Formulation and approval of aid list Screening Identify potential environmental and social impacts potentially generated from proposed projects/programs. Develop strategy/plan to address or mitigate the identified project-related impacts. Preliminary analysis of environmental and social impacts is included in a section of DPO* document. Preparation, appraisal, approval EIA preparation - EIA appraisal Confirm the project category for EA preparation as guided in GoV Regulation (Decree 18/2015/ND-CP on Environmental Protection Planning, Strategic Environmental Assessment, Environmental Impact Assessment, and Environmental Protection Plans) and/or consult with relevant environmental authorities for guidance. Prepare EIA report or EPP in accordance with Decree 18/2015/ND-CP and Circular 27/2015/TT-BTNMT on guiding implementation of Decree 18/2015/ND-CP. Develop an Environmental Management and Monitoring Program (EMMP) as a part of an EIA. Detailed EIA and/or EPP approved. Summary of EIA or EPP is presented as one chapter in Feasibility Study (FS) report. Negotiation and signing of concessional loans. No action required Not required Implementation Supervision of EIA or EPP compliance Project owner and its representative (normally PMU) are responsible for implementing the project according to agreements derived from the EIA or EPP reports. Environmental management agency is responsible for inspecting and supervising implementation of commitments stated in the project EIA of EPP. Report on implementation of EMMP/sampling program prepared (if required). Completion Final evaluation Before operation of a project can begin, the relevant state environment authority reviews/inspects the project to ensure that the project has implemented all requirements for environmental protection as laid out in its EIA and/or EPP. Certificate for completion of mitigation construction * Detailed outline of a DPO is described in Annex II A- Decree 38/2013. ** Content of investment project documents (Feasibility study report) is referred to in Annex III A- Decree 38/2013
Table . Environmental Assessment Process of the GoV and the World Bank Indicative Timing of EA Process World Bank Environmental Safeguards Requirements Government Environmental Management Requirements Responsibility of Government Responsibility of the World Bank Identification (3 - 12 months) Shortlist of suitable investment proposals is requested from GoV for initial review. Potential Safeguard Policy issues associated with the project identified. Environmental category of the project assigned. Safeguards instruments determined. Draft of detailed project outline (DPO), as required by the GoV on Official Development Assistance, which includes one section on summary of EA, is prepared. Assign environmental and social staff to work with the WB team. Provide the WB team with all available information/data on the potential project/subprojects related to project location, scope, and type of investment, and sensitivity (including any pre-feasibility studies, EIAs, environmental protection plans (EPPs), etc.). Conduct site visits and carry out meetings with stakeholder on potential environmental impacts. Conduct and complete internal project concept note (PCN) stage safeguard review process that includes: Screening project for (1) major potential environmental and social issues, (2) identifying Safeguard Policies to be triggered, and (3) categorizing the project; Assessing safeguard capacity of the client; Advising the Borrower on the World Bank’s environmental procedures and requirements, including consultation and disclosure; and Advising the Borrower on the type of EA report or safeguard instruments to be prepared (e.g. EIA, ESMF, EMP, etc.) Preparation (10 months – three years) For Category A projects: i) TORs for full EIA reviewed and cleared by the World Qualified consultant for preparing EA reports and other documents selected. For Category A project: Conduct at least 2 public consultations as required by the World Bank. Review, provide comments on, and the draft TORs for Category A projects. Conduct site visits and join stakeholder meetings (if necessary) for addressing
Bank; ii) at least two public consultations, one shortly after environmental screening and before the TORs is finalized and one when the draft EIA is prepared; iii) a separate Executive Summary of the EIA to be submitted to the Board. For Category B projects: at least one public consultation. EA instruments (EIA/ESMF/EMP) prepared meeting government and WB requirements. Establish timeline and requirements for independent (e.g., expert panel for high risk Category A projects) or third-party monitoring (audits) when anticipated. Disclosure of all relevant safeguards TOR for EA satisfactory to the Bank. Budget for the contracts (if paid by counterpart fund) is available. EA (EIA, EPP) meeting the government and the WB requirements and approved by the government. Feasibility study meeting both government and WB requirements. Distribution of the EA summary (in English) to the Board of Executive Directors of the WB. Clear of Borrower’s safeguards monitoring and reporting requirements in the Project Operations Manual. For Category B: Prepare TORs as appropriate for EIA/ESMF/EMP. Ensure that the TORs are technically reviewed by the World Bank team. Hire consultant for prepare EA reports, including consultation during the process. Review and ensure quality of the draft EA reports. Ensure that EA reports approved by relevant authorities. Ensure that all relevant draft safeguard instruments are properly disclosed locally as required by WB. Request WB to disclose the draft safeguards instruments in Vietnam at the InfoShop. Officially submit all EA reports to WB for review and clearance. Officially submit the EA reports to relevant agencies for appraisal and approval environmental issues/concerns. Provide technical assistance during EA preparation, including guidance to Borrower on the EA content and public consultation. Review, provide comments on, and ensure quality of the EA reports. Consider the Borrower’s institutional capacity to implement safeguards requirements and design project accordingly to enhance capacity where needed. For a Category A and non-transferred project: Send EA reports to Regional Safeguard Secretariat (RSS) for review and final clearance. For a Category A project: the Executive Summary (in English) of the EIA to the Board before the departure of the appraisal mission. Help the Borrower to disclose the project and final safeguards instruments at the InfoShop.
instruments locally and at the InfoShop before start of appraisal mission and 120 days before the Board date. World Bank clearance of all EA reports if they are acceptable to the World Bank before the departure of the appraisal mission. If improvement of EA reports is needed World Bank’s conditional clearance is issued. of Natural Resources and Environment - (MONRE/ local authorities at provincial or district level). Finalize the EAs reports taking into account the World Bank’s comments and send back to the World Bank for its final review and clearance. Make proper final disclosure of all EA reports locally in accordance with the World Bank requirements. Appraisal (1 – 3 months) The EA reports finalized and acceptable to the World Bank before the end of the appraisal mission, if conditional clearance was issued to the Borrower before the appraisal. Final EA studies properly disclosed locally at project sites (in Vietnamese),and at the InfoShop (in EA reports approved by relevant authorities (Ministry of Natural Resources and Environment (MONRE)/Local government) Proper disclosure of final EAs reports in the project area Finalize all EA reports based on the conditions of their conditional clearance by the World Bank. Ensure that all relevant final safeguard instruments are properly disclosed locally as required by WB. Send the World Bank confirmation on disclosure of final EA reports. Request WB to disclose the final safeguards instruments Review the EA studies and provide comments (if any) to ensure that the instruments are consistent with WB safeguard policies. Ensure that EA reports are properly revised and finalized, and clear the EA reports if they are satisfactory. Ensure that final EA reports are properly disclosed locally and at the InfoShop. Ensure that safeguards monitoring and reporting requirements included in the Project Operations Manual.
Disclosure Before the World Bank proceeds to project appraisal the EA report must be made available at public place accessible for project-affected groups and local NGOs. Once the World Bank officially receives the report, it will make the EA report in English available to the public through the Infoshop. After an EIA report is approved, the project owner shall formulate, approve and publicly display its environmental management plan at the office of the commune-level People’s Committee of the locality in which consultation of the community is made for people’s information, examination and oversight. (Article 16, Decree Follow the World Bank’s Policy on Access to Information Policy in disclosure of project information, including EA instruments. Independent Expert For category A project, the Borrower retains independent EA experts not affiliated with the project to out EA. For category A projects of high risk or multi-dimensional environmental concerns, the Borrower should also engage an advisory panel of independent, internationally recognized environmental specialists to advise on aspects of the project relevant to EA. Experts/consulting firm will be selected through bid process under strict observation of the World Bank. Not regulated in Vietnam policies. Project owner shall make, or hire an institution meeting the conditions provided in Clause 1, Article 13 (Decree 18/2015/ND-CP) to prepare an EIA report. Project owner or consulting service provider must fully meet the following conditions: (i) Having staff specialized in environment with university or higher degrees; (ii) Having staff holding university or higher degrees and certificate on EIA in the fields relevant to the project; (iii) Having foundations and special-use devices for measuring, taking, processing, and analyzing environmental samples, which meet technical requirements. In case of unavailability of qualified special-use devices, having a contract to hire a capable institution. Follow the World Bank requirements to avoid conflict of interest
Content of EIA report Category A project contains the following major contents: Should be in line with OP 4.01, Annex B - Content of an Environmental Assessment Report for a Category A Project. Category B EIA reports typically follow similar of contents as Category A. Category II and III Projects contain the following major contents: Should be in line with Circular For Category B projects, follow the government EA regulation. For Category A projects, two options exist: i) follow two separate EIA outlines of the World Bank and the Government; ii) follow then government EIA format with incorporation of the World Bank requirements in alternative analysis, cumulative impact assessment, public consultation and disclosure, and EMP requirements. EA supervision During project implementation, the World Bank supervises the project’s environmental aspects on the basis of the environmental provisions and the Borrower’s reporting arrangement agreed in the loan agreement and described in the other project documentation, to determine whether the Borrower’s compliance with environmental covenant (primarily with EMP) is satisfactory. If compliance is not satisfactory, the World Bank will discuss with the Borrower action necessary to comply. The local DONRE is entrusted to supervise the environmental compliance of the project. By the end of project construction the Environmental Management Agencies will coordinate with Construction Management Agencies to supervise the compliance of environmental management activities stated in EA study. Project environmental management system to be established to monitor and supervise safeguards compliance during implementation. Follow requirements in project Loan Agreement, EMP, and contract with contractor to monitor and supervise safeguards compliance.
Table . The typical environmental and social impacts and mitigation measures of energy efficiency improvement subprojects Energy efficiency improvement project Environmental and social impacts Mitigation measures Projects related to energy systems Replace the conventional lighting system by energy efficiency lighting system (ex: energy saving lamp, LED, etc.) In construction phase: Safety issues during the installation of new equipment i.e. work at height, electricity shock, etc. Disposal of hazardous waste (light tubes); and solid waste during the installation of new lighting system In operation phase Discharge hazardous waste (fluorescent tubes) Save in energy consumption during production process resulting in lessen natural resource save and conservation and reduce total annual GHG. In construction phase: Waste management, safety measures as described in the ECOPs. Hazardous waste should be identified, labeled and stored in a safe place, then transferred to licensed organization for treatment according to hazardous management requirement. In construction phase: Issue Operation manual and safety procedures. Waste management procedures shall be in place. Replace the conventional cooling system by the system that apply inverter In construction phase: Electrical waste. Discharge refrigerant (HCFC) from replaced air-conditional equipment. Safety issues during the installation of new equipment In operation phase Electrical waste; In construction phase: management, safety measures as described in the ECOPs. Hazardous should be identified, labeled and stored in a safe place, then transferred to licensed organization for treatment according to hazardous management requirement. In operation phase: Waste management measures and procedure shall be in place. Hazardous waste should be
Projects related to use of Renewable Energy Replace the input chemical, materials in the regards of energy saving (ex: use enzyme in dye industry; use by-product from agriculture and the bio-products as the decomposition agent in pulp and paper industry, solar, wind etc). Pre-construction Land expanded acquisition for storage, fuel handling and other facilities; In construction Risks of labour safety; Discharge waste, noise emission, chemicals during dismount old, construction and install new equipment. In operation phase Reduce pollutants in air emission Discharge of chemicals which are less polluted and less toxic than the original technology – Increases fire and explosive and chemical leakage risk. Reduce quantity of materials. Save energy for heating process and reduce heat loss. Promote the initiatives and technical and technological improvements during production. Pre-construction Make compensation and resettlement action conformed to National relevant regulations and WB’s OP/BP 4.10, 4.12 with adequate budget for conducting necessary activities. In construction phase: Mitigation measures as described in the ECOPs In operation Install treatment system for the new type of air pollutant. Frequent maintenance of air treatment system and monitoring to ensure emission will complied with application regulation. Safety measures, Emergency response for explosion, chemical leakage situation shall be in place. Solid waste shall be collected and disposed appropriately
Adjust the product quality with the energy saving purpose (ex: adjust the white level of paper to reduce energy consumption, etc) In operation Reduce quantity of input materials. Reduce amount of solid waste and discharged chemicals. Discharge solid waste/chemical that less polluted and less toxic. In operation phase Solid waste and discharge chemicals shall be collected and disposed appropriately Replace fossil fuel by renewable energy sources (ex: energy, bio-fuel, waste oil for clinker kiln, coal-additives energy for thermal power industry, etc.) Pre-construction Land expanded acquisition for storage, fuel handling and other facilities; In construction phase: Risks of labour safety; Discharge waste, noise emission, chemicals during dismount old, construction and install new equipment. In operation phase Reduce pollutants emission (air and waste water) Discharge solid waste/chemicals that are less polluted and toxic Reduce quantity of materials. Increases fire and explosive and chemical Pre-construction Make compensation and resettlement action plans conformed to National relevant regulations and WB’s OP/BP 4.10, 4.12 with adequate budget for conducting necessary activities. In construction phase: Mitigation measures as described in the ECOPs In operation Install waste treatment (system for the new type of pollution. Frequent maintenance of treatment system and monitoring to ensure emission/discharge will comply with application regulation. Solid waste and chemicals are collected and
2.6. EIA/EMP/EPP (if any) approval/clearance EIA/EMP cleared by PFIs and/or WB EIA/EPP approved by appropriate local authorities WB will clear the EIA report of all category A subproject. WB will selectively provide clearance for EMPs of certain category B subprojects Local authorities Monitored by PFI for EIA/EPP/RP approval 3. Sub-project bidding 3.1. Include mitigation measures and/or requirements in approved EIA/EMP/EPP into bidding document - Include mitigation measures and requirements into rehabilitation document and contract (if any) - Include mitigation measures/requirements into equipment supplier contract (if any) - Include mitigation measures/requirements into construction supervision bidding document and contract (if any) IEs Monitored by PFIs, PMB Random check by WB 4. Implementation Implement mitigation measures Contractor/IEs Monitored by PFIs, local authorities, PMB Internal monitored by environmental consultancy and construction supervision consultant (CSC) IEs Random check by WB out internal environmental monitoring and supervision on daily basis IEs and CSC Monitored by PFIs out external periodic environmental monitoring PMB, PFIs, independent consultant of IEs on periodic Periodically check by WB
basis Collect and record environmental licenses and permits necessary IEs Monitored by PFIs, PMB Random check by WB Report on sub-project environmental compliance to PFIs for review. Environmental consultancy of IEs Reviewed by PFIs, Random by WB Report on whole project environmental compliance to WB and PMB for review PFIs Reviewed by WB and PMB
products? Forests OP/BP 4.36 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 here 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 for No Yes
a large-scale dam? Physical Cultural Resources OP/BP 4.11 Would project activities likely adversely affect physical cultural resources? These could be temples, burial sites, or archeological sites No Yes If Yes, indicate here proposed project design elements that will help prevent potential adverse impacts Projects in international Waterways OP/BP 7.50 Are project activities being conducted in international waterway No Yes If Yes, please contact to the Bank for further information Projects on Disputed Area OP/BP 4.37 Is any of project activities is conducted in a disputed area No Yes If Yes, please contact to the Bank for further information
Annex 4. Environmental Code of Practice (ECOPs) (Adapted for VEEIE from standardized ECOPs; and the World Bank General Environmental Health and Safety Guidelines of the World Bank (see Annex 7 for details) – funded small work project in Vietnam). Part 1: Construction contractor’s responsibility ISSUES/RISKS MITIGATION MEASURE Applicable Standards 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 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 comply with Vietnamese regulations controlling allowable emission limits of exhaust gases. Vehicles in Vietnam must undergo a regular emissions check and get certified named: “Certificate of conformity from inspection of quality, technical safety and environmental protection” following Decision No. 35/2005/QD-BGTVT; There should be no burning of waste or construction materials (e.g. Bitumen, etc.) on site. QCVN 13: 2009/BTNMT: National technical regulation on ambient air quality TCVN 6438-2005: Road vehicles. Maximum permitted emission limits of exhaust gas. No. 35/2005/QD-BGTVT on inspection of quality, technical safety and environmental protection; TCVN 6438-2005: Road vehicles. Maximum permitted emission limits of exhaust gas. No. 35/2005/QD-BGTVT on inspection of quality, technical safety and environmental protection; QCVN 05:2013/BTNMT: National technical regulation on ambient air quality The WBG General Environmental Health and Safety Guidelines The EHS Guidelines and Industry Sector Guidelines and vibration All vehicles must have appropriate “Certificate of conformity from inspection of quality, technical safety and environmental protection” following Decision No. to avoid exceeding noise emission from poorly maintained machines. Vehicles in Vietnam must undergo a regular emissions check and get certified named: “Certificate of conformity from inspection of quality, technical safety and environmental protection” following Decision No. 35/2005/QD-BGTVT; QCVN 26:2010/BTNMT: National technical regulation on noise QCVN 27:2010/BTNMT: National technical regulation on vibration The WBG General Environmental Health and Safety Guidelines