195 7.6.1 Contractor's Social and Environmental Management Plan

YEN BAI PROVINCIAL PEOPLE'S COMMITTEE PMU OF CONSTRUCTION INVESTMENT IN AGRICULTURAL AND RURAL DEVELOPMENT PROJECTS IN YEN BAI PROVINCE

Public Disclosure Authorized

VIET NAM REHABILITATION AND SAFETY IMPROVEMENT PROJECT (WB8)

Public Disclosure Authorized

ENVIRONMENTAL AND SOCIAL IMPACT ASSESSMENT

Public Disclosure Authorized

DAM REHABILITATION AND SAFETY IMPROVEMENT SUBPROJECT OF YEN BAI

Public Disclosure Authorized

Yen Bai, 1/2019

Table of Contents Executive Summary 1 Chapter I. overview 8 1.1 General information 8 1.2 Information about the Yen Bai Province Subproject 10 1.3 Objectives and methods of environmental assessment 10 1.4 Investor and funding 12 1.5 Consulting agency 12 Chapter II. Subproject description 14 2.1 Objectives 14 2.2 Geographical location 14 2.3 Subproject scope 18 2.3.1 Description of current status and maintenance of subproject’s works ...... 18 2.3.2 Auxiliary items ...... 31 2.3.3 Transportation distance...... 37 2.3.3 Mobilization of vehicles and machinery for construction ...... 37 2.3.4 Construction material quantities of key works ...... 38 2.4 Construction progress 43 2.5 Description of acitives implemented during the subproject 44 2.5.1. Pre-construction activities: ...... 44 2.5.2. Plan for transportation of materials: ...... 44 2.5.3. Operational and maintenance activities:...... 47 2.6 Dam safety plan 48 2.7 Funding 49 CHAPTER III. POLICY, LEGAL AND ADMINISTRATIVE FRAMEWORK 51 3.1 Vietnam regulations 51 3.2 World Bank policies 54 3.2.1 Project level ...... 54 3.2.2 Subproject level ...... 55 CHAPTER IV. CHARACTERISTICS OF THE ENVIRONMENT AND SOCIAL ECONOMY OF THE SUBPROJECT AREA 62 4.1 Natural environmental conditions 62 4.1.1. Geographical conditions ...... 62 4.1.2. Conditions on terrain ...... 64 4.1.3. Conditions on the geological and hydrogeological conditions of the project under the subproject: ...... 66 4.1.4. Climate and weather conditions ...... 68

4.1.5. River network ...... 69 4.1.6. Biodiversity ...... 70 4.2 Impact of climate change on Yen Bai province 72 4.2.1. Prolonged heat on high heat background ...... 72 4.2.2. Increased cold period ...... 72 4.2.3. Increased storms and tropical depressions and unpredictable developments ...... 72 4.2.4. Forest fires, floods and dam failure incidents ...... 72 4.3 Status of physical environment components 73 4.1.6.1. Air environment and noise ...... 73 4.1.6.2. Water Environment ...... 74 4.1.6.3. Earth environment ...... 75 4.4 Socio-economic conditions of the sub-project area 75 4.5 Summary of survey results of subproject communes 90 4.5.1 Demographics ...... 91 4.5.2 Occupation ...... 92 4.5.3 Health ...... 95 4.5.4 Water supply ...... 97 4.5.5 Housing hygiene conditions...... 98 4.5.6 Income and household living standards ...... 100 4.5.7 Some issues of social security ...... 101 4.5.8 Ethnic minorities ...... 105 4.5.9 Gender characteristics in the subproject area ...... 106 4.6 Site-specific works 107 CHAPTER V. ENVIRONMENTAL AND SOCIAL IMPACT ASSESSMENT 109 5.1 Types and scale of impacts 109 5.2 Positive environment and social impacts 110 5.2.1 Social impacts ...... 110 5.2.2 Environment impacts ...... 111 5.3 Potential negative environmental and social impacts 111 5.3.1. Impact in the preparation phase of construction 111 5.3.2. Impact during construction phase ...... 117 5.3.3. Impacts during operation phase ...... 137 5.4 Analysis of impact types 138 5.4.1 Cumulative impacts ...... 138 5.4.2 Direct impacts ...... 138 5.4.3 Indirect impacts ...... 139 5.4.4 Temporary impacts ...... 139

5.4.5 Long term impacts ...... 139 CHAPTER VI. ANALYSIS OF ALTERNATIVES 140 6.1. Without subproject 140 6.2. With subproject 140 6.2.1. Alternatives when executing items under normal water level ...... 140 6.2.2. Alternative measures when selecting the location of ancillary works (land mines, disposal sites) ...... 141 6.2.3. Alternative measures when selecting materials and waste soil transportation routes ...... 142 CHAPTER VII. ENVIRONMENTAL AND SOCIAL MANAGEMENT PLAN 146 7.1 Objectives 146 7.2 Mitigation measures 146 7.2.1 Mitigation measures during the preparation phase ...... 146 7.2.2 Mitigation measures during construction period ...... 148 7.2. 3 Mitigation measures in operation phase ...... 183 7.3 Institutional Arrangements 184 7.3.1 Project management ...... 184 7.3.2 Roles and responsibilities for environmental and social safety management ...... 185 7.4 The compliance with the Environment framework 189 7.4.1 Contractor's environmental duties ...... 189 7.4.2 The Contractor’s Safety, Social, and Environmental Officers ...... 190 7.4.3 Environmental and social monitoring during construction ...... 191 7.4.4 Compliance with contract and legal requirements ...... 191 7.4.5 Reporting ...... 191 7.5 Grievance redress mechanism 192 7.5.1 Procedures for complaints and settlement ...... 192 7.5.2 Contractors and Construction Supervision Consultant ...... 193 7.5.3 The World Bank’s Grievance Redress Mechanism ...... 194 7.6 ESMP implementation plan 195 7.6.1 Contractor's Social and Environmental Management Plan ...... 195 7.6.2 Start up the sub-project and personnel ...... 195 7.7 Capacity building and training 195 7.7.1 Training on safeguard policy ...... 195 7.7.2 Training on occupational health and safety ...... 196 7.7.3 Orientation of visitors ...... 196 7.7.4 Training contractors and new workers ...... 196 7.7.5 Training on basic occupational health and safety ...... 196 7.8 Environmental monitoring plan 197

7.8.1 Monitoring the compliance with mitigation measures ...... 197 7.8.2 Monitoring environment quality ...... 198 7.8.3 Dam safety monitoring ...... 200 7.9. Estimated cost 200 CHAPTER VIII. PUBLIC CONSULTATION AND INFORMATION DISCLOSURE 202 8.1. Objectives of community consultation in preparing ESIA reports 202 8.2. Summary of the process of organizing public consultation 202 8.2.1. Summary of the process of consultations with commune-level People's Committees, organizations directly affected by the subproject ...... 202 8.2.2. Summary of the process of community consultation meeting with people directly affected by the subproject ...... 205 8.3. Results of public consultation 207 8.3.1. The opinions of the CPC and organization directly affected by the subproject ...... 208 8.3.2. Commitment of the subproject owner ...... 214 8.4. Information disclosure 214 REFERENCES 215

LIST OF TABLES

Table 2. 1: Location of 16 dams within the subproject 14 Table. 2.2. Description of current status and maintenance within subproject 19 Table 2. 3: Locations of dumping sites, soil pits 32 Table 2. 4: Distance for material transportation 37 Table 2. 5: List of machinery and equipment for construction 38 Table 2. 6: Summary of construction material 38 Table 2. 7: Progress of implementing sub-project to repair and improve dam-safety in Yen Bai province 44 Table 2. 8: Summary of costs of works under the subproject 50 Table 3.1. Summary of environmental assessment procedures of WB & Government of Vietnam57 Table 4. 1: Location coordinates of projects under the subproject 63 Table 4.2. Ecosystem of 16 lakes area 71 Table 4. 3: Equipment name used in quick assessment of environmental status 73 Table 4.4. Transport and irrigation infrastructure of communes under the subproject 77 Table 4.5. Current status of power supply in the subproject area 81 Table 4.6. Current status of using fertilizers and pesticides 83 Table 4.7. Educational status of 14 sub-project communes 83 Table 4. 8: Summary of socio-economic situation in 14 communes in the subproject ár 84 Table 4. 9: Number of household members 91 Table 4. 10: Main occupation of workers (%) 93 Table 4. 11: Education level of household members 95 Table 4. 12: Health status and health care 96 Table 4. 13: Percentage of households using production water in project communes (%) 98 Table 4. 14: Proportion of housing types of surveyed households (unit:%) 99 Table 4. 15: Type of toilet of surveyed households (%) 99 Table 4. 16: Income groups (%) 101 Table 4. 17: Current situation of household loans (%) 103 Table 4. 18: Family loan purpose 104 Table 4. 19: Statistics of surveyed EM households 105 Table 4. 20: Household division of labor 106 Table 4. 21: Status of sensitive works 107 Table 5. 1: The criteria for classification of negative impacts 109 Table 5. 2: Summary of impacts of subproject land acquisition 112

Table 5.3: Summary of affected trees and crops of the subproject 115 Table 5. 4: Summary of volume of excavation, filling and transportation of materials 121 Table 5. 5: Volume of dust and emissions generated from land clearance and weathering ERROR! BOOKMARK NOT DEFINED. Table 5. 6: Concentration of dust in the process of leveling and loading soil 124 Table 5. 7: Concentration of gases due to leveling and loading 124 Table 5. 8: Dust concentration from transporting weathered soil 125 Table 5. 9: Emission load by transporting weathered soil 126 Table 5. 10. Gas concentrations due to transporting weathered soil 126 Table 5. 11: Volume of dust generated by excavation. embankment. transportation of internal materials during construction period 127 Table 5. 12. Concentration of dust during ground leveling and excavation 128 Table 5. 13: Concentration of gases by leveling and loading 128 Table 5. 14: Dust concentration from transporting soil and materials 128 Table 5. 15: Emission load by transporting soil and materials 129 Table 5. 16: Concentration of gases by transporting soil and materials 129 Table 5.17: The maximum noise level of some equipment and machinery 130 Table 5.18: The degree of vibration of some construction equipment 130 Table 5.19: Vibration value allowed at work 131 Table 5. 20: Concentration of pollutants in stormwater runoff 132 Table 5. 21: Potential impacts during the implementation process to sensitive works 134 Table 5. 22: Area irrigated before and after completion of the project 138 Table 6. 1: Summary of options for location of soil mines, disposal sites and routes for transporting materials and waste soil 142 Table 7. 1: Estimated compensation cost for affected items 147 Table 7.2. Environmental Codes of Practice (ECOP) for addressing construction impacts 150 Table 7.3: Mitigation measures for sensitive construction 178 Table 7.4:General mitigation measures for impacts during operation phase 183 Table 7.5: Roles and responsibilities of stakeholders 186 Table 7.6: Reporting requirements 192 Table 7. 7: Cost of training and capacity building 197 Table 7. 8: Environmental monitoring plan during construction phase 199 Table 7. 9: Estimating the cost of monitoring the surrounding environment quality 199 Table 7. 10: Estimated cost for monitoring the implementation of the ESMP and trainingERROR! BOOKMARK NOT DEFINED. Table 7.11:Funding for CESMP monitoring 201

Table 8. 1: Summary of Commune People's Committee consultation activities and directly impacted organizations 203 Table 8. 2: Summary of community consultation activities directly affected by the Project 205

LIST OF FIGURES

Figure. 2.1: Map of locations of reservoirs within the subproject 18 Figure 4. 1: Geographical location of the subproject 62 Figure 4.2. Plant diversity in the subproject implementation area 71 Figure 7.1: The Subproject Organization 185 Figure 7.2: The Subproject’s diagram for implementation of Environmental Safeguard Policy186

ABBREVIATIONS

BOD Biochemical Oxygen Demand CPMU Central Project Management Unit (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 ESMP Environmental and Social Management Plan ESMF Environmental and Social Management Framework ES Environmental Supervisor 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

EXECUTIVE SUMMARY 1. The "Yen Bai Province’s Dam Rehabilitation and Safety Improvement" subproject is one of the subprojects proposed to World Bank’s DRSIP. The subproject’s specific objectives are to (i) enhance flood protection capacity of reservoirs, and (ii) ensure the safety and stability of key works to protect downstream residents as well as their assets in accordance with the objectives of the national dam safety program. The Environmental and Social Impact Assessment (ESIA) is implemented for the subproject to comply with the World Bank Environmental Assessment Policy (OP / BP4.01) requirements and the Environmental Protection Law of Vietnam (LEP-2015) The subproject "Repair and improvement of dam safety (WB8) in Yen Bai province" will be invested and built by the World Bank's loans and a part of counterpart fund from the Government of Vietnam. The subproject will repair and renovate key works for 16 reservoirs located in 5 districts. After the construction is completed, the subproject will promote the task of supplying irrigation water for 970 hectares, the cultivated land area of communes in the subproject area, contributing to stabilize production for local people. The locations of subproject’s components are included in the table below. Volume Height Level of No Name 6 Location (m) (x10 works m3) Reservoir Tu Y Can commune, Tran Yen 1 44 0.907 III Do district Reservoir Khe Xuan Ai commune, Van Yen 2 78.1 0.158 III Vai district Reservoir Tang Muong Lai commune, Luc Yen 3 107 1.076 II An district Reservoir Khe Yen Phu commune, Van Yen 4 59.2 1.083 III Dua district Reservoir Muong Lai commune, Luc Yen 5 110.2 1.309 II Roong Den district Reservoir Goc Xuan Lai commune, Yen Binh 6 131 0.219 III Nhoi district Reservoir Khe Tich Coc commune, Yen Binh 7 141.1 0.364 III Hoai district Reservoir Khe Yen Hop commune, Van Yen 8 71.7 0.201 III Hop district Reservoir Hang Vu Linh commune, Yen Binh 9 50.8 0.25 III Luon district Reservoir Khe 10 63 0.394 II An Thinh commune, Van Yen Chinh Reservoir Lang Minh Xuan commune, Luc Yen 11 154.9 0.251 III At district 12 Reservoir Chop 65.6 0.88 III Cuong Thinh commune, Tran

Volume Height Level of No Name 6 Location (m) (x10 works m3) Du Yen district Reservoir Phu Phu Nham commune, Van Chan 13 280.8 0.20 II Nham district Reservoir Nong Nong truong Nghia Lo town, 14 truong Nghia 295.8 0.122 III Van Chan district Lo town Reservoir Khe Yen Phu commune, Van Yen 15 75.3 0.205 III Ngang district Reservoir thon Thuong Bang La commune, 16 147 0.20 IV 26 Van Chan district 2. The subproject items Soil dams: 16 main dams and 5 supporting dams with total length of 1,299m, homogeneous structure. Water-intake culvert: Specification D = 250 - 600. Culvert constructions from stone or concrete, underground structure with pressurized openings. Spillway: With the exception of Tu Do, Khe Hop, Khe Hoai, Hang Luon và Reservoir Khe Ngang which have soil-based structures, the other spillways are constructed from stone or concrete. 3. Present condition All reservoirs were built long time ago, from 1976 to 1990. For years of operation, earth dams have been seriously degraded, dams’ body and foundation was leaking; upstream roof slipped; many bushes and downstream slopes, much permeable to marsh; damaged sewer valve, valve struss, many leakages. Flood spillway has a narrow aperture, and was much eroded. The subproject does not ensure safety and flood drainage capacity. Some damaged locations on the dam body have been reinforced with concrete and plastic. Some parts of the dam crest have been peeled and subsided. The downstream dam has deteriorated. The dam face has not been reinforced, subsided, dropped along the dam body. Material paving upstream of the dam slope is deviated by waves. Upstream and downstream dams with slippery current and subsidence. Downstream slope is eroded by rainwater due to lack of drainage system. 4. Description of subproject activities: The proposed activities of the subproject include (i) Stabilizing dam crest (main and auxiliary dams) with concrete; widening the dam surface, upgrading the upper and downstream roof, hardening the dam face; Arrangement of downstream drainage ditches, and Installation of equipment to monitor permeability. The total length of upgraded dams is 1,299 m of 16 main dams and 5 auxiliary dams of 16 reservoirs; (ii) Repairing or constructing new intake culverts to ensure stable supply of irrigation water for downstream areas, particularly for water intake for Khe Vai, Roong Den, Khe Hoai, Khe Ho, hang luon, Khe Chinh and Chop Du. , Khe Ngang is preserved. In addition to the water intake of Don An reservoir and Tu Do lake, the valve house is repaired and the pipeline valve is replaced, in the remaining 6 lakes, all new culverts are built with the form of D300 circular sewer with reinforced concrete structure; (iii) New flood spillway construction, expansion of spillway surface, solidification of reinforced

concrete overflow routes (iv) Repair and upgrade 16 construction roads and management roads with a total length of 11.85 km; (v) New construction of 16 reservoirs. The number of workers mobilized to the maximum during peak hours at all construction sites is 1,714 people; The maximum equipment and machinery used in the construction is 178 units, including bulldozers, excavators, mixers, concrete compactors, generators and water pumps ... The subproject is designed and follows the dam safety policy (OP / BP 4.37) of the World Bank and Vietnam's national standards. 5. Prepare a report on environmental and social impact assessment. The subproject is designed and implemented in accordance with the DRSIP project's Environmental and Social Management Framework (ESMF) approved by the WB, while ensuring compliance with the current provisions of Vietnamese law. The purpose of the Environmental and Social Impact Assessment Report is to determine the importance of environmental and social issues in the decision-making process by clearly assessing the environmental and social consequences of proposed study before the implementation of subproject activities. Early identification and characterization of the positive and negative environmental and social impacts that enable the community and government to assess the environmental and social impacts of the subproject propose conditions that need to be applied to mitigate or mitigate risks to those impacts. Activities in the preparation, construction and operation of the subproject are analyzed, evaluated and given solutions to prevent and minimize the level of impacts on the environment and living of the residents. direction. Based on the environmental and social screening implemented, sub-projects of category B are environmental and social according to the World Bank's classification system. Under the OP / BP policy 4.37 (safety of dams), the subproject includes both large and small dams so that the subproject will be prepared with Dam Safety Report (dam safety report). Environmental and Social Safeguards reports such as Resettlement Action Plan, Social Impact Assessment, Environmental Impact Assessment, and Environmental and Social Impact Assessment were also prepared. The subproject is not located within or adjacent to any sensitive areas, important natural habitats, or important cultural and historical areas. According to environmental and social screening results, the subproject is classified as Category B and triggers the following safeguard policies: Environmental Assessment (OP / BP 4.01), Pest Management (OP 4.09), Involuntary Resettlement (OP / BP 4.12), Indigenous Peoples (OP / BP 4.10) and Safety of Dams (OP / BP 4.37). 6. Potential Environmental and Social impacts and mitigation measures Positive impacts: In general, the subproject will bring significant long-term benefits to the community, especially a stable supply of irrigation water for growing areas. The safety of dams and reservoirs will be improved due to the restoration of dams and spillways and the safety of downstream residents. The management of the dam will be more convenient because the management routes will be upgraded. Negative impact: Preparation phase: Loss of land and crops - Implementation of the subproject will directly affect 86,486 m2 of 38 households and 14 commune / ward People's Committees, of which: (i) Area Affected agricultural land area is: 460 m2; (ii) Affected public land area: 18,444 m2 belongs to the land of 6 commune People's Committees, including mainly production forest land, land in the dam protection corridor and (iii) Production forest land area Affected area: 67,582 m2. In addition, in the process of implementing the construction items of the subproject, it will temporarily affect the trees of 9 farming households on public land managed by the People's Committees of communes. There will be 9,980 acacia trees in total; 50 eucalyptus trees, 730 bamboo trees, 3,245 Cinnamon trees, 170 fruit trees, and about 3,220 m2 of tea trees are affected by the project.

Construction phase: General impact due to construction activities related to generation of dust, noise, vibration, waste and wastewater, increased traffic flow and social impacts due to concentrated and impacted labor In relation to incidents, accidents can affect the health of local people and the environment. In addition, the specific impacts of the area are interruptions in irrigation water supply due to lower water levels in reservoirs for construction (low and remedial levels), dust and noise affecting households and families living next to roads. The subproject is not expected to cause significant adverse impacts on the environment and residential communities where construction works. Negative impacts are expected to be low to moderate. Operation phase: Negative impacts during the operation phase of the subproject will be long- term impacts such as the risk of emergency flood discharge during the flood season without informing the people in time to affect the area. downstream; interruption of irrigation water supply due to lower water level for repair and maintenance (low level). Environmental pollution due to production development - the area of agricultural production will increase by 109 hectares of winter-spring rice crop (up from 660 hectares to 769 hectares) and increase 120 hectares of summer-autumn rice (increasing from 612 hectares to 732 hectares). When the irrigated area is expanded, the amount of agrochemicals will increase and increase the risk of soil and water pollution in the area. Integrated pest management will be prepared to provide mitigation tools for this impact. 7. Mitigation measures: Pre-construction phase and construction phase: Land acquisition will be minimized through implementation of the resettlement action plan (RAP). The total estimated cost of compensation for the items affected by the project is VND 1,516,820,000 (equivalent to USD 65,949). Construction-related impacts will be minimized through the application of mitigation measures proposed in the ECOP, ESMP and site-specific mitigation measures. Operation phase: The Emergency Preparation Plan (EPP) will be prepared to prevent the risk of emergency flooding. The monitoring should be carried out regularly by the management unit to ensure that the damage will be corrected in a timely manner. Integrated pest management will be prepared to provide impact mitigation tools related to increased pesticide use. 8. Institutional arrangements CPMU recruits and hires an independent monitoring consultant, advises and assists the project in carrying out independent monitoring and regular support on project activities. This unit will assess safety policy compliance and implementation of safety policy tools in actual construction. In particular, there is an Environmental Management Plan / Practical Environmental Code (ECOP), Resettlement Policy Framework / Resettlement Action Plan, Ethnic Minority Development Plan and Gender Action Plan. For the subproject, PPMU is responsible for implementing and monitoring the implementation of the Environmental and Social Management Plan, ensuring bidding documents and contracts including contractor's environmental agreements on compliance. . The contractor will implement construction activities and comply with the agreed environmental agreements in the contract. The contractor's environmental and social management plan (CESMP) is reviewed and approved by PPMU and sent to relevant units and disclosed to the community in accordance with Vietnamese law prior to commencement of construction. Early construction. The PMU and the consultant will monitor compliance with the agreed mitigation measures with the contractor. In addition, the contractor's compliance will be closely monitored by the Department of Natural Resources and Environment of Yen Bai Province, local authorities and people.

9. Capacity building During the implementation process, PPMU receives support from CPMU on implementing the World Bank's safeguard policy. PPMU staff has been trained by CPMU in collaboration with World Bank experts on guidance on the project's safeguard policy issues, including OP 4.01 (Environmental Assessment), General Guidelines Environment, Health and Safety (EHS) of IFC, OP 4.04 (Natural Habitats), OP 4.10 (Indigenous Peoples) and OP4.12 (Involuntary Resettlement) ... During implementation, training and training on environmental safeguard policies for Construction Supervision Consultant (CSC) and contractor EHS staff are carried out regularly to update them on new safeguad policy requirements and relevant information. For PPMU, during the implementation of the subproject, the subproject will receive the regular support from CPMU's independent consultancy and technical assistance on the management of dam safety risk issues and supervision of implementation of the ESMP. 10. Estimated cost of ESMP implementation The total cost of implementing social and environmental management plans is VND 884,046,000. 11. Grievance redress mechanism (GRM) Complaints related to the subproject will be resolved by negotiating with the people. Complaints will be negotiated by the parties at all three stages (Commune, District and Provincial People's Committees) before being submitted to the court in accordance with the 2011 Complaints Law. PPMU will pay the full cost of administration for legal issues regarding the reception of complaints because this cost is included in the subproject budget. 12. Community consultation The consultant and the project owner organized two community consultations, the first was conducted on November 13-30, 2017 at the office of the commune People's Committee in the project area. Participants include representatives of local authorities and mass organizations, representatives of affected households in the subproject area to share information on the subproject and its environmental and social impacts. The total number of participants is 603, of which women are 19.5%. The second time, the consultation meetings on mitigation measures have been implemented from December 20 to 31, 2017 at the offices of the People's Committees of communes with a total of 201 participants (31.8% of female participants). Participants are the commune People's Committee, village branch secretary, head / deputy head of village, Women's Union, Veterans' Association, Farmer's Association; The Fatherland Front Committee, the project management unit and the affected households benefit from the subproject activities. Consultation meetings were held to seek consensus on the implementation of the subproject, and to identify the scope and the affected people, to inform about the negative impacts of the subproject on Environmental and social mitigation measures. The local community supports the proposed sub-project (with 100% delegates). The project owner is also committed to complying with local regulations, implementing necessary measures and monitoring the implementation of mitigation measures to ensure that potential environmental and social impacts are reduced. 13. Information disclosure In compliance with OP / BP 4.01 and WB's policy on access to information, at the preparation phase of the subproject, the subproject owner sent a description of the subproject, objectives and potential environmental and social impacts and measures corresponding mitigation measures through mass media to the local authorities and communities. PPMU conducted dissemination and direct public consultations in November 2017. The draft Environmental and Social Impact Assessment Report in Vietnamese language was sent to CPCs for

information dissemination and consultation in December 2017. The final ESIA report will be published on the project website and at the subproject implementation sites in Vietnamese accessible to locally-affected people and local NGOs. The English version will be published on the WB external website before subproject appraisal.

CHAPTER I. OVERVIEW

1.1 General information The project is designed based on a framework approach to help strengthen the Government's system of dam safety with a flexible, transparent and favorable mechanism. The number of dams funded by the project is not fixed, but the initial list of 450 dams has been prioritized based on the risk assessment using the risk index developed during project preparation and cumulative costs. Expected design in the source range available. The project will allow the Government to have additional financial resources to expand the current program to repair and upgrade 50 dams a year. While not evenly distributed between 34 provinces, 450 dams are repaired over a 6-year period, which means an average of 75 dams per year, or about two dams per province each year during implementation. The project offers the optimal combination of structural and non-structural measures designed to enhance dam safety. Structural measures include repairing buildings and upgrading safety structures of existing dams and ancillary facilities, including measuring equipment and related dam safety planning tools. Building repair accounts for the majority of IDA funding (> 80%). Non-structural interventions have been proposed to support a wide range of institutional and legal measures, as well as pilot specific basin-level measures. These basin-level measures aim to improve data collection facilities, inter-agency information management and coordination of lake and dam operations in basin management. The project will also help improve institutional coordination mechanisms as an integral part of these measures to improve dam safety in terms of operation and support the regulatory environment and tool documents to guide develop and manage irrigation infrastructure later. The project is expected to include 03 main components. Component 1: Dam safety rehabilitation This component is managed by the Ministry of Agriculture and Rural Development and the provinces with the aim of improving the safety of irrigation dams through rehabilitation activities. The project uses two different methods to restore small dams managed by communities and large dams. The difference between the two methods relates to the type of work, the relevant legal framework, institution, implementation organization, sustainable operation and maintenance. Activities of this component include: (i) detailed technical design, safety policies, quality monitoring and control of rehabilitation and compliance with safety policies for priority dams fairy and related works; (ii) renovation of buildings, including construction works, hydro-mechanical engineering, installation of hydrological equipment and safety monitoring systems; (iii) develop operation and maintenance plans, and emergency response plans; and (iv) assess flood discharge capacity of large dams to ensure flood discharge capacity. Funding for this component will be used for construction, consulting services, goods, non-consulting services. The project uses a screening framework to propose a list of dams in order of investment priority. The list of dams under this Component will be updated, reviewed and evaluated annually. MARD will select dams under the subproject priority investments according to the screening framework applied to dams under the dam safety program. Dams will be prioritized for investment selection based on both technical and economic criteria. Therefore, each subproject, in addition to assessing the risk criteria, needs to prepare carefully the economic analysis when preparing the Feasibility Study Report.

Component 2: Dam safety management and planning This component will be implemented at the Ministry of Agriculture and Rural Development, the Ministry of Industry and Trade and the Ministry of Natural Resources and Environment with the aim of improving the planning framework and operating safety management dams to protect communities and socio-economic infrastructure in downstream. The three subcomponents that support each other with all three sets include: (i) strategic technical and research services; (ii) improve institutions, laws and regulations; and (iii) capacity building and expertise. Funding for this component will be used for consulting services, work and goods, equipment and non-consulting services. Activities at the Ministry of Industry and Trade include: (i) building reservoir database and tools to support management and safety monitoring of hydroelectric dams; (ii) develop guidelines for hydropower dam safety assessment methods and pilot evaluation for a number of typical dams with internationally accepted safety criteria; (iii) develop standards and technical regulations for hydroelectric dams; (iv) provide technical assistance for project activities carried out by MoIT; and, (v) improve supervision capacity of MoIT's safety management agency. Activities at the Ministry of Natural Resources and Environment include: (i) installation and restoration of hydrometeorological stations of Vu Gia - Thu Bon and Ca river basins; (ii) provision of equipment for inter-reservoir operation, and early forecast and warning of natural disasters for Vu Gia - Thu Bon and Ca river basins; (iii) develop an information database to monitor dam operation; and, (iv) provide technical assistance to support project activities carried out by MoNRE; and, (v) capacity building of MoNRE in monitoring the implementation of inter-reservoir operation coordination. Activities at the Ministry of Agriculture and Rural Development include: (i) supporting the construction of an irrigation reservoir database; (ii) developing legal, institutional and financial models for sustainable dam safety management; (iii) develop manuals for repair and maintenance for small dams; (iv) building a small dam safety management model with community participation appropriate to each region in the country; (v) providing technical assistance to project activities carried out by MARD; (vi) training, capacity building, information dissemination and awareness of dam safety activities; (vii) Formulate, amend and supplement standards, regulations and norms for repairing and upgrading irrigation dams; and, (viii) monitor and evaluate, and improve monitoring capacity in MARD. Component 3: Project management support This component will provide the necessary environment to support project implementation. This component will include support for: (i) Senior Steering Committee (HLWG) including MARD, Ministry of Industry and Trade and MONRE, together with relevant government agencies, to coordinate and monitor all project interventions; (ii) Project Management Unit (PMU) under MARD, MONRE and Ministry of Industry and Trade and Provinces to provide necessary support services to implement the project timely and effectively, including monitoring and evaluation. price, bidding, financial management, safety policy monitoring, etc .; (iii) Project implementation consultant (PIC) supports Technical and Quality Assurance; (iv) Consultation on implementing social and environmental support projects; (v) an international dam safety consultant team (POE); (vi) establishing and operating a domestic dam safety assessment team (NDSRP); (vii) Provide technical assistance to beneficiary departments / departments under MARD, Ministry of Industry and Trade and Ministry of Natural Resources and Environment to provide necessary support services for timely and effective implementation of the project; and (viii) Independent monitoring consultant, or Third-party Supervisor for quality control and supervision. The finance of this component will

be used for consulting services, goods, equipment and non-consulting services; and increased operating costs related to project implementation, management and monitoring. 1.2 Information about the Yen Bai Province Subproject The subproject of repair and improvement of dam safety in Yen Bai province is one of the phase 2 subprojects of DRSIP financed by the World Bank . The six-year DRSIP project aims to support the National Dam Safety Program. Reservoirs belonging to the subproject "Repairing and improving dam safety in Yen Bai province" are of 450 reservoirs which will be built from WB loans and a part of the counterpart fund of the Government of Vietnam. Environmental and social impact assessment (ESIA) is requetsed by the World Bank for the subproject approval. Sixteen (16) reservoirs need to be repaired and upgraded to improve dam safety in the subproject: Tu Do reservoir in Y Can commune, Chop Lake in Cuong Thinh commune (Tran Yen district); Khe Vai lake, Xuan Ai commune, Khe Dua lake, Yen Phu commune, Khe Chinh lake, An Thinh commune, Khe Hop and Khe Ngang lakes, Yen Hop commune (Van Yen district); Lang Ai Lake, Minh Xuan commune, Roong Den lake, Don An lake, Muong Lai commune (Luc Yen district); Khe Hoai lake, Tich Coc commune, Goc Nhoi lake, Xuan Lai commune, Hang Luon lake, Vu Linh commune (Yen Binh district); Phu Nham lake, Phu Nham commune, Nong Lo lake, Nghia Lo town, Nghia Lo market, 26 hamlet Thuong Bang La commune (Van Chan district). ESIA has been prepared in accordance with the World Bank policy requirements and the current Vietnam’s Law of Environmental Protection (LEP). 1.3 Objectives and methods of environmental assessment Objectives: - General objective is to carry out environmental and social assessment of a specific subproject, including the preparation of necessary tools for improving dam safety to meet the requirements of the Government of Vietnam and the World Bank. - The specific objectives of ESIA include: (i) Assessing the environmental and social impacts of the rehabilitation headworks of 16 reservoirs under the subproject; (ii) Developing an environmental and social management plan (ESMP) including appropriate monitoring and reporting regime; (iii) establishing communication channels that allow local communities to participate in decision making. Scope of environmental impact assessment: The area affected by the subproject includes 2 areas: (i) Areas for construction and repair of construction items of each reservoir such as dams, spillways, culverts, construction roads, material mines, material gathering areas, machinery, landfills, zones temporary and permanent wastewater treatment area, worker camp, including the boundary affected by the water level of the reservoir, downstream canal ... (ii) Beneficial areas and / or affected by the subproject, including Y Can and Cuong Thinh communes (Tran Yen district); Xuan Ai, Yen Phu, An Thinh and Yen Hop communes (Van Yen district); Minh Xuan and Muong Lai communes (Luc Yen district); Tich Coc, Xuan Lai and Vu Linh communes (Yen Binh district); Phu Nham commune, Nghia Lo farm town, Thuong Bang La commune (Van Chan district). The assessments include activities throughout the entire cycle of the subproject: site clearance (land acquisition); practical construction stages and operation stages. The basic characteristics

of the environment include: soil, air, water and social environment. The following objects are reviewed and evaluated: - Natural environment (water resources, hydrology, air / water / soil pollution, erosion and sedimentation, drainage, safety for stakeholders and existing infrastructure, taking into account the Basic conditions such as climate, geography, topography, air quality), - History, culture and archeology; - Biological environment such as flora and fauna, natural habitat, aquatic life, etc. - Social environment: health care, employment and income, gender, safety and social stability, access to basic services such as water and energy supply, medicine health and education, etc. The basic characteristics have included current safety risks of the dam as well as past incidents related to safety and disaster content. Approach: The ESIA report is prepared for proposed rehabilitation works that were prepared based on the dam safety assessment carried out as part of DRSIP project preparation, dam safety report and Feasibility study report in identifying activities as the source of impact. Major construction items in the area of proposed dams have been implemented with environmental and social screening to identify items that are not eligible under the World Bank's safeguard policy as well as to determine scope of ESIA and other required tools. The ESIA report also uses existing environmental and social regulations to determine the importance of impacts and in determining mitigation / compliance measures. The GoV environmental criteria / standards have provided reference levels for environmental quality indicators. Use available methods when possible to quantify environmental and social impacts. Methodology: Data and information were collected through the combination of secondary research and field surveys, including field surveys, collection and analysis of environmental samples. - Field survey: Conducted 2 field surveys: Phase 1 from 11/11 to 11/20/2017 and Phase 2 from 12/20 by 12/31/2017. - Sociological investigation: Conduct in-depth interviews with 100% of households (38 households) directly and indirectly affected; 679 households are located in the beneficiary area in the area of 14 communes in the subproject area. In addition, in-depth interviews with representatives of local authorities of 14 communes under the subproject together with the participation of representatives of mass organizations such as: Women's Union, Youth Union, Farmer's Association and Fatherland Front, representatives of the Investor and the Technical Design Consultant unit to understand issues of local, household, difficulties they are facing and recommendations for the subproject. - Statistical analysis: Collect, process and analyze: (i) meteorological, hydrological and environmental data for many years in the project area; (ii) Socio-economic and gender reports and data for 3 consecutive years of Y Can and Cuong Thinh communes (Tran Yen district); Xuan Ai, Yen Phu, An Thinh and Yen Hop communes (Van Yen district); Minh Xuan and Muong Lai communes (Luc Yen district); Tich Coc, Xuan Lai and Vu Linh communes (Yen Binh district); Phu Nham commune, Nghia Lo farm town, Thuong Bang La commune (Van Chan district). - Reference method: Refer to the research results of related projects.

- Expert method: the consulting unit participated and organized meetings and meetings to consult on proposing measures to minimize negative impacts of the sub-projects of the environmental experts, sociology experts, dam safety experts, gender experts. - Methods of synthesizing and analyzing report construction: Analyzing and synthesizing the project's impacts on components of the natural and socio-economic environment of the project implementation area. - Rapid assessment method: Using pollution factors of the World Health Organization (WHO) to estimate waste and forecast pollution. - Comparison method: Evaluate impacts by comparing with standards, standards on soil, water, noise, air quality and other relevant environmental standards. - Matrix method: Compare each project activity with each parameter or environmental and social components (air, water, health, economy, ...) to evaluate the cause relationship - consequences of the implementation of the subproject. During the implementation of ESIA, it is necessary to conduct consultations with the community and stakeholders. The consultations provided additional content that will be addressed in ESIA. Results of consultations are presented in Appendix 3. 1.4 Investor and funding Subproject title “Rehabilitation and Safety Improvement Project (WB8) of Yen Bai Province” - Subproject owner Owner: People's Committee of Yen Bai province Representative agency of investment: PMU of construction investment in agricultural and rural development projects in Yen Bai province Contact: Mr. Hoang Viet Hoa Title: Director Address: Group 33, Tran Quoc Toan Street, Dong Tam Ward, Yen Bai City, Yen Bai Province. Phone: 0216.3858.105 Fax: 0216.3858.105 - Total funding Total cost for implementing the sub-project: VND 292,880,019,000 (Two hundred and ninety-two billion, eight hundred and eighty million, nineteen thousand Vietnamese dongs). 1.5 Consulting agency Name of the organization: Institute of Water, Irrigation and Environment Agency representative: Mr. Ha Van Thai Title: Deputy Director Contact address: No. 2, Lane 165, Chua Boc, Dong Da, Hanoi Phone: 84-43563.4809 Fax: 84-43563.4809 List of key participants in the process of research and development of environmental and social impact assessment reports.

No Name Qualification Position

1 Vu Quoc Chinh Master Leader (Environmental)

No Name Qualification Position

2 Pham Ngoc Luu Master Deputy Leader (Social Affairs) 3 Phi Thi Hang Master Environmental 4 Nguyen Quang Vinh Master Resettlement 5 Nguyen Phương Ha Master Resettlement 6 Bui Thi Ban Mai Master Ethinic Minorities 7 Vu Kim Dung Engineer Community Development 8 Ngo Thi Phương Nhung Master Community Development 9 Đang Thị Ha Giang Master Gender Nguyen Thi Huong 10 Master Gender Giang 11 Le Van Cu Master Ecology 12 Nguyen Đuc Phong Master Hydrology Nguyen Thi Thanh 13 Master Social Affairs, Resettlement Thuy 14 Ngo Xuan Nam PhD Ecology 15 Vu The Hai PhD Environmental, Social Affairs 16 Pham Quang Vu Master Community Development

CHAPTER II. SUBPROJECT DESCRIPTION

2.1 Objectives - Ensuring safety of reservoirs and key works. - Improving the efficiency of using existing irrigation works to serve intensive farming, increase productivity and product quality; to develop areas of high-yield plants with high economic values. Maximizing the potential of agricultural land in the region. - Minimizing water loss. Ensuring to serve the needs of local people for water use and industrial development, promoting socio-economic development of the project area in particular and Yen Bai province in general. - Creating natural landscapes, improve ecological environment, promote tourism development in the region. 2.2 Geographical location a) Subproject name: Rehabilitation and Safety Improvement Project (WB8) of Yen Bai Province Repairing and renovating key works of 16 reservoirs in Yen Bai province at the following locations: Table 2. 1:Location of 16 dams within the subproject Construction Height Capacity level No. Name Location (m) (x106 m3) according to elevation Reservoir Tu Y Can commune, Tran Yen 1 44 0.907 III Do district Reservoir Khe Xuan Ai commune, Van 2 78.1 0.158 III Vai Yen district Reservoir Muong Lai commune, Luc 3 107 1.076 II Tang An Yen district Reservoir Khe Yen Phu commune, Van 4 59.2 1.083 III Dua Yen district Reservoir Muong Lai commune, Luc 5 110.2 1.309 II Roong Den Yen district Reservoir Goc Xuan Lai commune, Yen 6 131 0.219 III Nhoi Binh district Reservoir Khe Tich Coc commune, Yen 7 141.1 0.364 III Hoai Binh district Reservoir Khe Yen Hop commune, Van 8 71.7 0.201 III Hop Yen district Reservoir Vu Linh commune, Yen 9 50.8 0.25 III Hang Luon Binh district

Construction Height Capacity level No. Name Location (m) (x106 m3) according to elevation Reservoir Khe An Thinh commune, Van 10 63 0.394 II Chinh Yen Reservoir Minh Xuan commune, Luc 11 154.9 0.251 III Lang At Yen district Reservoir Cuong Thinh commune, 12 65.6 0.88 III Chop Du Tran Yen district Reservoir Phu Phu Nham commune, Van 13 280.8 0.20 II Nham Chan district Reservoir Nong truong Nghia Lo Nong truong 14 295.8 0.122 III town town, Van Chan Nghia Lo district town Reservoir Khe Yen Phu commune, Van 15 75.3 0.205 III Ngang Yen district Reservoir Thuong Bang La commune, 16 147 0.20 IV thon 26 Van Chan district (Source: Main Report - Feasibility Study Project) 1) Tu Do Reservoir Tu Do reservoir in Y Can commune, Tran Yen district was built in 1977. Reservoir volume is 0.907 million m3. The basin area is 2.56 km2, which is responsible for irrigating 80.2 ha of agricultural land and the task of flood control for downstream areas. Around the lake area are mainly planted forests, without production and business facilities and cultural and historical relics. At the main dam and sub-dams, there are 03 households with production forest land temporarily affected during construction; In addition, about 3,250 m2 of public land is managed by the Commune People's Committee at the downstream of the dam. 2) Khe Vai Khe Vai Reservoir was built in 1980 and repaired sewer under the dam in 1999, located in Xuan Ai commune, Van Yen district. Reservoir has a capacity of 1.58 million m3 and a basin area of 3.41km2. Reservoir is responsible for irrigating 60 hectares of agricultural land of Tan Tien 1, Tan Tien 2, Xuan Thinh, Xuan Hung, Industry, Livestock, Yen Vien and Bong Buoi communes in Xuan Ai commune, Van Yen district. Surrounding Reservoir are mainly acacia and cinnamon plantations. When executing the widening of the spillage section of Reservoiri, about 600m2 of planted forest land is permanently acquired by 2 households currently growing cinnamon. 3) Tang An Tang An Reservoir is located in the village 14 of Muong Lai commune, Luc Yen district. Reservoir was built in 2000 as a level II building, and in 2007 repaired the sewer. Reservoir with a capacity of 1,076 million m3 is responsible for irrigating about 129.5ha of agricultural

land of Muong Lai commune, Luc Yen district. The upper part of the Reservoir is a natural forest area, downstream is a residential and residential area about 100m away from the dam. 4) Khe Dua Khe Dua Reservoir belongs to Yen Phu commune, Van Yen district. Reservoir has a capacity of 1,083 million m3, a basin area of 4.52 km2, built in 1980, and upgraded in 1999, Reservoir is mainly built to contain surface water and a small amount of water in the basin. Reservoir is responsible for irrigating about 55ha of agricultural land in 9 villages of Yen Phu commune. Currently Reservoir's irrigation capacity is lower than the design capacity, making it difficult to source water for the people. Upstream of the Reservoir is a production forest, downstream is a land for rice and maize. 5) Roong Den Roong Den Reservoir is located in Roong Den village, Muong Lai commune, Luc Yen district. Reservoir was built in 2000 and upgraded with a sewer drain in 2012 with a capacity of 1.309 million m3, a height of 109.7 m dam, a length of 250m is a level II project. Reservoir provides irrigation water for about 90ha of agricultural land, Muong Lai commune. Upstream Reservoir is mainly planted forest, Reservoir downstream is agricultural land. The nearest households live 50m away from the dam. 6) Goc Nhoi Goc Nhoi Reservoir was built in 1993, located in Xuan Lai commune, Yen Binh district. Reservoir has a capacity of 0.219 million m3, providing irrigation water for 11 hectares of agricultural land of Xuan Lai commune, Yen Binh district. Around the Reservoir is mainly planted forest, the nearest residential area is about 200m away from Reservoir. 7) Khe Hoai Khe Hoai Reservoir in the area of Tich Coc commune was built in 2005 and in 2006 repaired by a spill wall. As a level III, Reservoir with a capacity of 0.364 million m3, a 13.9 m high dam, 71 m long. The task is to irrigate 25 ha of agricultural land of Tich Coc commune. Surrounding Reservoir are eucalyptus and acacia plantations. The nearest residential area is about 200m from Reservoir. 8) Khe Hop Khe Hop Reservoir in Yen Hop commune, Van Yen district was built in 1966. It is a level III and Reservoir project with a capacity of 0.201 million m3, a dam height of 13.9m and a length of 78.9m. Reservoir is responsible for irrigating 16 ha of agricultural land of 3 villages of Quang Mang, Khe Hop, and Yen Hop commune. Surrounding Reservoir is planted forest land, the nearest residential area is about 100m from the dam. 9) Hang Luon Hang Luon Reservoir belonging to Vu Linh commune area was built in 1973, in 1986, it had to be broken, and in 2005 repaired and upgraded. As a level III project with a capacity of 0.25 million m3, a high dam of 12.1m long and 80m long. The task of irrigating 58.9 hectares of agricultural land of 2 villages of Ba Luon and Dong Hen Vu Linh communes, Yen Binh district.

Surrounding Reservoir area is planted forest land of households in Ba Luon Vu Linh commune. The nearest residential area is 300m from Reservoir. .

10) Khe Chinh Khe Chinh reservoir is located in An Thinh commune, Van Yen district, is a level II project. The reservoir has a capacity of 0.394 million m3, was built in 1960 and repaired the intake sewer in 1994, repaired the flood discharge spill in 2010. Ho provides irrigation water for 14ha agricultural land in Dai An, Cua Chao and Cua Ngoi of An Thinh commune.

Around the lake are mainly production forest, main dam with height of 19.4m, length of 56m. The nearest residential area is about 500m away from the main dam. In the sub-dam, there are a number of households around the lake, living in the downstream of the dam

. Surrounding Reservoir area is planted forest land of households in Ba Luon village, Vu Linh commune. The nearest residential area is 300m from Reservoir. 11) Lang At Lang At reservoir is located in Minh Xuan commune, Luc Yen district. Reservoir was built in 1990 and upgraded in 1997 due to spillage. Reservoir with capacity of 0.251 million m3. Reservoir provides irrigation water for about 80.12 hectares of agricultural land of Minh Xuan commune. In addition, Reservoir is also responsible for providing water for about 2,011 households in Yen The town and a part of Lieu Do commune. 12) Chop Du Chop Du Reservoir is located in the area of Cuong Thinh commune, Tran Yen district. Reservoir was built in 1979 and repaired and upgraded the intake gate in 2014. Reservoir with capacity of 0.88 million m3 (level III works) provides water for irrigating 42.88 ha of agricultural land in 5 villages of Cuong Thinh commune. 13) Phu Nham Phu Nham Reservoir is located in the commune of Phu Nham commune, Van Chan district. The Reservoir was built in 1979 and has a capacity of 0.20 million m3 (level II works). The Reservoir provides irrigation water for 16 ha of agricultural land in 3 villages of Phu Nham commune. 14) Nghia Lo Nghia Lo reservoir is located in Nghia Lo Farm Town. The Reservoir was built in 1980, with a capacity of 0.122 million m3 (level III works). The Reservoir provides irrigation water for 63 hectares of agricultural land in Phu Nham commune. Surrounding Reservoir is agricultural land of households in the town of Nghia Lo Farm. The nearest residential area is about 70m away. 15) Khe Ngang Khe Ngang Reservoir is located in Yen Hoa village, Yen Hop commune, Van Yen district,

Reservoir built in 1980, has a capacity of 0.205 million m3 (level III works). Reservoir provides irrigation water for 12 hectares of agricultural land in Yen Hop commune. Surrounding Reservoir is agricultural land of households in Yen Hop commune, the nearest residential area is about 50m away. 16) Village 26 Village 26 Reservoir is located in Thuong Bang La commune, Van Chan district. The Reservoir was built in 1970 with a capacity of 0.20 million m3 (level IV works). The Reservoir provides irrigation water for 16 hectares of agricultural land in Thuong Bang La commune. Surrounding Reservoir is agricultural land of households in Thuong Bang La commune, the nearest residential area is about 20m away.

Roong Đen Tang An

Lang At

Khe Hoai

Khe Chinh Gốc Nhội Khe Ngang

Khe Hop Khe Dua Hang Luon Khe Vải

Chop Du Tu Do Phu Nham

NT NL

Thon 26

Fig. 2.1: Map of locations of reservoirs of the subproject 2.3 Subproject scope 2.3.1 Description of current status and maintenance of subproject’s works

Table. 2.2. Description of current status and maintenance within subproject

Location Current status Construction items 1) Tu Do a) Earth dam: a) Earth dam: Reservoir (Y + The current dam is a homogeneous earth - Apply the structure of the upstream and Can , Tran Yen) dam, consisting of one main dam and four downstream dams (main dam No. 01) and 4 auxiliary dams, the main dam length is auxiliary dams (auxiliary dams 02, 03, 04, 05) 239.60m, length of 4 auxiliary dams is according to the design section, dam surface of 310.20m (L2 = 49.40, L3 = 22.40 , L4 = 5.0m wide, roof coefficient upstream m = 2.0 ÷ 82.20, L5 = 156.2). 3.0, coefficient of downstream slope m = 2.0 ÷ 2.75, length of main dam Lc = 239.60m, length of + The existing earth dam crest is not 04 auxiliary dams Lp = 310.20m; reinforced, width of 4.0 m - Reinforce upstream slope of dam with 200 # + Dam slope: Not yet reinforced to protect concrete sheet and paving stones in reinforced the downstream roof, there is no concrete frame 200 #; reinforce the 250-inch downstream drainage, there is a concrete dam surface with 20cm; making wave phenomenon of seeping downstream roof. walls with reinforced concrete M200 with height b) Flooding: of 0.8m; + Location: On the right bank - Renovate the drainage system of the dam body in + Status: Natural land spill the form of drainage piles in combination with roofs, make drainage ditches of the dam slope and + Wide calves overflowing 5m, height of plant grass to protect the downstream roof; overflow threshold 41.7m. installation of monitoring and permeability + After the overflow is a slope of water, no monitoring system. energy dissipation. - Drilling of waterproofing foundation of auxiliary Do là tràn đất nên sau mỗi mùa lũ lại bị xói dam foundation No. 03 with cement mortar. mòn và mở rộng làm đất hai bên đồi sạt lở, b) Flooding: gây nguy hiểm cho đập nếu bị sạt trượt lấp cửa tràn. - New spillway construction at the current spillway position: Spill overflow width = 7.0m, reinforced c) Water-intake culvert: concrete structure 250 #; free spill form, followed + Location: Culvert is located at auxiliary by a slope of water. dam No. 3. - Overflow bridge: 8.2m long, 5.0m wide, + Structure: Steel pipe Size D400. reinforced concrete structure 300 #. + Flow mode: with pressure, Collapsible c) Water-intake culvert: mode: Downstream valve Repair local damage at the exit door and + The valve houseis old and degraded downstream valve tower, adding reserve valve. d) Managementroad: d) Managementroad: The entire management route into the Upgrade operation management road L = 1,355m, dams and spillways has not yet been structure of concrete road 250 #, road surface width hardened, all of the roads, slopes, and 3.0m; roadside on each side 0.5m. slopes cause great difficulties for the management and rescue work. The road is 1355m long.

2) Khe Vai a) Earth dam: a) Earth dam: Reservoir - The current dam is a homogeneous earth - High tonnage, embankment of upstream dam (Xuan Ai, Van dam, the dam crest has not been structure according to design cross section, dam Yen) reinforced, the width is 3.5 m, the surface width 5.0m, upstream slope coefficient m downstream slope has not been reinforced, = 3.0, coefficient of downstream slope m = 2.5, there is no downstream drainage and there length of dam; is a phenomenon of seeping into the - Reinforce upstream slope of dam with 200 # downstream roof; concrete sheet and paving stones frame 200 #; b) Flooding: reinforce concrete wall of concrete 250 #, 0.7m high. Current flood overflow route is still a soil spillway (existing overflow threshold - Renovate the drainage system of the dam body in elevation + 76.2m, 10m width, wide spill the form of drainage piles in combination with overflow, after a spillway is a slope and roofs, make drainage ditches of the dam slope and channel). When the flood spill, the traffic plant grass to protect the downstream roof; is divided. installation of monitoring and permeability monitoring system. c) Water-intake culvert: b) Flooding: - For the culvert location: The left bank of the dam - Build new flooding at the current spill position (on the left shoulder of earth dam): Spill overflow - Structure: steel pipe covered with width = 14m, reinforced concrete structure 250 #; concrete free spill form, followed by a slope of water. - Size: Ø600 - Overflow bridge: 16.2 m long, 5.0m wide, - Flow mode: Pressure flow reinforced concrete structure 300 #. - Collapsible form: Flat and closed valve c) Water-intake culvert: by hand. Keep the upstream valve intact, make new - The drain is leaking at the flat valve downstream valve houses, operate by manual position and causing noise when draining valves by connecting with the current pipeline. water d) Management road: d) Management road: Upgrade management road with L = 1.510m long, The road from the center of Xuan Ai width B = 3.5m + 2 x 0.75m = 5.0m, concrete road commune through the inlet and outlet dam surface structure is 250 #. site is 1.51 km long, is dirt road, the average width is 3-5m, the slope is steep, and the muddy rainy season cannot enter, causing great difficulties for inspection and rescue.

3) Tang An a) Earth dam: a) Earth dam: Reservoir The top of the earth dam is currently not - High tonnage, embankment of upstream dam (Muong Lai, Luc reinforced, the length of the dam is structure according to design cross section, dam Yen) 121.42m, the width is 5m. High-rise stone surface width 5.0m, upstream slope coefficient m wall wall is 0.91m high, degraded, sunk = 3.5, downstream slope coefficient m = 3, dam

and inclined. length L = 122 , 63m; The upstream slope has not been - Reinforce upstream slope of dam with 200 # reinforced yet, it has been eroded by the concrete sheet and paving stones; reinforce roof. Slope downstream slope, no muscle, concrete pavement with 250 # 20cm thickness, no roof drainage system, body water drilling for waterproofing the dam and shoulder of drainage. The roof is raining and worn, cement clay.

there is a downstream flow causing the - Make drainage ditches of dam roofs and growing roof to collapse. grass to protect downstream roofs; installation of b) Flooding: monitoring and permeability monitoring system. The flooding on the right shoulder beats b) Flooding: and overflows, followed by a slope of - Build new flooding at the current spill position water and a drainage basin. The width of (right shoulder earth dam): Spill overflow width = spillway is 5 m, the threshold threshold is 6.0m, reinforced concrete structure 250 #; free 104.6 m, the stone structure has spill form, followed by water ramps and deteriorated. dissipation tanks. c) Water-intake culvert: c) Water-intake culvert: - The position of the left shoulder of the Dig out the doors, refresh the tail section and the dam, the steel pipe covered with BT, the valve house. pressure flow. d) Management road: - Structure: Steel pipe Size D500. Upgrade management road L = 530.25m long, road - Open and close form: Downstream valve width Bn = 3.5m + 2 x 0.75m = 5.0m, 250 # concrete - The part adjacent to the van is heavily pavement structure. absorbed (caused by broken joints). d) Management road: The 530,25 m road is a dirt road, cutting through the discharge channel of the spillway, so it is difficult to travel in the rainy season and not active in the management of operation and rescue.

4) Khe Dua a) Earth dam: a) Earth dam: Reservoir The current dam is homogeneous earth - High tonnage, embankment of upstream slope, (Yen Phu, Van dam, the dam crest is not reinforced, the downstream of dam according to design section, Yen) width is 3.1 m, the downstream slope is dam surface of 5.0m wide, upstream slope not reinforced yet, There is no downstream coefficient m = 3.0, coefficient of downstream drainage system and there is a slope m = 2.5, length of dam L = 113.1m; phenomenon of seeping downstream roof. - Reinforce upstream slope of dam with 200 # b) Flooding: reinforced concrete sheet in reinforced concrete frame 200 #; reinforce the 250-inch concrete dam Flooding is located on the right shoulder of surface with 20cm; the dam, a form of free overflowing, followed by a flood of built-up water and - Renovate dam-dammed drainage system with stone steps, has deteriorated. The overflow prismatic combination of roofs, absorbent width is 10m, the drainage capacity is tank, treatment at the left shoulder of the dam, handle the water level is behind the tank. the dam body, make the drainage ditch of the dam roof and plant grass to protect the downstream c) Water-intake culvert: roof; installation of monitoring and permeability - For the culvert location: The left bank of monitoring system. the dam b) Flooding: - Size: Ø300 - Build new flooding at the current spill position - Flow mode: Yes pressure (right shoulder of Earth dam): Spill overflow width - Open and close form: Downstream taper = 14m, reinforced concrete structure 250 #; free valve opens and closes manually spill form, followed by water ramps and dissipation tanks.

- Drain has a strong leak at the stop valve - Overflow bridge: 15.8 m long, 5.0m wide, reinforced concrete bridge structure 300 #. d) Management road: c) Water-intake culvert: The road to the dam site is about 1,042m long, the earth road, the width is 2.5 ÷ 4m, Keep the old drain intact, repair the valve house and on the road there is a place going through replace the D300 damper. the overflow stream of Reservoir, now d) Management road: temporarily arranged to go, about the flood season of the people can't walk. Upgrade management road length L = 1,042m, 250 # concrete road surface structure, 3.5m wide road surface; each side of the road is 0.75m wide. 5) Roong Den a) Earth dam: a) Earth dam: Reservoir The current dam is homogeneous, the top - High tonnage, embankment of upstream slope, (Muong Lai, of earth dam is currently not reinforced, downstream of dam according to design section, Luc Yen) with the seawall, the upstream roof with dam surface of 5.0m wide, upstream slope solid stone reinforcement, now has been coefficient m = 3.0, coefficient of downstream sloppily, the downstream slope has not slope m = 2.5 ÷ 3 , length of dam L = 250m; been reinforced yet, There are piles of - Reinforce upstream slope of dam with 200 # escaping stones downstream but no longer concrete sheet and paving stones in reinforced working properly. concrete frame 200 #; reinforce the 250-inch b)Flooding: reinforced concrete dam surface with 20cm; make wave walls with reinforced concrete M200 with - Location: On the right side of the dam. height of 0.2m; - Status: Spill is built with construction - Renovate the prismatic dam-type water drainage stone, Spill width is 5m, Sau Spill is a system, make the dam roof and the grass slope of water and energy. downstream; installation of monitoring and c) Water-intake culvert: permeability monitoring system. - Location: On the left shoulder of the dam b) Flooding: - Structure: Steel pipe size D500. - Build new flooding at the existing spillway - Flow mode: with pressure, Collapsible position (on earth Dam's left shoulder): Spill mode: Downstream valve, leaking valve overflow width = 10.0m, reinforced concrete structure 250 #; Free spill form, ramped by slope. - The sewer was repaired in 2012 but is now old and mossy. - Overflow bridge: 11.8m long, 5.0m wide, reinforced concrete structure 300 #. d) Management road: c) Water-intake culvert: At present, 704.6 m of road from the commune's concrete road to reservoir is a Repair local damage at the exit door and muddy and dirt road, cut through the downstream valve tower, adding reserve valve. discharge channel of the spillway, so it is d) Management road: very difficult to travel in the rainy season Upgrade management road length L = 704.60m, and is not active in the management of 250 # concrete road surface structure, 3.5m wide transportation. rescue and rescue. road surface; curb side on each side 0.75m.

6) Goc Nhoi a) Earth dam: a) Earth dam: Reservoir - The current dam is homogeneous - High tonnage, embankment of upstream (Xuan Lai, Yen structure, downstream of dam according to design - The top of Earth dam is currently not Binh) section, dam surface width of 5.0m, upstream reinforced, 3.0 m wide slope coefficient m = 3.0, coefficient of - Not yet reinforced the upper and lower downstream slope m = 2.5 ÷ 3, pm long dam L = roof protection 115.0m;

- No downstream drainage yet - Reinforce upstream slope of dam with 200 # concrete sheet and paving stones in reinforced - There is a phenomenon of seeping concrete frame 200 #; reinforce the 250-inch downstream roof concrete dam surface with 20cm; drilling of b) Flooding: waterproofing dam foundation with cement mortar. Flooding is located on the left shoulder of - Renovate the prismatic dam-type water drainage the dam, is overflowing, followed by system, make the dam roof and the grass overflows of slopes and digester, downstream; installation of monitoring and reinforced with stone to build a 15cm thick permeability monitoring system. concrete surface, spillway width is 4m, and b) Flooding: the overflowing elevation is 128.6m. Currently the spillway and water slope - Build new flooding at the current spill position have been pitted, overflow walls include (on the left shoulder of Earth dam): Spill overflow upstream walls and some broken side width = 7.0m, reinforced concrete structure 250 #; walls, overflowing water over the dam free spill form, followed by water ramps and body erodes the dam body. dissipation tanks. c) Water-intake culvert: - Overflow bridge: 8.8 m long, 5.0 m wide, reinforced concrete structure 300 #. The water-intake culvert D300 is located on the shoulder of a dam with a cast-iron c) Water-intake culvert: pipe structure, the bottom of the sluice gate Use steel pipes 73.75m long, Φ300 diameter is broken, the damper is broken. covered with 300 # reinforced concrete, installing d) Management road: regulating valves with diameter Φ300. The 1,159km management road is a dirt d) Management road: road, many sections close to the travel Upgrade road management L = 1,159m, 250 # canal are difficult to manage. concrete pavement structure, road surface width of 3.0m; each side of the road is 0.5m wide. 7) Khe Hoai a) Earth dam: a) Earth dam: Reservoir The current dam is homogeneous. The top - Apply the structure of the upstream slope, (Tich Coc, Yen of earth dam is currently not reinforced, downstream of the dam according to the design Binh) with a width of 4.0 m; Not reinforced the section, the dam surface is 5.0m wide, the upper and lower roof protection; There is coefficient of the upstream slope m = 3.0 ÷ 3.5, the no downstream drainage; There is a coefficient of downstream slope m = 3.0, length of phenomenon of seeping downstream roof. dam L = 71.00m (including Flooding); b) Flooding: - Reinforce upstream slope of dam with 200 # reinforced concrete sheet and paving stones in Overflowing at the left shoulder of the dam reinforced concrete frame 200 #; reinfore the 250- site, building stone structure, overflowing inch reinforced concrete dam surface with 20cm; width of 24m, the threshold threshold make wave walls with reinforced concrete M200 height is 139.7m, the bottom of the water with height of 0.6m; slope and the threshold of overflow of non- steel concrete has deteriorated. Currently, - Renovate the drainage system of the dam body in the threshold of flooding to the top of the the form of drainage piles in combination with slope is very high. roofs, make drainage ditches of the dam slope and plant grass to protect the downstream roof; c) Water-intake culvert: installation of monitoring and permeability Right shoulder position, steel pipe covered monitoring system. with concrete, pressure flow; Structure: b) Flooding: Steel pipe Size D400; Collapsible form: Downstream valve; The valve house is old - Build new Flooding at the current spill position and degraded. (left shoulder Earth Earth): Length of overflow threshold B = 28m, reinforced concrete structure d) Management road:

250 #; free spill form, followed by water ramps The road from the center of Tich Coc and dissipation tanks. commune to the focal line is currently a dirt road with an average width of 3.5m - Overflow bridge: Length 4.6m, width 5.0m, and a length of 873m. The muddy and structure by reinforced concrete 300 #. slippery rainy season causes great c) Water-intake culvert: difficulties for the inspection and rescue if there is a problem. Repair local damage at the exit door and downstream valve tower, adding reserve valve. d) Management road: Upgrade Management road length L = 873.0m, 250 # concrete road surface structure, 3.5m wide road surface; each side of the road is 0.75m wide. 8) Khe Hop a) Earth dam: a) Earth dam: Reservoir The top of earth dam is currently not - High tonnage, embankment of upstream slope, (Yen Hop, Van reinforced, 5m wide, the Upstream Roof downstream of dam according to design section, Yen) has not been reinforced, currently dam surface of 5.0m wide, upstream slope collapsed, falling off the roof. Slope coefficient m = 3, coefficient of downstream slope downstream slope, no muscle, no roof m = 2.5, length of dam L = 67.80m; drainage system, body water drainage. - Reinforce upstream slope of dam with 200 # b) Flooding: reinforced concrete sheet and paving stones in reinforced concrete frame 200 #; reinforce the 250- Overflowing at the right shoulder of the inch reinforced concrete dam surface with 20cm; dam, overflowing width of 3m, the boring drilling waterproofing dam foundation with threshold of overflow threshold is 69.4m. cement mortar. Spill naturally flowing, overflowing through the road to the top of the dam, so - Renovate the drainage system of the dam body in the flood season cannot pass. Downstream the form of drainage piles in combination with spill discharge down to the top of the canal roofs, make drainage ditches of the dam slope and to collect water after the culvert. plant grass to protect the downstream roof; installation of monitoring and permeability c) Water-intake culvert: monitoring system. Culvert at the left shoulder of the dam, b) Flooding: diameter D = 300, 62m long culvert, structure is cast-iron cast-iron pipe, - Build new flooding at the current spill position damper is leaked, the valve is degraded. (on the left shoulder of Earth dam): Spill overflow width = 7.0m, reinforced concrete structure 250 #; d) Management road: free spill form, followed by water ramps and The 988-meter-long managed road from to dissipation tanks. reservoir is muddy and muddy, making it - Over flow bridge: Length 6.0 m, width 5.0 m, difficult to manage and rescue. The last structure by reinforced concrete 300 #. part of the route is cut back and cut through flooding. During rainy season the c) Water-intake culvert: road is not operational. Keep the old drain intact, repair the valve house and replace the D300 damper. d) Management road: Upgrade management road L = 988m, concrete road surface structure is 250 #.

9) Hang Luon a) Earth dam: a) Earth dam: Reservoir - The current dam is homogeneous Reinforcement of 250-inch reinforced concrete (Vu Linh, Yen dam surface, make new absorbent drainage system - The dam crest has not been reinforced, Binh) of dam body type with drainage rock pile with roof with a width of 3.5 m. pressure, and make drainage sluice for roof and - Upstream roof is reinforced with concrete planting grass to protect downstream roof. slabs, not yet reinforced downstream roof. b) Flooding: - There is a pile of stone that drains - Build new flooding at the existing spillway downstream roof but is degraded. position (on the left side of the dam): Spill width = - There is a phenomenon of seeping 16.0m, reinforced concrete structure 250 #; free downstream roof spill form, followed by water ramps and b) Flooding: dissipation tanks. Free flow, different from the dam, located - Overflow bridge: 18.2m long, 5.0m wide, at the waist of the left of Reservoir, reinforced concrete structure 300 #. spreading over 14m wide. The downstream c) Water-intake culvert: navigation channel runs out of shore, there Repair valve houses downstream of the sewer, is no route to overflow and must walk. replacing new opening and closing machines. c) Water-intake culvert: d) Management road: Culvert at the right shoulder of the dam, Upgrade management road L = 1,865m long, road diameter D = 400, structure is steel-coated width Bn = 3.5m + 2 x 0.75m = 5.0m, concrete road steel pipe, downstream valve house has surface structure 250 #. deteriorated. The new sewer has been upgraded to repair in 2005, so it is still in good use. d) Management road: Management road is dirt road, traveling is very difficult in the rainy season, the end of the line with the dam is going along the main canal route so it is necessary to take measures to handle.

10) Khe Chinh a) Earth dam: a) Earth dam: Reservoir - Main dam: The crest has not been - Apply a new main dam on the downstream side, (An Thinh, Van reinforced, width is 3.5 m. Upstream slope taking advantage of the old dam body as a body Yen) erosion has caused the dam crest. Upper and upstream roof, mTL = 3.0, a new downstream and downstream roofs have not been slope with mHL = 2.75; embankment of upstream reinforced, collapsed and eroded due to and downstream dams according to the design rain, influx of water flows into the section, dam surface of 5.0m wide, upstream slope downstream dam (left shoulder). coefficient m = 3.0, downstream slope coefficient m = 2.75; length of main dam Lc = 56.50m, length - Sub-dam: The concave crest, the average of auxiliary dam Lp = 93.60m; drilling of auxiliary width of 2.5m. The crest of the dam is dams with cement mortar; narrowed by the downstream slope of landslide, subsidence, slipping to the top of - Reinforce upstream of the main dam and the dam. Downstream slope has appeared auxiliary dam with 200 # reinforced concrete sheet seepage flow, about 8m from the top of the and paving stones in reinforced concrete frame 200 dam. #; reinforce dam surface with BT 250 # 20cm thick. b) Flooding: b) Flooding: Spill is located on the left bank of the main

dam, width is 6m. The threshold has been - Build new flooding at the left shoulder of Earth temporarily reinforced with 20 m of dam; Spill overflow width = 10.0m, reinforced construction stone, the remaining natural concrete structure 250 #; free spill form, followed soil spill. Flow freely discharged to by water ramps and dissipation tanks. downstream from the dam 40 m and discharged into the management route. - After-over discharge canal is 420m long and 5m wide; Channel structure of reinforced concrete c) Water-intake culvert: wall M200, combined with Road management to The water-intake culvert is located at the overflow. left shoulder side dam, D600 circular - Overflow bridge: 11.8 m long, 5.0 m wide, sewer, pressure flow. House of degraded reinforced concrete bridge structure 300 #. drain valve, leaking. c) Water-intake culvert: d) Management road: Keep the old drain intact, repair the valve house 470.8m long road is currently a dirt road, and replace the D600 damper. affected by the flood discharge, so in the rainy season, it cannot enter. d) Management road: L = 470m, 250 # concrete pavement structure, 3.5m width of road surface; roadside on each side 0.5m. 11) Lang At a) Earth dam: a) Earth dam: Reservoir - The current dam is homogeneous - High tonnage, embankment of upstream slope, (Minh Xuan, downstream of dam according to design section, - The crest has not been reinforced, width Luc Yen) dam surface width of 5.0m, upstream slope is 4.0m. coefficient m = 3.0, downstream slope coefficient

- Not yet reinforced the upper and lower m = 2.75, pm long dam L = 127m; roof protection - Reinforce upstream slope of dam with 200 # - No downstream drainage yet reinforced concrete sheet and paving stones in - There is a phenomenon of seeping reinforced concrete frame 200 #; reinforce the 250- downstream roof inch reinforced concrete dam surface with 20cm; making wave walls with reinforced concrete M200 b) Flooding: with height of 0.6m; seepage treatment at the left Flooding at the right bank of the reservoir, shoulder of the dam. natural overflow, followed by a 20m-wide - Renovate the dam body-absorbent drainage overflow slope. Free-form spillway, system with prismatic combination of roofs, structural flooding is a stone built into making the sluice for the dam roof and planting degraded concrete surface. grass to protect the downstream roof; installation c) Water-intake culvert: of monitoring and permeability monitoring system. The water-intake culvert with D400 b) Flooding: diameter, the structure of concrete-coated - Build new flooding at the current spillway steel pipes located at the right shoulder of position (on the left shoulder of Earth dam): Spill the dam, close to the spillway, downstream overflow width = 25m, reinforced concrete without a valve regulating discharge to the structure 250 #; free spill form, followed by water channel. ramps and dissipation tanks. d) Management road: - Overflow bridge: 26.8 m long, 5.0m wide, The current management road is from reinforced concrete bridge structure 300 #. provincial road, 170 to 1,188 km long, c) Water-intake culvert: which is a dirt road. Use 56.45m long steel pipe, Φ400 diameter covered with 300 # reinforced concrete, installing regulating valve with diameter Φ400.

d) Management road: Upgrade management road L = 1,188m, 250 # concrete pavement structure, 3.5m width of road surface; each side of the road is 0.75m wide. 12) Chop Du a) Earth dam: a) Earth dam: Reservoir - The current dam is homogeneous - High tonnage, embankment of upstream slope, (Cuong Thinh, downstream of dam according to design section, - The dam crest has not been reinforced, Tran Yen) dam surface width of 5.0m, upstream slope with a width of 3.5 m. coefficient m = 2.75, downstream slope coefficient

- Not yet reinforced the upper and lower m = 2.5, pm long dam L = 158,39m; roof protection - Reinforce upstream slope of dam with 200 # - No downstream drainage yet reinforced concrete sheet and paving stones in - There is a phenomenon of seeping reinforced concrete frame 200 #; reinforce downstream roof reinforced concrete surface of 250 # reinforced concrete, made of reinforced concrete wall of b) Flooding: reinforced concrete 250 #, 0.7m high. Flooding at the position of the left shoulder - Renovate the drainage system of the dam body in of the dam, free overflow of rock structure, the form of drainage piles in combination with concrete cover, 9m width. roofs, make drainage ditches of the dam slope and c) Water-intake culvert: plant grass to protect the downstream roof; installation of monitoring and permeability The water-intake culvert has D500 monitoring system. diameter, the concrete-coated steel pipe structure is located at the right shoulder of b) Flooding: the dam, at the downstream building the - Build new flooding at the current spillway valve house to regulate the discharge flow position (on the left shoulder of Earth dam): Spill to the canal. The new sewer was upgraded overflow width = 12m, reinforced concrete in 2014 so it is still good. structure 250 #; free spill form, followed by water d) Management road: ramps and dissipation tanks. The current management road connecting - Overflow bridge: 13.8m long, 5.0m wide, from the concrete road at the communal reinforced concrete structure 300 #. house to reservoir is 213.44m long and is a c) Water-intake culvert: current structure is still muddy dirt road in the rainy season, operational. making it difficult to travel. d) Management road: Upgrade management road L = 213.4m long, 250 # concrete pavement structure.

13) Phu Nham a) Earth dam: a) Earth dam: Reservoir The top of earth dam is currently not - High tonnage, embankment of upstream slope, (Phu Nham, Van reinforced, 5m wide. Vertical cracks downstream of dam according to design section, dam Chan) appear on the top of the dam. The surface width 5.0m, upstream slope coefficient m = upstream slope is eroded by the roof, the 3.0, coefficient of downstream slope m = 2.5, pm long

dam downstream of the dam has not made dam L = 108m; roof drainage system or dam body. - Reinforce upstream slope of dam with 200 # Currently, the roof is slumped, the left reinforced concrete sheet and paving stones in shoulder is sagging. The line penetrates to reinforced concrete frame 200 #; reinforce the 250-

the upper roof, at the foot of the flowing inch reinforced concrete dam surface. stream. The risk of dam failure is very - Renovate the drainage system of the dam body in the high. form of drainage piles in combination with roofs, b) Flooding: make drainage ditches of the dam slope and plant grass to protect the downstream roof; installation of Flooding at the right waist position of monitoring and permeability monitoring system. Reservoir, free overflow of stone structure, concrete cover, overflow width of 3m. The b) Flooding: previous 30 m channel section is still a - Build new flooding at the current overflow land canal. position (on the right shoulder of Earth dam): Spill c) Water-intake culvert: overflow width = 5.0m, reinforced concrete structure 250 #; free spill form, followed by water The water-intake culvert has D300 ramps and dissipation tanks. diameter, the structure of the steel-covered steel pipe located at the left shoulder of the - Overflow bridge: 6.2 m long, 5.0 m wide, dam, the sewer has deteriorated. reinforced concrete structure 300 #. d) Management road: c) Water-intake culvert: 41.5m in length, using Φ400 steel pipe with 300 # reinforced concrete, 790m long road is a dirt road, the road cuts installing damper with diameter Φ400. through the main canal, so it is necessary to build a sewer through the road. d) Management road: Upgrade Road Management L = 790m, 250 # concrete pavement structure.

14) Nghia Lo a) Earth dam: a) Earth dam: Reservoir The top of earth dam is currently not - High tonnage, embankment of upstream roof (Nghia Lo farm, reinforced, 5m wide. The upstream dam structure, downstream of dam according to design Nghia Lo town, roof has not been reinforced. The water- section, dam surface width 5.0m, upstream slope Van Chan) intake section of the culvert collapsed. The coefficient m = 4, downstream slope coefficient m = 3, dam downstream of the dam has not made length of dam L = 132m;

roof drainage system or dam body. The - Reinforce upstream slope of dam with 200 # dam roof has slippery slopes, subsidence reinforced concrete sheet and paving stones in hammocks. reinforced concrete frame 200 #; reinforce the 250- b) Flooding: inch reinforced concrete dam surface with 20cm; boring drilling waterproofing dam foundation with Flooding at the position of the left shoulder cement mortar. of the dam, free overflow in the form of a spillway, followed by a slope of water + a - Renovate the drainage system of the dam body in the drainage basin with a stone structure, form of drainage piles in combination with roofs, encased in concrete, a spillway width of make drainage ditches of the dam slope and plant 24m, the downstream channel section is grass to protect the downstream roof; installation of not reinforced so it is eroded, risk of monitoring and permeability monitoring system. falling walls. b) Flooding: c) Water-intake culvert: - Build new flooding at the current spill position The water-intake culvert at reservoir Nong (on the left shoulder of Earth dam): Spill overflow Truong was seriously degraded, a strong width = 28m, reinforced concrete structure 250 #; leak valve, a concrete D90 circular sewer, free spill form, followed by water ramps and broken inside, an upstream van with only a dissipation tanks. temporary bridge made of electric poles - Overflow bridge: 11.8 m long, 5.0 m wide, and an external crank valve It is very reinforced concrete bridge structure 300 #. dangerous to operate, especially in the

rainy season. c) Water-intake culvert: d) Management road: Use 47.50m long steel pipe, Φ500 diameter is At present, the rural concrete road of the covered with 300 # reinforced concrete, installing Commune People's Committee has reached regulating valve with diameter Φ500. the foot of the dam but has deteriorated. d) Management road: Upgrade management road L = 500m long, 250 # concrete pavement structure, 3.5m wide road surface; curb side on each side 0.75m.

15) Khe Ngang a) Earth dam: a) Earth dam: Reservoir The top of earth dam is currently not - Apply the structure of the upstream slope, (Yen Phu, Van reinforced, 3.0 m wide. The upstream downstream of the dam according to the design Yen) slope has not been reinforced yet, it has section, dam surface of 5.0m wide, upstream slope been eroded by the roof. Slope coefficient m = 3.0, coefficient of downstream

downstream slope, no muscle, no roof slope m = 2.5, length of dam L = 84m (including drainage system, body water drainage. The Flooding); roof is raining and worn, there is a - Reinforce upstream slope of dam with 200 # downstream flow causing the roof to reinforced concrete sheet and paving stones in collapse. reinforced concrete frame 200 #; reinforce the 250- b) Flooding: inch reinforced concrete dam surface with 20cm; make wave walls with reinforced concrete M200 Flooding at the right shoulder of the dam, 0.3m high; natural soil spill, 4m overflow. Due to the overflow of soil, after each flood season, it - Renovate the drainage system of the dam body in is eroded and expanded to make land on the form of drainage piles in combination with both sides of the hill landslide, causing roofs, make drainage ditches of the dam slope and danger to the dam if slipping and sliding plant grass to protect the downstream roof; overflowing. installation of monitoring and permeability monitoring system. c) Water-intake culvert: b) Flooding: Existing sluice gate, masonry, culvert body is D300 steel pipe, with pressure at Ball Build new flooding at the current spillway position valve water leak. (on the left shoulder of Earth dam): Spill overflow width = 5.0m, reinforced concrete structure 250 #; d) Management road: free spill form, followed by a slope of water. The management road from 293m Yen - Overflow bridge: 6.2m long, 5.0m wide, 75.8m Yen –Yen Hop to Plastic Road is dirt road, high top bridge, reinforced concrete bridge difficult for management and rescue work. structure 300 #. c) Water-intake culvert: Repair local damage at the exit door and downstream valve tower, spare valve supplement. d) Management road: Upgrade management road L = 293m, 250 # concrete road surface structure, 3.5m wide road surface; each side of the road is 0.75m wide.

16) Village 26 a) Earth dam: a) Earth dam: Reservoir The top of earth Dam is currently not - Apply the structure of the upstream slope (Thuong Bang reinforced, and the left shoulder has a according to the design section, the dam face is La, huyen Van macadam of 3.0 m in width. The upstream 5.0m wide, the upstream slope coefficient m = Chan) slope has not been reinforced, it has been 2.75, the downstream slope coefficient m = 2.25, eroded by the roof, creating a vertical the length of the dam L = 248m ( including

slope. Downstream slope has not been Flooding); reinforced, dam surface combined with - Reinforce upstream slope of dam with 200 # traffic. reinforced concrete sheet and paving stones in b) Flooding: reinforced concrete frame 200 #; make wave walls with reinforced concrete M200 with height of Flooding at the position of the left shoulder 0.6m; reinforce the 250-inch reinforced concrete of the dam, overflowing, existing spillway dam surface with 20cm; as a sewer through the road, stone structure is built, the width is over 2m. The - Make drainage ditches for dam roofs and discharge canal after the spill is not built, growing grass for downstream protection; the spillway does not ensure flood installation of monitoring and permeability drainage, in 2007, the flood level was only monitoring system. 60 cm from the dam crest. Affects 30 b) Flooding: households downstream of the dam. - Build new flooding at the current spillway c) Water-intake culvert: position (on the left shoulder of Earth dam): Spill The water-intake culvert has D250 overflow width = 3.0m, reinforced concrete diameter, the structure of the sewer, structure 250 #; free spill form, followed by water located in the middle of the dam. ramps and dissipation tanks. Construction stone culverts have - Overflow bridge: 4.2 m long, 5.0m wide, deteriorated, not actively regulating the reinforced concrete structure 300 #. flow. c) Water-intake culvert:length of 40.60m d) Management road: The management (including entrance, steel pipe and outlet of sewer), road connects from the commune's using steel pipe with pipe diameter Φ250 coated concrete road to reservoir, which is with 300 # reinforced concrete, installing damper 546.76m long, making it very difficult to with diameter Φ250. walk in the rainy season. d) Management road: upgrading Management road

L = 562m, 250 # concrete road surface structure, road surface width of 3.0m; roadside on each side 0.5m.

2.3.2 Auxiliary items Electricity and water for construction and daily life Due to the nature of the project, the reservoir contains self-flowing water, so the demand is negligible, mainly for lighting at night construction and iron-sheet formwork workshops. At present, in the construction areas, there is a national power grid passing through, from the national grid, according to the available 35KV line. In the construction site, 110KVA standby generators are arranged in case of a power outage. Use a pump to collect water from reservoir, contained in construction tanks at the construction site. Depending on the quality of reservoir water, there are measures to treat by filtering tanks to ensure water quality for domestic use and water for concrete construction. Demand for workers' houses and construction camps Demand for construction workers at peak time is about 960 people for 16 construction sites; on average, each site has about 60 people; however, the number of workers at the construction site is only about 15 people (about 25% of workers are from other places and 75% of workers are hired labor in the locality) mainly technical and workers skilled, simple items hiring local workers). Most of the project construction areas have quite favorable locations (the area of downstream vacant land is wide and flat) to gather materials as well as workers' camps. The material gathering yards are located near the housing area for convenient protection of properties and temporary shelters for rain and sunshine. Toilets at the site are equipped to meet the requirements of QCVN 01: 2011 / BYT on hygienic latrine standards; individual activities and activities are carried out in the workers' housing area. Landfills and soil borrow pits Location of disposal sites at commune planning points, agreed by local authorities, households, PPMUs and local authorities. Suitable location, convenient for transportation, minimizing the impact on the environment and living of people. The location of the land mines is surveyed and evaluated by the feasibility study consultant (FS) and assesses the physical criteria in accordance with the earth embankment standards. Materials of embankment soil in the construction items are exploited at the land mines available under the planning of the province, meeting the conditions related to safety and environmental protection.

Table 2. 3: Locations of dumping sites, soil pits No. Name of Dumping sites Soil borrow pits Current image reservoir 1 Tu Do Site no.1: Arranged at the Close to dam No. 1, land of Mr. Nguyen Cong there is a 1-hectare- Thuan - Tu Do - Y Can area can be the commune supply of - Distance to the backfilling-soil. It is reservoir: 2 km; the land of a household and has - Capacity: 10,000 m3. been using to plant Site no.2: Arranged at the acacias for 4 land of the 5,500-m2- years. The distance resettlement area being from the soil area to established, behind the dam no.1 is about office of the Commune’s 300m, to dam no.2 People’s Committee (CPC), is about 500m; to under the management of the dam no. 3 is about CPC. 1km and to dam no. 4 is about 2km. - Distance to the reservoir: 2 km; - Capacity: 27,500m3 2 Khe Vai Arranged at the low land The backfill managed by the CPC at the materials can be lower are of the rock slope taken right from the inside KheQuyt hamlet, areas on the 2 sides Xuan Ai commune. of the main dam, - Area: 2000 m2 which are about 500m from the - Capacity: 12,000m3 reservoir. Total area - Distance to the estimated is about 2 reservoir: 0.25 km hectares which belong to 2 households and have been using to plant acacias and cinnamons. 3 Tang An Arranged at the left side of The supply of the foot main dam, in Tang backfilling-soil is An hamlet, Muong Lai 300m from the commune; currently the low reservoir. It is the land part at the foot of the land under the dam is managed by the management of CPC Commune People's and being used to Committee; plant acacias. The - Area: 1600 m2, estimated area is about 1 hectare.

No. Name of Dumping sites Soil borrow pits Current image reservoir - Distance to the reservoir: 50m; - Capacity:12,800 m3 4 Khe Arrangement at the vacant The supply of Dua land at the foot of the dam’s backfilling-soil is downstream in Hamlet 1 - 200m from the Phu Thon Yen Phu reservoir. It is the commune. It is an land of a household abandoned low land area and being used to managed by the Commune plant cinnamons. People's Committee. The estimated area - Area: 1800 m2; is about 4,000m2. - Distance to the reservoir: 60m; - Capacity: 12,600 m3 5 Roong Arranged in the area behind The supply of Den the market of NacVanh backfilling-soil is hamlet, Muong Lai 100m from the commune; it is a low land reservoir. It is the area currently being used for land of a household rice cultivation by 3 and being used to households; plant acacias. The - Area: 5,000 m2, estimated area is about 4,000m2. - Distance to the reservoir: 2km, - Capacity: 25,000 m3 6 Goc To facilitate the construction Arranged in an Nhoi process, backfilling-soil is abandoned-low-land exploited on the hills inside belonged to Mr. Reservoir area, under the Dang Cong management of the CPC; Doan, GocNhoi - Distance to the hamlet, Xuan Lai reservoir: 50m; commune;

- Area: 10,000 m2 - Area: 3000 m2, - Distance to the reservoir: 1.8km; - Capacity: 12,000 m 3 7 Khe Arranged in the low land The backfilling-soil Hoai at right at the foot of the is exploited on the

No. Name of Dumping sites Soil borrow pits Current image reservoir dam in the downstream of hills inside KheHoai reservoir (next to Reservoir area, the pond), which is used to TichCoccommune; it is a plant acacias, under vacant area managed by the the management of CPC; the CPC; 2 - Area: about 2000 m , - Distance to the reservoir: - Distance to the reservoir: about 0.1 100m; km; - Area: 2,000 2 - Capacity: 10,000 m3 m 8 Khe Arranged in the low-land- There is a 2,500- Hop fields of Khe Hop hamlet; m2-area in the - Area: 3000 m2; NorthEast, 200m from the …, can be - Distance to the the supply of reservoir: about 1.5 backfilling-soil. It is km; the land of a - Capacity: 9000 m3 household and is used to plant acacias (harvested). 9 Hang Arranged in the former The backfilling-soil Luon Kaolin mining area in Lang is exploited on the Dinh hamlet, the lowland hills inside area managed by the CPC; Reservoir area - Area: about 1000 m2; which is 100m from the reservoir. It is - Distance to the the land of a reservoir: about 2.0 household and being km; used to plant acacias - Capacity: 20,000 m3 and bamboos. The estimated area is about 2,500m2. 10 Khe Arranged in a vacant area In the northern of Chinh which belongs to a the sub-dam, there household in Dai are 2 soil mines can An AnThinh commune, be the backfilling- - Area: 5,000 m2; soil-supplies. - Distance to the Mine 1: Area: 0.5 reservoir: 1.5 km; hectares; 200m from the construction site; - Capacity: 12,500 m3 from mine 1 to the sub-dam, there are 200 meters of inter- hamlet-concrete-

No. Name of Dumping sites Soil borrow pits Current image reservoir road which is narrow, only suitable for small- load-trucks. Mine 2: Area: 1 hectare; at the inter- provincial route; 1km from the main dam; from mine 2 to the main dam, there are 300m of asphalt road and 700m of destroyed gravel and there is a part to walk in the stream. 11 Lang At Arranged at the Community The backfilling-soil House of Hamlet 20, Minh is exploited on the Xuan commune; proceed hills inside foundation heave for the Reservoir area Community House of which is 100m from Hamlet 20; the reservoir. It is - Area: 3000 m2; the land of a household and being - Distance to the used to plant reservoir: 2.7 km; acacias. The - Capacity: 9,000 m3 estimated area is about 5,000m2.

12 Chop Arranged in the former The backfilling-soil Du kaolin mining area in Hien is exploited on the Duong, CuongThinh, the hills inside lowland area managed by Reservoir area the commune People's which is 200m from Committee; the reservoir. It is - Area: 18,000 m2; the land of a household and being - Distance to the used to plant reservoir: 2.5km acacias. The - Capacity: 50,000 m3 estimated area is about 1,500m2.

No. Name of Dumping sites Soil borrow pits Current image reservoir 13 Phu Arranged at the vacant low- On the right side of Nham land area of Mrs. Nguyen the dam, there is a Thi Doan in PhuNinh 0.5-hectare-area can hamlet, PhuNham commune, be the backfilling- - Area: 3,000 m2; soil-supply; it is the land of a household - Distance to the and currently used reservoir: 0.5km; to plant acacias and - Capacity: 15,000 m3 teas. 14 Nghia Arranged at the community On the right side of Lo house of Nam An 1, Nam the dam, about An 3 hamlet, Phu Nham 500m from the commune; proceed construction site, foundation heave for the there is a 0.4- community house of Nam hectare-area can be An 1 and Nam An 3 the backfilling-soil- hamlets; supply; it is the land - Area: 5,000 m2; of a household and currently used to - Distance to the plantteas. reservoir: 1.9km; - Capacity: 12,500 m3 15 Khe Arranged in Yen Hop In the northeast area, Ngang hamlet, Yen Hop commune; about 1.5 km from - Area: 2200 m 2, the construction site, there is a 0.2- - Distance to the hectare-area can be reservoir: 1.2km the soil-supply. from; - Capacity: 7,000 m 3

16 Village Arranged in the population- Backfilling-soil is 26 density-adjustment-area of exploited at the Tham hamlet, managed vacant hill of a byThuong Bang La household; commune’s People's - Distance to the Committee; reservoir: 3km to - Area: 7,000 m2; the Reservoir. - Distance to the reservoir: - Estimated area: 3.2km; 3,000 m 2, - Capacity: 14,000 m3

2.3.3 Transportation distance Table 2. 4: Distance for material transportation

No. Reservoir Material Distance to the work Transport road

Tu Do Cement, steel, sand, The transport distance Road 166, inter 1 Reservoir stone, brick, plank,... is about 13 – 20 km. commune, inter village

Road 163, Road 166, Khe Vai Cement, steel, sand, stone, The transport distance 2 inter commune, inter Reservoir brick, plank, … is about 15 km village Tang An Cement, steel, sand, stone, The transport distance Road 170, inter 3 Reservoir brick, plank,… is about 10 km commune, inter village Khe Dua Cement, steel, sand, stone, The transport distance Road 166, inter 4 Reservoir brick, plank, filling soil,… is about 9 km. commune, inter village Roong Den Cement, steel, sand, stone, The transport distance Road 170, inter 5 Reservoir brick, plank, filling soil,… is about 11 km commune, inter village Goc Nhoi Cement, steel, sand, stone, The transport distance Road 170, inter 6 Reservoir brick, plank, filling soil,… is about 13 km. commune, inter village Khe Hoai Cement, steel, sand, stone, The transport distance Road 170, inter 7 Reservoir brick, plank, filling soil,… is about 15 km commune, inter village Khe Hop Cement, steel, sand, stone, The transport distance Road 163, DT 166, inter 8 Reservoir brick, plank, filling soil,… is about 7 km commune, inter village Hang Luon Cement, steel, sand, stone, The transport distance Road 170, liên xã, liên 9 Reservoir brick, plank, filling soil,… is about 11 km thôn Road 163, Road 166, Khe Chinh Cement, steel, sand, stone, The transport distance 10 inter commune, inter Reservoir brick, plank, filling soil,… is about 9 km village Lang At Cement, steel, sand, stone, The transport distance Road 170, inter 11 Reservoir brick, plank, filling soil,… is about 5 km commune, inter village Chop Du Cement, steel, sand, stone, The transport distance Road 163, inter 12 Reservoir brick, plank, filling soil,… is about 9 km commune, inter village Phu Nham Cement, steel, sand, stone, The transport distance Route 32, inter 13 Reservoir brick, plank, filling soil,… is about 5 km commune, inter village Nghia Lo Cement, steel, sand, stone, The transport distance Route 32, inter 14 Reservoir brick, plank, filling soil,… is about 3 km commune, inter village r Khe Ngang Cement, steel, sand, stone, The transport distance Inter commune, inter 15 Reservoir brick, plank, … is about 7 km village Village 26 Cement, steel, sand, stone, The transport distance Route 32, inter 16 Reservoir brick, plank, filling soil,… is about 12 km commune, inter village 2.3.3 Mobilization of vehicles and machinery for construction Based on the terrain of the site, features of material supplies, and work progress, in order to follow the construction schedule and complete all the categories, it is expected to arrange 11 major types of equipment for the subproject implementation as follows:

Table 2. 5: List of machinery and equipment for construction Quantity No. Type of equipment Unit Use Reserve 1 Dump truck 7T cái 32 9 2 Excavator 1.25m3 cái 16 9 3 Bulldozer 110CV cái 16 9 4 Compactor 500l cái 16 9 5 Concrete compactor cái 16 9 6 Soil compactor cái 16 9 7 Water pump cái 16 9 8 Car water 5m3 cái 16 9 9 Welder, Cutting and bending machines cái 16 9 10 Driller cái 16 9 11 Generator 110KVA cái 16 9 (Source: Feasibility Study) 2.3.4 Construction material quantities of key works The construction material quantities of the subproject are shown in the table below: Table 2. 6: Summary of construction material No. Building materials Unit Quantity 1 Reservoir Tu Do Soil peeling surface m3 7.013,4 Excavated soil C3 m3 70.860 Filling soil m3 36.656,5 Collapse m3 29,7 Types of Sand m3 4.441,5 Types of stones m3 2.667,3 Stone m3 7.412,7 Types of steels kg 237.450,0 Types of cement kg 2.095.909,6 Water construction liter 1.232.888,0 2 Reservoir Khe Vai Soil peeling surface m3 2.949,4 Excavated soil C3 m3 17.421 Filling soil m3 7.295 Collapse m3 843,7 Types of Sand m3 2.010,8

No. Building materials Unit Quantity Types of stones m3 1.892,4 Stone m3 883,2 Types of steels kg 167.086,8 Types of cement kg 1.384.154,3 Water construction liter 686.801,1 3 Reservoir Tang An Soil peeling surface m3 4.122,6 Excavated soil C3 m3 38.895 Filling soil m3 27.254 Collapse m3 1.510,1 Types of Sand m3 2.762,5 Types of stones m3 1.634,6 Stone m3 1.978,2 Types of steels kg 170.073,1 Types of cement kg 1.157.584,4 Water construction liter 8.963,3 4 Reservoir Khe Dua Soil peeling surface m3 5.050,0 Excavated soil C3 m3 18.782 Filling soil m3 10.522 Collapse m3 223,7 Types of Sand m3 1.805,0 Types of stones m3 2.394,9 Stone m3 1.173,4 Types of steels kg 95.043,6 Types of cement kg 1.003.985,9 Water construction liter 491.347,6 5 Reservoir Roong Den Soil peeling surface m3 6.414,2 Excavated soil C3 m3 46.078 Filling soil m3 26.315 Collapse m3 2.464,6 Types of Sand m3 4.501,3 Types of stones m3 3.616,5 Stone m3 1.184,1

No. Building materials Unit Quantity Types of steels kg 206.144,2 Types of cement kg 1.656.053,7 Water construction liter 840.592,1 6 Reservoir Goc Nhoi Soil peeling surface m3 3.243,6 Excavated soil C3 m3 28.897 Filling soil m3 18.186 Collapse m3 0,0 Types of Sand m3 1.819,7 Types of stones m3 1.659,9 Stone m3 526,8 Types of steels kg 89.902,7 Types of cement kg 1.186.050,9 Water construction liter 598.699,0 7 Reservoir Khe Hoai Soil peeling surface m3 4.616,8 Excavated soil C3 m3 9.135 Filling soil m3 5.230 Collapse m3 710,8 Types of Sand m3 3.116,0 Types of stones m3 2.040,0 Stone m3 658,3 Types of steels kg 91.375,1 Types of cement kg 849.161,1 Water construction liter 416.426,8 8 Reservoir Khe Hop Soil peeling surface m3 3.871,3 Excavated soil C3 m3 12.315 Filling soil m3 6.552 Collapse m3 0,0 Types of Sand m3 937,0 Types of stones m3 1.174,9 Stone m3 385,2 Types of steels kg 66.331,1 Types of cement kg 673.267,3

No. Building materials Unit Quantity Water construction liter 324.784,6 9 Reservoir Hang Luon Soil peeling surface m3 2.490,7 Excavated soil C3 m3 15.185 Filling soil m3 4.311 Collapse m3 280,0 Types of Sand m3 2.138,0 Types of stones m3 386,0 Stone m3 662,7 Types of steels kg 67.534,0 Types of cement kg 1.215.411,2 Water construction liter 714.947,7 10 Reservoir Khe Chinh Soil peeling surface m3 8.390,0 Excavated soil C3 m3 32.412 Filling soil m3 23.180 Collapse m3 510,6 Types of Sand m3 3.515,2 Types of stones m3 1.366,4 Stone m3 2.662,0 Types of steels kg 445.664,4 Types of cement kg 2.404.874,9 Water construction liter 1.224.217,1 11 Reservoir Lang At Soil peeling surface m3 1.745,7 Excavated soil C3 m3 22.660 Filling soil m3 13.657 Collapse m3 585,0 Types of Sand m3 1.943,1 Types of stones m3 613,7 Stone m3 783,5 Types of steels kg 114.971,2 Types of cement kg 1.340.597,5 Water construction liter 788.586,8 12 Reservoir Chop Du

No. Building materials Unit Quantity Soil peeling surface m3 3.565,9 Excavated soil C3 m3 13.593 Filling soil m3 2.682 Collapse m3 633,8 Types of Sand m3 1.749,6 Types of stones m3 716,1 Stone m3 224,4 Types of steels kg 169.215,5 Types of cement kg 1.037.761,9 Water construction liter 506.850,2 13 Reservoir Phu Nham Soil peeling surface m3 3.995,3 Excavated soil C3 m3 19.216 Filling soil m3 11.084 Collapse m3 414,8 Types of Sand m3 2.093,1 Types of stones m3 577,6 Stone m3 1.131,8 Types of steels kg 188.173,9 Types of cement kg 1.156.391,5 Water construction liter 350.072,6 14 Reservoir Nong truong Nghia Lo town Soil peeling surface m3 3.539,5 Excavated soil C3 m3 26.079 Filling soil m3 14.795 Collapse m3 568,1 Types of Sand m3 2.206,3 Types of stones m3 1.048,3 Stone m3 1.935,8 Types of steels kg 151.439,1 Types of cement kg 917.358,6 Water construction liter 255.825,8 15 Reservoir Khe Ngang Soil peeling surface m3 1.165,2 Excavated soil C3 m3 11.852

No. Building materials Unit Quantity Filling soil m3 5.300 Collapse m3 0,0 Types of Sand m3 1.237,1 Types of stones m3 863,2 Stone m3 884,3 Types of steels kg 80.453,0 Types of cement kg 681.549,2 Water construction liter 344.107,1 16 Reservoir thon 26 Soil peeling surface m3 2.493,0 Excavated soil C3 m3 15.314 Filling soil m3 10.289 Collapse m3 67,6 Types of Sand m3 937,0 Types of stones m3 816,3 Stone m3 299,3 Types of steels kg 69.065,9 Types of cement kg 646.685,1 Water construction liter 324.393,8 (Source: Feasibility Study) 2.4 Construction progress Progress of subproject implementation is expected to be 05 years: 2018-2022. Construction process of items in the rolling form at each project. Clearing ground, stripping it to where it is, constructing it there. - Estimated construction phase 1 (WB capital) 8 Reservoir includes: Reservoir: Freedom, Khe Vai, Tang An, Khe Dua, Khe Chinh, Goc Nhoi, Khe Hoai, Khe Hop. Commencement: January 2019; Completion: June 2020; - Expected construction phase 2 (WB capital) 8 Reservoir including: Reservoir Hang Luon, Roong Den, Lang Ai, Chop Tuy, Phu Nham, Nghia Lo, Khe Ngang, Hamlet 26. Starting: January 2020; Completion: June 2021;;

Table 2. 7: Progress of implementing sub-project to repair and improve dam-safety in Yen Bai province Work categories 2018 2019 2020 2021 2022 Project preparation stage (Prepare feasibility report, dam safety report, Technical design report and drawing ...) Construction period Repair Tu Do Reservoir Repair Khe Vai Reservoir RepairTang An Reservoir Repair Khe Dua Reservoir Repair Roong Den Reservoir Repair Goc Nhoi Reservoir Repair Khe Hoai Reservoir Repair Khe Hop Reservoir Repair Hang Luon Reservoir Repair Khe Chinh Reservoir Repair Lang At Reservoir Repair Chop Du Reservoir Repair Phu Nham Reservoir Repair Nong truong Nghia Lo Reservoir Repair Khe Ngang Reservoir Repair Thon 26 Reservoir Project completion stage 2.5 Description of acitives implemented during the subproject 2.5.1. Pre-construction activities: Before construction, activities include topographic survey, hydrology, meteorological conditions, geological exploration drilling, reservoirs land acquisition, and mine clearance. In the framework of the subproject there is no demolition work, however, vegetation clearing activities are carried out by households affected by trees and crops. Waste from the luminescent process will be collected and transported to the commune's disposal site by the affected households. The design of the subproject has considered the changes of climate factors in the subproject area in recent times to serve as a basis for selecting the optimal design plan. The impact of climate change in the past time has mainly been related to changes in rainfall causing floods, landslides and droughts. 2.5.2. Plan for transportation of materials: Construction materials will be gathered at the construction site before starting construction

about 1 week. Construction materials will be transported to the construction site at the time of avoidance causing negative impacts on agricultural cultivation and activities of local people. Workers, machines and expected volume of materials are presented in the sections above. a. Timeline: Construction time of a reservoir is expected to be 18 months From November to February, construction of downstream, flooding, and overflowing roofs are items not affected by irrigation water in Reservoir. At this time, water is taken through the sewer as usual. In the dry season, create a dike to construct the upstream roof. Continue executing and completing items of downstream, flooding, and overflowing roofs. To ensure irrigation will use pumps for irrigation. However, Reservoir Lang At must install additional water supply pipes (about 80m HDPE D500 pipe) from the dyke to the water intake to ensure a stable supply of water for all people in Yen The town and a part Lieu Do commune. Construction of management road. The route is finally constructed to take advantage of the dirt road to serve the construction and then proceed to upgrade hardening by concrete to ensure durability for the road.. b. Construction of key works: * Earth dam Maintenance and upgrade: - Excavating tarpaulin to repair downstream dam roof: Using bulldozer 110CV to bulldoze dam dam. Because of the thickness of the unsheathed roof of the lower downstream, it is impossible to use large equipment to construct because there is no ground to operate. So use the main bulldozer to level and dig up the engine according to the design. - Soil excavated upstream roofs are gathered in a concentrated pile to the left shoulder of the dam, then use excavator 1.25m3 to stand on the road to pour into 7T cars to transport to disposal sites - Soil excavated downstream roof is ironed and leveled into the waste dump at the right foot of the dam. After that, it will be transported by 7T car to transport waste to dumping ground. Apply the structure of the dam roof: - Due to the thickness of the cover to compensate small roofs, it is impossible to use large equipment to construct because there is no ground to operate. So use the bulldozer to level up and dress. The thickness of each layer of soil is to be compacted from 20 cm 30 cm, combined with toads to dress manually at angled positions, sloping roof ... - Reinforce the upstream roof with concrete slabs of M200 stone 1x2 with 12cm thickness poured in place in reinforced concrete frame. Under the concrete layer is a 5 cm padding layer to create a flat layer of 15cm thick macadam (using 1x2 stone). Under the lining layer is the geotextile layer. - Dimensions of cardboard slabs at blocks: 3.6x5 m (one small box) - Concrete frame: Associated with reinforced concrete beams M200 stone 1x2 with type 1 (0.3x0,32cm), type 2 (0.2x0,32cm). For every 11.8m, make a big frame (1 unit), in which divided into 6 small cells. - The amount of concrete is low, small blocks should use a portable mixer of 500 liters to mix mortar. Pour manually, use dress to dress concrete mortar.

Reinforcement of dam downstream: - Downstream dam: To prevent roof erosion due to wind and rain, build cross-drainage ditches on the dam roof. The grooves are made of concrete M200 stone 1x2 size 0.2x0.2 m (roof groove), 0.3x0.3 m. Particularly, the foot groove to drain the dam body behind the rock pile is made of stone plastered with the size of 0.4x0.4m. Alternating between cross-section plots covering soil and growing grass. The trenches are constructed on sloping roofs, the volume of concrete is low so use a 250 liter mobile concrete mixing roof to mix mortar. Crafting using a dress to dress concrete mortar. - The drainage foot of the dam body is built of stone with a thickness of 30 cm by hand. - The foot of the downstream roof is constructed of prismatic stone with a manual combination machine. * Spillway and channel after overflow The construction site is relatively convenient, the spillway is the traffic road, so the equipment and facilities are easy to access. Spill upgrade work: - Foundation excavation spills an average depth of 1.3 m, average width of 7.5 m. The method of using the digger 1.25 m3 combined with 7T cars to dig and transport to the waste dump average 150 m. - Overflowing: Use by hand and swamp dress. - Overflowing concrete: The volume of concrete pouring is mainly concentrated in the threshold and overflow slope. The bottom of the spill is 5.0 ÷ 10.0 m, concrete pouring is 30 to 40 cm thick. The wall overflowed from 1.6 to 6.0 m. Spill with a width of b> 5 m, the motorbike equipment can move smoothly in the spillway to pour concrete. The direction of pouring concrete from the upstream is receding to the downstream, using a damn dress to compact concrete mortar. * Road rescue combined with construction and operation management Construction order: Construction starts from overflow line. Task: - Excavation and construction of the road base (20cm thick grading layer) - The nylon layer is regenerated before pouring concrete to avoid dehydration for concrete - Pouring the concrete surface layer BT M250 stone 1x2 20 cm thick, 3.5 m wide. At the same time, construction of expansion joints and wheel guards. - Finishing curbside, pouring concrete drainage ditches - Plug the 10T load limit sign right at the beginning of the road. Execution in the form of rolling, pouring concrete pouring road surface according to the layout slot 6m a. Use a 500-liter mixer to mix concrete in place, dress with table dress and punch dress.. c. Machinery: - Soil excavation and transportation: Using the excavator set of 1.25m3, 7 ton automobile transports to dumping ground at the prescribed location.

- Dam construction must comply with the regulations in TCVN 8297: 2009 "Irrigation works - Earth dam - Technical requirements for construction by compaction method". - Before and during the dam construction, it is necessary to conduct laboratory and field tests as prescribed to determine appropriate embankment technology to ensure dam quality according to design requirements. - Concrete work: Concrete mixing with a 250-liter mixer, pour concrete by manual method. Construction of concrete must comply with TCVN 4453-1995: Concrete and reinforced concrete structure in accordance with TCVN 8218-2009 - Hydraulic concrete - Technical requirements - Working on upstream dam slope: using precast concrete panels using crane and installation machines. - The work of planting downstream grass: Roof protection grass is exploited in the surrounding areas. It is necessary to plant grass to reinforce the roof right after finishing the work, completing the project. - Slab construction: Mainly using manual methods. - Formwork work: Install formwork at handcrafted sections. Depending on the capacity of the contractor, most steel formwork can be used for ease of installation and dismantling. - Reinforcement work: Reinforcing steel is gathered and processed mainly in warehouse in the premises and transported to the construction site. At the site, only small details are mainly construction steel and auxiliary works. - Other tasks: Mainly used manually d. Transport organization in construction site: Due to the small scale of the works, the upgraded Reservoir has been available in advance, so it has access to the foot of the project. For the dam site: Because Earth dam has a narrow ground, upgrading the dam only removes a part of the land in the inclined roof and replaces it so it is impossible to arrange many vehicles to walk on the tilted roof, affecting the security. Full construction and safety stability of the dam. So transporting construction materials for dams is mainly used to transport from the top of the dam up and down. 2.5.3. Operational and maintenance activities: Periodic monitoring of dam safety: After damming and starting dam operation, the dam management unit is responsible for dam safety monitoring, which is done by a qualified independent expert. and who are not involved in the investigation, design, construction or operation of the dam. After normal operation, dam tests are conducted regularly, including safety checks before and after the annual flood season, in accordance with the Government's Decree (No. 72/2007/ND-CP ) about Dam Safety Management. After completion of the works, the operation of the dam will be the responsibility of the dam management unit and then the responsibility of the PPMU will end. Process of Reservoir, valve operation: The dam management unit must establish Reservoir water regulation process, regulations on the storage and discharge of water in normal conditions and in emergency situations, and submit to the management agency competent state approves and organizes implementation. The dam management unit must formulate and submit to competent authorities for promulgation or promulgate according to its authority documents on operation and operation and operation procedures of each gate (hereinafter

referred to as operation). construction). Other issues need to be carried out according to the Government's Decree No. 72/2007 / ND-CP on dam safety management. 2.6 Dam safety plan A dam safety report (DSR) will be prepared for the subproject. The objective of the dam safety report (DSR) is to present, analyze and make recommendations on: i) All conditions that may affect the safety of dams and structures; ii) The impact of dams or sub-structures is broken / uncontrollable due to harsh natural conditions, human errors or structural errors; and iii) Institutional framework (at the present time) and in the future necessary to avoid or minimize adverse conditions for dam safety. After completing the review at the subproject screening stage, CPMU under MARD needs to provide a DSR for each sub-project identified during the project implementation phase and sent to PoE (consultant team). international dam safety) and the World Bank to consider. The report must include findings and recommendations for any related safety issues, necessary actions to be taken. Dam safety measures must be integrated into the design, construction and operation of the Reservoir. Review and analyze safety of dam structures: The review and evaluation of dams and related structures will include, but are not limited to, the following: - Review the survey materials on geological and material sources. Note the potential adverse effects that may occur due to known geological characteristics. Evaluate unforeseen conditions and remedial measures to align safety and operation issues of dams and related facilities. - Evaluate the suitability of dam type and spillway, the response of dam design, including the proposed measures of foundation treatment, earthworks, load bearing parameters of selected, permeable and Floating pressure control measures. Notice the safety perspective for any unusual or missing aspects that occur and suggest measures to be taken. - Evaluate stability, strength analysis and safety factors in normal, extraordinary and extreme load conditions for Earth dams and concrete dams, spillway structures and water discharge works, including the determination of geological impact criteria. - Consider the stability factors of the Reservoir, formation of landslides, waves, and its effects on dam stability; - Consider the hydrological calculation method to determine the design flood of the project, the Reservoir route and the size of the spillway. Review design of spillway works including flow conditions, and energy dissipation works. Evaluate the discharge capacity of the spillway in accordance with all design floods without damaging the dam. - Consider the water intake and discharge works, including the hydraulic design, the emergency reservoir discharge capacity, and the sedimentation process. - Evaluate the design of spillways and door control devices, including the selection of the number and type of main doors and valves, lifting equipment and other types of control mechanisms. Special precautions should be taken for the standby system to operate spillways with gates and flushing works when there are operational and electrical problems. - Considering the designs of diversion works, construction progress, hydrology and risk factors related to flow diversion during construction and filling of the flow at the start of Reservoir storage phase. - Considering the appropriateness of the measuring equipment, especially the markings or tools, required in forecasting serious hazards or dam failure.

- Review the dam owner operation and maintenance process and emergency response plan, including evaluation of subproject operational and maintenance factors related to dam safety and capacity assessment operators to be able to perform maintenance and regular inspection of the safety of the project. Review and assessment of dam safety risks: In addition to ensuring dam structure safety, the Project needs to assess the potential risks of dams for population and environment in the downstream area of the dam, including including related works. Damage may not happen but when it happens, it will cause serious damage. In this regard, during the preparation of the project, as part of the DSR or the environmental and social management plan, the subproject owner should make an assessment of the potential risk to the area. / downstream population. For large and high-risk dams, data should be collected during the preparation process, including topographic survey and land use downstream, to simulate a dam breach and flood. Downstream flood dam according to different conditions / scenarios for the preparation of the Emergency Response Plan. Data collection from upstream dams and / or watershed activities may also be necessary for some dams. Planning and implementing capacity building programs for subprojects with pilot activities to promote active participation of local communities should be considered. Residential communities around the dam area can participate in daily surveillance, protect them from destructive activities of outside audiences, and participate in simple maintenance tasks. A model with community involvement in dam safety activities should also be considered. Sedimentation and pollution of upstream water sources can be a serious problem for some river basins. The dam owner must commit to spending the budget for proper operation and management of the dam, as well as periodical safety inspection. 2.7 Funding Total investment of the project: 292,880,019,000 VND (Two hundred and ninety two billion eight hundred eighty million hundred and nineteen thousand Vietnamese dongs)

Table 2. 8: Summary of costs of works under the subproject Unit: 1,000 VND Amount (After tax)

Name Construct Construc ion N of Constru Project Site tion site Investme Total o. reserv ction Monitori managem clearanc Back- (district) nt Others (VNĐ) oirs Cost ng Cost ent Cost e cost up consultati on cost Tran 33,385,6 1,423,4 172,8 38,622, 60,000 507,434 265,373 2,807,279 1 Tu Do Yen 94 40 85 105 Khe Van 13,255,1 801,02 68,64 16,167, 60,000 202,016 105,361 1,674,999 2 Vai Yen 45 6 1 188 Tang Luc 16,566,8 903,42 85,79 19,919, 60,000 252,261 131,685 1,919,720 3 An Yen 55 0 0 731 Khe Van 12,053,1 763,86 62,41 14,887, 60,000 183,779 95,807 1,668,920 4 Dua Yen 25 0 6 907 Roong Luc 23,227,5 1,109,3 120,2 27,253, 60,000 353,316 184,629 2,197,983 5 Den Yen 37 61 82 108 Goc Yen 12,827,8 787,81 66,42 15,748, 60,000 195,532 101,964 1,709,421 6 Nhoi Binh 17 2 8 974 Khe Luc 10,026,7 701,20 51,92 12,644, 60,000 153,034 79,699 1,571,657 7 Hoai Yen 11 5 2 228 Khe Van 8,342,44 649,12 43,20 10,831, 60,000 127,481 66,312 1,543,050 8 Hop Yen 5 9 1 618 Hang Luc 12,257,7 770,18 63,47 15,089, 9 60,000 186,883 97,433 1,654,058 Luon Yen 30 6 6 766 Khe Van 30,188,6 1,324,5 156,3 34,907, 60,000 458,929 239,960 2,479,523 10 Chinh Yen 39 91 29 971 Khe Van 7,455,99 621,72 38,61 9,785,7 60,000 114,032 59,266 1,436,117 11 Ngang Yen 9 2 0 46 Lang Luc 13,655,0 813,39 70,71 16,702, 60,000 208,084 108,540 1,786,304 12 At Yen 87 0 2 117 Chop Tran 11,789,8 755,72 61,05 14,573, 60,000 179,785 93,714 1,633,832 13 Du Yen 90 1 3 995 Phu Van 13n,663, 813,66 70,75 16,600, 60,000 208,217 108,610 1,675,577 14 Nham Chan 896 4 7 721 Thon Van 8,220,76 645,36 42,57 10,577, 60,000 125,635 65,344 1,417,662 15 26 Chan 0 8 0 339 Nong Van 15,459,2 869,17 80,05 18,567, Truon 60,000 235,456 122,881 1,740,726 Chan 16 2 4 505 16 g 242,376, 1,926,57 28,916,82 13,753, 1,255, 292,880 960,000 3,691,874 Tổng 546 8 8 067 126 ,019 (Source: Feasibility Study Report)

CHAPTER III. POLICY, LEGAL AND ADMINISTRATIVE FRAMEWORK

3.1 Vietnam regulations * Laws - Law on Environmental Protection No. 55/2014 / QH13 issued by the National Assembly on June 23, 2014, takes effect from July 2015. This Law provides for environmental protection activities; policies, measures and resources to protect the environment; rights, obligations and responsibilities of agencies, organizations, households and individuals in environmental protection. - Land Law No. 45/2013 / QH13 promulgated by the National Assembly of Vietnam on November 29, 2013 regulating land ownership, rights and responsibilities of the State representing the entire people on land. belt and unified management of land, land management and use regime, rights and obligations of land users to land belonging to the territory of the Socialist Republic of Vietnam. - Law on Natural Disaster Prevention and Control No. 33/2013 / QH13 promulgated by the National Assembly of Vietnam on June 19, 2013 regulating natural disaster prevention and control, rights and obligations of agencies, organizations and households families and individuals participating in natural disaster prevention, combat and state management activities and resources to ensure the prevention and combat of natural disasters. - Law on Water Resources No. 17/2012 / QH13 promulgated by the National Assembly of Vietnam on June 21, 2012 regulating the management, protection, exploitation and use of water resources, prevention and remedial measures harm caused by the country in the territory of the Socialist Republic of Vietnam. - Biodiversity Law No. 20/2008 / QH12 issued on November 13, 2008 by the National Assembly of Vietnam on conservation and sustainable development of biodiversity; rights and obligations of organizations, households and individuals in the conservation and sustainable development of biodiversity. - Construction Law No. 50/2014 / QH13 passed by National Assembly VII on June 18, 2014; - Road Traffic Law No. 23/2008 / QH12 issued on November 13, 2008; - Law on Complaint No. 02/2011 / QH13 issued on 11/11/2011; - Cultural Heritage Law No. 10 / VBHN-VPQH issued on July 23, 2013; - Law on Occupational Safety and Health No. 84/2015 / QH13 issued on June 25, 2015; - Law on Law No. 79/2006 / QH11 issued on November 29, 2006; - Irrigation Law No. 08/2017 / QH14 was officially adopted by the National Assembly on June 19, 2017; - Law on Plant Protection and Quarantine No. 41/2013 / QH13 dated November 25, 2013; Labor Law No. 10/2012 / QH13 passed by the National Assembly on June 18, 2012 * Decree - Decree 38/2015 / ND-CP dated April 24, 2015 of the Government on management of waste and scrap

- Decree No. 18/2015 / ND-CP dated February 14, 2015 of the Government regulating environmental protection planning, strategic environmental assessment, environmental impact assessment and environmental protection plan. - Decree No. 44/2014 / ND-CP dated May 15, 2014 of the Government regulating land prices. - Decree No. 47/2014 / ND-CP dated May 15, 2014 of the Government regulating compensation, support and resettlement when the State acquires land. - Decree No. 155/2016 / ND-CP dated November 18, 2016 of the Government stipulating penalties for administrative violations in the field of environmental protection. - Decree No. 25/2013 / ND-CP dated March 29, 2013 of the Government on environmental protection fees 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 one number of articles of the Ordinance on exploitation and protection of irrigation works. - Decree No. 113/2010 / ND-CP dated December 3, 2010 of the Government stipulating the determination of damage to the environment. - Decree No. 112/2008 / ND-CP dated October 20, 2008 of the Government on the management, protection and general exploitation of Reservoir resources and environment containing hydropower and irrigation; - Decree No. 120/2008 / ND-CP dated December 1, 2008 of the Government on river basin management; - Decree No. 72/2007 / ND-CP dated May 7, 2007 of the Government on dam safety management; * Circular - 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 June 30, 2014 of the Ministry of Natural Resources and Environment detailing methods of land valuation; building and adjusting land price tables; Specific land pricing and land valuation advice. - Circular No. 37/2014 / TT-BTNMT dated June 30, 2014 of the Ministry of Natural Resources and Environment detailing compensation, support and resettlement when the State collects Reservoirs. - Circular 30/2014 / TT-BTNMT regulating land allocation, land lease, changing the purpose of using land. - Circular No. 36/2015 / TT-BTNMT dated June 30, 2015 of the Ministry of Natural Resources and Environment on hazardous waste management. - Circular No. 22/2010 / TT-BXD of the Ministry of Construction regulating occupational safety in construction works. - Circular No. 19/2011 / BYT-TT dated June 6, 2011 of the Ministry of Health guiding the management of occupational health, workers' health and occupational diseases. - Circular 13/2007 / TT-BXD dated 31/12/2007. Guiding a number of articles of the Government's Decree No. 59/2007 / ND-CP of April 9, 2007, on solid waste management.

- Circular No. 34/2010 / TT-BCT of the Ministry of Industry and Trade dated October 7, 2010 regulating the safety management of dams for hydropower projects. * Decision - Decision No. 52/2012 / QD-TTg dated November 16, 2012 of the Prime Minister on policies to support job creation and vocational training for laborers that their agricultural land is acquired. - Decision No. 3733/2002 / QD-BYT dated 10/10/2002. Promulgated 21 labor hygiene standards, 05 principles and 07 labor hygiene parameters. - Government Directive in Document No. 21 / CT-TTg dated October 14, 2013 on strengthening management of Reservoir safety to contain water. Applicable Standards - QCVN 01: 2009 / BYT: National technical regulation on drinking water quality. - QCVN 02: 2009 / BYT: National technical regulation on domestic water 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. - 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 allowable limits of some heavy metals in the soil. - QCVN 15: 2008 / BTNMT: National technical regulation on pesticide residues in soil. - QCVN 43: 2012 / BTNMT: National Technical Regulation on sediment quality. - QCVN 05: 2013 / BTNMT: National technical regulation on air quality. - QCVN 06: 2009 / BTNMT: National technical regulation on some hazardous substances in the surrounding air. - QCVN 26: 2010 / BTNMT, QCVN 24: 2016 / BYT National technical regulation on noise. - QCVN 27: 2010 / BTNMT: National technical regulation on vibration. - QCVN 07: 2009 / BTNM: National Technical Regulation on Hazardous Waste Threshold - QCVN 18: 2014 / BXD: National Technical Regulation on Construction Safety - QCVN 04 - 05: 2012 / BNNPTNT - The main regulations on designing hydraulic works - Other relevant standards and technical regulations. Other legal documents provided by investors - Decision No. 4638 / QD-BNN-HTQT, November 9, 2015 of the Ministry of Agriculture and Rural Development, on "Approving the Feasibility Study Report on Dam Safety Improvement and Improvement (WB8) funded by the World Bank ".

- Pursuant to the Decision No. 7398 / BNN-TCTL dated September 1, 2016 of the Ministry of Agriculture and Rural Development agreeing on the list of reservoirs belonging to the subproject on repairing and improving dam safety in Yen Bai province. - Contract No. 253/2017 / HD-TV of the Management Board of construction investment projects of Agriculture and Rural Development in Yen Bai province and the Institute of Water and Environment, November 10, 2017 consultancy on making report on environmental and social safety policies for the subproject on dam repair and safety improvement in Yen Bai province. Compliance in implementing environmental and social impact assessments The environmental and social impact assessment of the subproject will be implemented in compliance with the environmental assessment procedures of the World Bank and the Government of Vietnam. Specifically, the subproject environmental and social impact assessment will have to comply with the project's Environmental and Social Management framework, which has been reviewed and approved by the World Bank. Environmental and social screening will be carried out for each sub-project to determine the appropriate size and type of environmental assessment. On that basis, the TOR will be prepared for the assessment of environmental and social impacts in accordance with the subproject scale and the potential impacts predicted from the implementation of the subproject. Environmental and social screening will be carried out by World Bank's safety policy experts. TORs for environmental and social impact assessments will also be reviewed and approved by the World Bank's safeguard experts before conducting environmental and social impact assessments. During the environmental and social impact assessment, consultations with affected people and local NGOs need to be done. The report on environmental and social impact assessment will be made public at the subproject implementation site in Vietnamese so that affected people and local non-governmental organizations can easily access, and the local version He will be publicized on the World Bank website before the subproject appraisal. 3.2 World Bank policies The objective of these policies is to prevent and mitigate unnecessary harm to the people and the natural environment during development. Safety policies provide the basis for stakeholder engagement in project design, and act as an important tool to build ownership among local people. Effective impact and development of the Bank's support projects and programs have increased significantly as a result of attention to these policies. The World Bank's safety policies are available on its website at http://web.worldbank.org. The World Bank has listed social and environmental protection policies. 3.2.1 Project level The environmental and social screening of the Project is carried out in accordance with OP 4.01 and indicates that the World Bank's safeguard policies on Environmental Assessment (OP / BP 4.01), Natural Habitats (OP / BP 4.04), Indigenous Peoples (OP / BP 4.10), Involuntary Resettlement (OP / BP 4.12), Safety of Dams (OP / BP 4.37), Projects on International Waterways (OP / BP 7.50), Pest Management (OP 4.09) and Physical Cultural Resources (OP / BP 4.11) will be applied to this Project. According to environmental screening results, the project is classified as category A. In addition, the project also needs to comply with World Bank requirements for community consultation and information dissemination.

3.2.2 Subproject level Environmental policy OP / BP 4.01 Environmental assessment OP 4.09 Pest management OP / BP 4.37 Safety of Dams Social policies OP / BP 4.10 Indigenous peoples OP / BP 4.12 Involuntary resettlement OP / BP 4.01 Environmental assessment This policy is considered to be throughout the process of identifying, preventing and minimizing potential negative environmental and social impacts related to the Bank's lending activities. In the World Bank's operation, the purpose of environmental assessment is to improve decision making, ensuring that project options are being considered and sustainable, and the community is likely to be affected, must be consulted. The borrower is responsible for conducting environmental assessments (EA) and the Bank advises borrowers upon request of the Bank. The project is classified into one of four categories including A, B, C and FI, depending on the location, sensitivity, scale of the project and the nature and magnitude of the potential environmental impacts, This subproject triggers OP 4.01 because it involves construction activities and operation of reservoirs, and such activities will have negative environmental and social impacts. Based on environmental screening results, the subproject is classified as Category B. In compliance with OP 4.01 and the Government of Vietnam's Environmental Assessment, the subproject has prepared an ESIA. After review and approval, the ESIA report of this sub-project will be publicly disclosed at subproject sites accesible to locally-affected people and local NGOs, and on on the World Bank external website. OP 4.09 Pest management The purpose of pest management policy is to minimize and manage environmental and health risks associated with pesticide use, promote and support safe, effective and friendly pest management. with the environment. Procurement of pesticides in a Bank-financed project must be assessed for the nature and extent of the risk involved, taking into account the proposed and intended use. In order to manage pests that affect either the agricultural or public health sectors, the Bank supports a strategy to promote the use of biological control methods and reduce dependence on pesticides. chemistry. In World Bank loan projects, borrowers address pest management issues in accordance with the environmental assessment context of the project. In assessing a project related to pest management, the Bank will assess the borrower's legal, institutional and legal capacity to promote and support a safe pest management program. , efficient and environmentally friendly. This subproject triggers this policy because of an increase of 109 ha of winter-spring paddy area (increasing from 660 ha to 769 ha) and 120 ha of summer-autumn rice (increasing from 612 ha to 732 ha) after the dam will be rehabilitated. OP / BP 4.37 Safety of Dams This policy is triggered for the whole project because of the safety activities of the dams related to environmental and socio-economic development. When borrowing from the World Bank to build new dams, the proposed Dam Safety Policy is based on the opinions of experienced experts and is responsible for the design and supervision of construction, the

borrower passes Dam safety measures and implemente throughout a project cycle. This policy also applies to the recovery of Reservoiri and the safety of existing dams, which affect the performance of a project. In this case, the dam safety assessment should be carried out and additional dam safety measures should be proposed. The OP 4.37 policy recommends, in appropriate conditions, that Bank staff will discuss with borrowers the necessary measures to strengthen the institutional, legal and regulatory framework for dam safety programs. OP / BP 4.12 Involuntary resettlement Non-Voluntary Resettlement Policy to address long-term difficulties, poverty and environmental impacts on affected people during resettlement process. The OP 4.12 policy applies whether or not the affected person must be relocated. The bank describes all the processes of "involuntary resettlement", or merely resettlement, even when the affected people are not required to relocate. Resettlement is not voluntary when the government has the right to requisition land or other assets, and when the affected people have no other option to maintain their livelihood. This policy is applied because this subproject causes impacts on Reservoirs land collection of 38 households; in which, (i) 1 household is affected on agricultural production land (land for annual crops), no household is severely affected by losing 20% or more of agricultural land; (ii) 32 households are affected by forest land and (iii) 9 households have crops affected on the land managed by the Commune People's Committee; In addition, there is damage to trees and crops on reservoirland to build the subproject. OP / BP 4.10 Indigenous peoples The policy definiensethnic minorityby geographical areas, especially by the presence of different levels of the following characteristics: - Self-sticking as members of different ethnic groups and recognized for this characteristic by others - Living closely in a geographically distinct environment or ancestral territory left in the project area and close to nature in that habitat and territory - Customary cultural, economic, social or political institutions that are different from those of the majority of culture and society - Language of ethnic minorities is often different from the official language of the region or country. Mandatory conditions for approving investment projects, OP 4.10 requires borrowers to consult and disclose information to vulnerable ethnic minorities and establish a broad community support model. for the subprojects and its objectives. The Bank-financed project must include calculations to (a) avoid potential negative impacts on ethnic minority communities; or (b) when evading is not feasible, methods must be proposed to minimize, minimize, or compensate for impacts. This policy is applied because there are 14 households in the area (36.8%) of Tay, Muong and Cao Lan ethnic groups. benefit from the subproject in 15 communes, especially Muong Lai and Minh Xuan communes, Luc Yen district; Tich Coc commune, Yen Binh district, Yen Phu commune, Van Yen district are communes where people in the commune are mainly ethnic. WBG EHS guidelines The WB and IFC’s guidelines on EHS was launched in 2008, which is an important guideline for environmental protection, health and safety in industrial development and other projects. This guide sets out the goals that need to be achieved and which measures need to be used to

bring the best performance at a reasonable cost. This guide can be accessed at http://www.ifc.org. The World Bank policy on Access to information In addition to environmental safeguard policies, to promote transparency and accountability, the Bank also provides access to information related to proposed safety measures. The bank proposes this policy to support borrower and Bank decision making by allowing borrowers to access information about the environmental and social aspects of the project at the website with native language that is easy to understand and intuitive. The Bank ensures that environmental and social protection documents related to the project, as well as preparation procedures related to the subprojects, are introduced in a timely manner prior to appraisal. Information access policy requires information disclosure in both English and native languages (Vietnamese) and meets World Bank standards. Table 3.1. Summary of environmental assessment procedures of WB & the Government of Vietnam The stages in the WB Vietnam environmental (OP/BP 4.01 on Environmental (Decree No. 18/2015/ND-CP, assessment process Assessment) Circular No.27/2015/TT- BTNMT) - List of categories (A, B, C, FI) - Categories: 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 and - Rules, regulations in Appendix determine environmental assessment I, II and III - List of projects tool (EA). requiring submission of SEA and EIA report for approval. - The World Bank will classify a proposed project into one of four - All projects are not listed. categories including A, B, C, or FI - Generally, the Project Owners depending on type, location, sensitivity classify their projects based on the and scale of the project and the nature, classification as stated in Decree the importance of its potential No.18/2015/ND-CP and consulted environmental impacts. with the Department of Natural - Category A: Requirement for full Resources and Environment environmental impact assessment. In (DONRE) or Vietnam some cases, the social and environment Environment Administration Screening management framework is required, too. (DONRE). VEA) to categorize and require EA report such as: - Category B: ESIA, social and environment management framework or • Projects fall into Appendixes: I, social and environment management II, III: SEA or EIA are required. plan is required. In most cases, social • Projects fall into Appendix IV: and environment management no EIA and EPP are required. framework and/or social and environment management plan are • Projects fall into Appendixes: I, required. II, III and IV: EPP is required. - Category C: no EA action. - Category FI: social and environment management framework is the most commonly tool. In the case of a number of sub-projects that have been identified before the appraisal, the FI will prepare

The stages in the WB Vietnam environmental (OP/BP 4.01 on Environmental (Decree No. 18/2015/ND-CP, assessment process Assessment) Circular No.27/2015/TT- BTNMT) specific tools based on the frameworks, e.g. the ESIA or social and environment management plan. Environmental - Depending on the project impacts, a - The EA tools like SEA, EIA or assessment tool range of tools are used to meet the World EPP are identified based on Bank's requirements, including: Appendixes: I, II, III and IV of environmental and social management Decree No.18/2015/ND-CP. framework; specific environmental assessment; environmental and social management plan; regional and sectoral EA; risk or hazard assessment; Environmental audit. The World Bank provides general guidelines for implementing each tool. - The World Bank helps the borrower to - TOR for EA is not required. draft the TOR for EA and to determine - Normally, after consultation the EA scope, procedures, timetable and with the local DoNRE or the outline of a EA report. Scope of Environmental Department (VEA) environmental - A A-category project require ESIA about the type of EA, Project assessment TOR and the determination of scope and Owner will prepare an EA report. consultation will be necessary to prepare the TOR for environmental assessment report. - During the EA, the Borrower must - Project owner is responsible for consult with affected groups and local consulting with the People's NGOs on the environmental aspects of Committee of the commune, ward the project and focus their views. or township (hereinafter referred to as the commune) where project is - For a A-category project, the Borrower being implemented, consulting shall consult these groups at least twice: with with organizations or (a) immediately after the environmental communities directly affected by inspection and before the EA TOR project; Research and receive completion; and (b) once a draft EA objective opinions and requests report has been prepared. In addition, the from relevant agencies to minimize Borrower will consult with these groups project negative impacts on the Community throughout the project implementation natural environment, biodiversity consultation process as needed to address issues and public health. related to EA that affect them. - Commune People's Committees - For a B-category project, there should where a project is implemented and be at least one community consultation organized and directly affects will meeting. be consulted. Project owner is - For meaningful consultations, the responsible for submitting the EIA Borrower provides relevant project report to the commune-level documents in a timely manner prior to people's committees where the the consultation in a form and language project is implemented and that the group can understand and be organized and directly affects, accessible to. together with a written request for

The stages in the WB Vietnam environmental (OP/BP 4.01 on Environmental (Decree No. 18/2015/ND-CP, assessment process Assessment) Circular No.27/2015/TT- BTNMT) comment. Within 15 working days - The minutes of the public meeting are from the date on which a EIA included in the report. report is received, the commune- level people's committees and organizations under the direct impact of the project are obliged to submit their responses if they do not approve the project. - The community consultation is carried out in the form of community meetings co-chaired by the Project Owner and the commune people's committees where the project is implemented together with the participation of the community like Vietnam Fatherland Front, socio-political organizations, socio-professional organizations, population quarters, villages/hamlets. All opinions of participants in the meetings must be fully and truthfully presented in the minutes of the meeting. - Before the World Bank conducts a - After EIA report is approved, project appraisal, EA report must be the Project Owner is responsible made public in a way that is easily for preparing, approving and accessible to project-affected groups and publicly displaying EMP at the local NGOs. When the World Bank local Commune People's Public information officially receives report, the World Committee office, in consultation Bank will publish the report in English to with the community for people’s the public via its website. information, inspection, monitoring. (Article 16 of Decree No.18/2015/ND-CP). - For a A-category project, the Borrower - This content is not regulated in retains independent EA specialist who Vietnamese policy. have no contact with the project to - The Project Owner shall implement EA. implement or hire a consulting unit - For a high-risk A-category project or a which satisfies the conditions project with multi-dimensional specified in Clause 1, Article 13 of Independent environmental concerns, the Borrower Decree No.18/2015 to make EIA environmental will also hire a consultative group of report. Project Owner or specialist independent environmental specialists consultancy companies must fully with international qualifications to advise meet the following conditions: (i) on the project aspects relating to EA. Staff responsible for EIA must have at least BA degree and EIA - Specialists/consultancy companies will consultancy certificate; (ii) be selected through bidding under the specialized staff involved in the close supervision of the World Bank. project must have university or

The stages in the WB Vietnam environmental (OP/BP 4.01 on Environmental (Decree No. 18/2015/ND-CP, assessment process Assessment) Circular No.27/2015/TT- BTNMT) higher degrees; (iii) have

laboratory and testing equipment certified for measuring, sampling, processing and analyzing environmental samples for the environmental impact assessment of the project; In the absence of a laboratory, the calibration equipment must meets the requirements and there must be contract with qualified unit. - The WB reviews EA's findings and - The Ministry of Natural recommendations to determine if it Resources and Environment provides sufficient grounds for the Bank appraise and approve EIA reports to process the project. When Borrower of the projects specified in has completed all or part of the Appendix III to this Decree, environmental assessment before the excluding the projects relating to Bank participates in a project, the Bank defense and security contents. will consider the environmental - The Ministries or the assessment to ensure its consistency with ministerial-level agencies shall this policy. The Bank may, where appraise and approve EIA reports appropriate, request additional on projects under their competence environmental assessments, including for investment approval, except for public consultation and disclosure. EA projects listed in Appendix III to review/approval this Decree; process - The Provincial People's Committees conduct appraisal and approval of EIA reports for projects in their provinces, except the projects mentioned above. - The appraisal will take place at least 45 working days at the MoNRE level and 30 working days at the DoNRE level and 5 working days at the district level after receipt of full Environmental Impact Assessment or full EPP. - Number of copies are not specified. - Project Owner must submit at least 07 environmental impact The number and - Language requirements: English and assessment reports (depending on language of the Vietnamese. EA reports in Vietnamese number of appraisal committee EA/EIA to be are required for domestic disclosure and members) and 01 feasibility study evaluated must be in English for publication on the or technical report of a proposed World Bank’s website. project. - For a A-category project, the content of - The content of a EA report must Content of EA a EA report is in line with Appendix B of be in line with Circular report OP4.01. No.27/2015/TT-BTNMT.

The stages in the WB Vietnam environmental (OP/BP 4.01 on Environmental (Decree No. 18/2015/ND-CP, assessment process Assessment) Circular No.27/2015/TT- BTNMT) - The EA scope for a B-category project may vary depending on each project, but the EA's scope is narrower than that of a A-category project. An environmental and social management plan is an integral part of an EA category A (regardless of other tools to be used). EA for a B-category project may also be an environmental and social management plan with the content set out in Appendix C of OP 4.01. - During the project implementation, the - The local DoNRE is entrusted World Bank will supervise the monitoring the environmental implementation of the environmental compliance of the projects. aspects on the basis of environmental - At the end of the project regulations and the Borrower arranges construction phases, the reports of the agreement in the Loan Environmental Management Agreement and in other project Monitoring EA Agency will coordinate with the documents to determine if the Construction Management Agency compliance of the Borrower's to monitor the compliance of the Environmental Procedures (mainly with environmental management EMP) is satisfactory. If the compliance is activities stated in the EAs. not satisfactory, the World Bank will discuss with the Borrower to ensure the compliance, if necessary.

CHAPTER IV. CHARACTERISTICS OF THE ENVIRONMENT AND SOCIAL ECONOMY OF THE SUBPROJECT AREA

4.1 Natural environmental conditions 4.1.1. Geographical conditions Yen Bai is a mountainous province inland, one of 13 northern mountainous provinces, located between the Northeast and Northwest regions. It borders Lao Cai province in the North, Phu Tho province in the South, Ha Giang, Tuyen Quang provinces in the East and Son La province in the West. Yen Bai has 9 administrative units (1 city, 1 town and 7 districts) with a total of 180 communes, wards and towns (159 communes and 21 wards and towns); in which there are 70 upland communes and 62 extremely difficult communes invested according to the State's socio-economic development programs, there are 2 highland districts of Tram Tau and Mu Cang Chai (Mong people occupy over 80 %) in 61 poor and extremely difficult districts of the country. Yen Bai is the focal point and middle of the roads, railways, waterways from Hai Phong and Hanoi to Lao Cai border gate, which is an advantage in communicating with other provinces and markets at home and abroad.

Figure 4. 1: Geographical location of the subproject With its geographical position as the northwestern gateway, it is located on the midpoint of one of the main China - Vietnam economic corridors: Con Minh - Lao Cai - Hanoi - Hai

Phong, with delivery system. relatively diverse communication has created Yen Bai with favorable conditions and opportunities to enhance integration and economic and trade exchange, socio-cultural development ... not only with regional provinces, economic centers large economy in the country but also in international economic exchanges, especially with the southwestern provinces of China. Yen Bai has an important position in the strategy of protecting national security and has been confirmed in the history of national liberation and defense. Today, Yen Bai has been built into a strong economic area and become a strong defensive area in the cause of national construction and defense. - Location coordinates of projects under the subproject are as follows: Table 4. 1: Location coordinates of reservoirs under the subproject WGS84 VN2000 TT Reservoir Location B L X (m) Y (m) Y Can commune, 1 Tu Do 21°44'17"N 104°49'03"E 2.404.664 506.786 Tran Yen district Cuong Thinh 2 Chop Du commune, Tran 21°45'50,1"N 104°52'43,6"E 2.407.531 513.122 Yen district Xuan Ai 3 Khe Vai commune, Van 21°50'11,4"N 104°40'42,3"E 2.415.564 492.405 Yen district Yen Phu 4 Khe Dua commune, Van 21°50'37,2"N 104°42'26,8"E 2.416.356 495.405 Yen district An Thinh 5 Khe Chinh commune, Van 21°51'18,5"N 104°40'55,3"E 2.417.627 492.779 Yen district Yen Hop 6 Khe Hop commune, Van 21°49'07,1"N 104°43'20,4"E 2.413.585 496.944 Yen district Yen Hop 7 Khe Ngang commune, Van 21°52'27,3"N 104°40'25,5"E 2.419.744 491.924 Yen district Minh Xuan 8 Lang At commune, Luc 21°24'35,8"N 104°47'38,9"E 2.368.337 504.380 Yen district Mương Lai 9 Tang An commune, Luc 21°37'21"N 104°31'49,7"E 2.391.885 477.078 Yen district Mương Lai 10 Roong Den commune, Luc 21°34'03,3"N 104°32'12,5"E 2.385.804 477.725 Yen district Xuan Lai 11 Goc Nhoi commune, Yen 22°09'35,7"N 104°50'14,2"E 2.451.373 508.805 Binh district 12 Khe Hoai Tich Coc 22°08'56,9"N 104°50'56,5"E 2.450.180 510.018

WGS84 VN2000 TT Reservoir Location B L X (m) Y (m) commune, Yen Binh district Vu Linh 13 Hang Luon commune, Yen 22°7'55,4"N 104°48'05,6"E 2.448.286 505.122 Binh district Phu Nham 14 Phu Nham commune, Van 21°55'14,7"N 104°59'22,5"E 2.424.909 524.555 Chan district Nong truong Nông Nghia Lo town 15 21°47'38,5"N 105°02'07,3"E 2.410.887 529.310 Trường NL town, Van Chan district Thuong Bang La 16 Thon 26 commune, Van 21°44'04,4"N 105°03'41,2"E 2.404.308 532.021 Chan district (Source: Feasibility Study Report) 4.1.2. Conditions on terrain Yen Bai is a transition area from the northwest high mountains belonging to Hoang Lien - Pung Luong mountain range and Con Voi mountain range down the midland hills of Phu Tho. Yen Bai is also the contiguous area between the northwestern mountains and the northeastern mountains, the mountain ranges run in the northwest - southeast direction. The average height of the province is 600 m, the lowest place in Minh Quan commune has a height of 20 m, the highest is Pung Luong peak with elevation of 2,986 m. Because of its mountainous terrain, the land of Yen Bai province has a very complex terrain, strongly divided by high mountains, streams and narrow valleys. Specifically, in the subproject areas as follows: Yen Binh district: there is a transition topography from midland to mountainous area, gradually rising terrain from Southeast - Northwest is created by 2 mountain ranges: Cao Bien mountain range lies on the left bank of Chay river (Thac Ba lake) including hills and mountains with a height of 300-600m running in the direction of Northwest - Southeast; The Con Voi Mountain Range is an ancient mountain system located on the right bank of Chay River, including low mountains, comfortable slopes, below the ground covered with crystalline schist shale, an altitude of 400 - 700m running along the Northwest - East South and water surface area of Thac Ba lake is 15,900 ha (part of the territory of Yen Binh district) with more than 1,300 islands. Specifically, the basin's topography is located in Yen Binh district, Yen Bai province, on the left bank of the River Chay in the northeastern area of Thac Ba Lake with medium and mountainous terrain, the average height is from 50 to 200m. Small rivers and streams and slopes and basins are often small, so the water supply sources for lakes are often limited in the dry season. The lake is built with 1 earthen dam> 20 m high. Surrounding the lake are continuous high mountains with a height of <200m. Van Yen district: The topography of the district is relatively complicated, with continuous hills and mountains and gradually rising from the southeast to northwest in the Red River valley between the high mountains Con Voi and Pung Luong; The river system is dense with different types of terrain: rugged high mountains, wavy and undulating hilly areas interspersed with valleys and narrow alluvial fields along the river. The mountainous area is

concentrated mainly in the northwest communes of the district, is a series of mountains and hills that are strongly divided, high slopes, making it difficult to travel and economic exchanges, yet favorable for development. forestry and growing high value perennial crops such as cinnamon and other forest trees. High hills and low mountains belong to the western communes of the district, this area is sharp peaks, steep slopes, deep and narrow waterfalls, suitable for industrial crops, fruit trees and cattle breeding. The rest of the lowland communes of the district have topography with round bowl shape, round peak, comfortable slopes are very convenient for growing long-term industrial crops, fruit trees, livestock and poultry and food crops. Specifically: - Ho Khe Vai, Xuan Ai commune, the lake has a palm shape. The bottom elevation of the reservoir bed is the lowest + 62m, the elevation of the present earth dam crest + 77.6m, the elevation of NWL (coinciding with the free spill threshold) + 76.2 m. Average elevation of irrigation area + 49 ÷ 53m. Thus, the altitude of self-control irrigation is fully met. - Reservoirs Khe Dua is located in Yen Phu commune, Van Yen district, Yên Bái province, the lake runs along the stream bed with a length of 2.1 km, an average width of 140m. The bottom elevation of the reservoir bed is the lowest + 40m, the elevation of the earth dam crest is currently + 57.6m, elevation of NWL (coinciding with the free spill threshold) + 56m. The average elevation of irrigation area +40 ÷ 42m. Thus, the altitude of self-control irrigation is fully met. - Ho Khe Chinh is located in An Thinh commune, Van Yen district, Yen Bai province, on the right bank of the Red River in the low mountains with an average height of 20 to 200m. Small rivers and streams and slopes and basins are often small, so the water supply sources for lakes are often limited in the dry season. - Ho Khe Ngang and Khe Hop are located in Yen Hop commune, Van Yen district, Yen Bai province, on the right bank of the Red River in low mountainous areas with an average height of 20 to 200m. The lake is located between two mountain ranges running parallel to the Northeast - Southwest with the height <200m. Luc Yen district: The terrain is divided by two main mountain ranges running along the Northwest-Southeast direction, creating flat valleys and basins where the population is concentrated and living for a long time. On the right bank of Chay river is the Con Voi mountain range running along the Northwest- Southeast direction, with an average altitude of 300-400m, the highest peak of 1,148m, around the peak, a sloping slope and an average slope of 400. The terrain is divided into small valleys and streams. The whole area is ancient rock and soil, which weathered the natural forest with 50% of its area, capable of developing forestry, industrial and agricultural trees. On the left bank of Chay river is a large rocky mountain range running along the Northwest- Southeast direction with an average height of 935 m, the highest peak of 1,035 m, with a steep slope, sharp peaks, cut mountain slopes, a slope 700 or more, most of the rocky mountains have natural forests, the current forest coverage is 42.6%. This is a series of Limestone Mountains with precious and rare mineral resources, which are gradually invested in research, exploration, and exploitation. The flat lowlands are interspersed between the two mountains and the river. Flowing fertile land is the concentration of population living and producing agriculture and forestry. Thac Ba lake area was formed in 1970 after the construction of a hydropower plant, with a total water surface area of 11 communes in Luc Yen District Lake is 4,560.5 ha. The topography of the lake basin of Luc Yen district, Yen Bai province is located on the left

bank of the River Chay in the northern upstream area of Thac Ba Lake with medium and mountainous terrain, the average height is from 50 to 200m. Small rivers and streams and slopes and basins are often small, so the water supply sources for lakes are often limited in the dry season. Surrounding the lake are continuous high mountains with a height of <200m. Tran Yen district: Tran Yen has a transition terrain from Midland to the mountainous area, constructed by Pu Luong mountain range at Huu Ngan and Con Voi mountain range on the left bank of Red River, running in the direction of Northwest - Southeast The average height is 100 - 200m above sea level. The lowest place is Minh Quan commune with a height of 20m. In general, the terrain gradually increases from the Southeast to the Northwest. The southern communes have the topography, which is a bowl-shaped hill, the top of the slope is convenient for growing food crops and industrial trees. The communes located at the foot of the Con Voi mountain range and Pu Luong mountain range have complex topography, separation, hills and mountains, and deep and steep valleys, making it difficult to travel and economic exchanges. However, it is also a favorable condition for the development of forestry and animal husbandry. Specifically at the following works: - Ho Tu Do is located in Y Can commune, Tran Yen district, Yen Bai province, on the right bank of the Red River in low mountainous areas with an average height of 20 to 200m. Small rivers and streams and slopes and basins are often small, so the water supply sources for lakes are often limited in the dry season. The lake is constructed of 5 small dams connected between the top of the hill. The mountains and hills around the lake have low elevations <200m. - Ho Chi Minh Lake Although located in Cuong Thinh commune, Tran Yen district, Yen Bai province, on the left bank of the Red River lies the mountain foot belt of the elephant with medium and mountainous terrain, the average height is from 50 to 200m. Small rivers and streams and slopes and basins are often small, so the water supply sources for lakes are often limited in the dry season. Surrounding the lake are consecutive hill ranges with a height of <200m. Van Chan district: Van Chan is located on the northeast side of Hoang Lien Son range. The terrain is complex, there are many forests, mountains, caves, intertwined stream streams, flat valleys. The average height is 400m above sea level. Although the terrain is quite complicated, but divided into 3 economic sub-regions: The inner region (Muong Lo field) consists of 12 communes, which are relatively flat, with Muong Lo fields of over 2,400 hectares, ranking second in four wings. Northwestern copper. Outside: including 9 communes and towns, has advantages in developing hill gardens, forest gardens and growing wet rice. Upland district: including 10 communes, with an average altitude of 600 m or more, potential in land, forest products, minerals, cattle breeding. 4.1.3. Conditions on the geological and hydrogeological conditions of the project under the subproject: Stratigraphic structure: Yen Bai is located in two structural regions of North West North and North East North, the boundary between them is a river fault. The two structural regions are all developed on the continental crust broken by the NW-SE fault system. Participating in the geological structure of Yen Bai province has high metamorphic walls, weak metamorphic formations; carbonate and green carbonate rocks; sedimentary rocks intermingled; coal terrigenous rocks; red continent; loose sediments; Intrusive magma stones. Specifically in the subproject areas as follows: - The project area of lakes in Yen Binh district is located in the area of medium metamorphic rocks including sediments, including agglomerate, quartzite quartz alternating quartz schist,

intercalated quartz-carbonate schist dolomite limestone, limestone is petrified, patchy limestone of Mia Le, Pia Phuong, Dai Thi, Song Mua, Ban Ngu, and Ban Pap formations. The project area of Tich Coc commune is composed of the Dai Thi Formation of the lower sub- formation, consisting of sandstone of diatomic form, siltstone sandstone, and shale. The project area of Xuan Lai commune is composed of the formations of the Ha Giang Formation, which is an expanse of quartz schist, clinker rock, quartzite. The project area of Vu Linh commune has the main components of gray clay soil, brownish brown, red brown and gravel, with average plasticity; The average thickness is about 10.6m. Below is a completely weathered stone and a strong weathered stone layer and a sericite quartz stone layer with a strong strength. The project area of Thac Ba town has an average layer of soil about 8.0m thick, underneath is completely weathered rock and then strong weathered rock layer to a layer of granite with block structure. - The project area of reservoirs in Van Yen district has the formation of Co Phuc Formation of Neogen age (N19cp) including formation of conglomerate, gravel, sandstone, siltstone, claystone. Due to the topographical and geomorphologic factors, the strata here have the common characteristics of metamorphic sedimentary rocks including: shale, quartz schist, quartzite, limestone lens, or distribution Metamorphic sediments mentioned above. The surface of the layer is tilted - sloping to the Northeast and Southwest with an angle of 50-60o - The project area of lakes in Luc Yen district is located in the area of medium metamorphic rocks including the carbonate terrigenous sediments distributed in the areas of Lang Phung, north of Luc Yen district, including grit and sandstone. quartzite alternating quartz schist, quartz-carbonate schist alternating dolomite limestone lens, calcified limestone, variegated limestone of Mia Le, Pia Phuong, Dai Thi, Mua Mua, Ban Ngu , Ban Pap. The project area of Muong Lai and Minh Xuan communes is composed of the Mia Lé formation, the upper stratum consists of biotite quartz schist and thin layered limestone files. - The project area of lakes in Tran Yen district is located in the area of high metamorphic rocks: exposed in the Con Voi mountain range on the left bank of the Red River, extending from Bao Yen to Van Ban, in the south of Van Chan district. including gneis rocks rich in plagioclas, biotite, silimanite, almandin, alternating and transitioning to paragneis, 2 mica schist alternating amphibolite and thin quartzite lenses, belonging to Song Hong complex and Sin Quyen formation. The project area of Cuong Thinh commune is composed of the formations of Nui Voi Formation, the upper sub-formation is the expanse of the biotit silimalite plagiogneis, the quartz schist of biotite of silicateite silimalite. The project area of Y Can commune is composed of the following formations: The terrigenous sediments containing coal are distributed into the strip on the right bank of the Red River, along the large valleys of the Red and Chay rivers, including conglomerate and gravel. , sandstone, medium-class cohesion powder alternating layers of coal clay, coal lens of Suoi Bang formation; conglomerate, gravel, siltstone, aged clay Neogen, containing lenses, brown coal seams. The Quaternary sediments are mainly distributed along the Red and Chay rivers on the alluvial and terraces, including multi-mineral gravel pebbles alternating coarse-grained sand, macadam, powdered sand and yellow, brown mahogany clay. - The project area of lakes in Van Chan district has the following specific strata: The basin of Nghia Lake Lake in Zone 2 Town of Nghia Lo Farm has the formations of Tram Tau Formation at Jurassic age - Kreta (J -Ktt) includes formations of tuf-shaped cobbles, tuf, tuf silt. The basin of Ho Thon 26 belongs to Thuong Bang La and Van Chan Communes with the formations of Suối Bàng Formation, Yên Châu Formation and Bản Cai Formation. The main walls are shales, siliceous stones, strip limestone, siliceous limestone. The Phu Nham Lake basin in the east of Phu Nham commune is composed of the Suoi Bang formation of Triat age

(T3 sb) (Figure 2) including sandstone, shale, siltstone, gravel and rock formations coal shale, coal lens. Hydrogeology: In the area of Yen Bai province, it mainly distributes fissure water types, and water distribution holes are very limited. Water holes are mainly distributed along the Red River. In the upper part, the composition is fine grain, the level of water is poor, the coarse part of the grain consists of gravel, pebbles of large size (over 10cm). According to actual observations and surveys on the face, the wells in this area are quite rich in water. Clear water, light and can be used as a source. Fissure water occupies most of the province's area. The rock containing water is quite ancient, mainly Paletozoic metamorphic sediments to Proterozoic and magma rocks. Young Mezozoi younger formations are less common. In general, the water level of cracked rock in Yen Bai is poor. According to the survey results, in Yen Bai, there is little water flow with large flow. Most circuits have Q <0.5l / s, crack water has a small total mineralization (m <0.5 g / l), water of Bicarbonat-Sodium type, neutral reaction (PH ~ 6.5 - 7.5). Good water quality, can be used to store for people, economy. 4.1.4. Climate and weather conditions Climate characteristics: Yen Bai is located in the tropical monsoon climate zone, forming 2 distinct seasons every year: - Rainy season: From April to October, the average temperature is 250C, the hottest month is July, there are days when the temperature reaches 370C - 380C. The average rainfall this season accounts for 80-85% of the annual rainfall, there are a lot of rainy days, a great intensity, especially in June, July and August, there is often heavy rain accompanied by tornadoes, hail, causing floods sweeping, flooding in rivers and streams, damaging irrigation works, can cause damage to production and life. - Dry season: From November to March of the following year, the average temperature: 180C, the coldest month is January, the lowest temperature is 10C, the rainfall of this season is too little to supply water for production and life, and thus drought should happen. Besides, hoarfrost, fog, and low sunlight also affect agricultural production, especially in 2 upland districts: Tram Tau and Mu Cang Chai. Climate sub-regions: Yen Bai can be divided into 5 sub-regions as follows: - Mu Cang Chai high mountain area: At an altitude of 800 - 1,200 m, the average temperature is from 18 - 200C, there are many hoarfrost, frost, summer with windy winds, average rainfall is 1,900 mm. Suitable for developing temperate plants and animals. - High hills and low mountains in the valley of Thao river and Chay river: At an altitude of 300-800 m, the average temperature is from 210C - 230C, the lowest is 200C, the average rainfall is 1,600 - 1,800 mm. Suitable for developing forest tree groups such as Cinnamon, wood material, big wood. - Southern Tran Yen area, Yen Bai city: The average height is from 100-300 m, the average temperature is between 230C - 240C, the lowest is 30C, the average rainfall is 1,800 - 2000 mm, and the average humidity is 87%. Winter is heavily influenced by the northeast monsoon, the region with the most drizzle in the province. The climate of this region is suitable for growing food crops, fruit trees, industrial and forestry trees. - Upper and upper regions of Van Chan district: At an altitude of 200-400 m, the average temperature is from 220C - 230C, the lowest is 10C with rainfall from 1,400 - 1,600 mm. The climate of this region is suitable for food crops, fruit trees, tea trees and forest trees.

- The highland area of southwest Van Chan: At an altitude of 800 - 1,000 m, the average temperature is 180C, the Northern rainfall is 1,800 - 2,000 mm and the south is 1,400 mm. - The area of Luc Yen - Yen Binh: At an altitude of 100 - 300 m, the average temperature is 200C - 230C, the average rainfall is 1,800 - 2,000 mm, the average humidity is 87%. Winter climate is less cold, cool in summer due to much influence of Thac Ba lake, suitable for agricultural and forestry crops, exploitation and aquaculture, especially tourism potential. Rain characteristics: In general, the rainfall in Yen Bai is relatively large, the average annual rainfall is 1,500 mm - 2,200 mm, depending on different regions. Rainy season usually lasts from May to October, rainfall in the rainy season accounts for 80-85% of the annual rainfall. Especially 3 months with high intensity of rain is June, July and August, accounting for 45 - 55% of the annual rainfall. The dry season from November to April next year, rainfall accounts for only 15-20% of the annual rainfall. December, January and February are the driest months, crops often lack water during this time. Moisture, evaporation: Humidity: Yen Bai is located in the tropical monsoon climate, so the average humidity in the province is relatively high, due to complicated terrain conditions, the climate characteristics are divided into different regions so the humidity is different between regions. Through actual data measured in some stations, the highest humidity is 94% and March in Yen Bai, the smallest humidity is 79% in July in Thac Ba area, the average humidity of the province is 86 - 88%. With this humidity, it is very suitable to develop agro-forestry crops Evaporation: Yen Bai has a relatively high moisture content, so the annual evaporation is relatively small, ranging from 600 to 700 mm. Particularly in the western area of Hoang Lien Son range due to the influence of hot and dry southwest wind (Laos wind) blowing from the mainland to the sea, the large evaporation, this area has an average annual evaporation of up to 1,000 mm. Wind and storm regime: The geographical position and terrain structure of the province have a great influence on the wind regime. In winter, the Northeast monsoon blows in the East- North direction to the South-West. In the summer, the hot and humid southeast wind blows in the southeast - northwest direction along the valleys of Thao and Chay rivers to the north of the province, facing high mountains, causing heavy rain in the mountains. For the western region of Hoang Lien Son range, there is southwest wind (Lao wind), hot dry blowing to make the climate different from the East. The swirling valleys are often Van Chan and Luc Yen. 4.1.5. River network Rivers and streams: Yen Bai province has a complex and strongly divided terrain, relatively large rainfall in Yen Bai province is quite dense, distributed throughout the territory, very convenient for construction of irrigation works. and supply daily-life water for agricultural and forestry production and daily life; contribute to regulating climate, creating a network of transporting goods, developing husbandry and aquaculture; The rivers and streams have a steep slope, which has the potential to develop hydropower especially in remote and highland communes. But in addition to the positive aspects, floods often occur in the flood season, inundation of riparian areas and large tributaries causing significant damage to agricultural production, people's properties and damaging public works irrigation process. In dry season, low water level must use pumps to exploit water sources for production and life. On average, Yen Bai receives about 13 billion cubic meters of rain from the peaks to small, concentrated streams, forming 296 streams of 4 river systems:

- Red River originates from Yunnan province - China, flows in the Northwest - Southeast direction, runs through Yen Bai province with a length of 120.5 km with a basin area of 2,700 km2, with 155 nibs and other tributaries, of which there are four major tributaries: Thia nibs, Hop nibs, Ngoi Lau and Lao fuses. - Chay river originates from Tay Con Linh mountain flowing along the Northwest - Southeast direction, flowing through Yen Bai territory with 48.3 km long, the basin area is 2,200 km2, meandering, deep and narrow riverbed , squeezing. The river basin has 97 streams, the downstream area is Thac Ba hydropower reservoir. - 42 streams of Da river system, flowing through Mu Cang Chai district, the largest tributary is Nam Kim stream. - 2 streams (Co and Nuoc Co streams) belonging to Lo river system flowing in Khanh Thien commune, Luc Yen district. Ponds, lakes and lagoons: Yen Bai has about 23,000 ha of ponds and reservoirs, including Thac Ba lake with a total area of 19,050 ha, in addition to the main effect of the reservoir of Thac Ba hydropower project and the remaining lake has the effect of supplying water for daily life, regulating climate and environment in the region and having great advantages for aquaculture and tourism development. Quality of rivers and streams, ponds and lakes of Yen Bai is generally relatively good, less polluted, meeting the requirements for production and living. Yen Bai has a significant source of groundwater, but is unevenly distributed, the water table changes, some places are only a few meters, but there are some tens of meters where there is water. It is possible to exploit groundwater to supply daily-life water through wells and drilling wells living through wells and drilling wells. 4.1.6. Biodiversity Yen Bai is a mountainous province in the Northwest region, forestry area accounts for 68.9% of the total natural area; agricultural land accounts for 15.5% of the natural area and the system of ponds and lakes is quite abundant with tropical monsoon climate conditions creating a diversity of ecosystems in the province. The abundance of animals, plants and genetic resources has contributed greatly to the province's economic development. According to the report on environmental status of Yen Bai province in 2014; Biological resources in the area with many kinds of flora and fauna in natural ecosystem conservation areas such as Mu Cang Chai Species and Habitat Conservation Area, Na Hau Nature Reserve, nature conservation area Tan Phuong commune, Luc Yen district, Thuong Bang La district, Van Chan district, Viet Hong forest in Tran Yen district, ... However, the sub-project implementation area is far from the nature conservation area. Flora The vegetation around the lake area is mainly hill gardens, including long-term industrial trees, timber trees, fruit trees and broad-leaved trees, grown at an altitude of 200-600 m. The area is covered with a quite large area in the districts of Van Yen, Luc Yen and Van Chan. In areas of valleys and rivers (Yen Binh and Tran Yen districts), food crops and vegetables are also grown. In addition, the area also has secondary shrubs and grasslands after exploitation. The construction area of the subproject items is mainly production forest vegetation, perennial industrial trees, timber trees, vegetables and regenerated shrubs such as Cinnamon, Tea, Eucalyptus, bamboo and Glue, ... and fruit trees such as oranges, grapefruit, longan, litchi, lemon, jackfruit, ...

Khe Dua Reservoir Thuong Bang La Reservoir Figure 4.2. Plant diversity in the subproject implementation area Fauna The fauna in the subproject area is mainly some species of birds such as sparrows, crests, and universal insects with local variables such as coconuts, hair clippings, etc. In addition, the aquatic system has some species of fish and reptiles such as grass carp, frog… Table 4.2. Ecosystem of 16 lakes area No. Reservoir Fauna Flora

1 Tu Do Bird, frog, insects, chickens, cows, etc Acacia, eucalyptus and shrub

2 Khe Vai Bird, frog, insects, chickens, cows, etc Acacia, eucalyptus and shrub

3 Tang An Bird, frog, insects, chickens, cows, etc Acacia, eucalyptus and shrub

4 Khe Dua Bird, frog, insects, chickens, cows, etc Acacia, eucalyptus and shrub

5 Roong Den Bird, frog, insects, chickens, cows, etc Acacia, eucalyptus and shrub

6 Goc Nhoi Bird, frog, insects, chickens, cows, etc Acacia, eucalyptus and shrub

7 Khe Hoai Bird, frog, insects, chickens, cows, etc Acacia, eucalyptus and shrub

8 Khe Hop Bird, frog, insects, chickens, cows, etc Acacia, eucalyptus and shrub

9 Hang Luon Bird, frog, insects, chickens, cows, etc Acacia, eucalyptus and shrub

10 Khe Chinh Bird, frog, insects, chickens, cows, etc Acacia, eucalyptus and shrub

11 Lang At Bird, frog, insects, chickens, cows, etc Acacia, eucalyptus and shrub

12 Chop Du Bird, frog, insects, chickens, cows, etc Acacia, eucalyptus and shrub

13 Phu Nham Bird, frog, insects, chickens, cows, etc Acacia, eucalyptus and shrub

14 Nghia Lo Bird, frog, insects, chickens, cows, etc Acacia, eucalyptus and shrub

15 Khe Ngang Bird, frog, insects, chickens, cows, etc Acacia, eucalyptus and shrub

No. Reservoir Fauna Flora

16 Thon 26 Bird, frog, insects, chickens, cows, etc Acacia, eucalyptus and shrub The flora and fauna in the subproject area is likely to be affected by the construction activities of the subproject as well as ecological sensitive objects and specific mitigation measures will be required for these ecosystems. 4.2 Impact of climate change on Yen Bai province 4.2.1. Prolonged heat on high heat background One of the effects of climate change is most pronounced in any changeusually of the weather, prolonged heat waves on high temperature have affected. Not small to the health of the people. Typical extreme weather phenomenonprolonged heat and drought occurred from 25/5 - 4/6/2015, the highest temperature was 38.1 - 40.0oC (Nghia Lo town, the highest temperature is 40oC) hot weather during this time was recorded received the hottest heat wave in 15 years, other times the highest temperature was 35.3 - 39.3oC. The prolonged heat waves are the causes that affect human health, causing drought to affect agricultural production and fisheries and increase the level of forest fire. 4.2.2. Increased cold period In addition to the prolonged heatwaves, climate change also causes problems long-lasting, cold cold objects seriously affect people and pets. In the period of 2011 - 2016, the annual average temperature in the regions in the province tends to increase; weather changes are unusual; Extreme heat-related events such as cold, cold, cold air occur earlier than the average for many years. These climate changes have directly impacted on people's life and activities, adversely affected agricultural and forestry production, increased flash floods and natural disasters; increasing social costs as well as costs for natural disasters, creating a heavy burden for a mountainous province like Yen Bai. In 2017 alone, from August to October, in the province, there were continuous floods and flash floods in districts: Tram Tau, Mu Cang Chai, Nghia Lo and Van Chan, causing hundreds of losses hectares of crops, completely collapsing hundreds of houses, destroying many roads, irrigation works, schools; swept away, killed and disappeared many people. Estimates of damage caused by flooding with the above-mentioned districts amounted to trillions of dong, accompanied by tremendous pain for families whose relatives were killed by floods. 4.2.3. Increased storms and tropical depressions and unpredictable developments The effects of climate change on Yen Bai are most evident in the characteristics of the number and frequency of storms and tropical depressions hitting the province. According to statistics of the Steering Committee for Natural Disaster Prevention and Rescue Search, Department of Agriculture and Rural Development and Hydrometeorology Station of Yen Bai province showed that in 2015, there were 23 storms and tropical depressions. In the province, causing serious damage to people and property. The storms and tropical depressions in the period from 2008 up to now have an unusually large number of frequencies, predictive characteristics and influences and do not follow the rules, thus causing many difficulties for prevention and response to incidents. 4.2.4. Forest fires, floods and dam failure incidents The situation of forest fires in Yen Bai province, especially in the western region of the province is happening very complicated. Fires occurred continuously, in many different areas,

making rescue work difficult. In 2016 alone, Yen Bai province has 21 forest fires with a total area of 18.5 ha. Most recently, according to the report of the agriculture sector from 02-04 / 3/2018, there were 2 forest fires in the province that initially identified the damage of about 07 ha of planted forest (1 case in Lang Nhi commune, Tram Tau district causes damage: 2 ha, 1 case in Phuc Son commune, Van Chan district with 5 ha damage. Estimated loss in 2016 is about VND 15 billion. Floods and storms and tropical depressions are natural disasters that cause environmental incidents. In 2016 alone, in Yen Bai province, there were 14 natural disasters (02 cold and cold spells; 06 whirlwinds; 03 storms and 3 heavy rains with thunderstorms and lightning) causing damage harm to people and houses of people. Incident of the dike was collapsed and damaged, including 02 dikes in Tran Yen district: De Cau Dat town of Co Phuc town was broken with vanes at the culvert under the foot of the dike, leaking the dike body of the village 2 to village 4, threatening the dyke break when the river is high; Phu Tho dyke in Viet Thanh commune has a sinking hole and a slippery position of the upstream dyke is in danger of breaking the dyke, causing unsafety. In the reservoirs of the subproject, storms and tropical depressions have caused the phenomenon of slipping, sliding dams and dam surface erosion, causing the risk of unsafe for downstream areas. The history of storm records shows that in 2003, floods and storms broke the dam near the spillway of Nghia Lo Farm reservoir, completely damaging houses of 29 households and losing about 5ha of area of planting crops of Nam Han 2 and Nam Han 3 villages of Phu Nham. Estimated losses amounted to VND 30 billion. In 2005, also at Nghia Lo Agricultural Lake due to the impact of the storm No. 5, it broke the dam, the incident was discovered by the management unit promptly so it did not cause significant damage. 4.3 Status of physical environment components The background environment status is shown through the parameters of soil, water and air quality, measured in the field, analyzed in the laboratory. The environmental status of the project area is evaluated by two main methods as follows: - Rapid method of measuring environment with the most advanced equipment today. - Laboratory analysis method according to Villas standards (ISO 17025: 2005) The equipment used for rapid assessment of the environment includes: Table 4. 3: Equipment name used in quick assessment of environmental status TT Equipment Environmental Component 1 HS7 – Kimoto (Air sampling equipment, Japan) Air 2 Casella – Digial dust meater (UK) Air 3 Quick meter 5 environmental indicators (Temperature, Air wind speed, humidity, light) EM5 (USA) 4 MIRAN SHAPPHIRE Model 205B - XL2A4S air Air measuring indicators (US) 5 Water quality meter TOA 22A (Japan) Water 6 Sampling equipment Soil, water 4.1.6.1. Air environment and noise The indicators for monitoring include: temperature, humidity, wind direction, wind speed,

suspended dust, and concentration of air pollutants NO2, SO2, CO. Measuring noise and vibration levels: Because the communes in the subproject area are mostly located in the valley, surrounded by hills and mountains and away from residential areas. Location of monitoring samples: Conducting measurements at the locations on the headworks of the lakes are sensitive and typical positions that describe the characteristics of the subproject area air (Geographic coordinates of Sample location and sample analysis results are in Appendix 2). - Sampling time: From November 13, 2017 to November 29, 2017 Review and evaluation: Monitoring results show that the air environment quality in the subproject implementation area is ensured compared to the standard, the area of 16 lakes is located in the valley, surrounded by hills and forests, away from the residential area, cool climatic conditions, production forest vegetation, well developed shrub, monitoring parameters are within the limits of QCVN 05: 2013/BTNMT on ambient air quality (dust, NO2, SO2, CO). 4.1.6.2. Water Environment a. Surface water - Analytical indicators: pH, TSS, DO, COD, BOD5, NH4 +, NO2-, NO3-, PO43- Pb, Zn, Fe, Cr, Hg, As, Coliform. - Methods of monitoring and analysis: Rapid measurement method in the field and taking samples to the laboratory to analyze and comply with the regulations of the Ministry of Natural Resources and Environment - Sample preservation method: Samples are taken in accordance with the current regulations and regulations of the Ministry of Natural Resources and Environment, samples are kept tightly closed and kept cold during transportation from the sampling area to the laboratory. - Location of surface water sampling points: locations for monitoring and collecting samples for surface water quality analysis (Geographic coordinates of sampling locations and sample analysis results are in Appendix 2). - Sampling time: From November 13, 2017 to November 29, 2017 Review and evaluation Comparing the results of surface water quality analysis at the monitoring sites with QCVN 08-MT: 2015 / BTNMT column B1 shows that: At the time of sampling, most of the environmental parameters are smaller than the standard respectively. So, in general, surface water quality here has not shown signs of being contaminated by activities of people. b. Groundwater - Analysis indicators: pH, CaCO3, SS, DO, NH4 +, NO2-, NO3-, Cl-, Pb, Zn, Fe, Cu, Cd, Cr, Hg, As, Coliform. - Methods of monitoring and analysis: Rapid measurement method in the field and taking samples to the laboratory to analyze and comply with the regulations of the Ministry of Natural Resources and Environment - Sample preservation method: Samples are taken in accordance with the current regulations and regulations of the Ministry of Natural Resources and Environment, samples are kept tightly closed and kept cold during transportation from the sampling area to the laboratory.

- Sample monitoring locations: Carry out sampling of groundwater in the subproject area and the nearest residential area (Geographic coordinates of sampling locations and sample analysis results see Annex 2). - Sampling time: From November 13, 2017 to November 29, 2017. Review and evaluation Through the analysis results, most of the parameters of groundwater quality analysis in the subproject area are under QCVN 09-MT: 2015 / BTNMT. However, the density of Coliforms in some locations exceeds the standard as follows: - The position of NN18 is approximately 3.7 times higher. - The position of NN23 is approximately 6.7 times higher. - NN28 position exceeds 5 times. - The position of NN31 is approximately 7.7 times higher. - The NN34 position is approximately 1.3 times higher 4.1.6.3. Earth environment - Analysis criteria: Zn, Pb, As, Cd, Cu. - Sample monitoring locations: Conduct soil sampling at the foot of the dam and downstream residential area (Geographic coordinates of sampling locations and sample analysis results see Annex 2). - Sampling time: From November 13, 2017 to November 29, 2017. Review and evaluation From the analysis results compared with QCVN 03: 2015 / BTNMT, the soil samples collected in the subproject area show signs of pollution of As content. The analytical parameters are under the permitted standards, however, As content in some locations exceeds the permitted standards, the highest concentration is in the area of Phu Nham lake with the content of As in excess 4.16 times compared with agricultural land standards and 3.12 times higher than the forestry land standards. 4.4 Socio-economic conditions of the sub-project area Yen Bai is the gateway to the Northwest, located on the midpoint of one of the main economic corridors of Kunming - Lao Cai - Hanoi - Hai Phong, with a relatively diverse transport system; The passing of Hanoi - Lao Cai expressway has created favorable conditions and opportunities for Yen Bai to enhance its integration and economic and trade exchange and socio-cultural development not only with the provinces in the region but major economic centers throughout the country but also in international economic exchanges, especially with the southwestern provinces of China and ASEAN countries. In recent years, the economic structure of Yen Bai is shifting towards reducing the rate of agriculture, forestry and fishery, maintaining the rate in the construction industry, increasing the proportion of service value; forming strategic goods products on a large scale and gradually reaching a stable level. The infrastructure system in Yen Bai, especially in rural areas, has improved markedly in recent years, the basic transport system is favorable to villages and many rural roads have been hardening. Many irrigation works have been upgraded and basically renewed the irrigation response. The rate of rural households using electricity for daily life has been improved. However, Yen Bai infrastructure still does not meet the demand of social

development. It is necessary to mobilize a lot of investment capital for the development of the infrastructure system, first of all: transportation, electricity, irrigation ... In recent years, the socio-economic situation of 5 districts in general and 14 communes in particular in the subproject area has made positive changes: stable economy and continued growth and social culture. There are new developments, security and order situation in 14 communes is well maintained, 14/14 communes meet the criteria of security and order in the criteria of new rural construction, ensuring safety social. However, the main source of income of the people is from agriculture, the main agricultural production activities are the cultivation of rice, corn and growing crops divided into 2 main seasons of the year. From February to June, the season is from August to December. In addition, some communes have a very large area of production forest land, planting long-term industrial crops with different kinds of trees with high economic value such as Tea, Cinnamon, Fruit also provides a stable income for farmers. a) Infrastructure i. Transportation Transportation infrastructure in Yen Bai province currently has 4 types of transportation: roads, railways, waterways and airways. In which, road traffic plays a key role. By the end of 2016, the road traffic network in the province has 01 highway with a length of 80.5Km; 4 national highways (QL70, QL32, QL32C and QL37) with a total length of 374Km; 14 provincial roads with a total length of 491Km; 244.5Km of urban roads; 62Km of dedicated road; 1,361 km of district roads; 3.131Km of the commune and 2,148Km of the village. In the province, there is Hanoi - Lao Cai railway line located on the economic corridor of Kunming - Lao Cai - Hanoi - Hai Phong - Quang Ninh. This railway plays an important role in transporting goods and passengers between Yunnan Province, China and Vietnam. The entire route has a length of 296Km, of which the section passing Yen Bai province has a length of 88.2Km, including 10 stations (01 grade 2 and 09 grade 4 stations). This is a single meter railway, built in the late 19th century and put into operation in the early 20th century. The waterway in Yen Bai province is formed on two main areas: the waterway of the Red River and the waterway of Thac Ba Lake. - The Red River route running through the territory of Yen Bai province has the characteristics of a mountainous and river river in a natural state with a length of 90km managed by the Northern Inland Waterway Administration and the Region II Waterway Port Authority. Currently, only 10km downstream from Van Phu bridge to Yen Bai city of grade IV river is circulated all year round; The section from Yen Bai City - Lao Cai is 80km long without technical decentralization, there are many rapids, shallow beaches, dry season and dry season, fast flooding season is only suitable for small vehicles. - Inland waterway of Thac Ba Lake holds an important position in inland waterway transport, affecting the climate and environment of 2 districts of Yen Binh and Luc Yen and ensuring the transport of materials for the southern industrial park of the province. Currently management agencies are the Department of Inland Waterway Management in the North and the Waterway Port of Region II has installed a waterway signaling system on some main routes, convenient transportation and transportation facilities around year. Yen Bai has an airport located close to the city, this is a level II military airport qualified for medium and light aircraft to go up and down like A320 and AL26. The runway system is 02 km long and the parking space is suitable for medium-class military aircraft. The system of flight control radio control stations is managed by the Ministry of Defense. At present, Yen Bai airport has favorable conditions, can be upgraded to become a mixed airport of military

and civil aviation station serving the provinces in the Northwest region such as Yen Bai, Lao Cai, Tuyen Quang , Ha Giang. ii. Irrigation infrastructure In addition to solidifying the main canals, the in-field canal system in the subproject communes has also been completed, step by step concretized, convenient for active irrigation. Besides, Yen Bai province has instructed localities to continue upgrading in-field irrigation systems to effectively use irrigation water. The current status of transport and irrigation infrastructure in the sub-project communes is described in the table below. Table 4.4. Transport and irrigation infrastructure of communes under the subproject Name Infrastructure 1, Y Can The system of inter-commune, inter-village roads and village roads has commune, Tran been hardened over 70% for better travel and trade; The system of intra- Yen district field roads and roads to production areas has a total length of about 12 km, which has not yet been hardened. The irrigation system of the commune ensures irrigation for 80% of cultivated land. The post-public canal in Tu Do reservoir, which is about 14 km long, has hardened 12 km but has deteriorated and damaged. Low channel bottom elevation, water overflows through the canal, difficult to bring water downstream. 2, Cuong Thinh The system of inter-communal and inter-village roads and hamlets and commune, Tran hamlets is hardened about 75%; The system of intra-field roads and roads Yen district leading to new production areas is hardened with the remaining 20% being dirt roads. Irrigation system ensures active irrigation for 70% of cultivated land. The main canal section connecting to Chop Du reservoir is about 4.5 km long and has been 100% cultivated, ensuring water for production .. 3, Xuan Ai The system of inter-commune and inter-village roads and hamlets and commune, Van hamlets will be hardened about 90%; The system of intra-field roads and Yen district roads to new production areas is hardened with the remaining 70% being dirt roads. The commune's irrigation system has a total length of 17km, has been hardened to 90%, ensuring active irrigation for 85% of cultivated land. The main canal section connecting to Khe Vai reservoir is about 5km long and has been 100% cultivated, ensuring irrigation water for production. 4, Yen Phu The system of inter-commune and inter-village roads and hamlets and commune, Van hamlets will be hardened about 90%; The system of intra-field roads and Yen district roads leading to new production areas is hardened with the remaining 50% being dirt roads. The commune's irrigation system has been hardened to 80%, ensuring irrigation for 80% of cultivated land. The main canal section connecting to Khe Dua reservoir is about 5km long and is 100% cultivated, ensuring irrigation water for production.

5, An Thinh The system of inter-commune and inter-village roads and hamlets and commune, Van hamlets has been hardened to about 85%; The system of intra-field roads Yen district and roads leading to new production areas is hardened with the remaining 60% being dirt roads. The commune's irrigation system has been hardened 70%, ensuring active irrigation for 75% of cultivated land. The main canal section connecting to Khe Chinh reservoir is about 3km long and has been 100% cultivated, however deteriorated; Currently being built to upgrade the canal system with concrete .. 6, Yen Hop The system of inter-communal and inter-village roads and hamlets and commune, Van hamlets is hardened about 75%; The system of intra-field roads and roads Yen district to new production areas is hardened with the remaining 70% being dirt roads. The commune's irrigation system has a total length of 21km, has hardened 90%, ensuring active irrigation for 90% of cultivated land. The main canal section connecting with 2 reservoirs of Khe Hop and Khe Ngang is 2.0km long and 1.5 km long, which is 100% hardened, ensuring water for production. 7, Mương Lai The system of inter-commune, inter-village roads and village roads, the commune, Luc road to the production area has a total length of 26.1 km, has just been Yen district hardened 12.5 km (accounting for 47.9%), the rest is the road land. The irrigation system of the commune has a total length of 88.7 km, has been hardened to 44 km (accounting for 50%), ensuring active irrigation for 82% of cultivated land. The main canal section connecting with 2 Roong Den and Tang An reservoirs has a total length of 7 km which has been hardened 100%, ensuring irrigation water for production. 8, Minh Xuan The system of inter-commune and inter-village roads and hamlets and commune, Luc hamlets will be hardened about 90%; The system of intra-field roads and Yen district roads leading to production areas with a total length of 6 km will be hardened to 1 km, the rest is dirt roads. The commune's irrigation system is only 60% solidified, ensuring irrigation for 71% of cultivated land. The main canal section connecting to the village of Ai A reservoir has a total length of 1 km which has been hardened to 0.7 km, but the canal has deteriorated and the irrigation efficiency is not high. Lang Ai Lake also serves domestic water supply for more than 200 households, the water plant currently works well. 9, Tich Coc The system of inter-communal and inter-village roads and hamlets and commune, Yen hamlets is hardened about 70%; The system of intra-field roads and roads Binh district leading to production areas has a total length of about 11 km, which is completely dirt road. The commune's irrigation system has a total length of 10km, has hardened 6.0km (accounting for 60%), ensuring active irrigation for 74% of cultivated land. The main canal section connecting to Khe Hoai reservoir has a length of 2.5 km which has been hardened 100%, ensuring irrigation water for production. 10, Vu Linh The system of inter-communal and inter-village roads and hamlets and

commune, Yen hamlets is hardened to about 80%; The system of intra-field roads and Binh district roads leading to production areas has a total length of about 8 km, which is hardened to 4 km, the rest is dirt roads. The commune's irrigation system has a total length of 20km, has been hardened by 50%, ensuring active irrigation for over 90% of cultivated land. The main canal section connecting to Hang Luon reservoir has a length of 1.5 km has been hardened 100%, ensuring irrigation water for production. 11, Xuan Lai The system of inter-commune and inter-village roads and hamlets and commune, Yen hamlets has been hardened to about 85%; The system of intra-field roads Binh district and roads leading to production areas with a total length of about 13 km is hardened 7.0 km, the rest is dirt roads. The commune's irrigation system has a total length of 22km, has hardened 60%, ensuring active irrigation for over 85% of cultivated land. The main canal section connected to Goc Nhoi water reservoir with a length of 3.5 km has been hardened 100%, ensuring irrigation water for production. 12, Thuong Bang The system of inter-commune and inter-village roads and hamlets and La commune, Van hamlets has been hardened about 87%; Intra-field roads, roads leading to Chan district production areas have a total length of about 9.0 km, which is completely dirt road. The commune's irrigation system has been hardened 60%, ensuring active irrigation for over 65% of cultivated land. The main canal section connecting to the reservoir of 26 hamlets with a length of 0.6 km has been hardened 100%, ensuring irrigation water for production. 13, Phu Nham The system of inter-commune, inter-village roads, village roads and commune, Van hamlets, the road to the production area has a total length of 53km, only Chan district hardened 26.5 km (accounting for 50%), the rest is dirt road. The irrigation system of the commune has a total length of 65km which has been hardened to 70%, ensuring active irrigation for over 95% of cultivated land. The main canal section connecting to Phu Nham reservoir has a length of 3.0km which has been hardened to 1.0km, and 2.0km is a soil canal. 14, Nong truong The system of inter-commune, inter-village roads, village roads and Nghia Lo town hamlets, roads to production areas with a total length of 23km, have been town, Van Chan hardened by 19.5 km (accounting for 85%), the rest are dirt roads. district The irrigation system of the commune has a total length of 12km, hardening 80%, ensuring active irrigation for over 90% of cultivated land. The main canal section connecting to the NTNL reservoir with a length of 1.0km has been hardened to 0.7km, the rest is earth canal. iii. Water supply Households in the subproject area mainly use drilled / dug wells for eating / drinking / bathing / washing, or generally for domestic use, the response rate is 92.78% used for eating / drinking as well as bathing and having 5.6% using water from ponds, lakes and rivers for drinking and 5.74% for bathing and washing. Area of communes in the subproject No commune has a clean water plant yet, a small number of households have access to clean

water for drinking and bathing due to the use of clean water pipes from other commune clean water plants . Water used for production comes mainly from irrigation systems (86.58%), and natural river / stinger systems (9.2%), then wells / excavations are 7.22%. If the concept of clean water is relatively rural, so well / drilled wells with people in the project area are considered to be relatively secure in terms of water for drinking. However, in some communes such as Xuan lai and Vu Linh (Yen Binh district); Minh Xuan commune, Luc Yen district and Thuong Bang La commune, Van Chan district, still have households using ponds and lakes as a source of drinking water, especially in Vu Linh commune, accounting for 22.86% of households surveyed. iv. Waste treatment - In Yen Binh district: Since 2015 domestic waste in Yen Binh town and a number of production and business establishments of the town are collected and transported to Nam Thanh Environment and Energy Joint Stock Company for processing. . In Thac Ba town, garbage is collected and transported for disposal at Vinh Kien landfill. Garbage at medical facilities has been collected and treated by separate incinerators at the medical center. The communes in rural areas do not have a waste collection team yet, but the amount of waste in rural areas is mainly organic waste, most families have dug from 01 to 02 burial sites, environmental hygiene. - In Tran Yen district: A sanitary waste treatment area in Bao A commune is operated to treat waste with an average of 18m3 / day. Garbage is classified separately from ordinary waste and hazardous waste, then concentrated at the specified location to wait for treatment in accordance with the plan of burning or burying. However, this waste treatment area can only meet Co Phuc town and some neighboring communes. Most communes in the district do not have environmental sanitation teams, have not been able to arrange waste collection areas, mainly due to households being treated by burning or buried at home gardens. The district health center has been invested to build a system for treating medical waste (both solid waste and liquid waste) to ensure environmental standards. 100% of medical waste in the district is collected and disposed at district health centers. - In Van Yen district: Waste in Mau A town is collected by the Urban Environmental Hygiene Team. Waste is collected after being collected to Mau A town landfill for burial. The amount of waste collected in the town is about 70%, the rest is collected and treated in household garbage pits in the form of burning and burial. For domestic waste in rural areas, 23 out of 26 communes have established waste collection teams operating in the center of the commune. Waste is collected and gathered to the concentrated landfill of the commune, then sorted and processed in the form of burning and burial. In addition, in residential and village areas, domestic waste is treated on-site with household garbage. Medical waste is collected and treated separately at district health centers. - In Luc Yen district: Garbage of Yen The town and a part of households on the main roads in the neighboring communes are collected and transported to the central garbage disposal area in Lieu Do commune; Waste is treated by landfilling and spraying chemicals to help decompose and prevent flies and mosquitoes. The main roads in Yen The town are collected daily, ensuring environmental hygiene. However, because there is no dedicated vehicle for transportation, the collection is still limited. Households living in small alleys have not been collected. Garbage in communes is mostly handled by households on their own by burning and burying. Medical waste is collected and treated separately at district health centers.

- In Van Chan district: The district has 01 garbage dump concentrated in Son Thinh commune, treating waste for 03 communes and townships: Nong truong Nghia Lo town, Son Thinh commune, Dong Khe commune. The treatment of domestic waste has not yet been classified at the source, only collected daily and transported to the garbage. Waste in the remaining communes is mostly handled by households on their own by burning and burying. v. Current status of electricity supply The current status of electricity use in the subproject districts is presented in the following table: Table 4.5. Current status of power supply in the subproject area Location Current status 1 Yen Binh District Yen Binh has 220.13 km of medium voltage lines, 221.99 km of 0.4 KV lines (including 149.71 km of 3-phase 4-wire lines; 30.05 km of 2-phase 3-wire lines and 42. 23 km of 1-phase 2-wire transmission line, 150 transformer stations with a total capacity of 117,782 KVA; 100% of communes and towns have access to the national electricity grid, 99% of households use electricity, of which 80% use electricity to ensure quality. Currently, some 0.4 KV electric transmission lines made by the people themselves have not met the technical standards, so the quality of electricity used is low. 2 Tran Yen Power supply for Tran Yen district area is taken from Yen Bai District E12.1 110kV substation, through the medium voltage line including DZ 35kV: 372E12-1 roads; 374E12-1; Road ĐZ 10kV: 971T12-3.100% of communes with national power grid, the rate of households using national grid of good quality reaches 99.6%. At present, the district of Khe Tien village in Hong Ca commune has not yet used the national grid and the degraded 0.4KV transmission line system does not meet the technical standards. 3 Van Yen District The whole district has 205 transformer stations in which the 35 / 10kV intermediate station has 01 station and distribution station of 35 / 0.4 kV with 179 stations. Particularly, the town area has 18 stations including 1 intermediate station 35/10 kV, 11 distribution stations 35 / 0.4 kV; 6 distribution stations of 10 / 0.4kV; 4.5 km of 35kV line; 3.84 km of 10 kV line; 16 km of 0.4 kV line is enough to supply electricity to the agencies and people in the district for production, business and daily life. At present, 27/27 communes and towns have national electricity grid, 278/312 villages have electricity grid and the remaining 34 villages in special difficult areas have no electricity. Number of households without electricity 2,816 households / 32,430 households 4 Luc Yen District The district has 142 distribution transformer stations with a total capacity of 19,144 KVA, of which: 134 stations 35 / 0.4KV with a total capacity of 1764 KVA; 08 10 / 0.4 KV stations with a total capacity of 2,080 KVA. The electricity system has been lit up to all 24/24 communes, towns and villages in the district, the rate of households using electricity is 99%, 47 households without

Location Current status electricity are scattered households. away from residential areas, there is no incoming line. 5 Van Chan District The electricity system in the district is basically meeting the needs of living as well as socio-economic development. Currently, the national grid system has pulled up to 31/31 township units with a total of 163 transformer stations, a total capacity of 19,560KVA, a line system of 758Km of medium and low voltage lines. Percentage of households using safe electricity grid reached 95%, while 28 villages have not yet used the national electricity grid (national electricity has not yet reached the village center) but some households still use the water system. Small electricity to meet the needs of living and economic development. Source: Report on adjustment of socio-economic master plans of districts to 2020 and vision to 2030. b) Physical and intangible cultural properties There is no cultural or archaeological site within the construction scope of the subproject. Therefore, the impact of the project on physical and intangible cultural assets is not available. c) Regarding security work Security is well maintained and implemented, the situation of political security, social order and safety in the communes is kept stable, there are no passive and unexpected cases. Not to form a hot spot for political security, there are no complaints and petitions for people overcoming levels and complicated and pressing cases among the people. Permanent residence management is interested in directing. Police town / commune regularly organize accommodation and temporary checks to ensure the security situation in the locality. Workers and engineers of TDA from other places to work will be registered for temporary residence in the locality to ensure good security work, avoid disorder and disturb the lives of local people. d) Regarding the current situation of using fertilizers and plant protection drugs The subproject is implemented in 14 communes of 5 districts with similar natural and socio- economic conditions, agricultural production activities mainly include rice, maize cultivation and crops divided. 2 main crops in the year, the harvest from February to June, the crop from August to December, in addition, some communes have a very large area of production forest land, planting valuable perennial industrial crops. High economy such as Tea, Que, and Fruit trees also bring stable income for people. The use of plant protection drugs (pesticides) to control pests and diseases of crop protection is also an important factor in production development. In recent years, due to intensive farming, increasing area, changing plant structure, the situation of pests and diseases has been more complicated, so the popular method of agricultural production when crops are exported. Currently, pests and diseases are using pesticides. Pesticides are used by people with unscientific doses and at the right time, which can have unpredictable consequences for plants as well as for public health. Besides, it can pollute water sources, pollute the living environment and break down the field ecosystem. However, for the subproject communes, the situation of using well-controlled pesticides by the people who do agricultural production in addition to the market is still self-sufficient for their own lives so pesticides are used less. The average amount of pesticide used in subproject communes is about 0.9kg /ha. The amount of fertilizer used in the subproject area is met enough to meet the nutritional requirements according to the temporary norms of the district agricultural extension center. The main types

of fertilizer used include Urea, Lan Supe, Potassium Chloride with an amount of 250kg /ha, 515kg /ha, 120kg /ha respectively. Table 4.6. Current status of using fertilizers and pesticides

Irrigation Current use of fertilizers and pesticides area for No. Location Potassium one year Urea Supe Pesticides Chloride (ha) (tons) (tons) (kg) (tons) 1 Reservoirs Tu Do 145 36.3 74.7 17.4 130.5 2 Reservoirs Khe Vai 108 27.0 55.6 12.96 97.2 3 Reservoirs Tang An 218 54.5 112.3 26.16 196.2 4 Reservoirs Khe Dua 104 26.0 53.6 12.48 93.6 5 Reservoirs Roong Den 162 40.5 83.4 19.44 145.8 6 Reservoirs Goc Nhoi 16 4.0 8.2 1.92 14.4 7 Reservoirs Khe Hoai 44 11.0 22.7 5.28 39.6 8 Reservoirs Khe Hop 24 6.0 12.4 2.88 21.6 9 Reservoirs Hang Luon 75 18.8 38.6 9 67.5 10 Reservoirs Khe Chinh 20 5.0 10.3 2.4 18 11 Reservoirs Lang At 117 29.3 60.3 14.04 105.3 12 Reservoirs Chop Du 70 17.5 36.1 8.4 63 13 Reservoirs Phu Nham 22 5.5 11.3 2.64 19.8 Reservoirs Nong 14 truong Nghia Lo town 107 26.8 55.1 12.84 96.3 15 Reservoirs Khe Ngang 16 4.0 8.2 1.92 14.4 16 Reservoirs thon 26 24 6.0 12.4 2.88 21.6 Source: Extension Center - Department of Agriculture and Rural Development in Yen Bai province e) Education In 14 communes all are equipped, newly built schools at all levels, meeting the criteria of educational culture in new rural construction. Table 4.7. Educational status of 14 sub-project communes Number No. Location School Class Teacher Student 1 An Thinh 3 62 81 1873 2 Y Can 2 22 31 683 3 Yen Hop 2 31 52 913

Number No. Location School Class Teacher Student 4 Xuan Lai 3 31 57 717 5 Muong Lai 3 27 37 786 6 Yen Phu 2 34 51 1023 7 Cuong Thinh 2 18 27 450 8 Xuan Ai 2 32 56 751 9 Tich Coc 2 30 50 879 10 Vu Linh 3 27 44 866 11 Minh Xuan 3 32 42 927 12 TB La 3 49 65 1472 13 Phu Nham 3 48 88 1432 14 NTNL 2 20 32 560 Source: 2017 socio-economic report of 14 communes In recent years, the socio-economic situation of 14 communes in the subproject area has made positive changes: stable economy and continued growth, social culture has new developments, security and order situation in 14 communes is well maintained. The socio-economic situation of 14 communes is summarized in the table below Table 4. 8: Summary of socio-economic situation in 14 communes in the subproject area Location Economic conditions Social conditions 1 Y Can -The economic - The whole commune has 966 households, the total commune structure: population is 3,556 people. Natural population growth – Tran + Agriculture - Forestry rate: 1.1%. Yen - Fishery production - The number of poor households is 179, accounting for district accounts for 85% 22.5%, and near poor households are 133 households, +Industry - Construction accounting for 16.7%. 7%. - Health care and people's health care are paid attention + Services - Trade 8% to, the rate of malnourished children under 5 years old is still below 11%, the proportion of children under 1 - Per capita income year of age being vaccinated expanded 95% reached 22 million VND / person / year. - Environmental sanitation: The rate of households using hygienic water reaches 95%; The proportion of - Total income of 2017: rural households with hygienic latrines reached 71.8%. 77 billion. - The spiritual and cultural life is focused, the number of households meeting cultural family standards is 76%. - Percentage of households using the national grid reaches 100%.

2 Cuong - Revenues from - The whole commune has 698 households with a total Thinh agriculture, forestry and population of 2,566 people. Natural population growth commune, forestry and livestock: rate: 1.0% Van Yen VND 118.5 billion, - The number of poor households is 164, accounting for district accounting for 98.8%. 23.73%, the number of near poor households is 101 - Revenues from households, accounting for 14.62%. services, handicrafts, - Health work: The rate of malnourished children under construction: 1.45 5 years old is still below 17%. The proportion of billion VND, children under 1 year of age vaccinated expanded to accounting for 1.2%. 99.5%. - Average per capita - Environmental sanitation: The rate of households food in 2017 is 382 kg / using hygienic water reaches 90%; The rate of rural person / year. households with hygienic latrines is 70%. - Average income per - The spiritual and cultural life is focused, the number capita: VND 26,100,000 of households meeting cultural family standards is / person / year. 82%. - Percentage of households using the national grid reaches 100%. 3 Xuan Ai - Revenues from - The whole commune has 1,065 households, the total commune, agriculture, forestry and population is 3,930 people. Natural population growth Van Yen forestry and livestock: rate: 1.1% district VND 97.8 billion, - The number of poor households is 119 households, accounting for 68.5%. accounting for 11.2%, 134 poor households are 134 - Revenues from households, accounting for 12.6%. services, handicrafts and - Health work: The rate of malnourished children under construction: VND 45 5 years old is still below 15%. The proportion of billion, accounting for children under 1 year of age vaccinated expanded to 31.5%. 99.5%. - Average food per - Environmental sanitation: the percentage of capita in 2016 reached households using hygienic water reaches 74%; The 467 kg / person / year. percentage of rural households with sanitary latrines - Average income per reached 83%. capita: VND 26,000,000 - Culture: 80% of households meeting cultural family / person / year. standards - Percentage of households using the national grid reaches 100%. 4 Yen Phu - The economic - The whole commune has 1,300 households, the total commune, structure: population is 7,788 people. Natural population growth Van Yen + Agriculture and rate: 1.04%. district forestry: 50% - Number of poor households is 155, accounting for + Industry, Techmart: 11.93%, near poor households are 239 households, 30% accounting for 18.4%. + Trade and services; - Health work: The rate of malnourished children under 20% 5 years old is still below 16%. The proportion of

- Average food per children under 1 year of age vaccinated expanded to capita in 2017 is 467 kg 99.7%. / person / year. - Environmental sanitation: The rate of households - Average income per using hygienic water reaches 95%; The proportion of capita: VND 26,000,000 rural households with hygienic latrines is 76.8%. / person / year. - Culture: 85% of households meeting cultural family - Total income of standards 2017: VND 207.1 - Percentage of households using the national grid billion. reaches 100%. 5 An Thinh - The economic - The whole commune has 2,386 households, the total commune, structure: population is 9,462 people. Natural population growth Van Yen rate: 1.15%. + Agriculture and district forestry: 57% - Number of poor households is 754 households, + Industry, Techmart: accounting for 32.24%, near poor households are 250 23% households, accounting for 10.69%. + Trade and services; - Health work: The rate of malnourished children under 20% 5 years old is still below 15.8%. The proportion of children under 1 year of age vaccinated expanded to - Average per capita 99.0%. food in 2017 reaches 417 kg / person / year. - Environmental sanitation: The rate of households using hygienic water reaches 85.5%; The proportion of - Per capita income rural households with hygienic latrines is 84.2%. reaches: VND 28,000,000 / person / - Culture: 78% of households meeting cultural family year. standards - Total income of 2017: - Percentage of households using the national grid 265 billion. reaches 100%. 6 Yen Hop - The economic - The whole commune has 1,140 households with a commune, structure: total population of 3,765 people. Natural population Van Yen + Agriculture and growth rate: 1.17%. district forestry: 50% - The number of poor households is 217 households, + Industry, Techmart: accounting for 19.03%, near poor households are 140 30% households, accounting for 12.27%. + Trade and services; - Health work: The rate of malnourished children under 20% 5 years old is still below 14.5%. Proportion of children under 1 year of age vaccinated expanded 97.4%. - Average income per capita in 2017 is 446 kg - Environmental sanitation: The rate of households / person / year. using hygienic water reaches 89.9%; The proportion of rural households with hygienic latrines reached 73.8%. - Average income per capita: VND 27,000,000 - Culture: 72% of households meeting cultural family / person / year. standards - Total income of 2017: - Percentage of households using the national grid VND 101.7 billion. reaches 100%.

7 Muong - The economic - The whole commune has 1,776 households with a Lai structure: total population of 7,702 people. Natural population commune, + Agriculture and growth rate: 1.2%. Luc Yen forestry: 83% - The number of poor households is 566 households, district + Industry, Techmart: accounting for 32.6% and 487 households are poor 7% households, accounting for 28%. + Trade and services; - Health work: The rate of malnourished children under ten% 5 years old is still below 19%. Proportion of children under 1 year of age vaccinated expanded 95.8%. - Average per capita food in 2017 reached - Environmental sanitation: The rate of households 590 kg / person / year. using hygienic water reaches 90.6%; The proportion of rural households with hygienic latrines is 69.3%. - Per capita income reaches 13,000,000 - Culture: the number of households meeting cultural VND / person / year. family standards is 52% - Total income of 2017: - The rate of households using the national grid reaches VND 100 billion. 98% 8 Minh - The economic - The whole commune has 1,873 households, the total Xuan structure: population is 7,492 people. Natural population growth commune, + Agriculture and rate: 1.0%. Luc Yen forestry: 52% - The number of poor households is 292 households, district + Industry, Techmart: accounting for 15.59%, the near poor households are 299 households, accounting for 15.96%. 18% + Trade and services; - Health work: The rate of malnourished children under 30% 5 years old is still below 12.8%. The percentage of children under 1 year of age vaccinated expanded - Average food per 98.9%. capita in 2017 is 432 kg / person / year. Environmental sanitation: The rate of households using hygienic water reaches 95%; The proportion of rural - Average income per households with hygienic latrines reaches 72%. capita: VND 25,000,000 / person / year. Culture: 62% of households meeting cultural family standards - Total income of 2017: Percentage of households using the national grid VND 187 billion. reaches 100% 9 Xuan Lai - The economic - The whole commune has 766 households, the total commune, structure: population is 3,315 people. Natural population growth Yen Binh + Agriculture and rate: 1.1%. district forestry: 85% - The rate of poor households is 6%, the number of + Industry, Techmart: near poor households is 487 households, accounting for 6% 28%. + Trade and services; - Health work: The rate of malnourished children under 9% 5 years old is below 12.7%. The proportion of children under 1 year of age vaccinated expanded 99%. - Average per capita - Environmental sanitation: The rate of households food in 2017 reached

590 kg / person / year. using hygienic water reaches 90.5%; The rate of rural - Per capita income households with hygienic latrines is 79.7%. reaches: 18,000,000 - Culture: 65% of households meeting cultural family VND / person / year. standards - Total income of 2017: - Percentage of households using the national grid VND 60 billion. reaches 100%. 10 Tich Coc - The economic - The whole commune has 542 households with a total commune, structure: population of 2,212 people. Natural population growth Yen Binh + Agriculture and rate: 1.03%. district forestry: 90% - The rate of poor households is 39.96%, near poor + Industry, Techmart: households are 156 households, accounting for 28.7%. 3% - Health work: The rate of malnourished children under + Trade and services: 5 years old is below 9.6%. The percentage of children 7% under 1 year of age vaccinated expanded 100%. - Average of food per - Environmental sanitation: The rate of households capita in 2017 reaches using hygienic water reaches 90.5%; The rate of rural 338.2 kg / person / year. households with sanitary latrines is 30.44%. - Per capita income - Culture: 55% of households meeting cultural family reaches: VND standards 16,000,000 / person / - Percentage of households using the national grid year. reaches 100%. - Total income of 2017: VND 45 billion. 11 Vu Linh - The economic - The whole commune has 1432 households with a commune, structure: total population of 5669 people. Natural population Yen Binh + Agriculture and growth rate: 1.05%. district forestry: 90% - The number of poor households is 421 households, + Industry, Techmart: accounting for 31.46%, the number of poor households 3% is 128 households, accounting for 9.56%. + Trade and services: - Health work: The rate of malnourished children under 7% 5 years old is still below 15.1%. The proportion of children under 1 year of age vaccinated expanded to - Average food per 99.9%. capita in 2017 is 324 kg / person / year. - Environmental sanitation: the proportion of households using hygienic water reaches 96.1%; The - Per capita income rate of rural households with hygienic latrines is reached: 17,000,000 67.1%. VND / person / year. - Culture: the number of households meeting cultural family standards is 75% - Percentage of households using the national grid reaches 100%. 12 Thuong - The economic - The whole commune has 2,114 households, the total Bang La structure: population is 8,489 people. Natural population growth commune, rate: 1.2%.

Van Chan + Agriculture and - The number of poor households is 228 households, district forestry: 90% accounting for 11.28%, the number of poor households + Industry, Techmart: is 127 households, accounting for 6.23%. 3% - Health work: The rate of malnourished children under + Trade and services: 5 years old is 22.5%. The proportion of children under 7% 1 year of age vaccinated expanded to 99.5%. - Average per capita - Environmental sanitation: the rate of households food in 2017 reached using hygienic water reaches 92.7%; The proportion of 652 kg / person / year. rural households with hygienic latrines reaches 72%. - Average income per - Culture: 48% of households meeting cultural family capita: VND 24,000,000 standards / person / year. - The rate of households using the national grid reaches - Total income in 2017: 99.8% VND 203 billion. 13 Phu - The economic - The whole commune has 1,876 households, the total Nham structure: population is 7,584 people. Natural population growth commune, + Agriculture and rate: 1.0%. Van Chan forestry: 62% - The number of poor households is 228 households, district + Industry, Techmart: accounting for 11.28%, the number of poor households 8% is 127 households, accounting for 6.23%. + Trade and services; - Health work: The rate of malnourished children under 5 years old is still below 21%. The proportion of 30% children under 1 year of age vaccinated expanded to - Average per capita 99.8%. food in 2017 reaches 680 kg / person / year. - Environmental sanitation: the proportion of households using hygienic water reaches 96.5%; The - Per capita income rate of rural households with hygienic latrines reached reaches: 29,000,000 82.1%. VND / person / year. - Culture: 78% of households meet cultural family - Total income of 2017: standards. VND 220 billion. - Percentage of households using the national grid reaches 100%. 14 Nong - The economic - The whole commune has 723 households, the total truong structure: population is 3,235 people. Natural population growth Nghia Lo + Agriculture and rate: 1.0%. town, Van forestry: 68% - The rate of poor households is 6%, the number of Chan near poor households is 87 households, accounting for district + Industry, Techmart: 20% 12%. + Trade and services; - Health work: The rate of malnourished children under twelfth% 5 years old is still below 12.1%. The percentage of children under 1 year of age vaccinated expanded - Average income per 100%. capita in 2017 is 490 kg / person / year. - Environmental sanitation: the percentage of households using hygienic water reaches 100%; The

- Per capita income proportion of rural households with hygienic latrines is reaches: VND 84.7%. 28,000,000 / person / - Culture: the number of households meeting cultural year. family standards is 84% - Percentage of households using the national grid reaches 100%. Source: 2017 socio-economic report and socio-economic direction and tasks in 2018 of 14 communes in the subproject. In general, the economy of the communes in the beneficiary area of the project still maintains a good growth rate in most sectors. Agricultural and forestry production continued to achieve positive results. Agriculture and forestry still accounts for a high proportion of the commune's economic structure: Thuong Bang La and Vu Linh, Tich Coc accounts for more than 90% of the commune's economic proportion. Besides, industry and handicrafts are also developing in some communes such as Yen Phu, An Thinh ... The communes continue to implement well the work of hunger elimination and poverty reduction and create jobs for workers. The education and training work continues to be strengthened, the level of teachers is gradually standardized; well maintain the education universalization. Cultural, artistic, physical training and sports activities have been exciting and social security has been maintained, contributing to the socio-economic stability of communes in the year and tending to develop steadily and firmly, creating a premise to successfully achieve the socio-economic development objectives and tasks of the next year and the following years. However, in addition to the achieved results, there are still some shortcomings and limitations that need to be overcome: The people's awareness of environmental protection is still limited, people's waste is not yet collected. Thoroughly collect. The rate of poor households in communes is still high: typically in Muong Lai commune 32.6%, Xuan Lai 44.14%, Tich Coc 39.96% ... 4.5 Summary of survey results of subproject communes Based on the basic design, the Consultant and staff of PMUs and cadastral officers in 14 communes list the households affected by each project in each commune. On the basis of the list of AHs provided by local authorities, the consultant consulted 100% of AHs (38 households) directly and indirectly (in which 07 households are expected to permanently lose part of production land); 679 households are located in beneficiary areas for interview with questionnaires. Of the 679 households interviewed, 153 were answered by women. Cases of in-depth interviews and group discussions were selected from the list of affected households and key informants at the PMU of Yen Bai Province, for agricultural and rural development projects set at local people's committees of communes and departments. Each group discussion is from 6-8 people. The consultant has set up a research team consisting of 6 key experts (including a sub-team in charge of the social evaluation of the subproject) and field survey experts to perform the tasks. From the approach to household livelihood resources, this section will analyze the socio-economic characteristics of the surveyed households by resources: human capital (demographics and labor, education, occupation health), capital of natural resources (production land: agricultural land, forestry land and aquaculture land, land use rights), physical capital (houses, properties used for living and property used for production and business), financial capital (income, living standards change, poverty, borrowing), and social capital (community relations, relatives, government and their support ) and consider the impact factors including potential project impacts. Summary of survey results is detailed in the following sections:

4.5.1 Demography The average number of people in a household in the project area is 3.13, of which Yen Binh is 3.66 people; Van Yen district has 2.49 people; Luc Yen district is 3.22 people; Tran Yen district is 2.64 people and Van Chan district is 3.34 people. According to gender, male surveyed household heads account for 85.71%, female heads are only 14.29%. Table 4. 9: Number of household members By number of people per household Average Location >= 9 ppl/household 1-2 ppl 3-4 ppl 5-8 ppl ppl Total 3.13 34.32 56.41 8.98 0.29

By commune Yen Binh district 3.66 12.00 72.00 16.00 0.00 Xuan Lai communes 3.42 10.53 78.95 10.53 0.00 Vu Linh communes 3.73 10.00 75.71 14.29 0.00 Tich Coc communes 3.49 17.78 73.33 8.89 0.00 Van Yen district 2.49 64.94 31.17 3.90 0.00 Yen Hop communes 2.25 70.45 29.55 0.00 0.00 An Thinh communes 2.80 46.67 53.33 0.00 0.00 Yen Phu communes 3.00 46.67 33.33 20.00 0.00 Xuan Ai communes 2.22 82.00 18.00 0.00 0.00 Luc Yen district 3.22 21.58 71.94 6.47 0.00 Minh Xuan communes 2.72 38.89 61.11 0.00 0.00 Muong Lai communes 3.53 10.59 78.82 10.59 0.00 Tran Yen district 2.64 51.06 48.93 0.01 0.00 Cuong Thinh 2.86 33.33 66.67 0.00 0.00 communes Y Can communes 2.31 78.38 18.92 2.70 0.00 Van Chan district 3.43 32.22 51.11 14.44 1.11 Thuong Bang La 3.41 28.26 56.52 13.04 2.17 communes Phu Nham communes 3.45 36.36 45.45 15.91 2.27

By Ethnicity + Kinh 51.40 67.38 42.30 45.90 100.00 + Minority 48.60 32.62 57.70 54.10 0.00 By gender of head of household + Male 85.71 77.53 90.70 87.30 50.00

By number of people per household Average Location >= 9 ppl/household 1-2 ppl 3-4 ppl 5-8 ppl ppl + Female 14.29 22.47 9.30 12.70 50.00

By income Group 1 (Well-off) 21.94 24.23 19.12 30.16 0.00 Group 2 53.17 49.78 56.85 41.27 100.00 Group 3 14.43 11.45 16.28 14.29 0.00 Group 4 (poor) 10.31 14.54 7.75 12.70 0.00

The survey results showed that the percentage of households with 3 to 4 people accounted for the highest percentage of 56.41%, followed by households with 1 to 2 people, accounting for 34.32%. The highest proportion of female-headed households is in households with 1 to 2 people (accounting for 22.47%). Households with 3 to 4 people and 5 to 8 people have male household heads of 90.70% and 87.30% of women account for 9.30% and 12.70%. In general, in the surveyed households, male headed households are still predominant and account for the majority. 4.5.2 Occupation In the main occupational structure of family members involved in labor and income in the survey sample of the project area, the agriculture-forestry-fishery sector accounted for the highest rate of 58.47%; secondly, students and students accounted for 20.15%; the proportion of people doing business / services accounts for 2.07%, handicraft and handicraft accounts for 0.24%, workers account for 2.50%, the proportion of officials and employees accounts for 1.55%, retirement accounted for 1.04%, working as hired laborers was 11.49%; The rest is the rate of labor loss, housework, joblessness and inadequacy that is lower than 2% for each category. Thus agro-forestry-fishery is the key field in the socio-economy of the project area, where the majority of the labor force is concentrated.

Table 4. 10: Main occupation of workers (%)

State Loss Agriculture, Trading officials Armed Hired Not Category of Forestry and Student Handicraft Worker Housewife Retire Jobless and Forces laborer suitable labor and fishery services employees

Total 1.69 58.47 2.07 1.55 20.15 0.24 2.50 0.14 0.14 1.04 11.49 0.24 0.28

By commune

YEN BINH DISTRICT Xuan Lai 0.77 70.77 0.00 1.54 24.62 0.00 0.00 0.00 0.00 0.00 1.54 0.00 0.77 Vu Linh 2.68 50.57 0.00 0.77 23.75 0.00 0.77 0.00 0.00 0.38 21.07 0.00 0.00 Tich Coc 0.00 55.41 2.55 2.55 19.75 0.00 3.18 0.64 0.00 1.27 14.01 0.64 0.00

VAN YEN DISTRICT Yen Hop 1.01 86.87 0.00 0.00 12.12 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 An Thinh 1.19 59.52 4.76 3.57 19.05 0.00 1.19 0.00 0.00 4.76 3.57 0.00 2.38 Yen Phu 1.11 62.22 1.11 0.00 31.11 0.00 0.00 0.00 0.00 0.00 3.33 0.00 1.11 Xuan Ai 0.00 68.47 0.90 0.00 9.01 0.00 2.70 0.00 0.00 0.00 18.92 0.00 0.00

LUC YEN DISTRICT Minh Xuan 0.68 69.39 0.00 0.00 17.69 0.00 0.00 0.68 0.00 0.00 11.56 0.00 0.00 Muong Lai 2.00 43.33 0.67 0.67 22.33 0.67 10.33 0.00 0.00 0.33 19.33 0.33 0.00

TRAN YEN DISTRICT Cuong Thinh 1.23 56.44 0.00 0.00 33.74 0.61 0.00 0.00 1.84 0.00 6.13 0.00 0.00 Y Can 2.22 90.00 0.00 0.00 6.67 0.00 0.00 0.00 0.00 0.00 0.00 1.11 0.00

VAN CHAN DISTRICT Thuong Bang La 1.27 55.41 6.37 1.91 16.56 0.00 1.91 0.64 0.00 4.46 10.19 0.00 1.27

State Loss Agriculture, Trading officials Armed Hired Not Category of Forestry and Student Handicraft Worker Housewife Retire Jobless and Forces laborer suitable labor and fishery services employees

Phu Nham 3.29 66.45 2.63 1.97 14.47 1.32 0.00 0.00 0.00 3.29 6.58 0.00 0.00

By Ethnicity Kinh 1.93 58.49 3.09 1.93 19.21 0.29 4.34 0.10 0.29 0.39 9.46 0.29 0.19 Minority 1.56 58.27 1.75 1.47 16.82 1.01 4.04 0.28 0.00 0.37 14.06 0.18 0.18

Table 4. 11: Education level of household members Qualification (%)

Not yet Category Elementary Secondary High Vocational Higher Unkno Iliterate in School School School Training Education wn school

Total 0.09 27.78 51.22 16.81 0.75 1.51 1.79 0.05 By commune YEN BINH 0.00 38.30 40.36 16.96 0.82 1.09 2.46 0.00 DISTRICT Xuan Lai 0.00 50.77 38.46 7.69 0.00 0.00 3.08 0.00 Vu Linh 0.00 47.89 31.80 14.94 0.77 2.30 2.30 0.00 Tich Coc 0.00 38.22 40.76 15.92 0.64 0.64 3.82 0.00 VAN YEN 0.00 31.77 54.69 10.16 1.04 0.26 1.82 0.26 DISTRICT Yen Hop 0.00 31.31 64.65 4.04 0.00 0.00 0.00 0.00 An Thinh 0.00 23.81 60.71 8.33 3.57 0.00 3.57 0.00 Yen Phu 0.00 50.00 35.56 10.00 1.11 0.00 3.33 0.00 Xuan Ai 0.00 23.42 56.76 17.12 0.00 0.90 0.90 0.90 LUC YEN 0.22 20.36 57.94 18.12 0.00 1.34 2.01 0.00 DISTRICT Minh Xuan 0.00 28.57 53.06 17.69 0.00 0.00 0.68 0.00 Muong Lai 0.33 16.33 60.33 18.33 0.00 2.00 2.67 0.00 TRAN YEN 0.00 20.16 64.43 13.04 0.40 0.79 1.19 0.00 DISTRICT Cuong Thinh 0.00 20.25 67.48 11.66 0.61 0.00 0.00 0.00 Y Can 0.00 20.00 58.89 15.56 0.00 2.22 3.33 0.00 VAN CHAN 0.32 14.89 52.10 25.89 1.62 4.85 0.32 0.00 DISTRICT Thuong Bang 0.64 10.19 50.96 31.21 3.18 3.82 0.00 0.00 La Phu Nham 0.00 19.74 53.29 20.39 0.00 5.92 0.66 0.00 By Ethnicity Kinh 0.00 22.54 54.33 18.80 1.18 1.67 1.38 0.10 Minority 0.18 32.58 48.38 14.98 0.36 1.35 2.17 0.00 4.5.3 Health About 86.30% of households surveyed in the past month were sick. This is a relatively high index and worrisome about the health status of people in the project area compared to the general situation of health status and health care conditions are getting better today. There are no major differences in illnesses between the surveyed communes as well as between the rich and poor income groups, mainly colds and respiratory diseases. The rate of illness in Vu Linh commune, Tich Coc commune, Xuan Ai commune, Muong Lai commune is quite high up to

100% in the past 12 months. Table 4. 12: Health status and health care Unit: % Experienced sickness within Category Covered by health insurance the pass 12 months Total 86.30 96.91 Yen Binh district 84.00 98.00 Xuan Lai commune 76.32 94.74 Vu Linh commune 100.00 100.00 Tich Coc commune 100.00 100.00 Van Yen district 78.57 100.00 Yen Hop commune 81.82 100.00 An Thinh commune 33.33 100.00 Yen Phu commune 83.33 100.00 Xuan Ai commune 100.00 100.00 Luc Yen district 86.33 100.00 Minh Xuan commune 64.81 100.00 Muong Lai commune 100.00 100.00 Tran Yen district 93.75 100.00 Cuong Thinh commune 96.49 100.00 Xã Ycan 89.74 100.00 Van Chan district 95.56 82.22 Thuong Bang La 95.65 65.22 commune Phu Nham commune 95.45 100.00 By Ethinicity Kinh 83.14 95.71 Minority 89.36 97.57 By income Group 1 (well-off) 82.14 98.57 Group 2 (Average) 87.26 96.48 Group 3(Low-income) 82.69 95.19 Group 4 (poor) 93.94 95.45 Group 5 (undisclosed) 0.00 0.00

We found that 96.91% of the respondents answered that they have participated in health insurance, which indicates that health insurance in households has been more concerned than in previous years. In terms of income groups, the poverty group has the highest proportion of people participating in health insurance due to the support in paying health insurance ... 4.5.4 Water supply Bath water source: Most of the households in the project area surveyed by domestic bathing water use dug wells / drills 92.78%, the percentage of households using lake and river water is 5.6%, number households using clean water account for a small proportion of 1.77%. In rural conditions, water used for bathing activities is considered hygienic from sources such as dug wells/drilled wells. Therefore, it is necessary to keep water, not to lose water in reservoirs to meet people's needs. Drinking water source: As with drinking water, the source of drinking water for the people in the communes in the surveyed area is 92.78% using dug wells, the percentage of households using pond water lakes, rivers and streams are 5.74%, the rest is using clean water, making up a small proportion of 1.62%. If the concept of clean water is relatively in rural areas, so wells digging with people. The project area is considered to be relatively secure in terms of water for drinking. However, in some communes such as Xuan lai and Vu Linh (Yen Binh district); Minh Xuan commune, Luc Yen district and Thuong Bang La commune. Van Chan district, still have households using pond and water water for drinking water; in which surveyed households in Vu Linh commune account for the highest percentage (22.86%). Water source for production: The water system for production for the households in the project area mainly accounts for 86.58%; The number of households using water from ponds, lakes, rivers and dug wells accounts for <10%. Besides, no household uses water from clean water, irrigation systems and rainwater.

Table 4. 13: Percentage of households using production water in project communes (%) Pond, lake Drilled well Category Reservoir water water Total 4.42 86.58 9.00 Yen Binh district 3.00 88.00 9.00 Xuan Lai commune 15.79 78.95 5.26 Vu Linh commune 1.43 92.86 5.71 Tich Coc commune 0.00 86.67 13.33 Van Yen district 7.84 82.35 9.80 Yen Hop commune 6.82 90.91 2.27 An Thinh commune 0.00 96.67 3.33 Yen Phu commune 30.00 80.00 10.00 Xuan Ai commune 0.00 88.00 12.00 Luc Yen district 7.19 89.21 3.60 Minh Xuan commune 3.70 90.74 5.56 Muong Lai commune 9.41 88.24 2.35 Tran Yen district 2.08 85.42 12.50 Cuong Thinh commune 3.51 91.23 5.26 Y Can commune 0.00 76.92 23.08 Van Chan district 87.78 12.22 Thuong Bang La commune 0.00 89.13 10.87 Phu Nham commune 0.00 86.36 13.64 Thus, in the surveyed sub-project communes, irrigation ponds play a huge role in the production sector of the people. Therefore, keeping water in the water shortage season is a very meaningful job for people in the project area. 4.5.5 Housing hygiene conditions According to survey results: 18.85% of households live in permanent housing; 32.55% of households in semi-permanent houses; 46.98% of households live in wooden houses, roofing and 1.62% of households in temporary houses. Housing is one of the important criteria to assess people's living standards. The above figures reflect a high percentage of households with wooden houses and roofing houses, showing that the living conditions of households in the project area are still very difficult. People use a lot of wooden houses due to the custom of the people in the mountainous communes, the communes are ethnic minorities. In recent years together with the National Target Program on new rural construction, there have been certain achievements to change the face of rural and home countries, with a great emphasis on landscape protection and agricultural environmental sanitation, village. This is seen more clearly in the surveyed area where 50.52% of households have a septic tank /semi- septic tank, 21.94% of households use a two-compartment toilet and 27.10% use a simple toilet. However, there are still 0.44% of households without toilets.

Table 4. 14: Proportion of housing types of surveyed households (unit: %)

Semi Garden Temporary Category Solid Homeless Other solid house house

Total 18.85 32.55 46.98 1.62 0.00 0.00 By commune YEN BINH DISTRICT Xuan Lai 0.00 42.11 55.26 2.63 0.00 0.00 Vu Linh 14.29 25.71 47.14 12.86 0.00 0.00 Tich Coc 8.89 53.33 37.78 0.00 0.00 0.00 VAN YEN DISTRICT Yen Hop 43.18 20.45 34.09 2.27 0.00 0.00 An Thinh 53.33 20.00 26.67 0.00 0.00 0.00 Yen Phu 23.33 16.67 60.00 0.00 0.00 0.00 Xuan Ai 8.00 92.00 0.00 0.00 0.00 0.00 LUC YEN DISTRICT Minh Xuan 0.00 0.00 100.00 0.00 0.00 0.00 Muong Lai 3.53 7.06 89.41 0.00 0.00 0.00 TRAN YEN DISTRICT Cuong Thinh 12.28 29.82 57.89 0.00 0.00 0.00 Y Can 28.21 17.95 53.85 0.00 0.00 0.00 VAN CHAN DISTRICT Thuong Bang La 34.78 56.52 8.70 0.00 0.00 0.00 Phu Nham 25.00 50.00 25.00 0.00 0.00 0.00 Data in Table 14 also show that households belonging to different groups need different births. In better-off groups, more septic and semi-septic toilets are used than poor households and a few households still do not have toilets in poor households. Table 4. 15: Type of toilet of surveyed households (%) Septic / Two- Category No toilet semi-septic compartment Simple toilet toilets toilet Total 0.44 50.52 21.94 27.10 Yen Binh district 0.00 46.00 18.00 36.00 Xuan Lai commune 0.00 5.26 10.53 84.21 Vu Linh commune 0.00 57.14 2.86 40.00 Tich Coc commune 0.00 33.33 42.22 24.44 Van Yen district 0.01 24.68 34.42 40.26 Yen Hop commune 0.00 2.27 9.09 88.64

Septic / Two- Category No toilet semi-septic compartment Simple toilet toilets toilet An Thinh commune 0.00 76.67 10.00 13.33 Yen Phu commune 0.03 20.00 13.33 66.67 Xuan Ai commune 0.00 16.00 84.00 0.00 Luc Yen district 0.00 65.47 17.27 17.27 Minh Xuan commune 0.00 62.96 0.00 37.04 Muong Lai commune 0.00 67.06 28.24 4.71 Tran Yen district 0.02 59.38 22.92 15.63 Cuong Thinh commune 0.00 47.37 29.82 22.81 Y Can commune 0.05 76.92 12.82 10.26 Van Chan district 0.00 72.22 15.56 12.22 Thuong Bang La commune 0.00 69.57 19.57 10.87 Phu Nham commune 0.00 72.73 11.36 15.91 By Ethinicity Kinh 0.01 0.51 0.26 0.22 Minority 0.00 0.50 0.17 0.33 By income Group 1 (well-off) 0.00 77.00 21.00 2.00 Group 2 (Average) 1.00 55.00 24.00 20.00 Group 3(Low-income) 0.00 18.00 26.00 56.00 Group 4 (poor) 0.00 15.00 8.00 77.00

Group 5 (undisclosed) 0.00 0.00 0.00 0.00 According to income groups, the better-off group has 77% of households with septic and semi-septic toilets, whereas in the poorest group, 77% of households use simple toilets. The rest of the rubbish used simple two-compartment toilets and toilets. And still a few households do not have toilets, accounting for 2%. 4.5.6 Income and household living standards In the project area, middle and well-off groups account for a large proportion (51.84% and 21.80%). In addition, the rate of deprivation in the surveyed communes is quite high at 15.17%. According to localities, self-assessment of the average living standard has the highest rate, typically 75% in Yen Hop commune; Thuong Bang La commune of Van Chan district is 69.57%. At the poverty level, only Minh Xuan commune in Luc Yen district is occupied with a high rate of 37.04% with Phu Nham commune of Van Chan district and Yen Hop commune of Van Yen district only 4.55%.

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Table 4. 16: Income groups (%) Income group Category Well-off Average Low-income Poor

Total 21.80 51.84 15.17 11.19 By commune YEN BINH DISTRICT 21.50 39.00 26.50 16.50 Xuan Lai 0.00 31.58 52.63 15.79 Vu Linh 2.86 64.29 14.29 18.57 Tich Coc 26.67 40.00 15.56 17.78 VAN YEN DISTRICT 30.52 46.10 15.58 7.79 Yen Hop 2.27 75.00 18.18 4.55 An Thinh 40.00 20.00 40.00 0.00 Yen Phu 23.33 10.00 36.67 30.00 Xuan Ai 46.00 44.00 4.00 6.00 LUC YEN DISTRICT 15.11 60.43 6.47 17.99 Minh Xuan 0.00 59.26 3.70 37.04 Muong Lai 24.71 61.18 8.24 5.88 TRAN YEN DISTRICT 25.00 56.25 11.46 7.29 Cuong Thinh 24.56 56.14 10.53 8.77 Y Can 25.64 56.41 12.82 5.13 VAN CHAN DISTRICT 14.44 72.22 6.67 6.67 Thuong Bang La 13.04 69.57 8.70 8.70 Phu Nham 13.64 75.00 6.82 4.55 By gender of head of household + Male 20.76 52.08 15.05 8.48 + Female 21.21 50.51 15.15 13.13 By Ethnicity + Minority 14.73 53.92 18.50 12.85 + Kinh 26.80 55.62 12.10 5.48 Thus, the income and living standards of affected households are generally average. The highest poverty and living standards still belong to the poor households and female headed households. So in the hope of the project contributing to improving the lives of women because they are vulnerable. 4.5.7 Some issues of social security Borrowing: a common and common situation in living activities of rural communities. Surveying the population in the project area shows a reality of the situation of borrowing through data in Table 4.16. Accordingly, loans from households are mainly from the Bank for

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Agriculture and Rural Development; In Thuong Bang La commune of Van Chan district, there is a rate of 19.57% on the contrary to Thac Ba commune in Yen Binh district, almost households do not borrow, and few borrow from banks or funds. For households in the project area, the households do not dare to invest large when production conditions, making a living does not guarantee high profits to pay capital and interest. Therefore, investment in irrigation and agricultural infrastructure for production development will help people feel secure to borrow.

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Table 4. 17: Current situation of household loans (%)

Tich An Yen Xuan Minh Muong Cuong Y Thuong Phu Source Xuan Lai Vu Linh Yen Hop Coc Thinh Phu Ai Xuan Lai Thinh Can Bang La Nham

Relatives neighbors, friends 2.63 2.27 1.18 7.69 4.35 Lenders 3.33 2.17 Credit Fund 1.75 2.17 Bank for Agriculture and 18.42 11.43 2.22 11.36 3.33 3.33 11.11 16.47 12.28 5.13 19.57 9.09 Rural Development Bank programs for the poor 13.16 7.14 2.22 2.27 16.67 6.67 4.00 1.85 9.41 17.95 15.22 13.64 Other banks 3.33 Development programs 1.85 Poverty reduction fund Women's Union. NGOs 2.86 4.44 Other

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Table 4.17 shows the different loan purposes of families who borrow. People use loans to spend the most for the purpose of farming and agricultural production. Typically, Xuan Lai commune in Yen Binh district has a ratio of 36.84% for people to grow crops and livestock. An Thinh commune, Van Yen district is mainly used for forestry development (Cinnamon cultivation) with a high rate of 20%. This shows that these are the goals that people in the project area are interested in and need to borrow money to implement. Besides, there are some purposes such as investment in trading / services, education, home repair, medical treatment ... with very low rate (<10%). Table 4. 18: Family loan purpose Tic Ye Ye Mi Cuo Thuo Xu Vu An Xu Muo Y Phu N Categor h n n nh ng ng an Lin Thi an ng Ca Nha o. y Co Ho Ph Xu Thi Bang Lai h nh Ai Lai n m c p u an nh La Agricult 13. 11. 2.2 4.5 6.6 4.0 12. 15.2 15. 11.3 5.26 15.22 1 ural 16 43 2 5 7 0 96 9 38 6 Livestoc 23. 12. 6.6 11. 6.6 4.0 3.7 5.1 15.9 9.41 3.51 17.39 2 k 68 86 7 36 7 0 0 3 1 3 Fishery 7.8 2.2 20.0 2.0 3.7 2.5 Forestry 4.71 3.51 2.17 4 9 2 0 0 0 6

1.4 3.3 Handcra 1.18 2.27 3 3 5 ft Shoppin g for 2.6 3.3

durable 3 3 6 goods Daily expense 7 s Investm ent in 2.6 2.5 3.33 6.52 4.55 trading / 3 6 8 services 1.4 Health 9 3 Educati 7.8 2.5 1.75 10 on 9 6 Purchas e of

farmlan 11 d Buy 2.5 residenti 6 12 al land 13 Building 4.2 3.53 7.6 4.35 4.55

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Tic Ye Ye Mi Cuo Thuo Xu Vu An Xu Muo Y Phu N Categor h n n nh ng ng an Lin Thi an ng Ca Nha o. y Co Ho Ph Xu Thi Bang Lai h nh Ai Lai n m c p u an nh La and 9 9 repairin g houses 14 Other 1.75 When examining the proportion of the purpose of borrowing money in each commune, the survey data shows that the purpose of “investment loans for livestock and agricultural production” accounts for the highest proportion. This is easily explained by the fact that people still focus on production development and life stabilization. - Social security: In every human life there are times when there are risks or difficulties that people need the help of other people (or other organizations) to overcome. Survey of difficulties / risks that need material support (Chart) shows that people rely heavily on support from their parents on both sides, coming from siblings, children and friends, neighbors, authorities / organizations. .... This shows that in addition to relying on material support from parents and children, unions and authorities also play an important role in helping people overcome difficulties in life to develop production. 4.5.8 Ethnic minorities Among the 14 communes in the project area, there are 6 different ethnic minority groups, including: Tay, Cao Lan, Muong. Kho-Me, Dao and Thai. Among them, Tay people are the largest with 251 households out of 632 surveyed households. Most ethnic households are people living for a long time in the area of 14 communes in the project area. The number of EM people in the surveyed households is shown in Table 4.19 below. Table 4. 19: Statistics of surveyed EM households Cao Kho Ethnicity Kinh Tay Muong Dao Thai Lan me

Yen Binh district

Xuan Lai commune 10 28

Vu Linh commune 32 4 33

Tich Coc commune 6 39

Van Yen district

Yen Hop commune 37 6 1

An Thinh commune 30

Yen Phu commune 30

Xuan Ai commune 49 1

Luc Yen district

Minh Xuan commune 54

Muong Lai commune 2 74 9

Tran Yen district

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Cao Kho Ethnicity Kinh Tay Muong Dao Thai Lan me

Cuong Thinh commune 56 1

Y Can commune 38 1

Van Chan district

Thuong Bang La commune 30 16

Phu Nham commune 17 4 10 13 The results of consultations and damage surveys show that there are no EM households affected by the land acquisition as well as the absence of any EM groups that are adversely affected by the project implementation. The results of consultations with ethnic minority groups in communes show that they agree with the implementation of the subproject and they are aware of the project will bring many benefits for economic development in the locality. The income of the majority of ethnic minority households depends on agricultural production activities but they are facing many difficulties in water resources for production. They said that the potential reservoir group (16 reservoirs) to be repaired and upgraded will help to have more water for production, thereby helping to increase household economy. They also said that the implementation of the project may cause adverse impacts on fishing activities of some households engaged in aquaculture activities during the construction period. However, people think that these impacts do not significantly affect communities and households. 4.5.9 Gender characteristics in the subproject area Women are important subjects of the project, belonging to both the affected group and the beneficiaries. Therefore, it is necessary to understand the gender aspects of the project and the different impacts on women to maximize the benefits of the project. Gender analysis and gender action plan are included in the Annex of the social assessment report (SA). Survey results and community consultations show that there is no significant discrimination between men and women in learning medical examination and treatment, income, making decisions on important family issues. Most activities were attended by both men and women, accounting for 95.68% (see Table 4.20). Table 4. 20: Household’s division of labor Male and Content Male Female Female Production 45.80 13.99 1.18 Housework 94.51 1.18 2.99 Community 95.73 1.03 2.21 Decision-making 95.68 0.79 2.01 However, employment opportunities and the ability to adapt to career changes are now an obstacle for women, especially women working in agriculture over the age of 40. Project implementation may cause a The number of risks needs to be noted, such as the employment of women whose agricultural land is revoked: the fact that women currently participate mainly in agricultural production, the implementation of the project will affect agricultural land and That increases the risk of underemployment for women. This can be mitigated if local women, especially women in affected households are given opportunities to participate in vocational training programs, capacity building and enhanced communication campaigns,

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awareness of sanitation. traffic safety or prevention of social evils ...; prioritizing the allocation of suitable jobs for women when implementing project items will also reduce unemployment for women and create an opportunity to increase income for affected households. Arranging jobs for women and opportunities is also a potential risk for them to face problems that are not just safety and at risk of abuse. A number of other issues also have potential risks such as traffic safety issues, discrimination in employment and jobs that do not require skills from contractors of the project ... should be noted. Gender issues should be considered a risk and will be detailed in the Gender Action Plan at the subproject SA report. 4.6 Site-specific receptors The subproject is carried out in 14 communes /towns scattered across 5 districts of Yen Bai province, in the process of extensive deployment will have an impact on the environment and people's livelihood activities, local population. The work should be noted by the specific impact on the sensitive points of the reservoir area when repairing and improving dam safety is presented in the table below. Table 4. 21: Status of site-specific receptors Location Status ❖ 0.4 kV civil power line The location runs along the road and the main dam of Lake Thon 26, supplying electricity to residents living on the 26/3 village

1. Village 26 Reservoirs, ❖ Rural roads Thuong Bang La commune, Van The only road to the dam is built by the community according to the new Chan district Rural program. The hardened concrete road section is about 500m long, 3m wide road surface, 5m road foundation. It is a road for people to go to about 20 households in Hamlet 26/3

2. Tu Do ❖ Rural roads

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Reservoirs, Y Can The only road to the auxiliary dam No.4, Tu Do lake. The hardened road commune, Tran section of concrete built by the people is about 700m long, 3m wide road Yen district surface, 5m road foundation. It is a residential road that goes into about 15 households in village 3, Minh Tien commune, Tran Yen district.

❖ Farmyard area: The breeding area of 1 household is close to the material yard at the auxiliary dam No. 4, the area of temporary buffalo breeding is about 20 m2 ❖ People's houses close to construction works: There is 1 household close to the flood discharge spillway. When constructing flood spillway, it can affect about 30m2 of concrete yard of households.

3. Chop Du Reservoirs, Cuong Thinh commune, Tran Yen district

❖ People's houses close to construction works Located close to the foot of the downstream of Khe Chinh sub-reservoir, a temporary house has an area of about 50m2 of the house of Mrs. Quy, hamlet Cong Chao 4. Khe Chinh Reservoirs, An Thinh commune, Van Yen district

❖ Lower the water level to construct the intake culvert 5. All 16 reservoirs The lowering of water level for construction may affect production of 660 ha of Spring rice, 612 ha of Summer rice and more than 2000 households using domestic water in Yen The town and Lieu Do commune.

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CHAPTER V. ENVIRONMENTAL AND SOCIAL IMPACT ASSESSMENT

5.1 Types and scale of impacts The Subproject to be implemented in the area will cause certain impacts during the construction stage, however, the impact level is not large and can be minimized. Upon the completion of construction, the residential areas in the 16 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 impacts are negative, 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. The table below defines the levels of negative impacts based on the levels of waste generation by construction activities1. Table 5. 1: The criteria for classification of negative impacts Impact/Level Low Average High Exceeding the technical Exceeding the technical Exceeding the technical waste regulation from waste regulation from waste regulation to Waste water discharge 1.1 times to less than 1.1 times to less than more than 3 times and (domestic and 1.5 times and the 1.5 times and the the discharge volume is industrial wastewater) discharge volume is discharge volume is more than 10 m3/day less than 5 m3/day less than 5 - 10 m3/day 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 with the 1.5 times with the 3 times with the emission level more Dust and Emissions emission level of less emission level of less than 5000 m3/hour than 500 m3/hour than 500 – 5000 m3/hour Exceeding the standard Exceeding the standard Exceeding the standard Noise of 2 to 5 dB of 5 to 10 dB of 10 dB Exceeding the standard Exceeding the standard Exceeding the standard Vibration of 2 to 5 dB of 5 to 10 dB of 10 dB Generating less than Generating from 1.000 Generating more than Domestic solid waste 1000 kg/day to 2000 kg/day 2000 kg/day Generating less than Generating 100 – 600 Generating 600 kg/ day Hazardous solid waste 100 kg/ day kg/day Explosion-fire. oil Less than 2,000 kg 2.000 to 10,000 kg More than 10,000 kg spillage

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

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Potential negative environmental and social impacts are also broken down by types such as direct, Indirect, short-term, long-term and cumulative impacts. Directimpacts: The direct impacts occur through the direct interaction of a subproject activity with environmental and social or economic components. Indirect impacts: The indirect impacts on the environment and society that are not direct results of the Subproject, which is often created later or as a result of a real complex impact. Indirect effects are also known as secondary effects or even tertiary effects. Cumulative impacts: the impacts that occur as a result of a combination of the Subproject with other projects that cause associated impacts. These impacts occur when the incremental impact of the Subproject is combined with the cumulative effects of past, present, or future projects that have the potential for predictability. Temporary impacts: the impacts that occur during the construction or within a short period of time after the construction. Long-term impacts: the impacts that arise during the construction but most of the results appear in the operational phase and can last for decades. 5.2 Positive environment and social impacts The subproject will improve the efficiency of 16 reservoirs and will bring positive environmental and socio-economic impacts to local communities as follows: 5.2.1 Social impacts The Subproject after being 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 paddy and vegetable areas throughout the year in the downstream of 14 communes. They supply water for 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 unskilled and seasonal workers. Increase in the irrigated area Investing in repairing and solidifying construction items in 16 dams will stabilize the active irrigation water, increase the cultivated area of winter-spring crop from 660 hectares to 769 hectares (up 109 hectares), increase the sown area, planting summer-autumn crop from 612 ha to 732 ha (increasing 120 ha), taking initiative in agricultural cultivation plan, planting season, and seedling structure for downstream areas, gradually contributing to perfecting the basic infrastructure improving living standards of people in difficult areas. Impact on management capacity operation of irrigation systems The second year DRSIP project will improve the safety of the reservoirs and help the local authorities in the project area to develop long-term rural development strategies and scenarios, taking into account climate change scenarios and realizing activities to implement the national target program on climate change mitigation and adaptation, the Water Resources Development Strategy up to 2020 with a vision to 2050, the National Strategy for Rural Clean Water Supply and Sanitation up to 2020, the Program on Socio-economic Development in

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Mountainous Areas up to 2020, and the National Target Program for Building New Rural Areas. 5.2.2 Environment impacts (a) Impact on air quality and microclimate condition 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. In addition, in the operation phase, the Subproject will increase the stability of water resources and safety for the works and the dam downstream. (b) Impact on the landscapes At present, 16 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. The repairing, solidifying the management roads of 16 reservoirs will create a new look for the reservoir landscape and the surrounding area. The reservoir area will be beautiful, modern and safe. (c) Impact on the ecosystem After the construction works in 16 reservoirs are complete, the stable flows of water and irrigation will contribute to the development of aquatic and plant ecosystems in the reservoirs 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 16 reservoirs will stabilize the water levels 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. Impact in the preparation phase of construction Activities in the preparation phase include: Land acquisition, tree cutting, site preparation for disposal sites, material yards, construction of camps, removal of organic layers, transport of waste soil, etc. During the construction preparation phase, negative impacts on the potential environment include: a) Impact of land acquisition: According to preliminary inventory results (IOL) in November 2017 and updated in October 2018, a total of 38 households and 06 CPCs are affected on land and assets on land. Specifically: - Permanent effects:

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+ Permanent impact on land: There are 600m2 of production forest land of 02 households currently growing Que (land has been granted land use right certificates) and 18,444m2 of public land (land in the safety corridor) dam) of 06 CPCs in the subproject area that currently provide people with bamboo, acacia, cassava, orange, longan and litchi. + Influence on crops and crops: Land acquisition for construction of subproject items will affect 86,026 m2 of plantation area. trees (bamboo, tea, cinnamon, acacia, eucalyptus), cassava, longan, litchi, orange) of 37 households, of which 30 households are affected by trees on land owned by households (among these Ahs, there are 4 households who are affected by trees on their land) They own and are affected on the land managed by the Commune People's Committee) and 07 households are only affected by trees on the land managed by the Commune People's Committee. - Temporary effects: + Temporary acquisition of 67,442 m2 of agricultural production land of 29 households. In which: i) Production forest land area is 66,982 m2 of 28 households currently growing types of Tea, Que, Keo, Eucalyptus ...; ii) The area of annual crop land is 460 m2 of 01 household, at the time of survey this land area does not grow trees and crops, only wild grass plants grow naturally. + No household is affected by construction water cut due to the construction process, the Project Management Board will inform local authorities and water users about the water cut plan (for example, time limit to use water) so that local people can actively produce. At the same time, temporary dykes must be built to divert water so that no household will be affected by dehydration during construction. In case of no mitigation, households will be supported in accordance with the approved RPF. Note: Out of 38 Ahs, there are 30 AHs from 02 types of land (both affected with land and trees) and 08 AHs of 01 type (including 07 households who only affected AHs due to cultivation on the land of the People's Committee Commune management and 01 household are only temporarily affected on land for annual crops because at the time of the survey on land without planting trees. only weeds). Among 38 Ahs, there are 15 vulnerable households in which: 1 poor household has single women headed households (with dependents) and 14 households are ethnic minorities. There is no affected household business, no AHs about houses, architectural objects. There are no severely affected households by the subproject. In addition, the subproject does not affect the cultural heritage, public works in the area. Summary of the impact of the subproject is presented in the table below. Table 5. 2: Summary of impacts of subproject land acquisition Temporary Permanent Project corridor Area of Total Number of Commune land Production Annual Production affected number of households People's (managed Location Forest crop Forest trees affected receiving Committee is by Land land Land and households compensation affected Commune crops People's Committ) (m2) (m2) (m2) (m2) (m2) (AHs) (AHs) (organization) Y Can 12,000 0 0 3,250 15,250 06 01 01 commune

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Temporary Permanent Project corridor Area of Total Number of Commune land Production Annual Production affected number of households People's Location (managed Forest crop Forest trees affected receiving Committee is by Land land Land and households compensation affected Commune crops People's Committ) Cuong Thinh 1,500 0 0 2,680 4,180 03 0 01 commune Yen Phu 4,000 0 0 0 4,000 01 01 0 commune Yen Hop 5,940 460 0 0 5,940 04 03 0 commune Xuan Ai 4,850 0 600 0 5,450 04 0 0 commune An Thinh 9,900 0 0 0 9,900 04 0 0 commune Muong Lai 3,253 0 0 10,000 13,253 05 05 01 commune Minh Xuan 6,800 0 0 0 6,800 01 01 0 commune Tich Coc 2,000 0 0 0 2,000 01 01 0 commune Xuan Lai 1,600 0 0 0 1,600 01 01 0 commune Vu Linh 2,500 0 0 1,457 3,957 01 0 01 commune Thuong Bang La 3,099 0 0 277 3,376 04 01 01 commune Phu Nham 5,000 0 0 0 5,000 01 01 0 commune Nghia Lo 4,540 0 0 780 5,320 02 0 01 town Total 66,982 460 600 18,444 86,026 38 15 06 Source: Survey and summary data. November 2017 and updated in October 2018 Area of land occupied on a total of 16 works is not large, including forestry land, agricultural land, production land, and no residential land. In fact, some households around the lake/dam area have a large area of land, therefore, the area of land acquired or occupied temporarily accounts for a small proportion, much affecting daily life and manufacturing. Thus, the land acquisition is considered to have negligible impact on production and people's lives, because most of the acquired land area is production forest land, 21.3% of the total area land reclaimed under public land. This impact will be overcome by the full implementation of compensation and support regulations in the Subproject's Resettlement Action Plan. b) Impact of UXO risk

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Landmines were discovered throughout Vietnam due to the war and there were casualties caused by accidents involving the persecution of explosives. According to the initial assessment and survey. The subproject area has no UXO after the war, but to minimize risks, the subproject owner should contact the demining authorities to provide confirming safety of mines and ERW before construction. c) Land clearance activity The land clearance activities in this period are mainly carried out by the affected households themselves on the area of agricultural and forestry land that is temporarily or permanently acquired. Therefore, some waste from this luminescence will be generated. These activities will also affect the fauna of the subproject area due to the loss of habitats and changes in the ecological landscape.

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Table 5.3: Summary of affected trees and crops of the subproject Annual Timber Fruit tree Perennial plants No of crop affected TT Reservoir Location househol Tea Cassava Bammboo Eucalyptus Acacia Longan Litchi Orange Cinnamon ds (m2) (m2)

1 Tu Do Y Can 6 0 0 3800 0 0 0 0 0 50 2 Khe Vai Xuan Ai 4 0 0 70 0 0 0 445 0 0 3 Tang An Muong Lai 3 0 0 450 0 0 0 0 0 0 4 Khe Dua Yen Phu 1 0 0 0 0 0 0 1000 0 0 5 Roong Den Muong Lai 2 0 0 700 0 0 0 0 0 0 6 Goc Nhoi Xuan Lai 1 0 0 75 0 0 0 0 0 0 7 Khe Hoai Tich Coc 1 0 0 0 0 0 0 0 0 0 8 Khe Hop Yen Hop 1 0 0 50 0 0 0 20 0 0 9 Hang Luon Vu Linh 1 50 50 2000 0 0 0 0 0 0 10 Khe Chinh An Thinh 4 0 0 850 0 90 0 1000 0 0 11 Lang At Minh Xuan 1 50 0 1300 0 0 0 0 0 0 12 Chop Du Cuong Thinh 3 580 0 170 0 0 0 200 0 0 13 Phu Nham Phu Nham 1 0 0 300 0 0 0 0 0 0 Nông truong Nghia Nghia Lo 2 0 0 0 20 0 0 0 3000 0 14 Lo 15 Khe Ngang Yen Hop 3 50 0 0 0 0 0 580 0 0 16 Thon 26 Thuong Bang La 4 0 0 125 0 0 60 0 220 0

Total 38 730 50 9890 20 90 60 3245 3220 50

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(Source: RAP Report. 11/2017)

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d) Impacts due to geological drilling Before designing the plan, the investment project consultant unit (FS) conducted geological exploration, each reservoir carried out 5 drilling holes including: at the 3-pit dam site, each hole was deep about 60m; The heart of the drilling hole is 1 hole 25m deep and along the spillway, 1 hole is 10m deep. This process will potentially put impurities affecting the quality of underground water. 5.3.2. Impact during construction phase 5.3.2.1. Construction activities and sources of impact Construction activities - Clearing, leveling the ground - Construction of sewer repair - Construction of upgrading upstream roofs and downstream dams - Repair and construction spill - Repair and construction of road management - Building operator Source of impact related to waste Sources of solid waste generation - Waste from luminescent activities, site preparation - Domestic waste of construction workers at construction sites; - Waste from construction materials at construction sites: spilled rock, cement bags ... Source of liquid waste generation - Water for washing stones, sand and gravel - Waste grease - Domestic wastewater of construction workers at construction sites and residential areas. Source of emissions - Excavation and leveling work - Making road construction, road management - Exploiting, transporting and loading and unloading materials - Mixing concrete and mortar - Operation of vehicle and transport system; - Activities of construction equipment such as bulldozers, excavators, compactors, trucks, ... Impact sources are not related to waste - Landslides due to earth excavation on steep terrain - Noise and vibration due to construction activities - Risk of fire and explosion incidents 5.3.2.2 Impacts in construction phase

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(a) Social impact ➢ Community health and safety Health risks for workers and people may be due to a number of reasons and sources as follows: (i) waste and domestic waste generated from camps and construction sites but not managed properly, physical; (ii) Water and wastewater deposition creates reproductive environment for flies, mosquitoes and infectious diseases that can be triggered by environmental pollution; (iii) Hazardous materials such as chemical termites and oils, if not properly managed, can directly go into water sources and cause harms to the users' health; (iv) Local people living along transport routes and workers at construction sites may be affected by dust, noise and vibration. During the construction process, at the construction sites, mobilizing workers to work is potentially at risk of infectious diseases and increased disease vectors that may pose a health threat to workers and the local population, direction. Infectious diseases create a public health threat often related to activities such as hygiene and low living conditions, sexually transmitted diseases and vectors. The most worrisome infectious diseases in the construction phase due to labor migration are sexually transmitted diseases such as HIV/AIDS. Gonorrhea, syphilis. ... In fact, the time to implement the subproject within 12 months of intermittent construction, the construction site is scattered in 16 locations and the number of officials and workers from other localities reaches about 15 workers / 01 project (mainly engineers and skilled workers for simple jobs hiring local workers), there are many scattered items, good security and disease control situation in the area; In addition to the area in which workers are hired, people have clean conditions, all toilets are required to meet QCVN 01: 2011 / BYT on hygienic latrine standards; limiting conditions for spreading infectious diseases caused by flies, mosquitoes and insects so the impact is assessed as medium. ➢ Risk of gender violence and child labor use The construction process will attract free migrants to the construction site, which could potentially pose a risk of gender violence, child labor use, sexual abuse and harassment. This impact is controlled by the construction contractor and specified in a Gender Action Plan. However, to minimize and limit impacts, the Investor will closely coordinate with local authorities to assess the impact level to have appropriate management measures. ➢ Accident risks and incidents Work accidents. Work accidents can occur in any category during construction. Fire, explosion and fuel leakage. Fire and explosion may occur in the case of transporting and storing fuel, or the power supply system is temporarily unsafe, causing death and property damage during construction. Welding: Welding creates extremely strong light and can cause serious injury to the eyes of workers. In extreme cases, it can lead to blindness. In addition, welding can create toxic fumes that prolonged exposure can cause chronic illness. Drowning: During the construction process near water bodies, it is possible for workers to take a bath and drown. Short circuit and electric shock: Construction activities may cause short-term risks affecting the health of workers and residents as well as their properties. Temporary power supply system for machinery and equipment in the construction process can cause problems of voltage, electric shock, etc, causing economic losses and labor accidents for workers.

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In the implementation of subproject items, the construction site is mainly in the dam body, so the problem of accidents due to working at high altitudes is unlikely. Due to the characteristics of the work on the construction item volume is not large, the management process, monitoring the implementation of strict environmental safety policies should impact from risks and incidents are assessed at an average level. ➢ Impact on traffic safety and infrastructure The process of transporting materials will go through concrete roads in villages/communes, in-field roads with small load capacity, when moving larger vehicles will damage and damage these roads, causing difficulties for people to travel, activities, production ... as well as the risk of traffic insecurity. The increase in transportation means will increase traffic safety risks for people. In particular, this route passes through residential areas of 14 communes, where there are schools, markets and intra-field traffic routes. However, the construction work is not continuous for 12 months and this impact is manageable, so it is assessed at an average level. About 31,926 turns of transport via construction routes from the district center to the construction sites may cause damage to the existing route. In particular, the route through the residential areas leading to the lakes may be damaged by large vehicles. Roads through residential areas and intra-field roads are concrete roads with small load capacity, which can be broken, crushed or collapsed, subsidence when large trucks pass or high density of vehicles. Specifically: – Lake Tu Do, Y Can commune, Minh Tien commune: When constructing a sudden increase in the number of vehicles, attention should be paid to the people's roads (the road to the auxiliary dam No. 4) with concrete people do. – Lake Thon 26, Thuong Bang La commune Road of people living in a village of 500m long has been hardened by concrete, so when construction is not allowed for large vehicles passing by The potential impacts on roads are required by the investor to the construction units with commitment to the local on the repair and restoration of the original state if any damage occurs during the construction process, so it is assessed as low risk. ➢ Impact due to construction water cut The construction of dams and dams under the NWL, new and repaired drains to drain water must lower the water level for construction to affect production and water supply for downstream areas. However, the Investor has arranged the time for construction of dams and sewers for water intake from September 15 to December, during this period, harvest of winter rice crops and planting of winter crops should not affect manufacturing. In addition, there is a plan for embankment of dykes for construction and measures to pump water to ensure sufficient water supply for production and living in downstream areas, so the impact is assessed at a low level. ➢ Impact of the flow of workers in the subproject area Construction activities require about 240 workers coming from elsewhere to 16 construction works, mainly key officials and skilled workers (some items use local labor), so will affect the local socio-economic environment conditions as follows: - The concentration of people, with poor sanitation conditions in the campsite will generate a number of epidemics, social diseases ... affecting the health of workers and people in the area. - Workers from other places can disturb the lifestyle of the local people.

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- There may be some bad objects in the locality stealing equipment and construction materials causing instability, affecting the progress of project implementation. - Potential conflicts between workers and local communities because of cultural and behavioral differences. - Conflict on the need to use local service infrastructure such as electricity and water supply and transportation systems, leading to lack of electricity and water supply and traffic congestion for the area. Due to the scattered 16 projects throughout the province, the number of people from other localities working at each project during the implementation of the subproject is small, so the above issues can be managed. The impact is low. ➢ Impact on aquaculture, tourism activities, navigation: Because there are no tourist activities and navigation in the reservoir area. The lowering of lake water level for construction also affects households who are renting the reservoir area for aquaculture; however, due to the small number of reservoirs for aquaculture purpose (Thon 26, Khe Vai) and the investor will have prior notice of the schedule and the expected time of construction so that people can plan fish harvesting in the lake, so The effect is negligible. ➢ Detecting antiques Excavation and construction activities can find physical cultural heritage under the ground. However, these facilities are located along the lake with long-term cultivation activities. These areas have been studied and confirmed that they are not archaeological sites, so the probability of finding artifacts, physical cultural heritage is low. ➢ Cultural and historical relics There are no cultural and historical relics in the project area ➢ Impact on the regional landscape: The gathering of large quantities of construction materials and equipment will cause changes in the land surface, reducing the coverage of vegetation, creating protrusions due to excavation of the landfill area and soil mines affect the natural landscape of the area. These impacts are not serious and will be restored after completion of the subproject. (b) Environmental impacts At the construction stage, construction activities have the strongest impact on the environment, including material exploitation activities at land mines, transport of materials from supply sites to construction sites and transport of rock and soil, redundancy to the landfill. The volume of materials in the construction phase is summarized in Table 5.4.

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Table 5. 4: Summary of volume of excavation, filling and transportation of materials Others Sand Organi Excavate Land Excess and Iron Reservoir c soil d soil cover rock stones Cemen and Distance (km) (m3) (m3) (m3) (m3) of all t (ton) Steel kinds (ton) (m3) - Land cover: Tu Do 1.7km, Waste soil: 7,043.2 70,860 36,656 29,439 14,522 2,095.9 237.5 Reservoir 2km; Materials: 15km - Land cover: Khe Vai 0.5km, Waste soil: 3,793.1 17,421 7,295 9,178 4,786 1,384.2 167.1 Reservoir 0.25km; Materials: 12km - Land cover: ang An 0.3km, Waste soil: 5,632.7 38,895 27,254 10,735 6,375 1,157.6 170.1 Reservoir stationary; Materials: 10km - Land cover: Khe Dua 0.2km. Waste soil: 5,273.6 18,782 10,522 6,891 5.373 1,004.0 95.0 Reservoir stationary; Materials: 9km - Land cover: Roong Den stationary. Waste 8,878.8 46,078 26,315 16,342 9.,302 1,656.1 206.1 Reservoir soil: 2km; Materials: 11km - Land cover: Goc Nhoi stationary. Waste 3,243.6 28,897 18,186 8,347 4,006 1,186.1 89.9 Reservoir soil: 1.8km; Materials: 13km - Land cover: Khe Hoai stationary. Waste 5,327.5 9,135 5,230 3,226 5,814 849.2 91.4 Reservoir soil: stationary; Materials: 15km - Land cover: Khe Hop 0.2km. Waste soil: 3,871.3 12,315 6,552 4,911 2,497 673.3 66.3 Reservoir 1.5km; Materials: 7km - Land cover: tãi Hang Luon chỗ. Waste soil: 2,950.7 15,185 4,311 10,313 3,340 1,215.4 67.5 Reservoir 2km; Materials: 11km - Land cover: Khe Chinh 0.2km. Waste soil: 5,795.9 32,412 23,180 6,218 7,544 2,404.9 445.7 Reservoir 1.5km; Materials: 9km - Land cover: Lang At stationary. Waste 2,330.7 22,660 13,657 7,228 3,340 1,340.6 115.0 Reservoir soil: 2.7km; Materials: 5km

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Others Sand Organi Excavate Land Excess and Iron Reservoir c soil d soil cover rock stones Cemen and Distance (km) (m3) (m3) (m3) (m3) of all t (ton) Steel kinds (ton) (m3) - Land cover: Chop Du 0.2km. Waste soil: 4,199.6 13,593 2,682 10,562 4,006 1,037.8 169.2 Reservoir 2.5km; Materials: 9.0km - Land cover: Phu Nham stationary. Waste 4,410.1 19,216 11,084 6,692 3,802 1,156.4 188.2 Reservoir soil: 0.5km; Materials: 5km - Land cover: Nghia Lo 0.5km. Waste soil: 4,107.6 26,079 14,795 9,360 5,190 917.4 151.4 Reservoir 1.9km; Materials: 3km - Land cover: Khe Ngang 1.5km. Waste soil: 1,165.2 11,852 5,300 5,863 2,985 681.5 80.5 Reservoir 1.2km; Materials: 7km - Land cover: 3km. Village 26 2,560.6 15,314 10,289 3,687 2,053 646.7 69.1 Waste soil: 3.2km; Reservoir Materials: 12km Total 398,694 223,309 148,992 84,936 19,406.8 2,409.9 i) Impact on the air environment: ➢ Impact on air environment due to dust and emissions: - Dust and emissions from clearance activities, weathering + Dust and exhaust gas due to excavation and weathering Excavation, unloading and loading and unloading of soil and stones from weathering and demolition activities will increase the amount of dust. According to WHO's rapid assessment, the amount of dust generated by the peeling process, digging soil, and leveling the ground is swept up by 100g/m3; Thus, the total amount of dust generated during the weathering and demolition phase was about 7,058 kg at 16 sites. According to the document "Air pollution and emission treatment of Science and Technology Publishing House", emissions generated when consuming 1 ton of fuel of excavator are 0.78 kg of dust (soot smoke); 4.16 kg CxHy; 7.8 kg SO2; 13.01 kg NOx and 20.81 kg CO. Since then, the volume and load of dust and exhaust emissions are calculated in detail at the construction sites of each lake as follows: Table 5. 5: Volume of dust and emissions generated from land clearance and weathering Quantities of waste generated Solid Wasted STT Reservoir Dust SO NO CO waste (m3) energy 2 x (kg) (kg) (kg) (kg) (kg)

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Quantities of waste generated Solid Wasted STT Reservoir Dust SO NO CO waste (m3) energy 2 x (kg) (kg) (kg) (kg) (kg) Remove weathered soil I 70,584 7,058.42 and demolish old works 1 Tu Do 7,043.2 704.3 2 Khe Vai 3,793.1 379.3 3 Tang An 5,632.7 563.3 4 Khe Dua 5,273.6 527.4 5 Roong Den 8,878.8 887.9 6 Goc Nhoi 3,243.6 324.4 7 Khe Hoai 5,327.5 532.8 8 Khe Hop 3,871.3 387.1 9 Hang Luon 2,950.7 295.1 10 Khe Chinh 5,795.9 579.6 11 Lang At 2,330.7 233.1 12 Chop Du 4,199.6 420.0 13 Phu Nham 4,410.1 441.0 Nong truong 14 4,107.6 410.8 Nghia Lo town 15 Khe Ngang 1,165.2 116.5 16 Reservoirs thon 26 2,560.6 256.1 II Vehicles 19,335 15,081 150,813 253,288 402,361 1 Tu Do 1,929.3 1.505 15.049 25.274 40.149 2 Khe Vai 1,039.0 0.810 8.104 13.611 21.622 3 Tang An 1,543.0 1.204 12.035 20.213 32.109 4 Khe Dua 1,444.6 1.127 11.268 18.924 30.062 5 Roong Den 2,432.1 1.897 18.971 31.861 50.613 6 Goc Nhoi 888.5 0.693 6.930 11.639 18.490 7 Khe Hoai 1,459.4 1.138 11.383 19.118 30.369 8 Khe Hop 1,060.5 0.827 8.272 13.892 22.068 9 Hang Luon 808.3 0.630 6.305 10.589 16.820 10 Khe Chinh 1,587.7 1.238 12.384 20.798 33.039

2According to WHO's rapid assessment, the amount of dust generated by the peeling process, digging soil, and leveling the ground is swept up by 100g / m3.

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Quantities of waste generated Solid Wasted STT Reservoir Dust SO NO CO waste (m3) energy 2 x (kg) (kg) (kg) (kg) (kg) 11 Lang At 638.4 0.498 4.980 8.363 13.286 12 Chop Du 1,150.4 0.897 8.973 15.070 23.940 13 Phu Nham 1,208.0 0.942 9.423 15.825 25.139 14 Nghia Lo 1,125.2 0.878 8.776 14.740 23.415 15 Khe Ngang 319.2 0.249 2.490 4.181 6.642 16 Village 26 701.4 0.547 5.471 9.189 14.597

Because the dust emission source spreads over a large area, it is possible to apply the surface source diffusion model to determine the concentration of pollutants in different time periods at the construction area according to the following formula: C = Es x L (1 - e-ut / L) / (u x H) (3.1) (Source: Air environment. Pham Ngoc Dang- Hanoi University of Construction) Where: u: Average wind speed blowing perpendicular to one edge of the box, averaging in the project area: u = 1.5m/s; H: Disturbance height (m), choose H = 5 m; L. W: Length, width of air box: L = 50m, W = 25m (based on leveling area at a time); Es: Polluted emissions calculated per unit area, mg/m2.s; Es = A / (L x W x 3600) = Load (kg/h) x 106 / (L x W x 3600) = 1.5 x 106 / (500 x 25 x 3600) = 0.041 (mg/m2.s) t: Calculation time (h). Emission concentration of dust at the construction site with the assumption of weather in the dry season is as follows: Table 5. 6: Concentration of dust in the process of leveling and loading soil 3 Average concentration. mg/m QCVN 05:2013/BTNMT 3 1h 2h 3h 4h (mg/m ) 0.196 0.345 0.525 0.686 0.3 With an average wind speed of 1.5 m/s, we can calculate the concentration of polluted gases by leveling machines as follows: Table 5. 7: Concentration of gases due to leveling and loading 3 Concentration. mg/m QCVN 05:2013/BTNMT 3 1h 2h 3h 4h (mg/m ) CO 0.191 0.380 0.570 0.759 30

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CnHm 0.038 0.076 0.081 0.081 -

NOx 0.0119 0.023 0.0356 0.047 0.2

SO2 0.071 0.143 0.214 0.228 0.35 Muội khói 0.135 0.136 0.136 0.136 - According to the above calculation results, diffused dust and exhaust gas content from the soil construction process (stripping weathered structure demolition) of the lakes is still within the allowable limits of QCVN 05: 2013/BTNMT. In large space conditions, the construction time is not much about 1 month affecting mainly the workers at the construction site, so the impact is assessed at an average level. + Dust and emissions due to transporting weathered soil According to Nguyen Khac Cuong's environmental curriculum in construction (2007), dust from transporting 1m3 of soil will generate dust of about 0.75 kg/m3, of which suspended dust (TSP) accounts for about 10% of the price. The corresponding dust dispersion value is 0.0019 kg / hour. Dust generated by transporting weathered soil to waste dumps takes about 1 month, affecting mainly workers and local people. To calculate the average concentration of pollutants generated by soil transport, the stone applies Sutton's transformation model. The calculation formula of this model is as follows: C = 0.8xE {exp [- (z + h) 2 / 2σz2] + exp [- (z-h) 2 / 2σz2]} / (σz.u) (mg/m3) (3.2) (Source: According to Air Chief, US EPA, 1995). Where: C: Air pollutant concentration (mg/m3) z: Height of calculation point. z = 1.5 σz: Diffusion coefficient in the z direction (m) is a function of the x-distance by the wind direction, determined by the Slade formula: σz = 0.53 * x0.73 x: Distance (coordinates) of points calculated compared to waste sources, calculated by wind direction u: Average wind speed (2m/s in Yen Bai area) h: Height of the vehicle compared to the surrounding ground (m) E: Pollutant load from waste source (mg/ms). Assume 8 hours of work everyday. Airborne dust concentrations are as follows: Table 5. 8: Dust concentration from transporting weathered soil 3 Concentration. mg/m QCVN 05:2013/BTNMT 3 5m 10m 20m 40m 45m 50m (mg/m ) 0.382 0.192 0.085 0.041 0.038 0.031 0.3 Activities to transport excess rock and soil to the disposal site, leveling the ground to prepare for construction will increase the total amount of dust, the amount of dust (soot) will be about 132 kg out of 16 construction sites. This amount of dust corresponds to the rate of soil and rock dumping. According to the curriculum of Air pollution and emission treatment - KH & KT Publishing

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House, 2001: Gas emission coefficient: SO2 = 1.28 g / km; NOx = 1.02g / km; CO = 2.57g / km. Amount of dust calculated: 0.47g of dust generated / km x 2 km (average distance from land acquisition point to disposal site x 15,125 car shifts) Thus, the result of the amount of emissions in the transport process is as follows Table 5. 9: Emission load by transporting weathered soil Level, Total quantities Load, Emission g/km (*) generated (g) (g/s) 1 CO 2.57 725.604 0.14106 2 Hydrocarbon (CnHm) 2.07 584.436 0.11360

3 Nitro oxide NOx 1.02 287.983 0.05598

4 Sulfur dioxide SO2 1.28 361.390 0.07026 5 Smoke 0.47 132.698 0.02560 Applying formula 3.2, we calculate the concentration of polluted gases due to transport of rock as follows: Table 5. 10. Gas concentrations due to transporting weathered soil 3 Concentration. mg/m QCVN 05:2013/BTNMT Emission 3 5m 10m 20m 30m 40m 50m (mg/m ) CO 0.04088 0.03134 0.02098 0.01308 0.00790 0.04088 30 CnHm 0.03297 0.02534 0.01690 0.01036 0.00654 0.03297 -

NOx 0.01635 0.01254 0.00818 0.00518 0.00327 0.01635 0.2

SO2 0.02044 0.01581 0.01036 0.00654 0.00409 0.02044 0.35 Smoke 0.00736 0.00572 0.00382 0.00245 0.00136 0.00736 - The concentration of toxic gases generated by the process of transporting weathered soil is low, being within the allowable limits of QCVN 05: 2013 / BTNMT Trucks transporting waste from construction works, using diesel engines to operate will generate smoke containing air polluting components including: smoke black (dust), SO2, NOx, CO, Volatile organic compounds (VOCs), ... Emissions affect workers and people living near the construction area insignificantly, plus the construction equipment inspection is carried out often. so the impact is assessed as medium. - Dust and exhaust from transporting construction materials During the construction phase, similar to the calculation in the previous section, the amount of dust increased by 86,594 tons (of which the volume of dust generated by excavation, embankment and transport of embankment was 68,544 tons and the volume of dust generated by transporting. Material is 18,050 tons) is presented in the following table 5.12.

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Table 5. 11: Volume of dust generated by excavation, Embankment, transportation of internal materials during construction period Dust generated by Dust generated by Dust arises from transporting Dust generated by transporting transporting digging and filling embankment soil excess rock and soil materials amount of Reservoir dust Dust Dust Dust Excavated Distance Number Distance Number Number generated generated generated generated generated soil (m3) (km) of trips (km) of trips of trips (kg) (kg) (kg) (kg) (kg) Tu Do 107,517 10,752 1.7 7,855 1,095 2.0 6,308 1,035 3,445 Khe Vai 24,715 2,472 0.5 1,563 64 0.3 1,967 40 1,247 Tang An 66,149 6,615 0.3 5,840 144 1,556 Khe Dua 29,304 2,930 0.2 2,255 37 1,308 Roong Den 72,393 7,239 2.0 3,502 574 2,259 Goc Nhoi 47,084 4,708 1.8 1,789 264 1,041 Khe Hoai 14.,365 1,437 1,380 Khe Hop 18,868 1,887 0.2 1,404 23 1.5 1,052 129 641 Hang Luon 19,497 1,950 2.0 2,210 362 899 Khe Chinh 55,592 5,559 0.2 4,967 81 1.5 1,333 164 2.024 Lang At 36,317 3,632 2.7 1,549 343 924 Chop Du 16,274 1,627 0.2 575 9 2.5 2,263 464 1,031 Phu Nham 30,300 3,030 0.5 1.434 59 1.007

Nghia Lo 40,874 4,087 0.5 3,170 130 1.9 2,006 313 1,265

Khe Ngang 17,152 1,715 1.5 1,136 140 1.2 1,256 124 748 Village 26 25,603 2,560 3.0 2,205 542 3.2 790 207 542 Total 622,003 62,200 8.3 30,970 2,266 23 27,459 4.078 21,317

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+ Dust and waste generated during earthworks With the above calculation results, applying the formula (3.1), we calculated the dust concentration from the earthworks with the assumption of construction in the dry season as follows: Table 5. 12. Concentration of dust during ground leveling and excavation 3 Concentration. mg/m QCVN 05:2013/BTNMT 3 1h 2h 3h 4h (mg/m ) 0.118 0.151 0.223 0.287 0.3 Concentration of polluted gases caused by earthworks during construction with an average wind speed of 1.5 m/s as follows: Table 5. 13: Concentration of gases by leveling and loading 3 Concentration. mg/m QCVN 05:2013/BTNMT Emission 3 1h 2h 3h 4h (mg/m ) CO 0.193 0.392 0.625 0.775 30 CnHm 0.042 0.084 0.095 0.097 -

NOx 0.0123 0.038 0.0415 0.057 0.2

SO2 0.077 0.158 0.246 0.252 0.35 Smoke 0.146 0.151 0.152 0.148 - With an average construction time of about 10 months, the average amount of dust generated is about 18kg /day/project. The effects of dust on the air environment are as follows: In normal weather conditions, the dust and stones caused by transporting are only dispersed in the space with a radius of about 30 m from the dust generation point, when available, wind, dry weather can diffuse to a height of over 10 m and travel far above the wind direction of 100m, degrade the air quality and affect the health of workers on the construction site as well as the living community near the construction area. However, the location of the construction sites is located in areas far from residential areas, so this impact is assessed as low. + Dust and waste generated during the transportation of soil and materials Transport vehicles transporting embankment and materials to meet the needs of project implementation are mainly 7-ton cars. During transport, these vehicles generate dust and emissions from the pavement, from spilled materials and from the combustion of materials. Apply the formula (3.2), assuming, every 8-hour working day. Dust concentration during transportation is as follows: Table 5. 14: Dust concentration from transporting soil and materials 3 Concentration, mg/m QCVN 05:2013/BTNMT 3 5m 10m 20m 40m 45m 50m (mg/m ) 0.435 0.226 0.129 0.075 0.068 0.063 0.3 This problem of dust generation is localized at the material supply location and along the transportation route, especially the problem of dust impacts will be more pronounced in the dry season, on soil and rock roads. However, these locations are often located far away from

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residential areas, so they affect people and social life is not much; plus transportation routes have a large density of trees, spread across the 5 districts, so the impact is assessed as medium. Emission during transporting embankment soil: Based on the table of materials volume and transport distance of materials. Characteristics of projects in the subproject area are land mines and waste dumps located very close to the location of construction works, some lakes with soil and waste dumps within the scope of construction. These locations are often located far away from residential areas, so the amount of emissions during transporting embankment and excess soil is considered low. Emissions in the process of transporting materials: An estimated 21,317 turns of vehicles with a loading capacity of 5- 7 tons will be moved during the intermittent construction period of 12 months on the roads of 16 construction sites to transport materials, sand, gravel, cement, steel ... on average 10-15 vehicles per day / site; Shipping distance for each trip is about 15-20 km. According to the curriculum of Air pollution and emission treatment - KH & KT Publishing House, 2001: Gas emission coefficient: SO2 = 1.28 g/km; NOx = 1.02g/km; CO = 2.57g/km. The amount of dust (soot) is calculated: 0.47g of dust generated/km x 15km (average distance from the point of supply of materials to the construction site x 21,317 cases of vehicles) Table 5. 15: Emission load by transporting soil and materials Level, Total quantities Load, Emission g/km (*) generated (g) (g/s) 1 CO 2.57 15,339,919 2.98203 2 Hydrocarbon (CnHm) 2.07 12,355,499 2.40171

3 Nitro oxide NOx 1.02 6,088,217 1.18343

4 Sulfur dioxide SO2 1.28 7,640,115 1.48537 5 Smoke 0.47 2,805,355 0.54128 Applying the formula 3.2 of Sutton's modified model, we calculated the concentration of emissions from the process of transporting materials as follows Table 5. 16: Concentration of gases by transporting soil and materials Concentration. mg/m3 QCVN Emission 05:2013/BTNMT 5m 10m 20m 30m 40m 50m (mg/m3) CO 0.066750 0.051175 0.034265 0.021360 0.012905 0.066750 30 CnHm 0.053845 0.041385 0.027590 0.016910 0.010680 0.053845 -

NOx 0.026700 0.020470 0.013350 0.008455 0.005340 0.026700 0.2

SO2 0.033375 0.025810 0.016910 0.010680 0.006675 0.033375 0.35 Smoke 0.012015 0.009345 0.006230 0.004005 0.002225 0.012015 - The amount of emissions if exposed to high concentrations can cause respiratory and skin diseases, in general, the particles suspended in the air can cause discomfort, reduce vision and damage, harm to the health of workers on construction sites and people living in the surrounding area. However, in the area with low traffic density, large space, high density of

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trees plus strict requirements on vehicle registration and mobilization in construction, the impact due to emissions is assessed as medium, jar. ➢ Impact on air environment due to noise In the process of construction and repair and upgrading of construction items, many construction machinery and equipment must be used. Noise from the operation of equipment and machinery will affect workers and residents living near the construction area and along the provincial and local roads. For each work item, the noise level is calculated from the specific noise level of the machinery and equipment. The distance to assess the noise impact on the surrounding residential area is selected from 20m-50m. Table 5.17: The maximum noise level of some equipment and machinery

Noise level Noise level Noise level TT Machinery 1 m from source 20 m from source 50 m from soure (dBA) (dBA) (dBA)

1 Bulldozers 93 64 59 2 Front excavator 72 - 84 52 44 3 Rollers 72 - 74 47 39 4 Concrete mixer 75 - 88 55.5 47.5 5 Truck 82 - 94 62 54 QCVN 26: 2010/BTNMT - 70 dBA (6 - 21h) for common areas

Ministry of Health standard: noise in production area: 8-hour exposure is 85 dBA

The results show that, at a distance of 20 meters from noise sources, the noise level from vehicles is within the allowable limits of QCVN 26: 2010 / BTNMT and standards of the Ministry of Health. However, the above calculation results show that the maximum influence radius of noise generated from the operation of machines, equipment and vehicles is 50m (outside this range, people are less affected and can live, work for 21 hours). Therefore, the impact of noise only affects workers on the construction site. In addition, the project is located far away from the residential area (outside the radius of influence), the population density in the area is low and the density of large trees is limited, so the impact of noise is assessed at a level, average and controllable by mitigation measures in chapter 7. ➢ Impact on air environment due to vibration The construction process may cause ground vibration due to construction vehicles and equipment, vibration propagation according to the soil environment, but will be greatly reduced by distance. The level of vibration of some construction equipment is as follows: Table 5.18: The degree of vibration of some construction equipment No. Machinery PPV at 7.62 m Equivalent LV at 7.62 m (mm/s) (dB) 1 Compaction machine 0.064 94 2 Drill 0.027 87 3 Heavy truck 0.023 86 4 Concrete mixer 0.023 88

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(Source:D.J. Martin. 1980, J.F. Wiss.1974, J.F. Wiss. 1967, David A. Towers. 1995) Actual implementation of construction, objects directly impacted on workers on the site, should apply QCVN 27: 2016/BYT: National technical standards on vibration - Allowable value in place work. The average value of acceleration and vibration velocity in frequency bands must not exceed the following values. Table 5.19: Vibration value allowed at work Allowed level Frequency (Hz) Vibration (m/s). Vibration (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 - Allowable value at the workplace) The construction equipment of the project includes basic types such as pile driving machines, compactors, heavy trucks, concrete mixers based on the results presented in the above table, impact due to vibration for the current status of the subproject is negligible. The objects affected are mainly neighboring construction works and workers. However, the construction items of the subproject are far away from residential areas (50-500m), spacious premises, protective equipment are regularly checked on construction sites, equipment and exam solutions, proper work so the impact level due to low vibration. ii) Impact on water environment: ➢ Impact on water environment due to domestic wastewater of workers: The number of workers at each construction site is about 15 people (mainly technical staff and skilled workers, simple items hire local workers). With the norm of domestic water supply in rural areas in the period to 2020 is 100 liters / person / day. The amount of waste water accounts for 80%, equivalent to 80 liters / person / day. Night, the volume of wastewater generated is about 15 x 80 liters / person / day. The night = 1.2m3 of wastewater / day / night / construction site. Domestic wastewater is generated from personal hygiene such as: cooking, eating, personal hygiene ..., at 16 construction projects, due to the volume of construction spread over 16 areas in about 12 consecutive months, To ensure environmental hygiene, living conditions and in accordance with the reality at the construction site, the construction unit is required to make plans to rent houses of local residents for workers; In case of construction of latrines, it must meet the requirements of QCVN 01: 2011 / BYT on hygienic latrine standards; Therefore, the amount of domestic wastewater can be controlled by mitigation measures. The impact is assessed at an average level. ➢ Impact on water environment due to overflow of rainwater

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Stormwater runoff can be contaminated when flowing through areas containing pollutants such as raw material dumps, outdoor construction areas ... the pollution nature of rainwater in this case is Mechanical pollution (soil, sand, rubbish), organic pollution, grease. Stormwater runoff at this stage has high turbidity due to swept soil mud from ground leveling, earthworks, construction of main dams, spillways, managers and management roads. The concentration of pollutants in stormwater runoff is estimated as follows: Table 5. 20: Concentration of pollutants in stormwater runoff TT Emission Concentration. mg/l 1 Nitro 0.5 - 1.5 2 Phospho 0.004 - 0.03 3 COD 10 - 20 4 Total suspended solid 10 - 20 Without treatment measures will flow into the lake and the downstream stream system increases the sediment content in the receiving water, reducing the dissolved oxygen. However, the construction time is expected to be constructed in the dry season, construction contractors also have measures to manage and collect wastes regularly so this impact is assessed as low. ➢ Impact on water environment due to construction waste water Construction waste water is mainly generated by the activities of mixing concrete, mixing mortar, washing tools and areas mixing cement mortar, stone sieving, and construction materials. Characteristics of this type of wastewater has high SS content, high pH but low flow so the scope of impact on the surrounding environment is low. Water for cleaning equipment contains high content of grease and suspended solids. However, construction in the form of rolling, so the number of machines used for construction is not large and scattered in many locations. So the amount of water used for car washing is infrequent and negligible. The volume of construction wastewater and equipment washing water at each project is estimated at 3-5m3 / day. Wastewater of the construction process, maintenance of concrete and water at the repair, washing of motorbikes, equipment containing hazardous wastes such as cement, oil and grease will be very toxic to the aquatic environment. However, the volume of these two types of wastewater is not much so the scope of impact is assessed as low. iii) Ecological impact ➢ Aquatic ecosystem Construction activities overflow, drains will have a part of concrete submerged in water so that water will wash away some impurities in the concrete that contaminate the lake water. If the water level is low, the concentration of impurities that wash away from concrete may increase to aquatic animals. Land encroachment causes loss of habitat, loss of spawning eggs, death of juveniles, reduction of photosynthesis ability of algae ... This will break and alter the adverse habitat of fish and other aquatic species, affecting aquatic ecosystem life. However, due to poor biodiversity, in addition to applying mitigation measures and fast ecosystem recovery, the impact assessment level is low. ➢ Terrestrial ecosystem The process of leveling the ground will cause loss of habitat, residence, reproduction and death of some species of land animals such as insects, animals living in caves such as snakes,

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frogs, ... Dust, emissions from construction activities all affect the living and development activities of flora and fauna in the region and surrounding areas such as: Dust on the leaves reduces the photosynthesis process of green plants , heating leaves; SO2, CO, H2S gases cause diseases for leaves and affect the development of green plants. However, this impact does not affect much on the development of surrounding vegetation. The removal of trees, vegetation and surface soil tillage often causes soil erosion. The impacts are of short-term nature and are limited to the construction area, plus the indigenous ecosystem that is capable of rapid regeneration after construction, so the impact level is assessed as low. iv) Impact on soil environment ➢ Impact on soil environment due to domestic waste During the construction process, the total number of construction workers at each site of 16 lakes/dams is about 15 workers (mainly technical staff and skilled workers, simple items of hiring local workers) work regularly at the construction site. The average volume of domestic solid waste per person in Vietnam ranges from 0.35 to 0.8 kg/person/day (according to solid waste management documents - Construction Publishing House), with consumption demand and At the local development level, the volume of daily-life solid waste is about 0.5 kg / person / day on average. Estimated daily volume of domestic solid waste generated on each site is 15 x 0.5 kg/ person/day = 7.5 kg/day. The domestic waste of workers on the construction site is a kind of waste that is easy to decompose, contains many organic substances and pathogenic microorganisms if it is not collected and treated before being discharged into the soil environment, it will make soil contamination. However, the domestic waste of workers only arises in small and controllable camps, so the level and scope of impact is assessed as low.

➢ Impact on soil environment due to excavation and filling activities in soil and waste dumps Activities of excavation, filling, dumping, exploitation of embankment materials at soil and waste soil mines will disturb the surface covering soil layer, affecting the physical properties of soil such as mechanical composition and porosity of land. Some soil and waste land mines are only temporarily recovered so the removal of surface cultivated soil if not returned according to regulations will affect the production and the field of plants when the project is finished and handed over to people for use. The process of dumping can occur slipping, erosion and soil pollution in the surrounding area.

➢ Impact on soil environment due to hazardous waste Arising in camps, repair points for vertical construction machinery on the road including types of wiping cloths, paper containing grease arising in the process of cleaning, repairing equipment, machines and other plastic and iron boxes containing gasoline, oil, lubricants, grease. The volume of hazardous solid waste from construction works is not large, it is estimated that in a month, the camps and repair points arises about 3-5 kg / day / site. This waste is collected and transferred to specialized processing units so the impact is assessed as low. ➢ Impact on soil environment due to waste oil and grease Waste oil and grease according to the regulations on hazardous waste management are

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classified as hazardous waste, the source from the process of maintenance and repair of means of transportation and construction. The amount of oil and grease generated during construction depends on the following factors: - Number of means of transportation and construction on site - The amount of oil and grease discharged from transportation and construction vehicles - Oil change cycle and maintenance of machinery and equipment - Cheap oil and grease cleaning from maintenance and maintenance of construction equipment According to calculations for construction projects, the average amount of oil and grease generated from transport and construction vehicles is 7 liters / time instead. The biggest oil change and maintenance cycle is every 3 months. During the peak construction period, the number of vehicles and construction machinery required to replace grease and oil used mainly in the project is 16 vehicles per project. Therefore, the amount of grease and oil generated on the average site is: (16 vehicles x 7 liters / time) / 3 months = 37.3 liters of oil / month. Regarding hazardous waste collection and treatment at construction sites, the environmental safeguard policy of the subproject is strictly regulated, specifically ECOP and regulations on environmental protection in bidding; Hazardous waste generated is collected and treated by units with appropriate functions, so the impact level is low. c) Site-Specific impacts The construction of different subproject items may affect some sensitive areas located near construction sites. However, the impact level is assessed from low to moderate, takes place in a short time and can be minimized. Table 5. 21: Potential impacts on site-specifci receptors Site-Specific Description Potential impact Level of receptors risk Location along the road and the main -In the construction Low dam of the village Thon 26, supplying process, mobilizing electricity to people living in the motorbikes and vehicles village 26/3, Thuong Bang La may affect electrical safety, commune, Van Chan district. collide lines, violate the protection area of the 1. 0.4kv civil electric road area. power line

The breeding area of 1 household is Activities of land grabbing Low close to the material yard at the at the auxiliary dam No.4 auxiliary dam No 4, Tu Do lake, can impact on barn 2. The breeding located in Minh Tien commune, Tran structure, narrow space and area of people's Yen district. A breeding area for hinder livestock activities. houses households raising buffaloes and chickens, The area of temporary farming of buffaloes is about 20 m2.

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Site-Specific Description Potential impact Level of receptors risk - The location is adjacent to the flood Transporting materials in Moderate discharge spillway, the concrete yard construction causing

length is about 15m of flooded damage and degradation of spillway of the house of Mrs. Nguyen house works. Thi Hai Lake, Dam Hong village,

Cuong Thinh commune, Tran Yen district.

3. People's houses are close to construction works - The location is close to the foot of the downstream of Khe Chinh sub- reservoir, a temporary house has an area of about 50m2 of the house of Mrs. Quy hamlet of Gantry commune, An Thinh commune, Van Yen district.

The only road to the dam is built by Transporting materials in Moderate the community according to the new construction causing Rural program. There are about 500m damage and degradation of of concrete road to Ho Thon 26 in road works village 26/3, Thuong Bang La commune, Van Chan district

4. Rural infrastructure

The only road to the auxiliary dam No. 4, Tu Do lake has about 700m of

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Site-Specific Description Potential impact Level of receptors risk concrete road built by the people belonging to the village 3, Minh Tien commune, Tran Yen district.

The area of agricultural production in The lowering of water level Low the downstream of 16 reservoirs for construction may affect belongs to the subproject. production of 660 ha of Specifically: Spring rice. 612 ha of Summer rice and more than - Tu Do Lake: 75 ha of paddy land in 2000 households using Dong Xuan crop, 70 ha of summer- domestic water in Yen The autumn rice land. town and Lieu Do - Ho Khe Vai: 54 hectares of rice commune. Income of fields in Dong Xuan crop, 54 hectares people in the subproject of summer-autumn rice land. area depends mainly on - Ho Tang An: 120 hectares of rice agricultural production. fields in Winter-Spring season, 98 Therefore, if there is no hectares of summer-autumn rice land. mitigation measure, the interruption of water - Ho Khe Dua: 52 hectares of rice supply due to construction fields in Dong Xuan crop, 52 hectares activities may adversely of summer-autumn rice land. affect people's lives. - Lake Roong Den: 82 ha of rice fields 5. Agricultural in Dong Xuan crop, 80 ha of summer- production area autumn rice land. - Original Lake: 8 hectares of rice fields in Dong Xuan crop, 8 hectares of summer-autumn rice land. - Ho Khe Hoai: 22 hectares of winter- spring rice land, 20 hectares of summer-autumn rice land. - Ho Khe Hop: 12 hectares of rice fields in Dong Xuan crop, 12 hectares of summer-autumn rice land. - Lake Luon Cave: 40 ha of rice fields in Dong Xuan crop, 35 ha of summer- autumn rice land. - Ho Khe Chinh: 10 hectares of rice fields in Dong Xuan season, 10 hectares of summer-autumn rice land. - Lang Ai Lake: 62 ha of rice in

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Site-Specific Description Potential impact Level of receptors risk Winter-Spring crop, 55 ha of summer- autumn rice land and water supply for 2000 households - Ho Chi Minh Lake: 35 ha of winter- spring rice land, 35 ha of summer- autumn rice land. - Ho Phu Nham: 11 ha of paddy land in Dong Xuan crop, 11 ha of summer- autumn rice crop. - Reservoirs Nông Trường NL: 57 ha of rice in Winter-Spring crop, 50 ha of Summer-Autumn rice land. - Ho Khe Ngang: 8 ha of rice fields in Dong Xuan crop, 8 ha of summer- autumn rice crop. - Ho Thon 26: 12 hectares of rice fields in Dong Xuan crop, 12 hectares of summer-autumn rice land. 5.3.3. Impacts during operation phase During the operation phase of the reservoirs, some of the main negative impacts below are identified and evaluated: a) Risk of drowning: The reservoir can be a bathing place for the local people. Therefore, the risk of drowning is always potential if there are no appropriate preventive measures. b) Repair and maintenance activities These activities can lead to water shortages for a short time. This will have a direct impact on agricultural production and living activities of the downstream people. And it will indirectly cause impacts such as reduced income due to time of cultivation, environmental pollution and disease due to lack of water. However, this impact is assessed as small because the repair and maintenance time does not last long (about a few weeks). c) Emergency flood discharge and dam failure Due to the characteristics of the subproject to improve dam safety, the likelihood of dam failure is very low. Emergency flood discharge may affect downstream communities without prior notice, causing a direct impact of downstream flooding, property, crop and life losses and leading to indirect impacts such as environmental pollution and disease outbreaks and loss of income. d) Causing environmental pollution due to production development According to statistics in Table 5.23, the area irrigated in the subproject area increased to 109 ha of winter-spring crop and 120 ha of summer-autumn crop due to the ensured reservoir capacity after upgrading and repairing, leading to increased use of fertilizerand pesticides. The improper use and handling of agricultural waste can harm the environment and the health of farmers. However, in sub-project communes, controlled use of pesticides provided by non- agricultural producers to the market is self-sufficient, so this impact is assessed at low.

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Table 5. 22: Area irrigated before and after completion of the project Unit: ha Irrigation area before the Irrigation area after the project project Reservoir Winter- Winter- Summer Winter Summer Winter spring spring Tu Do 75 70 0 80 75 0 Khe Vai 54 54 0 60 60 0 Tang An 120 98 0 130 112 0 Khe Dua 52 52 0 55 55 0 Roong Den 82 80 0 90 90 0 Goc Nhoi 8 8 0 11 11 0 Khe Hoai 22 22 0 25 25 0 Khe Hop 12 12 0 16 16 0 Hang Luon 40 35 0 59 59 0 Khe Chinh 10 10 0 14 14 0 Lang At 62 55 0 80 73 0 Chop Du 35 35 0 42 42 0 Phu Nham 11 11 0 16 16 0 Nong truong Nghia 57 50 0 63 56 0 Lo Reservoirs Khe 8 8 0 12 12 0 Ngang Thon 26 12 12 0 16 16 0 Total 660 612 0 769 732 0 5.4 Analysis of impact types 5.4.1 Cumulative impacts The subproject consists of many dams, however, the dams are scattered and independent in the province. Moreover, the size and nature of the subproject activities are small and simple, so that the implementation of the subproject activities is not likely to cause cumulative effects. According to the surveys and exchanges with the concerned agencies, at present, in the construction area of the WB8 Subproject in Yen Bai province, there are not other major projects being implemented on the same spatial scale and time, so the cumulative effects created by other projects are considered to be non-existent. 5.4.2 Direct impacts The subproject implementation will have direct impacts on the environmental and social conditions in the subproject area. Subproject activities will result in temporary or permanent land loss. Construction activities will have direct impacts on the quality of the surrounding environment such as the air, the soil and the water due to the generation of waste like

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emissions and wastewater and the removal of vegetation. 5.4.3 Indirect impacts The temporary or permanent loss of land will affect the livelihoods of affected people like reducing or losing income, occupation change and 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. Water pollution due to waste generated from the construction may lead to a decline in the composition and decline in number of individuals of aquatic species. Soil compaction due to the use of heavy equipment on farmland possibly leads 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 of the risk of erosion and flooding. 5.4.4 Temporary impacts In general, most impacts associated with construction activities within the subproject area such as noise, vibration, dust and emissions, and the generation of solid waste and wastewater are short. They will no longer exist when construction activities are completed. 5.4.5 Long term impacts The permanent loss of productive land will be a lasting impact on the affected people as some households are perceived as losing productive material and leading to a change in their occupation. Also, environmental incidents such as oil spills or hazardous chemicals will create long-term effects on the environment and human health as these chemicals get long decomposition, which penetrate into the soil, the water and the food chains. In addition, the risks of occupational accidents will be addressed with long-term effects when workers' health is diminished or lost.

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CHAPTER VI. ANALYSIS OF ALTERNATIVES

6.1. Without subproject The reservoirs of the subproject were built from the 80-90 decade of the 20th century, have been operating for about 30-40 years and have contributed to stabilizing production, ensuring safety for people and infrastructure in the project area. However, due to the long construction period, most of the dams are self-built and are earth dams, failing to meet dam safety standards. The key works have been degraded and damaged, affecting the safety of reservoirs and water supply capacity for downstream areas. In case of not implementing the project, the risk of dam failure may occur, which will affect 769 ha of cultivated land, over 6,000 households, National Road 37, National Highway 32, provincial road 170 and District and commune roads go through communes in the project area and many other infrastructures. Thus, the investment in repairing, upgrading and modernizing immediate benefits is to overcome the deterioration and deterioration of construction items. In the long term, to increase the dam safety level, to ensure stable production and people's life, reduce the risk of damage to the downstream areas, promote their tasks and improve the exploitation efficiency of works, sustainable development of water resources of the catchment basins in the subproject. 6.2. With subproject The implementation of the subproject will improve dam safety, limit the risks of dam failure, and stabilize production and people's life in the region. However, during the project preparation phase and the construction of key work items, there will be negative impacts on the environment. Impacts can be limited or reversed if the investor chooses the appropriate options and implements mitigation measures. A number of measures have been selected to minimize the following environmental impacts: 6.2.1. Alternatives when executing items under normal water level The construction of dams and dams under the NWL, new and repaired drains to drain water must lower the water level for construction to affect production and water supply for downstream areas. Instead of having to compensate for production losses due to construction water cuts, the first owner chose the following option to not affect production and save compensation costs: a) Measures to arrange appropriate construction time so as not to affect downstream production According to the survey results, the localities in the project area do not produce winter crops because there is no water. The investor has arranged the construction time for the dam sections below the NWL, repaired or renewed the intake sewer in the period from September 15 to December, this period harvested winter rice and planted winter crops, so does not affect production in the downstream area and does not have to compensate for damage caused by cutting water. b) Plan for embankment of dykes when constructing new sluices for water intake so as not to affect downstream production For 5 new works, the intake of water (Original Lake, Lang Ai, Phu Nham, Nghia Lo Farm, Village 26), in case of prolonged construction period, may affect the production of winter- spring crop of the lower region. The investor has chosen the embankment plan to construct a new sluice gate, while using this old sluice gate to supply water in the downstream area.

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When finishing the new sluice gate, putting it into use will destroy the old culvert, which will not affect production. c) The plan to use other technical measures to supply to the downstream area during the time of lowering the lake water level for construction During the construction of the dyke to construct the upstream roof, to ensure the irrigation water in production will use pumps to serve irrigation pumps. The investor and the construction unit need to develop a support plan (compensation, flow, irrigation area, water use area ...) and discuss with the lake management unit of the company. : Nghia Van Company Limited (managing the villages of Thon 26, Phu Nham, Nong Truong Nghia Lo lake); Dai Loi Company Limited (manages Khe Dua, Khe Hop, Khe Ngang, Khe Vai, Khe Chinh and Van Yen districts; Lang Ai, Roong Den and Tang An lakes Luc Yen district); Tan Phu Co., Ltd. (managing Hang Luon, Goc Nhoi, Khe Hoai lakes in Yen Binh district; Tu Do lake and Chop Du district in Tran Yen district) shall coordinate with each other when required. For Lang Ai Lake: The investor and the construction unit need to build a specific support plan with Dai Loi Company Limited and Luc Yen Clean Water and Environment Joint Stock Company to install additional water supply pipes (about 100m of HDPE D500 pipe) from the dyke to the water intake tank (BxHxL: 3 x 3 x 3 m) to ensure stable water supply for all people in Yen The town and a part of Lieu Do commune. The investor must have a notice to the local authorities and water users about the water cut schedule, the time to cut water for construction so that the people have plans to store water into canals and aquaculture ponds. 6.2.2. Alternative measures when selecting the location of ancillary works (land mines, disposal sites) a) Selecting material site location: The construction and repair of earth dams must use backfill materials from material mines. The exploitation of embankment land will affect the production area, compensation costs due to land acquisition, impact on the environmental landscape and the investor must implement the licensing procedures for exploitation in accordance with the law. Vietnam law. In order to limit the above impacts, the Investor has chosen the alternative plan as follows: For all lake projects under the subproject, the Investor chooses the option of exploiting soil from hills and yards high in the work protection corridor located in the reservoir area or taking land from hilly areas, high yards of households near the lake (there is an agreement to agree on the land of households). This option has the advantage of saving transportation costs (distance from the mining site to the earth dam from 0.5 km to 3.0 km), saving the cost of buying and transporting from material mines. This option may increase the risk of erosion and sedimentation of the lake bed. However, construction time is mainly in the dry season, so these impacts will be limited. b) Selecting locations of disposal sites: The improvement and upgrading of earth dams, intake culverts and flood spillways will generate an amount of organic soil that is not reusable to build the above items. Therefore, it is necessary to transport to suitable locations for disposal. This will affect the area of productive land and crops of people in the disposal area, affecting the environmental landscape, increasing the cost of compensation for land and crops. To minimize the above impacts, the Investor has chosen the following alternatives:

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- For the projects of Khe Vai, Goc Nhoi, Khe Hop, Hang Luon, Khe Chinh, Chop Tuy, Phu Nham and Khe Ngang, the investor has cooperated with the locality to select the disposal area as vacant areas. , weeds, sunken areas along the foot of the mountain, along the way, suitable for containing waste, separated from water bodies, from the foot of the building from 0.3 to 1.5 km, isolated from residential areas from 0, 5-1.5 km and no compensation for land and crops. - For the works of Tu Do, Roong Den, Lang A, Nghia Lo and Thon Lo Farms, 26 investors have cooperated with the local authorities to dump waste soil to raise the level of local public works such as : Market, resettlement area, village cultural house. These locations are 1.5-3.2 km away from the construction site and do not have to compensate for land and crops. - For Don An, Khe Dua and Khe Hoai reservoirs, waste is discharged at the vacant land at the foot of the dam downstream of the project, with a distance from 0.2 to 0.3 km to the foot of the project. These locations are vacant and abandoned land, managed by the CPC, not transported, not compensated for land and crops. - There is 1 part of waste soil of Tu Do Lake dumped in the soil currently growing corn of 1 household with an area of 2000 m2. This position agreed with the consent of the households and only supported the land on the land. No compensation for land. 6.2.3. Alternative measures when selecting materials and waste soil transportation routes Transporting materials and waste soil will affect people on both sides of transport routes, increase traffic and potentially damage these roads. To minimize the impacts mentioned above, the consultant has organized surveys and selected the shortest transport routes and less traveled through the most residential areas to save money and limit the impact. to people in the area, specifically as follows: - For Phu Nham lake works, Thon 26, Khe Hoai, Hang Luon and Goc Nhoi caves, to make the best use of transporting materials on the roads of National Highway 37, National Highway 32 and provincial road 170 to limit transportation through residential areas. - For the remaining projects, it is required to transport materials through district roads, inter- villages and inter-communes, the investor has a plan of use with a tonnage of not more than 7 tons to limit damage to roads and do not transport at peak hours to limit the impact on people's travel. Table 6. 1: Summary of options for location of soil mines, disposal sites and routes for transporting materials and waste soil Location of disposal sites Options for transportation TT Reservoir Location Material and soil borrow pits routes At the high hill of 1 Plastic road of 6.0 m wide is 1.5 household, it is about 0.3 km, asphalt road is 4.0 to 5.0 m km from dam 1; dam Land wide, 1.3 km. concrete road is number 2 is about 0.5 km, cover 4.0 m wide, 0.2 km. the rest is going to the No. 3 dam gravel road, soil width 3.0 to 5.0 Y Can about 1 km and reaching m. commune , the 4th dam about 2 km. 1 Tu Do Tran Yen Point 1: Land of Mr. district Nguyen Cong Thuan - Tu Inter-commune asphalted road Waste Do Village - Y Can through Y Can Commune soild Commune People's Committee 1.8 km, dirt Point 2: Land for road to the lake 0.2 km resettlement. behind the

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Location of disposal sites Options for transportation TT Reservoir Location Material and soil borrow pits routes CPC Right at the shoulder of the Soil and gravel roads are Land overflow route, 0.5 km degraded and transported within cover Xuan Ai away from the main dam the construction area commune , 2 Khe Vai The low land is managed by Van Yen the Commune People's The inter-village level road of Waste district Committee at the foot of the Xuan Ai commune is 0.25 km soild rock slope inside Khe Quyt long village, Xuan Ai commune At the shoulder position. Land Soil road 3-4m wide. transported the dam is 0.3 km from the cover within the construction area. lake. Muong Lai commune, The low land area at the 3 Tang An Luc Yen foot of the dam at the district Waste village of Tang An. Muong The construction and soild Lai commune, is managed management road is 0.1 km long by the commune People's Committee At the shoulder position. Land Soil road 3-4m wide. transported the dam is 0.2 km from the cover within the construction area. lake. Yen Phu commune , The vacant land at the foot 4 Khe Dua Van Yen of the downstream dam of district Waste Hamlet 1 - Phu Thon Yen The construction and soild Phu commune is managed management road is 0.1 km long by the Commune People's Committee At the shoulder of the dam. Land Soil road 3-4m wide. transported it is 0.1 km away from the Muong Lai cover within the construction area Roong commune, lake 5 Den Luc Yen Area after the market of Inter-village concrete road of Waste district Nam Vanh village. Muong Muong Lai commune is 2.0km soild Lai commune long Land The ground in the lake area The construction and Xuan Lai cover management road is 0.1 km long commune, 6 Goc Nhoi The low land area of Mr. The provincial road 170 is 1km Yen Binh Waste Dang Cong Doan in long and the inter-village district soild Original Village of Xuan concrete road in Xuan Lai Lai commune commune is 0.8km Land The ground in the lake area The construction and cover management road is 0.1 km long Tich Coc The low land at the foot of commune , 7 Khe Hoai the dam downstream of Yen Binh Waste Khe Hoai Lake (near the The construction and district soild pond) is managed by Tich management road is 0.1 km long Coc Commune People's Committee

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Location of disposal sites Options for transportation TT Reservoir Location Material and soil borrow pits routes High ground yard of 1 Land Soil road 3-4m wide. transported household 0.2 km from the cover within the construction area Yen Hop lake commune , 8 Khe Hop Van Yen The low-lying area of Khe Plastic roads including inter- district Waste Hop village commune roads are 0.8 km. soild inter-village concrete roads are 0.4,inter-field roads are 0.3 km Land High ground walk in the Soil road 3-4m wide. transported cover lake area within the construction area Vu Linh The former site of kaolin Hang commune , The roads of asphalt roads 9 mining in Lang Dinh Luon Yen Binh Waste including the provincial road village is managed by the district soild 170 are 1.2 km. the concrete Commune People's road is 0.8 km Committee

Mine 1: High hill hill is 0.2 The inter-village concrete road Land km away from side dam is 3-4m long and 0.2km long; An Thinh cover Mine 2: High hill is 1km paved roads. graded and Khe commune , away from the main dam damaged aggregate. 1.0km long 10 Chinh Van Yen Vacant land of 1 household Plastic roads including district district Waste in Dai An village. An Thinh roads are 0.8 km, communal soild commune roads are 0.3 km and earth roads are 0.4 km

The ground is high in the The gravel road is about 3-4m Land northeast, about 1.5 km wide. Degraded, damaged and Yen Hop cover from the dam Khe commune , slippery. 11 Ngang Van Yen Low land in Yen Hop The asphalt roads include district Waste village,Yen Hop commune district roads of 1.0km and dirt soild roads of 0.2km Land High ground walk in the Construction and management Minh cover lake area road is 0.2 km long Xuan Cultural house yard in The roads of asphalt roads 12 Lang At commune , village 20 in Minh Xuan including the provincial road Waste Luc Yen commune 170 is 1.8 km, the inter-village soild district concrete road is 0.7 km and the earth road is 0.2 km Land High ground walk in the Construction and management cover lake area road is 0.2 km long Cuong Thinh The land area previously exploited kaolin at Hien 13 Chop Du commune , The inter-commune asphalt Waste Duong hamlet, Cuong Tran Yen roads are 2km long and 0.5km soild Thinh commune managed district of earth roads by the People's Committee of Ngoc Son commune Phu Phu Nham Land High ground walk in the Construction and management 14 Nham commune , cover lake area road is 0.2 km long

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Location of disposal sites Options for transportation TT Reservoir Location Material and soil borrow pits routes Van Chan The vacant land of Mrs. district Waste Nguyen Thi Doan's house The inter-commune asphalted soild in Phu Ninh village, Phu roads are 0.5 km. Nham commune At the position on the right Land The construction and shoulder, the dam is 0.5km Nong cover management road is 0.5 km long truong from the lake Nghia Lo 15 Nghia Lo Cultural house yard In Cultural house yard In village 1 Town, Nuoc 1 village, Nam An village, Nam An village 3 Phu Waste Van Chan village 3 Phu Nham Nham commune. The inter- soild district commune village concrete roads are 1.9km. The high ground of the The transportation road is 6-8m Land household is 3 km from the wide asphalted 2.5km long; The Thuong cover lake narrow concrete road is about 3- Bang La 3.5m wide and 0.5m long Village 16 commune , The area stretches to the 26 The inter-commune asphalted Van Chan people in Tham village, Waste roads are 2.5 km, 0.5 km of district managed by Thuong Bang soild inter-village concrete roads and La Commune People's 0.2 km of earth roads Committee (Attached to the minutes and diagram of the location of waste discharge in the Appendix)

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CHAPTER VII. 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 cost for the proposed mitigation measures. The summary of the Subproject’s environmental and social management plans is presented in the following sections. 7.2 Mitigation measures 7.2.1 Mitigation measures during the preparation phase a) Implementation of compensation and assistance for affected households - The Subproject Owner contracts and coordinates with the District Centers 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 the compensation, support and resettlement plan of the subproject. - 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. The cost of compensation, support and other management costs for affected land/property (land, houses, structures and trees) for the Subproject are shown in the table below (For more details, please refer to the RAP report).

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Table 7. 1: Estimated compensation cost for affected items

TT Category Unit Quantities Unit Price Total

A Resettlement 1 Land 7,200,000 Permanent Production forest land m2 600 12,000 7,200,000 2 Plants 879,358,000 Bamboo Tree 730 16,000 11,680,000 Eucalyptus and acacia (original Tree 9,940 20,000 198,800,000 diameter> 12cm) Cinnamon (5 to 10 years old) Tree 3,245 130,000 421,850,000 Cassava m2 50 5,000 250,000 Bat Tien tea (canopy m2 3,220 29,900 96,278,000 diameter> 1m) Longan (canopy diameter> Tree 20 1,900,000 38,000,000 3m) Litchi (canopy diameter> 3m) Tree 90 650,000 58,500,000 Orange (canopy diameter> 3m) Tree 60 900,000 54,000,000 B Other support 187,756,800 Support to stabilize production (50% of the value of recovered m2 600 6000 3,600 land) Support for job change training

and job search (2.5 times of m2 600 30,000 18,000,000 land price recovered) Support for vulnerable households (poor households with single women as Households 15 3,000,000 45,000,000 household heads and EM households) C Total direct costs 953,158,000 D Others 142,973,700 Management costs (GPA TT (5% x C) 47,657,900 council) Independent monitoring TT (10% x C) 95,315,800 E Redundancy costs 10%(C+D) 109,613,170 Total 1,062,771,000 In USD 46,207

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b) Mitigation measures for explosives, filling geological exploration bores The subproject will hiring 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; ensuring 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. c) Measures to minimize the impact of site clearance activities. - For trees, crops, fruit trees, short-term industrial plants ... informing people to take initiative in recalling products before conducting site clearance. Support people in moving timber trees and fruit trees to unaffected areas to continue farming. - For properties and works to be demolished or relocated, it is necessary to notify in advance so that people have plans to move animals, valuable assets or actively dismantle to move to unaffected locations. . - Land and waste land areas only temporarily recover land, after the project is completed, they will continue to return ground to production people. Excavation of soil causing disturbance to soil layers will affect cultivation ability, so before exploiting materials or discharging waste materials, it is necessary to peel off the soil layer, also known as the soil layer (25-30cm thick) separately. After completing the project, it will rearrange the arable land layer to limit the time to improve and restore the soil environment. 7.2.2 Mitigation measures during construction 7.2.2.1 Mitigation measures to construction impacts Mitigation measures are developed based on the World Bank Group's environment, health and safety guidelines and national regulations and standards to minimize construction impacts, in general, which are presented in the ECOP. The ECOP describe the typical requirements implemented by the Project Owner and supervised by the Construction Supervision Consultant during the construction process. The ECOP will be incorporated in the appendices of bidding documents and contract documents. The mitigation measures are identified for the following issues: - Dust and emissions; - Vibration and noise; - Waste management; - Management of hazardous materials and chemicals; - Management of camps; - Biological effect; - Soil erosion; - Sedimentation and drainage;

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- Stockpile and borrow pits management; - Traffic safety management; - Interruption to exsiting infrastructure services; - Chance finds; - Management of labor influx ; - Occupational health and safety; - Community Health and safety; - Communication with the local community.

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Table 7.2. Environmental Codes of Practice (ECOP) for addressing construction impacts

Applicable Standards, Responsible agencies Environmental and Social Mitigation measures Regulations and impacts Implementation Monitoring Guidelines 1) Dust and emissions - The Contractors are responsible for the compliance with the TCVN 6438-2005: Road Contractors PPMU, CSC requirements of Vietnamese regulations on ambient air quality. vehicles. Maximum allowable emission. - The Contractors must ensure that dust emissions are minimized and will not disturb local people, while implementing dust control No.35/2005/QDBGTVT measures to maintain a healthy working environment and minimize on quality control, disturbance to surrounding households. technical safety and environmental protection; - The Contractors are responsible for the implementation of dust mitigation measures (e.g. use of water sprinklers, covering vehicles QCVN 05: 2013/BTNMT: for transporting materials ...). National technical regulation on ambient air - Construction materials such as cement, sand and gravel must be quality. properly covered and secured during transportation to prevent spillage of soil, sand, other materials or dust. WBG EHS Guidelines - Spoilt and stones and stockpile material must be protected against the effects of wind and the locations of the material stores should be checked for current wind direction and locations of the sensitive works. - Anti-dust masks should be used when dust content is too high. - All transportation and construction vehicles must comply with the Vietnamese regulations on the emission limits. - All vehicles must undergo a regular emission test and receive: "certificate of quality, technical safety and environmental protection" under the Decision No.35/2005/QD-BGTVT; - It is important to ensure that no solid waste or construction

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Applicable Standards, Responsible agencies Environmental and Social Mitigation measures Regulations and impacts Implementation Monitoring Guidelines materials (e.g. wood, rubber, oil dusters, cement bags, paper, plastic, bitumen etc.) are destroyed. 2) Noise and - The Contractors are responsible for compliance with the - QCVN 26: Contractors PPMU, CSC vibrationimpacts Vietnamese laws regarding noise and vibration. 2010/BTNMT: National Technical Regulation on - All vehicles must have the "Certificate of quality control, noise technical safety and environmental protection" under Decision No.35/2005/QD-BGTVT; to avoid over-noise generation from - QCVN 27: machinery which is less maintained. 2010/BTNMT: Technical regulation on vibration - Measures to reduce noise must be applied as follows: - WBG EHS Guidelines Selection of low noise equipment - Installation of sound muffler for fans - Installation of silencer for exhaust and compressor components - Installation of soundproofing chamber for the equipment cover causing noise - Installation of adjacent sound insulation barriers and the continuous minimum surface density is 10 kg/m2 to minimize sound transmission. - The sound insulation barriers should be located near the sound source or the sound transmission source. - Installation of vibration control for mechanical machines - Control of operation time for specific equipment or activities, especially when they work close to residential areas. - Moving noise sources to other areas to take advantage of distance and barriers

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Applicable Standards, Responsible agencies Environmental and Social Mitigation measures Regulations and impacts Implementation Monitoring Guidelines - Installation of fixed equipment as far away from residential areas as possible - Taking advantage of natural terrain in the design to prevent noise - Restriction the use of means of transportation serving the project through residential areas - Establishment of a reception and feedback mechanism 3) Water management I. General waste - QCVN 14: Contractors PPMU, CSC 2008/BTNMT: National (a) Wastewater Technical Regulation on - The Contractors are responsible for the compliance with the domestic wastewater Vietnamese laws regarding the discharge of wastewater into water quality; sources. - QCVN 40: - Hiring local workers to limit waste 2011/BTNMT: National - The wastewater treatment system must be provided for the Technical Regulation on treatment of domestic water or sanitary wastewater in areas without wastewater wastewater collection network. Wastewater treatment systems - WBG EHS Guidelines should only be used for the treatment of sanitary wastewater. When the wastewater treatment system being the form of wastewater treatment selected, it is necessary: Design and installation in accordance with the local regulations and guiding to prevent any risk to public health or the contamination of soil, water or groundwater. • Maintaining good performance. • Installing in areas with sufficiently permeable soil for the design wastewater percentage.

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Applicable Standards, Responsible agencies Environmental and Social Mitigation measures Regulations and impacts Implementation Monitoring Guidelines • Installing in stable areas at the same level, which are well draining and permeable, with separation between drainage and groundwater or other receiving waters. - Wastewater from washing construction machines and equipment must be collected in the settling pond before being discharged into the local sewerage system. - Upon the completion of the construction works, the waste water tanks and septic tanks must be safely treated or sealed up. (b) Rain water - Rainwater should be separated from the treatment and sanitary sewage to reduce the amount of wastewater to be treated before discharging. - Preventing water surface runoff from construction areas or potential sources of pollution. - If this approach is not practical, the amount of wastewater discharged from the treatment and storage area must be separated from the contaminated water stream which is likely to be less polluted. - Reducing water runoff from the areas where there are no potential sources of contamination (e.g. minimizing the impermeable surface area) and reducing the maximum discharge rate (e.g. using aquacultural ponds). - In case, it is necessary to treat rain water to protect the receiving water quality, priority should be given to managing and treating the first discharge of rainwater, where most pollutants are potential present.

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Applicable Standards, Responsible agencies Environmental and Social Mitigation measures Regulations and impacts Implementation Monitoring Guidelines - When the water quality criteria meets the permission, rainwater must be managed as a natural resource, either for groundwater recharge or for meeting the water need of the facility. - It is essential to install and maintain oil separators and lubricant traps at refuelling facilities, workshops, parking areas, fuel depots and storage areas. - Sludge from rainwater tanks or collection and treatment systems may contain high levels of pollutants must be treated in accordance with local requirements. If it is not treated, it must be suitable to the protection of public health and safety and the preservation and long-term sustainability of water and land resources. (c) Solid waste - Prior to construction, the Contractors should prepare solid waste control process (storage, garbage bins, cleaning schedules, etc.) and be careful during the construction. - Before construction, the Contractors must ensure that all permits or waste treatment contracts are available. - Measures should be taken to minimize potential waste generation and improper behaviour related to waste disposal. At all construction sites, the Contractors must provide garbage bins, containers and waste collection facilities. - Solid wastes may be temporarily stored at site in the designated areas approved by the Contractors, Construction Supervision Consultant and local authorities before being collected and treated through licensed waste collectors. - Waste packaging must be protected against corrosion.

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Applicable Standards, Responsible agencies Environmental and Social Mitigation measures Regulations and impacts Implementation Monitoring Guidelines - Do not burn, bury or dump solid wastes in place. - Re-usable materials such as wood panels over grooving, steel, scaffolding, packaging materials, etc. will be collected and classified at site from other sources for recycling or for sale. - If not being dismantled on site, solid waste or construction debris will only be disposed at designated locations that are approved by the Construction Supervision Consultant and included in the Solid Waste Plan. In any case, the Contractor shall not dispose of any material in sensitive environmental areas such as natural habitats or water bodies. II. Hazardous waste (a) Storage of hazardous waste Hazardous waste must be stored to prevent or control accidental release into the air, soil, and water sources in the area where: - Wastes are stored in a way that prevents any disturbance or contact between incompatible wastes and allows inspection among the tanks to track leaks or spills, e.g. including spaces between compatible areas or physical isolations like walls or barriers. - Store in a tightly closed containers for direct sunlight, wind and rain. - Storage should be on a waterproof surface that is easily cleaned, and properly packaged to contain any spill or leakage. The storage area should be covered to prevent rainwater from accumulating. - The secondary prevention system must be constructed with appropriate materials for the storage of waste and sufficient to prevent leakage into the environment.

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Applicable Standards, Responsible agencies Environmental and Social Mitigation measures Regulations and impacts Implementation Monitoring Guidelines - Secondary storage includes wherever liquid waste is stored in volumes greater than 220 litters. The available volume of secondary containment must be at least 110 percent of the largest repository, or 25 percent of total storage (whichever is larger) at that particular location. Providing adequate ventilation where volatile materials are stored. (b) Transportation of hazardous waste - Onsite and offsite waste transportation must be carried out to prevent or minimize spillage, release, and exposure to staff and the public. - All waste containers designated for on-the-spot transport must be protected and labelled with relevant content and hazards, properly loaded on the transport vehicle prior to departure and must be accompanied by a shipping document (e.g. manifest) describing the load and associated hazards, in accordance with the instructions. (c) Burial of hazardous wastes - Chemical waste of any kind must be disposed of at appropriate burial sites and approved in accordance with the requirements of local law. The contractor must have the necessary processing certificate. - The disposal of hazardous waste must be carried out and handled by specially trained and certified workers. - The use of oils, lubricants, detergents ... from vehicle and machine maintenance must be collected in a storage tank and recycled by the company specializing in waste oil recycling at the waste disposal site.

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Applicable Standards, Responsible agencies Environmental and Social Mitigation measures Regulations and impacts Implementation Monitoring Guidelines - Unused or rejected bitumen or bitumen products will be returned to the supplier's factory. 4) Soil erosion - Limitation of construction activities on rainy days WBG EHS Guidelines Contractors PPMU, CSC - Using geotextile to temporarily cover erosion-prone soil - Covering a layer of soil over the soil surface to help soil absorb water gradually - Building walls around the erosion area to block the flow of water - Stabilizing surface erosion by cultivation or concreting 5) Drainage and sediment - The Contractors should follow the detailed design of the - TCVN 4447: 1987: Contractors PPMU, CSC management wastewater system in the construction plan to prevent water spills Construction regulations or erosion of hillsides and areas which are not protected from and acceptance floods, resulting wastewater pollution to local water resource. - -Circular - Ensuring that the sewage system is not filled with mud and other No.22/2010/TT-BXD of obstructions. the Ministry of Construction regulating - Maintenance of the current status of the areas that are not under labour safety in construction. construction work.QCVN - Carrying out reasonable earthwork, excavation and filling, 08-MT: 2015/BTNMT - complying with construction standards, including such measures as national technical installation of wastewater system, planting trees. standards on surface water - In order to avoid waste sediment, that impacts the water source, a quality sediment management system should be installed to slow or divert waste and sediment until the crop is cultivated. A sediment management system may include the removal of canal waste, canal banks, waste tank, straw material, post-storm sewerage protection system or barriers.

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Applicable Standards, Responsible agencies Environmental and Social Mitigation measures Regulations and impacts Implementation Monitoring Guidelines - Draining or supplying water: In case the construction works should be carried out at water sources (e.g. bridges, retaining walls, anti-erosion system), the areas should be drained, ensuring dry conditions for construction. Settling water from the construction site must be discharged into the sediment management system to be treated before flowing into the water source. - Mitigation measures should be implemented for each specific area under the EMP when changing water flows or constructing dykes. 6) Management of - The use of hazardous materials and chemicals within the - Decree No. Contractors PPMU, CSC hazardous materials and subproject must adhere strictly to the manufacturer's instructions. 38/2015/ND-CP on waste chemicals and waste management; - Using types of chemicals on the list of authorized agencies - Decision No. - Persons exposed to hazardous materials and chemicals should 23/2006/QD-BTNMT on receive intensive training in the risk prevention measures due to the list of hazardous exposure to hazardous materials and chemicals. wastes; - Persons who are frequently exposed to hazardous materials and - Circular chemicals should be periodically checked health (no less than 6 No.36/2015/TT-BTNMT months) and appropriate rest periods are recommended. on management of Transportation of hazardous materials and chemicals hazardous waste; - Using accessories, pipe lines and hoses dedicated to the materials - Circular in the tanks (for example, all acids use one type of connection, all No.03/2016/TT- caustics use different equipment) and maintain procedures to BNNPTNT on the list of prevent the inaccurate addition of toxic substances to the tanks. plant protection drugs - Using compatible transfer device and match the characteristics of permitted for use in the transfer material and design to ensure safe transfer. Vietnam; - Regularly checking, maintaining and repairing accessories, pipes - Circular No. and tubes. 21/2015/TT-BNNPTNT

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Applicable Standards, Responsible agencies Environmental and Social Mitigation measures Regulations and impacts Implementation Monitoring Guidelines on management of plant - Providing secondary containment, dripping or other spill protection drugs prevention and containment measures for containers of hazardous materials at possible connection points or spill points. - WBG EHS Guidelines. Overload control - Preparing written procedures for transportation including a checklist of measures to be taken during the filling process and use of the trained persons. - Installing the measuring equipment on the tanks to measure the volume inside. - Using water dripping pipes for tank trucks and fixed connections to the tanks. - Providing automatically sealed valves on the tanks to avoid overload. - Using a water tank around the spillway tubes to collect the spillage. - Using pipe connection with automatic overload protection valves (float valves). - Pumping less than the allowed capacity in the tanks or ship by placing less material than its availability. - The case of overload or overpressure of tubes, the load should be controlled down. Response to fire and explosion prevention - Storage of incompatible materials (acids, bases, flame retardants, oxidants, chemical reactants) in separate areas, and facilities to separate the material storage areas.

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Applicable Standards, Responsible agencies Environmental and Social Mitigation measures Regulations and impacts Implementation Monitoring Guidelines - Providing specific material storage for extremely hazardous or reactive materials. - Using flame arresters on vents from flammable containers. - Providing lightning protection for tanks, transfer stations and other equipment used to treat flammable materials. - Selecting compatible building materials with products stored for all parts of the storage and distribution system and avoiding reuse of containers for various products without material interoperability testing. - Storage of hazardous materials in the area of the establishment isolated from the main works. If the tangibility can not be avoided, physical separation must be made using structures designed to prevent fire, explosions, spills, and other emergencies that affect the operation of the facility. - The storage area should be on a non-absorbent surface and be easily cleaned, properly packaged to avoid any spills or leaks. Storage areas should be covered to prevent accumulated rainwater. - All sources of ignition are prohibited from areas near flammable tanks. Secondary chamber (liquid) - Transferring dangerous substance from storage tanks to storage areas where there is sufficiently permeable surface to avoid environmental degradation and sloping down to collection places or storage structures to avoid connecting to wastewater/rain water collection systems. - If no permanent containment structure is provided for transfer

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Applicable Standards, Responsible agencies Environmental and Social Mitigation measures Regulations and impacts Implementation Monitoring Guidelines activities, one or more other spill prevention forms such as mobile casings (which can be deployed throughout the duration operating hours) of pressure relief valves on rainwater tanks or closing valves in drainage or sewer equipment, in conjunction with oil water separators should be provided. - Storing hazardous materials in tanks capable of equal to or larger than 1,000 litters in the unwaterproof surface areas, which are covered or braided to contain at least 25% of total storage amount. - Providing secondary containment to the parts (tanks, pipes) of the hazardous materials storage system, at the feasible extent. - Carrying out routine tank inspections (e.g. daily or weekly), and inspection of visible parts of tank trucks and pipes to avoid leakage. - Using composite or special storage systems and pipelines, especially in the use of underground tanks (USTs) and underground pipelines. If using a dual wall system, there should be a means of detecting leakage between the two walls. Training - Employees need training in hazardous waste management. The training programs include: - List of trained staff; - Specific training objectives; - Mechanisms for achieving goals (practical workshops, videos, etc.); - Means of determining whether the training program is effective or not; - Training procedures for new recruits and new courses for existing staff.

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Applicable Standards, Responsible agencies Environmental and Social Mitigation measures Regulations and impacts Implementation Monitoring Guidelines Community Participation and Awareness - There is general information to the community which is likely to be affected by the scope and extent of the subproject activities and on-site preventive and control measures to ensure that there is no impact on human health. - Potential impacts on human health or the environment caused by incidents or from existing hazardous wastes. - Specific and timely information on the behavior and appropriate safety measures will be adopted in the event of an accident, including practice exercises at high risk locations. - Access to the information needed to understand the nature of the possible impacts of the accidents and the opportunity to contribute effectively to the relevant decisions and to develop emergency preparedness plans. - The Department of Natural Resources and Environment and the Department of Health will be informed in time about any environmental incidents. - Preparation and implementation of remedial measures after the oil spills. In this case, the Contractor must provide a report explaining the reason for the spill, corrective actions, consequence/damage from the spill incident, and corrective action. 7) Biological effect - The contractor should establish a management plan for site - Law on Biodiversity Contractors PPMU, CSC clearance, vegetation rehabilitation and re-planting in accordance No. 20/2008/QH12 with the relevant regulations for pre-approval by the Engineer. The - Decree site clearance plan must be approved by Construction Supervision No.65/2010/ND-CP Consultant and Contractor should strictly follow this plan and limit guiding the Law on the number of areas that need to be cleared as low as possible.

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Applicable Standards, Responsible agencies Environmental and Social Mitigation measures Regulations and impacts Implementation Monitoring Guidelines Biodiversity - The site clearance in forest land in mountainous areas requires the permission of the Ministry of Agriculture and Rural Development. - The contractor should release the topsoil of all areas where the topsoil will be affected by the rehabilitation work, including temporary measures such as storage and piling up. Removed topsoil will be concentrated in the areas agreed with the Construction Supervision Consultant for future reforestation and protection. - It is prohibited to use chemicals in the release of vegetation. - Do not cut trees unless getting allowance in the vegetation clearance plan. - Installing temporary protection fences to protect plants that need to be retained if necessary before commencing work at the site. - Do not encroach important ecological resources unless the Construction Supervision Consultant has obtained permission, who should consult with the PPMU and the Independent Environmental Monitoring Consultant (IEMC) and relevant authorities. These include the areas where birds, animals, fish farms, or green protected areas are developed. - The Contractor should ensure that no hunting, trapping and poisoning activities occur. 8) Traffic management - The Contractor must strictly comply with the provisions of the - Law on Transportation Contractors PPMU, CSC Road Traffic Law. No.23/2008/QH12; - Adopt the best traffic safety measures in all aspects of subproject - Decree activities with the aim of preventing traffic accidents and No.46/2016/ND-CP on minimizing injuries suffered by sub-project staff and the public. administrative sanctions The measures should include: against traffic safety

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Applicable Standards, Responsible agencies Environmental and Social Mitigation measures Regulations and impacts Implementation Monitoring Guidelines violations; • Emphasizing the safety aspect of the drivers. - Law on Construction • Improving driving skills and driving license requirements. No.50/2014/QH13; • Adoption of travel time limits and arrangement of dashboards to - Circular avoid overload. No.22/2010/TT-BXD, • Avoiding dangerous roads and times of day to reduce the risk of regulating labour safety accidents. in construction. • Using the speed control equipment on the trucks and remotely - WBG EHS Guidelines tracking the actions of the driver. - Regular maintenance of the vehicles and use of the parts approved by the manufacturers to minimize serious accidents that may occur due to equipment malfunction or premature failure. - Minimizing the interaction of pedestrians with construction vehicles. - Cooperating with local communities and competent agencies to improve the signage, vision and overall safety of roads, especially along strips located near schools or other places where there are children; Working with local communities on traffic education and pedestrian safety (e.g. school education campaigns). - Coordinating with emergency response agencies to ensure that appropriate first aid measures are provided in the event of an accident. - Using locally sourced materials, whenever possible, to minimize transportation distances; Locating associated facilities such as labor camps in the subproject area and arrange transportation of workers by bus to minimize external traffic.

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Applicable Standards, Responsible agencies Environmental and Social Mitigation measures Regulations and impacts Implementation Monitoring Guidelines - Using safe traffic control measures, including signs and flaggers to warn of hazardous conditions. 9) Interruption to existing - Planned and unplanned interruptions to water, gas, power, - Decree Contractors PPMU, CSC service infrastructures internet services: the Contractor must undertake prior No.167/2013/ND-CP on consultation and contingency planning with local authorities sanctioning administrative about the consequences of a particular service failure or violations in the field of disconnection. security, social order and safety. - Coordinate with relevant utility providers to establish appropriate construction schedules. - Provide information to affected households on working schedules as well as planned disruptions (at least 5 days in advance). - 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. - . 10) Management of - Contractors' and workers' camps are built temporarily on the - Labor Law Contractors PPMU, CSC workers’ camps subproject land. 10/2012/QH13 - These areas are far enough to accommodate building materials, - WBG EHS Guidelines oil, waste, discharge canals, and sensitive places such as schools, hospitals, churches, temples and other dangerous areas such as landslides, subsidence or erosion. - Camps should be well-ventilated, sunlight, clean water, garbage collection, septic toilets, mosquito nets, fire extinguishers, first aid

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Applicable Standards, Responsible agencies Environmental and Social Mitigation measures Regulations and impacts Implementation Monitoring Guidelines kits, and other health protection facilities for workers. 11) Management of lobour - Employment of local workers for simple jobs and limitation of - Decree Contractors PPMU, CSC influx worker increase in the subproject area. No.167/2013/ND-CP, stipulating administrative - Explanation to the workers about the local customs to avoid sanctions in the field of conflicts with local people. security, social order and - The Subproject Owner and the Contractors should cooperate with safety; prevention of local agencies to prevent social evils. social evils - Strengthening campaigns to eliminate social evils - WBG EHS Guidelines - Communicating with local organizations to ensure effective management and GRM so that affected local people can rely on. - Temporary workers living in camps and rental housing must register their temporary residency with local authority. - Employees are strictly forbidden to: - Use alcoholic beverages during construction - Controversy, fighting - Gambling, social evils such as drug use, prostitution - Littering waste 12) Chance finds Where the risk and identification process determines that there is a - Amended and Contractors PPMU, CSC chance of impacts to cultural heritage, the Contractor will retain supplemented Law on competent professionals to assist in the identification and protection Cultural Heritage of cultural heritage. No.28/2001/QH10; If the Contractor discovers archeological sites, historical sites, - Amended and remains and objects, including graveyards and/or individual graves supplemented Law on during excavation or construction, the Contractor shall: Cultural Heritage

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Applicable Standards, Responsible agencies Environmental and Social Mitigation measures Regulations and impacts Implementation Monitoring Guidelines No.32/2009/QH12; - Stop the construction activities in the area of the chance find; - Supplemented and amended Decree - Delineate the discovered site or area; No.98/2010/ND-CP - Secure the site to prevent any damage or loss of removable objects. In cases of removable antiquities or sensitive remains, a night guard shall be arranged until the responsible local authorities or the Department of Culture and Information takes over; - Notify the Construction Supervision Consultant who in turn will notify responsible local or national authorities in charge of the Cultural Property of Viet Nam (within 24 hours or less); - Relevant local or national authorities would be in charge of protecting and preserving the site before deciding on subsequent appropriate procedures. This would require a preliminary evaluation of the findings to be performed. The significance and importance of the findings should be assessed according to the various criteria relevant to cultural heritage; those include the aesthetic, historic, scientific or research, social and economic values; - Decisions on how to handle the finding shall be taken by the responsible authorities. This could include changes in the layout (such as when finding an irremovable remain of cultural or archeological importance) conservation, preservation, restoration and salvage; - If the cultural sites and/or relics are of high value and site preservation is recommended by the professionals and

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Applicable Standards, Responsible agencies Environmental and Social Mitigation measures Regulations and impacts Implementation Monitoring Guidelines 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. -

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Applicable Standards, Responsible agencies Environmental and Social Mitigation measures Regulations and impacts Implementation Monitoring Guidelines 13) Occupational health and Overworking - Directive Contractors PPMU, CSC safety No.02/2008/CT-BXD on - Training workers in lifting and handling materials in construction strengthening measures to and finishing, including the setting of weight limits on which ensure occupational safety mechanical assistance or two-person lifts, which are required. and health in units in the - Planning work arrangements to minimize the need for manual construction industry transportation of heavy loads. - Circular - Selecting tools and work points to reduce power requirements and No.22/2010/TT-BXD retention time, and promoting improved posture, including dated 03/12/2010 of the workstations that can accommodate users. Ministry of Construction - Implementing administrative controls on work processes, such as on regulations on labor job rotation and rest or break. safety in construction work Slide and fall - QCVN 18: 2014/BXD: - Implementing good sanitation measures, such as placement and National technical arrangement of loose building materials or debris in designated regulation on safety in areas away from pedestrian walkways. construction - Regular cleaning of waste residue and liquid waste. WBG EHS Guidelines - Locating electrical wires and connections in common areas and marked corridors. Using non-slip shoes. Working at height - Training and using temporary fall prevention devices such as rails or other fences, which may support a weight of 200 pounds, when workers are working at or above two meters in height or at any height, if the risk involves in falling into the active machinery, into water or other liquids, into the hazardous substance, or through the

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Applicable Standards, Responsible agencies Environmental and Social Mitigation measures Regulations and impacts Implementation Monitoring Guidelines open area on the work surface. - Training and using personal fall arrest systems such as seat belts and power harnesses which are capable of supporting 2,268 kg (it is also described in the section above), as well as rescue procedures to prevent people from falling to the ground. The connection point of the fall protection system can also support 2,268 kg. - Using control areas and safety monitoring systems to alert workers to the locations near fallacious risk areas as well as to tighten, mark and label lids for openings on floors, roofs or pedestrian surfaces. Stabbed by widgets - Using restricted or discharge areas and/or gully to safely move waste from top to bottom. - Sawing, cutting, grinding, sanding, splitting or chiselling with appropriate protection and anchorage when working. - Maintaining clear ways to avoid heavy equipment crossing discarded materials. - Using protective measures when someone or material is dropped from scaffolding and the edges of work surfaces, such as handrails and planks, to prevent material from being shot. - Moving work areas during blasting and use of explosive or deflecting methods to minimize flying stones or demineralization if the work is conducted close to people or structures. - Wearing appropriate personal protective equipment such as safety glasses with side shields, masks, helmets, and safety shoes Moving machinery

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Applicable Standards, Responsible agencies Environmental and Social Mitigation measures Regulations and impacts Implementation Monitoring Guidelines - Planning and isolating traffic locations; operating machinery and walkways; controlling vehicle traffic through one-way lane, speed limits, and on-site personnel; Wearing easy-to-observe jackets or carrying specialized clothing to regulate traffic. - Ensuring visible observation through the use of identifiable coats when working in or walking through heavy equipment operating areas; training workers to check eye contact with operators before reaching the vehicle. - Making sure movable equipment is equipped with alarm system. - Using lifting equipment that is well inspected and maintained for loads, e.g. cranes, and ensuring load when lifting them higher than the required height. Dust - Dust minimization techniques such as the use of water or non- toxic chemicals should be implemented to minimize dirt from vehicle movements. - Personal protective equipment such as respirators will be used where dust levels are too high. Excavation and filling in limited space - Controlling site specific factors that may contribute to the instability of the slope of the earthworks, e.g. the use of water removal techniques in earthworks, side wall support and adjustment of slope to eliminate or minimize the risk of collapse, trapping, or drowning. - Providing safe facilities to access to and get out of excavated areas such as step slope, grade entry, or stairs and ladders.

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Applicable Standards, Responsible agencies Environmental and Social Mitigation measures Regulations and impacts Implementation Monitoring Guidelines - Avoiding operating incinerators for long periods in excavation or embankment areas where other workers must enter unless the area is ventilated. Other site hazards - Assigning trained staff to identify and eliminate wastes from containers, pots, vats, processing equipment or contaminated soil as the first step in excavation, construction, dismantling or destroying the safety. - Assigning specially trained staff to identify and select the removal of potentially hazardous materials in the construction prior to the demolition, for example, insulators or structures containing asbestos and polychlorinated biphenyls, mercury-containing electrical components. - Using appropriate protective equipment based on occupational health and safety assessment including respirators, protective clothing, gloves, and eye protection. 14) Community Health and A. Common site hazards - Law on road traffic No. Contractors PPMU, CSC Safety 23/2008/QH12 - The Subproject must implement risk management strategies to protect the community from physical, chemical or other hazards - Circular No. associated with construction areas. 22/2010/TT-BXD on regulations on labor safety - Limiting access to construction site via a combination of internal in construction controls and administrative measures for the high risk structures or areas, depending on specific circumstances, fencing, signage, and - QCVN 18: 2014/BXD: communications of the risk to the local community. Technical regulations on safety in construction - Eliminating dangers on construction sites that can not be effectively controlled by restricting access to the site such as - WBG EHS Guidelines

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Applicable Standards, Responsible agencies Environmental and Social Mitigation measures Regulations and impacts Implementation Monitoring Guidelines covering open areas into shielded spaces, creating paths to the larger openings such as ditches or dug holes or store them around hazardous materials. B. Disease prevention Communicable disease - It needs to monitor, screen and treat workers. - Preventing diseases among workers, in the local community by: • Providing initiatives to raise awareness on health and education, for example by implementing an information strategy to strengthen individual awareness in order to address systemic factors that may affect fish behavior, which also promotes personal protection and protects others from infection by encouraging the use of condoms. • Training health workers on disease treatment. • Implementing vaccination programs for local community workers to improve health and prevent infection. • Providing health services. • Providing treatment through case management at on-site or community-based health care facilities; ensuring the access to appropriate medical treatment, confidentiality and care, especially for migrant workers. • Promoting cooperation with local authorities to increase access of families of workers and the community to public health services and promoting vaccination. Diseases spread by transmission vectors

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Applicable Standards, Responsible agencies Environmental and Social Mitigation measures Regulations and impacts Implementation Monitoring Guidelines - Preventing the spread of larvae and pathogens through hygienic measures and removal of habitats and reproduction of larvae of human settlements. - Removing unused water. - Increasing flows of natural and man-made canals. - Considering the application of fencing pesticide residue areas. - Implementing integrated vector control programs. - Promoting the use of chasing drugs, clothing, nets, and other preventive measures to prevent insect bites. - Implementing preventive treatment with non-immune drugs and coordination with health workers to destroy the reservoirs that contain diseases. - Monitoring and treating endemic and migratory populations to prevent the spread of the diseases. - Cooperating and exchanging equipment and machinery with other control programs in the subproject area to maximize benefits. - Training sub-project staff and local people on risk, prevention and treatment. - Monitoring the communities in high risk seasons for the detection and treatment of cases. - Distributing appropriate educational materials. - Following the safety instructions for storing, transporting and using pesticides to minimize the potential for misuse, overexposure, and human exposure to accidents.

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Applicable Standards, Responsible agencies Environmental and Social Mitigation measures Regulations and impacts Implementation Monitoring Guidelines 15) Management of stockpile - Large-scale borrow pits or stockpiles will need site-specific Contractors PPMU, CSC and borrow pits measures that go beyond those in this ECOP. - All locations to be used must be previously identified in the approved construction specifications. - An open ditch shall be built around the stockpile site to intercept 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. - 16) Communications with - Maintain open communications with the local government and - Decree Contractors PPMU, CSC local community concerned communities; the contractor shall coordinate with No.167/2013/ND-CP on local authorities (leaders of local wards or communes, leader sanctioning administrative of villages) for agreed schedules of construction activities at violations in the field of areas nearby sensitive places or at sensitive times (e.g., security, social order and religious festival days). safety - Copies in Vietnamese of this ECOP and of other relevant environmental safeguard documents shall be made available to local communities and to workers at the site. - Reduced playground space, loss of playing fields and car

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Applicable Standards, Responsible agencies Environmental and Social Mitigation measures Regulations and impacts Implementation Monitoring Guidelines 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 implement alternatives. - Disseminate subproject information to affected parties (for example local authority, enterprises and affected households, etc) through community meetings before construction commencement. - Provide a community relations contact from whom interested parties can receive information on site activities, 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 implementation phase. - Monitor community concerns and information requirements as the subproject progresses. - Respond to telephone inquiries and written correspondence in a timely and accurate manner. - Inform local residents about construction and work schedules, 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 work is carefully scheduled and the community is

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Applicable Standards, Responsible agencies Environmental and Social Mitigation measures Regulations and impacts Implementation Monitoring Guidelines 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 ESMP of the construction site. - Notification boards shall be erected at all construction sites providing information about the subproject, 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.

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Table 7.3: Mitigation measures for site-specific impacts

Site-specific Responsible party Description Potential Impact Mitigation measures receptors Implementation Supervision 0.4kv civil power line running along the road In the process of construction, - Dissemination of Construction CSC, PMU and the main dam of Thon 26, supplying mobilizing motorbikes and electrical safety corridors contractor electricity to people living in the village 26/3, vehicles may affect electrical according to Decree Thuong Bang La commune, Van Chan safety, collide lines, and violate the 14/2014/ND-CP for district. protection area of the power line. workers, drivers and machines on construction

sites. Specifically, during construction, workers and 0.4kv civil construction equipment power line keep the safe distance specified in the electrical safety corridor is 3.5 m.

The breeding area of 1 household is close to Activities of land grabbing at the - Notice the construction Construction CSC, PMU the material yard at the auxiliary dam 4. It is auxiliary dam No.4 can impact on plan with the household contractor the breeding area for raising buffaloes and barn structure, narrow space and before 6 months to have a chickens. The area of temporary farming of hinder livestock activities. farming plan Farmyard area buffaloes is about 20 m2 of the people's - Activities of taking soil houses for embankment at sub-dam No. 4 take place in a short period of time so the level of impact is low, there should be reasonable

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construction solutions to limit damage and collapse of temporary houses. - The location is adjacent to the flood - Spill construction activities can - Notice of construction Construction CSC, PMU discharge spillway, the concrete yard length is affect the structure of the yard, time, activities and impacts contractor about 15m of flooded spillway of the house of causing cracking of the building. that may be sent to Mrs. Nguyen Thi Hai Lake, Dam Hong households at least one

village, Cuong Thinh commune, Tran Yen month before the start of district. bidding. - There is a suitable solution when construction to avoid damaging the structure of the houses. People's - Collecting and cleaning houses are spilled materials, restoring close to the landscape after construction finishing construction. works

- The location is close to the foot of the downstream of Khe Chinh sub-reservoir, a temporary house has an area of about 50m2 of the house of Mrs. Quy hamlet of Gantry commune, An Thinh commune, Van Yen district. - Construction activities of dams and downstream roofs can cause damage to temporary houses, causing cracking of works.

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The only road to the dam is built by the Transporting materials in - Local consultation on plan Construction CSC, PMU community according to the new Rural construction causing damage and and schedule of contractor program. There are about 500m of concrete degradation of road works construction items road to Ho Thon 26 in village 26/3, Thuong - Strictly control the load of Bang La commune, Van Chan district materials transport vehicles - Commitment to repair and return to the original state Rural of the infrastructure in case infrastructure of damage

The only road to the auxiliary dam No. 4, Tu Do lake has about 700m of concrete road built by the people belonging to the village 3, Minh Tien commune, Tran Yen district.

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The area of agricultural production in the Restoration activities of upstream - Arrange construction Construction CSC, PMU downstream of 16 reservoirs belongs to the and downstream, waterproofing time while there is no need contractor subproject, Specifically: and construction of water intake for downstream water or sluice gates in 5 works (Goc Nhoi the lowest demand. - Tu Do Lake: 75 ha of paddy land in Dong reservoir, Lang Ai, Phu Nham, Xuan crop, 70 ha of summer-autumn rice - While constructing 5 new Nong NL, Thon 26) need to lower land. intake culverts. It is the water level, service for necessary to use other - Ho Khe Vai: 54 hectares of rice fields in construction. Thus, the lowering of technical measures to Dong Xuan crop, 54 hectares of summer- water level for construction may supply downstream. autumn rice land. affect the production of 660 ha of Specifically: For Lang Ai Spring rice, 612 ha of Summer rice - Ho Tang An: 120 hectares of rice fields in Lake. install additional and more than 2000 households Winter-Spring season, 98 hectares of water supply pipes (about Agricultural using domestic water in Yen The summer-autumn rice land. 100m HDPE D500 pipe) production town and Lieu Do commune. from the dyke to the water - Ho Khe Dua: 52 hectares of rice fields in Income of people in the subproject collection tank (BxHxL: 3 Dong Xuan crop, 52 hectares of summer- area depends mainly on x 3 x 3 m) to ensure water autumn rice land. agricultural production. Therefore, supply for production and if there is no mitigation measure, - Lake Roong Den: 82 ha of rice fields in water living for all people the interruption of water supply Dong Xuan crop, 80 ha of summer-autumn in Yen The town and a part due to construction activities may rice land. of Lieu Do commune; For adversely affect people's lives. the remaining lakes. - Original Lake: 8 hectares of rice fields in However, the impact is assessed as Pumps must be used to Dong Xuan crop, 8 hectares of summer- low because the construction phase pump water for agricultural autumn rice land. is properly arranged and other production. - Ho Khe Hoai: 22 hectares of winter-spring measures are applied to overcome.

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rice land, 20 hectares of summer-autumn rice - The Contractor shall land. inform the local authorities - Ho Khe Hop: 12 hectares of rice fields in and water users of the water Dong Xuan crop, 12 hectares of summer- cut schedule at least 3 autumn rice land. months prior to construction, so that local - Lake Luon Cave: 40 ha of rice fields in people can store water in Dong Xuan crop, 35 ha of summer-autumn their aquaculture canals and rice land. ponds. - Ho Khe Chinh: 10 hectares of rice fields in Dong Xuan season, 10 hectares of summer- autumn rice land. - Lang Ai Lake: 62 ha of rice in Winter- Spring crop, 55 ha of summer-autumn rice land and water supply for 2000 households - Ho Chi Minh Lake: 35 ha of winter-spring rice land. 35 ha of summer-autumn rice land. - Ho Phu Nham: 11 ha of paddy land in Dong Xuan crop, 11 ha of summer-autumn rice crop. - Reservoirs Nông Trường NL: 57 ha of rice in Winter-Spring crop, 50 ha of Summer- Autumn rice land. - Ho Khe Ngang: 8 ha of rice fields in Dong Xuan crop, 8 ha of summer-autumn rice crop. - Ho Thon 26: 12 hectares of rice fields in Dong Xuan crop, 12 hectares of summer- autumn rice land.

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7.2. 3 Mitigation measures in operation phase After the completion of the construction works, the reservoirs will ensure the water capacity according to the designs 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 subproject. Table 7.4: General mitigation measures for impacts during operation phase Responsibil Responsibili ity for Impact Mitigation measures ty for implementa monitoring tion -Equipping warning signs and installation of Reservoir Department dangerous warning system on the dam areas. owners of Falling into Agricultural reservoirs. -Disseminating drowning risk to the community and Rural drowning along the reservoirs. Development (DARD) - Limiting the activities that generate solid waste and Reservoir Department wastewater. owners of Agricultural Domestic waste - No littering. from activities and Rural of reservoir - Waste must be collected and transported to the local Development operators and landfill. tourists - Waste water must be collected into the settling pits before being discharged into the environment. - If the reservoir operators are regularly present on reservoirs, the septic tanks should be built. - Informing the downstream people about the annual Reservoir Department repair and maintenance plans. owners of Agricultural - Performing periodic maintenance and repairs during and Rural Repair and the shortest period of time and at the time of the Development maintenance lowest water demand. - Performing measures to maintain water supply during repair to ensure there is no disruption in water supply. - Preparing emergency response plans as part of the Reservoir Department dam safety reports. owners of Agricultural - The Management and Operation Unit should and Rural timely and accurately inform the flood discharge Development Regulation of plan for the community to actively get informed and reservoirs and respond. flood discharges in case of big - At risky times like in rainy season, it is necessary floods affecting to appoint persons to regularly monitor, to ensure downstream proper regulation of water sources. - Building safety corridors for flood discharge on the basis of impact scenarios. The specific solutions are detailed in the dam safety reports and emergency response plans.

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Responsibil Responsibili ity for Impact Mitigation measures ty for implementa monitoring tion - The Management Units of Reservoirs regularly Reservoir Department check the reservoir safety. owners of Agricultural - Performing proper operation procedures to ensure and Rural the safety of the reservoirs. Development - 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 Disaster risk corrective measures. causes unsafety - Local people and local authorities take initiative in community-based coping strategies. - Developing scenarios for predicting the extent of dam breakage effects, options for human evacuation, solutions for life and community property in emergency situations, etc. Details are included in the Dam Safety Report and the Emergency Response Plan of the Subproject. Preparation and implementation of IMP PPMU, DARD agricultural Increased use of extension pesticides division of district and commune

7.3 Institutional Arrangements 7.3.1 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 Unit (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 Units (PPMU) are 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

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the CPMU 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 The People's Committee of Yen Bai province assigned the Department of Agriculture and Rural Development (MARD) to carry out the subproject in the area, set up the WB8 Project Management Unit (PPMU) to implement the bidding, supervision of construction, resettlement action plan, environmental and social action plan, and these actions must be in line with the overall framework of the overall 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.

Figure 7.1: The Subproject Organization (Source: DRSIP Framework. 2015) 7.3.2 Roles and responsibilities for environmental and social safeguard management In terms of the regular investment monitoring activities, the CPMU will carry out the monitoring with the coordination of the local environmental authority to determine whether the subproject 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 subproject cycle. The CPMU requests the PPMU to include their corresponding environmental component in their investments, which include important mitigation activities and environmental incidents. The PPMU must integrate the environmental component in all reports prepared for the World

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Bank. The Stakeholders should be fully aware of the CESMP implementation mechanism in the subproject 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 CESMP implementation is outlined in Figure 7.2

MARD/CPO WB MONRE (Environment safeguard staff, Independent

Consultant)

PPMU/ES DONRE

Construction Supervision Contractors Community Consultant (CSC)

Figure 7.2: The Subproject’s diagram for implementation of Environmental Safeguard Policy

The details of the roles and responsibilities of the stakeholders involved in the environmental and social management during the subproject implementation are presented in Table below. Table 7.5: Roles and responsibilities of stakeholders Unit Responsibilities - The CPMU, on behalf of the Project Owner -MARD will be responsible for monitoring the overall implementation of the subproject, including the compliance with the subproject's environmental and social safeguard policy. - Responsible for reporting the implementation of the subproject 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 subproject 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 Provincial Project subproject, including the compliance with the subproject's environmental Management Unit policy. The PPMU will be the final agency responsible for the CESMP (PPMU) implementation and the implementation of the environmental activities of the

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subproject during 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 CESMP, including the incorporation of CESMP 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 CESMP to the CPMU, the DoNRE and the World Bank. - The PPMU’s ES is responsible for monitoring the 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 PPMU environmental Action Plan in accordance with the Terms of Reference, bidding documents and social staff (ES) 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 CPMU 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 ECOP. The Construction Supervision Consultant will Construction arrange sufficient number of qualified staff (e.g. Environmental Engineers) Supervision with full knowledge of environmental protection and construction project Consultant (CSC) 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: Code of Conduct (ESHS) • The Contractor will submit a Code of Conduct that will be applied to employees and subcontractors to ensure the compliance with the contractual environmental, social, health and safety obligations (ESHS). • In addition, the Contractor will make details on how this Code will be implemented. This will include: how it will be incorporated into the Bidders conditions of employment/participation, training to be provided, how it will be monitored and how the Contractor proposes to deal with any violation. Management Strategies and Implementation Plans (MSIP) for Risk Management (ESHS) 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

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from construction traffic; + Water resources protection plan to prevent drinking water pollution; + Strategic marking and boundary protection 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 Officer to implement the proposed environmental and social mitigation measures in the ESMP. - The Contractor shall submit to the PPMU/CSC for approval, and then to implement, the Contractor's Environmental and Social Management Plan (C- ESMP)3 must be in accordance with the Specific Conditions of the Terms of 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 (SSEO), who will be responsible for monitoring the compliance with the Code of Conduct and Management Strategies and Implementation Plans (MSIP) for Risk Management (ESHS). Contractors - Take action to minimize any potential negative impact that is consistent with the objective described in the CESMP. - 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 boards are set up under the Prime Minister's Decision No.80/2005/QD-CP dated 18 April 2005 on the “Regulation on Community Investment Supervision Mechanism”. The Local government, commune community supervision committees have the power and local community responsibility to supervise 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

3The Contractor shall not commence any Works, including mobilization and/or pre-construction activities (e.g. limited clearance for haul roads, site accesses and work site establishment, geotechnical investigations or investigations to select ancillary features such as quarries and borrow pits), unless the Project Manager is satisfied that appropriate measures are in place to address environmental, social, health and safety risks and impacts. At a minimum, the Contractor shall apply the Management Strategies and Implementation Plans and Code of Conduct, submitted as part of the Bid and agreed as part of the Contract. The Contractor shall submit, on a continuing basis, for the Project Manager’s prior approval, such supplementary Management Strategies and Implementation Plans as are necessary to manage the ESHS risks and impacts of ongoing works. These Management Strategies and Implementation Plans collectively comprise the Contractor’s Environmental and Social Management Plan (C-ESMP). The C-ESMP shall be approved prior to the commencement of construction activities (e.g. excavation, earth works, bridge and structure works, stream and road diversions, quarrying or extraction of materials, concrete batching and asphalt manufacture). The approved C-ESMP shall be reviewed, periodically (but not less than every six (6) months), and updated in a timely manner, as required, by the Contractor to ensure that it contains measures appropriate to the Works activities to be undertaken. The updated C-ESMP shall be subject to prior approval by the Project Manager.

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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 DoNRE and MONRE in the Natural Resources districts monitor the compliance with the Government's environmental and Environment requirements. 7.4 The compliance with the Environment framework The duties of the Contractor, Social and Environment Safety Officer (SSEO) and CSC here which are not mentioned in the SPD are required to be included in the Subporject Owner Request (Section 7 of the SPD). 7.4.1 Contractor's environmental duties4 Firstly, the Contractor must comply to mitigate potential impacts of construction activities of the Subproject. Secondly, the Contractor must apply the mitigation measures within the framework of the environment and Social Management Plan to prevent damage and disturbance for local communities and the environment due to impacts during the construction and operation phases. The Contractor is required to submit for approval and then implement the Contractor's Environmental Management and Social Management Plan in accordance with the Specific Conditions of Contract Clause 16.2, including the Management Strategies and Plan Implementation. The remedial actions that can not be carried out during the construction process must be carried out at the completion of the construction (and before the acceptance of the completion of a work). The tasks of the Contractor include, but are not limited to: - The compliance with the legal requirements relating to the environment, safety and public health. - Working within the scope of contract requirements and other bidding conditions. - Establishment of representatives of construction teams that participate in the joint inspections conducted by the Environmental Safety Officers of the PPMU and the CSC.

4If the Contractor was, or is, failing to perform any ESHS obligations or work under the Contract, the value of this work or obligation, as determined by the Project Manager, may be withheld until the work or obligation has been performed, and/or the cost of rectification or replacement, as determined by the Project Manager, may be withheld until rectification or replacement has been completed. Failure to perform includes, but is not limited to the following: • failure to comply with any ESHS obligations or work described in the Works’ Requirements which may include: working outside site boundaries, excessive dust, failure to keep public roads in a safe usable condition, damage to offsite vegetation, pollution of water courses from oils or sedimentation, contamination of land e.g. from oils, human waste, damage to archeology or cultural heritage features, air pollution as a result of unauthorized and/or inefficient combustion; • failure to regularly review C-ESMP and/or update it in a timely manner to address emerging ESHS issues, or anticipated risks or impacts; • failure to implement the C-ESMP; • failing to have appropriate consents/permits prior to undertaking Works or related activities; • failure to submit ESHS report/s (as described in Appendix C of SPDs), or failure to submit such reports in a timely manner; • failure to implement remediation as instructed by the Engineer within the specified timeframe (e.g. remediation addressing non-compliance/s).

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- Coordinating with the functional units which are responsible for conducting periodic environmental monitoring according to the ESIA. - Coordinating with the PPMU to conduct training and dissemination of social and environmental safety policies for officials and workers on site. - Carrying out any corrective actions as directed by the Environmental Officers of the PPMU and the CSC. - If there is a case of non-compliance or falsification, the investigation and submission of options on mitigating measures should be carried out and measures are taken to minimize environment impacts. - Stopping obstructing construction activities when receiving instructions from the Environmental Safety Officers of the PPMU and the CSC; proposing and implementing remedial measures and alternative construction methods to minimize environment impacts. If the Contractor fails to comply with the above requirements, the Contractor will be suspended from work or receive penalties until the matter is resolved and the PPMU and CSC’s approvals are obtained. 7.4.2 The Contractor’s Safety, Social, and Environmental Officers The Contractor is required appointing competent staff, including the Safety, Social and Environmental Officers (SSEOs). The SSEOs must be adequately trained in environmental management and provided with necessary skills to transfer environmental management knowledge to all staff involved into the contract. The SSEOs will be responsible for monitoring the Contractor’s compliance with the ESMP requirements and the environmental requirements. The assignments of the SSEOs will include but is not limited to the following: - Organizing the inspection of the environment current state to assess and inspect the status of the Contractor’s construction site, Contractor’s equipment and construction methods related to pollution control and mitigation measures to environmental impacts, which is fully realized or not; - Monitoring the compliance with environmental protection measures, pollution prevention and control measures and contract requirements; - Assisting the functional units to periodically monitor the environment according to the ESIA content; - Monitoring the implementation of environmental mitigation measures; - Preparing audit reports on environmental conditions at site; - Investigating complaints and proposing corrective measures; - Advising the Contractor on environmental improvement, awareness and measures to prevent immediate pollution; - Proposing appropriate mitigation measures for the Contractor in case of non- compliance; Implementing additional monitoring of non-compliance under the instructions of the PPMU environmental officers and the CSC; - Notifying the Contractor and environmental staff (PPMU and CSC staff) of environmental issues; submitting the Contractor’s ESMP to the environmental staff of PPMU and CSC, and other concerned agencies, if necessary; - Maintaining detailed records of all site activities related to the environment.

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7.4.3 Environmental and social monitoring during construction During the construction process, the CSC who are able to report to the PPMU will carry out the environmental and social monitoring. The CSC will assign environmental and social staff who will be responsible for monitoring and supervising all construction activities to ensure that the mitigation measures selected in the CESMP are properly implemented and the negative environmental and social impacts caused by the Subproject are minimized. The CSC will hire environmental and social monitoring engineers with knowledge of project management, construction and environmental and social management to perform the required responsibilities and supervise the implementation of the Contractor. In particular, the CSC’s environmental and social staff will: - On behalf of the PPMU, review and evaluate if the construction design meets the CESMP's requirements for mitigation and management measures; - Supervise the Contractor's environmental and social management at the site including the implementation, experience and ability to address environmental and social issues on site and providing guidance on correction; - Review the Contractor's CESMP, verifying and confirming the environmental and social monitoring procedures, parameters, monitoring sites, equipment and results; - Report on the implementation of the CESMP to the PPMU and preparation of environmental and social monitoring reports during 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 and Pollution Control of the 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 SSEO and the ES of the CSC and the PPMU. The documents must at least include updated work progress reports, updated construction methods, and other licensing applications under the Environmental Protection Law and all valid permits/licenses. The Environmental and social staff of the CSC and the PPMU will also have right to access to the website logbook upon request. After reviewing the documents, the environmental and social staff of the CSC and the PPMU will advise the PPMU and the Contractor on any non-compliance with the contractual and legal requirements relating to the environmental protection and pollution control so that they can continue the next actions. If the environmental and social staff of the CSC and the PPMU conclude that the status of the permit application and any environmental protection and pollution control activities may not be consistent with the works or may lead to violations of environmental protection and pollution control requirements, they will promptly notify the Contractor and the PPMU. 7.4.5 Reporting In addition to the progress reports, the Contractor shall also provide reports on the Environmental, Social, Health and Safety (ESHS) data set out in Appendix B to the Standard

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Bidding Document (SPD). In addition to the reports in Appendix B, the Contractor 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 any act which is likely to violate law or any international agreement; - Any death or serious injury (time damage); - Significant adverse effects or damage 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 endangering rare species (including protected areas); or - Any allegations of sexual harassment or sex offenses, child abuse, defamation, or other violations related to the child. Table 7.6: Reporting requirements No. Reported by Submitted by Report frequency

1 Contractors CSC Immediately reporting specific issues and monthly issues with wider violation issues

2 Construction Supervision PPMU Immediately or monthly Consultant

4 Community monitoring PPMU When the community has any complaints boards about the implementation of the subproject safety policy

5 PPMU Provincial DONRE Once every six months in compliance and Central Project with the Government's environmental Management Unit regulatory requirements

6 CPMU WB Once every six months in compliance with Section II of the Loan Agreement.

7.5 Grievance redress mechanism All complaints related to any subproject issues will be resolved through negotiations to reach consensus. The complaints will go through three stages before appealing to the courts. The agencies in charge of complaint settlement will pay all administrative and legal fees related to the acceptance of complaints. This cost is included in the Subproject budget. 7.5.1 Procedures for complaints and settlement (i) The People's Committees at commune levels (CPCs): The affected people can bring their complaints to any members of the CPCs through the village heads or directly to the CPCs in writing or orally. The members of the CPCs or the village heads will inform the CPCs of the complaints. The CPCs will work directly with the affected people who complains and decide on the reconciliation/settlement within 5 days of receiving the complaints (about 15 days for the mountains and remote areas). The secretaries of the CPCs are responsible for filing and archiving documentation of all complaints that the CPCs handle. After decisions are made by the CPCs, the concerned households can make complaints against within 30 days. In the case of the second decisions made by the CPCs, if the

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households are still unsatisfied with the decisions, they can appeal to the superior people's committees in accordance with the complaint procedure stipulated in the Law on Complaint in 2011 and related documents. (ii) The District People's Committees (DPCs): When there are complaints, the DPCs will have a period of 15 days (or 30 days for mountains and remote areas) to resolve them. The DPCsare responsible for filing and archiving documentation of all complaints that they handle. When the DPCs issued decisions, the complainants can appeal again within 30 days. In the case of the second decisions made by the DPCs, if the households are still unsatisfied with the decisions, they can appeal to the provincial people's committee in accordance with the complaint procedure stipulated in the Law on Complaint in 2011 and related documents. (iii) The Provincial People's Committee (PPC): The PPC has a period of 30 days (or 45 days for mountains and remote areas) from the date of receipt of the complaints to settle. The PPC is responsible for filing and archiving documentation of all complaints that it handles. After the PPC issued decisions, the complainants can appeal again within 45 days. In the case of the second decisions made by the PPC, if the households are still unsatisfied with the decisions, they can appeal to the court within 45 days. The PPC will have to pay compensation costs to an account. (iv) The Provincial Court. When the complainants take their cases to the provincial court and the rules of the court are favourable to the complainants, the provincial authorities will increase the compensation to a level that the court can approve. In the case that the court judgments are favourable to the PPC, the complainants will be reimbursed the charges they paid to the court. The complaint decisions must be sent to the complainants and the involved parties and publicly posted up at the offices of the people's committees of the competent levels. The complainants will receive the judgments three days at the commune level and seven days at the district or provincial levels after there are decisions on the settlement of their complaints. To minimize the number of complaints at the provincial level, the PPMU will coordinate with Song Lo, Lap Thach, Tam Dao and Phuc Yen District Compensation Committees to organize the consultations on the complaint settlement. Its role and capacity is to provide compensation, assistance and resettlement to affected households and displaced persons. Personnel: The environmental and resettlement staff selected by the PPMU will design and maintain a database on the subproject complaints from affected households, including information like the nature of the complaints, the sources and dates of receipt of the complaints, the names and addresses of the complainants, the action plans, and the current status. For verbal complaints, the agency that settle complaints will record these requests in a complaint form at the first meeting with the affected households. 7.5.2 Contractors and Construction Supervision Consultant Beside, 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

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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: - 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 guards 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 complaint, 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. Small-scale claims will be resolved within a week. Within two weeks (and every week thereafter), the written response will be sent to the 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 The World Bank’s Grievance Redress Mechanism The World Bank Grievance Redress Mechanism: Individuals and communities can believe that if a subproject funded by the World Bank adversely affects their lives, they may file complaints to that subproject grievance mechanism or the World Bank's grievance redress committee. The World Bank's grievance redress committee ensures that complaints are addressed in a timely manner related to the subproject. Individuals or organizations affected by the subproject may file complaints with the World Bank Inspectorate to determine if any damage occurs or may occur, as a result of failing to complying with the World Bank policies and procedures. Complaints may be made at any 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

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Bank Inspectorate, please visit www.inspectionpanel.org. 7.6 ESMP implementation plan 7.6.1 Contractor's Social and Environmental 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 prepare the ESMP of their packages and submit 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 personnel The Contractor's Environmental Safety Officers must be trained in the relevant regulations, have certificates of occupational health and safety, and are full-time employees on site. The provision of training on occupational health and safety for workers and the regular inspection of the health and safety service on site must be implemented. 7.7 Capacity building and training 7.7.1 Training on safeguard policy Since the PPMU have implemented projects funded by the World Bank, some PPMU staff may have a clear understanding of the World Bank’s safeguard policy requirements. The PPMU has appointed an officer to be responsible for the environmental safeguard of the Subproject. This environmental officer has participated in some safeguard training courses organized by the World Bank and the CPMU at the early stage of the subproject implementation. Training and capacity development, however, is required annually through technical assistance of the World Bank’s Safeguard Policy Officers addressing new safeguard policy requirements. Because the new environmental, social, health and safety (ESHS) requirements are set out in the standard bidding documents, the trainingon the ESHS

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requirements will be provided by the World Bank’s Safeguard Policy Officers to the environmental and social staff of the PPMU, the CSC and the environmental and social staff of the Contractors as soon as they are mobilized. The PPMU will be responsible for organizing the training in coordination with the World Bank’s Safeguard Policy Officers. Such training should be organized at an early stage of implementation to ensure that the ESMP is properly and appropriately translated into the bidding (and subsequent contract) documentation. The technical assistance should be undertaken by appropriately skilled and experienced personnel of CSC, and be undertaken in accordance with a Terms of Reference that includes specific reference to developing effective Employers Requirements sections of the SPDs. 7.7.2 Training on occupational health and safety The 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 personal and prevent injuries to their colleagues. The training will include perceptions on basic hazards, specific hazards, safe work practices, and emergency procedures for fire, evacuation, and natural disasters, which must be practice properly. Any specific hazards or color codes to be used will be considered thoroughly as part of the training orientation. 7.7.3 Orientation of visitors If visitors are allowed accessing to the areas with hazardous conditions or substance presence, visitor orientation and control program will be established to ensure that they do not enter dangerous areas without the accompanying persons. 7.7.4 Training 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 the hazards at work and protect themselves from the hazards which may occur. The training will include: - Understanding about materials. equipment and tools - Understanding about the hazards of operation and how to control them - Potential risks to health - Alerts to prevent exposure - Sanitary requirements - Wearing and using protective clothing and equipment - Actions 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 deployed as needed to ensure that workers are oriented towards the specific hazards of individual work tasks. The training will generally be provided to managers, supervisors, workers, and occasional visitors to risk and hazardous areas. Workers with first aid and rescue obligations receive special training not to exacerbate the exposure and health hazards to themselves and their colleagues. Training will include the risk of transmitting diseases through blood due to contact with body tissues and body fluids. Through appropriate contractual terms and monitoring, the PPMU will ensure that service

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providers as well as contractual workers and subcontractual workers are adequately trained before commencement of their works. The PPMU will be responsible for coordinating with the construction supervision consultants and the contractor's social environment officers to organize the training courses mentioned above. Table 7. 7: Cost of training and capacity building (in VND) Training Cateogory Number Unit Price Total cost subjects All workers and Training on food hygiene, labor technical staff of safety and environmental 800 200,000 320,000,000 the contractor (2 protection times) Control of waste Contractors, CSC 82 500,000 41,000,000 sources Impact assessment and control of Contractors, CSC 82 500,000 41,000,000 environmental risks Improve access Training on to the Social environmental Management legal system and Contractors, CSC 48 500,000 24,000,000 safeguard policies of the World Bank Training to improve CSC officer, key environmental 48 500,000 24,000,000 contractor monitoring capacity

Total 450,000,000 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 and communities in 11 reservoir areas will perform monitoring tasks in accordance with the Government’s regulations, the Law on Environmental Protection 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. The detailed monitoring plans will be prepared during the detailed design phase. Expenditures for the monitoring program will be included in the cost of the CESMP implementation.

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7.8.2 Monitoring environment quality (a) Periodic monitoring An environmental monitoring program for the air quality, soil and water supply information can be used to assess the effectiveness of pollution management strategies. A systematic planning process is recommended to ensure that the collected data is appropriate to their intended purpose (and to avoid unnecessary data collection). This process, sometimes referred to as the process of data quality objectives, determines the purpose of data collection, decisions based on data and consequences of making wrong decisions, time and place boundaries, quality and data required to make a correct decision. The environmental monitoring program will consider the following factors: • Monitoring parameters: The selected monitoring parameters should reflect disturbing pollutants related to the subproject processes. • Basic calculations: Prior to the construction of the Subproject, monitoring the environment quality in the ambient and in the subproject area should be carried out to assess the contamination level of the main pollutants to distinguish between the conditions of the current surrounding environment and impacts related to the Subproject. • Type and frequency of monitoring: The ambient environmental quality data generated through monitoring program should represent contaminated pollutants caused by the Subproject by time. The time and monitoring frequency can also be arranged from continuous to infrequent, monthly, quarterly or yearly occurrence. • Monitoring locations: Monitoring the ambient environmental quality may be external or within the subproject area by the Subproject Owner, DONRE, or by the cooperation among the parties. The locations of the 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, taking into account such aspects as the locations of the communities which are likely affected. • Sampling and analysis methods: The monitoring programs should use national or international methods for sample collection and analysis, such as those published by the International Organization for Standardization (ISO). The sampling must be conducted by or under the supervision of the trained staff. The analysis will be by authorized or certified entities for this purpose. The quality control plans (QA/QC) should be documented to ensure that the quality of data is consistent with the intended use of the data (for example, the method limits detection to less than the level of interest). The monitoring reports should include QA/QC documents. The noise monitoring programs can be useful for the purpose of setting the ambient noise level, which is present in the proposed subproject area or useful for checking the noise level at the operation phase. The noise monitoring programs should be designed and implemented by trained professionals. Typical monitoring cycles should be sufficient for statistical analysis and may last up 48 hours in parallel with the noise monitoring devices to to able to record continuous data during this time period, or by hour, or more often, if appropriate (or include different time periods for several days, including weekdays and weekends). Sound indicator types are recorded depending on the types of noise which is being tracked and are determined by the noise specialists. 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 is limited by the level of ambient noise or the level of baseline noise in the absence of the noise source which is being investigated. The details are shown in the table below.

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Table 7. 8: Environmental monitoring plan during construction phase No. Sample Location Frequency Metrics Standards Responsiblity

Noise level, QCVN 1. Dam TSP (total 05:2013/BTNMT Once every Air, noise construction area; suspended 6 months QCVN 1 and particles), Provincial PMU 2. Management 26:2010/BTNMT vibration Vibration road QCVN 27:2010/BTNMT pH, DO (dissolved 1. Surface water oxygen), TSS in reservoirs (total 2. Surface water suspended at the canal to the Once every solids), COD Surface irrigation system (chemical QCVN 08-MT: 2 6 months Provincial PMU Water on the right side oxygen 2015/BTNMT behind the dam demand), BOD 3. Surface water 5 (biochemical behind the oxygen disposal area demand), Coliform 1. At the pH, DO, construction COD, BOD , - QCVN 14: 2008 / workers' camp Once every 5 SS (suspended BTNMT Domestic 6 months 3 2. Behind the solids), Provincial PMU wastewater - QCVN construction Colifom, and 01:2011/BYT wastewater NH + treatment system 4 Scale of Once in erosion 3 Erosion Spillway th Provincial PMU Quarter 4 Level of erosion The implementation time for each project under the subproject is expected to be 12 months, the location of periodic sampling sampling coincides with the sampling position during the ESIA implementation. During the deployment process, depending on the construction conditions, items can be adjusted to the environmental quality monitoring position to suit reality. Location of monitoring for each project see diagram in annex 4. Funding for environmental monitoring: The total cost of environmental monitoring in the construction and operation phase is estimated: VND 434,046,000 (Four hundred and thirty four million and forty six thousand dong). This cost is implemented by the construction contractor, as a basis for checking the quality of the surrounding environment during construction (Table 7.9). Table 7. 9: Estimated cost of monitoring the ambient environment quality Unit Total cost STT Analyses Unit Quantities Price (VND) (VND)

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Surface water: pH, DO, TSS, COD, 1 BOD5, Coliform (3 samples x 16 Sample 96 1,749,600 167,961,600 reservoirs x 2 waves)

TSP, Noise level, and Vibration (2 2 Sample 64 641,430 41,051,520 samples x 16 reservoirs x 2 waves)

Domestic wastewater: pH, DO, COD, BOD5, SS, Colifom, fat, 3 + Sample 64 1,749,600 111,974,400 NH4 (2 samples x 16 reservoirs x 2 times) 4 Write periodic monitoring reports Report 2 5,000,000 10,000,000 Rent a car for sampling (2 times x 8 5 Day 16 1,800,000 28,800,000 days / batch) Expenses according to the package 6 regime (2 installments x 8 days / Day 64 450,000 28,800,000 batch x 4 people) Other expenses (VPP, photo, print 7 Phase 2 3,000,000 6,000,000 documents)

Toal I+II 394,587,520

VAT (10%) 39,458,752

Total 434,046,000 (b) Incident monitoring The purpose of this monitoring is to assess the soil and water pollution levels caused by sudden discharge like discharge of wastewater and oil into nearby water and soil sources and to make timely pollution control decisions to reduce environmental risk. 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 the potential environmental risks associated with the discharge of waste, like waste oil and wastewater, into nearby water bodies. The plan also identifies resources to monitor this issue, such as personnel, equipment, location and monitoring parameters, analytical methods, dedicated laboratories, and cost estimates. 7.8.3 Dam safety monitoring Once the water is accumulated and the dams start operating, the dam owners are responsible for monitoring the dam safety. This task is done by qualified independent specialists who are not involved in the investigation, design, construction or operation of the dams. After the dams are in normal operation, the regular inspection stages take place, including safety inspection of the dams before and after annual flood season in accordance with Government Decree No. 72/2007/ND-CP on Dam Safety Management. 7.9. Estimated cost The proposed budget for the implementation of the ESMP, including monitoring and capacity building, is summarized in Table 7.10 below:

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Table 7. 10: Estimated cost for monitoring the implementation of the ESMP and training Items Cost (VND) Capacity building: training program to improve environmental and I 450,000,000 social management capacity II Environmental monitoring 434,046,000 Total 884,046,000 The community involvement in the ESIA implementation is voluntary for the benefit of the community and people themselves. Therefore, people participating in the CESMP 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 summaries the funding flow for the environmental quality monitoring and capacity building during the implementation of Yen Bai Subproject. Table 7.11: Funding for CESMP monitoring Funding Contents Costs sources (a) Minimization during construction Part of the construction contract WB (b) Control of safeguard policy during Part of the cost of the Construction construction Supervision Consultant (CSC) WB

(c) PPMU in charge of environmental Part of the cost of the PPMU Counterpart safeguard policy funding (d) Monitoring environmental quality Cost of renting environmental WB monitoring (e) Capacity building program on safety Training cost WB policy

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CHAPTER VIII. PUBLIC CONSULTATION AND INFORMATION DISCLOSURE

8.1. Objectives of public consultation during ESIA preparation - Consult consensus of relevant sectors, local authorities and communities in the implementation of the subproject; - Fully share information about the scope of the subproject and its impacts on the environment and society; - Encourage community participation in identifying subproject environmental impacts; - Collect information on requirements as well as reactions of local people and authorities on project owners' environmental impact mitigation measures, or consider the principal during the construction phase of the construction investment project erected. 8.2. Summary of the process of organizing public consultation PMU has collaborated with the consultant to prepare an EIA Report and organize consultations in writing by Commune People's Committee, organizations directly affected by the subproject. The consultation with locally-affected people and local NGOs are in the form of face-to-face meetings. The objectives of public consultation include: - Consult the consensus of local authorities, organizations directly affected by the project and the community in the implementation of the subproject. - Fully share information about the project scope and impacts of the subproject. - Encourage community participation in determining the Environmental and Social impacts of the subproject. - Collect information on the needs and reactions of local people and authorities for the subproject implementation and recommendations to minimize the environmental impact of the project or consider adjustment in the period set up construction investment projects. Summary of the results of the two community consultations in the following sections: 8.2.1. Summary of the process of consultations with commune-level People's Committees, organizations directly affected by the subproject During the period of November 13, 2017 to November 30, 2017, the PPMU of the Subproject on Repair and Improvement of Dam Safety in Yen Bai Province cooperated with the consultant to prepare EIA Report to organize consultation meeting to share the subproject’s information and potential impacts. Summary of consultation process is as follows: a) Composition of consultations Chairing the conference: Project Management Board. • Coordinating unit: Consulting on environmental and social impact assessment • Participants: Commune Party Committee representative; Representatives of CPC leaders; Cadastral and Environment Officer; National Front; Mass organizations: Women's Union, Youth Union, Farmer's Association, Veterans Association; Heads of villages and hamlets; Representatives of affected households b) Contents of consultation with CPC and organizations directly affected

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• Representatives of the Management Board of the Dam Safety Repair and Improvement Project in Yen Bai Province introduced the objectives, main items of the subproject, scope and objects affected by the subproject. • Consultation on Environmental and Social Impact Assessment information on Environmental and Social Safeguards has been stipulated in the WB8 Environmental and Social Management Framework. Expected negative impacts of the project on the Environment and Society. Determine which objects will be impacted, the level of impact. Proposing measures to mitigate negative environmental and social impacts of the subproject. • Commune People's Committees and organizations are affected to discuss consensus on the implementation of the Sub-project, providing information on the current status of the environment, natural and socio-economic conditions, and discussing issues of positive and negative environmental and social impacts of the sub-project. Table 8. 1: Summary of consultation activities with Commune People's Committee and organizations Number Number of of Reservoir Date Location female Documentation attendee attendee s s Official Dispatch No. Y Can 231/UBND dated Dec Reservoirs Nov 14th, communes, 46 8 18th, 2017 by People's Tu Do 2017 Tran Yen Committee of Y Can district commune Official Dispatch No. Xuan Ai 285/UBND dated Dec Reservoirs Nov 13th, communes, 43 7 17th, 2017 by People's Khe Vai 2017 Van Yen Committee of Xuan Ai district commune Official Dispatch No. Muong Lai 148/UBND dated Dec Reservoirs Nov 16th, communes, 60 11 15th, 2017 by People's Tang An 2017 Luc Yen Committee of Muong district Lai commune Official Dispatch No. Yen Phu 218/UBND dated Dec Reservoirs Nov 30th, communes, 44 8 15th, 2017 by Yen Phu Khe Dua 2017 Van Yen commune People's district Committee Official Dispatch No. Muong Lai Reservoirs 149/UBND dated Dec Nov 17th, communes, Roong 55 6 15th, 2017 by People's 2017 Luc Yen Den Committee of Muong district Lai commune Reservoirs Nov 16th, Xuan Lai Official Dispatch No. 49 7 Goc Nhoi 2017 communes, 209/UBND dated Dec

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Yen Binh 12th, 2017 by People's district Committee of Xuan Lai commune Official Dispatch No. Tich Coc 208/UBND dated Dec Reservoirs Nov 14th, communes, 46 6 15th, 2017 by People's Khe Hoai 2017 Yen Binh Committee of TichCoc district commune Official Dispatch No. Yen Hop 218/UBND dated Dec Reservoirs Nov 16th, communes, 47 12 15th, 2017 by People's Khe Hop 2017 Van Yen Committee of Xuan Lai district commune Official Dispatch No. Vu Linh Reservoirs 238/UBND dated Dec Nov 20th, communes, Hang 43 4 13th, 2017 by People's 2017 Yen Binh Luon Committee of Vu Linh district communes Official Dispatch No. An Thinh 230/UBND dated Dec Reservoirs Nov 27th, communes, 41 6 11th, 2017by People's Khe Chinh 2017 Van Yen Committee of An Thinh district commune Official Dispatch No. Minh Xuan 47/UBND dated Dec Reservoirs Nov 20th, communes, 43 10 15th, 2017 by People's Lang At 2017 Luc Yen Committee of Minh district Xuan Commune Official Dispatch No. Cuong Thinh 235/UBND dated Dec Reservoirs Nov 23rd, communes, 46 10 18th, 2017 by People's Chop Du 2017 Tran Yen Committee of district CuongThịnh commune Official Dispatch No. Phu Nham 180/UBND dated Dec Reservoirs Nov 24th, communes, 46 6 18th, 2017 by People's Phu Nham 2017 Van Chan Committee of PhuNham district commune Official Dispatch No. Reservoirs Nong truong 119/UBND dated Dec Nong Nov 22nd, Nghia Lo 45 19 21st, 2017 by People's truong 2017 town, Van Committee of Nghia Lo Nghia Lo Chan district Farm town Reservoirs Yen Hop Official Dispatch No. Nov 17th, Khe communes, 47 12 219/UBND dated Dec 2017 Ngang Van Yen 20th, 2017 of Yen Hop

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district commune People's Committee Official Dispatch No. Thuong Bang 185/UBND dated Dec Reservoirs Nov 20th, La communes, 54 8 19th, 2017 by People's thon 26 2017 Van Chan Committee of La Bang district commune 8.2.2. Summary of the process of public consultation meeting with directly affected people After having a draft EIA report for the subproject - Repair and improvement of dam safety in Yen Bai province, the PMU has sent a letter to the People's Committee of the project communes to consult on the environmental impact assessment report. The PPMU also cooperates with the People's Committees of communes in the subproject area to organize a community consultation conference directly affected by the subproject. a) Participants Consultation meetings were held at the People's Committees of communes in the project area with the participating gods including: - Chairing the conference: The PPMU cooperates with the commune/ward People's Committee in the project area - Village secretary - Village leaders - All households affected by subproject activities such as households whose land is acquired, affected by crops, affected by transporting materials and affected households due to construction water cuts, single households, households with difficult circumstances, ... b) Contents of the conference to consult the population community At the consultation conference, the PPMU presents the objectives of the subproject, summarizes the construction repair items, the location of the auxiliary works, the time, progress of implementation, construction measures. Consultation to prepare the EIA report to present the content of the EIA report, the proposed measures to mitigate the impacts on the Environment and Society. The PPMU stated the committed contents, the contents received, supplemented the appropriate information in the report on Environmental Impact Assessment and feedback of non-receptive comments and reasons for not receiving. Local authorities and communities discuss and agree with solutions committed by investors. At the same time, local authorities and the community expressed their wish that the project will be implemented early to contribute to stabilizing the life and economic development of the locality. At the same time, PPMU was committed to making all conditions for the project to be implemented smoothly. The communes in the subproject area have sent official letters to PPMU for consultation on environmental impact assessment report. Summary of public consultation activities in table 8.2. Table 8. 2: Summary of public consultation activities with directly affected people Number Number of Reservoir Date Location of female Documentation attendees attendees

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Official Dispatch No. 231/UBND Y Can Reservoirs Tu Dec 26th, dated Dec 18th, 2017 communes, Tran 39 7 Do 2017 by People's Yen district Committee of Y Can commune Official Dispatch No. 285/UBND Xuan Ai Reservoirs Dec 18th, dated Dec 17th, 2017 communes, Van 50 4 Khe Vai 2017 by People's Yen district Committee of Xuan Ai commune Official Dispatch No. 148/UBND Muong Lai dated Dec 15th, 2017 Reservoirs Nov 17th, communes, Luc 40 0 by People's Tang An 2017 Yen district Committee of Muong Lai commune Official Dispatch No. 218/UBND Yen Phu Reservoirs Dec 31th, dated Dec 15th, 2017 communes, Van 30 11 Khe Dua 2017 by Yen Phu Yen district commune People's Committee Official Dispatch No. 149/UBND Muong Lai dated Dec 15th, 2017 Reservoirs Nov 17th, communes, Luc 45 5 by People's Roong Den 2017 Yen district Committee of Muong Lai commune Official Dispatch No. 209/UBND Xuan Lai Reservoirs Dec 22th, dated Dec 12th, 2017 communes, Yen 38 Goc Nhoi 2017 by People's Binh district Committee of Xuan Lai commune Official Dispatch No. 208/UBND Tich Coc Reservoirs Dec 21th, dated Dec 15th, 2017 communes, Yen 45 6 Khe Hoai 2017 by People's Binh district Committee of TichCoc commune Official Dispatch No. 218/UBND Yen Hop Reservoirs Dec 27th, dated Dec 15th, 2017 communes, Van 23 1 Khe Hop 2017 by People's Yen district Committee of Xuan Lai commune Reservoirs Dec 23th, Vu Linh 70 6 Official Dispatch

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Hang Luon 2017 communes, Yen No. 238/UBND Binh district dated Dec 13th, 2017 by People's Committee of Vu Linh communes Official Dispatch No. 230/UBND An Thinh Reservoirs Dec 30th, dated Dec 11th, communes, Van 30 1 Khe Chinh 2017 2017by People's Yen district Committee of An Thinh commune Official Dispatch No. 47/UBND dated Minh Xuan Reservoirs Dec 20th, Dec 15th, 2017 by communes, Luc 54 6 Lang At 2017 People's Committee Yen district of Minh Xuan Commune Official Dispatch No. 235/UBND Cuong Thinh dated Dec 18th, 2017 Reservoirs Dec 24th, communes. Tran 57 18 by People's Chop Du 2017 Yen district Committee of CuongThịnh commune Official Dispatch No. 180/UBND Phu Nham Reservoirs Dec 30th, dated Dec 18th, 2017 communes, Van 44 12 Phu Nham 2017 by People's Chan district Committee of PhuNham commune Official Dispatch No. 119/UBND Reservoirs Nong truong Dec 29th, dated Dec 21st, 2017 Nong truong Nghia Lo town, 21 0 2017 by People's Nghia Lo Van Chan district Committee of Nghia Lo Farm town Official Dispatch No. 219/UBND Yen Hop Reservoirs dated Dec 20th, 2017 27/12/2017 communes, Van 46 6 Khe Ngang of Yen Hop Yen district commune People's Committee Official Dispatch No. 185/UBND Thuong Bang La Reservoirs dated Dec 19th, 2017 28/12/2017 communes, Van 39 7 thon 26 by People's Chan district Committee of La Bang commune 8.3. Results of public consultation

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8.3.1. The opinions of the CPC and organizations directly affected by the subproject Summarizing the comments of 14 communes directly affected by the subproject, all communes agreed with the implementation of the subproject, and proposed to speed up the progress of the subproject and the investor fully implemented the measures to minimize environmental impacts as presented in the report. (1) Comments of People's Committee, Fatherland Front Committee of Y Can commune, Tran Yen district (repairing and improving safety of Tu Do dam) • Opinions on the negative impacts of the subproject on the environment - The environmental impacts mentioned in the summary report are relatively complete • Opinions on solutions and measures to minimize negative impacts of the subproject - The mitigation measures mentioned are relatively adequate • Recommendation to the subproject owner - Properly implement solutions and measures to minimize adverse environmental impacts. - Review the design of the management road in combination with the residential road of 5.5m wide to suit the construction guidelines of the district and the commune. (2) Opinion of People's Committee, Fatherland Front Committee of Xuan Ai commune, Van Yen district (repairing and improving Khe Vai lake dam safety) • Opinions on the negative impacts of the subproject on the environment - The environmental impacts mentioned in the summary report are relatively complete - During the construction process of the subproject, the operation of the machinery, transport means and activities of the workers will have an impact on the environment and affect the lives of people around the subproject area. • Opinions on solutions and measures to minimize negative impacts of the subproject - The mitigation measures put forward to the contractor need to be carried out properly. - The CPC will establish a community supervision team to supervise the construction process. - In the area around the lake, there are some households planting acacia and cinnamon - When the land is finished, it is necessary to return the site so that people can continue to plant trees or continue farming. • Recommendation to the subproject owner - During the construction process, there should be propaganda measures for the people to ensure security and order. - After the construction is completed, the contractor must return the site to the locality. (3) Comments of the People's Committee and Fatherland Front Committee of Muong Lai commune, Luc Yen district (repairing and improving Dam An's safety, Roong Den) • Opinions on the negative impacts of the subproject on the environment Roong Den Lake - The construction process noted the lake bottom to ensure that there is still water for agriculture in the dry season - During construction, transporting materials can affect inter-commune traffic roads.

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Tang An Lake - The impacts on the environment during the implementation of TDA have been relatively well stated - When constructing the traffic volume, there is a sudden increase, especially on the inter- commune road, affecting the life of the surrounding population • Opinions on solutions and measures to minimize negative impacts of the subproject - The mitigation measures put forward to the contractor need to be carried out properly. - The CPC will establish a community supervision team to supervise the construction process. - In the reservoir area, there are households who are cultivating aquatic products. When construction, they must notify in advance and do not deplete the whole lake - When the land is finished, it is necessary to return the site so that people can continue to plant trees or continue farming. • Recommendation to the subproject owner - During the construction process, there should be propaganda measures for the people to ensure security and order. - After the construction is completed, the contractor must return the site to the locality. (4) Comments of People's Committee, Fatherland Front Committee of Yen Phu commune, Van Yen district (repairing and improving Khe Dam dam safety) • Opinions on the negative impacts of the subproject on the environment The environmental impacts of the project on the natural, socio-economic and public health environments have been relatively detailed in the summary report. • Opinions on solutions and measures to minimize negative impacts of the subproject - Measures to mitigate project impacts to the socio-economic natural environment and public health are outlined in the summary completely in accordance with local conditions. • Recommendation to the project owner - During the construction process, the subproject ownerneeds to strengthen the management and supervision of the environment. Ensuring traffic safety, maintaining order and security. (5) Comments of People's Committee, Fatherland Front Committee of Xuan Lai commune, Yen Binh district (repairing and improving the safety of original dam) • Opinions on the negative impacts of the subproject on the environment - The environmental impacts mentioned in the summary report are relatively complete - Ho was built long time ago, the dam body has a water-repellent phenomenon which limits the ability to store and cause unsafety when the rainy season comes, so it is necessary to repair. - Negative impacts on the natural environment are mainly concentrated in the construction phase, however, these impacts are not large, only occur in a short time, so it does not affect much to the surrounding area. • Opinions on solutions and measures to minimize negative impacts of the subproject

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- Measures to minimize the environmental impact of the project on the natural environment, socio-economic and public health proposed in the summary are perfectly suitable for local conditions, as well as easy Easy to implement. • Recommendation to the project owner - When implementing the construction, it is necessary to arrange a suitable time, to minimize the impact on the life and life of people in the region. - During the construction process, the subproject owneris recommended to strengthen environmental management (6) Comments of People's Committee, Fatherland Front Committee of Tich Coc commune, Yen Binh district (repairing and improving Khe Hoai dam safety) • Opinions on the negative impacts of the subproject on the environment - The environmental impacts mentioned in the summary report are relatively complete - During the construction process of the subproject, the operation of the machinery, transport means and activities of the workers will have an impact on the environment and affect the lives of people around the project area. • Opinions on solutions and measures to minimize negative impacts of the subproject - During construction process, it is necessary to ensure transportation for people, especially households near water intake, downstream roof area. - Measures should be taken to ensure environmental hygiene in the reservoir area, to avoid pollution. • Recommendation to the subproject owner - In the process of transporting materials and soil and rock when implementing the project, if incidents occur causing damage to the local roads, the subproject ownermust commit to pay compensation and have a plan to repair to Convenient for traffic. - There are policies to compensate for people affected by land loss and crop loss during construction. (7) Comments of People's Committee, Fatherland Front Committee of Yen Hop commune, Van Yen district (repairing and improving safety of Khe Ho and Khe Ngang reservoirs) • Opinions on the negative impacts of the subproject on the environment The environmental impacts of the project to the natural, socio-economic and public health environments have been relatively detailed and complete in the summary report. • Opinions on solutions and measures to minimize negative impacts of the subproject - Measures to mitigate project impacts to the socio-economic natural environment and public health are outlined in the summary in accordance with local conditions. - Satisfactory compensation for the people affected by the subproject in accordance with the State's regulations • Recommendation to the subproject owner - During the construction of the project, the subproject ownerneeds to strengthen the management and supervision of the environment. - After the construction is completed, it is necessary to return the ground to the locality - Create jobs for local people

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(8) Opinion of People's Committee, Fatherland Front Committee of Vu Linh commune, Yen Binh district (repairing and improving safety of Hang Luon dam) • Opinions on the negative impacts of the subproject on the environment The environmental impacts of the project on the natural, socio-economic and public health environments have been fully stated in the summary report. Currently there is a cassava factory near the reservoir area, discharging waste water causing environmental pollution, there is a phenomenon of dead fish in the lake in 2015. • Opinions on solutions and measures to minimize negative impacts of the subproject - Measures to mitigate project impacts to the socio-economic natural environment and public health are summarized in the summary. - Note when transporting rock and soil, materials should be carefully shielded and watered on transport routes to limit dust. - Do not apply at the time of noon and evening. • Recommendation to the subproject owner - During the construction of the project, the subproject ownerneeds to strengthen the management and supervision of the environment. - Commitment to compensate for damage in the construction process affecting local works and infrastructure. - Do not let environmental pollution occur during construction (9) Comments of People's Committee, Fatherland Front Committee of An Thinh commune, Van Yen district (repairing and improving the safety of Khe Chinh dam) • Opinions on the negative impacts of the subproject on the environment The project's environmental impacts on the natural, socio-economic and public health environments are fully stated in the summary report. • Opinions on solutions and measures to minimize negative impacts of the subproject - Measures to mitigate project impacts to the socio-economic natural environment and public health are summarized in the summary. - Develop construction plans to limit the area of agricultural production land of the people. - Sign the garbage collection contract with the local collection team to limit the waste residue on construction site due to construction activities and activities of workers. - Watering on transportation routes at least 2 times / day. - Transport vehicles must reduce speed when circulating, avoiding unwanted traffic accidents • Recommendation to the subproject owner - Recommendation the subproject ownerto carefully survey and develop a construction design plan to avoid water penetration through the dam body, causing unsafety - During the construction of the project, the subproject ownerneeds to strengthen the management and supervision of the environment. - Commitment to compensate for damage during construction to local works and infrastructure. (10) Comments of People's Committee, Fatherland Front Committee of Minh Xuan

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commune, Luc Yen district (repair and safety of dams of Lang Ai reservoir) • Opinions on the negative impacts of the subproject on the environment - The environmental impacts of the project on the natural, socio-economic and public health environments have been relatively detailed in the summary report. • Opinions on solutions and measures to minimize negative impacts of the subproject - Cover tarpaulins carefully and water the shipping route - Satisfactory compensation for the people affected by the subproject in accordance with the State's regulations. • Recommendation to the project owner - Recommendation to upgrade the reservoir to supply enough water for domestic use for people in village 20 of Minh Xuan commune. - Recommendation the subproject ownerto commit to ensure traffic safety and traffic protection - Implementing measures to minimize serious environmental pollution. (11) Opinion of People's Committee, Fatherland Front Committee of Cuong Thinh commune, Tran Yen district (repairing and improving safety of Dam Du reservoir) • Opinions on the negative impacts of the subproject on the environment - The environmental impacts of the project on the natural, socio-economic and public health environments have been fully stated in the summary report. • Opinions on solutions and measures to minimize negative impacts of the subproject - Measures to mitigate project impacts to the socio-economic natural environment and public health are summarized in the summary. - Note when transporting rock and soil, materials should be carefully shielded and watered on transport routes to limit dust. - Do not apply at the time of noon and evening. • Recommendation to the project owner - During the construction of the project, the subproject ownerneeds to strengthen the management and supervision of the environment. - Commitment to compensate for damage in the construction process affecting local works and infrastructure. - Create jobs for local people (12) Comments of People's Committee and Fatherland Front Committee of Phu Nham commune, Van Chan district (repairing and improving safety of Phu Nham dam) • Opinions on the negative impacts of the subproject on the environment - The environmental impacts mentioned in the summary report are relatively complete - During the construction process of the subproject, the operation of the machinery, transport means and activities of the workers will have an impact on the environment and affect the lives of people around the project area. • Opinions on solutions and measures to minimize negative impacts of the subproject

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- During construction process, it is necessary to ensure transportation for people, especially households near water intake, downstream roof area. - Measures should be taken to ensure environmental hygiene in the reservoir area, to avoid pollution. • Recommendation to the project owner - In the process of transporting materials and soil and rock when implementing the project, if incidents occur causing damage to the local roads, the subproject ownermust commit to pay compensation and have a plan to repair to Convenient for traffic. - There are policies to compensate for people affected by land loss and crop loss during construction (13) Comments of People's Committee and Fatherland Front Committee of Nong Truong town, Van Chan district (repairing and improving safety of Nghia Lo dam) • Opinions on the negative impacts of the subproject on the environment The project's environmental impacts on the natural, socio-economic and public health environments are fully stated in the summary report. • Opinions on solutions and measures to minimize negative impacts of the subproject - Measures to mitigate project impacts to the socio-economic natural environment and public health are summarized in the summary. - Develop construction plans to limit the area of agricultural production land of the people. - Sign the garbage collection contract with the local collection team to limit the waste residue on construction site due to construction activities and activities of workers. - Watering on transportation routes at least 2 times / day. - Transport vehicles must reduce speed when circulating, avoiding unwanted traffic accidents • Recommendation to the project owner - Recommendation the subproject ownerto carefully survey and develop a construction design plan to avoid water penetration through the dam body, causing unsafety - During the construction of the project, the subproject ownerneeds to strengthen the management and supervision of the environment. - Commitment to compensate for damage during construction to local works and infrastructure. (14) Comments of People's Committee and Fatherland Front Committee of Thuong Bang La commune, Van Chan district (repairing and improving safety of dam of village 26 reservoir) • Opinions on the negative impacts of the subproject on the environment The environmental impacts of the project on the natural, socio-economic and public health environments have been relatively detailed in the summary report. The construction sub-project may damage the 500m-long concrete road going into the people's lake. • Opinions on solutions and measures to minimize negative impacts of the subproject - Measures to mitigate project impacts to the socio-economic natural environment and public health are outlined in the summary completely in accordance with local conditions.

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- Snow to prevent trucks from exceeding 3 tons going into the road to damage the road. 8.3.2. Commitment of the subproject owner Commitment to ensure compensation for households whose land is acquired, affected households produced by construction according to the Resettlement Policy Framework of the project "Repair and improvement of dam safety" and Re-Action Plan settlement of the subproject "Repair and improve dam safety in Yen Bai province”. Commitment to compensate for infrastructure and rural transport due to subproject construction. Commitment to full implementation of pollution mitigation measures as described in the Subproject Environmental Impact Assessment Report. Commit to regularly coordinate with local authorities and construction contractors to manage officials and workers during the implementation of the subproject to avoid conflicts with local people, avoid occurrence of incidents, trying traffic accidents, work accidents, and incidents that endangered the locality. Kết Commitment to ensure smooth traffic on material transportation routes, waste transportation during construction. After completing the project, it will clean up and restore the current situation and ensure environmental sanitation according to regulations. 8.4. Information disclosure According to OP 4.01 and World Bank's policy on access to information, during subproject preparation, subproject information such as subproject contents, objectives and potential impacts were informed to local people and NGOs and local authorities in the subproject area through mass media. During the environmental assessment process, the draft ESIA in Vietnamese was provided to locally-affected people, local NGOs and local authorities for study before face-to-face consultation meetings. The final ESIA in Vietnamese will be disclose on the project website, and People's Committee of Yen Bai Province. A summary of ESIA will be sent to the Yen Bai Department of Natural Resources and Environment, Tran Yen, Van Yen, Luc Yen, Yen Binh and Van Chan District People's Committees; People's Committees of communes of Y Can, Cuong Thinh, Xuan Ai, Yen Phu, An Thinh, Yen Hop, Minh Xuan, Muong Lai, Tich Coc, Xuan Lai, Vu Linh, Phu Nham, Nghia Lo and Thuong Bang La farms accesible to locally-affected people and local NGOs prior to subproject appraisal. The final ESIA version in English will also be disclosed on the World Bank external website before subproject appraisal.

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REFERENCES

1. Report on the implementation of 2017 socio-economic, national defense and security tasks and the targets, tasks and solutions for 2018 communes in the project area; 2. Project feasibility study report "Repairing and improving dam safety in Yen Bai province" 3. Report on dam safety assessment of the dam "Repair and improve dam safety in Yen Bai province" 4. Statistical yearbook of Yen Bai province, 2016 5. Department of Agriculture and Rural Development of Yen Bai "Planning of Agriculture sector in Yen Bai province to 2020, vision to 2030", 2016; 6. Yen Bai Department of Planning and Investment, "Socio-economic development master plan of Yen Bai province to 2020, vision to 2030", 2017 7. Department of Natural Resources and Environment of Yen Bai Province "Land use planning for the period 2011-2020 and 5-year land use plan (2011-2015) in Yen Bai province", 2012 8. Prof. Dr. Tran Ngoc Chan. "Air pollution and emission treatment - Episode 3: Theory of calculation and toxic gas treatment technology". Science and technology publishing house, Hanoi, 2001 9. Center for urban and industrial environment techniques - Hanoi University of Construction. "Concentration of pollutants in construction wastewater", 2011. 10. Pham Ngoc Dang, "Air environment". Hanoi University of Civil Engineering, 1997. 11. The Air Chief, US EPA, (United States Environmental Protection Agency, EPA) published in 1995

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