E4111
Ministry of Science and Technology
Department of International Co-operation
Fostering Innovation Through Research,
Science and Technology (FIRST) Project
ENVIRONMENTAL AND SOCIAL
MANAGEMENT FRAMEWORK
(Draft version)
January 16, 2013
Contents
Contents ....................................................................................................................................ii
I.
Introduction ...................................................................................................................... 1
1.1 Project Description ........................................................................................................... 1
II. Legal Basis ......................................................................................................................... 4
2.2.
Vietnam’s Legislation for Environmental Assessment and Management .................. 5
III. Institutional Arrangement and Capacity for Safeguard Implementation .................. 7
3.1
Institutional Arrangement ........................................................................................... 7
3.2
Institutional Capacity .................................................................................................. 9
IV. Project Potential Impacts and Mitigation Measures ..................................................... 9
4.1
Potential Impacts ......................................................................................................... 9
4.2
Mitigation Measures .................................................................................................. 10
V. Environmental Management Procedures for Aubprojects Under Sub-component
2a/2b 10
5.1
Environmental and social screening .......................................................................... 10
5.1.1
Sub-project classification criteria ...................................................................... 11
5.1.2
Safeguard policies screening.............................................................................. 13
5.1.3
Impact screening ................................................................................................ 13
5.2
Preparation of EIA/EMP/EPC Reports ..................................................................... 13
5.3
Public Consultation and Disclosure of EIA/EMP/EPC............................................. 14
5.4
Monitoring................................................................................................................. 14
5.5
Reporting and documentation ................................................................................... 15
VI. Outlined Environment Management Plan for Construction of the
VINALAB-MAMET under Sub-component 2c .................................................................. 17
6.1
Key project Features & Timeline .............................................................................. 17
6.2
Description of Baseline Environment ....................................................................... 18
6.2.1
Air quality .......................................................................................................... 20
6.2.2
Soil quality ......................................................................................................... 20
ii
6.2.3
Water sources and quality .................................................................................. 20
6.3
Potential socio-environmental impacts ..................................................................... 22
6.4
Environmental Impact Mitigation Plan ..................................................................... 22
6.5
Roles and Responsibilities of Stakeholders .............................................................. 23
6.6
Monitoring Plan......................................................................................................... 26
6.7
Monitoring Report System ........................................................................................ 31
6.8
Capacity building/Training plan................................................................................ 31
6.9
Budget for EMP ........................................................................................................ 32
6.10 Public consultation and information disclosure ........................................................ 33
VII. Capacity building/Training plan ................................................................................... 33
VIII. Estimated Cost for safeguard implementation ......................................................... 34
IX. Public Consultation and Disclosure of Project ESMF ................................................ 35
X. ANNEXES ....................................................................................................................... 36
Annex1: Environmental and social safeguards checklist ..................................................... 36
Annex 2: Environmental Impacts Screening ........................................................................ 39
Annex 3: Environmental management plan (EMP) model for FIRST subproject ............... 41
Annex4: Sample Format for Checklist on Environmentally Friendly Design Criteria ........ 45
Annex5: Environmental Code of Practice (ECOPs) ........................................................... 46
Annex 6: Minutes from the public discussion entitled “project environmental management
framework”........................................................................................................................... 51
Annex7: Official letter of DIC for the agreement of content of ESMF ............................... 54
iii
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............................................................................................................... 15
Table 4. Area breakdown ......................................................................................................... 20
Table 5.Potential Socio-Environmental Impacts during LAB construction and operation ..... 22
Table 6. Responsibilities for Environmental Management...................................................... 24
Table 7. Environmental monitoring plan ................................................................................. 26
Table 8. System of Environmental Monitoring Report ........................................................... 31
Table 9. Proposed programs on capacity building on environmental management ................ 32
Table 10. Consultation with the management unit of HHTP................................................... 33
Table 11. Proposed programs on capacity building on environmental management .............. 34
Table 12. Cost estimation for ESMF ....................................................................................... 34
Table 13. Public consultation and disclosure of the ESMF ..................................................... 35
List of figures
Figure 1. Environmental Screening Procedure ....................................................................... 11
Figure 2. VINALAB-MAMET Location ................................................................................. 19
Figure 3. Location of Tich River and the Red River System................................................... 21
Figure 4. Environmental Management System during Construction....................................... 23
iv
ABBREVIATIONS AND ACRONYMS
CPMU
Central Project Management Unit
CRIMUs
Research Consortium Implementation Management Units
CSC
Construction Supervision Consultant
DIC
Department of International Co-operation
DIA
Direct Impact Area
EC
Environmental Consultant
ECOPs
Environmental Codes of Practice
EHS
Environmental, Health & Safety
EPC
Environmental Protection Commitment
EIA
Environmental Impact Assessment
EMP
Environmental Management Plan
ESMF
Environment and Social Management Framework
FIRST
Fostering Innovation Through Research, Science and Technology
Project
GM
Grant Manual
GIIP
Good International Industry Practice
GoV
Government of Vietnam
GRI
Government Research Institute
GRIMUs
Government Research Institute Management Units
HHTP
Hoa Lac High Tech Park
ICB
International Competitive Bidding
ICT
Information and Communications Technology
IDA
International Development Association
IE
Initial Environment
IPR
Intellectual Property Rights
LAB
VINALAB-MAMET
MPI
Ministry of Planning and Investment
MoST
Ministry of Science and Technology
MoF
Ministry of Finance
MoNRE
Ministry of Natural Resource and Environment
NASATI
National Science and Technology Information Agency
NGO
Non-Governmental Organizations
ODA
Official Development Assistance
PMU
Project Management Unit
PIM
Project Implementation Manual
v
PPP
Public-Private Partnership
PSC
Project Steering Committee
R&D
Research and Development
RIA
Region Impact Area
SBV
State Bank of Vietnam
SEMP
Site-specific Environment Management Plan
SME
Small and Medium Enterprise
SIA
Secondary Impact Area
SPO
Sub-project owner
SOEs
Statement of Expenditures
S&T
Science and Technology
STI
Science and Technology Innovations
ToR
Terms of Reference
VAST
Vietnam Academy of Science and Technology
WWTP
wastewater treatment plans
WA
Withdrawal Application
WB
World Bank
vi
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.
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
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: +84-4-39435376
Fax:+84-4-39435376
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: +84-4-62864968
Fax: +84-4-62864956
Project duration: 5 years: 2013-2018
Total Project Budget:
USD $103 million, of which:
a) ODA Funds: USD $ 100 million
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 4.01. 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
II.
Legal Basis
2.1 World Bank Safeguard Policies and Guidelines

OP 4.01: Environmental Assessment1
The OP 4.01 is triggered as the project may cause some minor/moderate adverse
environmental and social impacts associated with the construction of VINALABMAMET 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:
http://web.worldbank.org/WBSITE/EXTERNAL/PROJECTS/EXTPOLICIES/EXTSAFEPOL/0,,menuPK:584441~pagePK:64
168427~piPK:64168435~theSitePK:584435,00.html and http://www.ifc.org/ifcext/sustainability.nsf/Content/EHSGuidelines
4
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)
No
No
No
No
No
No
Vietnam’s Legislation for Environmental Assessment and Management
2.2.
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 9th, 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

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

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:

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.
Standards
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 5308-9: 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
III.
3.1
Institutional Arrangement and Capacity for Safeguard Implementation
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
Table 2: Institutional Arrangement for ESMF Implementation
No
1
Organizations
CPMU under
MOST/DIC,
2
GIRs and Enterprises
Responsibilities
- 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 1st 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 1st year of operation by GRIs/
enterprises.
 Report on implementation including environmental
compliance to WB for review.
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
No
3
4
5
6
7
Organizations
Responsibilities
measures by contractors
 Report on sub-project environmental compliance to CPMU
for review
Contractors
and - carry out mitigation measures and self-monitoring during
construction
of
VINALAB-MAMET
and
other
equipment suppliers
activities/subprojects under component 2
VINALAB-MAMET - Carry out mitigation measures and ensuring environmental
owner
under compliance during implementation and operation phase of
LAB
subcomponent 2c
HHTP Management - To carry out enforcement control and monitoring the
operation of VINALAB-MAMET
Unit
Local
authorities - Approving Environmental Report (EIA/EPC) and carry out
environmental monitoring as mandated by GoV regulations
including DONRE
- Conduct project safeguard supervision and provide guidance
World Bank
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
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 5.1 – 5.7. In
addition, the environmental management for subprojects under subcomponents 2a/2b is
summarized in Table 3.
5.1
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
Figure 1. Environmental Screening Procedure
Application
submitted to
CPMU
NO
CPMU and its Environmental
staff/ consultant screening of
application
from
environmental
checklist
safeguard (Annex 1). Is this
sub-project eligible?
STOP
These
subprojects
are
NOT
eligible
for
financing
YES
C-type
NO further
environmental
documents or
processes required.
CPMU
conducts
Environmental
Impact
screening (Annex 2) of subprojects
GIRs and
enterprises to
prepared the
EIA/EMP/EPC/
ECOP - type
Disclosure and
Public
consultations
Safeguard
report s i.e.
EMP/EIA/EPC
Keep
Environmental
Impact screening
.
records and visually
5.1.1 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
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
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.
5.1.3 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 5.1.1.
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/TTBTNMT dated 18 July 2011.
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
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 5.
5.3 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
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 1st 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
Sub-project owner
(SPOs)
CPMU
1.2. Environmental eligible screening:
screening to exclude sub-projects triggering
Bank safeguard policies other than OP4.1 and
submit to WB for checking
CPMU
WB will do random
checks
1.3. Screen to categorize sub-project as EIAtype; EPC-type; ECOP-type or C-type and
submit to WB for checking
CPMU
WB will do random
checks
15
for sub-projects that are classified as C-type:
no further action required
For subprojects of other categories, carry out
subsequent steps
2. Sub-project
preparation
2.1. Provide guidance to selected GRIs/Firms
in preparing necessary environmental
documents, collecting and recording required
licenses/permits that comply with approved
ESMF
CPMU
WB will do random
checks
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
CPMU
WB will do random
checks
2.3. For EIA-type subprojects, prepare the
report on institutional capacity to carry out
environmental safeguard and TOR for EIA
preparation
GIRs/enterprises
SPOs
Monitored by
CPMU and check
randomly by WB.
2.4. Prepare draft EIA/EMP/EPC
GIRs/enterprises
SPOs
Monitored by
CPMU and check
randomly by WB.
2.5. Review the final EIA/EMP/EPC prior to
submit for approval
CPMU
WB will do random
check
2.6. EIA/EMP/EPC approval
EMP approved by
MOST CPMU
Monitored by
CPMU for EIA/EPC
approval
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
EIA/EPC approved
by appropriate
local authorities
3. Sub-project
bidding
3.1. Include mitigation measures/requirements
in EIA/EMP/EPC into bidding document
GIRs/enterprises
- Include mitigation measures/requirements
into rehabilitation document and contract (if
any)
Random check by
WB
Monitored by
CPMU
Random check by
WB
- Include mitigation measures/requirements
into equipment supplier contract (if any)
- Include mitigation measures/requirements
into construction supervision bidding
document and contract (if any)
4.
Implementation
phase
Implement mitigation measures
GIRs/enterprises
SPOs
Monitored by
CPMU, local
authorities,
Internal monitored
by
GRIMUs/CRIMUs
16
Random check by
WB
Carry out internal environmental monitoring
and supervision on daily basis
GIRs/enterprises
on regular basis
Monitored by
CPMU, local
authorities
Carry out external periodic environmental
monitoring
CPMU on periodic
basis
Randomly checked
by WB
Collect and record environmental licenses and
permits necessary
GIRs/enterprises
SPOs
Monitored by
CPMU
Random check by
WB
Report on sub-project environmental
compliance to CPMU/WB for review.
GIRs/enterprises
SPOs
Reviewed by
CPMU
Random check by
WB
Report on project environmental compliance to
WB for review
VI.
CPMU
Reviewed by WB
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 m2.
Proposed organizational model: Government-Owned Contractor-Operated.
Subproject timeline: The preparatory phase is from 2012 to the end of 2013. The
implementation phase is from 2014 to the end of 2016. The Lab is expected to self-supporting
from 2017.
17
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 m2 (approved by MOST), construction coverage of 20%,
average height of a 5-storey building,
18
Figure 2. VINALAB-MAMET Location
Lab location
Tan
Xalake
Northern
WWTP
Waste
storage
Southern
WWTP
Waste
storag
e
Waste storage
19
Table 4. Area Breakdown
Functions / Department
Central administrative office
Estimated required space
(m2)
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).
6.2.1 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 10-15 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.
6.2.2 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.
6.2.3 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
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, BOD5have 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
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
construction materials
of
Excavation
Solid Waste disposal
Piling
Concrete mixing and
- 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
Pouring
Operation phase
Traffic activities: vehicles of staffs
- Generation of industrial and/or domestic solid waste and waste water
Operation of equipment
- Noise generated from Operation activities
Repair and maintenance 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
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
Table 6. Responsibilities for Environmental Management
Roles and responsibilities
Organization
CPMU,
Environmental
Staff/Consultant
(EC)
Sub-component
preparation
Employenvironmental
staff/consultant and take the
overall responsibility for EMP
preparation and submission for
approval;
Sub-component implementation
Employ environmentalstaff/ consultant to monitor progress during
construction.
Provide advice to LAB owner on the EMP
implementation during the first year of operation
The CPMU assisted by environmental consultant will have the final
responsibility for environmental performance of the project during
both the construction and operational phases.
Monitor progress during the first year of
operation;
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.
Hoa Lac High
Tech Park
Management Unit
Design Engineer
Use the checklist formats in
Annex4 to integrate
environment-friendly design
criteria to the design of the
LAB.
Sub-component operation
The CPMU will be also in charge of reporting
the EMP implementation to the World Bank and
DONRE
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
n/a
n/a
Roles and responsibilities
Organization
Construction
contractors
Construction
supervision
Consultant (CSC)
Sub-component
preparation
Sub-component implementation
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.
Sub-component operation
n/a
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.
25
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.
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)
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)
Noise, dust
At the site
QCVN 05:
2009/BTNMT
26
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
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)
visual/public
consultation
Daily
A part of CSC
contract
CSC
visual/public
consultation
Monthly/when
received complaints
from affected groups
Included in
operation budget
Environmental department
of HHTP Management Unit
visual/public
consultation
Monthly
A part of contract
Environmental staff/
consultant (ES/C)
visual/public
consultation
Daily
A part of CSC
contract
CSC
visual/public
consultation
Randomly/when
received complaints
from affected groups
Included in
operation budget
Environmental department
of HHTP Management Unit
visual/public
consultation
Monthly
A part of contract
Environmental staff/
consultant (ES/C)
Visual/worker
Daily
A part of CSC
CSC
Traffic and
pedestrian
safety
Damages of
existing
infrastructure
Safety risks to
At the site
access
At the site
vicinity on
site
At the site
27
Once, before start of
excavation work
Phase
Impacts
Monitoring
Location
Standard
worker
Operation phase
Monitoring time
consultation
Industrial
waste
inventory
At the site
Waste water
At the site
Noise
Monitoring Method
Inside and
outside of
the Lab
Cost
Responsibility
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
consultant (ES/C)
Check of the waste store
Once per year
Included in
operation budget
Environmental department
of HHTP Management Unit
Check of the waste store
Once, before the start
of operation
A part of contract
Environmental staff/
consultant (ES/C)
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 1st
year operation phase
A part of contract
Environmental staff/
consultant (ES/C)
Public consultation
Once per year
Included in
operation budget
Environmental department
of HHTP Management Unit
Public consultation
Once, during the
operation phase
A part of contract
Environmental staff/
consultant (ES/C)
28
staff/
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.
Table 8. System of Environmental Monitoring Report
No Issues to
.
reported
be Monitoring at 1st Monitoring at 2nd Monitoring at 3st
level
level
level
Construction stage
1
2
Implement
mitigation measures
on
site
by
contractors
Monitoring
the
EMP Compliance
self-monitoring
contractor
by
Monitoring on
basis by CSC
daily
Contractor to send
monthly report to
CSC
CSC to prepare monthly
report to CPMU and EC
Monitoring on daily
basis by CSC
Periodic Monitoring on
quarterly
basis
by
Environmental
staff/consultant (ES/C)
CSC
to
prepare
monthly report to
CPMU
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
ES/C prepare biannual
report and send
to
CPMU/WB for review
and local authorities if
required
Operation stage
1
Environmental
monitoring report
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
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
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
3-4
trainees
Prior
construction
CPMU
coordination
Environmental
Consultant
A
part
of
environmental
consultant
contract
to
in
with
CSC’s staff in
charge
of
environmental
sanitation
compliance
6.9 Budget for EMP
Cost for implementation of mitigation measures
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
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
Representatives of the
Management Unit of
HHTP.
02/1/2013
The Management Unit
of HHTP agrees with
the content of outlined
EMP and ESMF.
identification of potential
environmental issues during
the project implementation
The second round
Discussion about the content
draft 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 2012. In addition, it has been disclosed in WB InfoShop in Washington
DC in English language in January 2012.
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
Table 11. Proposed programs on capacity building on environmental management
VIII.
Training
content
Subject to
be trained
Training on the
safeguard
implementation
CPMU’s
Safeguard staff;
GRI’s staffs,
Firm’s staffs,
No of
trainees
Training time
15-20
in sub-project’s
preparation stage.
Organization
unit
CPMU in
coordination with
Environmental
Consultant
Budget
A part of
environmental
consultant
contract
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
Table 12. Cost estimation for ESMF
Who
Description of task
Time
Unit cost
Total
(USD
)
EC/S
- 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
4,5 year
10000/each year
45,000
CSC
Carry out supervision/monitoring on
construction of the LAB on daily basis
During
constructio
n
During
implementa
tion
As part of CSC contract
450
Contractors/
Equipment
supplier
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
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:
Table 13. Public Consultation and Disclosure of the ESMF
Objective
Participants
Time
Consultation results
The first round
Dissemination of project
information
collection of environmental base
information
An due-diligent report
Representatives
of the
Management
unit of HHTP.
14h,
Saturday
3/11/2012
Department of
International
Co-operation of
MOST
9h, Tuesday
20/11/2012
Agreement of the content
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.
Department of
International
Co-operation of
MOST
14h,
Tuesday
02/011/2013
identification of potential
environmental issues during the
project implementation
Dissemination of the content first
draft ESMF
The second round
Discussion about the content draft
outlined EMP and ESMF
Discussion about the content draft
outlined EMP and ESMF
Officially written-opinions on
outlined EMP and ESMF in annex 6
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 2012. It has been disclosed in WB InfoShop in Washington DC in
English language before the departure of appraisal mission.
35
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
Identification of Possible
Safeguard issue(s)
Please check on box
Environmental Does the project have the
Assessment
potential for adverse
environmental or social risks
and impacts in its area of
influence
Natural
Habitats
Pest
management
No
The Bank does not finance
No
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
No
procurement of pesticide
equipment being financed by
the project
Does the project introduce No
new
pest
management
practices or expand or alter
existing pest management
practices
36
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
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
No
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
No
Are project activities being
conducted in international
waterway
No
No
No
No
No
37
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
Involuntary
Resettlement
Indigenous
peoples
(ethnic
minorities)
Date
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
Screened by
Verified by
(full name and signature)
(Sign and stamp by the PMU
director)
38
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)
Yes
No
comment
Socio-environmental issue
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
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
Date
EMP
EPC
None
Verified and Screened by
Full name and signature of Environmental
Staff/Consultant
40
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
Design Phase
Subproject
implementation
phase
Subproject
Operation phase
41
Responsibility
Date
(Start/End)
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)
Sub projects
PMU
Department of Natural
Resources &
Environment
(DONRE)
42
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
How
When
Is
the
parameter
to
be
monitored
?
Are
the
parameter
to
be
monitored/
type
of
monitoring
equipment?
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
43
Responsibility
Report to /
frequency
Time
(Start/End
Date)
5.2 Supervision of Contingency Plan Preparation, training activities (where applicable)
For example: contingency plan against fire risk
5.3 Environmental Compliance Framework
For example Compliance framework for equipment suppliers
6. Capacity Building/Training Plan (where applicable)
Organizer
Course
Participants
Frequency
Duration
Content
Budget
7. 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
Annex4: Sample Format for Checklist on Environmentally Friendly Design
Criteria
General Information
Name of Project
Name
of
site
rehabilitation/construction
Name of engineer/ technical officer
Person(s) who conducted the studies
Date of Site Study Completed
The date on which the on site studies were
completed.
Information Source
Name and contact of person(s) contacted
Proposed Output
Office rehabilitation
construction
Design Criteria
Yes
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
No
for
or
Unknown
new
office
office
Remark
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
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.
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8. Traffic
management
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9. Interruption of
utility services
10. Restoration of
affected areas
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11. Worker and
public Safety
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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.
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12. Communication
with local
communities
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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:
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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.
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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
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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)
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Potential impacts and appropriate mitigation measures
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Roles and responsibilities of stakeholders
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Monitoring system
D) Presentation of the annexes included in the ESMF:
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Annex 4: Sample Format for Checklist on Environmentally Friendly Design Criteria
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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:
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Annex 7: Official letter of DIC for the agreement of content of ESMF
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