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TRANSCRIPT
Ministry of Planning and Investment
Enterprise Development Agency
Vietnam Inclusive Innovation Project
ENVIRONMENTAL AND SOCIAL
MANAGEMENT FRAMEWORK
(Final Draft)
January, 2013
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VIETNAM INCLUSIVE INNOVATION PROJECT – ENTERPRISE DEVELOPMENT AGENY
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Table of Contents
1. Introduction ............................................................................................................................. 3
1.1 Project description: ................................................................................................................ 3
1.2 Project management and personnel ....................................................................................... 5
1.3 Scope of the ESMF ............................................................................................................... 6
2. Environmental legislation applicable to the projects ............................................................... 6
3. Project potential impacts and mitigation measures ................................................................. 9
3.1 Project potential impacts ....................................................................................................... 9
3.2 Mitigation measures .............................................................................................................. 9
4. Institutional Arrangement and Capacity for Environmental Management ............................. 9
4.1 Institutional Arrangement ..................................................................................................... 9
4.2 Institutional Capacity .......................................................................................................... 12
5. Environmental Management Procedures for subprojects under Components 1 and 2 .......... 12
5.1 Environmental and Social Screening .................................................................................. 13
5.2 Preparation of EIA/EPC/EMP ............................................................................................. 15
5.3 Public consultation and disclosure of EIA/EMP/EPC ........................................................ 16
5.4 Monitoring ........................................................................................................................... 17
5.5 Reporting and documentation ............................................................................................. 17
6. Environment Management Procedures for upgrading activities for institutions under
Component 3 ................................................................................................................................. 31
7. Capacity building and Training Plan ..................................................................................... 32
8. Estimated Cost for ESMF implementation ............................................................................ 32
9. Public Consultation and Disclosure of Project ESMF........................................................... 33
ANNEX 1: ENVIRONMENTAL AND SOCIAL SAFEGUARDS CHECKLIST .................. 35
ANNEX 2: ENVIRONMENTAL IMPACT SCREENING FORM ......................................... 38
ANNEX 3: Environmental Management Plan (EMP) Model ................................................... 40
ANNEX 4: CHANCE-FIND PROCEDURES .......................................................................... 45
ANNEX 5: Environmental Code of Practice (ECOPs) ............................................................. 46
VIETNAM INCLUSIVE INNOVATION PROJECT – ENTERPRISE DEVELOPMENT AGENY
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ABBREVIATIONS AND ACRONYMS BoP Bottom of Pyramid
EDA Enterprise Development Agency (MPI)
EPC Environmental Protection Commitment
EIA Environmental Impact Assessment
EMP Environmental Management Plan
ESMF Environment and Social Management Framework
FM Financial Management
FMM Financial Management Manual
GDP Gross Domestic Product
GKTP Global Knowledge Transfer and Partnership
GM Grant Manual
GoV Government of Vietnam
GRA Global Research Alliance
ICB International Competitive Bidding
ICT Information and Communication Technology
IE Initial Environment
MPI Ministry of Planning and Investment
MoST Ministry of Science and Technology
NDCs National Development Challenges
NDCC National Development Challenges Council
MoH Ministry of Health
MoNRE Ministry of Natural Resource and Environment
NIMM National Institute of Medical Materials
NHTM National Hospital of Traditional Medicine
NAFOSTED National Foundation for Science and Technology Development
PFIs : Participating Financial Institutions
PIA Project Implementation Agency
PIU Project Implementation Unit
PMU Project Management Unit
POM Project Operational Manual
PSC Project Steering Committee
R&D Research and Development
RTDI Research and Technology Development Institute
SBV State Bank of Vietnam
SEDS Social and Economic Development Strategy (2011~2020)
SME Small and Medium Enterprise
SOEs Statement of Expenditures
STI Science and Technology Innovations
THM Traditional Herbal Medicine
ToR Terms of Reference
VAST Vietnam Academy of Science and Technology
VIIP Vietnam Inclusive Innovation Project
WA Withdrawal Application
WB World Bank
VIETNAM INCLUSIVE INNOVATION PROJECT – ENTERPRISE DEVELOPMENT AGENY
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1. Introduction
The Government of Vietnam has requested World Bank to finance the Vietnam Inclusive
Innovation Project (VIIP) (herein refer to as the Project). The Project will focus on development
of high-performance and affordable solutions to address the needs of the Base of Pyramid
population, including through providing support to SMEs to acquire, adopt, create and use of
technology and innovation.
The VIIP will comply with applicable Vietnamese environmental regulations and the World
Bank Environmental and Social and Safeguard Policies. By design, the Project will not finance
any innovations and technologies which cause significant adverse environmental and social
impacts. Potential impacts, if there is any, would not be irreversible and will be at low and
medium scale, mitigable and manageable. The project therefore has been classified as category B
and an Environmental and Social Management Framework (ESMF) is developed by EDA as part
of Project preparation to ensure that all the financed subprojects corresponding to innovative
technology development/adaptation/creation would be implemented in an environmentally and
socially sustainable manner.
The ESMF will screen all innovation technologies to determine their eligibility regarding
environmental and social safeguards. The ESMF includes a procedure to develop and implement
relevant measures to mitigate the impacts; specifies institutional arrangement, cost for
implementing screening, preventive, mitigation measure and monitoring.
The ESMF will be integrated into the Project Operational Manual and deliberately reflected in
the subproject application forms to ensure that environmental and social issue will be considered
together with other requirement during project implementation.
1.1 Project description:
Project Objectives
The Project Development Objective (PDO) is to adopt, upgrade and develop inclusive
innovations for the benefit of the Base of Pyramid (BoP) population. This will be achieved
by strengthening Vietnam's capacity to undertake inclusive innovation, including financing
development, adaptation, adoption, scaling up and commercialization of inclusive technologies,
and improving Research and Development Institutions’ (RDIs’) and Small and Medium
Enterprises’ (SMEs’) technological and innovation capabilities thereby enhancing their
competitiveness
Project Components
The project with an IDA Credit of US$55 million will consist of the following four components:
i. Developing Inclusive Technologies
ii. Scaling up and Commercialization of Inclusive Technologies
iii. Capacity Building and Global Knowledge Transfer
iv. Project Management, Monitoring and Evaluation
VIETNAM INCLUSIVE INNOVATION PROJECT – ENTERPRISE DEVELOPMENT AGENY
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Component I: Developing Inclusive Technologies. The project will support the development of
inclusive technologies that will help address the problems of the BoP population, through
competitive grants, based on public calls for proposals and transparent selection criteria. This
component will provide support for: (i) developing technological solutions to address a few
National Development Challenges (NDCs); (ii) developing, acquiring, adapting and upgrading
inclusive technologies by enterprises and grassroot innovators. The project will focus on key
priority themes which could have a quick and significant impact for the BoP population and in
which Vietnam has a strong tradition, capacity and strategic interest, as reflected in Vietnam’s
2011-2020 Social and Economic Development Strategy (SEDS). The priority themes to be
supported under the project are selected by a National Development Challenges Council in
Vietnam as: (i) Traditional Herbal Medicine (THM); (ii) Information and Communications
Technologies (ICT) Applications (as a tool for the delivery of services to the BoP), and (iii)
Agriculture/Aquaculture applications. Other themes may be considered during project
implementation by the Project Steering Committee (PSC). While developing actual solutions, the
project will also provide ancillary benefits in the strengthening of the capacity (see Component
III) of the key participating institutions
Component II: Scaling up and Commercialization of Inclusive Technologies. This
component will provide loans and matching grants to private enterprises for upgrading, scaling
up and commercialization of inclusive technologies. This will include (i) support for scaling-up,
commercialization and sustainable production of inclusive technologies dealing with
manufacturing of products and services for the BoP; (ii) funding to private sector SMEs1 for the
acquisition, adoption and use of technology and innovations in priority areas with significant
potential for technological up-gradation and growth.
The general eligibility criteria for subproject selection under Component I and II include: a)
existing or new technologies applicable to Vietnam, b) readiness to adoption/adaptation and cost
reduction potential; c) provide solutions to address the needs of BoP and are affordable, durable,
and environmentally friendly; d) time-bond deliverables with 2-3 years to reach the prototype
stage or have the potential to commercialize in Vietnam within 2 years; e) multi-disciplinary
applications of new ideas/ technologies; f) collaboration among RDIs, enterprises, local and
international partners, researchers/ innovators to ensure quality and commercialization potential.
See Annex 2 for details on funding arrangement and subproject selection criteria.
Component III: Capacity Building and Global Knowledge Transfer. The project will support
capacity building of key Vietnamese national institutions for the sustainable development and
delivery of inclusive technologies in the priority areas supported under the project a) enhancing
technology, quality and clinical trial of traditional herbal medicine products; b) enhancing
innovation grant management capacity; c) enhancing capacity in technology transfer and
commercialization, intellectual property rights protection.
1 SMEs are defined as independent production and business establishments registered in Vietnam with a total
registered capital of less than VND 10 billion or total employee fewer than 300 people as per government
regulation.
VIETNAM INCLUSIVE INNOVATION PROJECT – ENTERPRISE DEVELOPMENT AGENY
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Component IV: Project Management, Monitoring and Evaluation. The project will provide
support to EDA PMU and PIUs in NAFOSTED and PFIs for project management, coordination,
capacity building, oversight, monitoring and evaluation, reporting and audits to enable them to
perform its responsibility for project coordination and management.
Project area:
Nationwide as the innovation activities could take place anywhere in Vietnam
Type of potential subprojects:
a. The potential subprojects of VIIP Project will lie under the following themes Traditional
Herbal Medicine (THM)
Quality enhancement in cultivation, production, manufacturing, distribution and
marketing of herbal medicines.
Technology upgrading for cultivation, production, manufacturing, distribution
and marketing with GMP standards (entire value chain of herbal medicine
development).
b. Information and Communication Technology (ICT)applications
Enhance the availability, relevance and access to information and contents
targeted at the BoP.
Develop/ design affordable, durable and user friendly ICT devices / applications
for the benefits of BoP.
Develop the appropriate databases for SMEs and farmers.
Develop the advanced software for the big quantity of databases and support to
easily export the databases
c. Agriculture/ Aquaculture applications
Develop technology solutions to reduce post harvest losses in agri/ aquaculture
products.
Develop clean energy/ energy efficient solutions for use by villagers and farmers
to improve life quality and productivity.
Improve quality and safety of agri/aquaculture products.
Other themes may be considered during project implementation by the Project Steering
Committee (PSC). While developing actual solutions, the project will also provide ancillary
benefits in the strengthening of the capacity (see Component III) of the key participating
institutions
1.2 Project management and personnel
Name of Project: Vietnam Inclusive Innovation Project
Name of Donor: The World Bank (WB) / International Development Agency (IDA)
Line Agency: Ministry of Planning and Investment (MPI)
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a) Contact Address: No 6B, Hoang Dieu Street, Quan Thanh ward, Ba Dinh District, Hanoi
b) Phone: 04.37349755; Fax: 04.37349755
Project Owner: Enterprise Development Agency
a) Contact Address: No 6B, Hoang Dieu Street, Quan Thanh ward, Ba Dinh District, Hanoi
b) Tel: 080 43854 / Fax: (84-4) 37342189
Project duration: 5 years: 2013-2017
Total Project Budget: USD $ 55.625 million, of which:
a) ODA Funds: USD $ 55.0 million
b) Counterpart Funds: 12,5 billion VND, equivalent to USD $ 0.625 million
Type of ODA: ODA concessional loan - IDA Credit
1.3 Scope of the ESMF
The ESMF will be used to screen and manage potential environmental and social impacts arising
from implementation of subprojects under components I and II. It also sets out requirements for
activities of upgrading facilities for institutions under component III of VIIP Project.
2. Environmental legislation applicable to the projects
2.1 Vietnamese Environmental Legislations
Law on Environment Protection, No 52/2005/QH11 dated 12 December 2005
Decree No.29/2011/ND-CP dated on April 18, 2011 by Government on provisions on
SEA/EIA and environmental protection commitment
Circular No. 26/2011/TT-BTNMT dated on July 18, 2011 by MONRE on details
provision of some articles of the Government’s Decree No.29/2011/ND-CP dated on
April 18, 2011 on provisions on SEA/EIA and environmental protection commitment
Decree No. 21/2008/ND-CP dated on February 28, 2008 of the Government amending
and supplementing a number of articles of the Government’s Decree No. 80/2006/ND-CP
dated on August 9, 2006
Decree No. 80/2006/ND-CP dated 09 August 2006 by Government, providing details
guidelines for implementation of the Law on Environment Protection No. 52/2005/QH11
Law on water resources No. 1998/QH adopted by Vietnam social republic parliament,
session X, third time dated 20/5/1998.
Decree No. 179/1999/ND-CP dated 30/12/1999 of Prime Minister on water resource law
implementation.
Decree No. 149/2004/ND-CP dated 27/7/2004 of Prime Minister on Regulations of
permission for surveying, exploitation, using water resource, discharge into water source;
VIETNAM INCLUSIVE INNOVATION PROJECT – ENTERPRISE DEVELOPMENT AGENY
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Decree No. 38/2011/NĐ-CP dated on May 26, 2011 on revising and supplementing some
articles of Decree No. 149/2004/ND-CP;
Decree No. 81/2006/ND-CP dated August 9, 2006 by Government: Decree on sanction of
administrative violations in the domain of environmental protection
Decree No. 117/2009/ND-CP dated 31 December 2009 by Government on handling of
violations in the area of environment protection
Decree No. 73/2010/ND-CP on administrative penalization security and society issues
Decree No. 59/2007/ND-CP dated 09/4/2007 of Prime Minister on Solid waste
management;
Circular No. 12/2011/TT-BTNMT on management of hazardous substance
Circular No. 12/2006/TT – BTNMT dated 26/12/2006 of MONRE on guidelines of
practice condition, document procedures, registration, practice permit, code for hazardous
waste management;
Decision No. 23/2006/QD-BTNMT dated 26/12/2006 of Ministry of Natural resources
and environment on hazardous waste catalogue;
Decree No. 13/2003/ND-CP dated 19/2/2003 of Prime Minister on articles regulating
hazardous waste types and their transportation on road;
Circular No. 02/2009/TT-BTNMT dated 10/03/2009 of Ministry of Natural resources and
environment on regulations of waste water receiving capacity of water resource
Law on Vietnam technical regulations No. 68/2006/QH11 dated 29/6/2006.
The Vietnamese Good Agricultural Practice for production of fresh fruit and vegetables
(VietGAP)
Vietnam National Technical Regulations/Standards, include:
QCVN 05:2009/BTNMT-National technical regulations on ambient air quality;
QCVN 06:2009/BTNMT-National technical regulation on hazardous substances in
ambient air;
QCVN 07:2009/BTNMT – National technical regulation on limit of hazardous wastes;
QCVN 14:2008/BTNMT-National technical regulation on domestic wastewater;
QCVN 19:2009/BTNMT-National technical regulation on industrial emission of dust and
inorganic substances.
QCVN 20:2009/BTNMT-National technical regulations on industrial emission of some
organic substances.
QCVN 26:2010/BTNMT: Acoustic – Noise from public area and residence. Maximum
allowable noise; TCVN 3985:1999: Acoustic – Allowable noise level at working areas.
QCVN 27:2010/BTNMT: National technical regulation on vibration
QCVN 39:2011/BTNMT - National technical regulation on Water Quality for irrigated
agriculture
VIETNAM INCLUSIVE INNOVATION PROJECT – ENTERPRISE DEVELOPMENT AGENY
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QCVN 40:2011/BTNMT: National Technical Regulation on Industrial Wastewater.
Water quality standards: TCVN 7222 : 2002: General environmental requirements of
centralized wastewater treatment plants;
Solid waste standards: TCVN 6705-2000: Non-hazardous waste. Classification; TCVN
6706-2000: Hazardous waste. Classification.
If new relevant regulation and standards are issued during the Project implementation, then
the new regulations and standard shall be followed.
2.2 World Bank Safeguard Policies and Guidelines
OP 4.01: Environmental Assessment2
The OP 4.01 is triggered as the project may cause some minor adverse environmental and
social impacts associated with supported innovative sub-projects under Components I and
II, and upgrading activities of laboratories from selective institutions under Component
III.
Public Consultation and Information Disclosure
OP4.01 requires during the EA process, that project-affected groups and local
nongovernmental organizations (NGOs) be consulted about the project's environmental
aspects and takes their views into account. OP 4.01 further requires that such
consultations are initiated as early as possible during project preparation and throughout
project implementation as necessary to address EA-related issues that affect them.
As per the World Bank’s Policy on Disclosure of Information and OP4.01 all
Environmental Assessment reports will be disclosed locally in Vietnam and also at the
Info shop in Washington DC.
The World Bank Group Environmental, Health & Safety (EHS) General Guidelines
The EHS Guidelines are technical reference documents with general and industry-
specific examples of Good International Industry Practice (GIIP), as defined in IFC's
Performance Standard 3 on Pollution Prevention and Abatement.
The EHS Guidelines contain the performance levels and measures that are normally
acceptable to The World Bank Group and are generally considered to be achievable in
new facilities at reasonable costs by existing technology.
When host country regulations differ from the levels and measures presented in the EHS
Guidelines, projects are expected to achieve whichever is more stringent. If less stringent
levels or measures are appropriate in view of specific project circumstances, a full and
detailed justification for any proposed alternatives is needed as part of the site-specific
2 For more details about WB guidelines and Policies, please visit Bank websites:
http://web.worldbank.org/WBSITE/EXTERNAL/PROJECTS/EXTPOLICIES/EXTSAFEPOL/0,,menuPK:584441~pagePK:641684
27~piPK:64168435~theSitePK:584435,00.html and http://www.ifc.org/ifcext/sustainability.nsf/Content/EHSGuidelines
VIETNAM INCLUSIVE INNOVATION PROJECT – ENTERPRISE DEVELOPMENT AGENY
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environmental assessment. This justification should demonstrate that the choice for any
alternate performance levels is protective of human health and the environment.
3. Project potential impacts and mitigation measures
3.1 Project potential impacts
The project will include a number of innovative sub-projects under grant and/or loan under
component 1 and 2. In addition, it includes upgrading activities of laboratories from two RDTIs
under component 3. Given the exact nature and location of innovative subprojects under
component 1 and 2 are not identified prior to appraisal; the relevant impacts associated with
these subprojects are mostly unknown. The known impacts may include safety issue and disposal
of waste from RDTIs and SMEs during subproject implementation and operation. The impacts
relating to upgrading of laboratories under component 3 may include during construction minor,
short term impact relating to generation of noise, dust, and waste and safety concern; and during
operation the issue of waste management and laboratory safety. The subprojects’ potential
impacts, if any, are expected to be localized, varying from small medium scale and can be
managed through good design and good management practices during Project implementation
and operation. The Project is not expected to have significant adverse impacts and thus has been
classified as category B Project
3.2 Mitigation measures
As the subprojects are not identified by appraisal, the site-specific impacts of subprojects are not
yet known until implementation phase. Nevertheless, during implementation, the mitigation
measures for generic impacts associated with the upgrading of laboratories under component 3
e.g. generation of dust, noise, waste water, solid waste, and traffic and labor safety - are
described in the Environmental Codes of Practices (ECOPs). These mitigation measures are
applied to construction and/or minor construction activities and shall be implemented by the
contractor implementation construction phase. The ECOPs will be included into the bidding
documents and relevant contract documents.
4. Institutional Arrangement and Capacity for Environmental Management
4.1 Institutional Arrangement
The broad framework for project implementation has been worked out between EDA and the
World Bank. EDA will be the responsible Government agency for the overall planning,
coordination and implementation of the project. A Project Steering Council (PSC) is being
formulated as a policy advisory body to MPI for the project. PSC members will be proposed as
participation of ministerial leaders. Specific members of PSC will be defined before negotiation.
The Director General of EDA will be the Secretary of the PSC. It is expected to meet every six
months to provide policy advice and review project progress. PSC would not be involved in the
VIETNAM INCLUSIVE INNOVATION PROJECT – ENTERPRISE DEVELOPMENT AGENY
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routine implementation of the project. Consequently, the WB proposal designates the entire
selection process to NAFOSTED (for all grants) and the selected PFIs (for loans). Agencies like
NAFOSTED and Commercial Banks are best suited to the specific implementation roles under
the project.
Institutional arrangement for Project implementation is demonstrated in the Figure 1 below:
Overall mgmt. of grants & loan to
SMEs
Proposal selection criteria
Proposal evaluation
process
Funds management
Overall
implementati
on management;
Coordination;
M&E
World Bank
Enterprises Development Agency (EDA)
Project Management Unit(PMU)
Component III EDA/PMU/
NAFOSTED
Component II
PFIs/NAFOSTED
Gov’t of Viet Nam
Ministry of Planning &
Investment (MPI)
R&D
Institutions
Project
Steering
Council
(PSC)
Component I
NAFOSTED
R&D
Institutions
R&D
Institutions/
Enterprises
Enterprises/SMEs
Component IV
EDA/PMU
EDA/PMU
Overall mgmt. of
grants to R&Ds
Beneficiary
selection criteria
Proposal evaluation process
Funds management
TA/training
Study tour
Equipment;
NHTM
NIMM
VAST
HUST
NAFOSTED
EDA
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Figure 1: Institutional arrangement for Project Implementation
The responsibility of key stakeholders for ESMF implementation is listed in the Table 1
Table 1: Institutional arrangement for ESMF implementation
No Organizations Responsibilities
1 Ministry of Investment
and Planning (MPI)/
Project Management Unit
(PMU) under EDA
- Responsible for overall coordination of Project implementation including
safeguard execution.
- Provide training and technical assistance as necessary to strengthen capacity
for environmental staff/consultant under EDA and NAFOSTED.
- Update the ESMF as necessary, taking into the lesson learnt during Project
implementation.
- Allocate staff /consultant responsible for ensuring social and environmental
compliance of institute upgrading activities under Component 3. The role of
staff/consultant but not limited to the following:
Preparation of environmental documents to ensure the environmental
compliance and safety during upgrading process.
Monitoring the implementation of environment and safety compliance by
contractor/equipment supplier during upgrading process and by
beneficiary institutes during 1st year of operation.
Report on implementation including environmental compliance to WB for
review.
2 Project Implementing
Unit (PIU) under
NAFOSTED
- Allocate qualified staff and/or consultants to be responsible for ensuring
environmental and social safeguard compliance of the subprojects under
Components 1 and 2. The role of the allocated staff and/or consultant
include but not limited to the followings:
Screening, reviewing and appraisal of Environmental Safeguard
Documents and monitoring reports from subproject owners’ i.e. granted
institutions and financed SMEs.
Monitoring the implementation of mitigation measures by subproject
owners.
Report on subproject implementation including environmental
compliance to WB for review.
3 Participating Financial
Institution (PFIs)
- Rely on NAFOSTED system to ensure the social and environmental
compliance of sub-loans under Component 2
4 Subproject owners under
Components 1 &2
- To carry out measures to mitigate impacts as specified in approved
environmental safeguard documents (EIA/EPC/EMP)
- Internal monitoring and reporting the sub-project implementation, including
environmental safeguard compliance to PIU for reviewing
5 Contractors and
equipment suppliers,
beneficiary institutes
under Component 3
- Contractor and equipment supplier: carry out mitigation measures during
implementation
- Beneficiary institutes: carry out mitigation measures and environmental
compliance during operation
6 Local authorities - Approving Environmental Report (EIA/EPC) and carry out environmental
VIETNAM INCLUSIVE INNOVATION PROJECT – ENTERPRISE DEVELOPMENT AGENY
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including DONRE monitoring as mandated by GoV regulations
7 World Bank - Provide guidance to PMU, PIU and PFIs in project implementation
including ESMF execution
Note: sub-project owner here refer to as granted/financed institution and enterprises under
component 1 and 2
4.2 Institutional Capacity
The MPI/EDA may have some previous experience in carry out WB financed projects. However,
the staffs that had experience on safeguard management of these previous projects may not be
available to be assigned as Staff Officer for VIIP project. NAFOSTED may allocate qualified
staff who understands well GoV environmental regulation under its relevant Science Committee.
However, NAFOSTED has never been carried out WB funded project and therefore does not
have experience of the World Bank’s safeguard policies. The current capacity of NAFOSTED
and EDA regarding ESMF implementation, therefore, is considered to be limited.
The Project will require the allocation of qualified environmental staff under EDA and
NAFOSTED to oversee environment and social safeguard issues and necessary training will be
carried out to strengthen capacity of EDA and NAFOSTED in implementing safeguard
requirements
5. Environmental Management Procedures for subprojects under Components 1
and 2
This section describes the actions to be followed by other actors – as specified in section 3 – to
implement World Bank safeguard policies and GoV environmental requirements at each stage of
subproject implementation and preparation. These include:
- Environmental and social screening
- Preparation of Environment Assessment Report (EIA/EMP/EPC).
- Public Consultation and Disclosure
- Monitoring
- Reporting
The Environmental Management Procedures described in details in section 5.1 -5.5. In addition,
the Environmental Management for subproject under components 1 and 2 is summarized in
Table 3.
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5.1 Environmental and Social Screening
5.1.1 Subproject classification criteria
The purpose of screening is to determine the subproject eligibility for WB funding and to
identify subproject potential impacts and consequently the appropriate instrument to manage
those impacts.
By design, the VIIP Project only triggers the Bank safeguard policies OP/BP 4.01 Environment
Assessment. Any subproject triggering other safeguard policies will be excluded from Bank
financing. In addition, the subprojects which cause significant impacts will not be eligible for
Bank financing.
According to the OP/BP 4.01, the WB classifies the projects based on the extent and potential
severity of the impacts. A project which causes significant adverse environmental impacts that
are diverse, irreversible and unprecedented is categorized as A and for this project, a full
environmental assessment (EA) needed to be prepared. Category B projects are those with less
significant adverse impacts which are site-specific, few if any of them are irreversible; and in
most cases mitigation measures can be designed more readily than for Category A projects.
Category B project will require preparation of Environmental Management Plan (EMP) or an
EIA with scope narrower than that of category A The project that causes minimal or no adverse
impacts is categorized as C and beyond screening, no environmental assessment is required.
GoV legal documents, i.e. Decree No29/2011/ND-CP, use a list of Project type to classify
projects.
i. The projects belong to the list in Annex II of Decree No29 are subjected to
Environmental Impact Assessment (EIA) elaboration. In addition, for those projects
belonging to Annex III, which cause potential high adverse impacts, an EIA report needs
to be prepared and approved by MONRE instead of local authorities.
ii. The subprojects/activities subject to prepare and register for an Environmental Protection
Commitment (EPC) include:
o Investment projects having nature, scale and capacity which are not listed or under
the level prescribed in the list in the Annex II of this Decree
o Activities of production, business, or services which are not required to formulate
investment project but shall generate waste during its implementation
The differences in GoV and WB category approaches may lead to different requirements on
potential subprojects. To address any potential the inconsistency and to ensure that the selection
of sub-projects will strictly follow the GoV regulation, the WB safeguard policies and project
design, the subprojects/activities under VIIP Project Support is classified in 5 types as
follows:
VIETNAM INCLUSIVE INNOVATION PROJECT – ENTERPRISE DEVELOPMENT AGENY
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- IE-type (in-eligible type): subprojects that are ineligible for financing include:
a) those subprojects which cause significant, diverse, irreversible and unprecedented
environmental impacts corresponding to WB category A classification impacts
b) those belong to Annex III of Decree No29/2011/ND-CP
- EIA-type: the subprojects that belong to the list in Annex II of Decree
No29/2011/ND-CP. They are subprojects/activities with impacts that are site-specific, not
irreversible, and can be readily identified and standard preventative and/or remedial
measures can be designed more readily.
It is required that an EIA for each sub-project be prepared and approved by related
provincial people’s committee. An EMP that meets World Bank’s requirements will be
integrated into the EIA. The content of an EMP can be found in Annex 3.
- EPC-type: those subprojects/activities subjected to EPC preparation and registration as
regulated by Decree No29.
It is required that an EPC for each sub-project be prepared and approved by related
district/commune-level people’s committee. An EMP that meets WB’s requirements will
be incorporated into the EPC.
- EMP-type: the subprojects are classified neither in EIA-type nor in EPC-type but they
may generate dust, noise, solid waste and waste water and labor safety issues during
subproject cycle; for example research subproject/activity.
It is required an EMP in accordance with World Bank’s safeguard policies. The EMP
will be approved by PIU under NAFOSTED.
- C-type: the project that causes minimal or no adverse environmental impact
It requires no further environmental assessment
5.1.2 First level: Safeguard policies screening
For each subproject, PIU environmental staff/consultant will refer to the project proposal and to
fill in an “ENVIRONMENTAL AND SOCIAL SAFEGUARDS CHECKLIST” as introduced in
Annex 1.
By design, the Project will not trigger any Bank safeguard policies except OP 4.01 –
Environmental Assessment and not finance any technology or activity which causes significant
adverse, irreversible impacts.
In addition, to avoid any impacts on the misuse of pesticide to human health and environment, by
design, the Project will not support the procurement of pesticide and pesticide equipment
application. The Project will not finance any activity that may lead to a substantial increase in
use of pesticides and subsequent increase in health and environmental risk. The project will also
exclude any activity/subproject that may maintain or expand present pest management practices
VIETNAM INCLUSIVE INNOVATION PROJECT – ENTERPRISE DEVELOPMENT AGENY
Page 15
that are unstable, not based on an integrated pest management (IPM) approach and/or pose
significant health and environmental risk.
Eligibility:
If the subprojects only bring about positive impacts and/or causing no adverse impact, it is
appraised as environmental eligible and beyond screening, no environmental requirements
is needed.
If sub-projects implementation triggers any of the Bank safeguard policies beyond OP4.01
Environmental Assessment, it is considered as ineligible for financing
If the sub-project implementation triggers OP/BP 4.01, the 2nd
level screening is required
5.1.3 Second-level: Impacts screening
Base on the nature, scale, extent of subprojects/activities and their impacts, the NAFOSTED
environment officer will classify them into EIA-type, EPC-type and EMP-type or C-type as
described in section 5.1.1 above. The screening result should be recorded the Environmental
Screening Form as attached in Annex 2.
The NAFOSTED PIU environment officer must send to the WB the list of propose sub-projects
and screening result at two screening levels as specified in Annex 1 and Annex 2. The WB may
randomly screen about 5-10% of total proposed sub-projects to evaluate the screening process. If
the WB does not satisfy with capacity of PIU in screening process, the EDA shall provide
additional strengthening measures to enhance capacity.
5.2 Preparation of EIA/EPC/EMP
Subproject owners will prepare an EIA/ EPC/EMP for each subproject at preparation phase, i.e.
in parallel with the preparation of Economic-Technical Report (ETR) or Feasibility Study (FS)
and conduct public consultations and information disclosure as guided in section 5.3.
Specifically:
- EPC-type subprojects: The subproject owners will develop one EPC and get approval from
appropriate local authorities.
- EIA-type subprojects: The subproject owners will prepare TOR for the EIA report and send to
PIU under NAFOSTED for prior review. Upon clearance, subproject owner should proceed to
hire a consultant to prepare the EIA report. The draft EIA report will be reviewed by
NAFOSTED. The WB may randomly prior review up to 30 % of draft EIAs to ensure that the
potential impacts are considered and adequately addressed. After the draft EIA is cleared by
NAFOSTED and/or WB, the sub-project owner will get it approved from appropriate local
authority.
The EIA/EPC content, format and approval process is regulated in Decree No 29/2011/ND-CP
and CirNo 26/2011/MONRE.
VIETNAM INCLUSIVE INNOVATION PROJECT – ENTERPRISE DEVELOPMENT AGENY
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- EMP-type subproject: The subproject owner will develop one EMP to address potential
adverse impacts. The content of the EMP can be referred to in Annex 3
- For subproject which have a recently approved EIA or EPC
For subproject which an EIA and EPC has already been approved by GoV authorities, the
NAFOSTED environment staff/consultant will make a due diligence to assess the adequacy of
these reports. If any insufficiency is identified, the subproject owner will have to prepare one
Environmental Management Plan (EMP) with supplementary measures, subjected to
NAFOSTED prior review and approval. A commitment of MOU signed between subproject
owners and NAFOSTED PIU in allocating resources for implementing EMP is the condition for
grant/loan disbursement. The content of EMP can be found in ANNEX 3
Note: Project does not support any new construction work and the safeguard policy on Physical
Cultural Resources (OP4.11) is not triggered. However, during subproject implementation,
chance-find procedures shall be included into EA documents and contracts to guide the
sub-project owner and contractors on necessary step to be taken in case of finding archeological
artifacts. The chance-find procedures are described in ANNEX 4.
5.3 Public consultation and disclosure of EIA/EMP/EPC
Public consultation
During preparation of EIA/EMP/EPC, the subproject owners will conduct public consultation to
ensure that potential affected people understand subproject and their concern will be adequately
addressed via mitigation measures during subproject design, implementation and operation.
Concretely, during EIA preparation, the sub-project owner will consult commune-level People
Committee and representatives of residential community and organization which is directly
affected by the project. During EMP/EPC preparation, the subprojects owners will consult with
the potential affected people. The public consultation can be either in the form of questionnaire
or community meeting. The subproject owner will present potential affected people
negative/positive impacts of the subproject and proposed mitigation measures and monitoring
process as proposed in draft EIA/EMP/EPC and take their view into account.
The public consultation activities - including date, location, and publication form, comment from
consulted people and response from subproject owner - shall be documented in the final
EIA/EMP/EPC report.
Public consultation is required for enterprise but not for research institute because the
characteristics of research activities are unique and it is most likely that affected household
regarding to such is identified.
VIETNAM INCLUSIVE INNOVATION PROJECT – ENTERPRISE DEVELOPMENT AGENY
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Disclosure of EA documents
During sub-project preparation, all EIA/ EMP/ EPC for subprojects must be disclosed in a timely
manner, in an accessible place, in a form and language understandable to stakeholders.
In addition, a package including EIA/EMP/EPC final reports, approval documents and any other
environmental certificates will be disclosed at WB library (VDIC) in Hanoi before loan/grant
agreement.
5.4 Monitoring
During subproject/activity implementation, the mitigation measures outlined in EIA/EMP/EPC
should be monitored to ensure that they are implemented in a timely and adequately. In some
case, it is necessary to take additional measures to ensure that all arising impacts are adequately
addressed.
Internal monitoring
Each subproject owner should carry out internal monitoring during implementation. For EPC-
type project, the internal monitoring by subproject own staff is sufficient.
For EIA-type project, the subproject owner may use its own staff for monitoring if it is certified
as capable by PIU. In most cases, it needs to hire the consultant to carry out internal monitoring.
In this case, TOR for consultant shall be prepared by sub-project owner and approved by
NAFOSTED.
PIU monitoring
In addition to internal monitoring, the PIU environmental staff/consultant will monitor the
environmental and social safeguard compliance of subprojects on periodic basis as committed in
the EIA documents. Generally, it will be twice per year for EIA-type sub-project and one per
year for EPC-type subproject. The monitoring shall be conducted during implementation and 1st
year of sub-project operation phase.
5.5 Reporting and documentation
Reporting:
The subproject owner will prepare periodic reports on implementation of mitigation measures
and internal monitoring as scheduled in EIA/EMP/EPC reports. These reports shall be sent to
PIU under NAFOSTED prior to scheduled date of external monitoring by PIU.
The PIU will provide the bi-annual report on project implementation and safeguard compliance
and send them to WB for reviewing. Also, the PIU shall send the report to PMU for
documentation.
VIETNAM INCLUSIVE INNOVATION PROJECT – ENTERPRISE DEVELOPMENT AGENY
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Documentation
It is the responsibility of the sub-project owners to obtain any necessary licenses or permits
which is required approval of any Vietnamese environmental authorities during project
implementation and operation phases.
PIU and the sub-project owners are responsible for record and keep all safeguard documents
including Environmental and social safeguard checklist, Environmental Impact Screening Form,
confirmation on Public Disclosure, Licenses and permits, environmental monitoring report from
each subproject investment.
VIETNAM INCLUSIVE INNOVATION PROJECT – ENTERPRISE DEVELOPMENT AGENY
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Table 3: Summarization of Environmental Management Procedures for subproject under Component 1 and 2
Phase Subproject owners NAFOSTED -PIU WB
Subproject
identification
Step1: Screening
1.1 Prepare basic information and
submit to PIU under NAFOSTED for
screening.
1.1 Screening
- Screening to exclude subprojects
triggering Bank safeguard policies other
than OP/BP 4.01.
- Screen to categorize project as
IE-type, EIA-type, EPC-type or C-type
- Submit project information and
screening results to WB for reviewing
1.1 Review on random basis and
confirm the appropriateness of
NAFOSTED reviewing
1.2. If the project is determined as
EIA-type, prepare and submit to
NAFOSTED the report on its
institutional capacity to carry out
environmental safeguard
1.2 Assess the report on borrower
institutional capacity to carry out
safeguard requirement.
1.2 Review on random basis to
ensure the acceptability of
institutional capacity of
subproject owner
1.2 Require the sub-project owner to
prepare the EA documents
(EIA/EPC/EMP) corresponding to the
category of each subproject.
- For EIA subproject, require the
subproject owner to prepare the EIA
report.
VIETNAM INCLUSIVE INNOVATION PROJECT – ENTERPRISE DEVELOPMENT AGENY
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Phase Subproject owners NAFOSTED -PIU WB
- For EPC-type subproject, require the
subproject owner to prepare the EPC
- For EMP-type subproject, require the
subproject owner to prepare an EMP
- For C-type subproject, no further
environmental process is required
- If the subproject owner present a
recent approved EIA/EPC, conduct an
environmental due diligence and request
the sub-borrower to prepare an EMP as
necessary
Sub-project
preparation
Step 2: EA preparation
2.1 For EIA-type subproject, prepare
the TOR for EIA preparation and send
to PIU for review
2.1 Review the TOR submitted by
subproject owner. Send the TOR for WB
for random review
- Clear the content of TOR
2.1 Random on random basis
the TOR for EIA-subjected
project ensure that it is
acceptable
2.2 Prepare EIA/EMP/EPC as required
by GoV and WB regulations
Step 3: Public consultation and disclosure, approval of EA report
3.1 Conduct public consultation with
potential affected people about the
VIETNAM INCLUSIVE INNOVATION PROJECT – ENTERPRISE DEVELOPMENT AGENY
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Phase Subproject owners NAFOSTED -PIU WB
content of EIA/EMP/EPC
3.2 For EIA-type project, also consult
with commune/ward authorities
3.3 Incorporate inputs from public
consultation into the final
EIA/EPC/EMP report
3.4 Disclose the EIA/EMP/EPC report
at public place
Step 4: Finalization and Approval of EA report
4.1 Finalize EIA/EPC/EMP report,
submit to NAFOSTED for reviewing
4.1 Review the EIA/EMP/EPC, send to
WB for random review
4.1 Review on random basis to
ensure that it is acceptability
WB may review the first two
reports of each type: EIA, EPC,
EMP
4.2
- For subproject needed to prepare
additional EMP, send the EMP to
NAFOSTED for approval
- For EIA/EPC type: send the EIA/EPC,
acceptable by NAFOSTED to
appropriate authorities for approval.
4.2
- Approve the EMP
- Send the safeguard approval package to
WB for recording
4.2 Disclose the approval
package (approved report and
document) in Vietnam
Development Information
Center (VDIC) in Hanoi
VIETNAM INCLUSIVE INNOVATION PROJECT – ENTERPRISE DEVELOPMENT AGENY
Page 22
Phase Subproject owners NAFOSTED -PIU WB
Send the approval package to
NAFOSTED.
Sub-project
Implementation
Step 5: Monitoring and Reporting
- Implement the mitigation measures
via contractors
- Conduct internal monitoring on
contractor implementation of safeguard
requirement. Frequency: regular basis-
daily.
- Send the biannually safeguard
monitoring report to NAFOSTED
- Carry out monitoring on the
implementation of safeguard
requirements and internal monitoring
- Prepare the environmental monitoring
report and send to WB for review
- Review to ensure the
acceptability of the
environmental monitoring
report
- Carry out monitoring on
random basis during annual
supervision mission
VIETNAM INCLUSIVE INNOVATION PROJECT – ENTERPRISE DEVELOPMENT AGENY
31
6. Environment Management Procedures for upgrading activities for
institutions under Component 3
Preparation
During preparation period, the PMU staff/consultant under EDA will to prepare an EMP to
address any potential impacts associated with the upgrading activities of institutions under
component 3.
The content of EMP shall include brief description of upgrading activity, potential impacts
and relevant mitigation measures, monitoring plan, public consultation, institutional
arrangement and cost for environmental safeguard implementation. EMP template can be
found in ANNEX 3. The content of draft EMP must be consulted and agreed with beneficiary
institutions.
The mitigation measures as specified in the EMP generally should include those conducted in
during design, implementation and operation phases. The mitigation measures during detail
design shall be carried out by PMU/design consultant. The mitigation measures during
rehabilitation period shall be carried out by contractor while the beneficiary institutions shall
be responsible for carrying out mitigation measures during operation phase.
As the minor civil work/rehabilitation activities might cause impacts and nuisance to nearby
surroundings, generation of dust, noise, waste water, solid waste, traffic and labor safety.
These impacts needed to be avoid and mitigated through good construction practices. The
mitigation measures for impacts during minor construction/rehabilitation period are included
in the ECOPs (see ANNEX 5). They shall be carried out by contractor during
rehabilitation/construction period. The PMU shall include ECOPs into the bidding and
contract documents.
The PMU shall send the draft EMP to WB for prior review and then approve it. The final
approved EMP will be sent to WB for disclosed in WB library (VDIC). In addition, the
approved EMP will be disclosed at beneficiary institutions.
Note: Project does not support any new construction work and the safeguard policy on
Physical Cultural Resources (OP4.11) is not triggered. However, chance-find procedures
shall be included rehabilitation contracts to guide the contractors on necessary step to be
taken in case of finding archeological artifacts during upgrading of selective institutions. The
chance-find procedures are described in ANNEX 4.
Implementation
During implementation, the PMU environmental officer/consultant shall conduct monitoring
the contractor and equipment suppliers in implementing mitigation measures as specified in
the ECOPs. The PMU shall report on the safeguard implementation as a part of Progress
Report.
Operation
During the 1st year of operation, the PMU shall monitor the implementation of environmental
compliance by beneficiary institutions. The monitor will be carried out twice a year when
VIETNAM INCLUSIVE INNOVATION PROJECT – ENTERPRISE DEVELOPMENT AGENY
32
applicable and the PMU shall include the monitoring result in the Progress Report to WB for
review.
7. Capacity building and Training Plan
Based on actual demands, a capacity building and training program for relevant agencies is
established as shown in the table below. The cost for capacity building program is included in
cost for safeguard implementation.
Table 4: Proposed programs on capacity building on environmental management
Training content Objects Training time Responsibility Budget
Training on the
safeguard
implementation
EDAPMU
Safeguard staff;
PIU staff
Subproject
owners
Beneficiary
institutions
During
subproject’s
preparation stage
PMU in
coordination
with
Environmental
Consultant
A part of
environmental
consultant
contract
8. Estimated Cost for ESMF implementation
The estimated cost for ESMF implementation is a part of Project cost and is provided in
Table 5.
VIETNAM INCLUSIVE INNOVATION PROJECT – ENTERPRISE DEVELOPMENT AGENY
33
Table 5: Estimated cost for safeguard implementation
Description Time Unit cost Total
(USD)
NAFOSTED/PIU
PIU
environmental
staff/consultant
- Carry out environmental management for subprojects
under Component 1 & 2 including
+ Environmental screening
+ Review to ensure the adequacy of safeguard document
i.e. EIA/EPC/EMP prior to submission
+ Monitoring implementation of safeguard compliance
by subproject owners under component 1&2.
5 years
69915
EDA/PMU
Local
Environment
safeguard
specialist in
PMU
- Capacity building related to safeguard implementation
for PIU, PMU and beneficiaries staff.
- Preparation of EMP for institutions upgrading under
component 3
- Monitoring safeguard compliance by contractors and
beneficiary institutions under component 3
5 years
7000
TOTAL EXPENSES 78,915
9. Public Consultation and Disclosure of Project ESMF
During preparation of ESMF, meaningful consultations have been conducted with key
stakeholders of VIIP project including NAFOSTED, one potential PFI and EDA some
institutions i.e. Vietnam Academy of Science and Technology (VAST), National Institute of
Medical Materials (NIMM), National Hospital of Traditional Medicine (NHTM). Detailed of
the public consultation is shown in Table 6. The concerns/feedbacks from stakeholders have
been incorporated into the final ESMF.
At Project level, the final draft of the ESMF has been disclosed locally in NAFOSTED, EDA
and one potential PFI Offices and at Vietnam Development Information Center (VDIC) in
Vietnamese language and in the WB InfoShop in Washington DC in English language prior
to the appraisal mission.
VIETNAM INCLUSIVE INNOVATION PROJECT – ENTERPRISE DEVELOPMENT AGENY
34
Table 6: Public consultation and information disclosure of the ESMF
Objective Participants Time Consultation results
The first round
Dissemination of project
information; Collection of
environmental baseline
information; identification
of potential environmental
issues during the project
implementation
Representatives of
EDA, NAFOSTED,
NHTM, NIMM,
VAST, HUST
During number of meeting with
potential beneficiaries and
workshop Saturday 3/10/2012
at Workshop Woman Center
Hotel, Hanoi
Discussion
Dissemination of the
content first draft ESMF
Representatives of
EDA, NAFOSTED,
NHTM, NIMM,
VAST, HUST
Thursday 01/11/2012 at
workshop for comment on FS
including ESMF preparation in
Kim Boi Hotel, Hoa Binh
Agreement of the content
Dissemination of the
content first draft ESMF
Representatives of
EDA, NAFOSTED,
NHTM, NIMM,
VAST, HUST
During number of Meetings
with World Bank pre-appraisal
mission from November 5-15,
2012
Meeting note and Aide
Memoir
The second round
Disclosure of the second
draft ESMF
Public on website uploaded your news plus
attached file to
bussiness.gov.vn with follow
link: http://www.business.gov.v
n/newsevents.aspx?id=13068
Public awareness
Discussion about the
content second draft
ESMF
Representatives of
EDA, NAFOSTED,
NHTM, NIMM,
VAST, HUST
Workshop for reviewing final
draft FS including ESMF in
Yen Bai, Ba Vi, Hanoi, dated
12/12/2012-13/12/2012
Representatives of
participants agree with
content of second draft
ESMF.
Disclosure Final version
of ESMF
EDA, NAFOSTED, Via email dated 03/12/2013 Agreement of the content.
Officially written opinions
specific in reply email
VIETNAM INCLUSIVE INNOVATION PROJECT – ENTERPRISE DEVELOPMENT AGENY
35
ANNEXES
ANNEX 1: ENVIRONMENTAL AND SOCIAL SAFEGUARDS CHECKLIST
With all subprojects/activities under Component 1, 2 and 3 under VIIP, the EDA/NAFOSTED
environmental staff/consultant will do screening to determine the eligibility of the subproject.
The PMU/PIU environmental staff and/or consultant will complete checklist. By indicating “yes” to
any safeguard policy other than Environment Assessment – OP4.01, the project is considered as not
eligible
Note: if any policy is triggered by the sub-project, the project’s owner must indicate the
severity of the potential impact as instructed in the Table below. If not, the sub-project will be
considered as environmentally non-eligible.
Note: If any policy is triggered by the subproject, the project’s owner must indicate the severity of
the potential impact as instructed in the Table below. If not, the subproject will be considered as
safeguard ineligible.
Subproject Name:
SAFEGUARD
POLICY
Identification of Possible
Safeguard issue(s)
Please check one box: Provide your
response here,
if applicable:
Environmental
Assessment
Does the project have the
potential for adverse
environmental or social risks
and impacts in its area of
influence?
No
Yes
If yes, indicate here the
potential severity of the
impact and proposed
project design elements
that will help prevent
potential adverse impacts.
Natural
Habitats
The World Bank does not
finance projects that degrade
or convert critical habitats
(protected areas or sites
important for biodiversity).
Do the project activities have
the potential to cause
significant conversion (loss)
or degradation of non-critical
natural habitats? (The loss
can occur either directly (e.g.
construction activities) or
indirectly (through human
activities induced by the
project).
No Yes
If yes, indicate here either
proposed alternative site(s)
or if no alternative sites
are available, proposed
project design elements
that will help prevent
potential adverse impacts.
Pest
Management
Are any pesticides or
procurement of pesticide
equipment being financed by
the project?
No Yes
If yes, indicate the
proposed project design
elements (Integrated Pest
Management) that will help
prevent potential adverse
impacts. If yes, indicate
here proposed project
Does the project introduce
new pest management
practices or expand or alter
existing pest management
No
VIETNAM INCLUSIVE INNOVATION PROJECT – ENTERPRISE DEVELOPMENT AGENY
36
practices? design elements that will
help prevent potential
adverse impacts
Are there other project
activities that may lead to
substantially increased
pesticide use?
No
Does the project include the
manufacture or disposal of
environmentally significant
quantities of pest control
products?
No
Forests Does the project have the
potential to have an impact on
the health and quality of
forests or the rights and
welfare of people and their
level of dependence upon or
interaction with forests?
No Yes
If yes, indicate the potential
severity of the impact and
proposed project design
elements that will help
prevent potential adverse
impacts.
Does the project aim to bring
about changes in the
management, protection, or
utilization of natural forests
or plantations?
No Yes
If yes, indicate whether the
management will ensure
sustainability of the forest
resources.
Safety of Dams Are any project activities
related to the construction of
a large-scale dam?
No
Cultural
Property
Would project activities
likely adversely affect
physical cultural resources?
These could be temples,
burial sites, or archeological
sites.
No Yes
If yes, indicate the potential
severity of the impact and
proposed project design
elements that will help
prevent potential adverse
impacts.
Projects in
International
Waterways
Are project activities being
conducted in international
waterways?
No
If yes, please contact the
World Bank for further
information.
Projects in
Disputed Areas
Will the project be working
where there are different
countries that are claimants to
disputed areas?
No
If yes, please contact the
World Bank for further
information.
Involuntary
Resettlement
Is there any possibility that
project activities would
displace persons
involuntarily? Please note
that displacement includes
loss of land or other assets
caused by: (i) relocation or
loss of shelter; (ii) loss access
to assets in protected areas
resulting in adverse impacts
on livelihoods; (iii) loss of
income sources or means of
No Yes
If yes, indicate the potential
severity of the impact and
describe project activities
that would assist displaced
persons in their efforts to
improve or at least restore
their standards of living.
VIETNAM INCLUSIVE INNOVATION PROJECT – ENTERPRISE DEVELOPMENT AGENY
37
livelihood, whether or not the
affected people must move to
another location. If land is
acquired and no person is
involuntarily displaced, the
policy is not triggered.
Indigenous
Peoples (ethnic
minorities)
Would the project likely have
negative impacts on ethnic
minorities or have the
potential to bring positive
benefits to ethnic minorities?
No Yes
If yes, indicate the severity
of the potential impact
(positive or negative) and
proposed project design
elements that will help
prevent potential adverse
impacts or ensure
appropriate access to
positive benefits.
Date Screen by
(Full name and signature)
Verified by
(Sign and stamp by the PMU/PIU
director)
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38
ANNEX 2: ENVIRONMENTAL IMPACT SCREENING FORM
After referring to each sub-project proposal and their relevant “Environmental and Social Safeguards
check list, the PMU/PIU (please specify) and its consultant is required to fill in the Environmental
Impact Screening Form to determine the magnitude of positive and negative impacts that each
subproject can bring about and thus to decide if the subproject is environmentally eligible.
Sub-Project Name:
1. Determination of Subproject Type
EIA-type EPC-type EMP-type C-type
2. Reason for the subproject type characterization
Assessment of Potential impact caused by sub-project implementation: the magnitude of potential
impact and the ready level for designing the mitigation measures
Socio-environmental issue Yes No comment
Will the implementation and associated activities cause:
(Instruction: Where possible, give quantitative information
in “comments” column when the answer is “yes” for the
case that no mitigation measures applied FIRTST-PMU can
add questions at the end of this table and give the answer if
additional issues are identified.
1. Clearance of trees at construction sites, camps, or
storage areas?
2. Water pollution (increased turbidity due to construction
wastes or construction materials, fuels from construction
sites come into water bodies), or localized flooding due to
wastewater from construction site?
3. Noise, dusts and vibrations generated from construction
plants (e.g. noise from trucks) and construction activities
(e.g. pilling, concrete mixing etc)?
4. Generation of waste?
5. Landscape degradation at site exploited for filling
materials?
6. Increased land sliding potentials at excavated sites?
7. Traffic disturbance due to the transportation and
temporary loading of construction materials, and/or
construction activities?
VIETNAM INCLUSIVE INNOVATION PROJECT – ENTERPRISE DEVELOPMENT AGENY
39
8. Damages to crops, existing infrastructure?
9. Interruption of existing public services (irrigation, power
supply, telecommunication phone line etc)?
10. Safety risks to local community, particularly children,
and workers?
11. Limit access to water by local water users, or limit
access to other public services?
12. Graves, explosive materials, cultural/ archeological
objects are exposed?
13. Erosion during operation phase of rehabilitated
irrigation works?
14. Disrupt access to households?
15.etc
3. Conclusions
Is the subproject environmentally eligible?
Yes No
4. If there is any approved safeguard documents was obtained?
Yes No
If yes, please specify and provide the date of the obtained safeguard documents.
5. What further Environmental Assessment report should be prepared and getting approval by
the subproject owner?
EIA-type EPC-type EMP-type None
Date Verified and Screened by
Full name and signature of Staff/Consultant
VIETNAM INCLUSIVE INNOVATION PROJECT – ENTERPRISE DEVELOPMENT AGENY
40
ANNEX 3: Environmental Management Plan (EMP) Model
FOR
Inclusive Innovation Sub-Project
1. Sub-Project description
Provide pertinent background for parties who may conduct the SEMP, whether they are
government agencies/sponsors, consultants or NGOs. Include a brief description of the major
components of the proposed project, a statement about its need and objectives, the
implementing agency, a brief history of the project (including alternatives considered), its
current status and timetable, and the identities/natures of any associated projects. A summary
description of the environmental setting should be provided.
2. Applicable Environmental Legislations
Identify laws, regulations and guidelines likely to govern the conduct of the assessment or
specify the content of its report. They may include any or all of the following:
World Bank Operational Policy; i.e "Environmental Assessment; Public Consultation
and Information Disclosure and The World Bank’s Environmental, Health and Safety
National laws and/or regulations on environmental reviews and impact assessments;
Regional, provincial or communal environmental assessment regulations; and
EA regulations of any other financing organizations involved in the project.
Identify design or operating standards that project components must meet to be in
compliance with environmental safeguards. This will include, for example, air emission
standards and occupational health and safety requirements.
3. Overview of Adverse Impacts and Mitigate Measures
Summary of impacts: Predicted adverse environmental and social impacts (and any
uncertainties about their effects) for which mitigation is necessary should be identified and
summarized.
Description of mitigation measures: Each measure should be briefly described in relation to
the impact(s) and conditions under which it is required. These should be accompanied by, or
referenced to, designs, development activities (including equipment descriptions), operating
procedures, and implementation responsibilities. Proposed mitigation measures to facilitate
public consultation should be clearly described and justified.
VIETNAM INCLUSIVE INNOVATION PROJECT – ENTERPRISE DEVELOPMENT AGENY
41
The presentation of adverse impacts and mitigation measures can be as follows:
Activities Environmental
Impacts/Issue
Mitigating
Measures
Responsibility Date
(Start/End)
Design Phase
Sub-Project
implementation
phase
Sub-Project
Operation phase
4. Institutional Arrangements
Responsibilities for mitigation, monitoring, and supervision should be defined along with
arrangements for information flow, especially for coordination between agencies responsible
for mitigation. This is especially important for projects requiring cross-sectoral/Institutional
integration. In particular, the EMP specifies who is responsible for undertaking the
mitigating and monitoring measures, e.g., for enforcement of remedial actions, monitoring of
implementation, training, financing, and reporting. Institutional arrangements should also be
crafted to maintain support for agreed enforcement measures for environmental protection.
Where necessary, the EMP should propose strengthening the relevant agencies through such
actions as: establishment of appropriate organizational arrangements; appointment of key
staff and consultants; and, arrangements for counterpart funding and on-lending.
4.1 Organizations
The organizations in charge of implementation and supervision of the mitigation and
monitoring measures can be described via a chart. For example:
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4.2 Responsibilities
These stakeholders may be involved in the sub-project environmental management. The
responsibilities of the relevant stakes holders in each sub-project should be represented as
bellows
No Organization Responsibilities
1 Subproject owner
2 Design Engineer
3 PIU/PMU
4 Contractors/Equipment
Suppliers
5 Consultant
6 Environmental Consultant
7 Etc
5. Monitoring and Reporting
5.1 Description of monitoring program (where applicable)
The EMP identifies monitoring objectives and specifies the type of monitoring required; it
also describes performance indicators which provide linkages between impacts and
mitigation measures identified in the EA report, parameters to be measured, methods to be
The World Bank MPI Vietnam
PIU/NAFOSTED
PMU
Under EDA
Sub projects
Department of Natural
Resources &
Environment
(DONRE)
Equipment suppliers
and contractors (where
applicable)
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used, sampling location and frequency of measurements, detection limits (as appropriate)
and definition of thresholds to signal the need for corrective actions. Monitoring and
supervision arrangements should be agreed by the sub-project owner and PIU/PMU the
Bank and the borrower to: ensure timely detection of conditions requiring remedial measures
in keeping with good practice; furnish information and the progress and results of mitigation
and institutional strengthening measures; and, assess compliance with national and Bank
environmental safeguard policies.
MONITORING PLAN
What
parameter
is to be
monitore?
Where
is the
parameter
to be
monitore?
How
is the
parameter
to be
monitored/
type of
monitoring
equipment?
When
is the
parameter to
be monitored-
frequency of
measurement
or continuous
Standard
applied
Monitoring
Cost
What is the
cost of
equipment or
contractor
charges to
perform
monitoring
Responsibility Report to /
frequency
Time
(Start/End
Date)
5.2 Supervision of Contingency Plan Preparation, training activities (where applicable)
For example: contingency plan against fire risk
5.3 Environmental Compliance Framework
For example Compliance framework for equipment suppliers
6. Capacity Building/Training Plan (where applicable)
Organizer Course Participants Frequency Duration Content Budget
7 Budget
Cost estimates: These should be specified for both the initial investment and recurring
expenses for implementing all measures defined in the EMP, integrated into the total project
costs and factored into loan negotiations.
It is important to capture all costs – including administrative, design and consultancy, and
operational and maintenance costs – resulting from meeting required standards or modifying
project design.
8. Consultation and Public Disclosure
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Presenting the results of Consultation and Public Disclosure
9. Other Information
Include here lists of data sources, project background reports and studies, relevant publications, and other
items to which the consultant's attention should be directed.
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ANNEX 4: CHANCE-FIND PROCEDURES
Specific procedures are to be applied in case of archeological artifact finds. The
diagram below identifies steps to be taken. The sub-project owner will be responsible
for the overall coordination and reporting. The chance find procedures will be
included in all contracts and sub-project owner and contractors will be responsible to
implement them.
Archeological artifacts found during
sub-project implementation
(Contractor)
Temporarily stop implementation,
and install the protection fence,
immediately contact the sub-project
owner
All parties record the scene
Subproject owner report in writing
to Department of Culture,
Information and Tourism (DCIT)
Subproject owner shall also report
to NAFOSTED/EDA for
information
Implement next steps under
guidance of DCIT
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ANNEX 5: Environmental Code of Practice (ECOPs)
ISSUES/RISKS MITIGATION MEASURE
1. Dust generation/
Air pollution
The Contractor implement dust control measures to ensure that the generation of dust is minimized and is
not perceived as a nuisance by local residents, maintain a safe working environment, such as:
- water dusty roads and construction sites;
- covering of material stockpiles;
- Material loads covered and secured during transportation to prevent the scattering of soil, sand, materials,
or dust;
- Exposed soil and material stockpiles shall be protected against wind erosion.
2. Noise and
vibration
All vehicles must have appropriate “Certificate of conformity from inspection of quality, technical safety and
environmental protection” following Decision No. 35/2005/QD-BGTVT; to avoid exceeding noise emission
from poorly maintained machines.
3. Water pollution Portable or constructed toilets must be provided on site for construction workers. Wastewater from toilets as
well as kitchens, showers, sinks, etc. shall be discharged into a conservancy tank for removal from the site or
discharged into municipal sewerage systems; there should be no direct discharges to any water body.
Wastewater over permissible values set by relevant Vietnam technical standards/regulations must be
collected in a conservancy tank and removed from site by licensed waste collectors.
At completion of construction works, water collection tanks and septic tanks shall be covered and effectively
sealed off.
Do not allow waste, litter, oils or foreign materials into water sources
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Do not wash cars or machinery in natural water sources
A comprehensive listing of sources and location of wastewater discharge will be prepared and maintained
Appropriate operating procedure will be undertaken for minimization of wastewater (such as neutralizing
predisposal treatment, etc.)
4. Drainage and
sedimentation
The Contractor shall follow the detailed drainage design included in the construction plans, to ensure
drainage system is always maintained cleared of mud and other obstructions.
Areas of the site not disturbed by construction activities shall be maintained in their existing conditions.
5. Solid waste At all places of work, the Contractor shall provide litter bins, containers and refuse collection facilities.
Solid waste may be temporarily stored on site in a designated area approved by the Construction Supervision
Consultant and relevant local authorities prior to collection and disposal.
Waste storage containers shall be covered, tip-proof, weatherproof and scavenger proof.
No burning, on-site burying or dumping of solid waste shall occur.
Recyclable materials such as wooden plates for trench works, steel, scaffolding material, site holding,
packaging material, etc shall be collected and separated on-site from other waste sources for reuse, for use as
fill, or for sale.
If not removed off site, solid waste or construction debris shall be disposed of only at sites identified and
approved by the Construction Supervision Consultant and included in the solid waste plan. Under no
circumstances shall the contractor dispose of any material in environmentally sensitive areas, such as in
areas of natural habitat or in watercourses.
6. Chemical or
hazardous wastes
Used oil and grease shall be removed from site and sold to an approved used oil recycling company.
Used oil, lubricants, cleaning materials, etc. from the maintenance of vehicles and machinery shall be
collected in holding tanks and removed from site by a specialized oil recycling company for disposal at an
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approved hazardous waste site.
Store chemicals in safe manner, such as roofing, fenced and appropriate labeling.
Do not use unapproved toxic materials, including lead-based paints
7. Disruption of
vegetative cover
and ecological
resources
Areas to be cleared should be minimized as much as possible.
The Contractor shall remove topsoil from all areas where topsoil will be impacted on by rehabilitation
activities, including temporary activities such as storage and stockpiling, etc; the stripped topsoil shall be
stockpiled in areas agreed with the Construction Supervision Consultant for later use in re-vegetation and
shall be adequately protected.
The application of chemicals for vegetation clearing is not permitted.
Prohibit cutting of any tree unless explicitly authorized in the vegetation clearing plan.
When needed, erect temporary protective fencing to efficiently protect the preserved trees before
commencement of any works within the site.
The Contractor shall ensure that no hunting, trapping shooting, poisoning of fauna takes place.
8. Traffic
management
Before construction, carry out consultations with local government and community and with traffic police.
Significant increases in number of vehicle trips must be covered in a construction plan previously approved.
Routing, especially of heavy vehicles, needs to take into account sensitive sites such as schools, hospitals,
and markets.
Installation of lighting at night must be done if this is necessary to ensure safe traffic circulation.
Place signs around the construction areas to facilitate traffic movement, provide directions to various
components of the works, and provide safety advice and warning.
Employing safe traffic control measures, including road/rivers/canal signs and flag persons to warn of
dangerous conditions.
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Avoid material transportation for construction during rush hour.
Signpost shall be installed appropriately in both water-ways and roads where necessary.
9. Interruption of
utility services
Provide information to affected households on working schedules as well as planned disruptions of
water/power at least 2 days in advance.
Any damages to existing utility systems of cable shall be reported to authorities and repaired as soon as
possible.
10. Restoration of
affected areas
Cleared areas such as disposal areas, site facilities, workers’ camps, stockpiles areas, working platforms and
any areas temporarily occupied during construction of the project works shall be restored using landscaping,
adequate drainage and revegetation.
Soil contaminated with chemicals or hazardous substances shall be removed and transported and buried in
waste disposal areas.
11. Worker and
public Safety
Training workers on occupational safety regulations and provide sufficient protective clothing for workers in
accordance with applicable Vietnamese laws.
Install fences, barriers, dangerous warning/prohibition site around the construction area which showing
potential danger to public people.
The contractor shall provide safety measures as installation of fences, barriers warning signs, lighting system
against traffic accidents as well as other risk to people and sensitive areas.
If previous assessments indicate there could be unexploded ordnance (UXO), clearance must be done by
qualified personnel and as per detailed plans approved by the Construction Engineer.
Do not use of alcohol by workers during work hours
Do not work without safety equipment (including boots and helmets)
12. Communication The contractor shall coordinate with local authorities (leaders of local communes, leader of villages) for
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with local
communities
agreed schedules of construction activities at areas nearby sensitive places or at sensitive times (e.g.,
religious festival days).
Copies in Vietnamese of these ECOPs and of other relevant environmental safeguard documents shall be
made available to local communities and to workers at the site.
Disseminate project information to affected parties (for example local authority, enterprises and affected
households, etc) through community meetings before construction commencement.
Provide a community relations contact from whom interested parties can receive information on site
activities, project status and project implementation results.
Inform local residents about construction and work schedules, interruption of services, traffic detour routes
and provisional bus routes, blasting and demolition, as appropriate.
Notification boards shall be erected at all construction sites providing information about the project, as well
as contact information about the site managers, environmental staff, health and safety staff, telephone
numbers and other contact information so that any affected people can have the channel to voice their
concerns and suggestions.
Do not create nuisances and disturbances in or near communities
13. Chance find
procedures
If the Contractor discovers archeological sites, historical sites, remains and objects, including graveyards and/or
individual graves during excavation or construction, the Contractor shall:
Stop the construction activities in the area of the chance find;
Delineate the discovered site or area;
Secure the site to prevent any damage or loss of removable objects. In cases of removable antiquities or
sensitive remains, a night guard shall be arranged until the responsible local authorities or the Department
of Culture and Information takes over;
Notify the Construction Supervision Consultant who in turn will notify responsible local or national
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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.