Project Management Unit for Agricultural

Environmental and Social Impact Assessment Report (ESIA)

LAO CAI PEOPLE'S COMMITTEE PROJECT MANAGEMENT UNIT FOR AGRICULTURAL

Public Disclosure Authorized WORKS INVESTMENT AND RURAL DEVELOPMENT

VIET NAM REHABILITATION AND SAFETY

Public Disclosure Authorized IMPROVEMENT PROJECT (WB8)

ENVIRONMENTAL AND SOCIAL IMPACT ASSESSMENT (ESIA) LAO CAI DAM REHABILITATION AND SAFETY

Public Disclosure Authorized IMPROVEMENT SUBPROJECT

Public Disclosure Authorized

Lao Cai, October 2018 0

Environmental and Social Impact Assessment Report (ESIA)

LAO CAI PEOPLE'S COMMITTEE PROJECT MANAGEMENT UNIT FOR AGRICULTURAL WORKS INVESTMENT AND RURAL DEVELOPMENT

VIET NAM REHABILITATION AND SAFETY IMPROVEMENT PROJECT (WB8)

ENVIRONMENTAL AND SOCIAL IMPACT ASSESSMENT (ESIA) LAO CAI DAM REHABILITATION AND SAFETY IMPROVEMENT SUBPROJECT

PROJECT OWNER CONSULTANT The Project Management Unit for Halcom VietNam Agricultural Works Investment and Rural Development of Lao Cai Province

Lao Cai, October 2018 1

Environmental and Social Impact Assessment Report (ESIA)

CONTENT ABBREVIATIONS ...... 5 LIST OF TABLES ...... 6 LIST OF FIGURES ...... 7 EXECUTIVE SUMMARY ...... 8 CHAPTER 1. GENERAL INTRODUCTION ...... 13 1.1 Approaches and methodology ...... 14 1.2. Preparation of ESIA report ...... 17 CHAPTER 2. SUBPROJECT DESCRIPTION ...... 18 2.1. Objectives of Subproject ...... 18 2.2 Geographical location of Suproject ...... 18 2.3. Status of works and construction solutions ...... 19 2.4 Auxiliary works ...... 28 2.5 The transportation distance and mobilization of vehicles, machinery and manpower for construction ...... 31 2.6 Estimated activities before construction ...... 35 2.7 Material transportation plan ...... 35 2.8 Operation and maintenance activities ...... 35 2.9 Dam safety plan ...... 35 2.10. Time and cost of implementation ...... 37 CHAPTER 3. POLICY, LEGAL AND ADMINISTRATIVE FRAMEWORK ...... 38 3.1. Government’s Regulations ...... 38 3.2. Regulations of World Bank ...... 41 CHAPTER 4. NATURAL, SOCIO-ECONOMIC CONDITIONS AND ENVIRONMENTAL STATUS ...... 50 4.1. Natural conditions ...... 50 4.1.1. Geographical locations ...... 50 4.1.2. Topographic and hydrographical conditions ...... 52 4.1.3. Climate ...... 52 4.1.4. Extreme weather phenomenon ...... 53 4.1.5. Biodiversity ...... 54 4.2. Social and economic conditions ...... 56 4.2.1 Occupational structure...... 56 4.2.2 Income ...... 57 4.2.3 Water and environment sanitation...... 58 4.3. The technical infrastructure in the subproject area ...... 61 2

Environmental and Social Impact Assessment Report (ESIA)

4.3.1. Traffic system ...... 61 4.3.2. Hydrological and water supply system ...... 61 4.3.3. Communications...... 62 4.3.4. Waste collection system ...... 62 4.4. Environmental status ...... 63 4.4.1 Air environment, noise and vibration ...... 63 4.4.2 Water Environment ...... 64 4.4.3 Soil environment ...... 65 4.5. Special effects and sensitive works ...... 66 CHAPTER 5. ASSESSMENT OF ENVIRONMENTAL AND SOCIAL IMPACTS ...... 70 5.1. Types and scale of impacts...... 70 5.2. Environment and social positive impacts ...... 74 5.2.1. Impact on society ...... 74 5.2.2. Impacts on environment ...... 74 5.3 Potential negative environmental and social impacts ...... 75 5.3.1 Preparation phase ...... 75 5.3.2 Impact during construction...... 78 CHAPTER 7. ENVIRONMENTAL AND SOCIAL MANAGEMENT PLAN ...... 105 7.1. Objectives ...... 105 7.2. Mitigation measures ...... 105 7.2.1. Mitigation measures during the preparation phase ...... 105 7.2.2. Mitigation measures during the construction phase ...... 107 7.2.2.2 Mitigation measures for specific impacts on sensitive works ...... 123 Mitigation measures for impacts on sensitive works ...... 133 7.3. Organization of implementation ...... 134 7.2.1. Project management ...... 134 7.2.2. Roles and responsibilities for environmental and social safety management ...... 135 7.4. Environment compliance framework ...... 139 7.4.2.Contractors’environmentaland social safeguard staff ...... 140 7.4.3 Social and environment in the construction phase ...... 141 7.4.4. Compliance with contract and legal requirements ...... 141 7.4.5. Reporting organization ...... 142 7.5. Grievance redress mechanism ...... 143 7.5.1. Procedures for complaints and settlement ...... 143 7.5.2. Contractors and Construction Supervision Consultant ...... 144 7.5.3. World Bank’s grievance redress mechanism ...... 145 3

Environmental and Social Impact Assessment Report (ESIA)

7.6. ESMP implementation plan ...... 146 7.6.1. Contractor's Environmental and Social Management Plan ...... 146 7.7 Capacity building and training ...... 147 7.7.1 Training on safety policy...... 147 7.7.2 Training on occupational safety and health...... 147 7.7.3 Orientation of visitors...... 147 7.7.4 Training new contractors and new workers ...... 147 7.7.5 Training on basic occupational health and safety ...... 148 7.8 Environmental monitoring plan ...... 148 7.8.3 Dam safety monitoring ...... 150 7.7. Estimated cost ...... 150 CHAPTER 8. COMMUNITY CONSULTATION AND INFORMATION DISSEMINATION161 8. 1. Purpose and method of consultation ...... 161 8.2. Consultation process ...... 162 8.2.1. Brief description of consultation process at commune/town level ...... 164 8.2.2. Summary ofconsultationswith community directly affected by Subproject ...... 165 8.3. Consultation results ...... 166 8.3.1. Comments from Ward/Commune People's Committees and local mass organizations ...... 166 8.3.2.Opinions of communities ...... 168 8.4. Commitment of the Subproject Owner ...... 173 8.5.Dissemination of information...... 174 CONCLUSIONS AND RECOMMENDATIONS ...... 175 1. Conclusions ...... 175 2. Recommendations ...... 175 APPENDIX 1- REFERENCES ...... 176 APPENDIX 2. CONTENT AND COST OF TRAINING AND CAPACITY BUILDING ...... 177 APPENDIX 3. COST ESTIMATION OF ENVIRONMENTAL MONITORING IN CONSTRUCTION PHASE178 APPENDIX 4. MINUTE OF COMMUNITY CONSULTATION ...... 180 APPENDIX 5. CONSULTATION PICTURES ...... 182 APPENDIX 6. ENVIRONMENTAL MONITORING PICTURES AND ANALYSIS SAMPLING ...... 184 APPENDIX 7. CONSUTATION DOCCUMENT ...... 185 APPENDIX 8. RESULTS OF ENVIRONMENTAL QUALITY ANALYSIS IN 06 RESERVOIR AREAS...... 194 APPENDIX 9. ENVIRONMENTAL QUALITY MONITORING DIAGRAM ...... 208 APPENDIX 10. DETAILS OF CONSTRUCTION DESIGN COMPONENTS AT 06 RESERVOIRS ...... 214 APPENDIX 11: GENDER ACTION PLAN ...... 237 APPENDIX 12: TERMITE TREATMENT PROCEDURE ...... 240 4

Environmental and Social Impact Assessment Report (ESIA)

ABBREVIATIONS

BOD Biochemical Oxygen Demand CPO Central Project Office (MARD) CSC Construction Supervision Consultant DARD Department of Agriculture and Rural Development DO Dissolved Oxygen DONRE Department of Natural Resources and Environment EIA Environmental Impact Assessment ECOP Environmental Codes of Practice EMDP Ethnic Minority Development Plan EMP Environmental Management Plan ESMF Environmental and Social Management Framework GOV Government of Vietnam IPM Integrated pest management MARD Ministry of Agriculture and Rural Development OP Operational Policy of the WB PPMU Provincial Project Management Unit QCVN National Technical Regulation RAP Resettlement Action Plan RPF Resettlement Policy Framework TCVN National environmental standard TOR Terms of Reference WB World Bank

Environmental and Social Impact Assessment Report (ESIA)

LIST OF TABLES Table 1. The list of specialists ...... 17 Table 2. Summary of current information of reservoirs and Subproject’s construction works ..... 19 Table 3. The status of auxiliary works in 06 reservoirs ...... 28 Table 4. Distance and road for material transportation to construction works ...... 31 Table 5. List of vehicles and machinery mobilized for construction ...... 32 Table 6. The implementation plan at 06 reservoirs ...... 37 Table 7. Summary of environmental assessment processes of the WB & GOV ...... 45 Table 8. Geography of Subproject’s districts ...... 50 Table 9. Statistics of landslide density and landslide points based on the administrative boundaries of Lao Cai ...... 53 Table 10. The ecology in 06 reservoirs ...... 55 Table 11. The average income per capita in the subproject communes ...... 58 Table 12. Summary of socio-economic situation in the sub-project construction area ...... 59 Table 13. The status of waste collection sites in 04 subproject districts...... 63 Table 14. Description of particular works in the reservoir area ...... 66 Table 15. The criteria for classification of negative impacts ...... 70 Table 16. Types and levels of negative impacts of Lao Cai Subproject ...... 72 Table 17 The subproject investment in reservoir management roads ...... 74 Table 18. Summary of land acquisition by the Subproject ...... 76 Table 19. Summary of affected crops and trees ...... 76 Table 20 Number of AHs and temporarily acquired land by the Subproject ...... 77 Table 21. Impact of temporary water cut during construction ...... 79 Table 22 Estimated working volume in construction phase ...... 80 Table 23. Diffusion of dust from earthworks ...... 80 Table 24. Dust generated by internal combustion engine ...... 81 Table 25. Number of vehicle turns transporting for construction ...... 81 Table 26. The emission load generated by transportation ...... 82 Table 27. The forecast of dust and emissions from vehicles ...... 83 Table 28. The level of noise pollution of construction machine ...... 84 Table 29. The allowed noise levels in the workplaces ...... 85 Table 30. The vibration levels of some construction equipment ...... 85 Table 31. Permissible vibration acceleration at work ...... 85 Table 32. Permissible vibration value at work ...... 86 Table 33. The concentration of pollutants in construction wastewater ...... 86 Table 34. The pollutant concentration in domestic wastewater ...... 87 Table 35. Summary of solid waste arising during construction ...... 88 Table 36. Number of acacia trees to be cut down at 06 reservoirs ...... 90 Table 37. The required land area for construction ...... 90

Environmental and Social Impact Assessment Report (ESIA)

Table 38. Potential impacts to sensitive works during the construction process s ...... 94 Table39. Impact on sensitive points during operation phaseTable 39 ...... 100 Table 40. The Subproject’s compensation and support cost estimate (Unit: VND) ...... 106 Table 41. ECOP for Addressing Generic Construction Impacts ...... 109 Table 42. Mitigation measures for sensitive works ...... 123 Table 43. General mitigation measures for impacts during operation phase ...... 131 Table 44. Mitigation measures for affected sensitive points during operation ...... 133 Table 45. Roles and responsibilities of stakeholders ...... 136 Table 46. Reporting requirements ...... 142 Table 47. Environmental monitoring plan during the construction process ...... 150 Table 48. Estimated costs for ESMP implementation monitoring and capacity building ...... 151 Table 49. Funding for ESMP monitoring ...... 151 Table 50. Summary of mitigation measures ...... 151 Table 51. List of local consultations ...... 164 Table 52. Summary of consultation activities which were implemented ...... 167 Table 53. Public consultations ...... 170

LIST OF FIGURES

Figure 1. Locations of Subproject ...... 18 Figure 2. Geographic locations of subproject implementation ...... 52 Figure 3. Summary of the occupational structure in the sub-project area ...... 57 Figure 4. Summary of survey results of household income ...... 58 Figure 5. Summary of the current status of domestic water use ...... 59 Figure 6. The status of using toilets in the construction areas ...... 59 Figure 7. Localizing map of Lao Cai air quality, 2011-2015 ...... 64 Figure 8. The surface water quality map in Lao Cai province, 2011-2015 ...... 65 Figure 9. The vegetation diversity of in the subproject area ...... 89 Figure 10. The status of local traffic in the subproject area ...... 92 Figure 11.Figure 11. TheProject Organization ...... 135 Figure 12. The Subproject’s diagram for implementation of Environment Safeguard Policy .... 136 Figure 13. Some photos of consultation with local authorities and mass organizations in subproject communes ...... 167 Figure 14. Community consultations in Pho Rang town and Tan An commune ...... 173

Environmental and Social Impact Assessment Report (ESIA)

EXECUTIVE SUMMARY

Background. The Government of Vietnam borrowed a loan from the World Bank for the "Dam Rehabilitation and Safety Improvement" Project to invest in improving the safety of dams and related works to ensure safety of people and socio-economic infrastructure of downstream community pursuant to Decree No.72 on Dam Safety Management in Vietnam. According to the statistics, the entire province of Lao Cai has 79 irrigation reservoirs with the total capacity of over 15.53 million m3, irrigating about 3,279.1 ha of rice and providing water for other needs. Most irrigation reservoirs in the province were built in the 1960s and the 1980s of the last century, when the survey for investment was not synchronous and the works were less solid. Over years of operation, the irrigation reservoir system has been severely degraded. Most of dams are soaked with landslide. Draining culverts, intake culverts, spillways have been degraded, which are at risk of unsafe for downstream area in rainy seasons. To be proactive in irrigation for agricultural production in the districts of Bao Thang, Bao Yen, Bat Xat, Van Ban, and to repair and solidify dam bodies and reservoir works to ensure safety and convenience in operation, the "Dam Rehabilitation and Safety ImprovementSubproject” in Lao Cai province was proposed to be implemented. Overview of the Subproject The Subproject's construction components for 06 reservoirs in Bat Xat town, Pho Rang town, Phong Nien commune, Tan An commune, Khanh Yen Ha commune, and Phu Nhuan commune include: (i) Repair and upgrading of dams, reinforcement of dam crests, repair of upstream, downstreamslopes, rebuilding slope drainage systems, and waterproofing; (ii) Repair and replace intake culverts, depending on degrees of damage; (iii) Solidification, renewal to improve drainage capacity; expanding spillways or building spillways with sluice gates or emergency spillways. (iv) Road management: Depending on the current status of each reservoir;build concrete road in conformity with the standards of rural roads; (v) Renovation of reservoir management houses: houses-grade-IV,with electricity and water in service of daily life and management of reservoirs; (vi) Monitoring equipment: Building water monitoring system (water gauge) for reservoir upstream and downstream. The main purposes of dam and reservoir rehabilitation and safety improvement are to: (i) ensure safety of reservoirs during exploitation to adapt to climate change and increasing downstream demand for water use, to reduce negative impacts on environment and landscapes of reservoir areas and downstream areas; (ii) ensure the initial design objective that regularly irrigates over 440 ha of downstream paddy and vegetables in Bat Sat town, Pho Rang town, Phong Nien commune, Tan An commune, Khanh Yen Ha commune, and Phu Nhuan commune; and (iii) ensure water supply for over 105,3 ha of water surface for aquaculture.

Environmental and Social Impact Assessment Report (ESIA)

Preparation of Environmental and Social Impact Assessment Report (ESIA). The Subproject is designed and implemented in accordance with the Environmental and Social Management Framework (ESMF) approved by the World Bank and in line with the current laws of Vietnam. The purpose of the Environmental and Social Impact Assessment Report is to identify the importance of environmental and social issues in the decision-making process by clarifying environmental and social consequences of the Proposed Study before implementing subproject activities. Early identification and description of positive and negative environmental and social impacts will help the communities and governments to assess potential environmental and social impacts of the subproject in order to find out solutions to mitigate or minimize environmental ad social risks and impacts. The activities in the preparation, construction and operation of the subproject are analyzed, evaluated and solutions are proposed to prevent and minimize their impacts on the environment and living of local residents. The screening results of 06/06 reservoirs meet the criteria of the project, and the subproject is classified as Category B in terms of environment. The subproject triggers 05 safeguard policies: OP/BP 4.01 (Environmental Assessment), OP 4.09 (Pest Management), OP/BP 4.37 (Safety of Dams), OP/BP 4.10 (Indigenous Peoples) and OP/BP 4.12 (Involuntary Resettlement). Environmental and social impacts and mitigation measures: The subproject impacts are positive and negative. Repairing and upgrading the works of 06 reservoirs will positively affect the changes of some meteorological factors in the region. Stabilizing water surface will change the microclimate of each zone and humidity relative to the dry continental climate in dry seasonin the region. After completion, it will increase stability of water supply for agricultural production and safety of works and downstream in rainy seasons to ensure development conditions for coastal vegetation communities, create landscapes around reservoirs and local transportation, open opportunities for development, and attract visitors to visit and relax. Negative impacts during preparation and construction of works: Potential negative impacts are analyzed and forecasted, e.g. land acquisition impacts. The survey results that the total number of households affected by the construction of the subproject components includes322 households. 65 households having agricultural land to be permanently affected.07 households having trees and vegetation on temporarily affected land due to the construction, and 250 otherhouseholds to be temporarily affected during the construction due to water cutting (195 households having one rice crop and 55 households having aquacultural surface to be temporarily affected). The total area of land to be permanently acquired is 11,640 m2 of agricultural land of 65 households. The total of affected acacia trees from 2 to 3 years of age is 4,950 trees. The total forest land to be temporarily acquired is 26,600 m2, of which 15,000 m2 are under the management of 07 households and 11,600 m2 are under the management of the Commune People's Committees in the subproject area. Temporarily acquired land is mainly used for building camps for workers during construction, parking construction vehicles and machinery,and storage of material and working tools. When cutting off water for construction of dams, 195 households having agricultural land (one (01) rice crop) in an area of 270,000 m2 and 55 households having aquaculture surface in an area of 6,240 m2 are temporarily affected. The affected areas of agricultural and aquaculture land will be compensated according to the project policy. 9

Environmental and Social Impact Assessment Report (ESIA)

In addition, potential impacts related to construction activities such as noise and vibration, dust and exhaust fumes from vehicles, machinery during construction, water and soil pollution caused by waste, landslides and sedimentation, social conflicts between workers and local people, destruction of vegetation, traffic disturbance, accident risks, etc. may occur. According to the research and assessment, the subproject impacts are not large due to the small size of reservoirs, which does not require many vehicles, equipment and machineries and workers. These impacts are in small spatial scale which are localized and temporary and are assessed from low and medium levels. Suggested mitigation measures for negative impacts during preparation and construction. Impacts of land acquisition will be minimized through the resettlement action plan (RAP) which is prepared separately, while the associated environmental impacts during the construction phase will be mitigated through the application of ECOP and specific mitigation measures. Suggested mitigation measures for negative impacts during operation. Analysis of meteorological and hydrological conditions and sedimentation rates before and after construction was analyzed in detail at the technical design stage to ensure that the Subproject will not negatively affect the reservoir capacity, dam size and auxiliary structures, irrigation planning and living habits of local residents. The PPMU regularly monitors to assure that damages to the structures will be repaired or restored according to the approved statements and documents. Institutional organization. The CPMU recruits subproject independent monitoring and assistant consultants, who carry out independent monitoring and regular supports for the subproject activities. They will assess the compliance with the safeguard policies and the implementation of the tools in practice, including the compliance with the Environmental Management Plan (EMP), the Environmental Codes of Practice (ECOP), the Resettlement Policy Framework (RPF), the Resettlement Action Plan (RAP), the Ethnic Minorities Development Plan (EMDP), and the Gender Action Plan (GAP). For this subproject, the PPMU is responsible for the implementation and monitoring of the Environmental and Social Management Plans (ESMP), ensuring that bidding documents and contracts include the covenants of the Contractor’s environmental compliance. The Contractors will carry out construction activities and comply with environmental covenants in the contracts. The Contractor’s Environmental and Social Management Plans are approved by the PPMU and sent to the relevant authorities and disseminated to the communities in accordance with the laws of Vietnam before the Contractor’s commencement of construction activities. The PPMU and the Consultants will monitor the compliance with the mitigation measures agreed with the Contractors. In addition, the Contractors’ compliance will be closely monitored by the Department of Natural Resources and Environment of Lao Cai province, local authorities and people. Capacity building. During the implementation, the PPMU has received supports from the CPMU relating to the World Bank's environmental safeguards. The CPMU organized training courses where the World Bank safeguard specialists provided safeguard training to the PPMU staff on the environmental safeguard policies to address the WB’s operational policy requirements for the subproject implementation such as OP4.01 (Environmental Assessment), General Guidelines for Environment, Health and Safety (EHS) by IFC, OP4.11 (Physical Cultural Resources), OP4.04 (Natural Habitats), OP 4.09 (Pest Management), OP 4.10 (Indigenous Peoples) and OP4.12 10

Environmental and Social Impact Assessment Report (ESIA)

(Involuntary Resettlement). The training for the CSC (Construction Supervision Consultant) and Contractor's EHS staff are regularly carried out to update them on the latest information about the environment safeguard policies. The PPMU, during the implementation of the subproject, has also got regular supports from the independent and technical assistant consultants of the CPMU on safeguard policies and the management of the risks to dams, monitoring the implementation of the ESMPs. The cost estimation for the ESMP implementation. The cost includes the monitoring and the implementation of the mitigation measuresand capacity building as shown in the table below.

No. Activities Cost (VND) 1 ESMP monitoring 703,252,000 2 Capacity building 158,000,000 Total 861,252,000 The Grievance Redress Mechanism (GRM). Complaints related to the Subproject will be resolved by negotiation to reach consensus with local people. Complaints will be negotiated by the involved parties at all three stages (commune, district and provincial committees) before submitting to the court in accordance with the Law on Complaints in 2011. The PPMU will pay all administrative and legal fees and levies related to the receipt of complaints as these costs are included in the subproject budget. Public consultations. Apply different methods and techniques to conduct community consultations, including a) community meetings, b) household surveys, c) focus group discussion, field monitoring and key informant interviews. The use of these methods and techniques is to improve the reliability and effectiveness of feedbacks from the Subproject’s stakeholders, especially the locally-affected people and to ensure that (i) the affected households receive full information about the Subproject; and (ii) all affected households are involved in the free and informed consultation process during the preparation and implementation process. The consultative meetings and face-to-face interviews were conducted in November 2017 with the participation of 15-46 affected people per meeting. The community consultation results at the subproject area showed that local people are more actively in speaking out ideas and suggestions relating to the implementation of the subproject components, environmental and social issues that are likely happen, construction schedules and plans, irrigation water source. Therefore, during the construction, the Contractors should pay attention to the crop seasons, the time of harvesting crops to minimize losses. In addition, people desire to receive full information on compensation and support policies that enable them to know and choose suitable compensation options and have the opportunity to choose mitigation measures which are applicable and feasible in the subproject area. In January 2018, the draft of the social, environmental impact assessment report was sent to consult with the local authorities in the subproject area. Consultations will be held regularly during construction to promptly address issues related to social, environmental impact assessment. Information disclosure.In compliance with OP 4.01 policy and other policies of the World Bank on accessing information, since the preparation phase of the subproject, the information has been transmitted through the mass media to the communities. The PPMU disseminated and consulted 11

Environmental and Social Impact Assessment Report (ESIA) the communities in November 2017, and sent consultation information to the local organizations. A draft of the Report on Environmental and Social Impact Assessment in Vietnamese was sent to the CPCs for dissemination and consultation in January 2018. The final version as scheduled in October 2018 will be published through the CPO website and the WB website in English before the subproject appraisal. Conclusions. The Subproject: "Rehabilitation and Improvement of Dam Safety" in Lao Cai province may cause negative impacts in the implementation phases, however, due to the small size of construction works, short-term impacts, limit in small area, impacts are negligible, therefore mitigation measures that are appropriate to the natural, socio-economic and management and construction conditions in the localities were proposed. The environmental and social management plan has been prepared as an integral part of the subproject ESIA to ensure that the subproject implementation complies with proposed mitigation measures. The monitoring plan helps keep the subproject manager and the authorities informed about the implementation of the subproject activities. The supervision consultant supervises and monitors environmental compliance and monthly reports the progress and environmental compliance to the PPMU.

Environmental and Social Impact Assessment Report (ESIA)

CHAPTER 1. GENERAL INTRODUCTION

Vietnam owns one of the largest networks of dams and hydraulic infrastructure in the world, including 7,000 dams of different types and sizes. More than 750 dams are able to be classified as large dams (over 15m high or between 5 and 15m wide with the water reservoir storage in excess of 3,000,000 m3). The number of small dams (less than 15m with the water reservoir storage lower than 3,000,000 m3) is estimated to be over 6,000, which are mainly earth dams. Of the total four million ha of agricultural land, more than three million ha are irrigated by 6,648 dams. Many small-medium reservoirs were built in 1960s with limited technical surveys, designs and construction in addition to limited and slow operation and maintenance. As a consequence, many have been degraded, unsafe and failed to meet the international safety standards, which are significant risks to human safety and economic security. In addition, increasing risks of unstable hydrology due to climate change and massive upstream development make reservoirs at risks of subsidence of major structures, permeability to main dams and/or subsidiary dams/surrounding water-intake works, deformation of upstream/downstream slopes, spillway incidents etc. Awareness of the importance of infrastructure for the country’s sustainable economic growth, the Government launched a multi-sector program in 2003, including the “Dam Rehabilitation and Safety Improvement Project”(DRSIP) financed by the World Bank, which supports dam safety and reservoirs and operational safety to downstream populations and socio-economic infrastructure that are at risk, ensures the downstream integrated development planning and strengthens institutional coordination and future development and safe operation of reservoirs. The Ministry of Agriculture and Rural Development (MARD) is responsible for the implementation and management of the entire project. The Provinces repair and upgrade dams under Component 1 and MARD will coordinate activities with the Ministry of Industry and Trade (MOIT) and MONRE under Component 2. The CPMU(under MARD) is responsible for coordinating and monitoring the entire project. The repair and preparation of dam safety plans, including protection and commissioning, are centered on provincial government. The Provincial People's Committee (PPC), the Department of Agriculture and Rural Development (DARD) are the managers at the provincial level. The PPMU is responsible for managing and supervising the works with the support from the CPMU. The selection of rehabilitation dams by the project was based on unified criteria, probability and severity of incidents and risks to human and socio-economic infrastructure, paying importance of economic benefits in the poverty and inequality framework. The assessment criteria for dam safety include: (i) dam incident probability (structural risk that is based on height and capacity); (ii) impact of dam incident on downstream people; (iii) impact of dam incident on downstream infrastructure, (iv) context of poverty and impact, (v) areas of ethnic minorities; and (vi) the readiness. The project is implemented in 34 provinces in the North, Central and Highlands. There are about 450 selected dams. The project components include: - Component 1: Dam Safety Rehabilitation (Expected cost is US$ 412 million, of which IDA’s funding is US$ 388.5 million)

Environmental and Social Impact Assessment Report (ESIA)

- Component 2: Dam Safety Management and Planning (Expected cost isUS$ 20 million, of which IDA’s funding is US$ 17 million) - Component 3: Project Management Support (Expected cost is US$ 11 million, of which IDA’s funding is US$ 9.5 million). In the second year, the Project will support the rehabilitation of dams that were built in the 1960s. About 90% of the proposed dams are earth dams which are less than 15m high and their design capacity are less than 3 million m3. The Project does not invest in completely changing existing structure or new construction or expansion of main structure but focuses on repairing and re-shaping structure of main dams, secondary dams, strengthening upstream slope by concrete and stones, reinforcing or expanding spillways to increase drainage capacity, repair or rehabilitation of existing intake culverts, replacement of hydraulic system at sluice gates (intake culverts) and spillway gate, drilling for waterproofing of the main dam bodies, upgrading service roads. The Project is expected for 6 years, from 08/7/2016 to 30/6/2022. With regard to the environmental protection, the ESMF of the first year project was approved in 2015. The Environmental and Social Impact Assessment (ESIA) for the next years of the subprojects will follow the project progress the CPO, the PPMU and the World Bank agreed. In Lao Cai province, the Dam Rehabilitation and Safety Improvement Subproject is to ensure the safety of the reservoirs through the repair and rehabilitation of 06 dams and reservoirs and strengthening management capacity and safe operation of dams to protect inhabitants and socio- economic infrastructure in the subproject area of Bao Thang, Bao Yen, Bat Xat, Van Ban districts.

1.1 Approaches and methodology The Environmental and Social Impact Assessment (ESIA) is implemented in accordance with the World Bank’s regulations and the Law on Environmental Protection and other laws and regulations of the Government of Vietnam. The purpose of the ESIA is to identify the importance of environmental and social issues in the decision-making process by assessing the environmental and social consequences of the proposed research before undertaking the subproject activities. 1.1.1. Methodology for social impact assessment The objectives of the social assessment (SA), in parallel with the environmental assessment of the Subproject, include: First, it examines potential impacts of the subproject–positive and negative–on the basis of planned subproject activities. Second, it finds from the design of measures addressing potential adverse impact and proposing community development activities that are relevant to the project development objectives. For identified adverse impacts, consultation with local people, governmental agencies, project stakeholders, etc., were carried out to ensure that affected people will be appropriately compensated and supported in a manner that their socioeconomic activities will be promptly and fully restored to the pre-project level, at least, and that their livelihoods will not be worse off, in the long run, as a result of the subproject. A part of the social assessment is ethnic minority (EM) peoples who are living in the subproject area and are confirmed by the EM screening (WB’s OP 4.10).The consultations with them were carried out in a free, prior, and informed manner to confirm supports for affected EM peoples 14

Environmental and Social Impact Assessment Report (ESIA) for the subproject implementation. The EM screening was conducted based on WB’s OP 4.10at the same scope of the social assessment and the environment assessment. A gender analysis in the subproject area was also done as part of the SA to understand gender features (from subproject impact perspective) to enable gender mainstreaming to gender equality improvement and to enhance further development effectiveness of the subprojects and the Project as a whole. Depending on the magnitude of the identified potential project impacts and the project development objectives, a gender action plan and a gender monitoring plan were prepared. To ensure that any potential impacts can be identified during the project preparation, the SA was conducted through series of consultations with the stakeholders. A particular focus was the households which are potentially affected (both positively and adversely) by the Subproject. The assessment techniques for this SA include 1) review of secondary data, 2) field observations; 3) focus groups discussions/community meetings, 4) key informant interview, and 5) households survey.

1.1.2 Methodology for environmental impact assessment During the ESIA survey and reporting, the Consultant Agency used a combination of the following methods. (1) Rapid assessment method The Rapid Assessment Method was issued by the World Health Organization in 1993. The basis of this method is based on the nature of material, technology, rules of processes in nature and experience to quantify pollutant discharge load. In Vietnam, it has been introduced and applied in many ESIA studies, which performs relatively accurately the calculation of pollutant discharge under limited conditions of instrumentation and analysis. In this report, the pollutant discharge coefficients are taken from the World Bank’s Environmental Assessment Sourcebook(Environmental Assessment Sourcebook, World Bank, Washington D.C 8/1991). (2)The method of building impact matrix Establishing correlation between impact of each project activity on each issue and environmental componentas shown on the impact matrix, which isbasic for the focus on detailed contents of impact study. (3)Comparative method The comparison method is to evaluate the environmental quality, effluent discharge quality, pollutant discharge load... on the basis of comparison with the relevant environmental standards and regulations of MoNRE and MOH as well as related research and experiment topics. (4) Description of environmental system Identifyingsubproject components that affect the environment andidentifyingin full effluents, related environmental issues for detailed assessment. (5)Enumerating method It is used extensively (since the National Environmental Protection Agency (NEPA) has been

Environmental and Social Impact Assessment Report (ESIA) established in some countries) and yields positive results thank to its advantages as mentioned above such as clear approach and systematic supply during system analysis and evaluation. There are 02main construction items: A descriptive list of the environmental components to be studied along with measurement, forecasting and evaluation,a simple list of environmental components which are likely affectedto be studied. (6)System analysis method This method is quite popular in the environment assessment. The advantage of this approach is the comprehensive assessment of impacts, which is very useful in identifying impacts and sources of waste. It is based on the assessment of wastesources, impacted objects, environmental components, etc., as the elements in a system have close relationship with each other, thereby, we can identify, analyze, and evaluate impacts. (7)Community consultation method This method is used during interviews with local leaders and local people to gather necessary information for the Subproject's ESIA preparation, introduction of benefits and possible negative impacts of the Subproject on the environment and the life. Based on that, we can aggregate feedback and aspirations of local people. On the other hand, we can directly interview local officials and local people on socio-economic development, farming practices and environmental sanitation. (8)Method of reference, synthesis and analysis of information and data This method aims at identifying and evaluating natural and socio-economic conditions in the subproject area through data and information collected from different sources like statistical yearbook, socio-economic report, current status of environment and related research works. (9)Field survey method Field survey is required when carrying out the assessment of social and environmental impacts to determine the current status of the subproject area, related objects and to select samplinglocations,survey of status of water supply, drainage, electricity supply etc. The consulting agency carried out topographical and geological surveys and collected hydro- meteorological data for design in accordance with the current standards of Vietnam. These survey results are used to assess the natural conditionsin the subproject area. (10)Expert method Based on the knowledge and experience of environmental science of environmental impact assessment experts of the Consultancy Agency and other scientific research agencies. (11) Method of sampling and analysis in laboratory Sampling and analysis of environmental components (soil, water, air) is indispensable in identifying and assessing the status of baseline environment quality in the subproject area. After field survey, the sampling and analysis program will be developed with the main contents as sampling locations, measurement and analysis parameters, manpower, equipment and tools in need, implementation time, sample preservation plan, analysis plan etc.

Environmental and Social Impact Assessment Report (ESIA)

For Lao Cai subproject, the Consultant coordinated with the Environmental Monitoring Agency to monitor, sample and analyze samples of air, water and soilin 06 reservoirs to assess the current quality of environment components. The sampling, analysis and preservation are in accordance with the concerned current standardsof Vietnam. 1.2. Preparation of ESIA report Subproject management The Project Management Unit for Agricultural Works Investment and Rural Development of Lao Cai Province (the PPMU). Address: Headquarter of 3rd floor, Block 9, Tran Hung Dao street, Lao Cai city, Lao Cai province Telephone: 02413820346 Fax: 02413820346 Email: Email:[email protected] Consultancy Agency that makes report HALCOM VIETNAM Address: Floor 9, Hoa Binh Building, 106 Hoang Quoc Viet Street, Cau Day District,Hanoi Telephone: 024-35624709 Fax: 024-35624711 E-mail: [email protected]

Table 1. The list of specialists

No. Name Speciality Task/position Team leader/coordinating the preparation of 1 Vu Chi Cong Environment specialist report. 2 Le Thi Vinh Environment specialist Field survey; environmental impact assessment. Field survey; environmental/hydrological 3 Nguyen Duy Khanh Hydrological specialist impact assessment. Nguyen Thi Thanh Community consultation; Assessment of social 4 Ethnic minority specialist Tam impacts related to ethnic minorities. Field survey; assessment of impacts related to 5 Le Sy Loi Agricultural specialist agricultural practices. Deputy team leader/ Community consultation; social impact 6 Mai Van Huyen Social specialist assessment. Community consultation; social impact 7 Dang Thi Ha Resettlement specialist assessment; preparation of resettlement plan. Community consultation; Assessment of social 8 Mai Thi Kim Chi Gender specialist impacts related to ethnic minorities gender. Field survey; assessment of environmental 9 Le Thanh Long Ecological specialist impacts and biological resources.

Environmental and Social Impact Assessment Report (ESIA)

CHAPTER 2. SUBPROJECT DESCRIPTION

The Subproject: "Dam Rehabilitation and Safety Improvement in Lao Cai Province" is deployed in Bat Xat town, Pho Rang town, Phong Nien commune, Tan An commune, Khanh Yen Ha commune and Phu Nhuan commune. The infrastructure in six reservoirs, most of which were built before 1985, have been seriously degraded. Most dam slopes have been soaked and landslide. Draining culverts have been dry. Intake-culverts and spillways have been broken. Management roads have been deteriorated. These works should be repaired and upgraded to ensure the safety and operation of the reservoirs. 2.1. Objectives of Subproject (i) Ensure reservoir safety during exploitation and adapt to climate change and increasing demand of water use in downstream areas, limit negative impacts on the environment and landscapes of reservoirs and downstream areas; (ii) Ensure the initial design of irrigation for over 440 ha of downstream paddy and vegetable production areas of communes/towns; (iii) Ensure water supply for over 105.3 ha aquaculture in the above areas. 2.2 Geographical location of Subproject The Subproject is implemented in 06 reservoirs in 06 communes/towns of Bao Thang, Bao Yen, Bat Xat, Van Ban districts. The locations are shown in Figure 1.

Ta Xin reservoirBat

Xat town Phong Nien Comm,

Phu Nhuan Comm. Pho Rang town

Tan An comm.

Khanh Yen Ha comm.

Figure 1. Locations of Subproject

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2.3. Status of works and construction solutions

Table 2. Summary of current information of reservoirs and Subproject’s construction works

Dam height (m)/reservoir Current status Construction plan Photos volume (m3)

The reservoir was built in 1968 and most a, Main dam recently repaired in 2005. The basin is Dam crest: Complete elevation of dam crest about 25 km2. It currently supplies water according to calculation results of flood control: for 198 ha of 2-crop rice and 80 ha of filling embankment,building upstream retaining aquaculture. The reservoir consists of wall, strengthening dam crest road. one main dam and four secondary dams. The foot drains are mostly damaged and Upstream slope: Renew protection structure for the intake culvertsare so degraded that upstream slope. can not be used for water supply as Downstream slope: Rehabilitation of downstream required. The valves are degraded, slope according to the design cross section. therefore water is freely through the culverts to the dam foot and causes loss -Treatment of pennetration via dam body:Drilling to 1. The reservoir of water in the reservoir and affect the pump clay mortar. in Phu Nhuan dam safety due to soak, erosion in the - Rehabilitation drainage of dam foot. commune, Bao dam foot; There is no management house Thang district and monitoring system,therefore it is not b,Spillway effective in warning of natural disasters. Build new spillway. 10/950,000 The service road for rescue is degraded, c, Intake-culvert rugged and difficult to move and only rudimentary vehicles can move. Build new intake culvert. d, Management works and monitoring equipment - Build management house Grade IV about 61m2. -Management and rescue road: Refurbishing road surface according to the Rural Road Standard, 19

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Dam height (m)/reservoir Current status Construction plan Photos volume (m3) Length L = 500m, Width = 3 m. -Monitoring equipment: Building water gauge system to monitor reservoir upstream. The reservoir was built in 1980 and5.1.1 has a, Main dam not been upgraded. The basin is about Dam crest: Complete the crest elevation according 1.22 km2, which is mainly planted forest to the results of the flood control calculations: and horticultural gardens. The reservoir elevating the middle of the dam which is sinking to capacity is 0.22x106m3.The current dam the height of both sides of the dam. The design crest crest is combined for inter-village road. elevation is +143.00m. The dam length is 5m. 2. The reservoir The dam surface is cracked and subsided. Strengthen crest road with concrete M250 of 20cm in Phong Nien The upstream/downstream slopes arein thick. commune (Coc landslide and erosion deep into dam body Sam 4), Bao and trees are thick on the surface. Upstream slope: Fill downstream slope in Thang district Spillway discharges via stone retaining accordance with the Standard, m = 2.5. Newly build 6/220,000 wall, the whole downstream of the upstream slope protection structure by concrete slab spillway has not been built and does not M200 (60x60x10) cm. have stilling basin. Intake culvert is Downstream slope: Downstream slope: Fill degraded and leaking and there is no downstream slope in accordance with the Standard, regulating valve. The culvert bed is too m=2.0. Newly build downstream slope protection high compared to the downstream structure by drainage ditches and pouring macadam irrigation system. the bed draining culvert inside, planting grass outside. Arrange stone prisms is currently degraded, leaking through for drainage of dam foot. both sides and causing unsafe for the dam and there is no regulating valve. -Treatment of penetration through dam foot: Drilling to pump cement mortar. Management road is combined with inter- village road which was concreted with - Embankment of both upstream sides to limit thewidth of 3m but now the road is penetration via dam shoulders. broken down many faults, the road 5.1.2 b,Spillway surface is rugged due to subsidence. There are not management house and - Demolish old spillway, build new spillway, design monitoring equipment. wide spillway crest combining tilling basin and 20

Environmental and Social Impact Assessment Report (ESIA)

Dam height (m)/reservoir Current status Construction plan Photos volume (m3) newly build all drainage canals. 5.1.3 c, Intake culvert -Demolish old culverts, build new culverts. Culvert dimension must ensure adequate water flow. 5.1.4 d, Draining culvert -Demolish old culverts, build new culverts. Culvert dimension must ensure adequate draining water flow of reservoire.

5.1.5 e, Management works - Build management house grade IV about 45m2. -Management and rescue road: Demolish old damaged concrete pavement. Renovate all road surface with concrete according to the Rural Road Standard, B = 3m, L= 904.36 m. -Monitoring equipment: Building water gauge system to monitor reservoir upstream level. The reservoir was built in 1968 and5.1.6 has a, Main dam not been upgraded. The basin is about Dam crest: Complete the crest elevation according 6.4 km2. The reservoir capacity is to the results of the flood control calculations: The 0.83x106 m3. The reservoir has the task dam crest is the old soil dam crest. The design crest of cutting down downstream floods, elevation is +85.80m, Bđập = 5m. Strengthen crest creating landscapes, supplying irrigation road with concrete M250 of 20cm thickwith B =4.4 water to Pho Rang town and m. surrounding areas, the aquaculture on the reservoir area is about 10.3ha. The Upstream slope: Upstream slope: Fill downstream reservoir consists of a main dam, an slope in accordance with the Standard, m=2.75. auxiliary dam, a spillway and an intake Newly build upstream slope protection structure by culvert. concrete slab M200 (60x60x15)cm. 21

Environmental and Social Impact Assessment Report (ESIA)

Dam height (m)/reservoir Current status Construction plan Photos volume (m3)

3. The reservoir The main dam is homogeneous soil Downstream slope: Downstream slope: Fill in Pho Rang dam. The current dam is combined for downstream slope in accordance with the Standard, town, Bao Yen inter-village road. The dam face is not m=2.5. Newly build downstream slope protection district reinforced and rugged. Upstream slope structure by drainage ditches and pouring macadam 9.5/830,000 has been eroded and slid deep into the inside, planting grass outside. Arrange stone prisms dam body. The downstream slope has for drainage of dam foot. no drainage, many locations are - Treatment of penetration through dam foot: landslid. Many section of dam foot are Drilling to pump cement mortar. close to people’s ponds, and trees are thick on dam surface. 5.1.7 b, Secondary dam The secondary dam is homogeneous Dam crest: Complete the crest elevation according soil dam. The current dam is combined to the results of the flood control calculations: The for inter-village road. The dam face is dam crest is the old soil dam crest. The design crest not reinforced andrugged. Upstream elevation is +85.80m, Bđập = 5m. Strengthen crest slope has been eroded and slid deep into road with concrete M250 of 20cm thickwith Bđường = the dam body. The downstream slope 4.4m. has no drainage, many locations are Upstream slope: Fill downstream slope in slid. The dam body is seriously accordance with the Standard, m=2.75. Newly build penetrated by water. upstream slope protection structure by concrete slab The current spillway is the stone M200 (60x60x15)cm. structurewith many cracks and breaks. Downstream slope: Fill downstream slope in The spillway surface is fractured, accordance with the Standard, m=2.5. Newly build cracked and peeled. The tilling basin is downstream slope protection structure by drainage completely damaged. ditches and pouring macadam inside, planting grass The management road is combined with outside. Arrange stone prisms for drainage of dam inter-village road, which is soil road; foot. the surface is convex and difficult for -Treatment of penetration through dam foot: movement especially in rainy season. Drilling to pump cement mortar. The management road is about 1.42 km; the road width is 4.0m. There are5.1.8 no c, Spillway 22

Environmental and Social Impact Assessment Report (ESIA)

Dam height (m)/reservoir Current status Construction plan Photos volume (m3) drains, management house and - The solution for the old spillway which is monitoring equipment. degraded: Because the spillway scale still ensure drainage corresponding to the design frequencies, therefore keep the scale and only repair old spillway as follows: - Demolish the broken overflow weight and rebuid it, while the old spillway surface is kept and cover with a new layer of concrete M250 of 20cm thick. The old tilling basin iscompletely damaged, therefore it is newly built. 5.1.9 d, Intake culvert - Solution for intake culvert: Keep old intake culvert - Waterproof both side of culvert and extend it to upstream and downstream along with the design dam slope. e, Management works - Build management house grade IV about 45m2. -Management and rescue roadis L = 1424m long: Maintain the old road without upgrading, reinforcing or building more works. -Construction road: follow the management road (from C20 to C27); during the construction only repair and upgrade rugged areas to makevehicles smooth. -Monitoring equipment: Building water gauge system to monitor reservoir upstream.

Environmental and Social Impact Assessment Report (ESIA)

Dam height (m)/reservoir Current status Construction plan Photos volume (m3)

The reservoir was built in 1973 and has a, Main dam not been upgraded. The basin is about - Reinforcement, expansion of dam face according 1.05km2, which is mainly forest to the design cross section; Dam crest is reinforced gardens and agricultural cultivation. with M250 concrete; Upstream slope is reinforced The reservoir capacity is 0.018x106m3; with precast concrete M200; Downstream slope: It irrigates for 32ha of 2-crop rice field building drainage ditches and grass planting to in Lang 2 village. protect downstream.The downstream drainage is The reservoir consists of one main dam prismatic, stone on the reverse layer of macadam of 9m high, spillway and intake culvert. and sand filter. The dam face is concrete of 4.5m wide b, Spillway 4. Sung Lang and d = 15cm long, which is combined reservoir for rural traffic. The upstream and - Build new spillway if Sung Lang reservoir, with a (Khanh Yen Ha downstream slope isdegraded and have large crest, flowing freely; reinforced concrete commune), Van not reinforced. M200 tilling basin. Ban district 9/220,000 Discharge culvert is RC pipe M200, c, Intake culvert diameter of D50cm, small size, which is - Demolish old culvert and build new culvert. The not able to flood and cause damage to culvert structure is steel pipe, reinforced by concrete the dam body. M250. Opening and closing equipment: upstream: Intake culvert is pipe culvert of D100 flat valve located in the valve tower; downstream: round. Valves and tilling basin have not cone valve. designed behind culvert. d, Road management Management road is concrete inter- Strengthening the management road to the dam village road 4.5m wide. Currently there furface with the length of 801.7m; pavement width is no management house and of 4.5m; furfacewidth 3.5m. monitoring equipment. e, Management house

Build management house of 61m2, grade-IV, with electricity, water for living and reservoir management. 24

Environmental and Social Impact Assessment Report (ESIA)

Dam height (m)/reservoir Current status Construction plan Photos volume (m3)

f, Monitoring equipment Arrange equipment for observation of focal works and reservoir according to current standards.

5. The reservoir The reservoir was built in 1982 and has a, Main dam in Tan An not been upgraded. The basin is about Dam crest: Complete the crest elevation according commune (Ho 2.5 km2, which is mainly forest and to the results of the flood control calculations: Khe cultivated hills. The reservoir capacity Elevate and build retaining walls at upstream. is 0.24x106m3. The reservoir currently Quat), Van Ban Concrete dam crest road by M200. provides irrigation for 40 ha of rice district field. The reservoir consists of main Upstream slope: Repair upstream slope structure. 9/240,000 dam of 9m high, spillway, intake culvert Downstream slope: Rehabilitation of downstream and canal leading water to the reservoir. slope according to the design cross section.

Main dam is made of homogeneous soil. -Treatment of pennetration via dam body: Drilling The crest width is about 4m which has to pump cement mortar. not been hardened.Rainy season is difficult to movement, monitoring and - Rehabilitation drainage of dam foot. operation of works. The dam is b, Spillway penetrated through foot and body with largest discharge especially at the culvert - Build new spillway and drainage canals behide location; Upstream, downstream of dam spillway to lead flood water that causes erosion. is reinforced by grass planting, which is c, Intake culvert presently landslid, forming big holes on Build new intake culvert. the dam slope. Intake culvert is degraded with water d, Management works leaking from the culvert to the --Build management house grade IV about 61m2. downstream. The valve-gate is broken. The culvert elevationis lower than the -Management and rescue road: The road for canal elevation about 1.57m, which management and rescue is built meeting theRural reduces the water capacity of the Road Standard : L = 406.45m. B=4m wide. 25

Environmental and Social Impact Assessment Report (ESIA)

Dam height (m)/reservoir Current status Construction plan Photos volume (m3) reservoir. -Monitoring equipment: Build monitoring system. The road to the dam and around the dam is 400m long, whichis soil road and has been severely degraded and need rehabilitation. At present, there are not management house and monitoring equipment. The reservoir was built in 1983 and has a, Main dam been upgraded since 1995. The basin is Dam crest: Complete the crest elevation according about 3,51 km2, mainly planted to the results of the flood control calculations: Fill forests.The reservoir capacity is and level convex surface along dam crest. Concrete 0.289x106m3. The reservoir consists of a crest road by M250. main dam of 8m high, secondary dam, spillway and water intake culvert. The Upstream slope: Rebuild upstream slope protection 6. Ta Xin dam length is 110.20m. The reservoir structure. reservoir, Bat supplies water for 44ha of rice, 31ha of Downstream slope: Rehabilitation of the

Xat district crops and 15ha of aquaculture. downstream slope according to the design cross- 8/289,000 The dam width dimension is not section. uniform. The surface is convex, with Treatment of penetration through dam foot: Drilling many large trees; There is a small to pump clay mortar. infiltration water flow at foot of the dam slope and some small section on the dam b, Spillway slope. Solutions for expanded spillway: repair spillway The spillway was reinforced in 1994, the surface and slope, repair cracked areas. two side-walls are cracked and damaged; c, Intake culvert, draining culvert The spillway surface has many cracking

locations and worn out. Intake culvert Retain culvert sections in the dam body and repair gate is cracked, damaged and can no and expand intake culvert into the upstream and longer regulate the work. downstream of the repaired dam slope: The expansion culvert dimension is same as the old

Environmental and Social Impact Assessment Report (ESIA)

Dam height (m)/reservoir Current status Construction plan Photos volume (m3) dimension which ensure enough water. Inlet and outlet sections of culvert are rebuilt. d, Management works -Management and rescue road: The road for management and rescue is built meeting the Rural Road Standard: L = 420m; Surface width B=3m; Shoulder width is 0.5 m. -Monitoring equipment: Building water gauge system to monitor reservoir upstream and downstream.. The detailed design of construction items of06 reservoirs are referred to Appendix 8.

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2.4Auxiliary works

Table 3. The status of auxiliary works in 06 reservoirs

Works Locations of landfills Locations of borrow pits Illustrations Notes 1. The The landfill is located in The borrow pit is located Written agreement reservoir in Land plot No.222-P39, in in Land plot No.377- was made between Phu Nhuan Phu Hai 2 village, under DC02, which is the the commune commune the management of Phu garden land in Phu Hai 4 authorities, the Nhuan commune, about village, under the PPMU, the 2km from the project management of Phu Agriculture location. The estimated Nhuan commune, about Department, the reserve is about 1km away from the Natural Resources 40,000m3. project location. The and Environment estimated reserve is about Department of Bao 45,000m3. Thang district

(Appendix). 2. The The dumpsite is located The borrow pit is located Written agreement reservoir in in the garden land of Mr. in Coc Sam 4 village, was made between Phong Nien Ly Van Son, Coc Sam 3 Phong Nien commune; the commune commune village, Phong Nien next to the management authorities, the commune, about 3 km road of the reservoir. The PPMU, the from the project. transport distance is about Agriculture 300m. The reserve is Department, the 12,000m3. Natural Resources and Environment Department of Bao Thang district (Appendix). 3. The The dumpsite is located The borrow pit is located Written agreement reservoir in in Bao Yen district at at the residential quarter was made between Pho Rang Km127 + 00 near 7B, Pho Rang town; The the commune town National Highway 70, transportation distance is authorities, the

Environmental and Social Impact Assessment Report (ESIA)

Works Locations of landfills Locations of borrow pits Illustrations Notes about 3km away. 3km. The reserve is PPMU, 16,000m3. Department of Infrastructure Economics, the Agriculture Department, the Natural Resources and Environment Department of Bao Yen district (Appendix). 4. The The dumping site is in O The borrow pit is located Written agreement reservoir in village, Liem Phu on the right shoulder of was made between Khanh Yen commune, about 2km the dam, belonging to the the household and Ha from the site. production hill land the authorities of commune managed by Mr. Mai 02 communes Xuan An, Pom Nieu (Appendix). village, Khanh Yen Ha commune, about 100m from thee main dam. The reserve is 23,500 m3.

Environmental and Social Impact Assessment Report (ESIA)

Works Locations of landfills Locations of borrow pits Illustrations Notes 5. The The dumping site of Tan The borrow pit is located Written agreement reservoir in An Brick Factory, Long in the hill garden land in was made between Tan An Giang One Member Tan An 1 village, Tan An the PPMU and the commune Limited Liability commune, Van Ban Department of Company, Tan Son district, about 2km from Natural Resources village, Tan An the project location. The and Environment commune. The transport area is about 0.3ha. of Van Ban district distance is 1000m from Theborrow pit is and local the work. estimated 2000m2. The authorities of Tan exploitation thickness An commune averages 5.0m. The (Appendix).

reserve is 15000m3. 6. Ta Xin The dumping site and The borrow pit is located Written agreement reservoir spoils from building next to the management was made between reservoir is gathered at road; the transport the PPMU and the operation site of Sin distance is about 300m. local authorities Quyen copper mine, Bat The reserve is 12,000m3. and concerned Xat district, the average agencies

distance is 13km. (Appendix).

Environmental and Social Impact Assessment Report (ESIA)

2.5The transportation distance and mobilization of vehicles, machinery and manpower for construction 2.5.1. Transportation distance

Table 4. Distance and road for material transportation to construction works

Distance Material Distance to the Transport road work 1. The reservoir in Cement, steel, pipe, The transport HW 4D, Provincial Phu Nhuan commune accessories are transported distance is about Road 151 (map in from Lao Cai city center. 32 km. Appendix) Stone of all types, formwork is transported from Vo Laotown. 2. The reservoir in Cement: Buy in Lao Cai city The transport HW 4D, HW4E, Phong Nien commune Sand for building and distance is about HW70,Provincial platering: Buy in Lao Cai city 60km Road 154 (map in Appendix) Sand for pouring conctete: Buy at Bao Nhai sand mine Stone of all types: Buy at Bac Ngam Mine Steel of all types: Buy in Thai Nguyen province Formwork: Buy at Lu Pho town Other materials: Buy in Lao Cai city. 3. The reservoir in Cement: Buy in Lao Cai city The transport HW70, HW279, Pho Rang town Sand of all types: Buy at Tan distance is Provincial Road 151 Duong sand mine - Bao Yen about70km (map in Appendix) district Stone of all types: Buy at Tan Duong quarry - Bao Yen district Steel of all types : Buy in Thai Nguyen province Formwork: Buy at Pho Rang town Other materials: Buy in Lao Cai city. 4. The reservoir in Cement, steel, pipe, The transport QL279, Provincial Khanh Yen Ha accessories are transported distance is Road 151(map in commune from the center of Van Ban about20 km. Appendix) district.

Environmental and Social Impact Assessment Report (ESIA)

Distance Material Distance to the Transport road work 5. The reservoir in Cement, steel, pipe, The transport Provincial Road 151, Tan An commune accessories are transported distance is about HW279 from the center of Van Ban 18 km district. (map in Appendix) 6. Ta Xin reservoir Cement: Buy in Lao Cai city The transport HW4E, Provincial Sand for building and distance is about Road 156 (map in platering: Buy in Ben Den 15 km Appendix) Sand for pouring conctete: Buy in Ben Den Stone of all types: Buy at Bac Cam Steel of all types: Buy in Thai Nguyen Formwork: Buy at Bat Xat town Other materials: Buy in Lao Cai city. (Source: Feasibility Study Report 06/2018) 2.5.2 Mobilization of vehicles and machinery for construction The number of motorcycles mobilized for construction of the subproject items depends on the progress of construction of different work items. However, the amount varies depending on the time of the site. The list of machinery and equipment is expected in the table below. Table 5. List of vehicles and machinery mobilized for construction

Capacity 1 type Fuel of equipment- Number of Fuel consumption Type of equipment diesel litre/ operationshift consumption amount engine shift Dump truck5T 56.7 73.1 4,142.9 38 diesel litre Water sprinkling truck 22.5 10.7 240.8 23 diesel litre 5m3 Excavator0.8m3 64.8 29.4 1,903.0 65 diesel litre Compactor 24 6.7 363.6 39 diesel litre Tamper 3.57 4.0 158.7 3 gasoline litre Diesel Air 54 8.3 621.7 38 diesel litre Compressors600m3/h Bulldozer110CV 46.2 73.1 4,142.9 46 diesel litre Spreader130-140CV 63 29.4 1,903.0 63 diesel litre

Environmental and Social Impact Assessment Report (ESIA)

Grader 110CV 40 0.4 9.6 39 diesel litre Excavator 1.6m3 75.2 6.7 363.6 65 diesel litre Total fuel consumption (litres of diesel) 12,148 - (Source: Integrated reservoir feasibility study report,06/2018) - Equipment and machinery for embankment and dam construction include: Dump truck 5T, excavator 0.8m3, compactor, tamper, diesel air compressor 600m3/h, bulldozer 110CV, spreader 110CV and grader 1.6m3. - Equipment and machinery for construction of road, management house and installation of monitoring system include: Water sprinkling truck 5m3, Compactor, Roller, Tamper, bulldozer 110CV and spreader 130-140CV, concrete mixer (electrically operated 11kWh, battery), boats (if any). 2.5.3 Electricity and water for construction and living Due to the nature of the subproject is building gravity water reservoirs, the demand for electricity is negligible, which is mainly for lighting at night and workshops of steel formwork. At present, there is the national power grid in the construction areas on available 35KV line. There are 110KVA backup generators on site in case of power outages. Water pumps are used to pump water from lakes and streams and contained in the construction tanks at the site. Depending on the quality of the water to be treated by filter tanks to ensure the quality of water for domestic use and water for concrete. 2.5.4 Demand for workers’ houses and camps The demand for construction workers for each construction item at the peak hour is about 70 people. Most subproject sites are well convenient to gather materials as well as workers’ camps. However, the works are widely distributed in many localities in Lao Cai province, the infrastructure of water supply is limited, the number of workers focused on peak time is not large (about 70 workers working for 06 works, which are mainly managers and skilled workers, simple work items directly hire local labourers about 20 people for each), the construction time of each item is not long, some of the works are expected to rent premises or houses of local people in each project area to house workers, ensuring environmental sanitation and daily living conditions of workers. The material gathering yards are arranged near the living areas to protect the property and to arrange temporary shelters for workers and equip the toilets to meet the requirements of of the Standard, QD-TTg 01:2011/BYT on standard hygenic latrines. Individual activities are in workers’ living areas. 2.5.5 Road for construction The construction conditions are relatively good. Roads are convenient. There are access roads to all reservoirs, serving the transportation of materials during the construction in the localities. 2.5.6 Selection of construction solutions a, Solution for dams - Upgrading the cross-sections of the dams according to the current technical standards and specifications (width: 5m, upstream slope: mTL=2.5-3m, downstream slope: mHL=2-3m).

Environmental and Social Impact Assessment Report (ESIA)

- Reinforcing crests with concrete M250#. - Upstream slope: Reinforcing protection structure by assembled reinforced concrete slabs of M200#. - Downstream slope: repairing and upgrading according to the designed cross-sections, sobbing, and building drainage side-ditches. - Treatment ofhydrophilic phonomenon though the dam bodies: + Building waterproof walls for upstream slopes: Tan An, Phu Nhuan, Ta Xin, Phong Nien, Pho Rangreservoirs. + Drilling to pump cement mortar: Sung Lung reservoir. - Repairing and finishing the dam foot drainage. - Dredging Tan An reservoir. Depending on the actual construction conditions in the reservoirs, the Contractors will plan cofferdams, steel piles to stabilize the water-flows to not affect water-flowsand water quality in the reservoirs. b, Solution for spillways Because the old spillway scale does not ensure the drainage corresponding to the design frequencies. Therefore, it is necessary to use and repair the old spillways in combination with expanding their widths to ensure the flood drainage to the design frequencies. + New costruction ofspillways: Tan An, Phu Nhuan, Khanh Yen Ha, Phong Nien, Pho Rang reservoirs. + Expansion ofspillways, repairing the water slope: Ta Xin spillway. c, Solution for water-intake works + New construction of culverts at the old culvert locations: Tan An, Phu Nhuan, Khanh Yen Ha, Phong Nien reservoirs. + Extension of old culvert length, hydrophilic treament in culverts: Ta Xin, Pho Rang reservoirs. Type ofculverts: underground culverts, regulating water by cone-valves in the downstreams, installing flat valves in valve houses in the upstreams. d, Solution for management of works Management houses: new construction of management houses of 60m2, level-IV, with electricity, water for living and management of reservoirs. Management roads: Strengthening existing road surface according to the rural road standard. The observation/monitoring works is in accordance with the current standards, specifically: - Observation of water-levels. - Observation of saturated-line in dam body and infiltration pressure on dam foundation. - Observation of subsidence. - Observation of horizontal shift.

Environmental and Social Impact Assessment Report (ESIA)

- Observation of hydro-meteorological–hydraulic conditions: arrangement of manual rainfall station in the premise of each management house. - Observation of culvert opening: Small culverts should be observated by visual and measured by steel ruler. 2.6 Estimated activities before construction Prior to the construction, there are some activities as topographic - hydrology - meteorological survey, geological test drilling, land acquisition marking, and demining. There is no demolition work in the sub-project area except the clearing of trees and crops by affected people. Waste from site clearance will be collected and transported to the commune waste disposal by affected households. The subproject design provides options that take into account scenarios and risks of climate change impacts on the performance of the construction items. The study on the climate change factors presented in the recent subproject status reports is the basis for selecting the optimal design options. The recent climate change impacts in the area are mostly relating to precipitation changes which result floods, landslides and droughts. 2.7 Material transportation plan Construction materials will be collected at site before commencement of work about one week. Construction materials will be transported to the site at the times that avoid negative impacts on agricultural and the daily life activities of local people. The forecasted workers, machines and materials are presented in the sections above. 2.8 Operation and maintenance activities Periodic dam safety monitoring: Once the reservoirs are filled with water and the dams start working, the dam owners are responsible for dam safety monitoring. This task is carried out by a qualified independent expert who does not participate in the survey, design, construction or operation of the dams. After the dams are at regular operation, the regular dam inspections take place, including pre-flood season and post-flood season safety inspections in accordance with the Government Decree No.72/2007/ND-CP on dam safety management. After all works complete, the dam operation will be the responsibility of the dam owners and the responsibility of the PPMU will end. Process of reservoir, valve operation: The dam owners must prepare the reservoir water regulation process, which regulates the storage and discharge of water in normal and emergency conditions to submit to the state management authorities for approval, and to organize the implementation of the process. The dam owners must formulate and submit to competent authorities for promulgation of documents on the operation of the valve-gates of each work (as referred to as operation of works). Other issues should be addressed under the Government's Decree No.72/2007/ND-CP on dam safety management. 2.9 Dam safety plan A Sam Safety Report (DSR) will be prepared for the subproject. The DSR objective is providing presentation, analysis and recommendations on: a) all conditions that may affect dams and their associated facilities; b) impacts when a dam or substructure is broken or can not work due to harsh natural conditions, human errors or structural faults; and c) an institutional framework (at the present time and in the future) which is necessary to avoid or minimize adverse conditions for the safety of the dams.

Environmental and Social Impact Assessment Report (ESIA)

After completion of the review at the subproject screening stage, the CPMU under MARD should provide a DSR for each subproject identified during the project implementation phase and sent to the PoE (the international dam safety consultants) and the World Bank for review. The DSRs must include findings and recommendations for any related safety issues and necessary actions to be taken. Dam safety measures should be integrated into the design, construction and operation of the reservoirs. Review and analysis of the dam structure: The review and evaluation of the dams and related works will include, but is not limited to, the following: - Review survey materials relating to geological conditions and material sources. Note potential adverse effects that may occur due to predictable geological features. Assess unforeseen conditions and measures to address the safety and operation of the dams and the related works. - Evaluate the suitability of the dam and spillway types; evaluate the adaptability of the dam design, which includes proposed measures for substrate treatment, excavation and filling, load characteristics of selected substrate, permeability and floating pressure control measure. Note the safety viewpoint for any abnormalities or omissions that may happen and propose measures to be taken. - Evaluate the stability, strength analysis and safety factors in normal, abnormal and extreme load conditions on soil dams and concrete dams, spillway structure and drainage works, including the determination of geological impact criteria. - Consider the factors relating to reservoir stability, landslide formation, waves, and its effects on dam stability; - Consider the hydrological calculation methods to determine the design flood of the subproject, reservoir and spillway sizes. Review the design of the spillway structures, including water-flow conditions and energy dissipation works. Assess the discharge capacity of the spillways against all design floods without damaging the dams. - Consider the water intake and discharge works, including hydraulic designs, reservoir emergency draining capacity, and sedimentation processes. - Consider the designs of the spillways and out-door controllers, including the selection of the number and type of main doors and valves, lifting equipment and other types of control structures. Particular attention should be given to the back-up system to operate spillways which have gates and draining works when there are operational and electrical problems. - Consider the designs of the water-diversion works, construction progress, hydrology and risk factors related to water-diversion during the construction and filling water- flows at the beginning storage stage of the reservoirs. - Consider the suitability of measuring equipment, especially instruments or markers which are required in the prediction of serious hazards or dam breakage. - Consider the operation and maintenance procedure and the emergency response plan of the dam owner, including the assessment of sub-project operation and maintenance factors related to dam safety and operators’ capacity to be able to perform regular maintenance and inspections of the safety of the works.

Environmental and Social Impact Assessment Report (ESIA)

Review and assess dam safety risks: In addition to ensuring the safety of the dam structure, the Subproject needs to assess potential risks to the population and the environment in downstream of the dams and the related works. Dam breaking may not occur but if this happens consequences become serious. For this content, during the subproject preparation, the subproject Owner should conduct an assessment on potential risk to downstream population areas as part of the DSR or environmental and social management plan. For high- risk dams, during the preparation process the subproject Owner should collect survey data like topographic survey and survey on downstream land use to simulate dam breaking and flood at downstream of the dam under different conditions/scenarios to serve the preparation of the Emergency Response Plan. The data collection from upstream dams and/or watershed activities may be necessary for some dams. Planning and implementation of capacity building programs for subprojects with pilot activities to promote active participation of local communities should be considered. Communities around the dams may participate in day-to- day monitoring to protect the dams from external destructive actions and participate in simple maintenance. A community participatory model in the dam safety activities should also be considered. Sedimentation and contamination of upstream water may be a serious problem for some river basins. The dam owner must commit allocating funds for appropriate dam operation and management and to periodically check dam safety. 2.5. Time and cost of implementation Total investment: VND 168,401,381,000 Construction time: 24 months Signing construction contract and starting construction: 01/2019 Completion of construction: 12/2020. Table 6. The implementation plan at 06 reservoirs

No. Name of reservoirs Bidding Start of Completion construction 1 Ta Xin - Bat Xat district 11/2018 01/2019 12/2020 2 Phu Nhuan- Bao Thang 11/2018 01/2019 12/2020 district 3 Phong Nien- Bao Thang 11/2018 01/2019 12/2020 district 4 Pho Rang- Bao Yen district 11/2018 01/2019 12/2020 5 Tan An - Van Ban district 11/2018 01/2019 12/2020 6 Khanh Yen Ha- Van Ban 11/2018 01/2019 12/2020 district

Environmental and Social Impact Assessment Report (ESIA)

CHAPTER 3.POLICY, LEGAL AND ADMINISTRATIVE FRAMEWORK

3.1. Government’s Regulations * Laws - Law on Environmental Protection No.55/2014/QH13 issued by the National Assembly of Vietnam on 23/06/2014 and effective since July 2015. This Law provides the regulations on environmental protection activities, policies, measures, resources, rights, obligations and responsibilities of agencies, organizations, households and individuals in the environmental protection. - Land Law No.45/2013/QH13 by the National Assembly of Vietnam on November 29, 2013, regulating the land ownership regime, powers and responsibilities of the State which is the representative of the land ownership of the whole people and unifies the management and use regime of land, rights and obligations of land-users in respect of land within the territory of the Socialist Republic of Vietnam. - Law on Natural Disaster Prevention No.33/2013/QH13 by the National Assembly of Vietnam on June 19, 2013, regulating the natural disaster prevention and control, rights and obligations of agencies, organizations and household, individuals participating in the natural disaster prevention and control, state management and resources to ensure the prevention and control of natural calamities. - Law on Water Resources No.17/2012/QH13 by the National Assembly of Vietnam on 21 June 2012 on management, protection, exploitation and use of water resources, prevention and mitigation of damages caused by water in the territory of the Socialist Republic of Vietnam. - Law on Biological Diversity No.20/2008/QH12 issued by the National Assembly of Vietnam on 13 November 2008 on conservation and sustainable development of biodiversity, rights and obligations of organizations, households and individuals in the conservation and sustainable development of biodiversity. - Law on Construction No.50/2014/QH13 by National Assembly, Session-VII, on June 18, 2014; - Law on Road Traffic No.23/2008/QH12 issued on 13/11/2008; - Law on ComplaintNo.02/2011/QH13 issued on 11/11/2011; - Law on Cultural Heritage No.10/VBHN-VPQH issued on 23/07/2013; - Law on Labor Safety and Health No.84/2015/QH13 issued on 25/06/2015; - Law on Dykes No.79/2006/QH11 issued on November 29, 2006; - Law on Plant Protection and Quarantine No.41/2013/QH13 issued on 25/11/2013. * Decrees - Decree No.38/2015/ND-CP dated 24/04/2015 by the Government on waste management and waste material. - Decree No.18/2015/ND-CP dated 14/02/2015 by the Government on environmental protection planning, strategic environmental assessment, environmental impact assessment and environmental protection plan.

Environmental and Social Impact Assessment Report (ESIA)

- Decree No.44/2014/ND-CP dated May 15, 2014 of the Government on land prices. - Decree No.47/2014/ND-CP dated May 15, 2014 of the Government providing for compensation, support and resettlement when the State recovers land - Decree No.155/2016/ND-CP dated 18/11/2016 of the Government, providing for the sanctioning of administrative violations in the field of environmental protection. - Decree No.25/2013/ND-CP dated March 29, 2013 of the Government on environmental protection charges for wastewater. - Decree No.67/2012/ND-CP of the Government, amending and supplementing a number of articles of the Government's Decree No.143/2003/ND-CP of November 28, 2003, detailing the implementation of Article of the Ordinance on the exploitation and protection of irrigation works. - Decree No.113/2010/ND-CP dated 03/12/2010 of the Government on the determination of damage to the environment. - Decree No.112/2008/ND-CP dated October 20, 2008 by the Government on management, protection and integrated exploitation of natural resources and environment of hydropower and reservoirs; - Decree No.120/2008/ND-CP dated 01/12/2008 of the Government on river basin management; - Decree No.72/2007/ND-CP dated 07/05/2007 of the Government on the management of dam safety; * Circulars - Circular No.27/2015/TT-BTNMT dated 19/05/2015 of the Ministry of Natural Resources and Environment on strategic environmental assessment, environmental impact assessment and environmental protection plan. - Circular No.36/2014/TT-BTNMT dated 30/06/2014 of the Ministry of Natural Resources and Environment, detailing methods of land valuation; building and adjusting the land price table, specific land prices and land pricing consultancy. - Circular No.37/2014/TT-BTNMT dated 30/06/2014 of the Ministry of Natural Resources and Environment, providing detailed regulations on compensation, support and resettlement when the State recovers land. - Circular No.30/2014/TT-BTNMT on land allocation, land lease, change of land use purpose, land acquisition. - Circular No.36/2015/TT-BTNMT dated 30/06/2015 of the Ministry of Natural Resources and Environment on the management of hazardous waste. - Circular No.22/2010/TT-BXD of the Ministry of Construction on labor safety in construction of works. - Circular No.19/2011/BYT-TT dated 06/06/2011 of the Ministry of Health, guiding the management of labor hygiene, health of workers and occupational diseases. - Circular No.13/2007/TT-BXD dated 31/12/2007, guiding a number of articles of Government's Decree No.59/2007/ND-CP dated April 9, 2007 on solid waste management. - Circular No.34/2010/TT-BCT dated 07 October 2010 of the Ministry of Industry and Trade, regulating the dam safety management of hydropower projects.

Environmental and Social Impact Assessment Report (ESIA)

* Decisions - Decision No.52/2012/QD-TTg dated 16/11/2012 of the Prime Minister on the policy to support job creation and vocational training for laborers whose agricultural land is acquired. - Decision No.3733/2002/QD-BYT dated 10/10/2002, issuing 21 labor sanitation standards, 05 principles and 07 labor sanitation criteria. - Government Directive in Document No.21/CT-TTg dated 14 October 2013 on strengthening the management of reservoir safety. Applicable standards - QCVN 01:2009/BYT: National technical regulation on drinking water quality. - QCVN 02:2009/BYT: National technical regulation on domesticwater quality. - QCVN 08-MT:2015/BTNMT: National technical regulation on surface water quality; - QCVN 09-MT 2015/BTNMT: National technical regulation on groundwater quality. - QCVN 14:2008/BTNMT: National technical regulation on domestic wastewater. - QCVN 40:2011/BTNMT: National technical regulation on industrial wastewater quality. - QCVN 39:2011/BTNMT: National technical regulation on water quality for irrigation. - QCVN 38:2011/BTNMT: National technical regulation on surface water quality to protect aquatic life. - QCVN 03-MT:2015/BTNTM: National technical regulation on limit of some heavy metals in soil. - QCVN 15:2008/BTNMT: National technical regulation on pesticide residues in the soil. - QCVN 43:2012/BTNMT: National technical regulation on sediment quality. - QCVN 05:2013/BTNMT: National technical regulation on Ambient Air Quality. - QCVN 06:2009/BTNMT: National technical regulation on hazardous substances in ambient air. - QCVN 26:2010/BTNMT: National technical regulation on noise. - QCVN 27:2010/BTNMT: National technical regulation on vibration. - QCVN 07:2009/BTNM: National technical regulation on hazardous waste thresholds. - QCVN 18:2014/BXD: National technical regulation on construction safety. - QCVN 04-05:2012/BNNPTNT: National technical regulation on hydraulic structures – The basic stipulation for design. - Other relevant technical standards and regulations. Legal documents provided by Project Owner

Environmental and Social Impact Assessment Report (ESIA)

- Decision No.4638/QD-BNN-HTQT dated 09/11/2015 of MARD on "Approval of Feasibility Study Report of World Bank-funded Dam Rehabilitation and Safety Improvement Project WB8". - Decision No.3107/QD-UBND dated 29/12/2016 of the People's Committee of Lao Cai province on the assignment for the Subproject Owner of the World Bank-funded Dam Rehabilitation and Safety Improvement Subproject". - Decision No.42/QD-SNN dated 20/04/2017 of Department of Agriculture and Rural Development of Lao Cai province, approving the term of refference, consultancy survey cost estimation,preparation of feasibility report and dam safetyreport of the Dam Rehabilitation and Safety Improvement Subproject (WB8) in Lao Cai province. - Decision No.93/QD-SNN dated 27/06/2017 of the Department of Agriculture and Rural Development of Lao Cai province on the approval of adjustment of consultancy survey cost estimation, preparation of feasibility report and dam safetyreport of the Dam Rehabilitation and Safety Improvement Subproject (WB8) in Lao Cai province. - Contract No.02/LC-CS2 dated 31/10/2017 of the Project Management Units for Agricultural Works Investment and Rural Development the MARD of Lao Cai province on the preparation of social-safety policy reports of the Dam Rehabilitation and Safety Improvement Subproject (WB8) in Lao Cai province. Adherence to the environmental and social impact assessment - The environmental and social impact assessment (ESIA) of the subproject is carried out in accordance with the environmental assessment procedure of the World Bank and the Government of Vietnam. In particular, the ESIAof the subproject is subject to the environmental and social management framework of the project, which has been reviewed and approved by the World Bank. The social and environmental screening is conducted for each subproject to determine the appropriate size and type of environmental assessment. Based on that, the TOR is prepared for the ESIAin accordance with the subproject scale and potential impacts expected from the subproject implementation. The environmental and social screening is conducted by World Bank‘s safety policy experts. Also, the TOR for the ESIAis reviewed and approved by the World Bank‘ssafety policy experts prior to the implementation. In the process of ESIA, consultations with affected people and local NGOs are conducted. The ESIA report will be publicly available at the sub-project site in Vietnamese version, so that affected people and local NGOs can access it and the English version will be uploaded on the World Bank's website prior to the appraisal of the subproject. 3.2. Regulations of World Bank The objective of these policies is to prevent and minimize impacts that may be avoidable to people and natural environment during the development process. The safeguard policies provide basis for stakeholders’ participation in project design and act as an important tool for building ownership among local people. The effectiveness and development of the WB’s projects and programs has been increasing significantly as a result of attention to these policies. The World Bank's safeguard policies are

Environmental and Social Impact Assessment Report (ESIA) available on the website at http://web.worldbank.org,where the environmental protection policies are published. 3.2.1. Project level The environmental and social screening of the project has been carried out in accordance with OP 4.01 and indicated that the WB Safeguard Policies on Environmental Assessment (OP/BP 4.01), Natural Habitats (OP/BP 4.04), Indigenous Peoples (OP/BOP 4.10), Physical Cultural Resources (OP/BP 4.11), Involuntary Resettlement (OP/BP 4.12), Safety of Dams (OP/BP 4.37), Projects on International Waterways (OP/BP 7.50) and Pest Management (OP 4.09) will be applied to this project. As a result of the environmental screening, the project is classified as Category A. In addition, the project must comply with the World Bank's requirements on public consultation and information disclosure. 3.2.2. Subproject level Environmental safeguard policies OP/BP 4.01 Environmental Assessment OP4.09 Pest management OP/BP 4.37 Safety of Dams Social safeguard policies OP/BP 4.10 Indigenous people OP/BP 4.12 Involuntary resettlement OP/BP 4.01 Environmental Assessment This policy is considered throughout the process of identifying, preventing and mitigating potential negative environmental and social impacts associated with the World Bank's lending activities. In the work of the World Bank, the purpose of environmental assessment is to improve decision making and to ensure that project options are being reviewed and sustainable and that the communities to be likely affected will be consulted. The Borrower is responsible for the environmental assessment (EA) and the bank advises Borrower the requirements of the Bank. The project is classified into one among four categories including A, B, C and FI depending on location, sensitivity, scale of the projects, and the nature and magnitude of potential environmental impacts. This subproject triggers OP 4.01 because it involves the construction activities of rehabilitation of dams which would likely cause potential negative environmental and social impacts. Based on the environmental screening results, the subproject is classified as Category B. As required by OP 4.01, the subproject has prepared an ESIA that meet the GoV’s regulations and the World Banks safeguard policy requirements. By the appraisal, the ESIA will be disclosed locally at the subproject sites accessible to locally-affected people and local NGOs and through the Bank’s external website as required by OP 4.01 and the Bank’s policy on access to information.

Environmental and Social Impact Assessment Report (ESIA)

OP4.09 Pest management The purpose of the pest management policy is to minimize and manage environmental and health risks associated with the use of pesticides, promote and support safe, effective and environmentally-friendly pest management. The purchase of pesticides in a WB-financed project must be assessed for the nature and extent of risks involved, taking into account the proposed and intended use. For pest management affecting one of the two sectors of agriculture or public health, WB supports a strategy to promote the use of biological control methods and reduce reliance synthetic chemical pesticides. In WB-financed projects, the Borrowers addresses pest management issues in the context of the project's environmental assessment. In appraising a project that will involve pest management, the WB will assess the capacity of the country's regulatory framework and institutions to promote and support safe, effective, and environmentally sound pest management. This policy is triggered because the subproject can use the insecticides for termite prevention in dam bodies. OP/BP 4.37 Safety of Dams This policy is triggered for the whole project because of the safe operation of dams related to socio-economic development and environment. When borrowing from the World Bank for construction of new dams, the Borrower must propose dam safety policies based on opinions of experienced and responsible experts in charge of design and construction supervision. The borrower approves dam safety measures and implements them throughout the project life cycle. This policy also applies to the rehabilitation and improvement of existing dams, which affect the performance of project. In this case, dam safety assessment should be undertaken and additional dam safety measures should be proposed. OP 4.37 recommends that, in appropriate circumstances, WB staff will discuss necessary measures with the client to strengthen institutional, legal and regulatory framework for dam safety programs of that countries. OP/BP 4.12 Involuntary resettlement The Involuntary Resettlement policy seeks to prevent severe long-term hardship, impoverishment, and environmental damage to the affected peoples during involuntary resettlement. OP 4.12 applies whether or not affected persons must move to another location. The Bank describes all these processes and outcomes as “involuntary resettlement,” or simply resettlement, even when people are not forced to move. Resettlement is involuntary when the government has the right to expropriate land or other assets and when affected people do not have the option to retain the livelihood situation that they have. This policy is triggered because the subproject would have impacts involving the temporary and permanent involuntary taking of land and the loss of structures and assets associated with the land for the construction of the university. By appraisal, the subproject has prepared and disclosed RPF and RAP. The RPF and RAP have been included the measures to ensure that displaced people are: (i) informed about the options regarding resettlement; (ii) consulted and offered alternative resettlement choices; and (iii) provided with effective compensation and livelihood restoration. OP/BP 4.10 Indigenous peoples The policy defines ethnic minorities that can be in particular geographical areas by the presence of varying degrees of the following characteristics:

Environmental and Social Impact Assessment Report (ESIA)

- Being closely linked as members of different ethnic minority groups and recognized these characteristics by others. - Gathering in different geographic or territorial habitats left by ancestors in the project areas and those geographic or territorial habitats are close to the nature. - Their cultural, economic, social or political customs and institutions are different from those of the majorities. - The ethnic minority languages often differ from the orthodox language of a region or a country. For the compulsory condition for approving an investment project, OP 4.10 requires the Borrower to undertake consultations and disclosures information to ethnic minorities that may be affected and to establish a broad community support model for its subprojects and its objectives. The projects financed by the WB shall include the calculations to (a) avoid potential negative impacts on ethnic minority communities; or (b) when it is not feasible to avoid potential negative impacts, measures should be proposed to minimize, mitigate, or compensate for impacts. This policy is for approving the project investment. OP 4.10 is required for 36 affected ethnic minority households and the ethnic minority communities benefiting from the project, mainly Mong, Dao, Tay. WBG EHS Guidelines The Guideline of the World Bank Group (WBG)/International Finance Corporation (IFC) relating the Environment, Health and Safety (EHS) was launched in 2008. It is an important guideline for environmental protection, health and safety in industrial development and other projects. This guideline sets out the goals that need to be achieved and what measures need to be taken to deliver the best results at reasonable cost. The Guideline can be accessed at the website www.ifc.org. World Bank’s policy on Access to Information In addition to the environmental safeguard policies to promote the transparency and the accountability, WB issued the information access policy relating to proposed safeguard measures. It sets out this policy to support Borrower in decision-making by allowing Borrower to access information relating to social and environmental aspects of project at the website via native language which is easy to understand and intuitive. The WB ensures that relevant environmental and social protection documents related to project as well as preparation procedures related to subprojects are introduced in a timely prior to the appraisal. WB’s information access policy requires disclosure of information in both English and Vietnamese languages and meets the World Bank’s standards.

Environmental and Social Impact Assessment Report (ESIA)

Table 7. Summary of environmental assessment processes of the WB & GOV

The stages in the WB Vietnam environmental (OP/BP 4.01 on Environmental (Decree No.18/2015/ND- assessment Assessment) CP, Circular process No.27/2015/TT-BTNMT) Screening - The lists (A, B, C, FI) - The lists: I, II, III and IV of Decree No.18/2015/ND-CP. - It is not mandatory for each specific case to classify, apply safety policy, - The rules stipulated inAppendix and determine environmental I, II and III –The list of the assessment tool (EA). projects that require SEA and EIA forsubmission and approval. - The World Bank will classify a proposed project into one of four - All projects that are not listed. categories including A, B, C, or FI - Generally, the Project Owners depending on the type, location, examine their projects based on sensitivity and scale of the project the classification as stated in and its nature, importance of Decree No.18/2015/ND-CP and potential environmental impacts. consult with the Department of - Type A: Requirement for full Natural Resources and Environmental Impact Assessment. Environment (DONRE) or In some cases, an ESMF is also Vietnam Environment required. Administration (VEA) to categorize and report EA - Type B: ESIA, ESMF or ESMP are requirements for them such as: required. In most cases, ESMF or ESMP are required. • The projects belong to Appendix I, II, III: SEA or - List C: No EA action. EIA are required. - List of FI: The ESMF is the most • The projectsbelong to common tool. In the case of a Appendix IV: EIA and EPP number of sub-projects that have are required. been identified before the appraisal, the FI will prepare specific tools • The projects that do not based on frameworks, such as ESIA belong to Appendix I, II, III or ESMP. and IV: EPP is required. Environmental - Depending on the project impacts, a - EA tools like SEA, EIA or EPP assessment tool series of tools are used to meet the are identified based on World Bank's requirements, Appendixes: I, II, III and IV of including: ESMF,specific Decree No.18/2015/ND-CP. environmental assessments, ESMP, EA - regional and sectoral; assessment of risks or hazards; and environmental audit. The World Bank provides general guidelines for implementing each tool. Scope of - The World Bank helps the - TOR for EA is not compulsory. environmental Borrowerto draft the TOR for EA - Normally, after consultation assessment and determine EA scope, procedures, with the local DoNRE or the timetable and outline of EA report. Vietnam Environmental Agency - For Type A projects, ESIA TOR is (VEA) about the types of EA, required and scope will be defined in aProject Owner will prepare an

Environmental and Social Impact Assessment Report (ESIA)

The stages in the WB Vietnam environmental (OP/BP 4.01 on Environmental (Decree No.18/2015/ND- assessment Assessment) CP, Circular process No.27/2015/TT-BTNMT) order that a Consultant can prepare EA report. the TOR for the environmental assessment report. Community - During the EA preparation, the - The Project Owner is consultation Borrower must consult with affected responsible for consulting with groups and local NGOs on the the People's Committee of the environmental aspects of a project commune, ward or township and focus on their views. (hereinafter referred to as the communes) where the project is - For Type A projects, the Borrower being implemented, and with shall consult these groups at least the mass organizations or twice: (a) immediately after the communities under direct environmental survey and before the impact of the project; Research EA TOR is completed; And (b) once and receive objective opinions a draft EA report has been prepared. and requests from relevant In addition, the Borrower will agencies to minimize negative consult with these groups throughout impacts of the project on the the project implementation process natural environment, as needed to address issues related to biodiversity and public health. EA that affect them. - The Commune People's - For Type B projects, there should be Committees where the project is at least onetime community implemented and the consultation. organizations under the direct - For meaningful consultations, the impact of the project will be Borrower provided relevant project consulted. The Project Owner is documents in a timely manner prior responsible for submitting the to consultation in a form and EIA report to the commune- language that the groupscan be able level People’s Committees to understand and approach. where the project is implemented and the - The minutes of the public meetings organizations under the direct are included in the report. impact of the project, together with a written request for comments. Within 15 working days from the date on which a EIA report is received, the commune-level People’s Committees and the organizations under the direct impact of the project are obliged to submit their responses if they do not approve the project. - The community consultation on project direct impacts is carried out in the form of community meetings co-chaired by the Investor and the commune People’s Committees where a

Environmental and Social Impact Assessment Report (ESIA)

The stages in the WB Vietnam environmental (OP/BP 4.01 on Environmental (Decree No.18/2015/ND- assessment Assessment) CP, Circular process No.27/2015/TT-BTNMT) project is implemented, with the participation of the community organizations as the Vietnam Fatherland Front, the socio- political organizations, the socio-professional organizations, the population quarters, the village/hamlet heads. All opinions of participants in the meetings must be fully and truthfully presented in the minutes of meetings. Public information - Before the World Bank conducts the - After the EIA report is project appraisal, the EA report must approved, the Project Owner is be made public in a way that is easily responsible for preparing, accessible to project-affected groups approving and proclaiming the and local NGOs. When the World EMP publicly at the Commune Bank officially receives the report, People's Committee offices, in the World Bank will publish the consultation with the report in English to the public via community, for people’s posting on the World Bank's website. information, inspection, monitoring (Article 16 of Decree No.18/2015/ND-CP). Independent - For Type A projects, the Borrower - Not regulated in Vietnam environmental retains independent EA specialists policy. expert who are not related to the project to - The Project Owner shall implement the EA. implement or hire a consulting - For A-projects which are at high-risk unit which satisfies the or contain multi-dimensional conditions specified in Clause environmental concerns, the 1, Article 13 of Decree Borrower will also hire a consultative No.18/2015 to make the EIA group of independent environmental report. The Project Owner or specialists who are international consultancy service providers qualified to advise EA-related project must fully meet the following aspects. conditions: (i) Staff responsible for EIA must have at least BA - Specialists/consultants will be degree and EIA consultancy selected through bidding process certificate; (ii) have specialized under the close supervision of the staff involved in the project World Bank. with a university or higher degree; (iii) Having laboratories and testing equipment certified as qualified for measuring, sampling, processing and analysis of environmental samples for environmental impact assessment of the

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The stages in the WB Vietnam environmental (OP/BP 4.01 on Environmental (Decree No.18/2015/ND- assessment Assessment) CP, Circular process No.27/2015/TT-BTNMT) project; In the absence of a laboratory, the calibration equipment that meets the requirements must be included in contract with qualified unit. EA - The Bank reviews EA's findings and - The Ministry of Natural review/approval recommendations to determine if it Resources and Environment process provides sufficient grounds for the shall appraise and approve EIA Bank to process the project. When reports of the projects specified the Borrower has completed or in Appendix III to this Decree, completed part of the environmental excluding the projects which are assessment work before the WB relating to defense and security participates in a project, the Bank contents. will consider the environmental - The ministries and ministerial- assessment to ensure its consistency level agencies shall appraise with this policy. The WB may, where and approve EIA reports of the appropriate, request additional projects under their competence environmental assessments, for investment approval, except including public consultation and the projects included in information disclosure. Appendix III to this Decree; - Provincial People's Committee conducts appraisal and approval of EIA reports for the projects in the province, except for the projects mentioned above. - The appraisal will take place at least 45 working days at the MoNRE level, 30 working days at the DoNRE level, and 05 working days at the district level, upon receipt of full EIA or EPP. The number - Number of copies are not specified. - The Project Owner must submit and language of at least 07 EIA reports - Language requirements: English and the EA/EIA (depending on the number of Vietnamese. EA reports in required the members of an appraisal Vietnamese are required for domestic council) and 01 feasibility study disclosure and must be in English for report or economic - technical publication on the World Bank report of the proposed project. website. Content of the - For Type A projects, the contents of - The contents of the EA report EA report the EA report are in Appendix B of must be in line with Circular OP4.01. No.27/2015/TT-BTNMT. - The EA scope for Type B projects may differ depending each project but their EA scope is narrower than

Environmental and Social Impact Assessment Report (ESIA)

The stages in the WB Vietnam environmental (OP/BP 4.01 on Environmental (Decree No.18/2015/ND- assessment Assessment) CP, Circular process No.27/2015/TT-BTNMT) that of Type A projects. An ESMP is an integral part of a Type A EA (regardless of other tools to be used). EA for Type B projects may also be an Environmental and Social Management Plan (ESMP) with the content set out in Appendix C of OP 4.01. EA Monitoring - During the project implementation, - The local DoNRE is entrusted the World Bank supervises the with supervising the implementation of the environmental environmental compliance of aspects on the basis of environmental the project. regulations. The Borrower includes - At the end of the project the report of the agreement in the construction phase, the loan agreement and described it in Environmental Management other project documents to determine Agencies will coordinate with if the compliance of the Borrower's the Construction Administration Environmental Procedures (mainly Agency to monitor the with EMP) is satisfactory. If the compliance with the EA compliance is not satisfactory, the environmental management World Bank, if it is necessary, will activities. discuss with the Borrower to ensure the compliance.

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CHAPTER 4. NATURAL, SOCIO-ECONOMIC CONDITIONS AND ENVIRONMENTAL STATUS

4.1. Natural conditions Lao Cai has an important geographic position in socio-economic development, national security and defence, and external economic development. The natural area of the province is 6,383.89 km2. The province consists of 01 city and 8 districts: Lao Cai city, Bat Xat district, Muong Khuong district, Si Ma Cai, Bac Ha district, Bao Thang district, Bao Yen district, Sa Pa district and Van Ban district with 164 communes and wards. The Subproject’s area includes 06 reservoirs, belonging to Bao Thang, Bat Xat, Bao Yen, Van Ban districts. 4.1.1. Geographical locations Lao Cai is a border highland province in the North East and Northwest of Vietnam. The North borders on Yunnan province. The southborders on Yen Bai province. The east borders on Ha Giang province. The westborders on Lai Chau province.

Table 8. Geography of Subproject’s districts

Construction No. Districts Geographical locations area

Phu Nhuan 1 The east and the north-east borders on Bac Ha and Muong commune BaoThang Khuong districts, the west borders on Sa Pa district, the Phong Nien northwest borders on Lao Cai city, the south borders on Bao 2 Yen and Van Ban districts. commune

The north borders on Bac Ha and Bao Thang districts. The 3 Pho Rang town Bao Yen west borders on Van Ban district. The east borders on Quang Binh district. The south borders on Van Yen district, Luc Yen district (Yen Bai province). It borders on two districts of Ha Khau and Kim Binh, Cana 4 Bat Xat town Bat Xat Ne ethnic autonomy, Di Hong Ha, Yunnan province, China. The center is Bat Xat town, 12 km from Lao Cai city.

5 Tan An commune It borders on Bao Yen district in the east, Lai Chau province Khanh Yen Ha Van Ban in the west, Yen Bai province in the south and southeast, 6 and Bao Thang and Sa Pa districts in the north. commune

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Phong Nien Comm,

Phu Nhuan Comm. Pho Rang town

Tan An comm.

Khanh Yen Ha comm.

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Figure 2. Geographic locations of subproject implementation 4.1.2. Topographic and hydrographical conditions The subproject is implemented in 06 communes and townships in 04 districts, which are typical for characteristics of topography and hydrology of Lao Cai province. (i). Topography, soil conditions Lao Cai topography is stratified with high altitude and the level of division is strong. There are valleys along Red River and roads, railways through the province center. In addition, there are many small mountains which are diversified, divided into different sub-ecological climate zones. The main slope directs North West to Southeast with large changes. Regarding the slope, Lao Cai topography is divided into two regions: - Highland: This is the mountainous area with high terrain levels including Bat Xat, Muong Khuong, Bac Ha, Sa Pa and Van Ban. This area has high density of rivers, streams and abundant surface water. - Lowland: this strip of land runs along Red River and Chay River, including Lao Cai city and the districts of Bao Thang - Bao Yen and the east of Van Ban district has lower elevation and the terrain is lesscraggy, there are many sloping hills and valleys, wide rice fields which isfavourable for agricultural and forestry production or infrastructure development. (ii). Hydrological condition There are 79 main rivers and streams. The two main river systems are Red River and Chay River running parallel with the longitudinal axis of the province.In addition, the streams like Ngoi Bo, Ngoi Dum, Nam Thi, Ngoi Xan, Ngoi Lung Po, Ngoi Nhu... are important surface water sources for the socio-economic development of Lao Cai province. According to the statistics, the whole province of Lao Cai has 79 irrigation water reservoirs with the total capacity of over 15.53 million m3, which irrigate about 3,279.1ha of rice and provide water for other needs. Most of the irrigation reservoirs in the province were built in the 1960s and 1980s of the last century, the survey of investment was not synchronous and stable. Over many years of use, the system of irrigation reservoirs in the province has been seriously degraded and are potentially dangerous risks. 4.1.3. Climate The climate in Lao Cai province is divided into two distinct seasons. Rainy season from April to September and dry season from October to March next year. The average temperature is 22.8°C and the rainfall is 1792 mm. The distribution of temperature, rainfall and humidity in the province is not large. The day and night amplitude in temperature is about 8  10C. The average annual rainfall in the subproject area is quite large of 1,652mm. The average annual sunshine hours in the subproject area is 1,539 hours. Mist: Fog is common throughout the province and very thick in some areas. In the very cold stages, in high mountains and valleys which are out of the wind, frost does appear and each

Environmental and Social Impact Assessment Report (ESIA) stage lasts 2-3 days. The prevailing wind speeds and direct in winter are north and northeast, and south and south-east in summer. The average annual wind speed in the subproject area is 1.4 m/s. The average wind speed in the months of a year ranges from 1.0 to 1.8 m/s. 4.1.4. Extreme weather phenomenon In May, June, and July, there are usually dry, hot winds that last up to 28 days. Typhoon impact on Lao Cai is negligible but cyclones frequently appear in February, March and April. (i). Landslide Landslide is a relatively common phenomenon of disaster in the mountainous area of Lao Cai province, especially many in Van Ban, Bac Ha and districts and less in Bao Thang district, Cam Duong town and Lao Cai city. For example, a landslide incident in Tham Duong commune, Van Ban district in the morning of September 5, 2011 damaged almost of the CPC headquarter and threatened primary and secondary schools of the nearby commune. However, the communes and towns in the subproject area has never been affected by landslides. Table 9. Statistics of landslide density and landslide points based on the administrative boundaries of Lao Cai

District Natural area Number of km of Numbe Sliding Slipping (km2) survey roadmap r of density/km2 of density/km of sliding area roadmap points Bac Ha 921 606.8 85 0.09 0.14 Bao Thang 673 793.5 34 0.05 0.04 Bao Yen 821 893.16 55 0.07 0.06 Bat Xat 1,050 737.1 88 0.08 0.12 Cam Duong 222 194.5 10 0.05 0.05 Muong 552 767.76 80 0.14 0.10 Khuong Van Ban 1,439 793.48 129 0.09 0.16 Sa Pa 679 440.4 53 0.08 0.12 (Source: Survey, assessment and zonation of landslide risk in mountainous regions of Vietnam - Institute of Geography and Minerals, 2014). (ii). Flash floods Lao Cai has a dense river system with 17 inter-provincial rivers, of which two main rivers are Red River and Chay River, 62 provincial rivers and hundreds of streams in the upstream. Due to the high mountainous terrain, the river and stream system is relatively thick. Most streams

Environmental and Social Impact Assessment Report (ESIA) have short, high slopes. Large rivers often meander with many rapids. On the other hand, the vegetation is sparse, after long heavy rains, there are frequent floods in the uplands. Due to the terrain and long-standing customs, ethnic minorities often reside and produce in valleys, at foots of high mountains or beside streams, which is easy to be in landslide when heavy, prolonged rainfall or is at risk of being swept away by flash floods. Floods often occur suddenly and quickly, most preventive measures of people as well as the government are not timely and often lead to unpredictable consequences. There are 10 flash flood points in Bao Thang district,06 flash flood points in Van Ban district,and08 flash flood points in Bao Yen district. However, the subproject communes do not belong to these sites. In the area of construction of 06 reservoirs which have never affected by floods, flash floods. (iii). Earthquakes Earthquakes in Lao Cai province (classified by the Report of the Project on Investigation, Assessment and Delimitation of Landslide Risk in Mountainous Areas of Vietnam, MONRE, 2014) are rated at the highest level, which can reach level 5. In the province, there are quite many earthquakes with small intensity and light vibration and without damage to property as well as human. However, earthquakes may be one of the increasing risks of landslides in the area. In the construction area of 06 reservoirs, since the past there have been neither impacts nor damages caused by earthquakes. (iiii). Consequences of natural disasters The statistical results of natural disasters in the period from 2010 to 2014 show that disasters killed 68 people, injured 138 people, completely collapsed and damaged 21,826 houses and over 21,796 ha of rice and crops, of which over 500 ha of agricultural land were eroded and are not arable, over 555 traffic, irrigation works and other infrastructure were destroyed. The total economic loss in 5 years is VND 1.326 billion. The results show that there was control, response to impacts of natural disasters, contributing to minimize losses. 4.1.5. Biodiversity According to the environment report of Lao Cai province in 2010-2015 period, the biological resources in the province are typical for many kinds of flora and fauna in Vietnam. This is the province with highly diversified biodiversity, special features of temperate, subtropical and tropical climates and is considered one of the biodiversity centers in Vietnam. However, as the result of the environmental and social screening, the subproject area in 04 districts do not contain nature reserves, national parks, national reserves, natural forests, wetlands, and important habitats. (i). Natural forest ecosystem Van Ban district owns the largest forest area of 91,983 ha, accounting for 28.08% of the province's total forested area, which also reserves many types of rare and valuable woods. Bao Yen and Bao Thang districts have large plantation forest. Si Ma Cai district has the lowest forest coverage of 25% (6,785.7 ha).

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(ii). Flora and fauna Flora The construction sitein 06 areas is mainly production forest, fruit trees, vegetables and shrubs like “Gie”, “Khao”, “Thau Tau”, “Hoac Quang”, “Voi thuoc”,“Muong”, “Mo”, Acacia, Melaleuca... and fruit trees like longan, litchi, jackfruit, lemon, jack ... Fauna Due mainly to the areas of horticultural gardens, production forests which are so poorly diversified with the major bird species as Dicaeidae, Passeriformes, Pycnonotus jocosus, and locally adapted insects as Coconut beetles, Cerambycidae,... in addition to the ponds rearing fish, reptiles: grass carp, carp, carp fish, frog... Table 10. The ecology in 06 reservoirs

No. Locations Biological characteristics 1 Ta Xin reservoir, Bat -Surrounding reservoir is mainly Acacia, Senna siamea, Xat commune, Bat Xat Melaleuca, longgan plantations, the highest trees is less district than 4m high, the below vegetation is mainly grass and shrubs. - Aquatic animals: mainly freshwater fishes such as carps, barb... crustaceans such as crabs, snails, shrimp ...; - Terrestrial animals: mainly poultry species raised by households such as chicken, ducks, cats, dogs and some birds such as Dicaeidae, sparrows... 2 Pho Rang reservoir, -Surrounding the lake is acacia, longan, bamboo, litchi, Pho Rang town, Bao jackfruit plantation and grass and bushes, vegetable Yen district - Aquatic animals: mainly freshwater fish such as major carp, barb... crustaceans such as crabs, snails, shrimps. - Terrestrial animals: mainly low-level animals such as mice, snakes, lizards, bird species as Dicaeidae, Passeriformes,..., and locally adapted insects as Coconut beetles, Cerambycidae. 3 Phu Nhuan reservoir, Around the reservoir is an hillside, mainly newly planted Phu Nhuan commune, Gie, Khao,Thau Tau, Hoac Quang, Voi thuoc,Muong, Mo Bao Thang district and Acacia trees, mainly under-4m trees and grass. - The aquatic fauna is simply shrimp, crab, freshwater fish .... - Terrestrial animals: Some species of birds such as dicaeidae, sparrows, insects, frogs ... 4 Phong Nien reservoir, - The area around the reservoir is mainly cajuput, acacia, Phong Nien commune, bamboo, banana, longan, lichi ..., the height is less than 5m; Bao Thang district grass, shrubs and vegetables. - Aquatic animals: mainly freshwater fish, crabs, shrimp, snails ...; - Terrestrial animals: mainly poultry species raised by households such as chickens, ducks, cats, dogs and some

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birds such as dicaeidae, sparrows, insects, frogs ... 5 Tan An reservoir, Tan -Surrounding the reservoiris acacia, senna siamea, longan. An commune, Van Ban The highest tree is about 4m. The lower vegetation is district dominated by shrubs, weeds and vegetable crops. - Aquatic animals: mainly freshwater fish such as major carp,... crustaceans such as crabs, snails, shrimps. - Terrestrial animals: mainly poultry species raised by households such as chickens, ducks, cats, dogs and some birds such as dicaeidae, sparrows, insects, frogs ... 6 Sung Lang reservoir, - Surrounding the reservoir are dominated by Melaleuca, Khanh Yen Ha Acacia, Bamboo, Guava, Grapefruit, Banana, Longan, commune, Van Ban Litchi, grass, shrubs and vegetables. district - Aquatic animals: mainly freshwater fish, crabs, shrimps… - Terrestrial animals: mainly poultry species raised by households such as chickens, ducks, cats, dogs and some birds such as dicaeidae, sparrows, insects, frogs ... The fauna and the flora in the subproject area are potentially affected by the subproject construction activities, which are also considered as ecologically sensitive and require mitigation measures for these ecosystems. 4.2. Social and economic conditions The population in Lao Cai province includes 684,290 people (statistic data in 2016). The population density is 108 people/km2.There are 25 ethnic groups living in harmony, in which ethnic minorities account for 64.09% of the province's population. The ethnic minorities are living in 09/09 districts and city of the province. The administrative divisions include Lao Cai city and 08 districts with 164 communes and townships. The socio-economic conditions in 06 communes/towns in the subproject area are recorded 04 districts of Bao Thang, Van Ban, Bao Yen and Bat Xat. 4.2.1 Occupational structure The employment of people in the sub-project area in the 06 surveyed areas is quite diversified with many different occupations relating to agriculture, forestry, fishery, aquaculture, trade, services, and handicraft. However, the households engaged in agriculture and forestry occupy the highest percentage with 85.5%.

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2.1% 0 2.8% 4.5% 5.1%

Cán bộ, công chức Nông, lâm, ngư nghiệp Buôn bán, dịch vụ 85.5% Làm thuê, lao động tự do Hưu trí, nội trợ

Figure 3. Summary of the occupational structure in the sub-project area In the structure of occupations, the households doing only one occupation occupy a small proportion. Most households do more than one occupation. The results of group discussions in the sub-project communes show that there are the following types of occupations: agriculture + secondary jobs; pure agriculture; agriculture + services; agriculture/handicrafts + government cadres; agriculture + services + handicrafts; completely non-production, business, service; agriculture + handicrafts + trade; others. Among06 project communes, Pho Rang town and Bat Xat town are 02 centres of Bat Xat and Bao Yen districts, where the proportion of people working in agriculture is lower. The people here are mainly doing business and services to serve the large needs of people living in the towns. In the remaining communes: Tan An, Khanh Yen Ha, Phong Nien and Phu Nhuan, the majority of people rely on agriculture. The rate of agricultural production in Tan An commune is 85% and in Khanh Yen Ha commune is 70%. The agricultural products of these households are mostly rice, in addition to maize, tea, fruit and winter crops. 4.2.2 Income The survey results show that the majority of the households in the sub-project communes earn from 3 to 5 million VND/month, accounting for the highest proportion (49%), followed by the incomes of 5 to 7 million (32.3%), the income less than 3 million VND accounts for the third with 10.5%, and the highest income of over VND 7 million VND/month is only 8.2%, as illustrated in the chart below.

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49.0% 50.0% 45.0%

40.0% 32.3% 35.0% 30.0% 25.0% 20.0% 10.5% 15.0% 8.2% 10.0% 5.0% 0.0% Dưới 3 triệu Từ 3-5 triệu Từ 5-7 triệu Trên 7 triệu

Figure 4. Summary of survey results of household income The income sources of the affected households in these 6 communes are mainly from agricultural production, in addition to livestock, unstably hired labor, gardeners, foresters... The high income households are usually those who are doing business or handicrafts ... and most of them live in Bat Xat and Pho Rang towns. Below is a summary of the income per capita in 06 communes. Table 11. The average income per capita in the subproject communes

Average income per No. Districts Communes capita/year (VND)

1 Bat Xat Bat Xat town 31,500,000

2 Tan An 18,000,000 Van Ban 3 Khanh Yen Ha 26,300,000

4 Phong Nien 24,600,000 Bao Thang 5 Phu Nhuan 28,300,000

6 Bao Yen Pho Rang town 32,000,000

IV Total 26,100,000

(Source: Socio-economic report of 06 communes in 2016) 4.2.3 Water and environment sanitation In the 06 sub-project communes, there are many different sources of water used by people as tap water, well water, lake water, stream water, rainy water. In the communes as Khanh Yen Ha, Bat Xat, Pho Rang, Tan An, and Phu Nhuan, clean water is supplied from the water plant with the utilization rate of less than 65%. In other localities, people use well water or stream

Environmental and Social Impact Assessment Report (ESIA) water for living. Many households use two or three different water sources for their daily living. According to the survey data around the construction sites, the majority appears in the use of dug-well water (45.8%) and rain water (56.7%); stream water is only 35.5%.

60.0% 56.7%

50.0% 45.8%

40.0% 35.5%

30.0% 22.4% 20.0%

9.3% 10.0%

0.0% Nước sạch Giếng khoan/đào Hồ thủy lợi Nước mưa Nước suối, khe

Figure 5. Summary of the current status of domestic water use In the sub-project communes, 99.8% of households built toilets. The number of households without toilets is only 0.2%. The highest is septic and semi-septic toilets (52.4%), followed by double-compartment latrines (32.2%), and simple latrines account for 11%.

0.2% 4.2% Nhà vệ sinh tự hoại, bán tự hoại 11.0% Nhà vệ sinh hai ngăn

52.4% 32.2% Nhà cầu đơn giản

Nhà cầu trên ao, sông, suối, kênh mương Không có nhà vệ sinh

Figure 6. The status of using toilets in the construction areas Table 12. Summary of socio-economic situation in the sub-project construction area

No. Locations Summary of socio-economic situation 1 Ta Xin reservoir, Bat Xat town has 11 residential groups with 1336 households, 4941 Bat Xat people. There are 10 ethnic groups living in the area, including 95% of commune, Bat Kinh, 2.2% of Day, and 2.1% of Dao. The Natural land area is 334.57ha, Xat district including 156.53ha of forest land, 39.77ha of planting annual crop land.

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No. Locations Summary of socio-economic situation Perennial land is 6.81ha. Aquaculture land is 16.52ha.Residential land is 46.76ha. Special land is 51.34ha and other land is 11.62ha. 2 Pho Rang The area is 1,360 ha, in which agricultural and forestry land is 851.93 ha reservoir, Pho (276.8 ha of agricultural land, 546.93 ha of forest land).By 12/2015, there Rang town, Bao are 86,995 people of 2,524 households. Pho Rang town has 11 ethnic Yen district groups. 3 Phu Nhuan The natural area of the commune is 8,338.0 ha, of which: agricultural reservoir, Phu landis 5,763 ha (agricultural land is 830.86 ha, forestry land is 4,845 ha, Nhuan aquaculture is 87.36 ha); non-agricultural land is 541.57 ha; unused land is commune, Bao 2,033 ha. The commune has 9,513 inhabitants with 2.161 households. The Thang district a household size is 4.4 persons/household. There are 5 ethnic groups in 33 villages. The total labor force in the whole commune includes about 4,737 laborers, accounting for 49.79% of the total population, with an average of 2 laborers/household, of which laborers in agriculture, forestry and fishery account for about 70.0% of the labor force, commerce, services and other occupations account for about 30% of total labor ; the income reaches 98.20 billion ; the income per capita reaches 9,921,000 VND/person/year. 4 Phong Nien The natural area is 4,225ha; the forest land is 2,050ha, accounting for reservoir, Phong 48%; There are 08 ethnic groups living in the commune,. The traditional Nien commune, festivals like the Nung farmers’ festival, Dao’s dancing festival... created Bao Thang rich cultural activities. district 5 Tan An The natural area is 3,171ha, including 777 households with 3,370 people. reservoir, Tan The number of laborers in the working-age is 1,927, accounting for 54.6% An commune, of the commune population, who are mainly unskilled workers, the skilled Van Ban district workers is 12%. There are 13 ethnic groups. In 2016, the survey results in the whole commune found 235 poor households and 98 near-poor households, decrease of 5.8% of poor households. Total budget revenue in 2016: VND 4,261,022,866; Total budget expenditure: VND 3,248,692,964; Total income from services: 5.5 billion; Industrial and handicraft value in the year reached 5.8 billion; The average product value per ha of cultivated land was 53.5 million VND/ha. 6 Sung Lang The natural area is 6,512.69ha. The commune has 17 villages with 1,200 reservoir, Khanh households and 5,359 people. There are 03 ethnic groups Tay, Kinh, Yen Ha Mong. commune, Van The economic development is on average level. The main occupation is Ban district agro-forestry production, accounting for over 75%.

Total food output in 2016 is 3,336 tons. In 2016, there are 102 households, accounting for 8.5% of the poor households; The employment structure is 94.4%; The average income per capita in 2017 is over 26 million VND; The total number of laborers in working age in the area is 3,130, of which

Environmental and Social Impact Assessment Report (ESIA)

No. Locations Summary of socio-economic situation 3,058/3,130 are those who can work; the skilled workers are 808/3,330. The situation of security and order in the area of 04 communes and 02 towns have been well maintained, security and order was ensured. 06/06 units meet the criteria of security and order in construction criteria. new rural areas, ensuring social security; In addition to the public security at communes, towns, in residential areas, security and order teams have been set up to carry out the task of ensuring security and order in the area. 4.3. The technical infrastructure in the subproject area Because the subproject area is located in 04 districts, it has basic characteristics of infrastructure, socio-economic conditions of Lao Cai province. 4.3.1. Traffic system Road traffic: The total length of roads in Lao Cai province is about 5,700 km with the density of 0.84 km/km2. The traffic network includes Hanoi-Lao Cai Expressway and Lai Chau, Dien Bien, Son La via HW70, HW79, HW4D,HW4E, provincial roads and district roads, which are widespread and fairly uniform in the districts and towns and ensure the convenient transportation. Railway traffic: The current, unique railway system passing through Lao Cai province is Hanoi-Lao Cai railway with the total length of 296 km. Waterway transport: The whole province has about 400 km waterway of rivers and streams (excluding small rivers and streams). The water surface area accounts for over 15% of the natural area. Cargo and passenger transport by rivers accounts for a modest proportion (nearly 3%) compared to the total transport volume of the province. 4.3.2. Hydrological and water supply system Due to the wide spread of 04 districts of Bat Xat, Bao Thang, Bao Yen and Van Ban, the terrain is separated by Hoang Lien mountains and Red River, which are characterized by mountainous terrain. Agriculture, drainage are related to tributaries, small rivers and streams of the hydrological system. In the subproject area, there is a system of dense rivers and streams, of which the main rivers are Red River and Chay River, running parallel with the longitudinal axis of the province and forming a network of rivers and streams in the province with the average density of 1.5-1.7 km/km2. Besides, there are other smaller tributaries but important sources of water, which contribute significantly to the socio-economic activities of the province, including the supply of water for daily life, planting and hydropower development. ❖ Red River The Red River originates from China's Yunnan province at an altitude of 1,776m.It flows northwest to southeast. It first comes into contact with Vietnamese territory in A Mu Sung commune and then flows along Vietnam-China border with a length of about 80 km and completely flows into Vietnam territory at Red River junction with Nam Thi stream. The total length of Red River through Lao Cai is 110 km. ❖ Chay River

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It is in the east of Con Voi mountain range. Chay River is the second largest tributary in Lo river basin. It originates from Tay Con Linh mountain - the highest mountain in the Northeast (2,419m) and the north-eastern slope of Kieu Lien Ti Mount (2,420m), then passes northwest of Ha Giang, Lao Cai and Yen Bai provinces and merges with Lo River in Doan Hung, 62 km from Lo River mouth. Chay River flows through Si Ma Cai, Muong Khuong, Bac Ha and Bao Yen districts of Lao Cai province. The topography of the river basin is gradually decreasing North - Northwest to the Southeast. The average height of the river basin is 858m. ❖ Nam Thi River The basin area is mainly in Chinese territory. The River originates from Yunnan - China and flows into Lao Cai province in Lao Cai city. It acts as the national border between Vietnam and China. The features of Nam Thi River are:narrow, less waterfalls, small boats can travel. Nam Thi River is being exploited to supply water for Lao Cai city. ❖ Dum canal and Bo canal Originating from the high mountains of Sa Pa district, flowing through Bat Xat district and Lao Cai city, and then pouring into the Red River. The canals are wide, deep and abundant with water. The water source is mainly used for irrigation, water supply and electricity generation. ❖ Nhu canal Originating from the mountainous area of Van Ban district, it flows from the Southeast to the North West and then the Red River. It is wide, deep and sloping as a combination of many rivers, including Nam Tha, Cho canal, Chan stream, Ma canal, Co canal, etc. 4.3.3. Communications Telecommunications, information technology and telecommunication infrastructure have been developing and more and more modern. 100% of communes in Lao Cao province are covered by cellular network for mobile phones. Optical fiber transmission is invested in all 9/9 district centers. 100% of enterprises deploying high quality telecommunication services with modern technology. The number of internet subscribers reaches over 71.2 thousand. IT infrastructure is being built with many modern, synchronous practical applications. 4.3.4. Waste collection system The volume of domestic solid waste collected in Lao Cai province is mainly in Bao Thang, Bao Yen, Van Ban and Bat Xat districts (132.6 tons/day, accounting for 59.6% of the total domestic solid waste volume in the province). The generation rate of domestic solid waste is about 0.4-0.45 kg/person/day and district accounts for the lowest of 1.5 tons/day. Waste in the districts is managed by the district urban environmental enterprises (under the management of the Urban Environmental Limited Company of the province),the environmental sanitation teams of the town People’s Committees or the private enterprises managed by the Department of Urban Management Office of the districts. They collect, transport and treat domestic solid waste from adjacent towns and communes.

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For rural communes in the districts, up to now, there are not any units to collect domestic solid waste, therefore they collect and burning the communes. Due to the small scale collection, the collection rate in rural communes is very low at 5-10%. The situation of urban solid waste collection in the subproject area is described in the table below. Table 13. The status of waste collection sites in 04 subproject districts

Waste Collection No. Districts collection Capacity(m3) Collection units Collection scope rate(%) points 1 Bao Thang (Phu Nhuan, Nguyen Cong Chieu Private Lu town and 2 40 80-90% Phong Nien Enterprise Tang Loong town reservoir)

2 Huy Hoang Urban One Bao Yen (Pho Member Co., Ltd Pho Rang town 85% Rang 3 65 reservoir) Bao Ha Environment Sanitation Team Bao Ha town 80-90%

3 Hoang Yen Industrial ( reservoir) 2 60 Environment Co., Ltd town 90%

4 Van Ban (Tan Environmental sanitation An, Sung station - Economic Lang 2 40 Infrastructure Department - Khanh Yen town 90% reservoir) District People's Committee

5 Bat Xat (Ta Lao Cai Urban Environment Xin reservoir) 2 40 Co., Ltd Bat Xat town 90%

(Source: Lao Cai Environment Report for 2011-2015) 4.4. Environmental status Due to the characteristics of mountainous topography, 06 reservoirs are located in valleys and surrounded by cultivated hills and forests. The Consultant Agency undertook observation and sampled at subproject sites in November 2017. Specifically, there are 18 air samples, 18 surface water samples, 18 ground water samples and 18 soil samples. The samples were analyzed by the Environmental Engineering Limited Company, registration number:VILAS 499-VIMCERTS 004 (The details of locations, comparison and samples are in Appendix 7). 4.4.1 Air environment, noise and vibration The results show that the quality of the air environment in the sub-project area is in line with the standard, 06 reservoirs have cool climate conditions, Production forest vegetation, bushes grow well. The monitoring parameters are within the limits of QCVN 05:2013 and QCVN 26:2010/BTNMT, QCVN 27:2010/BTNMT on ambient air quality (dust, noise, vibration). This is in line with the climate map showing the quality of the air environment in the subproject areas.

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Figure 7. Localizing map of Lao Cai air quality, 2011-2015 (Source: Lao Cai province environmental status report, 2011-2015). 4.4.2Water Environment 06 reservoirs were surveyed. 03 representing samples of surface water were taken for each reservoir. The analysis results show that the surface water quality monitoring parameters in all 06 reservoirs are good, lower than the standards, QCVN08-MT:2015/BTNMT column B1.

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Figure 8. The surface water quality map in Lao Cai province, 2011-2015 (Source: Environment report in Lao Cai province, 2011-2015) The subproject area is mostly located in rural area. Industrial activities in the reservoir basins are almost none. The main source of waste are from farming, agricultural production and breeding. However, this source is negligible. The surface water quality in the subproject area is quite good, which can be used for irrigation or other purposes that require the similar water quality. We monitored and sampled underground water for the quality analysis in the construction areas of 06 reservoirs.03 underground water samples were taken in each area of reservoirs where there are households living around and below dam body. As a result, the analytical parameters are lower than the standards of QCVN 09-MT:2015/BTNTM. 4.4.3 Soil environment According to the analysis results, the contents of typical heavy metals in soil like Cu, Pb, As, ... in the subproject areas are within the permitted limits in accordance with the Vietnamese standard (QCVN 03-MT:2015/BTNMT). Therefore, the environmental quality in the subproject area has no signs of pollution to the environmental components and the monitoring parameters are within the permitted standards (the details of the monitoring parameters are in the Appendix).

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4.5. Special effects and sensitive works The Subproject is implemented in 06 communes/towns, scattered in 04 districts of Lao Cai province. During the implementation process, the large area will have impacts on environment and people's activities. Specific impacts on sensitive structures when the dam safety rehabilitation in the 06 reservoirs are presented in the table below. Table 14. Description of particular works in the reservoir area Construction Sensitive receptors works ❖ Na Nuot Restaurant On the right bank of the dam, there are 03 floating houses on the reservoir and 01 restaurant with 50 seats which serves frequent meals everyday and has 08 waiters.

Ta Xin reservoir-Bat Xat town

The reservoir ❖ Fish cage culture in Pho Rang There are fish cages of grass carps, carps … of households in 2710 m2 of surface town, Bao water of the reservoir, who are living ashore.

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Construction Sensitive receptors works Yen district.

❖ The Secondary School of Tan An commune The school is located along Provincial Road 151 - the material and spoil transporting route during the construction of the reservoir in Tan An commune. ❖ People’s house close to Tan An reservoir dam The house is in Tan Son, Tan Chau villages next to the only road of the dam, the distance from fences and houses to the road edge is about 1.5m.

The reservoir in Tan An commune

Khanh Yen ❖ The cultivation area in downstream Ha reservoir, The cultivation area of 2-crop rice, 1-crop of vegetable and aquaculture area in the Van Ban downstream, which regularly uses water from Khanh Yen Ha reservoir for district agricultural cultivation.

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Construction Sensitive receptors works ❖ The aquaculture pond in the upstream The aquaculture pond area is located in the upstream of Khanh Yen Ha reservoir, about 1500m2, which raises grass carp, hypophthalmichthys, carp, ... all year round.

❖ Aquaculture area On the water surface, there are 4-6 fish cages, mainly near the main dam of the reservoir in Phu Nhuan commune. ❖ Tea processing factory It is located about 600m from the reservoir in Phu Nhuan commune, along the inter- The reservoir commune road to the south. An Tuan tea factory regularly has 20 workers, their in Phu Nhuan average income is 5-6 million VND/person/month. commune, ❖ Nursery and fishery seed production level 1- Lao Cai Department of Bao Thang Agriculture district The aquaculture area is over 06 hectares of water surface, about 600 meters from the main reservoir in Phu Nhuan commune. It concentrates on producing and selling economically valuable young fish for intensive and semi-intensive farming such as hybrid carp, unisexual tilapia and specialty fishes: black carp, goby, lobster, hemibagrus guttatus, yellow catfish ..., provide more than 4 million young fish annually and over 04 millions of varieties to culture households in and outside the province.

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Construction Sensitive receptors works

❖ The aquaculture pond in the downstream The aquaculture area of 800m2 pond is located at the main dam foot of the reservoir in Phong Nien commune. ❖ The landslide area of the dam access road This area is located about 400m from the reservoir downstream of Phong Nien commune. The main road to the dam is regularly eroded on both sides of the positive and negative talus. ❖ The poultry farm, fish pond in the reservoir The farm is located in the reservoir bed of Phong Nien commune, including raising pigs, poultry and fish.

The reservoir in Phong Nien commune, Bao Thang district

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CHAPTER 5. ASSESSMENT OF ENVIRONMENTAL AND SOCIAL IMPACTS

5.1. Types and scale of impacts The subproject to be implemented in the area will have potential impacts during the construction stage, however, the impact is not large and mitigable. After the completion of construction, the residential areas in the 06 reservoirs will be benefited from the restoration of public services/facilities, which promote economic growth and access to social services. Important flood control structures that are roads and dams to be repaired, solidified, rehabilitated will increase the safety for people and property in bad weather conditions. Potential negative impacts are identified and screened at each subproject component from the preparation phase to the operational phase and classified according to the nature of the construction works. Most negative impacts are temporary, localized and reversible due to small to medium-sized construction scale of the works. Impacts can be minimized by applying appropriate technologies and specific mitigation measures with the close monitoring of the Consultant, PPMU and local communities. Potential environmental impacts are classified in the table below, in which1: Table 15. The criteria for classification of negative impacts

Impact/Level Low Moderate High Waste water discharge Exceeding technical Exceeding technical Exceeding technical (domestic and waste regulations from waste regulations from waste regulations more industrial waste water) 1.1 times to less than 1.5 times to less than than 3 times, discharge 1.5 times and the 03 times, the discharge volume is more than 10 discharge volume is volume is 5 - 10 m3/day less than 5 m3/day m3/day Dust and emissions Exceeding the standard Exceeding the standard Exceeding the standard of 1.1 times to less than of 1.5 times to less than of 3 times, the 1.5 times with the 3 times with the emission level is more emission level of less emission level of 500 - than 5000 m3/h than 500 m3/h 5000 m3/h Noise Exceeding the standard Exceeding the standard Exceeding the standard of 2 to 5 dB from 5 to 10 dB more than 10 dB Vibration Exceeding the standard Exceeding the standard Exceeding the standard of 2 to 5 dB from 5 to 10 dB more than 10 dB Domestic solid waste Generated less than Generated from 1,000 Generated more than 1,000 kg/day to 2,000 kg/day 2,000 kg/day Hazardous solid waste Generated less than Generated from 100 - Generated more than 100 kg/day 600 kg/day 600 kg/day Explosion, oil spill Less than 2,000 kg Generated from 2,000 Generated more than to 10,000 kg 10,000 kg Potential negative environmental and social impacts are defined by types such as direct, indirect, short-term, long-term and cumulative impacts.

1Based on Decree No.155/2016/ND-CP on sanctioning of administrative violations in the field of environmental protection.

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Direct impacts: Direct impacts occur through direct interactions of a subproject activity with environmental and social/economic components. Indirect impacts: Indirect impacts on the environment and society are those that are not direct results of a subproject but often created later or results of a complex mode. Indirect impacts are also known as secondary or even tertiary effects. Cumulative impacts: the impacts which are created are results of a combination of a subproject with other projects that cause associated impacts. These impacts occur when there are incremental impacts of a subproject and cumulative impacts from other projects in the past, present, or future that may be predictable. Temporary impacts: the impacts which occur during construction or within a short period of time after construction. Long-term impacts: the impacts which arise during the construction process but most of their results appear in the operational phase and may last for decades.

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Table 16. Types and levels of negative impacts of Lao Cai Subproject

Project components Physical impacts Biological impacts Social impacts Other impacts Air, Soil, Solid Forest, Air, Soil, water Solid Forest, Air, noise, Soil, Solid noise, water waste, natural noise, waste, natural vibration water waste, vibration sludge habitat vibration sludge habitat, sludge religions

(1) The reservoir in Phu Nhuan commune, Bao Thang district, including: (i) Scope of work: Reinforcement of dam upstream slope; Building new water- intake culverts and draining culverts; Rehabilitation of spillway; Upgrading existing management road with concrete with L = 1.8 km, Bm = 3m; Building management and operation house. There are no households whose land is acquired. (2) The reservoir in Phong Nien commune (Coc Sam 4 reservoir), Bao Thang district, including: (i) Scope of work: Reinforcement of dam upstream slope; Building new water-intake culverts and draining culverts; Rehabilitation of spillway; Upgrading existing management road with concrete with L = 0.5 km, Bm = 3m; Building management and operation house. (ii) The households whose land is permanently acquired include 04 households with the total of 749m2 of land. (3) The reservoir in Pho Rang town, Bao Yen district, including: (i) Scope of work: Reinforcement of dam surface, upstream and downstream slopes; Building new water-intake culverts and draining culverts; Rehabilitation of spillway; Upgrading existing management road with concrete with L = 2.0 km, Bm = 3m; Building management and operation house. (ii) The households whose land is permanently acquired include 22 households with the total of 2,241 m2 of land. (4) The reservoir in Khanh Yen Ha commune (Sung Lang), Van Ban district, including: (i) Scope of work: Reinforcement of dam upstream slope; Building new water-intake culverts and draining culverts; Rehabilitation of spillway; Upgrading existing management road with concrete with L = 0.3 km, Bm = 4.5m; Building management and operation house. (ii) The households whose land is permanently acquired include 30 households with the total of 7,050 m2 of land. (5) The reservoir in Tan An commune (Khe Quat), Van Ban district, including: (i) Scope of work: Reinforcement of dam upstream slope; Building new water-intake culverts and draining culverts; Rehabilitation of spillway; Upgrading existing management road with concrete with L = 0.3 km, Bm = 4m; Building management and operation house. The households whose land is permanently acquired include 09 households with the total of 1,600 m2 of land. (6) (6) The reservoir in Bat Xat town (Ta Xin reservoir ), Bat Xat district, including: (i) Scope of work: Reinforcement of dam upstream slope; Building new water-intake culverts and draining culverts; Rehabilitation of spillway; Upgrading existing management road with concrete with L = 4 km, Bm = 3.5m;

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Pre-construction phase N N N N N N N N N N N Construction phase M M M N L L L N M L L Operation phase N N L N N N N N N N N Note: - Impacts are small to moderate and can be mitigated through the application of technical solutions (ECOPs) - Impacts on cultivation, agricultural land No (N) - No impact Low (L) - Low impact: small, localized, and temporary Moderate (M) - Moderate impact: localized, temporary and moderate impact and mitigation measures should be applied; High (H): The high risk of environmental and social impacts, which can only be controlled, minimized if appropriate mitigation measures are applied. Both M and H levels require mitigation measures, adherence to environmental safeguard policies, monitoring and improvement of institutional capacity about safeguard policies.

5.2. Environment and social positive impacts 5.2.1. Social Impacts The Subproject after completed will bring benefits to the community and local authorities, namely, dam body and dam slope to be rehabilitated will ensure safety for downstream areas in rainy seasons, limit leakage and loss of water, ensure the flow of irrigation water for agricultural production in the downstream in accordance to the local government's production regulation plan, increase productivity and agricultural productivity as well as crop yields and aquaculture development. The works to be rehabilitated will ensure the stable supply for over 539.3 ha of paddy and vegetable areas throughout the year in the downstream of seven communes and towns. They supply water for over 5540 m2 aquaculture area and limit negative impacts on the environment, landscapes of the reservoir areas and downstream. They stabilize the aquaculture water surface non-agricultural production and business, increase income and living standard as well as create more jobs and income, especially for manual labor groups and seasonal workers. 5.2.2. Environmental Impacts (a) Impacts on the air quality and microclimate condition in the region

The rehabilitation of the reservoir construction works will affect the air environment at the construction phase but in small space and impacts are local and intermittent. When the reservoirs are operated, they will have positive impacts on the change of some meteorological factors in the areas. For example, the stabilization of water surface will change the microclimate condition of each reservoir area and the moisture which is related to the continental dry, nature of the climate in dry seasons. (b) Impact on the landscapes At present,06 reservoirs being exploited have spillways but some draining culverts are leaked, the slopes are not concreted and there are not roads for management and operation of the works. As proposed by the Design Consultant, to ensure the safety of the dam body, draining culverts, it needs reinforcement, replacement and concretion of the works to ensure water storage, avoid water loss and create convenience for regulating water for production and operation of the reservoirs, which will ensure the development conditions for coastal vegetation communities, creating landscapes around reservoirs and local traffic, opening opportunities for visitors, especially for reservoir, Ta Xin reservoir, Tan An reservoir, Pho Rang town reservoir. Table 17 The subproject investment in reservoir management roads Communes Scale of new construction The management and rescue road has been designed according to the rural road standard: L = 500.0 m. The width of the road is 3m; surface structure: 1. Phu Nhuan cement concrete M200, 20cm thick underneath lined with recycled plastic; embankment is macadam layer of 16cm thick; the roadbed is excavated and compacted at K95 of 30 cm thick. The management and rescue road has been designed according to the rural road standard: L = 904.36 m. The road width is 4m, including 3m 2. Phong Nien pavement and 0.2m shoulder. Road surface texture: cement concrete M200 # on stone layer of 1x2, 16cm thick; the lining layer is the crushed stone 1x2 of 10 cm thick. 3. Pho Rang The management and rescue road: maintain the existing soil road. Strengthening the road on the dam with 801.7m long & 4.5m wide; 4. Khanh Yen Ha Surface width 3.5m; surface structure: cement concrete M250 concrete, 18cm thick.

Communes Scale of new construction The management and rescue road has been designed according to the rural road standard: L = 406.45m& 4m wide; pavement structure: cement concrete M300 of 20cm thick, underneath lining recycled plastic; road 5. Tan An embankment is macadam layer of 15 cm thick; the roadbed is excavated and compacted at K98 of 30 cm thick. The side ditches along the road are concreted with slab covering; andthere are horizontal culverts of D100 under the road. The management and rescue road has been designed according to the rural road standard: L = 420 m. The width of the road is 4m: embankment width 6. Ta Xin is 3m and pavement width is 0.5m. Road surface structure: cement concrete M200 of 16cm thick, under cement concrete is the stone lining of 10cm thick. After the repair, solidification of the management roads of the 06reservoirs, there will be a new look for the reservoir landscape and the neighborhoods. The reservoir areas will become beautiful, modern and safe. (c) Impact on the ecosystem After the construction works in 06 reservoirs are complete, the stable flows of water and irrigation will contribute to the development of aquatic and plant ecosystems in thereservoirs and the downstream areas. There will be continuously and positive impacts on the ecosystem for long time, which help diversify and enrich the flora and the fauna in the subproject area. (d)Impact on groundwater The completion of the construction works in 06 reservoirs will stabilize the water levels in 06 reservoirs and increase the water level in reservoirs and ponds, which is higher than the downstream areas, therefore, after the reservoirs are operated, the downstream water level is always maintained year round to meet the demand for water for daily life and cultivation of local people. 5.3 Potential negative environmental and social impacts 5.3.1 Preparation phase The Subproject consists of 06 scattered reservoirs in 04 districts in Lao Cai province. The scale of each reservoir is from small and medium. The construction period of the Subproject is about 24 months. The levelling quantity of work is small, which should be done in the same construction package. Therefore, during this period, we only assess impacts from (1) compensation and land acquisition, (2) risks related to clearance of mines and bombs and chemical residues, and (iii) impacts due to topographic, geological drilling and survey. a, Impacts of permanent land acquisition The implementation of the subproject components in the first phase will permanently acquire 11,640 m2 of land of 65 households. In addition, the total area of temporarily acquired land is 26,600 m2 of production forest land, of which 15,000 m2 are under the management of 07 households and 11,600 m2 under the management of the Commune People's Committees in the subproject area. The detail is shown in the following table.

Table 18. Summary of land acquisition by the Subproject

Total Agricultural land Reservoirs Locations Area Area Households Households (m2) (m2) Phu Nhuan Phu Nhuan 0 0 - resevoir commune - Phong Nien Phong Nien 4 4 resevoir commune 749 749 Pho Rang 22 22 resevoir Pho Rang town 2,241 2,241 Sung Lang Khanh Yen Ha 30 30 resevoir commune 7,050 7,050 Tan An Tan An 9 9 resevoir commune 1,600 1,600

0 0 - Ta Xin resevoir Bat Xat town -

Total 65 65 11,640 11,640 (Source: RAP report, Sep.2018) b, Impacts on trees and crops The affected trees and crops by the land acquisition include: 100% forestry timber which are 4,950 acacia trees of 2-3 years old. The area of 2 rice crops is mainly located at the dam foot due to permanent land acquisition for the construction of the road and dam safety corridor with an area of 11,640 m2. Table 19. Summary of affected crops and trees 2 rice crops Timber Reservoirs Locations Area Households Households Timber(trees) (m2) Phu Nhuan 0 0 0 0 Phu Nhuan resevoir commune Phong Nien 4 749 3 2640 Phong Nien resevoir commune

Pho Rang 22 2,241 2 990 Pho Rang resevoir town Khanh Yen Ha 30 7,050 - 0 Sung Lang resevoir commune Tan An 9 1,600 1 660 Tan An resevoir commune Bat Xat - 1 660 Ta Xin resevoir town -

Total 65 7 4,950 11,640 (Source: RAP report, Sep. 2018) c, Land acquisition The total area of the temporarily acquired production forest land is 26,600 m2 (100% acacia forest with 4,950 trees of 2-3 years old and grassland and shrubs), of which 15,000 m2 are managed by 07 households and 11,600 m2 are managed by the Commune People's Committees in the sub-project area. The temporarily acquired land is mainly used for building camps for workers during the construction, storing materials and construction equipment and working tools. Some sites are used for containing waste soil and temporary waste materials before being levelled or transported to official burial sites. Table 20 Number of AHs and temporarily acquired land by the Subproject Forestry land Land of Commune Land of AHs Resevoir Communes People's Committee Area HHs Area (m2) (m2) Phu Nhuan 0 0 2000 Phu Nhuan resevoir commune Phong Nien 3 8000 0 Phong Nien resevoir commune

2 3000 0 Pho Rang resevoir Pho Rang town Khanh Yen Ha 0 0 9600 Sung Lang resevoir commune Tan An 1 2000 0 Tan An resevoir commune

1 2000 0 Ta Xin resevoir Bat Xat town

Total 7 11,600 15,000 (Source: RAP report, Sep. 2018) In general, the Subproject’s land acquisition impact scale is small because no households have to relocate and resettle. On the other hand, the households who are affected by land acquisition are the beneficiaries when the works come into operation. These impacts are permanent but can be mitigated by the effective implementation of the Resettlement Action Plan (the details are shown in the RAP report). d, The risk of mines(UXO), chemical residues Landmines and UXO are found throughout Vietnam due to the wars and there are casualties from accidents involving explosives. Mortar bullets, mines and bombs can be found in the construction sites or material mines. To reduce risk, the Subproject Owner should contact demining authorities to assess risk and confirm safety prior to construction. Through the survey

77 and reference of materials in the local areas, in the construction site of 06 reservoirs there are not the use of anti-termite chemicals, pesticides in the operation and management of dams. c, Impact due to geological drilling Prior to the design for the construction works, it needs to survey geological conditions, which imposes risk of impurities affecting the quality of underground water. 5.3.2 Impact during construction (a) Construction activities and sources of impacts Construction activities: - Site clearance and levelling -Repair and construction of culverts - Upgrading upstream, downstream dam slopes - Repair and construction of spillways - Repair and construction of management roads - Building management houses Impact sources related to waste: * Sources of solid waste: - Waste from site clearance, site preparation - Domestic waste from workers at construction sites; - Waste from building materials at site: stones, soil, cement bags ... * Sources of liquid waste: - Water for washing stone, sand, gravel - Waste oil - Domestic wastewater from workers at construction sites and camps - Rainwater overflows. * Sources of emissions: - Excavation, levelling ground - Building construction, management roads - Exploiting, transporting and loading materials - Concrete, mortar mixing - Operation of transport vehicles, machines; - Operation of construction equipment as bulldozers, excavators, compactors, trucks etc. Sources of impacts which are not relating to waste: Due to the geological conditions, heavy rains, storms, winds, floods that possibly occur during construction, making the soil layers in hills and slopes exposed to the risk of landslides. As the construction method of ground levelling, removing waste stone layer at sloping topography along rivers and reservoirs, the amount of sand and soil is washed into the water, increasing turbidity which directly affected the supply and use of water downstream.

The poor awareness of local people and workers in the management of domestic waste, waste water, washing machines and construction equipment can affect surface water, underground water and soil quality. During the construction period, due to the work characteristics, many items may affect the downstream water flow. Mobilizing workers from other places in the peak period may have an impact on the customs and habits of local communities. The details are analysed in the next section. (b) Impact of temporary cutting water during construction People are temporarily affected during the construction of the dams. During the construction period, irrigation water for the agricultural area in the communes within the subproject area will be temporarily terminated. Therefore, 270,000 m2of rice area of 195 households will not be cultivated in one crop. In addition, aquaculture water surface of an area of 6240m2 of 55 households may be temporarily affected during the construction. Table 21. Impact of temporary water cut during construction

01-crop rice Aquaculture Reservoirs Communes Area HHs Area (m2) HHs (m2) Phu Nhuan Phu Nhuan 67 120,000 15 530 resevoir commune Phong Nien Phong Nien 0 0 0 0 resevoir commune Pho Rang 0 0 25 2,710 Pho Rang resevoir town Khanh Yen Sung Lang Ha 0 0 15 3.000 resevoir commune Tan An 42 50,000 0 0 Tan An resevoir commune

Bat Xat 86 100,000 0 0 Ta Xin resevoir town Total 270.000 55 6,240 (Source: RAP report, Sep. 2018) The entire area of production land and aquaculture surface are temporarily affected during the water cutting to construct the dams will be compensated according to the subproject policy. (c) Environmental impact i) Air quality Dust and emissions generate from excavation, backfilling, levelling, compaction, transportation and gathering material. Dust is swept from roads by vehicle, wind blowing through material yards like cement, soil, sand.... Emissions from vehicles, construction machinery, asphalt burning… contain dust and toxic gases like SO2, CO2, CO, NO2, HC.... • Dust arising from the excavation and leveling The total excavated soil volume is shown in the following table:

Table 22 Estimated working volume in construction phase

Reused soil Spoil Demolishing Excavated Mining No. Reservoirs for filing structure soil (m3) soil (m3) (m3) (m3) debris (m3) 1 Pho Rang 15.389 8.789 3.509 6.600 1.259 2 Phong Nien 8.974 7.060 6.715 1.914 603 3 Phu Nhuan 38.494 19.364 - 19.130 - 4 Khe Quat/Tan An 54.558 13.274 - 41.284 - 5 Ta Xin/Bat Xat 5.802 4.634 - 1.168 - Sung Lang/ Khanh 6 10.375 11.936 1.561 - 1.553 Yen Ha

Total 133.592 65.058 11.786 70.095 3.415 (Source: Baseline design cost estimate, reservoir investment report for WB8 Subproject) According to Dr.Nguyen Khac Cuong's building environment book (2007) - dust from levelling and excavation: On average, when digging or filling 1m3 of soil, it will generate about 0.75 kg/m3 of dust, including 10% suspended dust. With the pollution coefficient E = 0.075 kg/m3 and the subproject progress, the dust diffusivity is forecasted from excavation, filling and levelling as follows: Table 23. Diffusion of dust from earthworks

Phong Phu Khe Sung Items Pho Rang Ta Xin Nien Nhuan Quat Lang Excavation soil 15,389 8,974 38,494 54,558 5,802 10,375 (m3) Excavation soil 21,545 12,563 53,892 76,381 8,123 14,525 (tons) Construction time 24,000 24,000 24,000 24,000 24,000 24,000 (months) Total dust load 1,850 1,080 4,630 6,560 0,700 1,250 (kg/day) Soil filling (m3) 12,298 13,775 19,364 13,274 4,634 13,497 Filling soil volume 17,218 19,285 27,110 18,584 6,488 18,896 (m3) Filling soil volume 1,480 1,660 2,330 1,600 0,560 1,620 (tons) Demolition volume 1,259 0,603 - - - 1,553 (m3) Demolition volume 1,762 0,845 - - - 2,174 (tons) Total dust load 0,150 0,070 - - - 0,190 (kg/day) Discharge volume 7,859 2,517 19,130 41,284 1,168 1,553 (m3)

Phong Phu Khe Sung Items Pho Rang Ta Xin Nien Nhuan Quat Lang Discharge volume 11,002 3,524 26,782 57,798 1,635 2,174 (tons) Total dust load 0,940 0,300 2,300 4,960 0,140 0,190 (kg/day) Total dust load (kg/day): 4,420 3,110 9,250 13,110 1,390 3,240 (1)+(2)+(3)+(4) (Note: The soil density is 1.4 tons/m3, the construction time is 26 days/month) Thus, the amount of dust emitted from construction (excavation, filling, structure demolition, waste transportation) of the reservoirs as calculated in table 3.4 ranges from 1.39 kg/day (Ta Xin) to 13.11 kg/day (Khe Quat). In lager area of construction site, is estimated at moderate level. • Dust generated by construction machinery Dust generated by construction machinery, that uses internal combustion engine (the dust emission coefficient when using 1 ton of DO fuelis 0.94 kg and the DO consumption is 0.37 kg/m3 for levelling soil&stone, according to WHO). Table 24. Dust generated by internal combustion engine Phong Phu Khe Sung Items Pho Rang Ta Xin Nien Nhuan Quat Lang Earthwork 35,546 25,266 76,988 109,116 11,604 25,424 volume (m3) Fuel volume 13.15 9.35 28.49 40.37 4.29 9.41 (tons) Dust (kg) 12.36 8.79 26.78 37.95 4.04 8.84 Volume of dust dispersed throughout the construction period on a large area at each construction site, according to table 14, 15 impact is assessed at low level. • Dust, emissions from transportation According to the World Health Organization (Assessment of Sources of Air, Water and Land Pollution –Part 1: Rapid Inventory Techniques in Environmental Pollution, WHO, 1993), a 07 ton-DO/Diesel truck causes the pollutant loads of CO, SO2, HC as follows: dust 1.6 g/km, CO 3.7 g/km, SO2 7.43 g/km, and VOC 3 g/km (the S content in fuel is 0.25%) in the average transportation distance of about 3km. The Subproject uses 07 ton trucks for transportation. The total number of transported turns is calculated as follows. Table 25.Number of vehicle turns transporting for construction Sung Items Pho Rang Phong Nien Phu Nhuan Khe Quat Ta Xin Lang Discharge 11,002 3,524 26,782 57,798 1,635 2,174 volume (tons) Construction 24 24 24 24 24 24 time (months) Traffic flow 2.52 0.81 6.13 13.23 0.37 0.50

Sung Items Pho Rang Phong Nien Phu Nhuan Khe Quat Ta Xin Lang (vehicle/day)

According to the calculation in the above table, we can see that for Pho Thang reservoir, the volume of vehicles in need to transport 11,002 tons of spoil and demolition structure is 2.52 turns per day, equivalent to the continuous construction time of 24 months (other reservoirs are similar). The load and concentration of contamination for sediment transport and the excavation and removal processes are shown in the following tables. The emission of air pollutants according to the WHO is calculated as follows. Table 26. The emission load generated by transportation Volume of each reservoir Items Pho Rang Phong Nien Phu Nhuan Khe Quat Ta Xin Sung Lang Dust (mg/ms) 8.06 2.58 19.62 42.34 1.20 1.59 CO (mg/ms) 18.64 5.97 45.37 97.92 2.77 3.68 SO2 (mg/ms) 37.43 11.99 91.11 196.63 5.56 7.39 VOC (mg/ms) 15.11 4.84 36.79 79.39 2.25 2.99

The calculation of the average concentration of dust and emissions during a soil transport trip. Based on the pollutant load calculated above, we can use a variety of models and calculation formulas to assess the average concentration of the emissions generated by the material transport but the most typical and common is the formula from Sutton's modified model as follows:

 − (z + h)2  − (z − h)2  0,8* Eexp 2  + exp 2    2 z   2 z  C =    u z In which: C: The concentration of pollutants in the air(mg/m3; 103µg/ m3) z: The height of the calculation point, z = 1.5  z : The diffusion coefficient in the z-direction (m) is the function of the x-distance in the wind direction as determined by the Slade formula:  z = 0.53*x0.73 x: The distance (coordinates) of the calculated point against the waste source, according to the wind direction u: The average wind speed (in Lao Cai area is 2 m/s) h: The vehicle height compared to the surrounding ground (m) E: The pollutant load from the waste source(mg/ms). The forecast results of the pollutant loads caused by dust and exhaust fumes from transportation vehicles for the subproject construction are presented in the following table:

Table 27. The forecast of dust and emissions from vehicles

Volume of each reservoir QCVN Items Khe Ta Sung 05:2013/ Pho Rang Phong Nien Phu Nhuan Quat Xin Lang BTNMT The distance of 10m Dust (µg/ m3) 0.07 0.02 0.18 0.39 0.01 0.01 0.3 CO (mg/ m3) 0.17 0.02 0.19 0.90 0.03 0.03 30 SO2 (µg/ m3) 0.34 0.03 0.20 1.81 0.05 0.07 0.35 VOC (µg/ m3) 0.14 0.01 0.07 0.16 0.02 0.03 0.2 The distance of 20m Dust (µg/ m3) 0.03 0.01 0.08 0.17 0.00 0.01 0.3 CO (µg/ m3) 0.08 0.02 0.19 0.40 0.01 0.02 30 SO2 (mg/ms) 0.15 0.05 0.37 0.81 0.02 0.03 0.35 VOC (µg/ m3) 0.06 0.02 0.15 0.07 0.01 0.01 0.2 The distance of 40m Dust (µg/ m3) 0.02 0.01 0.04 0.09 0.00 0.00 0.3 CO (µg/ m3) 0.04 0.01 0.10 0.22 0.01 0.01 30 SO2 (µg/ m3) 0.08 0.03 0.20 0.44 0.01 0.02 0.35 VOC (µg/ m3) 0.03 0.01 0.08 0.04 0.01 0.01 0.2 The distance of 50m Dust (µg/ m3) 0.02 0.00 0.04 0.08 0.00 0.00 0.3 CO (µg/ m3) 0.03 0.02 0.09 0.08 0.01 0.01 30 SO2 (µg/ m3) 0.07 0.02 0.17 0.37 0.01 0.01 0.35 VOC (µg/ m3) 0.03 0.01 0.07 0.03 0.00 0.01 0.2

Dust In general, the dust concentration generated by the transport of soil excavation and filling is not estimated large and spread on the transport routes. According to the calculation table, the dust concentration at the range of 10m does not exceed the standard: QCVN 05:2013/BTNMT - National technical standard for the ambient air quality. However, it should be noted that the dust arising depends quite large on the mobilization of machinery and means of transportation on site. Sometime the construction machinery and transportation means concentrate many will also make the dust rise dramatically. The main roads for transportation of materials are axis roads of the communes/towns in the subproject areas, which will be affected by dust. Based on the analysis of the air quality in Chapter 2, the air quality in these areas is good and within the standards. Therefore, with the

subproject activities, the impact of dust is clear, however, it is not a regular impact and can be minimized. Suffered from dust are households living along the roads. The dust impact during the construction process (levelling, excavation and transport) is considered moderate. Exhaust fumes/emissions: The comparisons with QCVN 05:2013/BTNMT show that the indicators (CO, NO2, SO2, TSP) are still within the acceptable thresholds. The distance from the construction site to the households is quite far (50-100m), therefore the impact is assessed at low level. It can be seen that the levels of exhaust fumes are very largely dependent on the mobilization of construction machinery on site. However, the construction time is long and the emissions are not focused at a period of time but spread quickly in the air. In addition, the use of machinery with periodic quality check will help reduce emissions to the environment within the standard thresholds. Good management and environmental protection measures also can help controlled and minimized impact, therefore the impact is assessed at low level. • Noise and vibration Noise: Noise arising from the operation of machines and vehicles (excavators, automobiles, cement mixers) will affect workers and people living near the construction sites and along the provincial roads: 151, 153, HW70, HW4D and local roads. The level and the spread of noise are predicted based on the following formula: Leq = E.L + 10log(U.F) – 20 log(D/D1) – 10 G log(D/D1) In which: Leq: The noise at distance D E.L: The noise at the measuring locations (distance D1 (m) from the source) G: The terrain coefficient D: The distance of calculation D1: The distance of the source point measurement U.F: The useful coefficient of engine. Because most motors are used up at the max capacity, therefore the coefficient UF = 1. In this construction case, it is assumed that there are no obstacles, therefore the coefficient G = 0. Thus, the noise spreading is calculated according to the formula: Leq = E.L – 20 log (D/D1) The noise pollution level from the means of construction and transportation: Table 28. The level of noise pollution of construction machine at No. Name of engine, Noise spreading (dB) equipment 15.24 m* 50 m 80 m 100 m 120 m 150 m 200 m 1 Bulldozer 85 74.68 70.60 68.66 67.08 65.14 62.64 2 Excavator 83 72.68 68.59 66.66 65.08 63.14 60.64 3 Roller 74 63.68 59.59 57.66 56.08 54.14 51.64 4 Truck 88 77.68 73.60 71.65 70.08 68.14 65.64 5 Concrete mixer 88 77.68 73.60 71.65 70.08 68.14 65.64 QCVN 26–2010/BTNMT

6h – 21h 70 70 70 70 70 70 70 21h – 6h 55 55 55 55 55 55 55 (Source: * The US Federal Transit Administration (FTA). Transit Noise and Vibration Impact Assessment (Assessment of impact of traffic noise, vibration) 2006) For all 06 reservoirs within the upgraded range of the Subproject, due to the topographical features and mountainous rural areas, the distance from the projected area to the nearest residential area is from 50-200m. On the other hand, the construction work will be implemented during the daytimes the site is not obstructed, therefore according to table 14, table 15 the noise impact during construction time on the community is low. Those who are affected by noise are construction workers working directly on site. The permissible negative pressure at the workplace is based on QCVN 24:2016/BYT: National technical regulation on noise –permitted exposure level noise in the workplace. Table 29. The allowed noise levels in the workplaces

The general The negative pressure in the octave ranges equivalent to the sound pressure central frequency (Hz) does not exceed (dB) Working locations level is equivalent to 63 125 250 500 1000 2000 4000 8000 (dBA) At direct workplace 85 99 92 86 83 80 78 76 74 (Source: QCVN 24:2016/BYT: National technical regulation on noise - the permitted exposure level in workplace) Vibration: The construction may be the cause of ground vibration due to the means of construction and equipment. This vibration propagates in the soil environment but will be drastically reduced by distance. The vibration levels of some construction equipment are as follows: Table 30. The vibration levels of some construction equipment No. Machine/equipment PPV at 7.62 m (mm/s) Lv at 7.62 m (dB) 1 Compactor 0.064 94 2 Driller 0.027 87 3 Heavy truck 0.023 86 4 Concrete mixer 0.023 88

(Source:D.J. Martin. 1980, J.F. Wiss.1974, J.F. Wiss. 1967, David A. Towers. 1995) According to QCVN 27:2016/BYT: National Technical Regulation on Vibration - Permitted values at work. Table 31. Permissible vibration acceleration at work No. Area Times of a day Permissible vibration acceleration (dB) 1 Special area 6 h - 18 h 75 18 h - 6 h Baseline level 2 Normal area 6 h - 21h 75 21 h – 6 h Baseline level

(Source: QCVN 27:2016/BYT: National technical regulation on vibration) In addition to QCVN 27:2010/BTNMT, directly relating to workers on the site we can found in QCVN 27:2016/BYT: National Technical Regulation on vibration - Permissible value at work. The average value of the vibration acceleration and velocity in the octave-band shall not exceed the following values: Table 32. Permissible vibration value at work Permissible levels Frequency band (Hz) Vibration speed (m/s). Vibration acceleration (m/s2) 10-2 8(5.6-11.2) 1.4 2.8 16 (11.2-22.4) 1.4 1.4 31.5 (22.4-45) 2.7 1.4 63 (45-90) 5.4 1.4 125 (90-180) 10.7 1.4 250 (180-355) 21.3 1.4 500 (355-700) 42.5 1.4 1000 (700-1400) 85.0 1.4 (Source: QCVN 27:2016/BYT: National technical regulation on vibration - Permitted values at work; the values of vibration acceleration (dB) and vibration acceleration (m/s2) are specified in clause 3.2 of QCVN 27:2010/BTNMT) The main construction equipment of the Subproject consists of pile drivers, compactors, heavy trucks, concrete mixers. Based on the results in Table 24, the distance against vibration from the source is about 10 meters. Therefore for the mainly affected subproject areas are neighbouring buildings, residential areas along the dams, near the road to Tan An reservoir. However, most construction works are far from residential areas (50-200m) and have wide spaces, therefore the impact level is low. ii, Wastewater impact: During the construction, wastewater, storm water overflowing from construction sites, material yards and workers ‘camps will generate. Poor management may result in water pollution, effect to environment, spread of disease from water resource. The types of wastewater include: - Construction wastewater: overflowing water from concrete mixing, water pumped up from foundation pits. - Domestic wastewater from workers’ camps: This water will be discharged into the sources via septic tanks built on site. • Construction wastewater: The construction uses water for such works as concrete mixing, mortar mixing, maintenance, washing machinery, construction equipment. Table 33. The concentration of pollutants in construction wastewater QCVN40:2011/BTNMT Construction No. Parameters Unit wastewater ( Column B ) 1 pH - 6.95 5.5 – 9 2 TSS mg/l 465.0 100

QCVN40:2011/BTNMT Construction No. Parameters Unit wastewater ( Column B ) 3 COD mg/l 440.9 150 4 BOD5 mg/l 329.26 50 5 NH4+ mg/l 9.6 10 6 Total N mg/l 49.27 30 7 Total P mg/l 4.25 6 8 Fe mg/l 0.72 5 9 Zn mg/l 0.004 3 10 Pb mg/l 0.055 0.5 11 As  g/l 0.305 0.1 Oil and mg/l 0.02 10 12 grease 13 Coliform MPN/100ml 53 x 104 5000 (Source: The Center for Environmental Engineering in Urban and Industrial Areas (CEETIA) - Hanoi University of Civil Engineering) Referring to the analysis results in the table above, some wastewater indicators during the construction process are within the standards of QCVN 40:2011/BTNMT (Column B). However, the estimated wastewater flow in the construction process in peak time at each reservoir is about 1.5m3/day only, which is not large and can be deposited directly on temporary drainage lines. The impact is assessed at a low level. • Wastewater from workers: According to TCXDVN 33:2006 for the mountainous districts of Bao Thang, Van Ban, Bat Xat, Bao Yen, the average daily consumption water is 80 liters per person per day. Accordingly, the amount of wastewater is equal to 80% of the daily consumption water, therefore an average person discharge 64 liters of wastewater per day. With an average of 30 workers/01 worksite per day, the amount of daily wastewater generated is 11,520 liters/day/06 worksites, equivalent to 11.5m3 on 06 worksites. Domestic wastewater contains a lot of suspended solids, organic substances, nutrients and microorganisms. The concentration of pollutants in wastewater without collection and treatment system is shown in the table below. Table 34. The pollutant concentration in domestic wastewater

QCVN 14:2008/BTNMT (Collumn No. Parameters Average concentration (mg/l) (*) B), K=1.2 1 TSS 220 120 2 BOD5 250 60 (*) Source: Wastewater Treatment Technology - Tran Van Nhan, Ngo Thi Nga - Science and Technology Publishing House, 1999) From the figures in the table above, the SS and the BOD5 exceed the permissible standards of QCVN 14-2008/BTNMT (Column B) for many times, therefore, this wastewater must be treated when being discharged into the receiving sources. On the other hand, on each construction site of the reservoirs, septic toilets for workers are compulsory to ensure that they do not pollute the environment. However at 06 construction sites, as the construction volume spreads over 06 areas

87 in 24 inconsecutive months, to ensure environmental hygiene, living conditions and in accordance with the reality at the construction site, the construction units are required to plan to rent houses of local people for workers. In the case of the construction of latrines at site, latrines must be in accordance with the requirements of QCVN 01:2011/BYT on hygienic latrine standards. Accordingly, domestic wastewater can be controlled by mitigation measures. The impact is assessed at an average level. iii, Solid waste • Construction waste: The total amount of waste arising from the demolition of existing structure and excess soil transported to dumpsites during the construction of each reservoir is listed in the following table. Table 35. Summary of solid waste arising during construction Phong Phu Khanh Tan An Ta Xin Parameters Pho Rang Nien Nhuan Yen Ha reservoir reservoir reservoir reservoir reservoir reservoir

(m3) (m3) (m3) (m3) (m3) (m3) Excess soil 6,600 41,284 1,914 - 1,168 - Demolition 1,259 - 603 19,130 - 1,553 of structure Total 7,859 41,284 2,517 19,130 1,168 1,553 The excess soil and demolition waste will be transported by trucks to dumping sites. Other types of waste: cement bags, wood, steel, grease, fuels and plants arising during construction. The waste generated from the construction process includes construction materials, cement bags, metal scraps, wood scraps, empty containers, etc., If not being collected and recycled, they will cause negative impact on the environment. These are inorganic and non-toxic wastes and some can be recycled or reused for other purposes. As shown in Table 14, Table 15, the impact is assessed at low level. Solid domestic waste from worker campsite: According to the statistics and the construction planning projects approved by MONRE, the domestic solid waste in each similar construction work of the Subproject is 0.85 kg/person/day. Therefore, with the highest number of 30 workers mobilized at the peak timein each reservoir construction site, the generation of waste is 0.85 x 30 = 25.5 kg/day in each site. Without adequate management, the amount of waste generated would become a source of pollution, odours and pathogens from microorganisms. However, during the construction of 06 reservoirs, the volume of solid domestic waste is not large because in some items the Contractors hire local labors.The peak time that requires the largest workers takes only 1-2 months and most waste is organic which have short decomposition time and the Contractors signed contract with specialized units to collect waste thoroughly, therefore the impact is assessed as low. iiii, Hazardous waste Some types of hazardous waste may be generated during the construction process: electrodes, asphalt waste from road demolition, used grease and oil (by means of construction), anti-termite chemical to protect dam body. Hazardous waste includes waste oil, oil-based wipes, grease box. Waste oils, according to the regulations on management of hazardous wastes are classified as hazardous waste. Oil and grease from the maintenance and repair of means of transport and construction in the subproject

area is unavoidable. This amount generated during the construction process depends on the following factors: - Number of means of transport and construction on site - The amount of oil and grease discharged from the means of transport and construction - The oil change cycle and maintenance of machinery and equipment - Grease wipes from maintenance of machinery and equipment

According to the calculations for construction projects, the average amount of oil and grease from the means of transport and construction is 07 liters per replacement time. The maximum period of oil change and maintenance of machinery and equipment is 03 months/time. In crowded time, the number of vehicles and machines that need to be replaced is 18, thus, the average waste oil on each construction site is: 18 vehicles x 07 liters/time)/3 months = 42 liters of oil and grease/month (294 liters for 7 sites). In addition, the Subproject also generates grease wipes and containers, which are estimated at 6kg per month (36 kg/6 reservoir). The volume of these wastes is not large but without appropriate management and treatment measures, there will be adverse impacts on the soil and the water environment: grease and oil in cans may penetrate into soil or surface water, causing pollution. Compared to the standard in Table 14, hazardous waste impact at the site is assessed as low level. iiiii). Biodiversity ➢ Aquatic ecosystem The construction activities on the site such as excavation of soil, draining water… make the reservoir water turbid and the water quality may be changed due to leaking oil... Soil and stone encroachment will lose aquatic habitats and spawning grounds, kill fish offspring, reduce photosynthesis of algae, etc. This will disrupt, alter fish and other aquatic habitats and affect the life of aquatic ecosystems. However, due to the poor biodiversity, thank to the application of mitigation measures, and the rapid recovery of the ecosystem, the level of impact is assessed as low. ➢ Terrestrial ecosystem: The clearance of the vegetation and surface soil excavation for construction are the common causes of soil erosion. Plants are mainly acacia trees, crops, vegetables and regenerated shrubs. These impacts will be limited since the initial stage of the construction and should be minimized by such measures as paving, surface treatment, watering and reforestation after the construction completes.

The reservoir in Phong Nien The reservoir in Phu Nhuan The reservoir in Pho Rang commune commune town Figure 9.The vegetation diversity of in the subproject area

Table 36. Number of acacia trees to be cut down at 06 reservoirs

No. Communes Number of trees 1 Phu Nhuan 0 2 Phong Nien 2640 3 Pho Rang town 990 4 Khanh Yen Ha 0 5 Tan An 660 6 Bat Xat 660 Total 4950 Noise: Noise from excavation and levelling that affects life, biological behaviour and movement of animals from the area. However, terrestrial and aquatic fauna and flora species in the subproject site are not many and impacts are relatively clear but local and short-term, therefore the affection to the ecological environment is negligible. The construction activities are mainly repairing and upgrading works which do not affect the freshwater ecosystem. In the upstream and downstream of the dams, the biodiversity is poor, there are common species like fish, shrimps, frogs, crabs, snails, etc. and no rare species of animals that need to be protected. Impacts are short-term and limited to the construction sites. The impact is assessed low and mitigation measures can help effectively recover the biodiversity. iiiii). Impact on soil environment The exploitation of construction materials: exploitation of filling soil, construction activities, transportation, material gathering ... will affect the soil, break the surface structure, change the fertility of the topsoil (where the top soil is taken off). Domestic waste from workers, waste from construction activities, oil and grease from machinery and equipment ...discharged directly into soil will effect the environment. The construction may result in loss of vegetation, which partly affects the ecological system if no proper measures for recover the topsoil are taken. According to the study and field surveys, the temporarily occupied land area for construction of auxiliary items is not large. Therefore the impact is assessed small. Table 37. The required land area for construction Temporarily area occupied during construction (m2) No. Reservoirs Construction Material collection Material mines road 1 Pho Rang 3,000 - - 2 Tan An 2,000 - - 3 Phong Nien 8,000 - - 4 Phu Nhuan 2,000 5 Ta Xin 2,000 - 2,000 6 Sung Lang 4,600 3,600 6,000 The size of land used for storing solid waste will be calculated in detail as part of the mitigation measures. Land acquisition is temporary and the subproject's policy is that the local government will support to replenish plants when the subproject is completed, therefore the impact is assessed as low level and can be controlled by mitigation measures. (d). Social impact

➢ Community Health and Labor Safety: In addition to environmental issues, the construction activities can result in significant increases in the activity of vehicles for the transportation of building materials and waste soil, which is potential for traffic accidents and injuries to local communities as there are households living along the roads near the construction sites, traffic accidents and material spills may occur. In the construction sites, workers are potentially at risks of contagious diseases and disease transferring, which may threaten their health and local communities. Contagious diseases that threat public health often involve in such activities as poor hygiene and low living conditions, sexually transmitted diseases and disease transferring. The most concerned infectious diseases in the construction phase due to labor migration are sexually transmitted diseases such as HIV/AIDS, gonorrhoea, syphilis, etc. In fact, the Subproject’s construction period lasts for 24 months only. The construction is not continuous. The sites are scattered in 06 locations of reservoirs. The number of workers at peak time is about 30workers/01 work-site. Workers coming from other localities are about 10 workers/one work (who are mainly engineers and skilled workers as the simple jobs are undertaken by local labourers for about 20 people per work). Many work items are dispersed. The local security and order and diseases are well controlled. Workers rent local houses with sanitary facilities. All toilets are required to meet QCVN 01:2011/BYT standard for hygienic latrines, which minimize the spread of infectious diseases caused by flies, mosquitoes and insects. For the above reasons, the social impact is considered as average. ➢ Impact from risks and accidents: Labor accidents: labor accidents may occur in any of the working items during the construction. The reasons to labor accidents include: - Environmental pollution: this may cause fatigue, dizziness or fainting for workers when they are working. -Not concentrating in installation, construction and transportation of materials may cause labor accidents, traffic accidents, etc. - Negligence, lack of personal protective equipment, or lack of awareness of safety rules. - May be the downing in water reservoir during subproject implementation Fire, explosion and fuel leakage: Fire and explosion may occur in transport and storage of fuel, or temporary power supply system is unsafe, causing deaths and property damage during construction. The specific reasons are identified as follows: - Temporary fuel stores (gas, DO, FO, welding gas, etc.) are fire hazard. Such incidents can cause serious damage to persons, the society, the economy and the environment. - Disasters caused by natural disasters such as landslides, floods which may occur during the implementation of the subproject, especially for areas with steep terrain, high risk of landslide. -The risk of fire and explosion may occur when workers operate construction machine, welding machine, gasoline and diesel vehicles without complying with the fire regulations. The fuel consumption is as follows: 30 litres of gasoline per day and 100 litres of diesel per day during the site clearance; 300 litres of diesel per day during levelling site; and 50 litres of diesel per day during transport of building materials. -The construction companies will carry out the fire prevention and fire fighting and take proper measures to prevent leakage, fire and explosion. This work will be regular to minimize incidents and impact level. Welding: Welding creates extremely strong light and may cause serious injury to workers’ eyes. In extreme cases, it can lead to blindness. In addition, welding can create toxic fumes that

prolonged exposure can cause severe chronic illness, follow the ECOPs, all member must wearing a labour protection on the site. Drowning: During the construction process near the water bodies, workers may swim to take a bath in the waters and drowning may occur. Short-circuits and electric shock: The construction activities may cause short-circuiting hazards to the health of workers and people as well as their property. The temporary power supply for machinery and equipment during construction may cause problems relating to voltage, electric shock, etc., causing economic losses and labor accidents for workers. - In the implementation of the sub-project, the main construction area is in the dam bodies, therefore accidents due to working at altitude is unlikely. - Due to the characteristics of the works, the volume of construction items is not large and the process of management and supervision of the implementation of the environmental safety policy is strict, the impact from risks and incidents are rated at average level. ➢ Impact on traffic and traffic safety: Due to the transportation infrastructure in the areas of 06 reservoirs, small trucks should be used to transport waste and building materials during construction. The number of shipments is 240 trips/ day/06 sites for levelling. During the construction process, it will be reduced to under 30 trips/day/01 work.

Access road toKhanh Yen Ha reservoir Access road to Phu Nhuan reservoir Figure 10. The status of local traffic in the subproject area The operation of vehicles serving the construction of works will increase traffic density, which may affects local traffic, damage roads and cause traffic congestion and potential traffic accidents without compliance with the law, appropriate means of transportation and appropriate traffic. Damages to local roads and rural infrastructure may happen because of large means of transport. The roads through the residential areas and intra-field roads are concreted with small load bearing capacity, which may be broken, crushed or sagged, the settled when large trucks pass or there is high traffic density. The construction period is about 24 months at each construction site, the mobilization of motorcycles is not concentrated continuously, spreading over 06 areas, therefore the impact is assessed average. ➢ Impact by flow of workers into subproject area: The construction activities at peak times require about 70 migrant workers in 06 construction sites, who are mainly staff and skilled workers (some working items have local workers). Therefore, such social impacts as security and disorder, in particular: i) the potential impact of spreading contagious diseases from workers to local communities and vice versa; ii) potential impacts of prostitution, drugs and gambling; iii) potential conflicts between workers and local

communities for cultural and behavioural differences and iv) conflicts over the need to use local service infrastructures such as power supply and water supply and traffic, resulting in lack of electricity and water supply and traffic jams for the area. With the construction period of about 24 months per work in addition to the characteristics of the work that can use local labor, the local social security is stable, therefore, the impact is assessed average. ➢ Chance findings: During the earthwork, workers may find underground cultural heritages. However, these works are usually located near the reservoirs where there are long-term cultivation activities. These areas we resurveyed and confirmed that they are not archaeological sites and cultural heritages, therefore the probability of finding artefacts and cultural heritages is very low. (e). Special effects on sensitive subjects The construction of the different subproject construction items may affect some sensitive areas near the construction site and 6/6 construction items of the Subproject will have specific impacts. General impacts on environmental composition due to construction activities are presented in Table 39. The impact levels are assessed from low to medium based on classification criteria in tables 14 and 15 for evaluation. The activities take place in a short time and can be minimized. Details are described in the following table.

Table 38. Potential impacts to sensitive works during the construction process to sensitive works No. Sensitive works Location/Description Potential Impacts Level of impacts 1 The business area of Na Nuot restaurant Ta Xin reservoir, Bat Xat town. - Obstruct traffic, affecting the The restaurant is on the right movement of customers bank, there are 3 floating houses - Narrow restaurant space during on the reservoir and the construction. restaurant have 50 seats, serving Moderate regular meals on weekdays, with - Customers may reduce, which 8 members, the average salary is makes revenues and employment 6 million VND/person/month. reduce.

2 The area of aquaculture cage The reservoir in Pho Rang town, - Reduce the water level in the Bao Yen district. There are fish reservoir, which is related to the cages of grass carps, carps … of required water level for fish cages.

households. - The site clearance and construction may affect the quality Moderate of the reservoir water. - Equipment construction can affect the activities of transportation, vegetable cultivation and aquaculture around the lake (affects about 6,240 m2 of fish cage surface with 60 fish cages and over 2,000 m2 of agricultural land. The level and extent of economic impacts are detailed in the RAP report.

No. Sensitive works Location/Description Potential Impacts Level of impacts 3 The secondary school and the kindergarten The schools are located along the Affecting 73 teachers and 945 of Tan An commune provincial road 151, where there students in the school. Increasing is the transport of stones, the transport of materials can materials during the construction cause noise, dust and road safety of the reservoir in Tan An risks for teachers and students in Moderate commune. the school time(morning from 6.30-7.30 pm, 4.30-5.30 pm).

4 Residential house on the road to Tan An The houses is located in Tan Son - Risk of accidents due to rock material dropping to people’s reservoir village, Tan Chau commune, next to the unique road to the house. dam, the fence distance of the - Disturbance of living, cultivation Moderate house to the road edge is about habits and traffic unsafety for 1.5m people in the village. - Shaking in construction affects house structure, secondary works of about 15m2 of 01 household.

6 The cultivation area at the dam downstream The cultivation areas of 2-rice - During the construction, it may crop, 1-vegetable crop and affect the flow of irrigation water aquaculture area at the for agricultural areas, about 32 downstream, which frequently hectares, the main crop from Low use water from Khanh Yen Ha January to May and from June to

No. Sensitive works Location/Description Potential Impacts Level of impacts reservoir. October every year.

7 Aquaculture area The reservoir surface that serves - Impact on the minimum amount regular fish aquaculture, mainly of water needed for aquaculture in concentrate in the area near the the cages when draining water for main dam of the reservoir in Phu construction. Low Nhuan commune. - The construction and site clearance may increase the washout, disturbance to the quality of the water surface of the reservoir, which may affect 40m2 of water surface of fish cage of 01 household. 8 Tea processing workshop Located about 600m away from - Dust to the workshop during the reservoir in Phu Nhuan processing tea. commune, alongside of the inter- - Impact on traffic safety, means of commune road to the south, Anh transportation of materials for tea Tuan Tea processing workshop production during the construction Low regularly has 20 workers; the period. average income is 5-6 million VND/person/month.

No. Sensitive works Location/Description Potential Impacts Level of impacts

9 Level-1 Aquaculture Variety Camp - Lao - The aquaculture area of over 06 - Change the amount of water CaiDepartment of Agriculture ha of water surface, about 600m needed for aquaculture and fish far from the main dam of the varieties production.

reservoir in Phu Nhuan - Impact on pond water quality commune. This area concentrates Moderate on producing and selling - Increasing the flow of material economic value varieties of fish transport vehicles can cause dust, for intensive and semi-intensive noise to the pond area. Impact time aquaculture such as Hybrid can be extended from 10-20 days carps, Tilapia and specialties: in the production cycle. Black carp, Goby, Hemibagrus guttatus, Siluriformes... annually supplies more than 4 million varieties to households in and outside the province of all types. 10 The aquaculture pond in the downstream The aquaculture pond area - Waste water, construction waste located at the foot of the main may spill into the fish pond. dam of the reservoir in Phong - The site clearance and

Nien commune construction may affect the crops and washing organic soil. Low

No. Sensitive works Location/Description Potential Impacts Level of impacts -Land is acquired for the downstream embankment. - During the construction time, the reservoir water level must be lowered, changing the water flow, quality of1000m2pond,and 1haof agriculture for 2-3 months.

11 The landslide section in the access road to Located about 400 meters - The risk of landslides on the the dam downstream of Phong Nien positive talus, danger to persons commune, the access road to the and vehicles.

dam is regularly eroded on both - The risk of subsidence on the sides of the negative and positive road and negative talus, damaging Moderate talus. vehicles and local people. - Increasing the density of means of transportation of soil and stone may interfere with the traffic of local people. 12 Poultry farm, fish pond by the reservoir The farm is located in the bed of - The construction process may the reservoir in Phong Nien reduce the reservoir water level, commune, including pigsty, affecting the season, aquaculture poultry house and pond. and poultry calendar of the Low household.

5.3.3 Impact during operation During the operation phase of the reservoirs, some major negative impacts are identified and assessed as below. 5.3.3.1 The risk of drowning The reservoirs can be a place for people's washing and bathing. Therefore, the risk of drowning is always hidden if appropriate preventive measures are not taken. 5.3.3.2 Activities of reservoir operators and tourists Daily activities of reservoir operators may generate a large amount of domestic waste: solid waste and wastewater. The number of operators in each reservoir is from 1 to 2 people, so the amount of wastes generated is not large, about 0.5 kg/day and wastewater is about 20 liters/day. In addition, there will be waste from tourists in the localities and the neighbouring provinces. If this amount of waste is not well managed, it may have a direct impact on the reservoir environment, such as water pollution that indirectly affects the reduction of dissolved oxygen in water and therefore affects the life of aquatic species in the reservoirs. However, this impact is considered small because of the small amount of waste. 5.3.3.3 Repair and maintenance These activities may lead to water cut-off in a short time. This will have a direct impact on the agricultural and living activities of the downstream population and will indirectly cause such effects as reduction of income due to no cultivation, environmental pollution and diseases due to lack of water. However, this effect is considered minor because the repair and maintenance time does not last long (about a few weeks). 5.3.3.4 Emergency flood draining and dam breaking Due to the particularity of the subproject which majors in the dam safety rehabilitation, the risk of dam breakage seems very low. The emergency flood drainage may affect downstream communities without prior notice, which directly floods downstream, damages property and crops and human being, and direct to environmental pollution, disease outbreaks and loss of income. 5.3.3.5 Impact on sensitive points during operation phase After the subproject construction completes, water is filled in Sung Lung reservoir, Khanh Yen Ha commune, it will affect the fish pond upstream of the dam. Based on the classification criteria in Table 15 for the specific evaluation, please refer the table below.

Table 39. Impact on sensitive points during operation phase

Impacts Impact No. Sensitive points Locations level 1 The aquaculture pond at the The aquaculture pond - Water Low upstream of the dam. isat the upstream of rising may Khanh Yen Ha reservoir, affect the where farmers feed safety of grass carp, about 600m2 hypophthalmichthys, pond of one carp, catfish... household, which causes flooding, overflowing the banks. 5.4 Analysis of impact types 5.4.1 Cumulative impacts The subproject consists of many dams but they are scattered and independent in the province. Moreover, as the size and nature of subproject activities are small and simple, the implementation of subproject activities does not likely cause cumulative effects. According to surveys and exchanges with concerned agencies, currently in the area of the construction items of WB8 subproject in Lao Cai province there are not any other large projects to be deployed on the same spatial scale and time, so cumulative effects caused together with other projects are considered non-existent. 5.4.2 Direct impacts The subproject implementation will have direct impacts on the environmental and social conditions of the subproject area. The subproject activities will result in temporary or permanent land loss. The construction activities will have direct impact on the quality of the surrounding environment such as air, soil and water due to the generation of waste like emissions and wastewater and the removal of vegetation. 5.4.3 Temporary impact The loss of land, temporarily or permanently, leads to impacts on livelihoods of affected people, reducing or losing income, changing occupations and leading possible social contradictions. Indirect impacts are also identified through the risk of deterioration of water quality due to soil erosion caused by vegetation clearing from the construction process. Water pollution due to waste generated from the construction process may lead to a decline in the composition and number of individuals of aquatic species. Soil compaction due to the use of heavy equipment on farmland may lead to a decline in the number of useful soil microorganisms due to changes in soil structure. Loss of vegetation will also lead to loss of habitat for many animal species in the subproject area and increase the risk of erosion, landslide, and flooding. 5.4.4 Indirect impact In general, most of the impacts associated with construction activities within the subproject scope are short, such as noise, vibration, dust and emissions, and the generation of solid waste and wastewater. These impacts will no longer exist when construction activities are completed. 5.4.5 Long- term impact

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The permanent loss of productive land will have long impacts on the affected people when some households are perceived as losing productive material and leading to a change in their occupations. Environmental incidents such as oil spills or hazardous chemicals will also have long-term effects on the environment and human health as these chemicals have a long-time of decomposition, which possibly penetrate into soil, water and food chains. The risks of working accidents will also be addressed with long-term effects when workers' health is diminished or lost.

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CHAPTER 6. ALTERNATIVE ANALYSIS

With the aim of improving the investment efficiency, ensuring safety and minimizing environmental and social impacts on the downstream areas of the reservoirs, the scenarios are proposed to select a design which is suitable for the objectives and the actual socio-economic conditions in the region of 06 reservoirs. The main construction activities are the solidification and repair of existing works and because the design options, selection of technical solutions and technology in the construction of the sub-project items contain no difference in the environmental and social impacts of the implementation area, therefore the alternative analysis focus on the differences relating to environment and society in the scenarios of implementation or not implementation of the subproject and optimal construction solution options. 6.1. There is notsubproject implementation All dams were built for long time and have been seriously degraded for many years of operation: the dam elevation is not effcient against floods, the dam quality is not good, and the permeable coefficient is high. The upstream slope has not been reinforced or was reinforced but the structure was damaged and landslid and did not ensure the dam safety. The downstream slope is convex, landslid and fill with trees, which makes favorable conditions for termite and affects serioulsy the quality of the dam body. Spillway is degraded. The stone building is decayed. The spill width does not meet the drainage requirement that increases the reservoir water level. The watter-intake culverts are seriously damaged at inlets and outlets, which can not use for the water supply as required. Draining culverts: valves are damaged, water overflows through culverts to dam foot causing reservoir dehydration and affecting the dam safety due to soaking water, erosion in dam foot. There is no monitoring system, which is not effective in warning of natural disasters. Roads for management and operation and rescue are rural roads, which are difficult to drive and only rudimentary vehicles can circulate. There is no operation and management bridge, causing difficulties in reservoir operation and management. The current status of the reservoirs constrain development plans, productivity and economic efficiency improvement in the agricultural production; Irrigation water can not be enough and affect selection of plants and animals, rotation of plants and do not use up the economic value of land resource. Roads for operation and management also serve people’s circulation and are not fully reinforced, which is difficult to drive, operate, manage and respond to natural disasters in reservoirs and residential areas. When the subproject is not deployed, the ecosystems around the reservoirs remain stable. However, due to the current status of the degraded reservoirs, the potential dam breaking will cause catastrophe, loss of human life and property, and breaking the ecosystems, especially at the downstream of the reservoirs. In recent years due to abnormal weather changes, floods appear a lot with intense intensity, in addition to small size reservoirs, the risk of high unsafety increases. Therefore, a synchronous construction solution like investment in construction, repair and upgrading of reservoirs is

102 extremely urgent, ensuring the safety of life and property of the households in downstream areas and serving the local people’s demand for economic development. 6.2 There is subproject implementation 06 reservoirs in the subproject area are important irrigation works for flood prevention and serving irrigation and water supply for more than 40 thousand people in mountainous communes of 04 districts of Van Ban, Bao Thang, Bao Yen and Bat Xat of Lao Cai province. The Subproject significantly makes contributions to the improvement and stabilization of the life of local people and creates a solid foundation for the irrigation of mountainous communes. The project completion will be beneficiary to the local community and local authorities, namely its repairing, reinforcing dams will ensure downstream safety during flood seasons. It will limit leakage to ensure irrigation water for agricultural production downstream according to the local government's regulation of production. It will increase agricultural productivity, crop yields and aquaculture development, especially in Sung Lang reservoir, the water efficiency use increases 75% to 85%. The completed works will ensure stable irrigation water for more than 440 hectares of rice and vegetable production area all year round in 06 downstream communes. People can take initiative in the cultivation plans and changes of plant and animal breeds which help to increase economic efficiency on local agricultural land. The works will provide water for aquaculture and limit adverse impacts on the environment and landscapes of the reservoirs and the downstream areas. Once the reservoirs are upgraded, the water source stabilization will create favourable conditions for aquaculture of 105.3 aquaculture hectares with large fishery resources, stabilizing the water surface for aquaculture, non-agricultural production and business, increasing income and living standard. There will be more jobs, income, especially for manual labor, seasonal labor groups. Repairing and upgrading the reservoir structure will cause potential negative environmental and social impacts as analysed above. However, the construction duration is short and the scale of activities is not large and the construction is deployed in a narrow space, therefore negative impacts are assessed as minor, temporary, localized and minimized. Compared to the environmental, economic and social efficiency after the subproject is completed and put into operation to the potential adverse social and environmental impacts, the subproject implementation is acceptable. Completion and operation of the reservoirs will have positive impacts on the change of some meteorological elements in the region. The stabilization of water surface will improve the microclimate of each reservoir area and moisture change which is related to the dry, continental nature of the climate during dry season. During the operation phase, the subproject will increase the stability of water resources, ensure the safety of the works and downstream of the dams. The status of 06 reservoirs is being exploited with spillways. Some draining culverts are in leakage. The roads are not concrete. As proposed by the Design Consultant, to ensure the safety of the dam body, draining culverts, we need reinforcement and replacement to ensure water storage, avoid water loss and make convenience in the process of regulating water and operating reservoirs to ensure the development conditions for coastal vegetation communities, landscapes around reservoirs and local transport, opportunities for visitors, especially in Ta Xin reservoir, Bat Sat town. After completion of construction works at 06 reservoirs, the stable water flow and irrigation will contribute to the development of plant and animal ecosystems in reservoirs, coastal areas and downstream areas. There are impacts on the ecosystem for a long time, continuously in a positive direction, diversifying, enriching fauna and flora in the area. The completion of the construction works will stabilize the water volume in 06 reservoirs, stabilizing the water level of the reservoirs higher than the downstream area, so after reservoirs

103 operate, the downstream water level is maintained. It will be able to meet the demand for water for daily life and cultivation of local people. The subproject implementation may cause negative impacts on the ecosystems surrounding the reservoirs, however, the impacts are negligible and can be recovered in short time. The impacts and mitigation measures are analyzed in detail in the next sections in the report. 6.3 Selection of construction solutions In addition to the socio-economic and environmental benefits provided for the cases of non- implementation and implementation of the subproject, the construction options for the items requested in the bidding documents will minimize impacts on the natural and social environment during the implementation. Specifically, the options are as follow: Soil excavation and transportation: Use a combination of 1.25m3 excavator and 5-7 ton trucks to transport soil to dump sites at the prescribed locations to minimize noise, dust, traffic accidents and damages to local roads. The filling work of the dam complies with the regulations in the Standard, TCVN8297:2009 "Irrigation works –Soil dams - Technical requirements for construction by compaction method". The main construction method is using 1.25m3 excavator and 05 ton trucks to transport material brought from mines to the construction site of 15km;110cv bulldozer will be used to level soil into the layers; Compactor will be used to compact soil; in narrow place where compactor can not reach, tampers will replace to compact soil. Within 1 m of the filling area, rich soil or clay, which is free of gravel or other impurities will be required. Compacted by tampers or man power will minimize noise and dust. Concrete work: Mix concrete by 250 litter mixer; pour concrete by hand. Upstream dam paving: using cast-in-place concrete slabs will limit vehicle traffic and traffic safety during transportation. Downstream sobbing: Grasses are harvested in the vicinity of the subproject. When planting grass to consolidate the slope, contractors must choose grasses with strong roots, well-growing and long- living, good drought tolerance and having low trunks. Grasses are hedged to the planting site and firmly attached to the slope. The location and size of the grass cell shall comply with the regulations in the design documents, which will help the ecosystem to quickly recover and protect the surface against erosion when it rains in the stage when the construction has just finished. Construction and paving work: Mainly use manual methods to limit the impact of machinery to the surrounding environment and suitable to local construction conditions. Formwork: Formworks are manipulated manually. Formworks are mostly steel to facilitate installation and dismantling and to ensure labor safety and construction cost saving. Reinforcement: Reinforcement is assembled and processed mainly in warehouse in the construction site and transported to the works for installation. At works, workers only manipulate small parts which are mainly steel and auxiliary works in order to save time, cost and minimize impacts on surrounding environment because the construction areas at the dams are not wide enough. Other tasks: are mainly manual to reduce impacts of vehicles and machinery on the construction site and suit each construction item in the condition of each reservoir area.

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CHAPTER 7. ENVIRONMENTAL AND SOCIAL MANAGEMENT PLAN 7.1. Objectives - Ensure the compliance with the World Bank’s regulations as well as Vietnam’s legal system, standards and guidelines applied at the provincial and national levels. - Ensure that sufficient resources are allocated based on the subproject budget to carry out the activities related to the ESMP. - Ensure that the environmental and social risks of the Subproject are adequately predicted and managed. - Ensure specific and feasible response plan with unforeseen environmental issues in the subproject's environmental impact assessment. - Create an effective feedback mechanism for further improving environmental protection results. - The Environmental and Social Management Plan (ESMP) outlines mitigation, monitoring and institutional measures that will be implemented during the development and operation of the Subproject to avoid or control adverse impacts on the environment, society and outlines the actions required to implement mitigation measures. The ESMP creates a useful link between adverse impact and mitigation measures and ensures that such measures are implemented. - The ESMP imposes responsibilities for the implementation, monitoring, time and costfor the proposed mitigation measures. The summary of theSubproject’senvironmental and social management plans is presented in the following sections. 7.2. Mitigation measures 7.2.1. Mitigation measures during the preparation phase The main issue in this period is the compensation, assistance and resettlement (if any) for affected people whose land, houses, income and assets are affected. The compensation for site clearance will follow the updated resettlement plan of the subproject. The estimated cost of for implementing the Resettlement Action Plan for the Subproject works is VND 2,883,547,520 which includes the cost of compensation/assistance for land, works, assets affected by the subproject, income restoration program, transitional support, monitoring and evaluation, management and contingency costs. Implementation of compensation and assistance for affected households - The Subproject Owner contracts and coordinates with the District enters for Land fund Development, the Department of Natural Resources and Environment, the District People's Committees, the Divisions of Natural Resources and Environment, the Commune People's Committee, the concerned organizations, households and individuals whose land and assets attached to land are located in the acquired area to inform and guide the accuracy, public measurement, determination of ownership, asset declaration in order that the compensation, support and resettlement plans are approved the most exactly. - Disseminate thecompensation, support and resettlement plan of the project. - Disseminate the proper implementation of the State's legal obligations and interests. - Publicize detailed compensation prices of each type of damage to affected households. - Payment of compensation to the right subjects and on schedule. - Coordinate with local authorities if any disputes occur to ensure the smooth site clearance

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- The cost of compensation, support and other management costs for affected land/property (land, houses, buildings, structures and trees) for the subproject are shown in the table below. The details are in the RAP report. Table 39. The Subproject’s compensation and support cost estimate (Unit: VND) No. Items Unit Quantity Unit price Total cost

A Compensation and support 501,269,000 1 Land 387,109,000 Impact on agricultural land (Phong m2 23,219,000 Nien commune) 749 31,000 Impact on agricultural land (Khanh m2 232,650,000 Yen Ha commune) 7,050 33,000 Impact on agricultural land (Tan An m2 41,600,000 commune) 1,600 26,000 Impact on agricultural land (Pho m2 89,640,000 Rang) 2,241 40,000 3 Plants, crops 114,160,000

Paddy m2 53,212,000 10,040 5,300

Corn m2 4,320,000 1,600 2,700 Trees (Acacia), 2 years old, and tree 39,204,000 diameter D1.3 <5 cm 3,630 10,800 Trees (Acacia), Trees (Acacia), tree 1320 17,424,000 diameter 5cm < D1.3 <10cm 13,200 Supports (According to Decision B 2,073,327,000 No.13/2015/QD-UBND) Support for job conversion and job

creation for agricultural land m2 69,657,000 749 93,000 acquisition (Phong Nien commune) Support for job conversion and job creation for agricultural land m2 697,950,000 acquisition (Khanh Yen Ha 7,050 99,000 commune) Support for job conversion and job

creation for agricultural land m2 124,800,000 1,600 78,000 acquisition (Tan An commune) Support for job conversion and job

creation for agricultural land m2 268,920,000 2,241 120,000 acquisition (Pho Rang town) Support for living stabilization (1

month/1 person = 600,000/person x 3 persons 496,800,000 276 1,800,000 months) Support for agricultural land due to ha 324,000,000 cutting water for construction (1 crop) 27 12,000,000 Support for repairing fish cage if there

is damage during the process of cages 60,000,000 60 1,000,000 draining water

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Compensation for aquaculture (fish m2 31,200,000 farming) on the affected water surface 6,240 5,000 Total1 2,574,596,000 2% x total C Management 51,491,920 (1) 10% x total D Contingency cost 257,459,600 (1) TOTAL 2,883,547,520 (RAP Report, September 2018) Mitigation measures for explosives, filling geological drilled holes for exploration - The Subproject will hire a company that has suitable functions and capabilities such as the Center for Landmine and UXO Exploitation under Military Region II to clear mines and explosives before the construction of all sites of the project components. - Ensure safe distance and warnings for people during the implementation in accordance with QCVN 01:2012/BQP - National technical regulations on clearance of explosive ordnance and QCVN 02:2008/BCT-National technical standards on safety in transportation, preservation, use and destruction of industrial explosive materials. - After drilling for geological exploration, the design surveyors will fill drilled holes and repair the ground in the areas to minimize washing dirt via drilled holes which may affect the underground water quality. 7.2.2. Mitigation measures during the construction phase 7.2.2.1 Mitigation measures related to construction Mitigation measures are developed based on the World Bank Group's environment, health and safety guidelines and the national regulations and standards to minimize construction impactsin general and are presented in the form of Environment Code of Practice (ECOP). ECOP describes the typical requirements implemented by the Investor and the Construction Supervision Consultant during the construction process. ECOPs will be incorporated in the appendices of bidding documents and contract documents. These mitigation measures are proposed for the following issues: - Dust and emissions; - Vibration and noise; - Waste management; - Management of hazardous materials and chemicals; - Worker’s camp management; - Biological impacts; - Soil erosion; - Sedimentation and drainage; - Stockpile and borrow pits management; - Traffic safety management; - Interruption of infrastructure services;

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- Chance finds; - Labor influx management; - Occupational health and safety; - Health and safety of the community; - Communications with local communities.

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Table 40. Environmental Code of Practice (ECOP) for Addressing Generic Construction Impacts

Environm Mitigation measures Applicable the Responsibility ental and GoV’s Implementat Supervision social regulations ion issues 1) Dust -The Contractor is responsible for compliance with relevant Vietnamese -TCVN 6438-2005: Contractor PPMU, and legislation with respect to ambient air quality. CSC Road vehicles - exhaust -The Contractor shall ensure that the generation of dust is minimized and is Maximum permitted emission not perceived as a nuisance by local residents and shall implement a dust emission limits of control plan to maintain a safe working environment and minimize exhaust gas disturbances for surrounding residential areas/dwellings. - - Decision -The Contractor shall implement dust suppression measures (e.g. use water No.35/2005/QD- spraying vehicles to water roads, covering of material stockpiles, increased BGTVT moisture content for open materials storage piles, etc.), as required. on inspection of -Material loads shall be suitably covered and secured during transportation to quality, technical prevent the scattering of soil, sand, materials, or dust. safety and environmental - Exposed soil and material stockpiles shall be protected against wind protection erosion and the location of stockpiles shall take into consideration the prevailing wind directions and locations of sensitive receptors. - - QCVN 05:2013/MONRE: - Dust masks should be used where dust levels are excessive. National technical - All vehicles must comply with Vietnamese regulations controlling allowable regulation on emission limits of exhaust gases. ambient air quality -Vehicles in Vietnam must undergo a regular emissions check and get Guideline to the certified named: “Certificate of conformity from inspection of quality, Environment, Health technicalsafetyandenvironmentalprotection”following Decision and Safety of the No.35/2005/QD-BGTVT. World Bank Group -There should strictly be no burning of solid wastes or construction materials (e.g. wood, rubber, oil-based rag, emptied cement bags, paper, plastic,

bitumen, etc.) on site. 2) Noise - The contractor is responsible for compliance with the relevant Vietnamese - QCVN Contractor PPMU,

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Environm Mitigation measures Applicable the Responsibility ental and GoV’s Implementat Supervision social regulations ion issues and legislation with respect to noise and vibration. 26:2010/BTNMT: CSC vibration National technical - All vehicles must have appropriate “Certificate of conformity from impacts regulation on noise inspection of quality, technical safety and environmental protection” following Decision No.35/2005/QD-BGTVT; to avoid exceeding noise - QCVN emission from poorly maintained machines. 27:2010/BTNMT: National technical - Measures to reduce noise to acceptable levels should be implemented, regulation on including: vibration + Selecting equipment with lower sound power levels - Guideline to the + Installing silencers for fans Environment, Health and Safety + Installing suitable mufflers on engine exhausts and of the World Bank compressor components Group + Installing acoustic enclosures for equipment casing radiating noise + Installing acoustic barriers without gaps and with a continuous minimum surface density of 10 kg/m2 in order to minimize the transmission of sound through the barrier + Barriers should be located as close to the source or to the receptor location to be effective + Installing vibration isolation for mechanical equipment + Limiting the hours of operation for specific pieces of equipment or operations, especially mobile sources operating through community areas + Re-locating noise sources to less sensitive areas to take advantage of distance and shielding + Siting permanent facilities away from community areas if possible + Taking advantage of the natural topography as a noise buffer during facility design

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Environm Mitigation measures Applicable the Responsibility ental and GoV’s Implementat Supervision social regulations ion issues + Reducing project traffic routing through community areas wherever possible + Developing a mechanism to record and respond to complaints 3) I. General waste - QCVN Contractor PPMU, Was 14:2008/BTN CSC (a) Wastewater tewater MT: National managem - The Contractor must be responsible for compliance with the relevant technical ent Vietnamese regulations on wastewater discharges into surroundings. regulation on - Consider hiring local workers to reduce wastewater generation on site. domestic wastewater; - Provide septic tanks for collecting and treating wastewater from toilets. - QCVN - Wastewater from worker camps shall be discharged into a local sewerage 40:2011/BTN system. MT: National - Wastewater from washing vehicles and construction equipment shall be technical collected into a settling pond before discharged into local drainage system. regulation on At completion of construction works, wastewater collection tanks and septic industrial tanks shall be safely disposed of or effectively sealed off. wastewater 4) - Before construction, a solid waste control procedure (storage, provision of - Decision Contractor PPMU, Man bins, site clean-up schedule, bin clean-out schedule, etc.) must be prepared by No.59/2007/NĐ CSC agement Contractors and it must be carefully followed during construction activities -CP on solid of waste - Before construction, all necessary waste disposal permits or licenses must solid management; be obtained. wastes Decree - Measures shall be taken to reduce the potential for litter and negligent No.38/2015/ behavior with regard to the disposal of all refuse. At all places of work, the ND-CP Contractor shall provide litter bins, containers and refuse collection facilities. dated - Solid waste may be temporarily stored on site in a designated area approved 24/04/2015 by the Construction Supervision Consultant and relevant local authorities on waste and prior to collection and disposal through a licensed waste collector

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Environm Mitigation measures Applicable the Responsibility ental and GoV’s Implementat Supervision social regulations ion issues scrap - Waste storage containers shall be covered, tip-proof, weather proof and management scavenger proof - No burning, on-site burying or dumping of solid waste shalloccur - 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. 5) Water - The Contractor must be responsible for compliance with the relevant - QCVN 08- Contractor PPMU, pollution Vietnamese legislation relevant to wastewater discharges into watercourses. MT:2015/BTNM CSC T - Portable or constructed toilets must be provided on site for construction workers. Wastewater from toilets as well as kitchens, showers, sinks, etc. - QCVN shall be discharged into a conservancy tank for removal from the site or 14:2008/BTNM discharged into municipal sewerage systems; there should be no direct T: discharges to any waterbody. National technical -Wastewater over standards set by relevant Vietnam technical regulation on standards/regulations must be collected in a conservancy tank and removed domestic waste from site by licensed waste collectors. water; -Using techniques as berming or diversion during construction to limit the - QCVN 40:2011/ exposure of disturbed sediments to moving water. BTNMT: -Make appropriate arrangements for collecting, diverting or intercepting National technical wastewater from worker camps to ensure minimal discharge or local regulation on clogging and flooding industrial waste water

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Environm Mitigation measures Applicable the Responsibility ental and GoV’s Implementat Supervision social regulations ion issues 6) Soil - Limiting or avoiding construction activities in rainy days. Contractor PPMU, erosion CSC - Using geo-textiles to temporarily cover the land area prone to erosion. - Applying a layer of mulch to the soil top allows the soil to slowly soak upwater. - Building retaining walls around the area of erosion to prevent water runoff. Stabilizing land surface prone to erosion with vegetation or concrete. 7) -The Contractor shall follow the detailed drainage design included in the - Contractor PPMU, Drainage construction plans, intended to prevent storm water from causing local TCVN4447:1987:Ea CSC and flooding or scouring slopes and areas of unprotected soil resulting in heavy rth works-Codes for sedimenta sediment loads affecting localwatercourses. construction tion -Ensure drainage system is always maintained cleared of mud and -Decree control otherobstructions. No.22/2010/TT- BXD on regulation - Areas of the site not disturbed by construction activities shall be maintained of constructionsafety in their existingconditions. -QCVN 08- - Earthworks, cuts, and fill slopes shall be properly maintained, in accordance MT:2015/BTN with the construction specifications, including measures such as installation MT–National of drains, use of plantcover. technical - To avoid sediment-laded runoff that could adversely impact watercourses, regulation on install sediment control structures where needed to slow or redirect runoff and quality of trap sediment until vegetation is established. Sediment control structures surface water could include windrows of logging slash, rock berms, sediment catchment basins, straw bales, storm drain inlet protection systems, or brush fences. - Site de-watering and water diversions: In the case that construction activities require that work be carried out within the watercourse (e.g. culvert or bridge crossing construction, retaining wall construction, erosion protection works), the work area must be dewatered to provide for construction in dry conditions. The sediment laden water pumped from the work area must be

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Environm Mitigation measures Applicable the Responsibility ental and GoV’s Implementat Supervision social regulations ion issues discharged to an appropriate sediment control measure for treatment before re-release to the stream. - Stream diversions or construction of cofferdams would require site-specific mitigation measures in the ESIA.

8) - Chemical waste of any kind shall be disposed of at an approved appropriate- - Decree Contractor PPMU, Man landfill site and in accordance with local legislative requirements. The No.38/2015/NĐ-CP CSC agement Contractor shall obtain needed disposal certificates. dated 24/04/2015 on chemical - The removal of asbestos-containing materials or other toxic substances waste and scrap hazardous shall be performed and disposed of by specially trained and certifiedworkers. management wastes - Used oil and grease shall be removed from site and sold to an approved - - Circular used oil recyclingcompany. No.36/2015/TT- BTNMT - Used oil, lubricants, cleaning materials, etc. from the maintenance of vehicles and machinery shall be collected in holding tanks and removed on hazardous waste from site by a specialized oil recycling company for disposal at an approved management hazardous wastesite

- Used oil or oil-contaminated materials that could potentially contain PCBs shall be securely stored to avoid any leakage or affecting workers. The local DONRE must be contacted for further guidance - Unused or rejected tar or bituminous products shall be returned to the supplier’s productionplant - Relevant agencies shall be promptly informed of any accidental spill or incident. - Store chemicals appropriately and with appropriatelabeling. - Appropriate communication and training programs should be put in place to prepare workers to recognize and respond to workplace chemical hazards

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Environm Mitigation measures Applicable the Responsibility ental and GoV’s Implementat Supervision social regulations ion issues - Prepare and initiate a remedial action following any spill or incident. In this case, the contractor shall provide a report - explaining the reasons for the spill or incident, remedial action taken, consequences/damage from the spill, and proposed corrective actions. 9) - The Contractor shall prepare a Clearance, Vegetation and Restoration - Law on Contractor PPMU, Disruptio Management Plan for prior approval by the Construction Engineer, following biodiversity CSC n of relevant regulations. The Clearance Plan shall be approved by Construction No.20/2008/QH12 vegetative Supervision Consultant and followed strictly by contractor. Areas to be - Decree cover and cleared should be minimized as much as possible. 65/2010/NĐ- CP ecological - Site clearance in a forested area is subject to permission from Department of on biodiversity resources Agriculture and RuralDevelopment protection - 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 adequatelyprotected. - The application of chemicals for vegetation clearing is not permitted. - Prohibit cutting of any tree unless explicitly authorized in the vegetation clearingplan. - When needed, erect temporary protective fencing to efficiently protect the preserved trees before commencement of any works within thesite. - No area of potential importance as an ecological resource should be disturbed unless there is prior authorization from CSC, who should consult with PPMU, IEMC and the relevant local authorities. This could include areas of breeding or feeding ofbirds or animals, fish spawning areas, or any area that is protected as a green space.

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Environm Mitigation measures Applicable the Responsibility ental and GoV’s Implementat Supervision social regulations ion issues - The Contractor shall ensure that no hunting, trapping shooting, poisoning of fauna takes place. 10) - Before construction, carry out consultations with local government and - Law on traffic and Contractor PPMU, Traf community and with traffic police. transport No. CSC fic - Significant increases in number of vehicle trips must be covered in a 23/2008/QH12; safet construction plan previously approved. Routing, especially of heavy y - Decree vehicles, needs to take into account sensitive sites such as schools, hospitals, managem 46/2016/ND- CP and markets. ent on administrative - Installation of lighting at night must be done if this is necessary to ensure penalty for traffic safe traffic circulation. safety violation - Place signs around the construction areas to facilitate traffic movement, - Law on provide directions to various components of the works, and provide safety construction advice and warning. No.50/2014/QH13; - Avoid material transportation for construction during rush hours. - Circular No.22/2010/TT- - Passageways for pedestrians and vehicles within and outside construction BXD on regulation areas should be segregated and provide for easy, safe, and appropriate on labour safety in access. construction - Signpost shall be installed appropriately in roads where necessary. 11) - Planned and unplanned interruptions to water, gas, power, internet -Decree Contractor PPMU, Interrupti services: the Contractor must undertake prior consultation and contingency No.167/2013/ND- CSC on to the planning with local authorities about the consequences of a particular service CP on existing failure ordisconnection. administrative servi penalty for -Coordinate with relevant utility providers to establish appropriate ce violations related constructionschedules. infrastruc to social security, tures - Provide information to affected households on working schedules as well order and safety as planned disruptions (at least 5 days inadvance). issues

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Environm Mitigation measures Applicable the Responsibility ental and GoV’s Implementat Supervision social regulations ion issues - The contractor should ensure alternative water supply to affected residents in the event of disruptions lasting more than one day. - Any damages to existing utility systems of cable shall be reported to authorities and repaired as soon as possible. 12) - The Contractor and worker camps will be constructed on the land -Law on Labor Contractor PPMU, Wor temporarily acquired by the subproject. No.10/2012/QH13 CSC kers’ - The camps will be constructed far enough from the places to be used for cam stockpile of construction materials, fuel storage, garbage storage, wastewater p drainage canal, sensitive sites such as school, hospital, church, pagoda, managem temple, and other dangerous areas such as landslide, land subsidence, and ent erosion. - The camps must be ensured with good environmental conditions such as ventilation, full sunlight, clean water, garbage collection, hygienic toilets, mosquito net, fire extinguishers, Aid Kits, and other health protection measures to all workers. 13) - Employ local laborers for simple tasks and for reducing influx of workers to - Decree Contractor PPMU, Managem the subprojectarea. No.167/2013/ND- CSC ent of CP on - It is advisable to communicate to migrant workers on local customs, social practices and habits in order to avoid conflicts with local people. administrative issues penalty for related to - The subproject Owner and contractors cooperate with local authorities in violations workers preventing and fighting against socialevils. related to social - Strengthen communication campaigns for abolishment of social evils security, order - Liaise with local organizations to ensure effective monitoring and a GRM to and safety issues which locally-affected people can relyon. - Workers temporarily residing at the camps and rented houses must be registered with the local authorities for temporaryresidence.

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Environm Mitigation measures Applicable the Responsibility ental and GoV’s Implementat Supervision social regulations ion issues - Prohibit workers from: + + Consuming alcoholic drinks during working + + Quarreling and fighting + Gambling and indulging in social evils such as drug use and prostitution Disposing of garbage indiscriminately. 14) - If the Contractor discovers archeological sites, historical sites, remains and - Law on cultural Contractor PPMU, Cha objects, including graveyards and/or individual graves during excavation or heritage CSC nce Find construction, the Contractor shall: No.28/2001/QH10; Procedure + + Stop the construction activities in the area of the chancefind; - Amended and s supplemented Law + + Delineate the discovered site orarea; on cultural heritage + - Secure the site to prevent any damage or loss of removable objects. In cases No.32/2009/QH12; of removable antiquities or sensitive remains, a night guard shall be arranged - Amended and until the responsible local authorities or the Department of Culture and supplemented Information takes over; Decree + - Notify the Construction Supervision Consultant who in turn will notify No.98/2010/ND-CP responsible local or national authorities in charge of the Cultural Property of Viet Nam (within 24 hoursor 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,

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Environm Mitigation measures Applicable the Responsibility ental and GoV’s Implementat Supervision social regulations ion issues 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 subproject 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; and Construction works could resume only after permission is granted from the responsible local authorities concerning safeguard of the heritage. 15) - Provide training in OHS to workers and raise their awareness of infectious - - Directive No.02 Contractor PPMU, Health diseases especially HIV/AIDS within 2 weeks prior to the commencement of CSC /2008/CT-BXD on and safety packages for construction items lasting at least 6 months. for labour safety and - Provision of proper eye protection such as welder goggles and/or a full-face workers sanitation in eye shield for all personnel involved in, or assisting, welding operations. and local construction Additional methods may include the use of welding barrier screens around the communit agencies; specific work station (a solid piece of light metal, canvas, or plywood ies designed to block welding light from others). - -Circular No.22/2010/TT- - Devices to extract and remove noxious fumes at the source may also be BXDon required. regulation on labour - Provide training in first-aid skill and first-aid kit to workers and safety inconstruction siteengineer. - QCVN - Regularly exam worker’s health to ensure occupationalhealth. 18:2014/BXD: - Provide workers with PPE such as masks, gloves, helmets, shoes/boots, Technical regulation goggles, safety belt, etc. and enforce wearing during working especially on safety in working at heights and in dangerous areas. construction - Special hot work and fire prevention precautions and Standard Operating Procedures (SOPs) should be implemented if welding or hot cutting is

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Environm Mitigation measures Applicable the Responsibility ental and GoV’s Implementat Supervision social regulations ion issues undertaken outside established welding work stations, including ‘Hot Work Permits, stand-by fire extinguishers, stand-by fire watch, and maintaining the fire watch for up to one hour after welding or hot cutting has terminated. Special procedures are required for hotwork on tanks or vessels that have contained flammablematerials. - Prohibit workers from swimming inriver - Safely install power lines at offices and in construction sites and do not lay connectors on the ground or water surface. Electric wires must be with plugs. Place outdoor electric panels in protection cabinets. - Limit vehicle speed at 5km/hour at construction site and 20km/h on transportation routes across local residentareas. - Install fences, barriers for dangerous warning/prohibition sites around the construction area which show potential danger to the public. - Provide safety measures as installation of fences, barriers warning signs, lighting system against traffic accidents as well as other risk to people and sensitiveareas. - Provide sufficient lighting when carrying out constructionactivities at night. - - Locate noise-generating sources and concrete mixing plants far enough from and downwind of residential areas andcamps. - - Store fuels and chemicals in areas with impermeable ground, roofs, surrounding banks, and warning signs at least 50 m far from and downwind of residential areas and thecamps. - - Providing specific worker training in handling of flammable materials, and in fire prevention orsuppression - - Prepare an emergency plan for chemical/fuel spill incident risk before constructionbegins. - - Provide the camps with sufficient supplies of clean water, power, and

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Environm Mitigation measures Applicable the Responsibility ental and GoV’s Implementat Supervision social regulations ion issues sanitary facilities. There must be at least onetoilet compartment for every 25 workers, with separate toilets for males and females. Workers’ beds must be provided with mosquito nets so as to prevent dengue fever. Temporary tents will be unacceptable. - - Clean camps, kitchens, baths, and toilets and sanitize regularly, and keep good sanitation. Provide dustbins and collect wastes daily from the camps. Clear drainage ditches around the camps periodically. - Stop all construction activities during rains and storms, or upon accidents or serious incidents. 16) - - Large-scale borrow pits or stockpiles will need site-specific measures that Contractor PPMU, Managem go beyond those in this COP. CSC ent of - -All locations to be used must be previously identified in the approved stockpiles construction specifications. and borrow - - An open ditch shall be built around the stockpile site to intercept pits wastewater. - - Stockpile topsoil when first opening a borrow pit and use it later to restore the area to near natural conditions. - - If the need for new sites arises during construction, they must be pre- approved by the Construction Engineer. - - If landowners are affected by use of their areas for stockpiles or borrow pits, they must be included in the subproject RAP. -If access roads are needed, they must have been considered in the environmental assessment. 17) - Maintain open communications with the local government and -Decree Contractor PPMU, Communi concernedcommunities;thecontractorshallcoordinatewithlocal authorities No.167/2013/ND- CSC cation (leaders of local wards or communes, leader of villages) for agreed schedules CPon withlocal of construction activities at areas nearby sensitive places or at sensitive times administrative

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Environm Mitigation measures Applicable the Responsibility ental and GoV’s Implementat Supervision social regulations ion issues communit (e.g., religious festival days). penalty for ies violations related - Copies in Vietnamese of this ECOP and of other relevant environmental to social security, safeguard documents shall be made available to local communities and to order and workers at thesite. safetyissues - Reduced playground space, loss of playing fields and car parking: The loss of amenities during the construction process is often an unavoidable source of inconvenience to users in sensitive areas. However, early consultation with those affected, provides the opportunity to investigate and implementalternatives. - Disseminate subproject information to affected parties (for example local authority, enterprises and affected households, etc.) through community meetings before constructioncommencement - Provide a community relations contact from whom interested parties can receive information on site activities, subproject status and subproject implementation results. - Provide all information, especially technical findings, in a language that is understandable to the general public and in a form of useful to interested citizens and elected officials through the preparation of fact sheets and news release, when major findings become available during subproject implementationphase. - Monitor community concerns and information requirements as the subproject progresses. - Respond to telephone inquiries and written correspondence in a timely and accuratemanner. - Informlocalresidentsaboutconstructionandworkschedules, interruption of services, traffic detour routes and provisional bus routes, blasting and demolition, as appropriate. - - Limit construction activities at night. When necessary ensure that night

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Environm Mitigation measures Applicable the Responsibility ental and GoV’s Implementat Supervision social regulations ion issues work is carefully scheduled and the community is properly informed so they can take necessary measures. - - At least 15 days in advance of any service interruption (including water and electricity supply, telephone service, bus service, etc.) the community must be advised through postings at the subproject site, at bus stops, and in affected homes/businesses. - - Provide technical documents and drawings to local authority and community, especially a sketch of the construction area and the ESIA of the construction site. - - 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.

7.2.2.2 Mitigation measures for specific impacts on sensitive works In addition to the general mitigation measures mentioned above, during the construction of Lao Cai Subproject in 06 reservoirs, there are specific impacts on sensitive areas across the construction sites. Specifically, the options selected after the community consultation meetings and the consent of the affected people, the implementation is presented in the following table.

Table 41. Mitigation measures for sensitive works

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Responsibilit Monitori y ng of Implementat implemen No. Sensitive works Locations/descriptions Potential Impacts Mitigation measures ion tation responsibilit y 1 The business area of Na Ta Xin reservoir, Bat -Obstruct traffic, affecting -Notify the construction Contractors PPMU, Nuot restaurant Xat town. The the movement of plan with the household Communit restaurant is on the customers. head before 06 months. y, CSC right bank, there are 3 - Cause dust, noise during -Agree with the floating houses on the construction. household head to reservoir and the return the site after restaurant have 50 - Narrow restaurant space construction time. seats, serving regular during construction. -Thoroughly implement meals on weekdays, - Customers may reduce, solutions to reduce with 08 members, the which makes revenues and dust, noise average salary is 06 employment reduce. million VND/person/month. 2 The area of aquaculture cage The reservoir in Pho -Reduce the water level in -Implement Contractors, Communit Rang town, Bao Yen the reservoir, which is embankment solution PPMU, Local y, PPMU, district. There are fish related to the required during the construction authorities CSC cages of grass carps, water level for fish cages. of the dam foot, bottom carps … of households. discharge culvert to not - The site clearance and reduce the water level construction may affect in the construction. the quality of the reservoir water. - In case it is necessary to reduce the water - Construction equipment level of the reservoir, may affect the policy to support the transportation, vegetable farming households on cultivation and aquaculture the reservoir area must around the reservoir. be implemented (detail on RAP).

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Responsibilit Monitori y ng of Implementat implemen No. Sensitive works Locations/descriptions Potential Impacts Mitigation measures ion tation responsibilit y - Announce the construction plan to the community before 6 months so that people have plans for cultivation and living.

3 The secondary school and The schools are located Dust, noise and emissions - Plan construction, - Contractors - PPMU, the kindergarten of Tan An along the provincial from truck operation transportation of Communit commune road 151, where there is materials, waste stones - Impact on the activities y, CSC the transport of stones, to avoid school hours of teachers and students in materials during the and after school hours the schools. construction of the of pupils ( 6.30-7.30 reservoir in Tan An - - Traffic unsafety risks. Am; 16.20-17.20 PM, commune. except Sat. and Sun.).

- - Implement mitigation measures to reduce noise, dust and soil scattered around the school area. 4 Tan An Residential house on The houses is located in -Dust, noise - Inform and consult Contractors PPMU, the road to Tan An reservoir Tan Son village, Tan affected people about Communit - Risk of accidents due to Chau coomune, next to the construction plan. y, CSC rock material dropping to the unique road to the people’s house. - Implement solutions dam, the fence distance to reduce noise, dust, of the house to the road - Disturbance of living, vibration in edge is about 1.5m cultivation habits and construction. traffic unsafety for people

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Responsibilit Monitori y ng of Implementat implemen No. Sensitive works Locations/descriptions Potential Impacts Mitigation measures ion tation responsibilit y in the village. - Constructing soil - Shaking in construction protection fence to affects house structure. prevent stone, soil falling, rolling down the house.

6 The cultivation area at the The cultivation areas of -The construction may -Consult local Contractors, Communit dam downstream 2-rice crop, 1-vegetable affect the flow of irrigation authorities and Local y, PPMU crop and aquaculture water for agricultural community about the authorities. area at the downstream, areas. construction plan so as which frequently use not to interfere with water from Khanh Yen farming and living. Ha reservoir. - In the case of prolonged construction, which may impact on the cultivation of farmers, therefore appropriate support policy should be applied. 7 Aquaculture area The reservoir surface -Impact on the minimum -Implement the Contractors, Communit that serves regular fish amount of water needed embankment of the PPMU, Local y, PPMU, aquaculture, mainly for aquaculture in the dam foot, bottom authorities CSC concentrate in the area cages when draining water culvert dam not to

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Responsibilit Monitori y ng of Implementat implemen No. Sensitive works Locations/descriptions Potential Impacts Mitigation measures ion tation responsibilit y near the main dam of for construction. reduce the water level the reservoir in Phu during the construction. - The construction and site Nhuan commune clearance may increase the - In case it is necessary washout, disturbance to to reduce the water the quality of the water level of the reservoir, surface of the reservoir. support policy to the farming households on the reservoir area should be implemented. - Announce the construction plan to the community before 06 months so that people have plans for cultivation and living. 8 Tea processing workshop Located about 600m -Dust to the workshop - Consult and notify the Contractors Communit away from the reservoir during processing tea. construction schedule y, PPMU, in Phu Nhuan to the workshop to have CSC commune, alongside of - Impact on traffic safety, means of transportation of suitable production the inter-commune road plan. to the south, Anh Tuan raw materials for tea Tea processing production during the - Fully implement workshop regularly has construction period. measures to shield and 20 workers; the average limit discard stones and income is 5-6 million building materials; VND/person/month. regular clean vehicles, machinery, clean the site

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Responsibilit Monitori y ng of Implementat implemen No. Sensitive works Locations/descriptions Potential Impacts Mitigation measures ion tation responsibilit y - Equip signboards, lights, safety belts on construction site in full. 9 Level-1 Aquaculture Variety The aquaculture area of - Change the amount of - Consult and notify the Contractors Communit Camp - Lao Cai Department over 06 ha of water water needed for construction schedule y, PPMU, of Agriculture surface, about 600m far aquaculture and fish to the Department CSC from the main dam of varieties production. before 6 months to the reservoir in Phu have suitable - Impact on pond water Nhuan commune. This production plan. quality area concentrates on - Implement mitigation producing and selling - Increasing the flow of measure to minimize economic value material transport vehicles impact to the water varieties of fish for can cause dust, noise to the quality when there is intensive and semi- pond area. the need for production intensive aquaculture such as Hybrid carps, - Do not use horns, Tilapia and specialties: minimize noise; do not Black carp, Goby, drop material when the Hemibagrus guttatus, vehicle passes through Siluriformes... The the camp. annual breeding area provides offspring over 04 million and supplies more than 02 million varieties to households in and outside the province of all types.

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Responsibilit Monitori y ng of Implementat implemen No. Sensitive works Locations/descriptions Potential Impacts Mitigation measures ion tation responsibilit y 10 The aquaculture pond in the The aquaculture pond - Waste water, - Implement support PPMU, Communit downstream area located at the foot construction waste may policy in accordance Local y, PPMU, of the main dam of the spill into the fish pond. with local regulations. authorities, CSC reservoir in Phong Nien Contractors - The site clearance and - Notify the commune construction may affect construction plan to the the crops and wash organic community before 06 soil. months to actively fish and harvest - Land is acquired for the downstream embankment - Regular monitor the construction. environmental sanitation at the - During the construction construction site to time, the reservoir water ensure the collection of level must be lowered, waste, wastewater and changing the water flow, spilled material. quality of pond water and agricultural cultivation.

11 The landslide section in the Located about 400 - The risk of landslides on - Collaborate with local Contractors, Communit access road to the dam meters downstream of the positive talus, authorities to reinforce Local y, PPMU, Phong Nien commune, dangering to persons and pavement and negative authorities CSC the access road to the vehicles talus to reduce dam is regularly eroded subsidence of road

on both sides of the surface negative and positive - The risk of subsidence on - Cutting talus to talus. the road and negative prevent landslide, talus, damaging vehicles causing danger to and local people.

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Responsibilit Monitori y ng of Implementat implemen No. Sensitive works Locations/descriptions Potential Impacts Mitigation measures ion tation responsibilit y - Increasing the density of people and vehicles means of transportation of - Equip warning sign, soil and stone may seat belt at landslide interfere with the traffic of areas. local people.

12 Poultry farm, fish pond by The farm is located in - The construction process - Notify the Contractors Communit the reservoir the bed of the reservoir may reduce the reservoir construction plan to the y, PPMU in Phong Nien water level, affecting the household 06 months in commune, including season, aquaculture and advance to plan suitable pigsty, poultry house poultry calendar of the raising. and pond. household.

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7.2.3 Mitigation measures during operation phase After completion of the construction works, the reservoirs will ensure the water capacity according to the design and ensure irrigation planning for downstream agricultural cultivation. The solutions related to the safety and operation of reservoirs are discussed further in the "Dam Safety Report" of the same project. Table 42. General mitigation measures for impacts during operation phase

Responsibili ty for Impact Mitigation measures Monitoring implementa tion - Equip warning signs and installation of Management DONRE Falling into dangerous warning system on the dam areas. Units of the reservoirs, Reservoirs drowning - Disseminate drowning risk to the community along the reservoirs. - Limit activities that generate solid waste and Management DONRE wastewater. Units of the Reservoirs Domestic waste - Do not litter waste. from activities of - Waste must be collected and transported to the reservoir local landfill. operators and tourists - Wastewater must be collected into the settling pit before being discharged into the external environment. - If the reservoir operators are present regularly on the reservoir, septic tanks should be built. - Inform downstream people about the annual Management DONRE repair and maintenance plans. Units of the Reservoirs - Perform periodic maintenance and repair Repair and during the shortest period of time and at the maintenance time of the lowest water demand. - Implement measures to maintain water supply during repair to ensure there is no disruption in water supply. - Prepare an emergency response plan as part of Management DONRE the dam safety report. Units of the Regulation of Reservoirs reservoirs and - The management and operation units should flood discharges promptly and accurately announce the flood in case of big discharge plans so that the community can floods affecting take initiative in catching and responding. downstream - At risky times such as in rainy season, it is necessary to appoint persons to regularly

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Responsibili ty for Impact Mitigation measures Monitoring implementa tion monitor, to ensure proper regulation of water sources. - Build safety corridors for flood discharging on the basis of the scenarios that forecast impact levels; Specific solutions are detailed in the Dam Safety Report and the Emergency Response Plan. - The Management Units of Reservoirs Management DONRE regularly check the reservoir safety. Units of the Reservoirs - Perform proper operation procedures to ensure the safety of the reservoirs. - The Management Units of Reservoirs closely coordinates with the Commune People's Committees and the local people to promptly report the risks associated with dam safety in order to take timely corrective measures. Disaster risk causes unsafe - Local people and local authorities take initiative in community-based coping strategies - Develop scenarios for predicting the extent of spatial effects due to dam breaking, migration plans, solutions for community life and property in emergency situations, etc. The specific solutions are detailed in the Dam Safety Report and the Emergency Response Plan of the Subproject.

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Mitigation measures for impacts on sensitive works In addition to the general mitigation measures mentioned above, after the construction of works and during the operation of Khanh Yen Ha reservoir, there will be certain impacts on the works in the reservoir beds. Specifically, the options selected after consultation with the community, the consent of affected people and the implementation are presented in the table. Table 43. Mitigation measures for affected sensitive points during operation

Implementa Monitoring Mitigatio N Location/Descri Potential tion of Sensitive works n o. ption Impacts responsibili implementa measures ty tion 1 Aquaculture pond in The aquaculture -Water -Inform Contractors PPMU, upstream of dam pond is located rising preliminar Community in the upstream may y design, of Khanh Yen affect the constructi Ha reservoir, safety of on including grass the pond, schedule carp, tench, carp, causing and water catfish ... all year flooding accumulat round. and ion overflowi schedule ng. with the household , determine the water volume of the reservoir after renovatio n to have a plan to improve the embankm ent, plan to raising fish. For the AHs that lose income due to cutting water during construction, all impacts will be compensated and supported at replacement costs and AHs will be given priority to the local agricultural extension programs and other appropriate supports. The AHs to be supported have been identified and consulted in full, of which 195 households are temporarily affected by 1 rice crop due to cutting waterfor construction (the support for the agricultural land area to beaffected due to water shortage is 324 million VND) and 55

133 Environmental and Social Impact Assessment Report (ESIA) households have aquaculture to be temporarily affected (the support to repairing fish cages if there is damage due to cutting water for construction is 60 million VND and the compensation for affected aquaculture (fish) on the surface area is 31,200,000 VND). Please refer to the RAP report for more details. 7.3. Organization of implementation 7.2.1. Project management Central level The Ministry of Agriculture and Rural Development (MARD) is responsible for implementing and managing the entire project. The provinces carrying out the rehabilitation and improvement of the dam safety under Component 1. MARD will coordinate the activities with the Ministry of Industry and Trade and the Ministry of Natural Resources and Environment (MONRE) under Component 2. The Central Project Management Units (CPMU) under MARD is responsible for coordinating and monitoring the overall project. The improvement and preparation of dam safety plans, including protection and authorization, are focused on the provincial governments. The Provincial People's Committees and the Departments of Agriculture and Rural Development (DARD) are the provincial chairmen. The Provincial Project Management Unit (PPMU) is responsible for managing and supervising the works with the support from the CPMU. The CPMU will assist the project implementation via an Environmental and Social Technical Assistance Agency. In addition, the CPMU will hire an independent consultant to evaluate the implementation of the Environmental Safety Policy for the entire subproject, once every 6 months which is selected through a competitive process to provide support and quality assurance for the central level during the project implementation. This includes the support to the CPO in reviewing, refining when necessary and re-implementing the development framework during the project implementation, which can provide a general framework for the national programs. This process will be considered in accordance with the context of Decree No.72 to assist MARD in establishing necessary systems for the implementation of the National Dam Safety Program. Provincial level Lao Cai Province People's Committee is responsible for the implementation of the Dam Rehabilitation and Safety Improvement Subproject in the province. Each province will have one Subproject implementation unit (PPMU). Lao Cai PPMU is responsible for all activities relating to the procurement, construction supervision, implementation of resettlement action plan, environmental and social action plan, which must be consistent with the overall framework of the project. The PPMU will be supported by the CPMU in term of technical assistance, environmental and social consultation. The project implementation organization is outlined in the following diagram.

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Figure 11.Figure 11. TheProject Organization (Source: DRSIP Project Environment and Social Management Framework, 2015) 7.2.2.Roles and responsibilities for environmental and social safety management In terms of the regular investment monitoring activities, the CPMUwill carry out the monitoring with the coordination of the local environmental authority to determine whether the project implementation meets all requirements of the local environmental and social management framework, socio-environmental impact assessment reports and environmental management plans or not. The agency will also visit the site at various stages of the project to confirm that the Environment Social Management Plans and the environmental and social monitoring plans are being implemented in full. A monitoring report including environmental and social management issues will be included in the overall field report. The designated environmental and social experts are responsible for preparing quarterly and annual reports on major project implementation steps, outputs and results of environmental management actions to be made for all investments throughout the project cycle. The CPO requests all PPMUs to include their corresponding environmental component in their investments, which include important mitigation activities and environmental incidents. All PPMUs must integrate the environmental component in all reports prepared for the World Bank. The Stakeholders should be fully aware of the ESIA implementation mechanism in the project investments. This will be very important in supporting and evaluating their roles in the environmental monitoring and the monitoring and evaluation of the subproject activities. The organization diagram during the ESMP implementation is outlined in Figure below.

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MARD/CPO WB (Environment safeguard staff, Independent

Consultant)

PPMU DONRE ((Environmental and Social Officers)

District DONRE

Construction Supervision Contractors Community Consultant (CSC)

Figure 12. The Subproject’s diagram for implementation of Environment Safeguard Policy The details of the roles and responsibilities of the stakeholders involved in the environmental and social management during the project implementation are presented in Table 25. Table 44. Roles and responsibilities of stakeholders

Unit Responsibilities

- The CPMU, on behalf of the Investor, MARD will be responsible for monitoring the overall implementation of the project, including the compliance with the project's environmental and social safeguard policy. - Responsible for reporting the implementation of the project environmental protection policy to the MONRE and the World Bank. Central Project - The CPMU will be assisted in the overall implementation of the Subproject Management Unit by the Technical Consultant (TA), which will develop a system to properly (CPMU) monitor the social and safety aspects during the project implementation. - The independent monitoring of the third party will carry out regular independent evaluation of the subproject activities. This agency will also assess the compliance with the policy application and the implementation of safety instruments, including environmental management plans/environment code of practices, resettlement policy framework/resettlement action plan, ethnic minority development plan and gender action plan. - The PPMU will be responsible for monitoring the implementation of the subproject, including the compliance with the subproject's environmental policy. Provincial Project The PPMU will be the final agency responsible for the ESIA implementation Management and the implementation of the environmental activities of the subproject during Units(PPMU) the construction and operation phases. - Specifically, the PPMU will: (i) work closely with the local authorities on the community consultation during the project preparation and implementation phases; (ii) oversee the implementation of the ESIA, including the incorporation

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of ESIA into detailed engineering designs, tender documents and contract documents; (iii) ensure that the environmental management system is well established and functions; (iv) responsible for reporting on the implementation of the ESIA to the CPO, the DoNRE and the World Bank. PPMU environmental - The PPMU’s environmental staff is responsible for monitoring the and social staff(ES) implementation of the World Bank's social and environmental safeguard policies at all subproject stages and during the subproject implementation. Specifically, the environmental staff will be responsible for: (i) assisting the PPMU to integrate ESMP into detailed engineering designs, civil engineering tender documents and contracts; (ii) assisting the PPMU to oversee ESMP and Resettlement Action Plan in accordance with the Terms of Reference, bidding documents and contract documents for Construction Supervision Consultant (CSC), if needed; iii) providing relevant inputs for the consultancy selection process; (iv) reviewing reports submitted by the CSC and the safeguard consultant; (v) conducting periodic field surveys; (vi) supporting the PPMU with the measures to address the social and resettlement issues of the subproject; and vii) developing social and environmental implementation contents in line with the progress and the DD reports to submit to the CPO and the World Bank. - The Construction Supervision Consultant will entrust the Environmental and Social Officers to maintain regular monitoring of all construction activities and ensure that the Contractors comply with the contract requirements and the Construction ECOP. The Construction Supervision Consultant will arrange sufficient number Supervision of qualified staff (e.g. Environmental Engineers) with full knowledge of Consultant (CSC) environmental protection and construction project management to perform the required tasks and supervise the Contractors' activities. - The Construction Supervision Consultant will also assist the PPMU in (i) reporting and maintaining close coordination with local communities, and (ii) strengthening the capacity of civil protection for the construction Contractors. Bidders will submit the following additional documents to the bidding documents to the PPMU: Code of Coduct (ESHS) • Each bidder will submit a Code of Conduct (ESHS) that will be applied to its employees and subcontractors to ensure the compliance with the contractual environmental, social, health and safety obligations. • In addition, a bidder will present the details on how the ESHS will be implemented. This will include: how it will be incorporated into the Bidders conditions of employment/participation, how is training provided, how it will be monitored, and how a contractor proposes to deal with any acts of violation. Management Strategies and Implementation Plans (MSIP) to manage the ESHS risks • The Contractor shall submit management strategies and implementation plans (MSIPs) to manage the following major environmental, social, health and safety (ESHS) risks. + Traffic management plan to ensure the safety of local communities from

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construction traffic; + Water resources protection plan to prevent drinking water pollution; + Strategies to mark and protect boundary for mobilization and construction to prevent adverse externalities; + Strategies to obtain consent/permits prior to commencement of related work such as opening a quarry or mine. - The Contractors will appoint Environment Safeguard Monitoring Officers to implement the proposed environmental and social mitigation measures in the ESMP. - The Contractors shall submit the Contractor's Environmental and Social Management Plan (C-ESMP)2 to the PPMU/IMC for approval and then implement it in accordance with the Specific Conditions of the Terms Contract 16.2, including the agreed Management Strategy and Implementation Plan. - The Contractors are required to appoint competent individuals who are Site Environmental Safeguard Officers (SEO), who will be responsible for monitoring the compliance with the ESHS and Management Strategies and Implementation Plans (MSIP) for Risk Management. Contractors - Take actions to minimize any potential negative impact that is consistent with the objective described in the ESMP. - Actively discuss with local people and propose actions to prevent disturbance during construction. - Ensure that all employees and workers to understand their procedures and tasks in the environmental management program. - Report to the PPMU and the Construction Supervision Consultant about any problems and solutions. - Report to local authorities and PPMU and Construction Supervision Consultant in the event of environmental incidents and coordinate with the agencies and the stakeholders to address these issues. - The local community monitoring boardsare set up under the Prime Minister's Local government, Decision No.80/2005/QD-CP dated 18 April 2005 on the “Regulation on local community Community Investment Supervision Mechanism”. The commune community supervision committees have the power and responsibility to supervise

2 A Contractor shall not commence any works, even mobilization and/or preparation of preconstruction activities (e.g. site clearance for traffic roads, service roads and construction site, geotechnical investigations or investigations to select ancillary features such as quarries and coal mines), unless the PPMU is satisfied that appropriate measures are taken to address the environment, social, health and safety risks and impacts. At least, the Contractor must apply Management Strategies and Implementation Plans and the ESHS that it submitted as part of the Contractor’s bid and is agreed as part of the Contract. The Contractor shall, on a continuing basis, submit supplementary management strategies and implementation plans to get approval from the Subproject Manager prior to the implementation, if necessary, to manage the risks and impacts relating to ESHS on the ongoing works. These management strategies and implementation plans include the entire Contractor's Environmental and Social Management Plan (C-ESMP). A C-ESMP will be approved prior to the commencement of construction activities (e.g. excavations, earthworks, bridges and structures, streams and roads, exploitation or mining of materials, mixing concrete and asphalt). The approved C-ESMP will be reviewed periodically (but no less than than every six months) and updated promptly as required by the Contractor to ensure that it is in conformity with appropriate activities to be implemented. The updated C-ESMP will require the prior approval of the Subproject Manager.

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construction activities, environment negative impacts caused by construction activities, and the potential negative impact mitigation measures. Ensure that the potential negative mitigation measures are effectively implemented by the Contractors. In case of environmental problems affecting the community, they will inform the CSC and/or the PPMU. Provincial People’s - Supervise the implementation of the environmental protection of the Committee, Subproject's construction components, ensuring the compliance with the Department of Government's policies and regulations. The DoNREs and MONREs in the Natural Resources districts monitor the compliance with the government's environmental and Environment requirements.

7.4. Environment compliance framework The duties of theContractors, the Safety,Social and Environmental Officers (SSEOs), and the Monitoring Consultant here which have not included in the SPD are required to be included in the Owner Request (Section 7 of the SPD). 7.4.1.Contractors’ environmental responsibilities3 First of all, the Contractors must comply to mitigate potential impacts of the construction activities of the subproject, and secondly, the Contractors must apply mitigation measures within the framework of the ECMP to prevent damage and disturbance for local communities and the environment due to impacts during the construction and operation phases. The Contractors are required to submit ECMP for approval and then implement the Contractor's ECMP in accordance with the Specific Conditions of Contract Clause 16.24, including the and plan implementationand management strategy.

3If a Contractor does not implement or is not implementing any of the ESHS obligations or works under Contract, the values of these obligations or works as determined by the Project Manager, may be withheld until they have been implemented and / or repairs or replacement costs have been implemented as determined by the Project Manager. The values may be withheld until the repairs or replacement costs have been completed. The Contractor does not implement or is not implementing, but not limited to, the following: • Fail to comply with any of the ESHS obligations or works described in the Requirements of Works, including: working beyond the boundaries of the construction sites, excessive dust, failing to keep public roads in safe condition, damages to vegetation, water or sediment contamination, soil contamination e.g.due to oil, human waste, archaeological or cultural heritage damages,air pollution due to firing, whichare not allowed and / or ineffective; • Fail to regularly review the C-ESMP and/or update it in a timely manner to address ESHS emerging issues or to anticipate risks or impacts; • Fail to implement C-ESMP; • Have no prior appropriate consent/permits before commencing works or related activities; • Fail to submi ESHS report (as described in Appendix C of the SPD), or failing to submit ESHS report on time; • Fail to take remedies as directed by the Engineer within the specified period of time (e.g., correcting the non- compliance). 4A Contractor shall not commence any works, even mobilization and/or preparation of preconstruction activities (e.g. site clearance for traffic roads, service roads and construction site, geotechnical investigations or investigations to select ancillary features such as quarries and coal mines), unless the PPMU is satisfied that appropriate measures are taken to address the environment, social, health and safety risks and impacts. At least, the Contractor must apply Management Strategies and Implementation Plans and the ESHS that it submitted as part of the Contractor’s bid and is agreed as part of the Contract. The Contractor shall, on a continuing basis, submit supplementary management strategies and implementation plans to get approval from the Subproject Manager prior to the implementation, if necessary, to manage the risks and impacts relating to ESHS on the ongoing works. These management strategies and implementation plans include the entire Contractor's Environmental and Social Management Plan (C-ESMP). A C-ESMP will be approved prior to the commencement of construction activities (e.g.

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Remedial actions that can not be carried out during the construction process must be resumed as soon as the works are completed (before the acceptance of the works). The Contractors ‘tasks include but not limited to: - Comply with the legal requirements relating to the environment, safety and public health. - Work within the scope of the contract requirements and other conditions of bidding documments. - Set up representative committees of the construction teams to participate in the joint monitoring conducted by environmental staffof the PPMU and the CSC. - Coordinate with the environmental consultant for monitoring following a plan of ESIA. - Coordinate with the PPMU for safeguard policies ( for officials and workers on the site). - Carry out any corrective actions as directed by the environmental staff of the PPMU and the CSC. - If there is a case of non-compliance or falsification, investigations and submissions of mitigating measures should be conducted and measures taken to minimize the impact on the environment. - Stop obstructing construction activities until receiving instructions from theenvironmental staff of the PPMU and the CSC. Propose and implementmitigation measuresand alternative construction methods to minimize impact on the environment. If the Contractors fail to comply with the above requirements, they will be suspended from work or receive penalties until the problem is resolved and the PPMU and CSC approve. 7.4.2.Contractors’environmentaland social safeguard staff The Contractors are required to appoint competent personnel, including safeguard, social and environmental officers (SEO). The Contractors’SEOs must be properly trained in the environmental management and provided with necessary skills to transfer environmental management knowledge to all employees participating in the contracts. The SEOswill be responsible for monitoring the Contractors’ compliance with the ESMP requirements and the environmental requirements. The SEOs’ tasks will include but not limited to the following: - Organize inspection of environment state to evaluate and inspect the status of the Contractors’ construction sites, equipment and construction methods related to pollution control and environmental mitigation measures to be fully implemented; - Monitor the compliance with environmental protection measures, pollution prevention and control measures and contract requirements;

excavations, earthworks, bridges and structures, streams and roads, exploitation or mining of materials, mixing concrete and asphalt). The approved C-ESMP will be reviewed periodically (but no less than than every six months) and updated promptly as required by the Contractor to ensure that it is in conformity with appropriate activities to be implemented. The updated C-ESMP will require the prior approval of the Subproject Manager.

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- Support to an environmental consultant on periodically monitoring - Monitor the implementation of environmental mitigation measures; - Prepare audit reports for environmental conditions at site; - Investigate complaints and propose corrective measures; - Consult theContractors the environmental improvement, awareness and measures to prevent immediate pollution; - Propose appropriate mitigation measures for the Contractors in case of non-compliance. Implement additional monitoring of non-compliance as instructed by PPMU, CSC environmental staff. - Notify theContractors and the environmental staff (PPMU and CSC) environmental issues, submit to the Contractors’ ESMP for environmental staff of the PPMU, the CSCand the relevant authorities, if it is necessary; - Maintain detailed records of all site activities related to the environment. 7.4.3 Social and environmental supervision during construction phase During the construction, the Construction Supervision Consultant (CSC) which are qualifiedto report to the PPMU will carry out the environmental and social monitoring. The CSC will assign environmental and social officers who will be responsible for monitoring and supervising all construction activities to ensure that the mitigation measures selected in the ESMP are properly implemented and negative environmental and social impacts of the subproject are minimized. The CSC will hire environmental and social monitoring engineers who areknowledgeable of construction management and environmental and social management to perform the required responsibilities and supervise the implementation of the Contractors. In particular, the CSC’s environmental and social officers will: - On behalf of the PPMUto review and evaluate whether or not the construction design that meets the requirements on mitigation and management measures of the ESMP; - Supervise the Contractor's on-site environmental and social management system, including the implementation, experiences and ability to address environmental and social issues on site, and provide guidance on correction; - Review the implementation of the contractor's ESMP, verify and confirm the environmental and social monitoring procedures, parameters, monitoring positions, monitoring equipment and results; - Report on the ESMP implementation to the PPMU and prepare environmental and social monitoring reports during the construction phase. 7.4.4. Compliance with contract and legal requirements The construction activities not only comply with the environmental protection and pollution control requirements of the contracts but also comply with the Law on Environmental Protection

141 Environmental and Social Impact Assessment Report (ESIA) and Pollution Control ofthe Vietnamese Government. All Contractors ‘reports on construction methods submitted to the CSC and the PPMU for approval must provide with adequate measures to control pollution and protect the environment. The CSC and the PPMU will also review the progress and program of the works to verify that the relevant environmental laws are violated and to possibly prevent any one who manage to break the law. The Contractors must copy the documents related to the SEO and the ES. The documents must at least include updated work progress reports, updated construction methods, and other licensingapplications under the Environmental Protection Law and all valid permits/licenses. The SEO and ES will be able to approach the Contractors’ construction logbooks. After reviewing the documents, the SEO and the ESwill advise the PPMU and the Contractors on any non-compliance with contractual and regulatory requirements for environmental protection and pollution control to implement the next actions. If the SEO or the ES conclude that the status of the license applications and any environmental protection and pollution control activities fail to comply with the construction measures or may result in potential violations of the environmental protection and pollution control requirements, the Contractors and the PPMU will be consulted accordingly. 7.4.5. Reporting In addition to the progress reports, the Contractors shall also provide Environmental, Social, Health and Safety (ESHS) report as set out in Appendix B to the Standard Bidding Document (SPD). In addition to the reports defined inAppendixB, the Contractors shall immediately notify the PPMU of any incidents in the following groups. Full details of these incidents will be provided to the PPMU within the time agreed upon with the PPMU. - Confirmation or possibility to violation of any laws or international agreements; - Any fatal or serious injuries (damage oftime); - Significant adverse effects or damages to personal property (e.g. car accidents, damage caused by flying stones, working outside the boundaries); - Severe pollution of groundwater or damage to or destruction of habitats or endangered and rare species (including protected areas); or - Any allegations of sexual harassment or sexual assault, child abuse, defamation, or other violations involving children. The ESIA monitoring and reporting requirements are summarized in the table below. Table 45. Reporting requirements

No. Reported by Submitted to Report frequency

1 Contractors CSC Immediately reportspecific problems, and report monthly more range of problems

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2 Construction Supervision PPMU Immediately and monthly Consultant (CSC)

3 Community monitoring PPMU When the community has any complaints boards about the implementation of the subproject safeguardpolicy

4 Provincial Project DONRE, CPMU 6months/time, compliant with the legal Management Unit (PPMU) environment policies of the Government

5 Provincial Project WB Every 06 months, compliant with Section Management Unit (PPMU) II of the Loan Agreement 7.5. Grievance redress mechanism Complaints related to any subproject issues will be resolved through negotiations to reach consensus. Complaints will go through three stages, at the commune, district and provincial committee levels, before to the court. The Implementing Agency (PPMU) will pay all administrative and legal fees related to the acceptance of complaints. This cost is included in the sub-project budget. The procedures for lodging complaints shall be as follows. 7.5.1. Procedures for complaints and settlement i) People's committees at commune/wardlevels (CPC). affected people/affected households can bring their complaints to any member of the the ward/commune People’s Committeevia the village heads or directly to the ward/commune People’s Committee in writing or orally. Members of the ward/commune People’s Committee or the village heads will inform the ward/commune People’s Committee of the complaints. The People's Committee of the ward/commune will work directly with the affected persons and decide on the reconciliation/settlement within 5 days of receiving the complaint (about 15 days for the mountainous and remote areas). The clerks of the ward/commune People’s Committee office are responsible for keeping records of all complaints that the ward/commune People’s Committeeprocess. After decisionsare made by the People's Committees, the concerned households can make complaints against within 30 days. When the People's Committees issuedecisions for the second time, the householdsare still not satisfied with the decisions, they can appeal to the City People's Committee (CPC).

(ii) District People's Committee (DPC). When receiving complainants, the District People's Committee will take 15 days (or 30 days for remote areas) to resolve them. The District People's Committees are responsible for filing and archiving documentation of all complaints it handles. When the DPC issues decisions, the complainants can appeal against within 30 days. When the People's Committees issue decisions for the second time, the householdsare still not satisfied

143 Environmental and Social Impact Assessment Report (ESIA) with the decisions, they can appeal tothe provincial People's Committee in accordance with the complaint procedures provided in the Law on Complaints in 2011 and related documents. (iii) Provincial People's Committee (PPC): Upon receipt of complaints, the Provincial People's Committee takes a period of 30 days (or 45 days for remote areas) from the date of receipt of complaints for settlement. The Provincial People's Committee is responsible for keeping records of all submitted complaints. After the PPC issued decisions, the complainants can appeal againstwithin 45 days. When the People's Committees issue decisions for the second time, the householdsare still not satisfied with the decisions, they can appeal tothe court within 45 days. The PPCwill pay the compensation amount into a bank account. (ii) Provincial Court. Whenhouseholdsbring their cases to the provincial court and the rules of the court are beneficial to them, the provincial government will increase the compensation to the level that the court approves. In the case the court judgment is in favour of the PPC, the complainants will be refunded the amount paid to the court. Decisions on the settlement of complaints must be sent to complainants and the involved parties and publicly posted up at the offices of the People's Committees of the competent level. The complainants will receive the judgment three days after the decisions on the settlement of complaints at the commune level are made and seven days at the district or provincial levels. To minimize the number of complaints at the provincial level, the PPMU will coordinate with the District Compensation Committee to participate and consult in the complaint resolution process. The role and capacity of this organization is to provide compensation, support and resettlement to affected households and displaced persons. Staff: The environmental and resettlement staff nominated by the PPMU will design and maintain a database of subproject-related complaints including: the nature of the complaints, the source and date of the complaints, the names and addresses of the complainants, the action plans, and the status quo. For verbal complaints, the reconciliation board will record these requests in a complaint form at the first meeting with affected people. 7.5.2. Contractors and Construction Supervision Consultant During the construction process, the grievance redress mechanism will be managed by the Contractors under the supervision of the CSC. The Contractors will inform affected communities the availability of the grievance redress mechanism to resolve grievances and concerns regarding to the Subproject. This will be done through a community consultation and disclosure process whereby the Contractors will regularly communicate with affected communities and relevant agencies. The meetings will be held quarterly, monthly at least. The subproject information flyers will be announced. The announcements will be made on the local media and announcements that the upcoming activities will be posted ... All complaints and actions taken by the Contractors will be recorded in the subproject monitoring reports. Complaints and claims for damages may be made in the following forms:

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- By word of mouth: directly to the CSC and/or the Contractor's security guards or regional office representatives. - In writing: by hand or by posts to specific addresses. - By telephone, fax, e-mail: to CSC, security guard or Contractor's representative. When a complaint is received, the CSC and Contractor's safeguard officers or representatives will file the complaint and record incidents subsequent to the complaint until it is settled. Immediately after receiving complaints, it is necessary to make 04 copies. The original will be kept in the file, 01 copy will be kept by the Contractor's safeguard officer, 01 copy will be sent to the CSC and 01 copy will be sent to the PPMU within 24 hours of receipt of the complaint. The complain information recorded will include: - Dates and hours of complaints. - Names, addresses and contact details of complainants. - Brief descriptions of complaints. - The actions taken to resolve complaints, including contact persons and findings at each stage of complaint settlement process. - Dates and hours when complainants are contacted during the resolution process. - Final decisions about complaints. - Dates, times and how complainants were informed. - Signatures of complainants when making decisions. Unimportant claims will be resolved within a week. Within two weeks (and every week thereafter), the written response will be sent to complainants (manual, post, fax, e-mail) which states the procedures to be followed and the process by date. The main objective is to solve the problem as quickly as possible by the simplest means, involving as few persons as possible and at the lowest possible level. Only if the problem can not be solved at the simplest level and/or within 15 days, other functional agencies will participate. Such situations may arise, for example, where damages are claimed, the volume of claims can not be resolved, or the causes of damages are determined. 7.5.3. World Bank’s grievance redress mechanism Individuals and communities who believe that a subproject supported by the World Bank adversely affects their lives, they can file grievances/complaints to the current Subproject grievance redress mechanism or the World Bank's grievance redress committee. This organization ensures that complaints are addressed in a timely manner related to the subproject. Individuals or organizations are affected by the subproject may file complaints to the World Bank's independent Inspectorate to determine if any damage occurred or may occur as a result of non-compliance with the World Bank’s policies and procedures. Complaints may be made at any

145 Environmental and Social Impact Assessment Report (ESIA) time. When the matter is of concern to the World Bank, the PPMU will have responsibility to answer. For more information on how to file a complaint with the WB’s grievance redress committee, please visit www.worldbank.org/grs. For more information on how to file a complaint with the World Bank Inspectorate, please visit www.inspectionpanel.org. 7.6. ESMP implementation plan 7.6.1. Contractor's Environmental and Social Management Plan As soon as the contracts are signed, based on the ESIA report, the subproject construction methodology, the construction plans which are approved by the CSC and the PPMU, the Contractors will prepare the ESMPs of their packages and submit them to the PPMU for review and approval. Once the ESMPs are approved, the Contractors will implement measures to minimize environmental and social impacts on site. The ESMP information will be posted at the workers’ camps and workplaces to disseminate information about mitigation measures for workers. The Contractors post information of mitigation measures at the entrances of the sites, including the addresses, representatives, phone numbers of the parties involved for the local community to follow and contact as necessary. Assign staff responsible for environment safety; train knowledge on environment safety and workers’ health. Survey, check the environmental status at site, report to CSC/PPMU if there are significant differences compared to the environment. Sign contracts with authorized units for treatment of daily-life wastes, hazardous wastes, and supply of clean water. Manage workers and construction equipment and issue new certificates in case of expiration. Implement the ESMP and update, submit to the CSC/PPMU for approval if changes are made prior to application. Collaborate with the CSC/PPMU to resolve complaints from people about environmental issues and the safety of the packages in a timely manner. Report on the implementation of the monthly ESMP. 7.6.2 Start up the sub-project and its personnel Contractors’ environmental safety staffmust be trained in relevant to the regulations and must have certificates of labor health and safety and full-time employment on site. Provide training on labor health and safety for employees and regularly carry out inspections of workplace health and safety at work sites.

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7.7 Capacity building and training 7.7.1 Training on safety policy Since the PPMU have implemented the projects funded by the World Bank, a number of its staff may have a clear understanding of the Bank's safeguard policy requirements. The PPMU has appointed one officer to be responsible for implementing the environmental safety of the subproject. This environmental officer has participated in World Bank safety training courses organized by the World Bank and the CPMU at the early stages of the project implementation. Training and capacity development, however, is required annually through technical assistance activities of World Bank’s Safeguard Policy Officers which address new safeguard policy requirements. As the new requirements relating on environment, social, health and safety (MXSA) issues are set out in the standard bidding documents, training on the MXSA requirements will be provided by the World Bank’s Safeguard Policy Officers for the environmental and social staff of the PPMU, the CSC, the environmental and social staff of the Contractors as soon as they are mobilized and the PPMU will be responsible for organizing the training compatible with World Bank’s Safeguard Policy Officers. Such training courses will be held at the early stages of the subproject process to ensure that the ESMP is properly integrated into the bidding documents (and subsequently is in the contracts). Technical assistance should be provided by experienced staff and the skills of construction supervision consultants, and be implemented in accordance with the terms of reference which encompass specific reference to the development of the requirements of the Investor’s standard bidding documents. 7.7.2 Training on occupational safety and health Provisions will be made to provide occupational safety and health training for all new employees to ensure that they are informed of the site's basic workplace conditions and work practices to protect personals and prevent injuries to their colleagues. Training will include basic hazard perception, specific hazards, safe work practices, and emergency procedures for fire, evacuation, and natural disasters appropriately. Any specific hazard or colour codes to be used will be considered thoroughly as part of the orientation training. 7.7.3 Orientation of visitors If visitors are allowed accessing to the areas with hazardous conditions or substances, visitor orientation and control programs will be established to ensure that visitors do not enter dangerous areas without accompanying persons. 7.7.4 Training new contractors and new workers The PPMU will ensure that workers and contractors, before undertaking new jobs, receive adequate training and information so that they can understand and protect themselves from surrounding hazards of work that may be present. The training will include the following in full: - Understanding of materials, equipment and tools - Understanding of hazards in operation and how to control them - Potential risks to health

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- Alerts to prevent exposure - Sanitary requirements - Wear and use protective clothing and equipment - Reactions to severe operating conditions, incidents and accidents 7.7.5 Training on basic occupational health and safety A basic training program and intensive courses will be implemented as needed to ensure that workers are oriented towards the specific hazards of individual tasks. Training will generally be provided to managers, supervisors, workers, and occasional visitors to risk and hazardous areas. Workers in charge of first aid and rescue obligations will receive special training not to intentionally exacerbate the exposure and health hazards to themselves and their colleagues. The training will include the risk of transmitting diseases through blood when there is contact with tissue and body fluids. Through appropriate contractual terms and monitoring, the PPMU will ensure that service providers as well as those who are in charge of contracts and subcontracts, are adequately trained before any commencement of works. The PPMU will be responsible for coordinating with the construction supervision consultants and the contractors’ social environment staff to organize the training courses mentioned above. 7.8 Environmental monitoring plan 7.8.1 Monitoring the compliance with mitigation measures The PPMU and the CSC will monitor the compliance of the standards. The PPMU and the CSC will monitor the Contractors’ activities in accordance with the agreed mitigation measures. The results are summarized in the monthly reports. Local authorities in 06 communes and the communities living in the 06 reservoir area will perform monitoring tasks in accordance with the Government’s regulations, the Law on Environmental Protection in 2014 and Decree No.80/2005/ND-CP regarding the regulations on investment community monitoring. In addition, the Contractors ‘environmental safety staff will be responsible for day-to-day monitoring of labor safety and environmental sanitation and reporting to the CSC. A detailed monitoring plan will be prepared during the detailed design stage. Expenditures for the monitoring program will be included in the implementation cost of the ESMP. 7.8.2 Monitoring environment quality (a) Periodic monitoring The environmental monitoring program for air quality, soil quality and water quality will supply information that can be used to assess the effectiveness of pollution management strategies. A systematic planning process is recommended to ensure that the data collected is appropriate for the intended purpose (and to avoid unnecessary data collection). This process, is sometimes referred to as the process of data quality objectives which determines the purpose of data

148 Environmental and Social Impact Assessment Report (ESIA) collection, determines based on data and consequences of making wrong decisions, time and place boundaries and the quality and data required to make correct decisions. The environmental monitoring program will consider the following factors: • Monitoring parameters: The selected monitoring parameters must reflect disturbing pollutants related to subproject processes. • Baseline calculations: Prior to the construction of the subproject, monitoring the ambient environment quality of the subproject should be carried out to assess the contamination level of the main pollutants to distinguish between the conditions the surrounding environment and impacts related to the subproject. • Type and frequency of observation: Ambient environmental quality data generated from the monitoring program should represent contaminated emissions by the subproject over time. The time and the monitoring frequency can also be arranged from continuously to infrequently, monthly, quarterly or yearly. • Monitoring locations: Monitoring the ambient environmental quality may include external or within the sub-project monitoring scale by the Investor, DONRE, or by the cooperation between both parties. The locations of monitoring stations should be established based on the results of scientific methods and mathematical models to estimate potential impacts on the receptors from emission sources, which take into account such aspects as locations of the communities that are likely to be affected. • Sampling and analysis methods: The monitoring programs should apply national or international methods for sample collection and analysis such as the standards published by the International Organization for Standardization (ISO). The sampling must be conducted by or under the supervision of trained staff. The analysis will be implemented by authorized or certified entities for this purpose. The sampling and analysis quality control plans (QA/QC) should be documented to ensure that the quality of data is consistent with the intended purpose of the data (for example, the methods that limit findings lower than the level of interest). The monitoring reports should include QA/QC documents. Noise monitoring can be done for the purpose of setting an ambient noise level which is present in the area of the proposed subproject or checking the noise level in the operation phase. The noise monitoring programs should be designed and implemented by trained professionals. The typical monitoring cycles should be sufficient for the statistical analysis and may last up to 48 hours with the use of noise monitoring devices that can record continuous data during this period of time, or by hour, or more often, if appropriate (or include different periods of time for several days, including weekdays and weekends). The sound index types are recorded depending on the type of interference being tracked as determined by the noise professionals. The equipment should be placed about 1.5m from the ground and not closer than 3m to any reflective surfaces (e.g. walls). In general, the noise level limit is expressed by the level of ambient noise or the level of baseline noise in the absence of the noise source being surveyed. The details are shown in the table below.

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Table 46. Environmental monitoring plan during the construction process

National Technical Measured Environment Locations Frequency Regulations to be parameters applied Air quality Measurement, sampling Once every Table 1 of QCVN QCVN at 06construction sites, 6 months 05:2013/BTNMT: 05:2013/BTNMT

01 school PM10, PM 2,5 Noise at 06 construction sites, Once every Noise equivalence QCVN 01 school 6 months (dBA) 26:2010/BTNMT

Soil sample 06 locations of works Once every As, Cd, Cu, Pb, Zn QCVN 03- 6 months MT:2015/BTNMT Surface water 03 samples (01 before Once every pH, DO, COD, QCVN 08- + quality and 02 after the works) 6 months BOD5, NH4 , MT:2015/BTNMT at 06 reservoirs Turbidity, Total

Coliforms The estimated period is 24 months for the subprojects activities. The periodic sampling locations coincides with the sampled locations during the ESIA implementation. In the implementation process, depending on the construction conditions, we adjust environmental monitoring locations to suit the reality. The detailed estimates are given in the Appendix. (b) Monitoring incidents The purpose of this monitoring is to assess the level of soil and water pollution caused by sudden discharge, e.g. discharge of wastewater and oil into nearby water and land, and to timely make decisions on pollution control to reduce environmental risks. An incident monitoring plan will be developed by the CSC in the initial stage of the subproject implementation and submitted to the PPMU for approval. This plan identifies potential environmental risks associated with the discharge of wastes such as wastewater and oil into nearby water bodies. The plan also identifies resources to monitor this issue, such as personnel, equipment, locations and monitoring parameters, analytical methods, dedicated laboratories, and cost estimates. 7.8.3 Dam safety monitoring Once water has been accumulated in the reservoirs and the dams started working, the dam owners will take over the responsibility of dam safety monitoring. This task will be handled by a qualified independent expert who is qualified and is not involved in the survey, design, construction or operation of the dams. After the operation of the dams becomes regular, the regular inspections of the dams, including pre-flood and post-flood safety inspections, are carried out in accordance with Government Decree No.72/2007/ND-CP on Dam Safety Management. 7.7. Estimated cost The estimated cost for the ESMP monitoring is given in the table below. The table that breaks the detailed cost estimation is described in the Appendix. The cost for implementing mitigation measures will be included in the construction costs.

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Table 47. Estimated costs for ESMP implementation monitoring and capacity building

No. Items Cost(VND) 1 Monitoring of ESMPimplementation 703,252,000 2 Capacity Strengthening 158,000,000 Total 861,252,000 The community involvement in the ESMP implementation is voluntary for the benefit of the community and people themselves. Therefore, people participating in the ESIA monitoring will not be paid. However in order to encourage the community participation, the cost of materials and tools should be allocated to the monitoring activities to support selected community members to participate in the monitoring. According to Decision No.80/2005/QD-TTg dated 18/4/2005 by the Prime Minister on the Regulation on Investment Community Supervision and the Joint Circular guiding the implementation of Decision No.80/2005/QD-TTg: "The cost of investment community supervision in the communes/wards is included in the estimated cost of the budget of the Fatherland Front at the commune level and deducted from the commune/district budget and financial support for dissemination, training courses, guidelines, preliminary and final reports. the provincial and district levels will reimburse from the cost estimate of the Front Fatherland at the provincial/district levels, which is deducted from the provincial budget". The table below shows the flow of funds for the environmental quality monitoring and capacity building during the implementation of Lao Cai subproject. Table 48. Funding for ESMP monitoring

Contents The Components of Lao Cai Funding subproject

(a) Mitigation during construction Part of the construction contract World Bank

(b) Control of safeguard policy during Part of the Cost of Construction World Bank construction Supervision Consultant (CSC) (c) PPMU in charge of environmental Part of the cost of the PPMU Counterpart fund safeguard policy (d) Monitoring environmental quality Cost of renting environmental World Bank monitoring Table 49. Summary of mitigation measures Stag Environme Mitigation Locations Applied Mitigatio Agency Agency es ntal and measures standards n costs responsible responsib social for le for issues implementa monitori tion ng Pre-construction phase

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Stag Environme Mitigation Locations Applied Mitigatio Agency Agency es ntal and measures standards n costs responsible responsib social for le for issues implementa monitori tion ng Clearing the - Only The Compensa Affected PPMU vegetation clearing the subproject tion and house heads and on designated area site People's temporarily area. clearance Committe and costs es of - Utilizing permanentl districts plant waste y acquired and as fuel or land commune material s - Collecting unused waste plant and transport to local landfill -Restore the vegetation as soon as possible to maintain the landscape, microclimat e conditions and habitats of local fauna. Land Compensati The entire Land Law 2,883,547, People's PPMU acquisition: on, subproject No.45/2013/ 520 VND Committees and local The assistance area is QH13, of districts communit implementa and affected relevant and ies tion of resettlemen decrees and communes subproject t for people circulars in the components affected by subproject will damage to area permanentl land, y recover housing, 11,640 m2 income, of property. agricultural The land from compensati 65 on for site households. clearance

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Stag Environme Mitigation Locations Applied Mitigatio Agency Agency es ntal and measures standards n costs responsible responsib social for le for issues implementa monitori tion ng In addition, will follow the the updated subproject resettlemen temporarily t plan of the affects up to subproject. 26,600 m2 of forest land, of which 15,000 m2 are under the managemen t of 07 households and 11,600 m2 are managed by the Commune People's Committees Risks from Ensure safe The entire QCVN Mine and The Unit PPMU mines and distance subproject 01:2012/BQ bombclear which is bombs and area to be P ance cost under warnings affected Military QCVN for people Zone II 02:2008/BC during the T implementa tion in Circular accordance No.146/200 with QCV 7/TT-BQP 01:2012/B QP- National technical regulations on clearance of explosive ordnance and Ordinance 02:2008/B CT-

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Stag Environme Mitigation Locations Applied Mitigatio Agency Agency es ntal and measures standards n costs responsible responsib social for le for issues implementa monitori tion ng Regulation National regulations on safety in transporting , preserving, using and destroying industrial explosive materials Groundwate After The entire QCVN 09- The cost FS PPMU r drilling subproject MT:2015 for setting Consultant contaminati geological area to bee up FS on due to exploration, affected geological the design drilling surveyor will fill and drilled holes in the areas to minimize the effect of rinsing the dirt under the boreholes which may affect the quality of undergroun d water. Construction period The general -ECOPs All Laws, Included Contractors PPMU, environmen affected decrees, in CSC, -Measures tal and subproject circulars and constructi IMC of to mitigate social areas, current on costs the specific negative including national CPMU, impacts impacts are constructio technical DONRE, related to n sites, regulations; local construction transport communit Guideline to activities routes, ies. the and specific material

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Stag Environme Mitigation Locations Applied Mitigatio Agency Agency es ntal and measures standards n costs responsible responsib social for le for issues implementa monitori tion ng impacts mines Environment , Health and Safety of the World Bank Group Operation stages Risk of - Reservoir Official Operating Dam owner DARD drowning Installation area Letter cost of the of sign No.5675/BG reservoir boards and DDT-GDTC warning dated 30 system on November dams, 2017 reservoirs - Disseminati on of the risk of drowning to the community living along the reservoirs Domestic - Limiting Reservoir Decree Operating Dam-owners DARD waste from activities area No.38/2015/ costs of activities of that ND-CP the reservoir generate reservoir operators solid waste and visitors and wastewater - No littering - Waste must be collected and transported to the local landfill - Waste water must

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Stag Environme Mitigation Locations Applied Mitigatio Agency Agency es ntal and measures standards n costs responsible responsib social for le for issues implementa monitori tion ng be collected into the settling pit before being discharged into the external environmen t - Reservoir operators are present regularly on the reservoirs; septic tank should be built. The repair - Inform Reservoir Decree Operating Dam-owners DARD and people in area and No.72/2007/ costs of maintenanc downstrea downstrea ND-CP the e may lead m of the m area reservoir to reduction annual of repair and downstream maintenanc water e plans; supply - Perform periodic maintenanc e and repairin the shortest period of time and at the time of the lowest water demand - Implement measures to maintain

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Stag Environme Mitigation Locations Applied Mitigatio Agency Agency es ntal and measures standards n costs responsible responsib social for le for issues implementa monitori tion ng water supply during repair to ensure there is no disruption in water supply. Regulating - Prepare an Reservoir Decree Operating Dam-owners DARD reservoirs emergency area and No.72/2007/ cost of the and flood response downstrea ND-CP reservoir discharges plan as part m area in case of of the dam big floods safety affecting report downstream - The managemen t and operation units should promptly and accurately announce the flood discharge plans so that the communitie s may take initiative in grasping and responding to them. - In the times of insecurity likein rainy seasons, authorized people should

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Stag Environme Mitigation Locations Applied Mitigatio Agency Agency es ntal and measures standards n costs responsible responsib social for le for issues implementa monitori tion ng regularly monitor the works to ensure proper water regulation. - Build safety corridors for flood discharging on the basis of impact scenarios; Specific solutions are detailed in the Dam Safety Report and Emergency Response Plan. Disaster - The Reservoir 72/2007/ND Operating Dam-owners DARD risk causes managemen area and -CP cost of the insecurity t units downstrea reservoir which m area operate the reservoirs regularly and periodically check the reservoir safety; -Perform proper operation procedures to ensure the safety of the reservoirs;

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Stag Environme Mitigation Locations Applied Mitigatio Agency Agency es ntal and measures standards n costs responsible responsib social for le for issues implementa monitori tion ng - The managemen t units of the reservoirs work closely with the Commune People's Committees and the local people to promptly report on dam-related risks so that timely remedial actionswill be taken; -People and local authorities take initiative in community -based disaster preparednes s planning; - Develop scenarios for predicting the extent of effects due to dam breakage, options for migration, solutions for life and community

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CHAPTER 8. PUBLIC CONSULTATION AND INFORMATION DISCLOSURE

8. 1. Purpose and method of consultation In the process of environmental and social impact assessment, the community consultation and environmental information disclosure is required to ensure consensus among local authorities, local NGOs and affected communities in the subproject area. The community participation is one of the basic conditions to ensure the support of local authorities and communities to the Subproject and to put forward views and opinions in the report. Through community consultation, undesirable environmental impacts are identified and mitigation measures can be documented and included in the environmental and social impact assessment. In fact, if the community commented early in the project preparation process, the relationship between the community and the project staff became more intimate. Based on that, the community can contribute valuable opinions to the Subproject. Purpose of public consultation The consultation with local authorities and affected people in the subproject area at the stage of preparation and implementation of environmental management plan, Environment and Social Impact Assessment Reports will provide necessary information to better understand the Subproject, impacts of the implementation, and possible preventive and mitigation measures to the community and the surrounding environment, specifically: - Clarify the issues discussed at the beginning of the Subproject; - Notify benefits to be gained when the Subproject is implemented; - Point out responsibilities and awareness of the parties, beneficiary people in the subproject area during the implementation; - Encourage the community participation in identifying environmental impacts of the Subproject. - Gather information about the needs and responses of local people and local authorities regarding the subproject construction and proposals to mitigate its environmental impacts or to consider adjustments during the technical design. - The World Bank's policy (OP/BP 4.01) on Environmental Impact Assessment requires that affected groups and local governments must receive notification and consultation during the preparation of the social and environmental impact assessment. The community consultation during the preparation of the ESIA report of Lao Cai Dam Rehabilitation and Safety Improvement Subproject meets the World Bank's safeguard requirements and the requirements of Decree No.18/2015/ND-CP dated 14/02/2015 of the Government and Circular No.27/2015/TT-BTNMT dated 29/05/2015 of the Ministry of Natural

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Resources and Environment on strategic environmental assessment, environment impact assessment and environmental protection plan. The community consultation provides opportunities for affected people to participate in all project implementation stages. Feedback from the consultations will be considered and incorporated into the design of construction measures and mitigation measures of the Subproject. The consultation will be conducted during the implementation process as a necessary condition to address arising issues in the subproject implementation such as environmental and social impacts. The community consultation includes the following groups: • Representatives of villages/hamlets which may be affected; • Representatives of affected households, communities living near the construction site which may be affected; • Representatives of People's Committees at all levels; • Representatives of mass organizations, Women's Unions, Farmers’ Unions ... Principles of community consultation Facilitate the participation of affected people and local authorities in the subproject area as soon as possible. Lao Cai Dam Rehabilitation and Safety Improvement Subproject consulted twice: - First time: Soon after the environmental screening is completed and before the TOR, the Environment and Social Impact Assessment Reportarecompleted, from 06-10/11/2017. - Second time: After the first draft of the ESIA report is prepared, 3/2018. Different methods and techniques are applied in the community consultations, consultations with affected peoplein the subproject area, including: - Community meetings; - Household surveys; - Focus group discussions, field monitoring and interviews with key informants: The use of these methods and techniques is intended to increase the reliability and validity of feedbacks from the stakeholders, particularly affected people and ensure that (i) affected people get full information about the Subproject; and (ii) all affected people are involved in the process of free consultation, prior notification and full information during the preparation and implementation process. 8.2. Consultation process Lao Cai Dam Rehabilitation and Safety Improvement Subproject, according to the World Bank’s policies(OP/BP4.01) on environmental impact assessment, requires 02 times of community consultations. The Environmental Consultant Unit has worked closely with the PPMU, local

162 Environmental and Social Impact Assessment Report (ESIA) authorities and communities in the affected area to conduct community consultation to meet the WB requirements. According to the preliminary design report of the Subproject, there are 06 reservoirs located at 4districts: Bao Thang, Bat Xat, Van Ban, Bao Yen. Prior to the consultations in each commune/town and residential area, the PPMU organized joint meetings in the provinces and districts to introduce and collect comments from DARD, DOC, DONRE, DPI, ... and the specialized departments of Bao Thang, Bat Xat, Van Ban, Bao Yen about the Subproject. At the consultation in each commune/town, the Consultant introduced an overview of the Subproject, identified residential areas/groups in the subproject area, collected information on local environmental sanitation, discussed potential environmental impacts and mitigation measures, developed and coordinated with the local authorities in the consultation in the subproject areas. At the same time, the Consultant send written requests for consultations with concerned agencies. The effective participatory plan of consultation process was developed and implemented with the participation of all affected people and stakeholders, which is an important part of the Subproject. This process identified beneficiary and affected people. The Consultant applied professional works and directly participatedat site to collect information about community feedback on the proposed subproject items during the implementation and monitoring. During this period, community consultation meetings were held in 04communes (Tan An, Khanh Yen Ha (Van Ban district), Phu Nhuan, Phong Nien (Bao Thang district)) and two towns of Bat Xat town- Bat Xat district and Pho Rang town - Bao Yen district with the participation of the following stakeholders: - Representatives of local authorities from 06 communes/towns in the subproject area; - Departments and unions: Father Front, Women's Union, Youth’s Union, Farmer's Union ... - Representatives of households in the subproject area, including those whose land is possibly acquired and beneficiaries. The contents which were consulted and exchanged: (i) Introduction about the subproject items and components; (ii) Review of local socio-economic status; (iii) Current status of technical and social infrastructure in residential areas: electricity, roads, schools, health stations; irrigation canal system, ... (iv) Screening/evaluating potential impacts which likely occur in the subproject preparation, construction and operation phases which may affect the environment, society, culture of local people; (v) Community consultation on mitigation measures. The direct consultation process at the community and in the commune/town People’s Committees was held from 06-10/Nov.2017. The letters issued by Lao Cai PPMU were sent for

163 Environmental and Social Impact Assessment Report (ESIA) local authorise regarding the community consultation for the preparation of the social and environmental impact assessment report. In the process of completion of the Subproject’s the social and environmental impact assessment report(ESIA), the PPMU sent letters to the CPCs to consult with the local authorities, the Fatherland Front, mass organizations and local communities on the content of the ESIA. 8.2.1. Brief description of consultation process at commune/town level and mass organizations In the implementation of the WB's Environmental Safeguard Policy, the Government’s Law on Environmental Protection in 2014 and Circular No.27/2015/TT-BTNMT dated 29 May 2015,the representatives of Lao Cai PPMU sent letters about the public consultation during the preparation and appraisal of the Subproject's social and environmental impact assessment report. The direct consultation meetings were conducted from 6-10/11/2017 with the participation of 15- 46 individuals and local governments. Table 50. List of local consultations

No. Name of communes Districts Reservoirs

1 Phu Nhuan commune Phu Nhuan commune Bao Thang 2 Phong Nien commune Coc Sam4

3 Pho Rang town Bao Yen Pho Rang town

4 Bat Xat town Bat Xat Ta Xin reservoir

5 Tan An commune Khe Quat Van Ban 6 Khanh Yen Ha commune Sung Lang

Participating in the consultations were representatives of local government and mass organizations (Farmers' Union, Women's Union, Father Front, Youth’s Union), PPMU and environmental and technical consultants. The main contents of the consultation are: Introduction about the Subproject such as objectives, locations, scale and plan of subproject implementation, technical design plans, and policies related to environmental protection, compensation, assistance and land acquisition/resettlement by the Government of Viet Nam, the World Bank and the Subproject. Lao Cai PPMU with the support of the Environmental, Resettlement Consultant consulted on mitigation measures to the environment, the compensation and resettlement with the stakeholders, including staff from the commune/town People’s Committees, leaders of the population groups and local people in the affected area. After the survey and consultancy, the Consultant Team had meeting with local authorities to report all survey results. At the same time, the Consultant’s experts collected relevant

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information, advantages and disadvantages, lessons learned and proposed measures for the resettlement plan and set up monitoring indicators and continued implementation at the next stage. The follow-up consultation was conducted during the completion of the Subproject’s Environmental and Social Impact Assessment Report. The PPMU sent letters to the People's Committees of the communes/towns to ask for opinions of local authorities, mass organizations and local communities on the ESIA content. The report includes the designs of the works, the construction items, the scale, possible social and environmental impacts as well as mitigation measures during the preparation, construction and operation phases of 06 reservoir areas. After reading the ESIA report, the representatives of local governments sent written response to the PPMU, highlighting the opinions of the local authorities, unions and community about the impacts and measures relating to the environment and society. 8.2.2. Summary of consultations with community directly affected by Subproject After working with the People's Committees and the mass organizations at the commune/town level relating to the community consultation, the People's Committees co-ordinated to convene community-based consultation meetings for the people who are directly affected by the Subproject. The participants in the meetings were as follows: + Representatives of local authorities + Representative of local Fatherland Front. + Representatives of communities, households affected by the Subproject + The representative of the Subproject Owner or consultancy agencies. The community consultation meetings were conducted in the following order: the SubprojectOwner read the contents of the letters which were sent; present brief description of the Subproject and its environmental and social impacts, including activities and proposed mitigation measures during implementation; then the participants discussed and responded to questions and comments from representatives of local authorities and local community on the issues related to the Subproject; the community is consulted and actively participates in discussions about the need for development as well as the sense and responsibility for the subproject objectives, they are advised on negative impacts and measures to mitigate negative impacts and improve benefits; also local authorities and riverside residents are advised on the agreement and commitment to the implementation of the resettlement policy. In addition to the consultation meetings, the Consultant undertook field surveys and exchanged directly with people living around the reservoirs to collect information and consult their comments on the issues related to environmental and social aspects during the subproject implementation.

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8.3. Consultation results 8.3.1. Comments from Ward/Commune People's Committees and local mass organizations a. Consultation and introduction about Subproject, impacts on natural and socio- economic environment, proposed mitigation measures during subproject implementation. The outcomes of the consultation meetings are summarized below (the details are presented in the consultation minutes in the Appendix): - The local authorities and the mass unions strongly support the subproject implementation and wish it to be implemented soon. In Phong Nien commune- Bao Thang district, the local authorities remarked the landslide problem at some sections on the access road to the damconstructionsites.

- All communes/towns requested the construction companies to set up and announce the constructionplans, signage, safety belts and lighting in the work sites to ensure traffic safety in the region.

- The local authorities desire that the Contractors should pay attention to the time of the harvest crops to minimize losses to farmers. - The local authorities and the mass organizations want the Contractors to inform the construction plan and construction progress in order that affected people will be informed to arrange trees and livestock accordingly.

- Regarding the aquaculture in Pho Rang town reservoir, Phong Nien reservoir, Phu Nhuan reservoir, the local authorities request the PPMU and the Contractors to send information about 06 months before the construction to help farmers arrange reasonable farming schedule. - The mass organizations are required to organize and provide the Community Supervision Boards with training programs to help them accurately understand their functions and tasks. At the same time, a funding is needed to maintain and support members of the Community Monitoring Boards in carrying out their tasks. - The Contractors minimize any delays in construction progress to avoid direct impacts on household income and daily living. - Minimize dust and noise when transporting materials collected from the construction sites. - The Subproject Owner must assign representatives at the construction sites to closely manage the Construction Contractors’activities and ensure contact points to help people contact in an emergency.

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Consultation at Bat Xat Town People's Consultation at People's Committee of Committee Phong Nien Commune Figure 13. Some photos of consultation with local authorities and mass organizations in subproject communes Table 51. Summary of consultation activities which were implemented Participation EM Female Communes Locations Participants No. components participants participants 1 Phu Nhuan Headquarter Representatives commune – of of CPC, mass Bao Thang Commune organizations, 28 28 17 district People’s affected Committee households (CPC) Headquarter Representatives of of CPC, mass Phong Nien Commune organizations, commune – 2 People’s affected 22 15 15 Bao Thang Committee households, district unaffected households 3 Pho Rang Headquarter Representatives town -Bao of of CPC, mass Yen district Commune organizations 25 14 9 People’s Committee 4 Khanh Yen Headquarter Representatives Ha commune of of CPC, mass –Van Ban Commune organizations, 19 12 6 district People’s affected Committee households 5 Tan An Headquarter Representatives commune – of of CPC, mass Van Ban Commune organizations, 14 14 5 district People’s affected Committee households

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Participation EM Female Communes Locations Participants No. components participants participants 6 Bat Xat town Headquarter Representatives – H. Bat Xat of of CPC, mass Commune organizations, 10 10 5 People’s affected Committee households b. Local consultations via dispatches

The PPMU sent official letters to the Commune/Town People's Committees in the subproject areas, attached to the Environment and Social Impact Assessment Report. The report clarifies what impacts might happen during the subproject construction to the community and the natural conditions in the subproject area. The feedback from local authorities has been sent, with the majority agreeing on the content of the report on existing social and environmental impacts, which may arise during the subproject implementation, from the preparation, the construction to the operational phases as well as the solutions and measures to minimize environmental and social impacts. The feedbacks are summarized in the table below (the details of the feedback documents of the local People's Committees are attached in the Appendix). 8.3.2.Opinions of communities At the community consultation meetings, the representatives of the Subproject Owner read the contents of the dispatches/letters, briefly introduced the Subprojectand its environmental impacts, the subprojectactivities, forecasted impacts and proposed mitigation measures, then listened to the opinions of the farmers, the households who are directly affected, discussed and responded to the comments, suggestions as well as questions of the community participating in the meetings about the related issues. The results of the community consultation meetings in the subproject areas show that people actively participated in the expression of ideas and suggestions related to the implementation of the subproject items of works, its environmental and social issues which may happen, and feasible mitigation measures which should be applied. The results of the community consultation meetings in communes/towns in the subproject area are summarized below (the details are presented in the consultation minutes in the appendix). - Local people desired to participate in the constructionscheduling because all construction items are related to their irrigation water, therefore during the construction, the Contractors should pay attention to the crop seasons, harvest times to minimize losses of farmers.

- Affected people want to receive full information on compensation and support policies in order that they know the compensation options and have the opportunity to choose.

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- The community strongly supports the Subproject and expects it to be implemented soon. In Phong Nien commune, people paid attention to serious landslide problems in the access road to the dam, which directly affects the means of transport and households living and working in the area.

- The construction companies should set up and announce constructionplans, signage, lighting at the construction sites, store material to ensure traffic safety.

- Local residents want the Contractor to announce the construction plan before 06 months in order that they can arrange trees and livestocksuitably.

- Concerning the aquaculture in Pho Rang town, Khanh Yen Ha reservoir, Phong Nien reservoir, aquaculture people suggested that the Subproject Owner have reasonable support policy for farmers in the case of draining water forconstruction and notify the construction plans before 06 months to arrange reasonable farming schedule.

- Some households living around the construction sites like Tan Anreservoir, Ta Xin reservoir requested the construction companies to take measures to shield rock falling and vibration caused by machine on houses and structures.

- The PPMU and the Contractor should regularly update information on the local construction progress for people in order to arrange their work and daily life to minimize inconvenience during the construction. An appropriate method of construction in section by section should be introduced to avoid rampant construction on the entire sites to reduce influenceradius.

- Provide the Community Supervision Boards with the training programs to help them accurately understand their functions and tasks. At the same time, it is of necessity to give them funding to maintain and support the members of the Community Monitoring Boards in carrying out their tasks. - Provide necessary support to households doing business, persons directly or indirectly affected by the construction process. - Minimize any delays in construction progress to avoid direct impacts on household income and daily living. - Minimize dust and noise when transporting materials collected from the construction sites. - The Subproject Owner must assign representatives at the construction sites to closely manage the activities of the Construction Contractors and ensure the contact points in order that people can contact them in case of emergency. The summary of the comments and opinions hereafter is based on the minutes of the local community consultation meetings that took place on the same days with the local government

169 Environmental and Social Impact Assessment Report (ESIA) consultation meetings in the communes/towns which are directly affected by the Subproject. These are what people are most concerned about when the Subproject implements. All opinions of people according to the construction items are presented in the table below. Table 52. Public consultations

Community consultation Content Time, place Participation Comments of participants Feedback from the PPMU components and consultants People's - Representative of - Mr. Nuoi (Group 2): It is - The issues are mentioned Committee of Bat local government proposed that the Subproject, in the report. Xattown – Bat in addition to upgrading the - Chairman of - The PPMU agrees with the Xat district dam, upgrades the canal Father Front above opinions. system. At present, the canals - Representatives of degraded, draining canals are some households mixed into irrigation canals, living in Ta Xin causing pollution, affecting reservoir area. crops of people. - Mr. Chinh (Group1): Dam repair is very necessary. When preparing for construction, people need to be informed in advance to have plans for water storage for production. People's - Representative of - We expert that the - The PPMU agrees with the Committee of Tan local government. Subproject starts soon: the above opinions An Commune – reservoir is degraded, the -Chairman of - The PPMU will take Van Ban district, works are often short of Father Front. measures with the water, the operation of the Contractors so that during - Representatives of reservoir mainly depends on the construction they will some households the weather, rice is only not affect the households living in Khe Quat harvested 40-50%. (purchasing agricultural reservoir area. - Mr. Giap (head of Tan Son products, transporting village): there must be materials ...). specific plans on time, work - The reservoir will be items, study for restructuring constructed quickly in dry trees, and compensation for season of about 6 months. the affected households. - Jurisdiction to support, - Mr.Thao: When reservoir compensation (if any) will water is drained, it will affect be resolved by Lao Cai the quality and pollute the People's Committee. pond water of the households (3 poles x 360m2 = 1,080m2 – In northern plain of Vietnam).

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Community consultation Content Time, place Participation Comments of participants Feedback from the PPMU components and consultants People's - Representative of - The Contractors should - The PPMU agrees with the Committee of local government comply with the mitigation above opinions Pho Rang town – measures in the EIA report to - Chairman of Bao Yen district, minimize negative impacts Father Front such as dust and noise. - Representatives of - Take measures to manage some households labor and workers, avoid living in the area of causing disorder and social Pho Rang reservoir. security. - It is recommended to have policies to support people living and aquaculture during the construction period. People's - Representative of - Mr. Xinh (chief of Phu Hai - The PPMU agrees with the Committee of local government 4 village): we fully agreed above opinions. Phu Nhuan with the rehabilitation plan. - Chairman of - The PPMU will take Commune – Bao As the construction will affect Father Front measures with the Thang district the environment: the Contractors so that during - Representatives of Contractors should limit the the construction process they some households vehicle weight, which will not affect the living in Phu affectsthe traffic. The households (purchasing Nhuan reservoir Contractors should consider agricultural products, area. before construction. transporting materials ...). - Mr.Ly (Commune Secretary): The reservoir supplies water for the downstream area and for vegetable production, cage fish culture. At present, the reservoir is degraded, therefore it is necessary to upgrade the reservoir. Khanh Yen Ha - Representative of -The locals completely - The PPMU agrees with the Commune local government support and expect the works above opinions People's to be upgraded on schedule. - Chairman of Committee – Bao Father Front -The locals are willing to Thang district, provide the borrow pits - Representatives of (exploitation of filling soil) in some households the area of Lang 2 village living in Sung Lang with an area of 5000m2 reservoir area. growing cassava and agricultural trees. The Subproject is requested to

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Community consultation Content Time, place Participation Comments of participants Feedback from the PPMU components and consultants support and compensate for affected trees on the land. - The dumping site (store of excessive soil) is located in Van Khanh village bordering with Lien Phu commune. People's - Representative of - The locals completely - The PPMU recognizes and Committee of local government support the Subproject and agrees with the above Phong Nien expect the Subproject to be opinions -Chairman of commune – Bao upgraded on schedule. Father Front Thang district -The locals have mobilized - Representatives of the household to permit some households exploitation of soil at the hill living in Coc Sam 4 area of theirfamily. The reservoir area Subproject is requested to support and compensate of trees and crops on the land. - There are a number of festivals of Dao people, Mong people at the beginning of the new year. If the Subproject is being constructed at this time, suitable construction plans must be implemented to avoid affecting the customs and habits of local people.

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Figure 14. Community consultations in Pho Rang town and Tan An commune 8.4. Commitment of the Subproject Owner After two times of consultations, the opinions of the representatives of the People's Committees, the mass organizations, the local community and Lao Cai PPMU, the Environment Consultant incorporated the opinions in the ESIA report hereafter. - Regarding the environmental sanitation and public health, the PPMU and the construction companies shall fully implement the mitigation measures stated in the Environment and Social Impact Assessment Report. At the same time, the Subproject representatives will collaborate with the local authorities to publicize the activities, impacts and mitigation measures of the Subproject for people to know. - The punishment in accordance with the terms of contracts and payment for the Contractors that fail to comply with the ESIA commitment to environment and social protection will be fully implemented. - Relating to the compensation and resettlement and social impacts, the PPMU committed to cooperate with the relevant authorities and agencies at all levels to comply with the laws of Vietnam and the World Bank’s policies during the subproject implementation.The PPMU, the community and the local authorities regularly supervise the implementation and disclosure of information on the mitigation measures implemented by the construction companies. - Regarding the traffic safety, aiming at minimizing impact of traffic congestion, loss of traffic safety, damage to community facilities caused by the construction and transportation of raw materials, the Contractor is committed to apply mitigation measures in accordance with the ESIA content, which was established. - During the construction, the means of materialtransport that serve construction must comply with the prescribed load and speeds on each transport road. Material must be covered during transportation. - Coordinate closely with local authorities of the communes/towns in the subproject area during the construction to solve problems arising and ensure regional security. - Regarding the construction progress: The construction items are conformed to the construction schedule, which was established. - The PPMU will request the Subproject Design Consultant to make sure the convenience of the people in accessing the community facilities. - The PPMU and the construction companies will restore the environment after construction,committing to dredge, clear the water flows and restore the environment of the ditches, canals around the dam construction sites, drainage culverts, management roads and embankments.

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- The PPMU will direct and supervise the Construction Contractors to implement all measures to mitigate adverse impacts on the environment and the society as committed. 8.5.Dissemination of information Lao Cai Dam Rehabilitation and Safety Improvement Subproject complies with the World Bank's information access policies and the Government’s regulations. Specifically, the subproject information is widely available on the mass media as follows: a) The draft ESIA and RAP reports were sent to the affected people and local NGOs to review and comment before the public consultation meetings. b) It is expected that in October 2018, the final ESIA report in the Vietnamese language will be locally disclosed on the project website and subproject sites accessible to locally-affected people and local NGOs and on the Bank’s external website in English prior to subproject appraisal.

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CONCLUSIONS AND RECOMMENDATIONS 1. Conclusions (i). The Subproject is under Group-B in accordance with the WB’s Environment Safeguard Policy, which is not located in environmentally sensitive areas and do not violate the "non- conformity" criteria of the WB; (ii). The report identified and adequately assessed the significant impacts in all three phases of preparation, construction and operation. At the same time, it outlined the mitigation measures with the consultations with local authorities and affected people including the vulnerable groups; (iii). The implementation of Lao Cai Dam Rehabilitation and Safety Improvement Subproject may cause negative impacts during the construction phase. However, as the scale of construction works is small, the impacts are in short term and within small and negligible scope, therefore, feasible mitigation measures are introduced and appropriate to the natural and socio-economic conditions and local management and construction conditions. (iiii). The Environmental and Social Management Plan has been prepared as an integral part of the ESIA to ensure compliance with mitigation measures. The monitoring plan will help keep relevant stakeholders informed about the subproject progress and environmental compliance. The CSC will regularly monitor environmental compliance and report to PPMU. 2. Recommendations Based on the findings of the environmental impact assessment and the Environment Social Management Plan outlined in this document, it is recommended that: (i). The Environment and Social Management Plan will be included in Construction Bidding Documents. The Contractors will do a breakdown of work volume and submit the total cost for the implementation of the mitigation measures. The cost is considered as the implementation cost of the Environment Safeguard Policy and will be paid when the Contractors are verified and confirmed that they have effectively implemented the agreed mitigation measures. (ii). Based on the Environment and Social Impact Assessment Report, the Consultant and the PPMU recommend the competent authorities and the World Bank to review and approve the Environment and Social Impact Assessment of Lao Cai Subproject so that PPMU can implement next steps of the subproject implementation.

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APPENDIX 1- REFERENCES

- DRSIP - Project Social Environment Safeguard Management Framework, 2015; - Feasibility Study Report (FS)of Lao Cai Dam Rehabilitation and Safety Improvement Subproject: 06/2018; - Resettlement Action Plan Report and Social Impact Assessment Report of Lao Cai Dam Rehabilitation and Safety Improvement Subproject; -Summary Report on Socio-economic Situation in 06 communes/towns in 2016 and09 first months in 2017; - Summary Report on Socio-economic Situation in 2016 and the 6 first months of 2017 of Bat Xa, Bao Thang, Van Yen, Van Ban and districts; - Google Earth photo source; - Lao Cai Statistical Yearbook, 2016; - Report on environment status of Lao Cai province, period 2011-2015; - Map types: +Map of the subproject area +Map of land current status and land use planning in the subproject area.

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APPENDIX2. CONTENT AND COST OF TRAINING AND CAPACITY BUILDING

Funding source Funding source Funding Funding source Funding source source Training on food hygiene, Contractor's workers All workers, 175 persons x Included in the contracts labor safety and and technicians staff of the Subproject Owner environmental protection 200,000/personsx with the concerned 2 classes parties =70,000,000 VND Control of the Contractor 10 persons 300,000 VND Included in the contracts waste sources environment staff of the Subproject Owner /persons x 10 with the concerned parties persons x 2 classes = 3,000,000 VND Evaluate Contractor 10 persons 300,000 VND Included in the contracts impacts, environment staff /persons x of the Subproject Owner control 10 with the concerned environment parties persons x 2 risk classes = 3,000,000 VND Environment Contractor 10 500,000 Included in the contracts monitoring environment staff perso of the Subproject Owner ns with the concerned Training on Contractor VND/persons x parties environment environment staff 10 persons x management 2 classes = 10,000,000 VND

Strengthen Contractor 10 500,000 Included in the contracts approach to environment staff perso VND/persons x10of the Subproject Owner the ns persons x with the concerned environmental 2 classes = parties law system 10,000,000 VND Training to Contractor 7 persons 7 persons x Included in the contracts improve environment staff 1,000,000 of the Subproject Owner environmental VND/persons x 2 with the concerned monitoring classes = parties capacity 14,000,000 VND

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Funding source Funding source Funding Funding source Funding source source Hire environmental trainers 4,000,000x 12= 48 million Total (VND) 158,000,000

APPENDIX3. COST ESTIMATION OF ENVIRONMENTAL MONITORING IN CONSTRUCTION PHASE

No. Activity Location No.of Unit price/sample Total (VND) observations

Measurement, sampling at 06 1 Air quality 06 months/time 94,000,000 construction sites, 01 school

Sample observation 22 4 1,000,000 88,000,000 Data analysis 1 4 1,500,000 6,000,000

Measurement, sampling at 06 2 Noise, vibration 06 months/time 94,000,000 construction sites, 01 school

Sample observation 22 4 1,000,000 88,000,000 Data analysis 1 4 1,500,000 6,000,000 03 locations at each 3 Soil sample 06 months/time As, Cd, Cu, Pb, Zn 174,000,000 construction site Sample observation 21 4 2,000,000 168,000,000

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Data analysis 1 4 1,500,000 6,000,000

03 samples (01 pH, DO, COD, Surface water before and 02 BOD5, turbidity, 4 06 months/time 187,200,000 quality after the works) NH4+ total at 06 reservoirs coliforms

Sample observation 21 4 1,600,000 179,200,000 Data analysis 1 4 1,500,000 8,000,000 Safety hygiene and 5 waste management 1 4 3,000,000 12,000,000 report 6 Synthesis report 1 4 5,000,000 20,000,000 Total 581,200,000 Contingency 10% 58,120,000 639,320,000 VAT (10%) 63,932,000 Total after tax 703,252,000

Estimated time is 24 months for each construction site

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APPENDIX4. MINUTE OF COMMUNITY CONSULTATION

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APPENDIX5. CONSULTATION PICTURES

Consultation at the PPMU office The People's Committee of Bat Xat town

The community living in Pho Thang reservoir The People's Committee of Tan An area commune

The People's Committee of Khanh Yen Ha The People's Committee of Phu Nhuan commune commune

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The People's Committee of Phong Nien commune

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APPENDIX6. ENVIRONMENTAL MONITORING PICTURES AND ANALYSIS SAMPLING

Monitoring, sampling of air and surface water Monitoring, sampling soil and groundwater

Monitoring, sampling of surface water Monitoring, sampling of surface water

Monitoring, sampling of air Monitoring, sampling of surface water

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APPENDIX 7. CONSUTATION DOCCUMENT

PL71. Minute of discharge agreement and mine location for soil fillingof Sung Lang reservoir- Khanh Yen Ha commune - Van Ban district

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PL7.2. Minute of discharge agreement and mine location for soil fillingof Khe Quat reservoir- Tan An commune - Van Ban district

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PL7.3. Minute of discharge agreement and mine location for soil fillingof Phong Nien commune reservoir- Bao Thang district

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PL7.4. Minute ofdischarge agreement and mine location for soil fillingof Pho Rang town reservoir- Bao Yen district

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PL7.5. Minute of discharge agreement and mine location for soil filling of Phu Nhuan reservoir in Phu Nhuan commune, Bao Thang district.

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APPENDIX8. RESULTS OF ENVIRONMENTAL QUALITY ANALYSIS IN 06 RESERVOIR AREAS

Table 8.1. Results analysis of air quality (1)

Results QCVN QCVN QCVN Parameters Unit Method 05:2013/BT 26:2010/BT 27:2010/BT K1 K2 K3 K4 K5 K6 K7 K8 K9 NMT NMT NMT Suspended µg/ TCVN 5067 : 173 169 164 173 167 164 170 176 164 300 dust m3 1995 TCVN 7878-2 Noise dBA 56,9 58,0 57,5 56,7 57,4 57,0 57,9 56,7 57,2 70 :2010 TCVN 6963 Vibration* dB 45,7 47,3 46,4 45,4 46,9 45,6 48,5 49,2 50,6 75 :2001 Note:(1)The reservoir in Pho Rang town: K1-2-3; (2) Can Cau reservoir: K4-5-6; (3) Khe Quat reservoir: K7-8-9; (4) Phong Nien reservoir: K10-11- 12; (5) Phu Nhuan reservoir: K13-14-15; (6) Ta Xin reservoir: K16-17-18; (7) Khanh Yen Ha reservoir: K19-20-21

Table 8.2. Results analysis of air quality(2)

Results QCVN QCVN QCVN Param Unit Method 05:2013/ 26:2010/B 27:2010/BTN eters K1 K11 K12 K13 K14 K15 K16 K17 K18 K19 K20 K21 BTNMT TNMT MT 0 Suspe TCVN µg/m nded 5067 : 143 157 149 161 170 164 162 157 149 162 167 173 300 3 dust 1995

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Results QCVN QCVN QCVN Param Unit Method 05:2013/ 26:2010/B 27:2010/BTN eters K1 K11 K12 K13 K14 K15 K16 K17 K18 K19 K20 K21 BTNMT TNMT MT 0 TCVN 57. Noise dBA 7878-2 58.0 57.6 58.6 57.9 56.3 57.4 59.0 58.1 59.3 58.2 57.6 70 1 :2010 TCVN Vibrat 45. dB 6963 46.7 45.6 47.4 46.7 45.2 49.6 50.2 49.5 50.4 47.6 45.9 75 ion* 3 :2001 Note:(1)The reservoir in Pho Rang town: K1-2-3; (2) Can Cau reservoir: K4-5-6; (3) Khe Quat reservoir: K7-8-9; (4) Phong Nien reservoir: K10-11- 12; (5) Phu Nhuan reservoir: K13-14-15; (6) Ta Xin reservoir: K16-17-18; (7) Khanh Yen Ha reservoir: K19-20-21

Table 8.3. Results analysis of soil quality (1)

QCVN 03- Paramete Results Unit Method MT:2015/BTN rs Đ1 Đ2 Đ3 Đ4 Đ5 Đ6 Đ7 Đ8 Đ9 MT pHKCl - TCVN 5979:2007 5.62 5.54 5.73 5.85 5.62 5.90 5.85 5.62 5.77 - US EPA Method 3050B+ Cu mg/kg 6.24 5.91 6.36 3.75 3.53 5.67 <3 <3 3.52 100 SMEWW 3111B:2012 US EPA Method 3050B+ 147.7 135.2 129.6 Zn mg/kg 96.75 94.62 97.10 24.41 23.60 28.24 200 SMEWW 3111B:2012 4 0 6 US EPA Method 3050B+ Pb mg/kg <15 <15 <15 <15 <15 <15 15.7 16.2 16.9 70 SMEWW 3111B:2012 US EPA Method 3050B+ Cd mg/kg <0.3 <0.3 <0.3 <0.3 <0.3 <0.3 <0.3 <0.3 <0.3 1.5 SMEWW 3111B:2012 TCVN 6649:2000+ As* mg/kg <0.5 <0.5 <0.5 <0.5 <0.5 <0.5 <0.5 <0.5 <0.5 15 TCVN 8467:2010

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QCVN 03- Paramete Results Unit Method MT:2015/BTN rs Đ1 Đ2 Đ3 Đ4 Đ5 Đ6 Đ7 Đ8 Đ9 MT Totalorga nic mg/kg TCVN 6644:2000 16.7 15.9 17.2 24.6 21.7 23.5 15.4 16.2 15.9 - matter* Note:(1)The reservoir in Pho Rang town: Đ1-2-3; (2) Can Cau reservoir: Đ4-5-6; (3) Khe Quat reservoir: Đ7-8-9; (4) Phong Nien reservoir: Đ10-11- 12; (5) Phu Nhuan reservoir: Đ13-14-15; (6) Ta Xin reservoir: Đ16-17-18; (7) Khanh Yen Ha reservoir: Đ19-20-21

Table 8.4. Results analysis of soil quality (2)

Results Results QCVN 03- Param Unit Method Results MT:2015/BTN eters Results MT Đ10 Đ11 Đ12 Đ13 Đ14 Đ15 Đ16 Đ17 Đ18 Đ19 Đ20 Đ21 TCVN pHKCl - 5.91 5.47 5.65 5.78 5.91 5.64 5.42 5.61 5.50 5.62 5.74 5.85 - 5979:2007 US EPA Method mg/k Cu 3050B+ <3 3.35 3.47 3.72 <3 3.90 8.48 8.23 8.11 8.63 8.54 8.70 100 g SMEWW 3111B:2012 US EPA Method mg/k 32.2 Zn 3050B+ 40.74 38.35 26.10 33.74 35.0 100.06 91.7 96.5 73.12 64.1 77.3 200 g 6 SMEWW 3111B:2012 US EPA mg/k Method Pb <15 <15 <15 16.5 17.1 15.6 17.5 16.4 17.2 <15 <15 <15 70 g 3050B+ SMEWW

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Results Results QCVN 03- Param Unit Method Results MT:2015/BTN eters Results MT Đ10 Đ11 Đ12 Đ13 Đ14 Đ15 Đ16 Đ17 Đ18 Đ19 Đ20 Đ21 3111B:2012

US EPA Method mg/k Cd 3050B+ <0.3 <0.3 <0.3 <0.3 <0.3 <0.3 <0.3 <0.3 <0.3 <0.3 <0.3 <0.3 1.5 g SMEWW 3111B:2012 TCVN mg/k 6649:2000+ As* <0.5 <0.5 <0.5 <0.5 <0.5 <0.5 <0.5 <0.5 <0.5 <0.5 <0.5 <0.5 15 g TCVN 8467:2010 Totalo rganic mg/k TCVN 16.4 15.9 16.1 15.3 16.1 15.7 16.7 14.9 15.3 23.4 21.2 20.6 - matter g 6644:2000 * Note:(1)The reservoir in Pho Rang town: Đ1-2-3; (2) Can Cau reservoir: Đ4-5-6; (3) Khe Quat reservoir: Đ7-8-9; (4) Phong Nien reservoir: Đ10-11- 12; (5) Phu Nhuan reservoir: Đ13-14-15; (6) Ta Xin reservoir: Đ16-17-18; (7) Khanh Yen Ha reservoir: Đ19-20-21.

Table 8.5. Results of surface waterquality analysis (1)

Paramete Results QCVN 08- Unit Method rs NM1 NM2 NM3 NM4 NM5 NM6 NM7 NM8 NM9 MT:2015/BTNMT TCVN pH - 7.05 6.97 7.21 7.27 7.14 7.35 6.97 6.80 6.92 5.5-9 6492:2011

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Paramete Results QCVN 08- Unit Method rs NM1 NM2 NM3 NM4 NM5 NM6 NM7 NM8 NM9 MT:2015/BTNMT TCVN DO mg/l 4.87 5.12 4.96 4.84 4.67 4.92 5.24 5.31 5.27 >4 7325:2004 TCVN SS mg/l <2 <2 <2 <2 <2 <2 <2 <2 <2 100 6625:2000 SMEWW COD mg/l 5220C:201 <3 <3 <3 <3 <3 <3 <3 <3 <3 30 2 SMEWW BOD5 mg/l 5201D:201 <1 <1 <1 <1 <1 <1 <1 <1 <1 15 2 TCVN NO2- - N mg/l <0.004 <0.004 <0.004 <0.004 <0.004 <0.004 <0.004 <0.004 <0.004 0.05 6178:1996 TCVN NO3- - N mg/l 0.23 0.25 0.20 0.23 0.20 0.21 0.16 0.19 0.17 10 6180:1996 NH4+ - TCVN mg/l <0.15 <0.15 <0.15 <0.15 <0.15 <0.15 <0.15 <0.15 <0.15 0.9 N 5988:1995 TCVN As* mg/l <0.005 <0.005 <0.005 <0.005 <0.005 <0.005 <0.005 <0.005 <0.005 0.05 6626:2000 SMEWW Pb* mg/l 3113B:201 <0.002 <0.002 <0.002 <0.002 <0.002 <0.002 <0.002 <0.002 <0.002 0.05 2 SMEWW <0.000 <0.000 <0.000 <0.000 <0.000 <0.000 <0.000 <0.000 <0.000 Cd* mg/l 3113B:201 0.01 2 2 2 2 2 2 2 2 2 2 TCVN MPN/100 Coliform 6187- 930 750 640 930 1200 1500 380 270 290 7500 ml 2:1996

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Note:(1)The reservoir in Pho Rang town: NM1-2-3; (2) Can Cau reservoir: NM4-5-6; (3) Khe Quat reservoir: NM7-8-9; (4) Phong Nien reservoir: NM10-11-12; (5) Phu Nhuan reservoir: NM13-14-15; (6) Ta Xin reservoir: NM16-17-18; (7) Khanh Yen Ha reservoir: NM19-20-21

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Table 7.6. Results of surface waterquality analysis (2)

Results QCVN 08- Paramet Unit Method NM NM NM MT:20 ers NM10 NM11 NM12 NM13 NM14 NM15 NM16 NM17 NM18 19 20 21 15/BT NMT TCVN pH - 7.17 7.21 6.95 7.07 6.89 6.94 7.05 7.01 6.97 6.90 6.87 6.94 5.5-9 6492:2011 TCVN DO mg/l 4.92 5.17 5.04 4.97 5.11 5.06 5.40 5.36 5.24 5.17 5.24 5.09 >4 7325:2004 TCVN SS mg/l <2 <2 <2 <2 <2 <2 <2 <2 <2 <2 <2 <2 100 6625:2000 SMEWW COD mg/l <3 <3 <3 <3 <3 <3 <3 <3 <3 <3 <3 <3 30 5220C:2012 SMEWW BOD5 mg/l <1 <1 <1 <1 <1 <1 <1 <1 <1 <1 <1 <1 15 5201D:2012 NO2- - TCVN <0.00 <0.00 <0.00 <0.0 <0.0 <0.0 mg/l <0.004 <0.004 <0.004 0.009 0.007 0.010 0.05 N 6178:1996 4 4 4 04 04 04 NO3- - TCVN mg/l 0.23 0.21 0.24 0.18 0.20 0.17 0.18 0.17 0.19 0.21 0.18 0.20 10 N 6180:1996 NH4+ - TCVN <0.1 <0.1 <0.1 mg/l 0.17 0.16 0.19 <0.15 <0.15 <0.15 <0.15 <0.15 <0.15 0.9 N 5988:1995 5 5 5 TCVN <0.00 <0.00 <0.00 <0.0 <0.0 <0.0 As* mg/l <0.005 <0.005 <0.005 <0.005 <0.005 <0.005 0.05 6626:2000 5 5 5 05 05 05 SMEWW <0.00 <0.00 <0.00 <0.0 <0.0 <0.0 Pb* mg/l <0.002 <0.002 <0.002 <0.002 <0.002 <0.002 0.05 3113B:2012 2 2 2 02 02 02

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Results QCVN 08- Paramet Unit Method NM NM NM MT:20 ers NM10 NM11 NM12 NM13 NM14 NM15 NM16 NM17 NM18 19 20 21 15/BT NMT SMEWW <0.000 <0.000 <0.000 <0.000 <0.000 <0.000 <0.00 <0.00 <0.00 <0.0 <0.0 <0.0 Cd* mg/l 0.01 3113B:2012 2 2 2 2 2 2 02 02 02 002 002 002 TCVN MPN/100 Coliform 6187- 1500 2100 1600 640 750 430 1400 1600 1100 1100 1400 1000 7500 ml 2:1996 Note:(1)The reservoir in Pho Rang town: NM1-2-3; (2) Can Cau reservoir: NM4-5-6; (3) Khe Quat reservoir: NM7-8-9; (4) Phong Nien reservoir: NM10-11-12; (5) Phu Nhuan reservoir: NM13-14-15; (6) Ta Xin reservoir: NM16-17-18; (7) Khanh Yen Ha reservoir: NM19-20-21

Table 8.7. Results of groundwater quality analysis (1)

Results QCVN 09- Parameters Unit Method MT:2015/BTN NN1 NN2 NN3 NN4 NN5 NN6 NN7 NN8 NN9 MT TCVN pH - 7.23 7.09 7.15 7.29 7.31 7.02 7.27 7.32 7.38 5.5-8.5 6492:2011 TCVN NO2- - N mg/l 0.09 0.04 0.07 0.04 0.02 0.06 0.03 0.01 0.04 1 6178:1996 TCVN NO3- - N mg/l 0.74 0.61 0.68 0.63 0.75 0.69 0.57 0.69 0.73 15 6180:1996 TCVN NH4+- N mg/l 0.36 0.29 0.31 0.22 0.37 0.24 0.16 0.15 0.17 1 5988:1995 TCVN Fe mg/l 0.23 0.18 0.20 0.19 0.14 0.22 0.07 0.09 0.09 5 6177:1996

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Results QCVN 09- Parameters Unit Method MT:2015/BTN NN1 NN2 NN3 NN4 NN5 NN6 NN7 NN8 NN9 MT TCVN As* mg/l <0.002 <0.002 <0.002 <0.002 <0.002 <0.002 <0.002 <0.002 <0.002 0.05 6626:2000

SMEWW Pb* mg/l <0.002 <0.002 <0.002 <0.002 <0.002 <0.002 <0.002 <0.002 <0.002 0.01 3113B:2012

SMEWW <0.000 <0.000 <0.000 <0.000 <0.000 <0.000 <0.000 <0.000 <0.000 Cd* mg/l 0.005 3113B:2012 2 2 2 2 2 2 2 2 2

Pecmangana TCVN mg/l <1 <1 <1 <1 <1 <1 <1 <1 <1 t 6186:1996

MPN/10 TCVN 6187- Coliform <1 <1 <1 2 3 3 3 1 2 3 0ml 2:1996 Note:(1)The reservoir in Pho Rang town: NN1-2-3; (2) Can Cau reservoir: NN4-5-6; (3) Khe Quat reservoir: NN7-8-9; (4) Phong Nien reservoir: NN10-11-12; (5) Phu Nhuan reservoir: NN13-14-15; (6) Ta Xin reservoir: NN16-17-18; (7) Khanh Yen Ha reservoir: NN19-20-21

Table 8.8. Results of groundwater quality analysis (2)

Results QCVN Paramet 09- Unit Method ers NN10 NN11 NN12 NN13 NN14 NN15 NN16 NN17 NN18 NN19 NN20 NN21 MT:2015/ BTNMT TCVN pH - 7.06 6.83 6.91 6.95 6.89 7.06 6.75 6.81 6.79 7.05 6.91 6.77 5.5-8.5 6492:2011 NO2- - TCVN mg/l 0.05 0.02 0.06 0.04 0.02 0.05 0.09 0.07 0.10 0.010 0.011 0.09 1 N 6178:1996

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Results QCVN Paramet 09- Unit Method ers NN10 NN11 NN12 NN13 NN14 NN15 NN16 NN17 NN18 NN19 NN20 NN21 MT:2015/ BTNMT NO3- - TCVN mg/l 0.67 0.53 0.71 0.31 0.37 0.38 0.56 0.62 0.58 0.41 0.47 0.48 15 N 6180:1996

NH4+- TCVN mg/l 0.32 0.29 0.40 0.15 0.18 <0.15 <0.15 0.21 0.19 0.19 <0.15 <0.15 1 N 5988:1995

TCVN Fe mg/l 0.16 0.23 0.19 0.25 0.17 0.19 0.23 0.20 0.25 0.19 0.21 0.17 5 6177:1996

TCVN <0.00 <0.00 <0.00 <0.00 <0.00 <0.00 <0.00 <0.00 <0.00 As* mg/l <0.002 <0.002 <0.002 0.05 6626:2000 2 2 2 2 2 2 2 2 2

SMEWW <0.00 <0.00 <0.00 <0.00 <0.00 <0.00 <0.00 <0.00 <0.00 Pb* mg/l <0.002 <0.002 <0.002 0.01 3113B:2012 2 2 2 2 2 2 2 2 2

SMEWW <0.000 <0.000 <0.00 <0.00 <0.00 <0.00 <0.00 <0.000 <0.00 <0.00 <0.00 <0.00 Cd* mg/l 0.005 3113B:2012 2 2 02 02 02 02 02 2 02 02 02 02

Pecman TCVN mg/l <1 <1 <1 <1 <1 <1 <1 <1 <1 <1 <1 <1 ganat 6186:1996

TCVN Colifor MPN/1 6187- <1 <1 <1 <1 <1 <1 2 <1 <1 <1 <1 <1 3 m 00ml 2:1996 Note:(1)The reservoir in Pho Rang town: NN1-2-3; (2) Can Cau reservoir: NN4-5-6; (3) Khe Quat reservoir: NN7-8-9; (4) Phong Nien reservoir: NN10-11-12; (5) Phu Nhuan reservoir: NN13-14-15; (6) Ta Xin reservoir: NN16-17-18; (7) Khanh Yen Ha reservoir: NN19-20-21.

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Table 8.9. Environmental monitoring locations and sampling in 06 reservoir areas

Types of Characteristics of Symbol Coordinate Parameters environment monitoring sites K1 X(m)= 2460595; K1: The area near the Y(m)= 470694. reservoir.The reservoir in Bao Yen town, Bao Yen district, Lao Cai province. Air – The K2 X(m)= 2460391; K2: The area near the reservoir in Y(m)= 470932. Dust, noise, dam.The reservoir in Bao Yen Pho Rang vibration town, Bao Yen district, Lao town Cai province. K3 X(m)= 2460386; K3: The residential area near Y(m)= 470902. the reservoir.The reservoir in Bao Yen town, Bao Yen district, Lao Cai province. Đ1 X(m)= 2460356; Đ1-2-3: The garden near the Soil – The Y(m)= 4708990. reservoir. The reservoir in Bao pHKCl, Cu, Zn, reservoir in Đ2 X(m)= 2460360; Yen town, Bao Yen district, Pb, Cd, As, total Pho Rang Y(m)= 470890. Lao Cai province. organic matter town Đ3 X(m)= 2460562; Y(m)= 470921. NM1 X(m)= 2460602; pH, NO2, NO3, NM1: Surface water at outlet. Y(m)= 470900 DO, SS, COD, The reservoir in Bao Yen BOD, NH4, As, town, Bao Yen district, Lao Cd, Pb, Coliform Cai province. Surface NM2 X(m)= 2460546; NM2: Surface water in the water– The Y(m)= 470911. reservoir .The reservoir in Bao reservoir in Yen town, Bao Yen district, Pho Rang Lao Cai province. town NM3 X(m)= 2460286; NM3: Surface water at Y(m)= 471094. downstream. The reservoir in Bao Yen town, Bao Yen district, Lao Cai province. Groundwater NN1 X(m)= 2460602; pH, NO2, NO3, NN1: Groundwater of HH – The Y(m)= 470700. Fe, NH4, As, Cd, Nguyen Van Nhan, Group2C, reservoir in Pb, Coliform, Bao Yen town. Pho Rang NN2 X(m)= 2460393; Pecmanganat NN2: Groundwater of HH town Y(m)= 470947. Tran Quoc Tro, Group 3A, Bao Yen town. NN3 X(m)= 2460350; NN3: Groundwater of HH Y(m)= 470824. Hoang Van Sang, Group3A, Bao Yen town. Air – Can K4 X(m)= 2502540; Dust, noise, K4: Dam area. Cau reservoir Y(m)= 453251. vibration K5 X(m)= 2502616; K5: The residential area near Y(m)= 453214. the reservoir K6 X(m)= 2502623; K6: The residential area near Y(m)= 453242. the reservoir Soil – Can Đ4 X(m)= 2502486; pHKCl, Cu, Zn, Đ4: Sample of agricultural soil Cau reservoir Y(m)= 453245. Pb, Cd, As, total near the reservoir. Đ5 X(m)= 2502539; organic matter Đ5-6: The garden near the Y(m)= 453249. reservoir Đ6 X(m)= 2502512; Y(m)= 453286. Surface NM4 X(m)= 2502479; pH, NO2, NO3, NM4: Surface water in the

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Environmental and Social Impact Assessment Report (ESIA) water– Can Y(m)= 453237. DO, SS, COD, reservoir. Cau reservoir NM5 X(m)= 2502522; BOD, NH4, As, NM5: Surface water at outlet Y(m)= 453240. Cd, Pb, Coliform NM6 X(m)= 2502583; NM6: Surface water at Y(m)= 453260. downstream Groundwater NN4 X(m)= 2502618; pH, NO2, NO3, – Can Cau Y(m)= 453277. Fe, NH4, As, Cd, NN4-5-6: Groundwater near reservoir NN5 X(m)= 2502562; Pb, Coliform, the reservoir, – Simacai Y(m)= 453306. Pecmanganat commune NN6 X(m)= 2502494; Y(m)= 453312. Air – Khe K7 X(m)= 2460637; Dust, noise, K1: The area near the dam Quat Y(m)= 470758. vibration body. reservoir K8 X(m)= 2460648; K2: Residential area near the Y(m)= 470762. dam body K9 X(m)= 2460658; K3: The area is 100m from the Y(m)= 470772. dam. Soil – Khe Đ7 X(m)= 2460610; pHKCl, Cu, Zn, Đ7: The garden near the Quat Y(m)= 470737. Pb, Cd, As, total reservoir. reservoir Đ8 X(m)= 2460613; organic matter Đ8: The garden near the Y(m)= 470740. reservoir. Đ9 X(m)= 2460620; Đ9: Sample of agricultural soil Y(m)= 470749. near the reservoir. Surface NM7 X(m)= 2460603; pH, NO2, NO3, NM7: Surface water in the water – Khe Y(m)= 470732. DO, SS, COD, reservoir. Quat NM8 X(m)= 2460614; BOD, NH4, As, NM8: Surface water in the reservoir Y(m)= 470739. Cd, Pb, Coliform reservoir downstream. NM9 X(m)= 2460589; NM9: Surface water in the Y(m)= 470692 pond near the dam Groundwater NN7 X(m)= 2460537; pH, NO2, NO3, NN7: Groundwater of HH – Khe Quat Y(m)= 470652. Fe, NH4, As, Cd, Dang Van Tenear the reservoir Pb, Coliform, reservoir.. NN8 X(m)= 2460543; Pecmanganat NN8: Groundwater of HH Y(m)= 470662. Chuong Van Xop near the reservoir. NN9 X(m)= 2460567; NN9: Groundwater of HH Y(m)= 470674. Chuong Van Te near the reservoir. Air – Phong K10 X(m)= 2477747; Dust, noise, K10: Dam area. Nien Y(m)= 455260. vibration reservoir K11 X(m)= 2477790; K11: The residential area near Y(m)= 455383. the reservoir. K12 X(m)= 2477797; K12: The residential area near Y(m)= 445356. the reservoir. Soil – Phong Đ10 X(m)= 2477846; pHKCl, Cu, Zn, Đ10-11-12: The residential Nien Y(m)= 445370. Pb, Cd, As, total area near the reservoir. reservoir Đ11 X(m)= 2474862; organic matter Y(m)= 445361. Đ12 X(m)= 2477795; Y(m)= 445352. Surface NM10 X(m)= 2477786; pH, NO2, NO3, NM10: Surface water in the water – Y(m)= 445350. DO, SS, COD, reservoir. Phong Nien NM11 X(m)= 2477789; BOD, NH4, As, NM11: Surface water at outlet reservoir Y(m)= 445366. Cd, Pb, Coliform NM12 X(m)= 2477762; NM12: Surface water at Y(m)= 445434. downstream.

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Groundwater NN10 X(m)= 2477791; pH, NO2, NO3, NN10: Groundwater of HH – Phong Nien Y(m)= 445402. Fe, NH4, As, Cd, Phung Van Chu, Coc hamlet, reservoir Pb, Coliform, village 4, Phong Nien Pecmanganat commune. NN11 X(m)= 2477782; Groundwater of HH Phung Y(m)= 445411. Van Quang, near the reservoir. NN12 X(m)= 2477776; Groundwater of HH Tran Thi Y(m)= 445426. Dung, near the reservoir. Air– Phu K13 X(m)= 2462024; Dust, noise, K13: Dam area. Nhuan Y(m)= 439740. vibration reservoir K14 X(m)= 2462066; K14: The residential area near Y(m)= 439786. the reservoir K15 X(m)= 2462089; K15: The residential area is Y(m)= 439781. 100m from the reservoir Soil – Phu Đ13 X(m)= 2462048; pHKCl, Cu, Zn, Đ13-14-15: The garden near Nhuan Y(m)= 439766. Pb, Cd, As, total the reservoir. reservoir Đ14 X(m)= 2462122; organic matter Y(m)= 439668. Đ15 X(m)= 2462037; Y(m)= 439770. Surface NM13 X(m)= 2462017; pH, NO2, NO3, NM13: Surface water in the water – Phu Y(m)= 439743. DO, SS, COD, reservoir. Nhuan NM14 X(m)= 2462026; BOD, NH4, As, NM14: Surface water at outlet reservoir Y(m)= 439752. Cd, Pb, Coliform NM15 X(m)= 2462023; NM15: Surface water at Y(m)= 439744. downstream Groundwater NN13 X(m)= 2462019; pH, NO2, NO3, NN13: Groundwater HH Phan – Phu Nhuan Y(m)= 439750. Fe, NH4, As, Cd, Van Tau, Nhuan 3 Village, reservoir Pb, Coliform, Phu Nhuan commune. NN14 X(m)= 2462031; Pecmanganat NN14: Groundwater of HH Y(m)= 439748. Tran Van Minh, Nhuan Village 3, Phu Nhuan commune. NN15 X(m)= 2461937; NN15: Groundwater of HH Y(m)= 439656. Phan Van Biec, Nhuan Village 3, Phu Nhuan commune Air – Ta Xin K16 X(m)= 2494160; Dust, noise, K16: Dam area. reservoir Y(m)= 410551. vibration K17 X(m)= 2494066; K17: The residential area near Y(m)= 410548. the reservoir K18 X(m)= 2494093; K18: The residential area is Y(m)= 410521. 100m from the reservoir Soil – Ta Đ16 X(m)= 2494156; pHKCl, Cu, Zn, Đ16-17-18: The garden Xin reservoir Y(m)= 410522. Pb, Cd, As, total sample near the reservoir. Đ17 X(m)= 2494433; organic matter Y(m)= 410538. Đ18 X(m)= 2494323; Y(m)= 410546. Surface NM16 X(m)= 2494122; pH, NO2, NO3, NM16: Surface water in the water – Ta Y(m)= 410549. DO, SS, COD, reservoir. Xin reservoir NM17 X(m)= 2494144; BOD, NH4, As, NM17: Surface water at outlet Y(m)= 410553. Cd, Pb, Coliform NM18 X(m)= 2494062; NM18: Surface water at Y(m)= 410506 downstream Groundwater NN16 X(m)= 2494163; pH, NO2, NO3, NN16: Groundwater of Mrs. – Ta Xin Y(m)= 410514. Fe, NH4, As, Cd, Bay, near the reservoir.

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Environmental and Social Impact Assessment Report (ESIA) reservoir NN17 X(m)= 2494444; Pb, Coliform, NN17: Groundwater of HH Y(m)= 410542. Pecmanganat Tran Van Duc, Group 1, Bat Xat town, Bat Xat district. NN18 X(m)= 2494062; NN18: Groundwater resident Y(m)= 410506 area near the reservoir, Group 1, Bat Xat town, Bat Xat district. Air – Khanh K19 X(m)= 2437639; K19: Dam area Yen Ha Y(m)= 453744. reservoir K20 X(m)= 2437668; Dust, noise, K20: The residential area near Y(m)= 453713. vibration the reservoir K21 X(m)= 2437662; K21: The residential area is Y(m)= 453762. 100m from the reservoir Soil – Đ19 X(m)= 2437618; pHKCl, Cu, Zn, Đ19: Sample of rice soil in the Khanh Yen Y(m)= 453745. Pb, Cd, As, total reservoir area Ha reservoir Đ20 X(m)= 2437622; organic matter Đ20: Arable land near the dam Y(m)= 453756. Đ21 X(m)= 2437646; Đ21 Sample of agricultural Y(m)= 453792. soil near the dam Surface NM19 X(m)= 2437614; pH, NO2, NO3, NM19: Surface water in the water – Y(m)= 453724. DO, SS, COD, reservoir Khanh Yen NM20 X(m)= 2437620; BOD, NH4, As, NM20: Surface water at outlet Ha reservoir Y(m)= 453712. Cd, Pb, Coliform NM21 X(m)= 2437686; NM21: Surface water at Y(m)= 453784. downstream Groundwater NN19 X(m)= 2437684; pH, NO2, NO3, NN19-20-21: Groundwater – Khanh Yen Y(m)= 453612. Fe, NH4, As, Cd, near the reservoir Ha reservoir NN20 X(m)= 2437652; Pb, Coliform, Y(m)= 453595. Pecmanganat NN21 X(m)= 2437625; Y(m)= 453663.

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APPENDIX9. ENVIRONMENTAL QUALITY MONITORING DIAGRAM

1. The monitoring diagram of Pho Rang reservoir - Bao Yen district NN1 Note: 11M - Air monitoringsample (K)

- Surface water monitoring(NM) Đ1 K1 - Groundwater monitoringsample (NN)

- Soil, sedimentmonitoringsample NM1 (Đ) 11M

NM2 11M

Đ2 NM3 NN3 11M 11M Đ3 K2 NN2 11M K3

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2. The monitoring diagram of Khe Quat reservoir - Tan An commune

K9 K7 Đ9

NM7 M NM9 M NN9 Đ7 11M

NN7 11M

NM8 Đ8 NN8 M 11M K8

Note:

- Air monitoringsample (K)

- Surface water monitoring(NM)

- Groundwater monitoringsample (NN)

- Soil, sedimentmonitoringsample (Đ)

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3. The monitoring diagram of Phong Nien reservoir - Bao Thang district

Note:

- Air monitoringsample (K)

- Surface water monitoring(NM) - Groundwater monitoringsample (NN)

- Soil, sedimentmonitoringsample (Đ)

Đ11 Đ10 NM11

K10 K11 2 NN10 NM11

Đ12

NM10

NM12

NM12 K12

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4. The monitoring diagram of Phu Nhuan reservoir

NM15 NN15

K15

K14

NM14 NM13

Đ14 NN14 Đ13 Note:

- Air monitoringsample (K)

- Surface water monitoring(NM) - Groundwater monitoringsample (NN) K13 NN13 - Soil, sedimentmonitoringsample (Đ)

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5. The monitoring diagram of Ta Xin reservoir - Bat Xat district

NN16 K16

NM16 Đ16 NN18 K18

NM18 NM17

Đ18 Đ17 Note: K17 - Air monitoringsample (K)

NN17 - Surface water monitoring(NM) - Groundwater monitoringsample (NN)

- Soil, sedimentmonitoringsample (Đ)

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6. Map of Sung Lung reservoir - Khanh Yen Ha commune

NM21

K20

NM19 NN21

K20

K19 Đ20

Note:

NN19 NN20 NM20 - Air monitoringsample (K) Đ19 Đ20 - Surface water monitoring(NM) - Groundwater monitoringsample (NN)

- Soil, sedimentmonitoringsample (Đ)

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APPENDIX10. DETAILS OF CONSTRUCTION DESIGN COMPONENTS AT 06 RESERVOIRS

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Name of Construction design items Contruction drawing reservoir 1. The reservoir Dams in Phu Nhuan * Main dam commune -Dam crest surface: expanded 5m; cement concrete structure type 1 to be designed with capacity of 6 tons/axis; cement stone surface (1 x 2)cm, M200, 20-25cm thick; linedby recycled nylon and macadam layer of 15cm thick. - Upstream retaining-wall: reinforced concrete structure M200, 0.7 m high, 30cm thick. -Reinforcement of upstream dam slope: cast-in- place reinforced concrete slab M200 (60x60x10cm) from the elevation of 99.80m to the elevation of 92.60m, lined by 10cm thick layer of macadam and geotextile -Reinforcement of downstream dam slope: filling compacted soil with the density  ≥ 1.7 T/m3; K ≥0.9; grass planting; slope draining by slanting ditchesof brick mortar structure M75. -Drainage at downstream dam slope foot;slope crest elevation of 94.2m; riprap structure of 30cm thick; macadam layer 1x2 of 15cm thick; sand layer of 15cm thick; dam slope foot has stone ditches M100 with the dimension of 40x30cm. * Secondary dam 1 - Dam crest surface: expanded 10m; cement

concrete structure type 1 to be designed with capacity of 6 tons/axis; cement stone surface (1 x 2)cm, M200, 20-30cm thick; lined by recycled nylon and macadam layer of 15cm thick. 215 Environmental and Social Impact Assessment Report (ESIA)

- Upstream retaining-wall: reinforced concrete structure M200, 0.7 m high, 30cm thick. The layout of secondary dam 3 - Reinforcement of upstream dam slope: cast-in- place reinforced concrete slab M200 (60x60x10cm) from the elevation of 99.80m to the elevation of 92.60m, lined by 10cm thick layer of macadam and geotextile. - Reinforcement of downstream dam slope:filling compacted soil with the density  ≥ 1.7 T/m3; K ≥0.9; grass planting. * Secondary dam 2 - Dam crest surface: expanded 5m; cement concrete structure type 1 to be designed with capacity of 6 tons/axis; cement stone surface (1 x 2)cm, M200, 20-25cm thick; lined by recycled nylon and macadam layer of 15cm thick. -Upstream retaining-wall: reinforced concrete structure M200, 0.7 m high, 30cm thick. - Reinforcement of upstream dam slope: cast-in- place reinforced concrete slab M200 (60x60x10cm) from the elevation of 99.80m to the elevation of 94.80m, lined by 10cm thick layer of macadam and geotextile. -Reinforcement of downstream dam slope:filling compacted soil with the density  ≥ 1.7 T/m3; K ≥0.9; grass planting;slope draining by slanting ditches of brick mortar structure M75#. -Drainage at downstream dam slope foot; slope crest elevation of +97.1m; riprap structure of 30cm thick; macadam layer 1x2 of 15cm thick; sand layer of 15cm thick; dam slope foot has stone ditches M100 with the dimension of

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40x30cm. The layout of spillway * Secondary dam 3

-Dam crest surface: expanded 3m; cement concrete structure type 1 to be designed with capacity of 6 tons/axis; cement stone surface (1 x 2)cm, M200, 20-25cm thick; lined by recycled nylon and macadam layer of 15cm thick. -Upstream retaining-wall: reinforced concrete structure M200, 0.3 m high, 30cm thick. -Reinforcement of upstream dam slope: cast-in- place reinforced concrete slab M200 (60x60x10cm) from the elevation of 99.80m to the elevation of 92.80m, lined by 10cm thick layer of macadam and geotextile. -Reinforcement of downstream dam slope: cast- in-place reinforced concrete slab M200 (60x60x10cm) from the elevation of 99.80m to the elevation of 92.80m, lined by 10cm thick layer of macadam and geotextile. * Secondary dam 4. -Dam crest surface: expanded 5m; cement concrete structure type 1 to be designed with capacity of 6 tons/axis; cement stone surface (1 x 2)cm, M200, 20-25cm thick; lined by recycled nylon and macadam layer of 15cm thick. - Upstream retaining-wall: reinforced concrete structure M200, 0.7m high, 30cm thick. - Reinforcement of upstream dam slope: cast-in- place reinforced concrete slab M200 (60x60x10cm) from the elevation of 99.80m to the elevation of 92.60m, lined by 10cm thick layer of macadam and geotextile.

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-Reinforcement of downstream dam slope: filling compacted soil with the density  ≥ 1.7 T/m3; K ≥0.9; grass planting. slope draining by slanting ditches of brick mortar structure M75. -Drainage at downstream dam slope foot;slope crest elevation of +94.2m; riprap structure of 30cm thick; macadam layer 1x2 of 15cm thick; sand layer of 15cm thick; dam slope foot has stone ditches M100 with the dimension of 40x30cm. (2)Spillway -Spillway: Demolish old spillway, build new spillway, design wide spillway crest combining tilling basin, conrete M200. (3)Draining culvert * Main dam -Draining culvert: Draining culvert: Steel pipe structure D = 600mm; 8mm thick; covered by reinforced concrete M200; bottom of 40cm thick, sides and top of 30cm thick. -Upstream draining culvert: install stop-log and waste screens. -Downstream draining culvert: install valve house, tank and the transition canal. * Secondary dam 4 -Draining culvert: Draining culvert: Steel pipe structure D = 600mm; 8mm thick; covered by reinforced concrete M200; bottom of 40cm thick, sides and top of 30cm thick. The layout of main dam -Upstream draining culvert: install stop-log and waste screens.

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- Downstream draining culvert: install valve house, tank and the transition canal. (4) Intake culvert *Main dam - Intake culvert: Steel pipe structure D = 300mm; 4.57mm thick; covered by reinforced concrete M200; bottom of 40cm thick, sides and top of 30cm thick. -Upstream intake gate: install stop-log and waste screens. -Downstream gate is regulated by conical valve, there is management house. *Secondary dam 1 -Intake culvert: Steel pipe structure D = 600mm; 8mm thick; covered by reinforced concrete M200; bottom of 40cm thick, sides and top of 30cm thick. -Upstream intake gate: install stop-log and waste screensand stop-log of open/close machine. -Downstream gate is regulated by conical valve, there is management house. Downstream gate is regulated by conical valve, there is management house. *Secondary dam 2 -Intake culvert: Steel pipe structure D = 300mm; 4.57mm thick; covered by reinforced concrete M200; bottom of 40cm thick, sides and top of 30cm thick. Upstream intake gate: install stop-log and waste screens.

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Downstream gate is regulated by conical valve, there is management house. *Secondary dam 4 -Intake culvert: Steel pipe structure D = 300mm; 4.57mm thick; covered by reinforced concrete M200; bottom of 40cm thick, sides and top of 30cm thick. Upstream intake gate: install stop-log and waste screens. Downstream gate is regulated by conical valve, there is management house. (5)Monitoring equipment a. Monitoring saturated line, permeation pressure -Water level monitoring gauge: + Upstream: Arrange steps for intake culverts including 09 reinforced concrete monitoring gauges of 2m high, cross-section of 15x20cm. The location of the first monitoring gauge (the begining of the route) must lower than the dead water level of 1 meter. The location of the final monitoring gauge must be lower than the height of the high water level of 1 meter. The top of the monitoring gauge equals 0.15 to 0.20 times the next gauge on the same monitoring route. + Downstream: Arrange at the end of the tilling basin 01 reinforced concrete monitoring gauge of 2m high; cross-section of 15x20cm. - Drilling and installing equipment for measuring penetration pressure, saturated line at the locations of: upstream dam edge, downstream dam slope, downstream dam foot, downstream dam slope

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crest. b. Monitoring subsidenceand shift: - Benchmark for monitoring subsidence: Concrete M200, 02 benchmarks. - Benchmark for monitoring shift: Concrete M200, 02 benchmarks. - Benchmark for monitoring subsidence: Concrete M200, 03 benchmarks. - Benchmark for monitoring shift: Concrete M200, 03 benchmarks. (6) Management works -Newly built management house in the right shoulder of secondary dam 1: house grade-IV of 40-61m2, including 02 working room, 01 bedroom and ancillary works (kitchen and toilet). structure: brick-cement mortar M75; Foundations, columns, beams are made of reinforced concrete M200. The roof is reinforced concrete of 10cm; heat resistant roof; floor is tiled. Doors, windows are sheet metals. -Management and rescue road is designed according to the Rural Road Standard: L = 500.0m. Pavement is 3m. Road structure: cement concrete M200, 20cm thick, lined by recycled nylon layer; road foundation is macadam layer of 16cm; excavated and compacted roadbed at K95 of 30 cm thick. 2. The reservoir (1)Main dam in Phong Nien - Dam crest surface: expanded 5m; cement commune concrete structure type 1 to be designed with capacity of 6 tons/axis. Concrete M250 stone 1x2 layer of 20cm thick, asphalt oil liner. Fill dam

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surface which was settled at the same elevation of current dam shoulders: +143.00m. - Reinforcement of upstream dam slope: reinforced concrete slab M200 (60x60x10cm) from the elevation of +143.00m to the elevation of 138.20m, lined by 15cm thick layer of macadam and geotextile; the sand layer is 10cm thick. - Reinforcement of downstream dam slope: filling compacted soil with the density  ≥ 1.7 T/m3, grass planting, drainage by oblique and longitudinal ditches;prismatic drainage is designed for dam downstream slope. - Drilling to pump clay for anti-penetration of dam foot. (2) Spillway - Old spillway: demolish old spillway and build Cross section of main dam new spillway by concrete M200. - Build tilling basin by concrete M200. - Spillway of 4m wide, 4m long with reinforced concrete - Build new spillway road of 4m wide, L = 58.44m (3) Intake culvert - Rebuild intake culvert by open culvert, rectangular cross-section. The structure of culvert body and the bottom is concrete M200 of 30cm thick. - Upstream intake gate: install stop-log and waste screens. (4)Draining culvert

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- Rebuild pressure draining culvert through dam body by 5 mm thick D300 steel pipe.The pipe is encased by reinforcment concrete M200 of 20cm thick, bottom is 25cm thick, - Upstream intake gate: install stop-log and waste screens. - Downstream gate of intake culvert is regulated by cone valve. (5)Monitoring equipment Water level monitoring gauge: Upstream: Arrange steps for intake culverts including 5 reinforced concrete monitoring gauges of 2m high, cross-section of 15x20cm. The location of the first monitoring gauge (the begining of the route) must lower than the dead water level of 1 meter. The location of the final monitoring gauge must be lower than the height of the high water level of 1 meter. The top of the monitoring gauge equals 0.15 to 0.20 times the next gauge on the same monitoring route. General layout Downstream: Arrange at the end of the tilling basin 01 reinforced concrete monitoring gauge of

2m high; cross-section of 15x20cm. (6)Management works Newly built management house near spillway: house grade-IV of 45m2, including 01 working room, 02 bedroom and ancillary works (kitchen and toilet). Wall structure: brick-cement mortar M75; Foundations, columns, beams are made of reinforced concrete M200. The roof is reinforced concrete M200 of 10cm; The top is built with anti-heat tiles and slope to drain, tiled floor. Main

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doors, windows are metal; indoor doors, toilets, light holes are aluminum frames. Management and rescue road is newly built according to the Rural Road Standard: L = 904.36. B=4m wide, in which pavement is 3m wide and shoulder is 0.2m wide. Road surface structure: cement concrete M200, 16cm thick, lined by macadam layer of 10cm. (7) The embankment of dam upstream slope The embankment of both sides of dam upstream, each side is 50m long will help anti-landslide and limit penetration on the dam shoulders. Total length is L = 100m; concrete frame M200; build stone of 30 cm thick inside frame. 3. The reservoir (1) Main dam in Pho Rang - Soil dam surface: expanded 5m; the middle town section of dam B=4.4m; cement concrete structure type 1 to be designed with capacity of 6 tons/axis. Concrete M250 stone 1x2 layer of 20cm thick, asphalt oil liner. Designed sam surface elevation: +85.80m. - Reinforcement of upstream dam slope: reinforced concrete slab M200 (60x60x12cm) from the elevation of +85.80m to the elevation of

80.40m, lined by 15cm thick macadam and geotextile, filtering sand layer of 10 cm thick. Cross section of main dam - Reinforcement of downstream dam slope: filling compacted soil with the density  ≥ 1.7 T/m3, grass planting. Slope drainage by oblique and longitudinal ditches, soil ditch structure filled with filtering stone inside. Drainage dam downstream slope foot by stone ditches combined with prism drainage.

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- Drilling to pump clay for anti-penetration of dam foot. (2) Secondary dam - Soil dam surface: expanded 5m; the middle section of dam B=4.4m; cement concrete structure type 1 to be designed with capacity of 6 tons/axis. Concrete M250 stone 1x2 layer of 20cm thick, asphalt oil liner. Fill dam surface at the same elevation of current dam shoulders: +85.80m. - Reinforcement of upstream dam slope: reinforced concrete slab M200 (60x60x15cm) from the elevation of 85.80m to the elevation of Cross section of secondary dam 80.40m, lined by 20cm thick macadam and geotextile, filtering sand layer of 10cm thick. - Reinforcement of downstream dam slope: filling compacted soil with the density  ≥ 1.7 T/m3, grass planting. drainage by oblique and longitudinal ditches. Drainage dam downstream slope foot by stone ditches combined with prism drainage. - Drilling to pump clay for anti-penetration of dam foot. (3)Spillway Maintain old scale of spillway, only repair the following: - Demolish and rebuild broken spillway threshold; the body after threshold is retained; wall and slope are retained and pluged with steel and covered by new layer of concrete M200 of 20cm thick. - Newly buil the entire tilling basin of the spilway.

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(4)Intake culvert + Maitain the old culvert + Repair culvert as follows: -Waterproofing on both sides of culvertby drilling mortar - Extend both sides of wing-wall of culvertalong upstream and downstream slopes (5)Monitoring equipment Water level monitoring gauge Upstream: Arrange steps for intake culverts including 5 reinforced concrete monitoring gauges of 2m high, cross-section of 15x20cm. The location of the first monitoring gauge (the begining of the route) must lower than the dead water level of 1 meter. The location of the final monitoring gauge must be lower than the height of the high water level of 1 meter. The top of the monitoring gauge equals 0.15 to 0.20 times the next gauge on the same monitoring route.

Downstream: Arrange at the end of the tilling basin 01 reinforced concrete monitoring gauge of General layout 2m high; cross-section of 15x20cm. (6) Management works Newly build management house at the secondary dam end, at hill foot direction: house grade-IV of 45m2, including 01 working room, 02 bedroom and ancillary works (kitchen and toilet);wall structure: brick-cement mortar M75; Foundations, columns, beams are made of reinforced concrete M200. The roof is reinforced concrete M200 of 10cm; The top is built with anti-heat tiles and

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slope to drain, tiled floor. Main doors, windows

are metal; indoor doors, toilets, light holes are aluminum frames. Management road in combination with rescue: Remain the current soil road. 4. The reservoir (1) Main dam in Khanh Yen Ha - Dam crest surface: expanded 5m; cement commune concrete structure type 1 to be designed with capacity of 6 tons/axis;cement stone surface (1 x 2)cm, M200, 20cm thick; lined by recycled nylon and macadam layer of 15cm thick. - Reinforcement of upstream dam slope: reinforced concrete slab M200 (300x300x10cm) from the elevation of +180.8m to the elevation of +174.8m, lined by 15cm thick layer of macadam and geotextile. - Downstream slope: Rehabilitation of downstream according to the design cross section: filling compacted soil with the density  ≥ 1.7 T/m3; K ≥ 0.95; grass planting. Drainage of 30x30cm slanting slope, transverse slope between dam and natural soil size 40x40cm. Structure: concrete bottom M200, building brick mortar M75. General layout - Prism drainage of downstream dam slope foot, elevation of the prism top + 173.8m.

(2) Spillway

Newly build spillway, slope, tilling basin. Structural concrete M200. (3) Intake culvert Culvert structure is pipe culvert D = 500mm,

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7mm thick, outside is concrete M250: bottom is 25cm thick, both sides and top are 20cm thick. Upstream intake gate: Arrange valve tower with stop-log and trash screeners. Downstream gate of intake culvert is regulated by cone valve. (4) Management works a. Management house: Build new management house of 61m2, grade-IV, with electricity, water Details of spillway for living and reservoir management. b. Management road: Strengthen management road to dam surface of 801.7m long; embanmemt width of 4.5m; pavement width of 3.5m; Structure: M250 pavement concrete of 18cm thick. c. Monitoring equipment: to be arranged in accordance with the current standards, specifically: - Water level monitoring: manual monitoring via water monitoring gauge; arrange along upstream dam slope close to stairs of intake culvert for upstream route; arrange along the outlet of tilling basin of spillway for downstream route. - Monitoring saturation line in dam body and pressure infiltration on dam foundation: manual observation by battery coil; The monitoring line is arranged along the main cross-section of dam middle, including 01 point at upstream slope and 03 points at the downstream slope. - Monitoring subsidence: Benchmarks: 03 points Cross-section of management road in both dam shoulders; The subsidence monitoring line consists of monitoring benchmark along the

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downstream edge of dam crest road (0.5m from the edge, to the downstream slope), the monitoring density:20m/benchmark. -Monitoring horizontal shift: Benchmarks: 03 points in both dam shoulders; The shift line and benchmarks coincides with subsidence line and benchmarks. - Monitoring hydro-meteorological conditions: build manual hydraulic meteorological stations in premises of management houses. - Monitoring the opening of culverts: visual observation and measurement by steel rulers should be used as culvert is small. - Monitoring the opening of spillway: Free Spillway, No monitoring. 5. The reservoir (1)Main dam in Tan An - Dam crest surface: expanded 5m; cement commune concrete structure type 1 to be designed with capacity of 6 tons/axis. cement stone surface (1 x 2)cm, M250, 20thick; lined by macadam layer of 15cm thick and sand of 10cm thick. - Build wave-retaining wall to reduce dam height; 0.30m high; top elevation + 75.20 m, the concrete wall M200, stone 2x4cm. Dam crest (soil) at elevation + 74.70m is higher than the current elevation of about 20cm. - Reinforcement of upstream dam slope: reinforced concrete slab M200 (60x60x12cm) from the elevation of 74.9m to the elevation of 64.80m, lined by 15cm thick macadam and geotextile. - Reinforcement of downstream dam slope: filling

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compacted soil with the density  ≥ 1.7 T/m3; K ≥ 0.9; grass planting. Cut slope, plant grass in the squares (3.2x3.2)m made of small ditches 450 with dam axis, filtering stones are inside ditches. Water from ditches focuses on the horizontal ditches along dam slope and foot; drainage ditches lead water to the downstream of the work. Before planting grass, cover a layer of organic soil of 15cm thick. - Drainage at downstream dam slope foot, slope combined with drainage prism; slope elevation of 68.9m; prism elevation of 64.7m. riprap structure of 30cm thick; macadam layer 1x2 of 15cm thick; sand layer of 15cm thick; dam slope foot has stone ditches M100 with the dimension of 40x50cm. (2)Spillway Build new spillway, water slope, tilling yard by reinforced concrete M200. Designed cross-section details of dam (3) Intake culvert

Intake culvert: The structure of the culvert body is steel, D = 400mm, 6.35mm thick, covered by M250. Upstream intake gate: install stop-log and waste screens. Downstream gate of intake culvert is regulated by cone valve. (4)Monitoring equipment a. Monitoring saturated line, permeation pressure: - Water level monitoring gauge: + Upstream: Arrange steps for intake culverts

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including 9 reinforced concrete monitoring gauges of 2m high, cross-section of 15x20cm. The location of the first monitoring gauge (the begining of the route) must lower than the dead water level of 1 meter. The top of the monitoring gauge equals 0.15 to 0.20 times the next gauge on the same monitoring route. + Downstream: Arrange at the end of the tilling basin 01 reinforced concrete monitoring gauge of 2m high; cross-section of 15x20cm. - Drilling and installing equipment for measuring penetration pressure, saturated line at the locations of: upstream dam edge, downstream dam slope, downstream dam foot, downstream dam slope crest. Typical cross-section of intake-culvert b. Monitoring subsidenceand shift: - Benchmark for monitoring subsidence: Concrete M200, 01 benchmark. - Benchmark for monitoring shift: Concrete M200, 01 benchmark. - Benchmark for monitoring subsidence: Concrete M200, 01 benchmark. (5)Management works Newly built management house in the right shoulder of the main dam: house grade-IV of 61m2, including 02 working room, 01 bedroom and ancillary works (kitchen and toilet). Structure: brick-cement mortar M75; Foundations, columns, beams are made of reinforced concrete M200. The roof is reinforced concrete of 10cm; heat resistant roof; floor is tiled; main door and windows are metal. Doors, windows are sheet metals.

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Management and rescue road is designed according to the Rural Road Standard: L = 406.45m. Pavement is 4m. Road structure: cement concrete M300, 20cm thick, lined by recycled nylon layer; road foundation is macadam layer of 15cm; excavated and compacted roadbed at K98 of 30 cm thick. Drainage ditches along road are reinforcement concrete slab; horizontal drainage D100.

General layout 6. Ta Xin (1) Main dam reservoir - Dam crest surface: reinforced by cement concrete structure type 01 to be designed with capacity of 6 tons/axis. Cement stone surface (1 x 2)cm, M200, 20-25cm thick, lined by oil papers;reinforcement layer B = 3.5m wide; reinforced layer B = 7.5m wide; the rest is reinforced by concrete M100 of 10cm thick;Demolish big trees on dam face and slope. - Reinforcement of upstream dam slope: reinforced concrete slab M200 (60x60x10cm)

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from the elevation of 109.00m to the elevation of 101.00m, lined by 20cm thick layer of macadam and geotextile. - Dam downstream slope: Cutting and filling organic soil for planting grass on dam slope; drainage by oblique and longitudinal ditches; prismatic drainage is designed for dam downstream slope. - Drilling to pump clay for anti-penetration of dam foot. (2) Spillway - Old spillway: broken shoulder wall was repaired by reinforced concrete M200; spillway surface and slope is covered by reinforcement concrete M200 of 20cm thick. - Expanded section of spillway: threshold of old spillway = 13.4m; threshold of expanded spillway = 18.5m. Spillway surface and slope is covered by reinforcement concrete M200 of 30cm thick, lining concrete M100 of 2.7 - 3.5m thick; new wingwall is reinforced concrete M200 of 2.7 - 3.5m wide. (3) Intake culvert và draining culvert a) Extending draining culvert; through the dam body is steel pipe D300 of 5mm thick. The pipe is encased by reinforcement concrete M200 of 20cm thick, bottom is 25cm thick.

Upstream intake gate: install stop-log and waste General layout screens. Downstream gate of intake culvert is regulated by cone valve. b) Extending draining culvert; through the dam

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body is steel pipe D300 of 5mm thick. The pipe is encased by reinforcment concrete M200 of 20cm thick, bottom is 25cm thick. Upstream intake gate: install stop-log and waste screens. Downstream gate of intake culvert is regulated by cone valve. (4)Monitoring equipment Water level monitoring gauge: Upstream: Arrange steps for intake culverts including 03 reinforced concrete monitoring gauges of 2m high, cross-section of 15x20cm. The location of the first monitoring gauge (the begining of the route) must lower than the dead water level of 1 meter. The location of the final monitoring gauge must be lower than the height of the high water level of 1 meter. The top of the monitoring gauge equals 0.15 to 0.20 times the next gauge on the same monitoring route. Design cross-section of reservoir embankment - Arrange 01 monitoring point at the spillway gate and 01 monitoring point at the gate of the intake culvert. - Downstream: Arrange 02 monitoring points at the draining canal with the distance of 30m for each point; each structure includes 01 water reinforced concretemonitoring gauge of 2m high with the cross section of 15x20cm. (5) Management works Management and rescue road is designed according to the Rural Road Standard: L = 420m, B=4m wide,in whichpavement is 3m wide and shoulderis 0.5m wide. Road surface structure:

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cement concrete M200, 16cm thick, lined by macadam layer of 10cm. (7)The embankment of dam upstream slope on the rightbank The embankment of dam upstream slope on the right bank of 30m longwill help anti-landslide and limit penetration on the dam shoulder. Total length is L = 30m; concrete frame M200; build stone of 30 cm thick inside frame.

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APPENDIX11: GENDER ACTION PLAN

A Gender Action Plan (GAP) is needed to facilitate the full participation of women in the project construction stage, providing new opportunities for women to boost their income, without increased burden on their lives, and contributing to the enhancement of women’s role and status in the subproject area. The objectives of this plan include: The local Contractors will employ at least 30% of female workers in maintenance, construction and repair works; For a similar type of work, female workers should be paid as much as male workers; Safety conditions must be equal to both men and women; The local Contractors will not use child labor; The use of local labors is encouraged and the establishment of labor camps will be avoided; The Women’s Groups and Women’s Union will be consulted about the design of subproject; Training on gender mainstreaming will be provided for national, provincial and local authorities (i.e. PPMU and other stakeholders); Training and capacity building is provided for women to engage in public decision-making and Subprojects in a way that makes the most sense (i.e. training in participation, negotiation skills, marketing skills, mathematics and litreacy); The involvement of women in project study tours is ensured. The agricultural extension services aimed at women are designed and delivered to women; The awareness enhancement campaign on HIV/AIDS will be launched before the start of civil works. The PPMU is responsible for monitoring and reporting of GAP key performance indicators, including the participation of women, target works and trainings, and HIV prevention campaigns; At least one woman shall be involved in the Supervision Board of a commune (about 1/3 of the members). The Table of the Gender Action Plan Achievements Tasks and Indicators Responsibility Time The Contractors shall prioritize PPMU/Project Consultant unskilled labor (through shall ensure the record of Achievement subcontracting); at least 30% of the these terms in the 1: total labor force is local unskilled ones; Contract; the list of During Improvement Among 30% local labor, female registered labor shall be construction of dam safety workers shall be prioritized; Male and submitted by communal stage and irrigating female labor will receive the same officials the Contractor; wages for the same type of work conditions Communal officials shall The Contractors shall not employ ensure the achievement of children; the targeted objectives.

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Achievements Tasks and Indicators Responsibility Time Local people who wish to work for the The communal women subproject shall register at their group shall ensure the villages/hamlets. Then, these involvement of local registrations shall be provided by the female workers in the Head of the villages and communes to subproject. the Contractors for selection in favour of poor and vulnerable households. Achievement 2: Enhancement PPMU staff, During of people’s At least 30% of women shall participate District staff, construction capacity to in agricultural extension courses stage make Communal staff. advantages of the subproject Programs on HIV/AIDS and human trafficking. The Provincial and Communal Women's Programs on community-based risk Union shall organize and mitigation. host the program (training Information about risk mitigation will and preparation of be transferred to the communes and materials) in collaboration villages affected by the subproject using with the district/communal the participatory approach with a focus health center; on the poor and vulnerable households Achievement The Hamlet/Village (e.g. households headed by women, 3: Women’s Union shall households with elderly and disabled popularize and Enhancement people). of awareness communicate information; The documents and information should Monthly, on potential The district/commune be appropriate in terms of language, before and social evils of Health Centers shall culture and gender; during the vulnerable support the communal construction objects, Women's Union, the representative of Women’s Union; especially Centre for HIV/AIDS prevention and The Project Consultant women, elderly communal staff shall give training to will provide national and and disable communicators in each international experts and people commune/village in the subproject area; experts relating to gender The programs will be implemented at and ethinic minorities. the communes and villages by two Gender experts and communicators (village leader and 1 specialists on EM shall member of the women's union); review existing materials The program will be implemented in the and supplement the villages and on market-days through required ones for the distribution of project/program Program. materials and use of loudspeakers. Program on risk mitigation during PPMU During

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Achievements Tasks and Indicators Responsibility Time project construction stage: construction The Contractor stage PPMU and the Contractor will

coordinate closely with the health services in communes and districts to Local Health Centre implement programs on awareness Communal staff enhancement and education on disease prevention, diagnosis and treatment for The Women’s Union shall laborers. perform general coordination for better All programs and documents are built HIV prevention. with integration of gender issues, including vulnerability and needs of men and women. The Contractor shall: Implement awareness enhancement programs workers and communities, including education and communication on HIV infection and preventive measures. Provide free consulting services and encourage employees to do HIV tests so that they all know about their health status. Support the access to health services and encourage HIV-infected patients to admit their status; Provide medical equipment (free condoms) for workers in the camps; Guidelines on Gender and Development and Education shall be provided for PPMU staff, local agencies and Contractors. During design Project All capacity enhancement activities Project Consultant shall include the involvement of women and initial Management PPMU and disable people. implementation Project Consultant. PPMU during design and initial implementation.

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APPENDIX 12: TERMITE TREATMENT PROCEDURE

The name of the anti-termite chemical: Metavina 10DP. This product is capable of destroying termites via contact and infection. The process of surveying, exploration and treatment of termitaries and subterraneans for dams is as follows. Biological, ecological survey of termitaries

Collection of termite sample and analysis, this requirement labor safety equipment

Radar exploration of termitaries

Exploration of termitaries by sound machine

Figure : The process of survey and exploration of termitaries on dams

The process of treatment of termitaries on dams:

Drill twist holes and pump termiticide into termitaries along drilling holes and fill clay into the holes made by termites inside dams to protect the surrounding environment and thoroughly treat danger caused by termites.This measure is not harmful to the environment but requires the construction companiess to take specialized equipment and experience in the termite treatment for irrigation works. The steps for termite treatment are as follows:

Drill a twist hole into termite chamber

Pump termiticide into termitary

Pump clay to fill termitary

Rebuid the site

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Figure 2: The process of treatment of termitaries on dams Requirement on safety equipment for workers For termite treatment, impacts may happen like accidents affecting the lives of workers due to collapsion of drilling machine, termiticide pumping machine, tractors, clay pumping machine due to moving on dam slopes. Therefore, the following requirements for labor safety are required: i) During the treatment process, the equipment must be operated in accordance with the regulations and manual to ensure safety. ii) Check the condition of machines, equipment and means of construction prior to the operation. Persons who have no responsibility, have not learned the technical process of operation, are not assigned the task of construction, are not allowed to arbitrarily operate machines and construction equipment. iii) Officials, workers must be adequately equipped with clothing, shoes, helmets, nameplates .... iv) Electricity, water lines serving for construction must be neatly arranged without hindrance to persons, vehicles and facilities on construction site. i) There must be signboards on construction site.

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LIST OF PLANT PROTECTION DRUGS PERMITTED FOR USE IN VIETNAM (Issued together with Circular No.03/2018/TT-BNNPTNT dated February 09, 2018 of the Minister of Agriculture and Rural Development)

II. TERMITE PESTICIDES: NAME OF ACTIVE REGISTRATION SUBSTANCES - RAW TRADE OBJECTIVES ORGANIZATIONS MATERIALS (COMMON NAME (CROP/PEST) (APPLICANT) NAME) Beta-naphthol 1% + Fenvalerate Anti-termiteoil Anti-termitein wood store Vietnam Pesticides Joint 0.2% M- 4 Stock Company 1.2SL Bistrifluron (min 95%) Xterm 1% Anti-termitein Sumitomo Chemical construction works Vietnam Limited Chlorfenapyr (min 94%) Mythic 240SC Anti-termite in BASF Vietnam Co., Ltd. construction works Chlorfluazuron (min 94%) Requiem Anti-termite in Ensystex Australasia Pty 1 RB construction works Ltd. Chlorpyrifos Ethyl (min 94 %) Fugosin 500EC Anti-termite in Hatashi Vietnam Joint Stock construction works Company Lenfos 50 EC Anti-termite in Hop Tri Investment Joint construction works Stock Company Landguard Anti-termite in Imaspro Resources Sdn Bhd 40EC construction works MAP Sedan Anti-termite in Map Pacific Pte Ltd 48EC construction works Termifos Anti-termite in Vietnam Pesticides Joint 500EC construction works Stock Company Disodium Octoborate Bora-Care Anti-termite in Toan Dien Commerceand Tetrahydrate 40SC construction works Service Co., Ltd. Extract of Cashew nut shell oil Wopro2 10FG Anti-termite in Forest Science Institute of (min 97%) construction works Vietnam Fipronil (min 95 %) Agenda 25 EC Anti-termite in Bayer Vietnam Ltd (BVL) construction works Mote 30EC Anti-termite in Asia Biochemistry Co., Ltd construction works Terdomi 25EC Anti-termite in Ngoc Lam Development and construction works Investment Co., Ltd Tefurin Anti-termite in Hatashi Vietnam Joint Stock 25EC construction works Company Termisuper Anti-termite in Viet Nam Disinfecting - 25EC construction works Fumigation Joint Stock Company Hexaflumuron (min 95%) Mobahex 7.5 Anti-termite in Institute of Ecology and RB construction works Protection of Works SentriconTM Anti-termite in Dow AgroSciences B.V HD 0.5RB construction works Imidacloprid (min 96 %) Termize Anti-termite in Imaspro Resources Sdn Bhd 200SC construction works

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Metarhizium anisopliae var. Metavina 10DP: Vietnam Ecology anisopliae (M2 & M5 108 - 109 10DP, 80LS Anti-termite indikes, Technology Joint Stock spore/g), (M1 & M7 108 - 109 dams, architectural works, Company spore/ml) construction works, houses, warehouses 80LS: dams, dikes Permethrin (min 92 %) Map boxer Anti-termite in Map Pacific Pte Ltd 30EC construction works Na2SiF6 50% + HBO3 10% + PMC Anti-termite in Forest Science Institute of CuSO4 30% 90 DP construction works Vietnam Na2SiF6 80 % + ZnCl2 20 % PMs Damages to foundation, Forest Science Institute of 100 CP fences around the works Vietnam

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