of archeological artifacts. The chance-find procedures are described in Annex Public Consultation and Disclosure of EIA/EMP/EPC During preparation of EIA/EMP/EPC, the GRIs/enterprises subproject owners will conduct public consultation to ensure that people who will potentially be affected understand the subproject s potential impacts, and that their concern will be adequately addressed via mitigation measures during subproject design, implementation and operation. Concretely, during EIA preparation, the subproject owner will consult commune-level People Committee and representatives of residential community and organization which is directly affected by the subproject. During EMP/EPC preparation, the subprojects owners will consult with the people who will potentially be affected. At the consultation, representatives from affected households will be informed about the subproject s potential environmental impacts and mitigation proposed to mitigate these impacts. Representatives from affected people will be asked to comment on the impacts/mitigation measures or talk about their socio-environmental concerns related to project activities. The public consultation activities - including date, location, and publication form, comment from consulted people and response from subproject owner - shall be documented and taken into account into finalization of EIA/EMP/EPC report. Public consultation is required for enterprise but not for research institute because the characteristics of research activities are unique and it is most likely that affected household regarding to such is identified. Disclosure of EA documents During subproject preparation, all EIA/ EMP/ EPC for subprojects must be disclosed in a timely manner, in an accessible place, in a form and language understandable to stakeholders. In addition, a full package including the EIA, EPC, EMP, environmental certificates, records of public consultations will be sent to the CPMU for disclosure at MOST s website prior to appraisal of Economic-Technical Report or Feasibility Study. 5.4 Monitoring During subproject/activity implementation, the mitigation measures outlined in the EIA/EMP/EPC should be monitored to ensure that they are implemented in a timely and adequately manner. In some cases, it is necessary to take additional measures to ensure that all arising impacts are adequately addressed. Internal Monitoring During subproject implementation, the related subproject owner and its construction supervision consultant if any will be responsible for day to day supervision of mitigation compliance and monitoring activities which have been identified in the EMP and ECOP. Local communities are encouraged to undertake monitoring. If there are complaints from local subproject-affected groups, the sub-project owner should send staffs in a timely fashion to assess the validity of complaints and take any necessary actions to remedy the situation. Reporting on the implementation of the EMP should be sent to the CPMU as part of the progress reports. 14

21 Central PMU Monitoring In addition to internal monitoring, the CPMU environmental staff/consultant will monitor the environmental and social safeguard compliance of subprojects on periodic basis as committed in the EIA documents. Generally, it will be twice per year for EIA-type subproject and one per year for EPC-type subproject. The monitoring shall be conducted during implementation and 1 st year of subproject operation phase. CPMU is responsible for providing technical guidance if necessary to GRIMUs/CRIMUs to enable them fulfill their supervision responsibilities and related reporting and documentation requirements. 5.5 Reporting and documentation Licenses and Permits It is the responsibility of enterprises/gris to obtain and maintain any necessary licenses or permits which are either issued by or require approval of any Vietnamese environmental authorities during both sub-project rehabilitation and operation phases for the whole life of the project. Reporting: The enterprises/gris will prepare periodic reports on implementation of mitigation measures and internal monitoring as scheduled in EIA/EMP/EPC reports. These reports shall be sent to CPMU prior to scheduled date of external monitoring by CPMU. The CPMU will provide the bi-annual report on project implementation and safeguard compliance and send them to WB for reviewing. Documentation For all subprojects, CPMU will conduct prior review of environmental documents in accordance with existing Vietnamese environmental management regulations as well as World Bank safeguard policies. The Bank will take on random prior review on screening results and environmental documents prepared for subprojects, and the remaining will be post-reviewed during periodical supervision missions. CPMU, participating GIRs and enterprises are responsible to record and keep all safeguard documentation (Environmental screening forms, EPC/EMP, consultation records, confirmation on public disclosure, environmental monitoring records, and waste collection contracts etc.) related to sub-projects. Safeguard implementation is a part of progress implementation report that CPMU will submit to the Bank prior to supervision mission. Table 3. Summary of Environmental Management Procedures for Subprojects Under Component 2a/2b Steps Environmental Action Required Implemented by Monitored/check By 1. Sub-project identification 1.1. Prepare basic information and submit to CPMU for screening 1.2. Environmental eligible screening: screening to exclude sub-projects triggering Bank safeguard policies other than OP4.1 and submit to WB for checking 1.3. Screen to categorize sub-project as EIAtype; EPC-type; ECOP-type or C-type and submit to WB for checking Sub-project owner (SPOs) CPMU CPMU CPMU WB will do random checks WB will do random checks 15

22 2. Sub-project preparation 3. Sub-project bidding 4. Implementation phase for sub-projects that are classified as C-type: no further action required For subprojects of other categories, carry out subsequent steps 2.1. Provide guidance to selected GRIs/Firms in preparing necessary environmental documents, collecting and recording required licenses/permits that comply with approved ESMF 2.2. For sub-projects that present an approved EIA/EPC which is still effective, conduct an environmental due diligence and request the SPOs to prepare an EMP if necessary 2.3. For EIA-type subprojects, prepare the report on institutional capacity to carry out environmental safeguard and TOR for EIA preparation 2.4. Prepare draft EIA/EMP/EPC Carry out public consultations with potential affected people and local authorities about the content of EIA/EMP/EPC, prepare meeting minutes and list of participants Include solutions to address community concerns into final EIA/EMP/EPC. Consultation records are filed for submission when required. Submit draft EIA/EMP/EPC to CPMU and WB (if required) for review 2.5. Review the final EIA/EMP/EPC prior to submit for approval 16 CPMU CPMU GIRs/enterprises SPOs GIRs/enterprises SPOs CPMU 2.6. EIA/EMP/EPC approval EMP approved by MOST CPMU 3.1. Include mitigation measures/requirements in EIA/EMP/EPC into bidding document - Include mitigation measures/requirements into rehabilitation document and contract (if any) - Include mitigation measures/requirements into equipment supplier contract (if any) - Include mitigation measures/requirements into construction supervision bidding document and contract (if any) Implement mitigation measures EIA/EPC approved by appropriate local authorities GIRs/enterprises GIRs/enterprises SPOs WB will do random checks WB will do random checks Monitored by CPMU and check randomly by WB. Monitored by CPMU and check randomly by WB. WB will do random check Monitored by CPMU for EIA/EPC approval Random check by WB Monitored by CPMU Random check by WB Monitored by CPMU, local authorities, Internal monitored by GRIMUs/CRIMUs

23 Carry out internal environmental monitoring and supervision on daily basis Carry out external periodic environmental monitoring Collect and record environmental licenses and permits necessary Report on sub-project environmental compliance to CPMU/WB for review. Report on project environmental compliance to WB for review GIRs/enterprises on regular basis CPMU on periodic basis GIRs/enterprises SPOs GIRs/enterprises SPOs CPMU Random check by WB Monitored by CPMU, local authorities Randomly checked by WB Monitored by CPMU Random check by WB Reviewed by CPMU Random check by WB Reviewed by WB VI. Outlined Environment Management Plan for Construction of the VINALAB-MAMET under Sub-component 2c As required by the World Bank safeguard policy on Environmental Assessment OP/BP 4.01, an EMP shall be prepared to manage impacts arising from the establishment of VINALAB-MAMET, herein referred to as the LAB. At this time, due to the fact that the FS and technical design of the LAB have not yet been conducted, a full EMP could not be prepared. Under the scope of the ESMF, an outlined EMP is developed which establishes basic guidelines and requirements for the LAB establishment. The EMP shall be updated accordingly during the feasibility study and design phase. In addition, under Vietnamese legal requirements, an EIA will be prepared by the owner of the LAB during the preparation of technical economic report for the Lab. The content and format of the EIA will follow the guide in Circular No. 26/2011/TT-BTNMT. The content of the updated EMP and the EIA will also be sent to WB for review before submitting to appropriate competent authorities for approval. 6.1 Key project Features & Timeline Initial investments: Total estimated amount is US$13 million. Core activities: Investment will be largely spent on promoting activities that enhance the development and production of technology. Sector focus: The initial phase will priorities technology from three sectors, namely (i) mechanical manufacturing, (ii) automation and (iii) embedded technology. Proposed location: Hoa Lac High Tech Park with an approved land use area of 20,000 m 2. Proposed organizational model: Government-Owned Contractor-Operated. Subproject timeline: The preparatory phase is from 2012 to the end of The implementation phase is from 2014 to the end of The Lab is expected to self-supporting from

24 6.2 Description of Baseline Environment Construction Location within R&D zone, Hoa Lac High-tech Park, Hanoi (showed in figure). Land use approximately 20,000 m 2 (approved by MOST), construction coverage of 20%, average height of a 5-storey building, 18

25 Figure 2. VINALAB-MAMET Location Lab location Tan Northern WWTP Waste storage Southern WWTP Waste storag Waste storage 19

26 Table 4. Area Breakdown Functions / Department Estimated required space (m 2 ) Central administrative office 500 Public service and commercial centre 2,000 Coaching and training centre 2,000 Design, Pilot Manufacturing, Testing Centers Mechanical manufacturing technology 500 Automation technology 500 Embedded technology 500 Incubation centre (c.100 firms) 14,000 Total (est.) 20,000 The environmental study area: includes i) Direct impact areas (DIA): entire surface of VINALAB-MAMET constructed with the area of 2 ha; ii) Secondary impact areas (SIA): residental and institutional areas, puplic facilities of less than 50m from the construction siteas well as water sources (such as: Tan Xa lake, Tich river); iii) Regional impact area (RIA): entire area of Hoa Lac High Tech Park (HHTP) Air quality The ambient air within DIA&SIA is relatively good in view of the absence of any significant source of air pollutants. The traffic volume is low, average medium trucks per dayfor two on-going construction works. The R&D area in which buildings are sparse and scattered allow good ventilation that can easily disperse the air pollutants and hot air Soil quality The EIA report prepared for HHTP project in June 2010 shows that the soil in R&D area might be contaminated by As, Cu and Pb. To update current quality of soil in this area, three soil samples have been taken for analysis (two sample within DIA and the last one within SIA). The analysis result will be add later in update EIA as well as in EIA required by Vietnamese law Water sources and quality Water souces Tich river will receive the water after treatment process of wastewater treatment plans (WWTP) of HHTP. This river a tributary of Day river which is a part of the Red River system, derived from the Ba Vi mountain range, the upper source is the Suoi Hai, Dong Mo lakes. Tich river flows from northwest to southeast. It receives water from Bui river at Tan Truong Bridge on highway 6 of Chuong My district, and pours water into Day river at Phuc Lam commune of My Duc district. The main line of Tich River is 91 km in length (total length of the river basin is 110 km), with a basin of 1330 km2. On the basin of Tich river, there are Dong Mo-Ngai Son lake with an area of 1260 hectares, SuoiHai Lake of 671 ha, 20

27 Xuan Khanh of 104 ha which contribute water to Tich river. The location of Tich river and the Red river system are showed in figure 4. Tan Xa lake will be affected by both construction and operation activities of the LAB due to adjacent distance to the LAB. This lake, with the area of about 68 ha, has its function as regulating lake preventing flooding for two communes Tan Xa and Thanh Hoa of Thach That district. People in Tan Xa communes have still used the water of Tan Xa lake for their agricultural activities. Figure 3. Location of Tich River and the Red River System Lang Hoa Lac High Tech Park Water quality The analysis results of water quality presented in the EIA report for HHTP show that some environmental indicators of Tan Xa lake such as NH +4, Mineral oil and fat, BOD 5 have been higher than the Vietnamese standards (QCVN 08 : 2008/BTNMT Surface water quality standard) and Tich river is highly polluted by coliform (result/standard: 95000/7500). To update current quality of the affected water sources, five water samples have been taken for analysis (two sample of Tan Xa lake and the others of Tich river). The analysis result will be add later in update EIA as well as in EIA required by Vietnamese law 21

28 6.3 Potential socio-environmental impacts With the scope of works described above, potential socio-environmental impacts are predictable, as listed below: Table 5. Potential Socio-Environmental Impacts during LAB construction and Operation Activity Potential impacts Construction Phase: Contractor mobilize workers to the site to build camps and carry out site clearance Mobilization of construction plants to the sites Transportation and loading of construction materials Excavation Solid Waste disposal Piling Concrete mixing and Pouring - Water pollution - Noise, dusts and vibrations generated from construction plants and construction activities - Generation of construction waste, particularly excavated materials - Traffic disturbance due to the transportation and temporary loading of construction materials, and/or construction activities - Damages to existing infrastructure - Safety risks to workers - Graves, bombs or cultural / archeological objects are exposed during construction phase - Traffic and pedestrian safety Operation phase Traffic activities: vehicles of staffs Operation of equipment Repair and maintenance activities - Generation of industrial and/or domestic solid waste and waste water - Noise generated from Operation activities - Safety risks to workers Cleaning activities Water use for domestic proposes 6.4 Environmental Impact Mitigation Plan Design phase An environment-friendly design criteria screening was established by using the checklist formats in Annex 4 Construction phase As the small-scale construction activities envisaged might cause impacts and nuisance to nearby surroundings, they need to be avoided or mitigated through application of good engineering practices and strict environmental safeguards measures including use of environment-friendly construction materials and equipment, waste management techniques especially for construction dust and debris, noise control, site management, safety control, provision of clean water and sanitation facilities etc. The mitigation measures for impacts during construction are described in ECOPs as described in Annex 5. They shall be carried out by contractor during construction period. The ECOPs will be included into the bidding and contract documents. 22

29 Operation phase Generation of industrial and/or domestic solid waste and waste water are the main impacts during the operation of the LAB so it is required a strict waste management following national regulations. 6.5 Roles and Responsibilities of Stakeholders Figure 4. Environmental Management System during Construction MOST Responsible line CPMU Local Authorities Contractor CSC HHTP Environmental Consultant Environmental management during construction requires the involvement of several stakeholders and agencies, each with different roles and responsibilities to ensure that adverse impacts are minimize during the construction of project components. Environment management responsibilities have been defined. Environmental management during construction involves the Project CPMU and its environmental consultant, Environmental Department of Management Unit of HHTP, Contractors, Construction supervision Consultant (CSC). Figure 5 presents the relationships between all actors for the environmental management system of project. Environmental management of the LAB during operation shall be enforced and monitored by Management Unit of HHTP and local competent authorities. Detailed responsibilities for all actors involved are presented in table below. 23

30 Table 6. Responsibilities for Environmental Management Roles and responsibilities Organization Sub-component preparation Sub-component implementation Sub-component operation CPMU, Environmental Staff/Consultant (EC) Employenvironmental staff/consultant and take the overall responsibility for EMP preparation and submission for approval; Employ environmentalstaff/ consultant to monitor progress during construction. The CPMU assisted by environmental consultant will have the final responsibility for environmental performance of the project during both the construction and operational phases. The CPMU assisted by environmental consultant will be also in charge of reporting the EMP implementation to the World Bank and DONRE. In order to get effectiveness in the implementation process. Provide advice to LAB owner on the EMP implementation during the first year of operation Monitor progress during the first year of operation; The CPMU will be also in charge of reporting the EMP implementation to the World Bank and DONRE Hoa Lac High Tech Park Management Unit Take general responsibility for management and monitoring to all issues related to environmental and social aspects under Vietnamese law. Take responsibility for operation stage environmental performance including implementation of EMP during operation Design Engineer Use the checklist formats in Annex4 to integrate environment-friendly design criteria to the design of the LAB. n/a n/a

31 Roles and responsibilities Organization Sub-component preparation Sub-component implementation Sub-component operation Construction contractors Before construction, prepare a site-specific environment management plan (SEMP) as part of their construction method statement, then submit it to CSC and/or PMU for review and approval; During construction, the contractor has to submit a monthly report on safeguard issues, mitigation, and results throughout the construction period. In case of unexpected problem, the contractor will consult CSC/PMU. n/a Construction supervision Consultant (CSC) The CSC will be responsible for supervising and monitoring all construction activities and ensuring that contractors comply with the requirements of the contracts and the EMP. The CSC shall engage sufficient number of qualified staff with adequate knowledge on environmental protection and construction management to perform the required duties and to supervise the Contractor s performance. The TOR for the CSC shall be clearly stipulated in the contract signed between CSC and the CPMU. Local authorities Coordinate with relevant departments/agencies, and responsible for monitoring and penalizing violations of environmental law. Especially, this unit will be responsible to deal with serious affairs and investigate responsibilities of relevant agencies as well as participate in dealing with serious environmental incidents. Coordinate with relevant departments/agencies, and responsible for monitoring and penalizing violations of environmental law. Especially, this unit will be responsible to deal with serious affairs and investigate responsibilities of relevant agencies as well as participate in dealing with serious environmental incidents. 25

32 6.6 Monitoring Plan The monitoring assignments for the Contractor, CSC and safeguard staff, environmental consultant shall be clearly indicated in their terms of reference and contract documents shall be approved by the World Bank. CSC will be responsible for submitting monthly reports which state environmental problems, actions and updated monitoring results. Based on monthly reports and field monitoring trips, Environmental Consultant will be reponsible for preparing and submitting semi-annual reports to CPMU, which shall include conclusions on environmental problems and the key implemented mitigation measures. EC shall provide the necessary technical support and guidance to PMU and CSC during implementation of mitigation measures and for submitting relevant reports. Table 7. Environmental Monitoring Plan Phase Impacts Monitoring Location Standard Monitoring Method Monitoring time Cost Responsibility Construction phase Water pollution Tan Xa lake QCVN 08: 2008/BTNMT visual Daily basis A part of CSC contract CSC visual Randomly/when received complaints from affected groups Included in operation budget Environmental department of HHTP Management Unit Analytical Twice per year A part of EC contract Environmental staff/ consultant (ES/C) Noise, dust At the site QCVN 05: 2009/BTNMT visual Daily A part CSC contract CSC visual Randomly/when received complaints from affected groups Included in operation budget Environmental department of HHTP Management Unit analytical Twice per year A part of EC contract Environmental staff/ consultant (ES/C) 26

33 Phase Impacts Monitoring Location Standard Monitoring Method Monitoring time Cost Responsibility Excavated soil disposal (As, Cu ) At the site QCVN 03: 2008/BTNMT Analytical; take three soil samples in the depth of 10, 20, 30 cm Soil assessment before disposal Once, before start of excavation work A part of CSC contract CSC Review the analytical results Once, after receive the results from the contractor Included in operation budget Environmental department of HHTP Management Unit Review the analytical results Once, after receive the results from the contractor A part of ES/C contract Environmental staff/ consultant (ES/C) Traffic and pedestrian safety At the site access visual/public consultation visual/public consultation Daily Monthly/when received complaints from affected groups A part of CSC contract Included in operation budget CSC Environmental department of HHTP Management Unit visual/public consultation Monthly A part of contract Environmental staff/ consultant (ES/C) Damages of existing infrastructure At the site vicinity on site visual/public consultation visual/public consultation Daily Randomly/when received complaints from affected groups A part of CSC contract Included in operation budget CSC Environmental department of HHTP Management Unit visual/public consultation Monthly A part of contract Environmental staff/ consultant (ES/C) Safety risks to At the site Visual/worker Daily A part of CSC CSC 27

34 Phase Impacts Monitoring Standard Monitoring Method Monitoring time Cost Responsibility Location worker consultation contract Visual/worker consultation Randomly/when received information related to labor accident Included in operation budget Environmental department of HHTP Management Unit Visual/worker consultation Monthly A part of contract Environmental staff/ consultant (ES/C) Operation phase Industrial waste inventory At the site Check of the waste store Once per year Included in operation budget Check of the waste store Once, before the start of operation A part of contract Environmental department of HHTP Management Unit Environmental staff/ consultant (ES/C) Waste water At the site QCVN 14: 2008/BTNMT Check of the waste water connection Once per year Included in operation budget Environmental department of HHTP Management Unit QCVN 40: 2011/BTNMT Check of the waste water connection Twice during the 1 st year operation phase A part of contract Environmental staff/ consultant (ES/C) Noise Inside and outside of the Lab Public consultation Once per year Included in operation budget Public consultation Once, during the operation phase A part of contract Environmental department of HHTP Management Unit Environmental staff/ consultant (ES/C) 28

35 6.7 Monitoring Report System In order to exchange information effectively, establish a database for monitoring the implementation of mitigation measures, and create an effective implementation of EMP, it is essential to adopt a system of standard report at all levels of management as shown in the table below. No. Issues to be reported Construction stage 1 Implement mitigation measures on site by contractors 2 Monitoring the EMP Compliance Operation stage 1 Environmental monitoring report Table 8. System of Environmental Monitoring Report Monitoring at 1 st level self-monitoring contractor by Contractor to send monthly report to CSC Monitoring on daily basis by CSC CSC to prepare monthly report to CPMU Quarterly Monitored by ES/C Frequency of report submission: twicein the first year of operation ES/C prepare biannual report and send to CPMU/WB for review 6.8 Capacity building/training plan Monitoring at 2 nd level Monitoring on daily basis by CSC CSC to prepare monthly report to CPMU and EC Periodic Monitoring on quarterly basis by Environmental staff/consultant (ES/C) ES/C prepare biannual report and send to CPMU/WB for review and local authorities if required Monitoring at 3 st level Periodic Monitoring on monthly basis by Environmental staff/consultant (ES/C) ES/C prepare biannual report and send to CPMU/WB for review and local authorities if required Based on actual demands in project implementation, a capacity building and training program for relevant agencies is established as shown in the table 9: 31

36 Table 9. Proposed Programs on Capacity Building on Environmental Management Training content Subject to be trained Number of trainees Training time Organization unit Budget Leaning on labor safety and environmental sanitation Contractor s workers and technical staff All workers and staff on site Prior to construction and following legal regulations Contractor in coordination with Institute of Labor, War invalids and Social Affairs A part of construction contract Training on of environmental compliance and monitoring CPMU s Environmental staff, Contractor CSC s staff in charge of environmental sanitation compliance 6.9 Budget for EMP 3-4 trainees Prior construction Cost for implementation of mitigation measures to CPMU coordination Environmental Consultant in with A part of environmental consultant contract The Contractor must ensure the implementation of relevant mitigation measures as described in the ECOPs (see Annex 5) of abiding with the following four HSET criteria: Health for Community (Health); Site Safety (Safety); Environmental Sanitation (Environment) and Transport Management (Transportation). The cost for organization, training, dissemination, procurement, operation of equipment, and manpower for implementation of mitigation measures in and out of the site in accordance with HSET requirements are integrated in the cost for construction package. Contractors will be responsible to study, prepare alternatives and estimate cost for these activities. It is considered as one of the criteria for assessing the capability of the Contractor in the future and compliance level of the Contractor. In case of violations, the Client can impose penalties or hire another unit to participate in solving arising problems. Cost estimates for EMP Cost of Environmental Supervision Carried Out by CSC The CSC will be responsible for proposing organization and monitoring plans on the Contractor s compliance with mitigation measures. In addition, CSC will be required to assign staffs and prepare detailed working plans in order to monitor environmental sanitation and labor safety management on and around the site. The cost for this assignment will be proposed in the contract with CSC. Monitoring Cost of Environmental Consultant (EC) CPMU shall sign a contract with an Environmental Consultant for the implementation of whole project. The consultant shall implement assignments of all project components according to TOR. The estimation cost for the Environmental Consultant is presented in the chapter VI-Estimated cost for ESMF 32

37 6.10 Public consultation and information disclosure Public consultation As described in chapter 2-Project description, the Lab will be located in the R&D area of 2ha in which there is no residential area. So the public consultation has taken only with the Management unit of HHTP, the detail is presented below: Table 10. Consultation with the management unit of HHTP Objective Participants Time Consultation results The first round Dissemination of project information collection of environmental base information Representatives of the Management unit of HHTP. 14h, Saturday 3/11/2012 An due-diligent report identification of potential environmental issues during the project implementation The second round Discussion about the content draft outlined EMP and ESMF Representatives of the Management Unit of HHTP. 02/1/2013 The Management Unit of HHTP agrees with the content of outlined EMP and ESMF. Officially writtenopinions on outlined EMP and ESMF in annex 6 EMP public disclosure Prior to appraisal, draft outlined EMP, as part of Project ESMF report has been disclosed locally in Vietnamese language at the HHTP and Vietnam Development Information Center (VDIC) in January In addition, it has been disclosed in WB InfoShop in Washington DC in English language in January During implementation, the updated EMP and the EIA for the VINALAB-MAMET construction shall be disclosed at the project site and in VDIC in Hanoi. VII. Capacity building/training plan Based on actual demands in ESMF implementation, a capacity building and training program for relevant agencies is established as shown in the table below. The cost for capacity building program is included in cost for safeguard implementation. 33

38 Table 11. Proposed programs on capacity building on environmental management Training content Subject to be trained No of trainees Training time Organization unit Budget Training on the safeguard implementation CPMU s Safeguard staff; GRI s staffs, Firm s staffs, in sub-project s preparation stage. CPMU in coordination with Environmental Consultant A part of environmental consultant contract VIII. Estimated Cost for safeguard implementation The total cost for safeguard implementation of the Project includes: (i) the cost for implementation of Environmental management procedures of the subprojects under component 2a/2b; (ii) the cost for implementation of EMP of the subcomponent 2c. The details are presented in the table 12 below EC/S CSC Table 12. Cost estimation for ESMF Who Description of task Time Unit cost Total (USD ) Contractors/ Equipment supplier - Capacity building related to safeguard compliance for CSC, CPMU staff, enterprises, GIRs, contractor - Carry out environmental management for subprojects under Component 2a/2b including + Environmental screening + Review the EIA/EPC/EMP prior to submission + Monitoring & Evaluation trips during the implementation of subprojects under component 2 a/2b - Carry out environmental management for LAB establishment under component 2c +Updated EMP of sub-component +Monitoring & Evaluation trips during the implementation of sub-component 1.aES/C Carry out supervision/monitoring on construction of the LAB on daily basis 4,5 year 10000/each year 45,000 During constructio n During implementa tion As part of CSC contract 450 As part of construction contract and equipment purchase contract Note: 1: The above cost rate is estimated based on current unit price and environmental specialist s experiences. Because the project will be implemented over many years, price fluctuation will be unavoidable. A contingency amount should be prepared for any unavoidable price or cost increase during project implementation. N 2: The total cost show in this table does not include: The cost of design mitigation measures incorporated into engineering design The cost of mitigation measures implemented by the contractor during rehabilitation phase 34

39 The cost of environmental supervision which will be required as part of construction engineering supervision IX. Public Consultation and Disclosure of Project ESMF The content of ESMF has been consulted with MOST and HHTP twice during the preparation. The details is presented as below: The first round Table 13. Public Consultation and Disclosure of the ESMF Objective Participants Time Consultation results Dissemination of project information collection of environmental base information identification of potential environmental issues during the project implementation Representatives of the Management unit of HHTP. 14h, Saturday 3/11/2012 An due-diligent report Dissemination of the content first draft ESMF Department of International Co-operation of MOST 9h, Tuesday 20/11/2012 Agreement of the content The second round Discussion about the content draft outlined EMP and ESMF Representatives of the Management Unit of HHTP. 9h, Tuesday 02/01/2013 The Management Unit of HHTP agrees with the content of outlined EMP and ESMF. Officially written-opinions on outlined EMP and ESMF in annex 6 Discussion about the content draft outlined EMP and ESMF Department of International Co-operation of MOST 14h, Tuesday 02/011/2013 Agreement of the content. Officially written-opinions on ESMF in annex 7 At Project level, prior to appraisal, the final draft ESMF has been disclosed locally at the HHTP, MOST office and Vietnam Development Information Center (VDIC) in Vietnamese language in January It has been disclosed in WB InfoShop in Washington DC in English language before the departure of appraisal mission. 35

40 X. ANNEXES Annex1: Environmental and social safeguards checklist With all sub-project/activities under Component 2 of FIRST project, the CPMU environmental staff/consultant will do screening to determine the eligibility of subprojects. The CPMU environmental staff or/and consultant will complete the checklist. By indicating Yes to any safeguard policy other than Environment Assessment-OP4.01, the sub-project will be considered as not eligible. Note: if any policy is triggered by the sub-project, the project s owner must indicate the severity of the potential impact as instructed in the Table below. If not, the sub-project will be considered as environmentally non-eligible. Safeguard policy Environmental Assessment Natural Habitats Pest management Identification of Possible Safeguard issue(s) Does the project have the potential for adverse environmental or social risks and impacts in its area of influence The Bank does not finance projects that degrade or convert critical habitats (protected areas or sites important for biodiversity). Do the project activities have the potential to cause significant conversion (loss) or degradation of noncritical natural habitats? (The loss can occur either directly e.g. construction activities) or indirectly (through human activities induced by the project) Are any pesticides or procurement of pesticide equipment being financed by the project Does the project introduce new pest management practices or expand or alter existing pest management practices No No No No Please check on box Yes If Yes, indicate here the potential severity for the impact and proposed project design elements that will help prevent potential adverse impacts Yes If Yes, indicate here either proposed alternative sites(s) or if no alternative sites are available proposed project design elements that will help prevent potential adverse impacts Yes If Yes, indicate here proposed project design elements (integrated Pest management) that will help prevent potential adverse impacts Provide your response here, if applicable 36

41 Forests Safety of Dams Cultural property Projects in international Waterways Are there other project activates that may lead to substantially increased pesticide use Does the project include the manufacture or disposal of environmentally significant quantities of pest control products? Does the project have the potential to have an impact on the health and quality of forests or the rights and welfare of people and their level of dependence upon or interaction with forests? Does the project aim to bring about changes in the management, protection, or utilization of natural forests or plantations Are any project activities related to the construction for a large-scale dam? Would project activities likely adversely affect physical cultural resources? These could be temples, burial sites, or archeological sites Are project activities being conducted in international waterway No No No No No No No Yes If Yes, indicate here proposed project design elements that will help prevent potential adverse impacts Yes If Yes, indicate whether the management will ensure sustainability of the forest resources Yes Yes If Yes, indicate here proposed project design elements that will help prevent potential adverse impacts Yes If Yes, please contact to the Bank for further information 37

42 Involuntary Resettlement Indigenous peoples (ethnic minorities) Is there any possibility that project activities would displace persons involuntarily? Please note that loss of land or other assets caused by: (i) relocation or loss of shelter; (ii) loss access to assets in protected areas resulting in adverse impacts on livelihoods; (iii) loss of income sources or means of livelihood, whether or not the affected people must move to another location. If Land is acquired and no person is involuntarily displaced, the policy is not triggered. Would the project likely have negative impacts on ethnic minorities or have the potential to bring positive benefits to ethnic minorities Yes If Yes, indicate here potential severity of the impacts and describe the project activates that would assist displaced persons in their efforts to improve or at least restore their standards of living Yes If Yes, indicate here potential severity of the impacts (positive and negative) and propose project design elements that will help prevent potential adverse impacts or ensure appropriate access to positive benefits Date Screened by (full name and signature) Verified by (Sign and stamp by the PMU director) 38

43 Annex 2: Environmental Impacts Screening After referring to each sub-project proposal and their relevant environmental and Social safeguards check list, the central PMU and its consultant are required to fill in the Environmental Impact Screening Form to determine the magnitude of positive and negative impacts that each subproject can bring about and thus to decide if the sub-project is environmentally eligible. Subproject name: 1. Determination of subproject type EIA-type EPC-type ECOP-type C-type 2. Reason for the Sub-project type characterization (fill the environmental-social screen table) Socio-environmental issue Yes No comment Will the construction and associated activities cause: (Instruction: Where possible, give quantitative information in comments column when the answer is yes for the case that no mitigation measures applied FIRTST-PMU can add questions at the end of this table and give the answer if additional issues are identified. 1. Clearance of trees at construction sites, camps, or storage areas? 2. Water pollution (increased turbidity due to construction wastes or construction materials, fuels from construction sites come into water bodies), or localized flooding due to wastewater from construction site? 3. Noise, dusts and vibrations generated from construction plants (e.g. noise from trucks) and construction activities (e.g. pilling, concrete mixing etc)? 4. Generation of construction waste? 5. Landscape degradation at site exploited for filling materials? 6. Increased land sliding potentials at excavated sites? 7. Traffic disturbance due to the transportation and temporary loading of construction materials, and/or construction activities? 8. Damages to crops, existing infrastructure? 9. Interruption of existing public services (irrigation, power supply, telecommunication phone line etc)? 10. Safety risks to local community, particularly children, and workers? 39

44 11. Limit access to water by local water users, or limit access to other public services? 12. Graves, explosive materials, cultural/ archeological objects are exposed? 13. Erosion during operation phase of rehabilitated irrigation works? 14. Disrupt access to households? 15.etc 3. Conclusions Is the sub-project environmentally eligible? Yes No 4. If there is any approved safeguard documents was obtained? Yes No If yes, please clarify 5. What further Environmental Assessment Instruments should be prepared by subproject owner? EIA EMP EPC None Date Verified and Screened by Full name and signature of Environmental Staff/Consultant 40

45 Annex 3: Environmental management plan (EMP) model for FIRST subproject 1. Sub-project Description Provide pertinent background for parties who may conduct the SEMP, whether they are government agencies/sponsors, consultants or NGOs. Include a brief description of the major components of the proposed project, a statement about its need and objectives, the implementing agency, a brief history of the project (including alternatives considered), its current status and timetable, and the identities/natures of any associated projects. A summary description of the environmental setting should be provided. 2. Applicable Environmental Legislations Identify laws, regulations and guidelines likely to govern the conduct of the assessment or specify the content of its report. They may include any or all of the following: World Bank Operational Policy; i.e "Environmental Assessment; Public Consultation and Information Disclosure and The World Bank s Environmental, Health and Safety National laws and/or regulations on environmental reviews and impact assessments; Regional, provincial or communal environmental assessment regulations; and EA regulations of any other financing organizations involved in the project. Identify design or operating standards that project components must meet to be in compliance with environmental safeguards. This will include, for example, air emission standards and occupational health and safety requirements. 3. Overview of Adverse Impacts and Mitigate Measures Summary of impacts: Predicted adverse environmental and social impacts (and any uncertainties about their effects) for which mitigation is necessary should be identified and summarized. Description of mitigation measures: Each measure should be briefly described in relation to the impact(s) and conditions under which it is required. These should be accompanied by, or referenced to, designs, development activities (including equipment descriptions), operating procedures, and implementation responsibilities. Proposed mitigation measures to facilitate public consultation should be clearly described and justified. The presentation of adverse impacts and mitigation measures can be as follows: Activities Environmental Impacts/Issue Mitigating Measures Responsibility Date (Start/End) Design Phase Subproject implementation phase Subproject Operation phase 41

46 4. Institutional Arrangements Responsibilities for mitigation, monitoring, and supervision should be defined along with arrangements for information flow, especially for coordination between agencies responsible for mitigation. This is especially important for projects requiring cross-sectoral/institutional integration. In particular, the EMP specifies who is responsible for undertaking the mitigating and monitoring measures, e.g., for enforcement of remedial actions, monitoring of implementation, training, financing, and reporting. Institutional arrangements should also be crafted to maintain support for agreed enforcement measures for environmental protection. Where necessary, the EMP should propose strengthening the relevant agencies through such actions as: establishment of appropriate organizational arrangements; appointment of key staff and consultants; and, arrangements for counterpart funding and on-lending. 4.1 Organizations The organizations in charge of implementation and supervision of the mitigation and monitoring measures can be described via a chart. For example: MOST The World Bank PMU Equipment suppliers and contractors (where applicable) Department of Natural Resources & Environment (DONRE) Sub projects PMU 42

47 4.2 Responsibilities These stakeholders may be involved in the subproject environmental management. The responsibilities of the relevant stakes holders in each subproject should be represented as bellows No Organization Responsibilities 1 Subproject owner 2 Design Engineer 3 PMU 4 Contractors/Equipment Suppliers 5 Construction Supervison Consultant 6 Environmental Consultant 7 Etc 5. Monitoring and Reporting 5.1 Description of Monitoring Program (where applicable) The EMP identifies monitoring objectives and specifies the type of monitoring required; it also describes performance indicators which provide linkages between impacts and mitigation measures identified in the EA report, parameters to be measured, methods to be used, sampling location and frequency of measurements, detection limits (as appropriate) and definition of thresholds to signal the need for corrective actions. Monitoring and supervision arrangements should be agreed by the subproject owner and PIU/PMU the Bank and the borrower to: ensure timely detection of conditions requiring remedial measures in keeping with good practice; furnish information and the progress and results of mitigation and institutional strengthening measures; and, assess compliance with national and Bank environmental safeguard policies. MONITORING PLAN What parameter is to be monitored? Where Is the parameter to be monitored? How Are the parameter to be monitored/ type of monitoring equipment? When is the parameter to be monitoredfrequency of measurement or continuous Standard applied Monitoring Cost What is the cost of equipment or contractor charges to perform monitoring Responsibility Report to / frequency Time (Start/End Date) 43

48 5.2 Supervision of Contingency Plan Preparation, training activities (where applicable) For example: contingency plan against fire risk 5.3 Environmental Compliance Framework For example Compliance framework for equipment suppliers 6. Capacity Building/Training Plan (where applicable) Organizer Course Participants Frequency Duration Content Budget 7. Budgets Cost estimates: These should be specified for both the initial investment and recurring expenses for implementing all measures defined in the EMP, integrated into the total project costs and factored into loan negotiations. It is important to capture all costs including administrative, design and consultancy, and operational and maintenance costs resulting from meeting required standards or modifying project design. 8. Consultation and Public Disclosure Presenting the results of Consultation and Public Disclosure 9. Other Information Include here lists of data sources, project background reports and studies, relevant publications, and other items to which the consultant's attention should be directed. 44

49 Annex4: Sample Format for Checklist on Environmentally Friendly Design Criteria General Information Name of Project Name of site for office rehabilitation/construction Name of engineer/ technical officer Date of Site Study Completed Information Source Person(s) who conducted the studies The date on which the on site studies were completed. Name and contact of person(s) contacted Proposed Output Office rehabilitation or new office construction Design Criteria Yes No Unknown Remark 1.Maximizing the blending of architectural design to important cultural site next or nearby to the site. 2.Maximizing natural light in order to minimize artificial light needs. 3.Maximizing natural ventilation systems, minimizing the necessities of air conditioning 4.Maximizing rain water storage for the irrigation of gardens and green zones in the office (where applicable) 5.Promoting the usage of environmentfriendly materials (avoid asbestos and other hazardous or toxic materials) 6.Planting of native species in gardens and green areas in the offices (where applicable) 7.Stabilization of slopes using vegetative measures (where required) 8.Adequateness of fire safety system 9.etc Others (describe) 45

50 Annex5: Environmental Code of Practice (ECOPs) (Adapted for FIRST from standardized ECOPs for World Bank funded small work project in Vietnam) Part 1: Construction contractor s responsibility ISSUES/RISKS 1. Dust generation/ Air pollution 2. Noise and vibration 3. Water pollution MITIGATION MEASURE The Contractor implement dust control measures to ensure that the generation of dust is minimized and is not perceived as a nuisance by local residents, maintain a safe working environment, such as: - water dusty roads and construction sites; - covering of material stockpiles; - Material loads covered and secured during transportation to prevent the scattering of soil, sand, materials, or dust; - Exposed soil and material stockpiles shall be protected against wind erosion. All vehicles must have appropriate Certificate of conformity from inspection of quality, technical safety and environmental protection following Decision No. 35/2005/QD-BGTVT; to avoid exceeding noise emission from poorly maintained machines. Portable or constructed toilets must be provided on site for construction workers. Wastewater from toilets as well as kitchens, showers, sinks, etc. shall be discharged into a conservancy tank for removal from the site or discharged into municipal sewerage systems; there should be no direct discharges to any water body. Wastewater over permissible values set by relevant Vietnam technical standards/regulations must be collected in a conservancy tank and removed from site by licensed waste collectors. At completion of construction works, water collection tanks and septic tanks shall be covered and effectively sealed off. Do not allow waste, litter, oils or foreign materials into water sources Do not wash cars or machinery in natural water sources A comprehensive listing of sources and location of wastewater discharge will be prepared and maintained Appropriate operating procedure will be undertaken for minimization of wastewater (such as neutralizing 46

51 4. Drainage and sedimentation 5. Solid waste 6. Chemical or hazardous wastes 7. Disruption of vegetative cover and ecological resources predisposal treatment, etc.) The Contractor shall follow the detailed drainage design included in the construction plans, to ensure drainage system is always maintained cleared of mud and other obstructions. Areas of the site not disturbed by construction activities shall be maintained in their existing conditions. At all places of work, the Contractor shall provide litter bins, containers and refuse collection facilities. Solid waste may be temporarily stored on site in a designated area approved by the Construction Supervision Consultant and relevant local authorities prior to collection and disposal. Waste storage containers shall be covered, tip-proof, weatherproof and scavenger proof. No burning, on-site burying or dumping of solid waste shall occur. Recyclable materials such as wooden plates for trench works, steel, scaffolding material, site holding, packaging material, etc shall be collected and separated on-site from other waste sources for reuse, for use as fill, or for sale. If not removed off site, solid waste or construction debris shall be disposed of only at sites identified and approved by the Construction Supervision Consultant and included in the solid waste plan. Under no circumstances shall the contractor dispose of any material in environmentally sensitive areas, such as in areas of natural habitat or in watercourses. Used oil and grease shall be removed from site and sold to an approved used oil recycling company. Used oil, lubricants, cleaning materials, etc. from the maintenance of vehicles and machinery shall be collected in holding tanks and removed from site by a specialized oil recycling company for disposal at an approved hazardous waste site. Store chemicals in safe manner, such as roofing, fenced and appropriate labeling. Do not use unapproved toxic materials, including lead-based paints Areas to be cleared should be minimized as much as possible. The Contractor shall remove topsoil from all areas where topsoil will be impacted on by rehabilitation activities, including temporary activities such as storage and stockpiling, etc; the stripped topsoil shall be stockpiled in areas agreed with the Construction Supervision Consultant for later use in re-vegetation and shall be adequately protected. 47

52 8. Traffic management 9. Interruption of utility services 10. Restoration of affected areas 11. Worker and public Safety The application of chemicals for vegetation clearing is not permitted. Prohibit cutting of any tree unless explicitly authorized in the vegetation clearing plan. When needed, erect temporary protective fencing to efficiently protect the preserved trees before commencement of any works within the site. The Contractor shall ensure that no hunting, trapping shooting, poisoning of fauna takes place. Before construction, carry out consultations with local government and community and with traffic police. Significant increases in number of vehicle trips must be covered in a construction plan previously approved. Routing, especially of heavy vehicles, needs to take into account sensitive sites such as schools, hospitals, and markets. Installation of lighting at night must be done if this is necessary to ensure safe traffic circulation. Place signs around the construction areas to facilitate traffic movement, provide directions to various components of the works, and provide safety advice and warning. Employing safe traffic control measures, including road/rivers/canal signs and flag persons to warn of dangerous conditions. Avoid material transportation for construction during rush hour. Signpost shall be installed appropriately in both water-ways and roads where necessary. Provide information to affected households on working schedules as well as planned disruptions of water/power at least 2 days in advance. Any damages to existing utility systems of cable shall be reported to authorities and repaired as soon as possible. Cleared areas such as disposal areas, site facilities, workers camps, stockpiles areas, working platforms and any areas temporarily occupied during construction of the project works shall be restored using landscaping, adequate drainage and revegetation. Soil contaminated with chemicals or hazardous substances shall be removed and transported and buried in waste disposal areas. Training workers on occupational safety regulations and provide sufficient protective clothing for workers in accordance with applicable Vietnamese laws. 48

53 12. Communication with local communities 13. Chance find procedures Install fences, barriers, dangerous warning/prohibition site around the construction area which showing potential danger to public people. The contractor shall provide safety measures as installation of fences, barriers warning signs, lighting system against traffic accidents as well as other risk to people and sensitive areas. If previous assessments indicate there could be unexploded ordnance (UXO), clearance must be done by qualified personnel and as per detailed plans approved by the Construction Engineer. Do not use of alcohol by workers during work hours Do not work without safety equipment (including boots and helmets) The contractor shall coordinate with local authorities (leaders of local communes, leader of villages) for agreed schedules of construction activities at areas nearby sensitive places or at sensitive times (e.g., religious festival days). Copies in Vietnamese of these ECOPs and of other relevant environmental safeguard documents shall be made available to local communities and to workers at the site. Disseminate project information to affected parties (for example local authority, enterprises and affected households, etc) through community meetings before construction commencement. Provide a community relations contact from whom interested parties can receive information on site activities, project status and project implementation results. Inform local residents about construction and work schedules, interruption of services, traffic detour routes and provisional bus routes, blasting and demolition, as appropriate. Notification boards shall be erected at all construction sites providing information about the project, as well as contact information about the site managers, environmental staff, health and safety staff, telephone numbers and other contact information so that any affected people can have the channel to voice their concerns and suggestions. Do not create nuisances and disturbances in or near communities If the Contractor discovers archeological sites, historical sites, remains and objects, including graveyards and/or individual graves during excavation or construction, the Contractor shall: 49

54 Stop the construction activities in the area of the chance find; Delineate the discovered site or area; Secure the site to prevent any damage or loss of removable objects. In cases of removable antiquities or sensitive remains, a night guard shall be arranged until the responsible local authorities or the Department of Culture and Information takes over; Notify the Construction Supervision Consultant who in turn will notify responsible local or national authorities in charge of the Cultural Property of Viet Nam (within 24 hours or less); Relevant local or national authorities would be in charge of protecting and preserving the site before deciding on subsequent appropriate procedures. This would require a preliminary evaluation of the findings to be performed. The significance and importance of the findings should be assessed according to the various criteria relevant to cultural heritage; those include the aesthetic, historic, scientific or research, social and economic values; Decisions on how to handle the finding shall be taken by the responsible authorities. This could include changes in the layout (such as when finding an irremovable remain of cultural or archeological importance) conservation, preservation, restoration and salvage; If the cultural sites and/or relics are of high value and site preservation is recommended by the professionals and required by the cultural relics authority, the Project s Owner will need to make necessary design changes to accommodate the request and preserve the site; Decisions concerning the management of the finding shall be communicated in writing by relevant authorities; Construction works could resume only after permission is granted from the responsible local authorities concerning safeguard of the heritage. 50

55 Annex 6: Minutes from the public discussion entitled project environmental management framework The Public discussion was held on January 2, 2013 at Hoa Lac High Tech Park (HHTP). List of attendees Representatives of FIRST project Dao Tuan Kien: Environmental consultant Nguyen Xuan Nhan: Social consultant Representatives of Hoa Lac Hightech Park Tran Ngoc Ha: Vice director of Environmental and Plan Department. Hoang Thi Dung: Staff of Environmental and Plan Department Tring Hoang Thang: Staff of Environmental and Plan Department Meeting Agenda: 1. Presentation of Environmental Management Framework 2. Discussion 3. Conclusion Presentation of Environmental Management Framework Environmental consultant presented Environmental Management Framework: Environmental Social Management Framework (ESMF) describes the procedures that will be established during realization of the FIRST Project with purpose to estimate the need of the environmental protection measures for sub-projects financed by the FIRST Project. Presentation content: A) Introduction of the FIRST project pertaining the Environmental Social Management Framework: The ESMF will be used to screen and manage potential environmental and social impacts arising from implementation of subprojects under component 2 (subcomponent 2.a and 2.b) It also sets out requirements for establishment of the VINALAB-MAMET under subcomponent 2.c B) Presentation of the environmental assessment procedures: Environmental assessment procedure is described in the Environmental Social Management Framework (ESMF). The procedure described in the ESMF will be an integral part of Project implementation manual (PIM) of FIRST. The screening procedure for sub-projects under component 1&2 is based on the WB Environmental Assessment safeguard policy (OP/BP/GP 4.01 on Environmental Assessment), and the relevant laws and bylaws of Vietnam, mostly the Decree No. 29/2011/NÐ-CP dated 18 April 2011 regarding regulations on strategic environmental assessment, environmental impacts assessment and environmental protection commitments The Project has the overall B category as per the World Bank Environmental Assessment safeguard policy. It is emphasized that the project will not finance activities that neither are 51

56 classified in A category as per the World Bank Environmental Assessment safeguard policy nor are listed in Annex III of the Decree 29/2011/NDD-CP. C) Presentation of outline environmental management plan for sub-component 1.a (VINALAB-MAMET) - Potential impacts and appropriate mitigation measures - Roles and responsibilities of stakeholders - Monitoring system D) Presentation of the annexes included in the ESMF: - Annex 4: Sample Format for Checklist on Environmentally Friendly Design Criteria - Annex 5 - Environmental Code of Practice (ECOPs) Public discussion:the discussion was held in the form of questions, answers and comments. A) Mrs. Tran Ngoc Ha: she commented that some parts of the ESMF have not connection with HHTP. Answer (Mr. Dao Tuan Kien): Yes, This ESMF is applied for whole FIRST project including three components and only sub-component 1.a (VINALAB_MAMET) under component 2 related directly to HHTP. An Outlined EMP had been prepared for VINALAB-MAMET in Chapter VI of ESMF. In addition, an EIA report for VINALAB-MAMET will be prepared complied with Vietnamese regulations. The EIA will be submitted for approve before 31/01/2013. B) Mrs. Tran Ngoc Ha: She commented that HHTP has not been authorized yet for approval of EIA, CEP reports, so the information about approval of EIA of VINALAB_MAMET by HHTP in Table 7 of ESMF is not right at the moment. Answer (Mr. Dao Tuan Kien): Yes, we will delete this information. In this case, MOST will be responsible for approval of the EIA of VINALAB-MAMET as Vietnamese regulation. C) Mrs. Tran Ngoc Ha: She commented that HHTP has only environmental management and monitoring functions as described in Decree 189/98 TTg. We do not have to implement any mitigation measures except for WWTPs. The construction contractors take responsibility for implementation of mitigation measures. Answer (Mr. Dao Tuan Kien): Yes, we mentioned clearly the roles and responsibilities of stakeholders related to VINALAB-MAMET in tables 6, 7, and 8. D) Mr. Hoang Thi Dung: She commented that before commencement of construction phase, the construction contractors have to send construction plan and schedule to HHTP. Answer (Mr. Dao Tuan Kien): Yes, we mentioned this in table 6 as mitigation for Traffic disturbance Conclusion: Attendees agreed with the content of the ESMF. HHTP will issue an official letter sending to Department of International Cooperation/Center Project Management Unit for its conclusion as below: 52

57 53