Learning Center
Plans & pricing Sign in
Sign Out







             December 2011

BOD5     Bio-chemical Oxygen Demand
COD      Chemical Oxygen Demand
CPC      Commune Peoples Committee
CRSD     Vietnam Coastal Resources for Sustainable Development Project
DARD     Department of Agriculture and Rural Development
DO       Dissolve Oxygen
DOFREP   Department of Fishery Resource Exploitation and Protection
DONRE    Department of Natural Resources and Environment
DPC      District Peoples Committee
ECOP     Environmental Code of Practices
EIA      Environmental Impact Assessment
EM       Ethnic Minority
(S)EMP   (Site) Environnemental Management Plan
EPC      Environmental Protection Commitment
ESMF     Environmental and Social Management Framework
GAP      Good Aquaculture Practices
GoV      Government of Vietnam
IBRD     International Bank for Reconstruction and Development
IDA      International Development Association
IP       Indigenous People
IPP      Indigenous Peoples Plan
MARD     Ministry of Agriculture and Rural Development
MONRE    Ministry of Natural Resources and Environment
NGO      Non-Governmental Organization
OP       Operational Policy
PCU      Project Coordination Unit
PMU      Project Management Unit
PPMU     Provincial Project Management Unit
PPC      Provincial People’s Committee
RAP      Resettlement Action Plan
RPF      Resettlement Policy Framework
SIA      Social Impact Assessment
TOR      Terms of Reference
TSS      Total Suspended Solids
USD      US Dollars
VND      Vietnamese Dong
WB       World Bank

                                       Executive Summary
The Project Development Objective (PDO) of the Coastal Resource for Sustainable
Development Project (CRSDP) is to improve the sustainable management of coastal fisheries in
selected coastal provinces of Vietnam.
Project Description: The CRSD project consists of four components which are summarized
(A) - Institutional capacity strengthening for sustainable fisheries resources management: This
component would support three key activities: (a) integrated spatial planning of coastal resources
that supports the fisheries sector; (b) upgrading of the Vnfishbase, including establishing of a
knowledge management system for fisheries and environmental management; and (c) selected
policy research contributing to the preparation of the new Master Plan for the fisheries sector to
(B) - Good practices for a sustainable aquaculture: This component would support good
aquaculture practices (GAP) through supporting three key activities: (a) improved bio-security
management at farm and community levels, (b) improved seed quality monitoring, and (c)
improved environmental management to support a sustainable aquaculture.
(C) - Sustainable management of near-shore capture fisheries: This component would support
two key activities: (a) co-management of near-shore capture fisheries at the district and commune
levels together with strengthening of the government’s monitoring, control, and surveillance
systems (MCS), and (b) improvement of hygienic conditions and operational efficiency for
selected fishing ports, landing sites, and wholesale markets to reduce locally environmental
pollution and improve values for fisheries products.
(D)- Project management, Monitoring and Evaluation: This component would provide the
required resources: (a) to allow for effective management of the project; and (b) to strengthen the
institutional capacity to monitor and evaluate project activities and sustain project interventions.
Environmental and Social Management Framework (EMSF): The project’s potential socio-
environmental impacts have been screened and the project was proposed to be “Category B”
based on the World Bank’s Environmental classification. No major or irreversible negative
environmental impacts are expected. Negative environmental impacts are limited and
manageable. This EMSF has been prepared for MARD to guide project staff on the management
of environmental issues and impacts1 during implementation. The document was prepared based
on the national environmental laws2, regulations and legislations in Vietnam and the World
Bank's environmental and social safeguard policies. The ESMF also includes a training plan for
relevant DONREs and safeguards staff to implement environmental monitoring and management
plans. The estimated costs for implementing the ESMF, including staffing, mitigation measures,
monitoring and capacity building have been included in the total project costs. The ESMF will be
disclosed through the Bank’s InfoShop and at PPMUs before the start of appraisal.
Project’s Positive Impacts: Overall, it is anticipated that the project would yield positive
impacts on the livelihoods of fishing communities and smallholder aquaculture farmers
(including ethnic minorities) in the project area and on the sector’s capacity for sustainable
management of coastal resources through co-management at local levels. Local beneficiaries
would have better access to information, training, sustainable technologies, improved

  The Resettlement Policy Framework (RPF) and Ethnic Minority Policy Framework (EMPF) have been
prepared separately in according with the Bank’s policy on Involuntary Resettlement (OP4.12) and Indigenous
People (OP4.10).
  Existing Vietnamese environmental laws only regulates EIA/EPC for specific subprojects and project level
Framework has not been covered. The rules applicable for subprojects have been incorporated into the contents
of the ESMF, which will be adopted by MARD.

infrastructure and associated support services, and opportunities for additional incomes. Local
communities will assume collective rights and responsibilities related to near-shore fishery
resources and will be enabled to apply these in ways to sustain their long term livelihoods.

The key potential negative socio-environmental impacts: The main environmental issue of the
project that have been identified include: (1) improper use and management of chemicals and
antibiotics in aquaculture; (2) ineffective management and proper treatment of solid wastes and
wastewater resulting from aquaculture; and (3) negative socio-environmental impacts (i.e.
increased localized level of dust, noise, disturbance to traffic and community, safety risks, water
pollution risks ) of construction activities of new or existing infrastructure (i.e. upgrading of
fishing ports, landing sites, fish markets, etc). These impacts will be temporary and localized in
nature and can be avoided or minimized by proper mitigation measures.
Mitigation Measures: As part of the project design, environmental mitigation measures have
been streamlined and incorporated into the design of each project component. For instance,
Component B (aquaculture) is designed with “GAP” being the center of the component. The risks
of improper use and management of chemicals and antibiotics and ineffective management and
proper treatment of solid waste and wastewater will be mitigated substantially by ensuring that
technicians and farmers are adequately trained and monitored. In Component C (capture
fisheries), all infrastructure upgrading are designed to address/reduce environmental pollution as
well as improve food safety at selected landing sites. Detailed environmental screening checklists
(Annex C) have been developed to screen and exclude all subprojects that may cause large-scale
(or irreversible) environmental impacts during implementation. One potential environmental risk
in upgrading of fishing ports and landing sites can arise from disturbing the sediment when
dredging. This risk can be mitigated by appropriate procedures for measuring the pollution levels
in sediments and appropriate pollution prevention measures are proposed before implementation
can take place (i.e. analyzing pollutants in sediments, identifying disposal sites and mitigation
measures during dredging, temporary loading, transportation, and handing, implementing
environmental monitoring plans). A set of standard ECOP (Environmental Codes of Practices,
Annex D) will also be implemented to minimize the known common impacts of construction
activities under Component C.
Procedures: Environmental safeguard documents, including Environmental Impact Assessment
(EIA) or Environmental Protection Commitment (EPC) for subprojects identified during project
implementation will be prepared in accordance with the regulations specified in Decree No.
29/2011/ND-CP. For small-scale investments (i.e. upgrading of offices, small access roads, etc.),
a simple ECOP to be included in the bidding documents and contracts should be suffice. For the
upgrading of landing sites and fishing ports, EIAs or EPC may be required and they will be
reviewed and approved by DONRE or District People’s Committee (DPC). Detailed guidance on
environmental assessment, monitoring and management procedures is presented in Sections 6 to
8 of the ESMF. In short, the following steps will be included: (1) environmental screening to
determine eligibility; (2) determining an EIA or EPC is required for the subproject, (3)
preparation and approval of the EIA/EPC and EMP followed by public disclosure; (4)
incorporating mitigation measures into bidding documents, construction and supervision
contracts; and (5) environmental monitoring according to the EMP. For subprojects involving in
dredging, the Bank will conduct prior review of the safeguard documents before implementation.
Institutional Arrangements: MARD PCU and PPMUs would be the executing agencies. Each
of them will appoint one Environmental and Social Safeguard Officer to be responsible for the
project safeguards. The project will provide training to build capacity of the PCU, PPMUs and
DONREs on implementation of the ESMF and related monitoring activities. A technical
assistance team will also be recruited to assist the PCU in managing project implementation,
including environmental and social safeguards.

                                                           Table of Contents
Acronyms ............................................................................................................................................... ii
Executive Summary ............................................................................................................................. iii
1.     Introduction ................................................................................................................................... 1
2.     Project Description ....................................................................................................................... 1
3      Legal Basis ..................................................................................................................................... 2
       3.1        World Bank Safeguard Policies .......................................................................................... 2
       3.2 Vietnam’s Legislation for Environmental Assessment ............................................................. 4
4      Typical Sub-projects and their Potential Socio-Environmental Impacts ................................ 6
       4.1        Potential socio-environmental benefits of CRSD Subprojects ........................................... 6
       4.2        Potential negative Socio-environmental impacts of CRSD subprojects ............................. 7
5.     Mitigation of potential negative Socio-environmental impacts of CRSD subprojects............ 8
       5.1        Avoid Negative Impacts from Site Selection – Exclusion list ............................................ 8
       5.2        Mitigation Measures ........................................................................................................... 9
6      Sub-project Environmental Safeguard Documents Requirements ........................................ 10
       6.1        Documentation Requirements ........................................................................................... 10
       6.2        Subproject Public Consultation and Information Disclosure Requirements ..................... 12
       6.3        Detail guidance on the Steps to be followed by each subproject ...................................... 12
7      Monitoring and Supervision ...................................................................................................... 14
8      Implementation Arrangements .................................................................................................. 15
       8.1        Organizational Structure for Project Implementation ....................................................... 15
       8.2        Responsibilities ................................................................................................................. 16
9      Capacity Building and Training Requirements ....................................................................... 17
10 Estimated Costs ........................................................................................................................... 17
ANNEXES ........................................................................................................................................... 19
Annex A - Detailed Project Description ............................................................................................ 20
Annex B - Baseline Information ........................................................................................................ 24
       A.1. Overview ............................................................................................................................... 24
       A.2. Key findings from Social Assessment .................................................................................. 25
       A.3. The Fishery Sector in Vietnam ............................................................................................. 26
       A.4. The Fishery Sector in project provinces................................................................................ 26
Appendix C - Environmental and Social Screening Checklists for each Subproject ................... 32
Appendix D - Environmental Code of Practice (ECOPs)................................................................ 33
Annex E - Guidance for Preparing EMP for Subprojects .............................................................. 40
Annex F - Draft TOR for Environmental Specialist ....................................................................... 43
Appendix G - List of people interviewed .......................................................................................... 53

Table 1. World Bank Safeguards Policies and their Applicability to CRSD .......................................................... 2
Table 2. Subproject Environmental Safeguard Documents (ESD) requirements ................................................. 10
Table 3. Environmental Quality Monitoring Program .......................................................................................... 15
Table 4. ESMF implementation responsibilities ................................................................................................... 16
Table 5. Estimated Cost for ESMF implementation ............................................................................................. 18
Table A.1. Land areas in project provinces .......................................................................................................... 24
Table A.2. Population of the project regions and provinces ................................................................................. 24
Table A.3. Laborers’ main occupations (including all household members involving in laboring) ..................... 25

Figure 1: CRSD Environmental Safeguard process .............................................................................................. 13
Figure 2 – Organisational Chart ........................................................................................................................... 16

1.   Introduction
The Government of Vietnam has requested World Bank financing of the Vietnam Coastal
Resources Sustainable Development (CRSD) Project. This project corresponds with the central
features of the Government Strategy for improving the fishery sectors capacity to produce high
quality produce, for local and export markets.
The CRSD will comply with applicable Vietnamese environmental legislations and the World
Bank Environmental and Social Safeguard Policies. It is believed that the project would not cause
any significant adverse environmental impacts; potential socio-environmental impacts are
predicable, mostly site-specific, low to medium scale and manageable. Therefore, the project has
been classified as Environmental Category B by the World Bank and preparation of an
Environmental and Social Management Framework (ESMF) is required to ensure that its
subprojects would be implemented in an environmentally and socially sustainable manner. The
objectives of this ESMF are:
      To assess the potential environmental and social impacts of the proposed Project, whether
       positive or negative and propose mitigation measures which will effectively address these
      To establish clear procedures and methodologies for the environmental and social
       planning, review, approval and implementation of subprojects to be financed under the
      To consider different alternatives, options, and relevant mitigation measures during
       project preparation and implementation;
      To specify appropriate roles and responsibilities, and outline the necessary reporting
       procedures, for managing and monitoring environmental and social concerns related to
      To determine the training, capacity building and technical assistance needed to
       successfully implement the provisions of the ESMF and establish the project funding and
       provide practical resources for implementing the ESMF.
This ESMF sets out procedures and guidelines for assessing possible environmental and social
impacts of the subprojects. These procedures and guidelines will help the implementing agencies
in screening subprojects’ eligibility; determining their environmental and social impacts;
identifying appropriate mitigation measures to be incorporated into the subproject reports; and
specifying institutional responsibilities for implementing preventive, mitigation and
compensation measures, and monitoring and evaluation.
2.   Project Description
The CRSD project would consist of the following four components: (A) Institutional capacity
strengthening for sustainable fisheries management; (B) Good practices for a sustainable
aquaculture; and (C) Sustainable management of near-shore capture fisheries; and (D) Project
Management, Monitoring and Evaluation.

Component A: Institutional capacity strengthening for sustainable fisheries management.
This component would support three key activities: (a) integrated spatial planning of coastal
resources that supports the fisheries sector; (b) upgrading of the Vnfishbase, including
establishment of a knowledge management system for fisheries and environmental management;
and (c) selected policy research to contribute to the preparation of the new Master Plan for the
fisheries sector to 2020.

Component B: Good practices for a sustainable aquaculture. This component would support
good aquaculture practices (GAP) through supporting three key activities: (a) improved bio-

security management at farm and community levels; (b) improved seed quality management, and
(c) improved environmental management to monitor and support a sustainable aquaculture.

Component C: Sustainable management of near-shore capture fisheries. This component
would support two key activities: (a) co-management of near-shore capture fisheries at the district
and commune levels together with strengthening of monitoring, control, and surveillance systems
(MCS), and (b) improvement of hygienic conditions and operational efficiency for selected
fishing ports, landing sites, and wholesale markets to reduce locally environmental pollution and
improve values for fishery products.

Component D: Project management, Monitoring and Evaluation. This component would
provide the required resources (a) to allow for effective management of the project; and (b) to
strengthen the institutional capacity in key areas, particularly at provincial, district and
community level, to monitor and evaluate project activities and sustain project interventions.

A detailed project description is provided in Annex A of this ESMF.

3      Legal Basis
3.1    World Bank Safeguard Policies
The CRSD’s potential socio-environmental impacts have been screened and rated as
environmental Category B under the World Bank's policy on environmental assessment (OP
4.01). A partial Environmental Assessment (EA) was carried out and an Environmental and
Social Management Framework (ESMF) was prepared. In addition to the OP 4.01, the CRSD has
also triggered a number of other safeguard policies as indicated in Table 3.1.
           Table 1. World Bank Safeguards Policies and their Applicability to CRSD

World Bank Policy/Directive                                                        Applicability
Environmental Assessment (OP 4.01, BP 4.01)                                             Yes
Natural Habitats (OP 4.04, BP 4.04)                                                     Yes
Forestry (OP4.36)                                                                        No
Pest Management (OP 4.09)                                                                No
Cultural Property (OP 4.11)                                                              No
Indigenous Peoples (OP 4.10)                                                            Yes
Involuntary Resettlement (OP4.12, BP 4.12)                                              Yes
Safety of Dams (OP 4.37, BP 4.37)                                                        No
Projects in International Waters (OP 7.50, BP 7.50, GP 7.50)                             No
Projects in Disputed Areas (OP 7.60, BP 7.60, OP 7.60)                                   No

OP 4.01 (Environmental Assessment)
The OP 4.01 is triggered because there are potential negative environmental impacts and risks
associated with the physical investments under Components B and C of the Project. The
provision of new facilities or upgrading of existing infrastructure (i.e. new fishery monitoring and
control stations, upgrading of water supply and drainage systems for aquaculture farming areas,
establishment of new hatchery areas, upgrading of existing landing sites, fishing ports and fish

markets) will have some localized socio-environmental impacts (i.e. increased level of dust,
noise, disturbance to local traffic and communities etc.) during construction phase. There are also
environmental risks, such as water pollution, associated with the provision of new hatchery areas
during its operation phase. These potential impacts are predicted at low to moderate levels and
can be mitigated through design, construction and operation practices. Therefore, the Project has
been proposed to be Environmental Category B.
This ESMF has been prepared to introduce a screening mechanism to exclude the activities that
have potential significant adverse socio-environmental impacts, to assess the potential socio-
environmental impacts of the sub-project to be financed under CRSD, to recommend mitigation
measures as well as plans for the implementation, monitoring and reporting.
OP 4.04 (Natural Habitats)
The Project will be implemented in coastal zones and estuaries (brackish waters). Under
Component B, co-management of local fishery resources involves the management of fish
habitats and some spawning grounds of specifies that mostly believed to have economic values.
Screening for the presence of rare/endangered species will be conducted for each community co-
management area. Sustainable management plans will be developed and implemented during
project implementation including protection of rare/endangered species. No new conversion of
land into aquaculture ponds will be allowed under the project.
OP 4.12 (Involuntary Resettlement)
Small-scale acquisition of private land and/or other assets may be required for upgrading
infrastructure schemes, thus triggering the Bank policy on Involuntary Resettlement (OP4.12).
The project will avoid land acquisition as much as possible by exploring various design options to
minimize the impact of land acquisition on local people. The project will exclude any subprojects
that require large scale land acquisition or involuntary resettlement. The screening tools provided
in Appendix 1 have been designed to screen out and exclude subprojects that would require large
scale resettlement or land acquisition.
A Resettlement Policy Framework has been prepared for the project in accordance with the
Bank’s OP 4.12 and also with relevant Vietnamese laws. It provides the steps for preparation,
review, and clearance of resettlement action plans (RAPs) for subsequent subprojects. During
project implementation, if land acquisition is required, a full or abbreviated resettlement action
plan (RAP) will be prepared based on the RPF, and will be implemented after Bank approval.
The RPF will be disclosed locally and through the Bank’s InfoShop before the start of appraisal.
In consideration of the capacity of implementing agencies in the first year, the PCU and PPMUs
have conducted a detailed screening to exclude all the first year activities that require land

The Project plans to improve marine resource management through participatory fishery co-
management which the local fishing communities will be assumed collective rights and
responsibilities related to near shore fisheries resources and will be enabled to apply these in
ways to sustain their long term livelihoods. However, the project will not establish any new
protected areas. To mitigate the impact on poor fishers resulting from implementation of co-
management regulations, the project will facilitate the participation process to ensure their voices
are heard and they will participate equally in the decision making. An additional budget will be
allocated to each poor fishing community to finance their additional needs as an integral part of
the co-management plan.

OP 4.36 (Forestry)
The project has no plans to invest or cause forest harvesting or forest management in the project
area. Therefore OP 4.36 is not triggered.

OP 4.09 (Pest Management)
OP 4.09 is not triggered since the project is not importing or promoting the use of pesticides in
the project activities.

OP 4.11 (Physical Cultural Resources)

The project will ensure that there is no significant impact on any known cultural properties
through screening for Physical Cultural Resources of subproject (Components B and C) to
exclude any site that could have significant impact on cultural properties. If any cultural resources
are identified at a later stage, chance finding procedures presented in this report will be followed.

OP 4.10 (Indigenous Peoples)

The project would also trigger the Bank policy on Indigenous Peoples (OP 4.10) as there are
ethnic minority (EM) communities living in some of the project areas (i.e. Khmer, Chinese, Tay,
Muong, Hmong, Ede, Thai, etc.) in Soc Trang, Ca Mau, and Khanh Hoa provinces. Activities
supported by the project are expected to have a positive impact on the EM communities by
improving their access to sustainable farming technologies, reducing aquaculture disease risks,
and improving management of coastal resources, thereby sustaining their livelihoods.

The project’s Social Assessments included free, prior and informed consultations with the EM
communities, and the project design received broad support from the EM communities. An
Ethnic Minority Policy Framework (EMPF) for the project has been prepared in accordance with
Bank OP 4.10, which will guide the preparation of Ethnic Minority Development Plans (EMDPs)
during implementation to ensure a high participation of local EM communities in the design and
implementation of project activities at local levels and that local EM communities in the project
area will receive benefits from the project in a way that is culturally appropriate to their cultural
and social values. The EMDF will be disclosed locally and through the Bank’s InfoShop before
the start of appraisal. An additional budget is allocated to each EM commune to finance their
additional needs through participatory preparation and implementation of an Ethnic Minority
Development Plan (EMDP) for the commune. EMDPs will be prepared in the first year and
implemented in the following years.

The last three safeguard policies, OP 4.37, OP 7.50 and OP 7.60 will not be triggered by the

3.2 Vietnam’s Legislation for Environmental Assessment

The following Vietnamese laws, decrees and standards are applicable to the Project:


   Environment Protection Law 52/2005/QH11 passed by the National Assembly dated on
    29/11/2005 regulating responsibilities of individuals and organizations regarding
    environmental protection.
   Fishery Law 17/2003/QH11 passed by the National Assembly dated on 26/11/2003, effective
    from 1 July 2004.
   The updated Law on Land Management dated 26 November 2003.
   The Law on Water resources no. 08/1998/QH10 dated 20 May 1998
   The Law on traffic and transportation No. 23/2008/QH12
   The Law on construction No. 16/2003/QH11

Decrees and Circulars

    Decree No. 80/2006/ND-CP dated August 9th, 2006 by Vietnamese Government on detail
     regulations and guidance on the implementation of some Articles of the Environment Law.
 Decree No. 29/2011/NÐ-CP dated 18 April 2011 regarding regulations on strategic
     environmental assessment, environmental impacts assessment and environmental protection
 Decree No. 25/2009/NĐ-CP dated 6th March 2009 on integrated management of coastal
     resources and environmental protection
 Decree No. 27/2005/NĐ-CP dated 8/03/2005 with detail regulations and guidelines for the
     implementation of the Law on Fishery.
 Decree No. 73/2010/ND-CP on administrative penalization security and society issues
 Decree No. 59/ND-CP on management of solid waste
 Decree No. 1338/NĐ-CP on technical guidelines for construction within weak foundation
 Decree No. 22/2010/TT-BXD on regulation of construction safety;
 Circular No. 26/2011/TT-BTNMT dated 18 July 2011 detailing some articles of Decree no.
    29/2011/ND-CP dated 18 April 2011 regarding regulations on strategic environmental
    assessment, environmental impacts assessment and environmental protection commitments
 Circular No. 01/2000/TT-BTS dated 28/4/2000, supplement Circular No. 04 TS/TT dated
    30/8/1990 - Appendix 1 regarding allowable limits of impurities in sea water and coastal
    fishery production areas.
 Directive No. 01/1998/CT-TTg regarding forbidden of the use of explosive, electrical and
    toxic substances for fishery exploitation.
 Decision No. 06/2006/QĐ-BTS dated 10/04/2006 with regulations on safe management of
    prawn farming areas and farms.
 MONRE Technical regulations on the preparation/adjustment on planning for marine and
    island natural resource exploitation and environmental protection, issued as an attachment to
    Circular no. 19/2011/TT-BTNMT dated 10 June 2011.
 Instruction No. 02 /2008/CT-BXD on safety and sanitation issues in construction agencies
Among the above legislations, the Decree No. 29/2011/ND-CP details some regulations that the
project has to directly cross-reference as discussed below:
 Appendix I of the Decree No. 29/2011/ND-CP specifies that SEAs are compulsory to the
  followings strategies and Plans:
   SEA in the form of integral parts of master plan/strategy:
          Strategy, Socio-economic master plan at national level
          National sectoral strategy, master plans
          Integrated catchment master plan that involves multiple provinces
   SEA in the form of separate report:
          Socio-economic master plan for: (i) economic zones, focused economic zones,
             economic corridors; (ii) provinces that directly managed by central government.
          Interprovincial/interregional land use plans, forest protection and development,
             Exploitation and Usage Plan of other natural resources; (iii) and other
             strategy/plans directed by the National Assembly or the Government.
 Appendix II lists the projects that requires EIA be prepared.
   Appendix III lists the projects of which EIAs are subjected to MONRE appraisal and
    approval. Below are most relevant to the proposed projects:
     Projects that use land of national park, natural reserve, world heritage, national historical/
      cultural/landscape, biosphere conservation sites, except those using less than 20 ha of
      land in the buffer of biosphere conservation sites;

       Projects that require conversion of watershed protection forests, waves/wind/sand
        blowing protection forests, from 20 ha of specialized forests or from 100 ha of other
        natural forests, from 20 ha of two crops rice field land, from 100 ha new aquaculture
        farms on sandy soil;
       Projects implemented in areas covering more than one province.
 TCVN 5937-2005 – Ambient air quality standard
 QCVN 08 : 2008/BTNMT – Surface water quality standard
 QCVN 10 : 2008/BTNMT – Water quality – coastal water quality standard
 QCVN 14 : 2008/BTNMT – domestic wastewater – allowable limits of pollutants
 QCVN 08:2008/BTNMT – National technical regulation on quality of surface water
 QCVN 15:2008/BTNMT: National technical regulation on the pesticide residues in the soils;
 QCVN 03:2008/BTNMT: National technical regulation on the allowable limits of heavy
  metals in the soils; TCVN 6774:2000 – water quality – freshwater quality for aquatic lives
 QCVN 14:2008/BTNMT: National technical regulation on domestic wastewater
 QCVN 10: 2008/BTNMT: Coastal Water Quality;
 QCVN 02-15: 2009/BNNPTNT:             Food safety, biosecurity and environmental mitigation
  measures for Fishery seeding:;
 TCVN 5308-91: Technical regulation on safety in construction;
 TCVN 7222:2002: General requirements on waste water treatment plants;
 TCVN 4447:1987: Earth works-Codes for construction
Chance find procedures
 Law on Cultural Heritage (2002)
 Law on Cultural Heritage (2009) for supplementary and reformation
 Decree No. 98/2010/ND-CP for supplementary and reformation
International Treaties
 UN treaty on Sea Law 1982;

4        Typical Sub-projects and their Potential Socio-Environmental Impacts
4.1      Potential socio-environmental benefits of CRSD Subprojects
With the baseline information about the project area and the fishery sector presented in Annex B
of the ESMF, environmentally and socially beneficial impacts are likely to represent a substantial
portion of CRSD subprojects. The benefits of proposed subprojects are long-term rather than
short-term, and, if successful, should not be limited to the members of village communes
involved in the project activities. They should be easily adopted by other fishing and aquaculture
communities (scaling up of the subproject through possible provision for field visits and plans for
other farmers involved in such activities in neighboring communities).
Reduce soil and water pollution through GAP promotion. The use of Good Aquaculture Practices
(GAP) and best management practices (BMP) should not only allow for increase in farmers’
income, but also allow for reduction in discharge of polluted waters and sediments into the water
bodies. Therefore, in the long term the project should contribute to improvement in water quality
of the project area. The use of GAP and BMP principles and introduction of biosecurity practices

and disease free seeds should also provide a conductive environment for making the ponds less
hospitable to pests and diseases, thereby reducing the use of antibiotics and chemicals in
Other positive impacts: Subprojects are also expected to produce positive socio-economic and
environmental and social impacts that include:
     Improved productivity in aquaculture ponds (intensive, semi-intensive and poly-culture) and
      better management activities in general will lower the demands on expansion of aquaculture
      land and related coastal resources, contribute to reduction in the pressure on near-shore
      catch, fishery resources become more sustainable;
     Raising environmental and social awareness in fishery resource management and
      conservation and for benefited communities;
     Expected increased income and higher living standards, including better nutrition;
 Fishermen have access to fishery facilities with improves sanitary and environmental
  conditions, which helps to reduce occupational health risks; enhance the quality and value of
  fish production; and reduce physical losses. The scope of improvement work at each site will
  vary depending on the actual conditions and requirements at each fish landing site;
 Value added produce through processing, better handing of produce, and better marketing
 Improved quality of locally produced fish, shrimp, and other locally produced seafood
  (muscles, crabs, oysters, lobster, seaweed, etc.) through the use of GAP principles,
  introduction of disease free seeds, and use of better hygiene, handling, processing, and
  distribution of products to the local and export markets;
     Increase in number of veterinary officers and veterinary laboratory in project provinces. The
      lack of adequate veterinary staff and working animal health laboratory in project provinces
      prevents the Fishery Department having access to necessary information with regard to
      animal diseases. The proposed rehabilitation and restocking of the laboratory should allow
      the DARD veterinary staff to perform their duties more effectively;
     Rehabilitation of infrastructure. High marketing costs are partly related to the lack of rural
      infrastructure, including poor condition of landing sites and fishing ports, poor storage
      facilities, lack of ice making equipment, fish sorting area, clean water etc. By supporting the
      improved facilities and infrastructure at landing sites, the project will be able to reduce costs
      and loss of fish quality, thus helping farmers to access markets more readily, increasing
      profit margins for farmers, and contributing to reduction of rural poverty.
CRSD would also generate environmental and social benefits through a variety of other
mechanisms, including:
 Improved awareness and concern for environmental and social issues on the part of
   beneficiaries, local communities and districts;
     Training of MARD and DARDs’ senior staff as environmental and social management
      specialists and aquaculture extension staff at DARD in environmental and social screening,
      thus increasing the availability of staff conversant with environmental and social issues
      throughout project provinces;
     Awareness raising among senior government staff on benefits of adopting environmental and
      social principles in sustainability of development projects, thus assisting in main streaming
      environmental and social issues in project planning and implementation.
4.2      Potential negative Socio-environmental impacts of CRSD subprojects
Most of the civil works financed under the CRSD are of small to medium scale. These include: (i)
construction of water supply, drainage and wastewater for existing farms used for GAP
demonstration and similar works for existing hatchery areas under Component B; (ii)

construction of around 30 monitoring, control, and surveillance (MCS) field stations and
construction of new public infrastructure (electricity, water supply and drainage systems) needed
for upgrading land sites, fishing ports, and fish markets under Component C. Unless the project
sites are located in environmental sensitive areas, the potential negative socio-environmental
impacts of these proposed works would occur temporarily during construction phase only. They
are mostly localized and manageable, such as:

         Dust generation and air pollution
         Impacts from noise and vibration
         Water pollution
         Drainage and sedimentation
         Solid waste
         Disruption of vegetative covers and ecological resources
         Traffic management
         Interruption of utility services
         Worker and public safety
         Communication with local communities
For existing aquaculture farms and hatchery areas, the project would help to reduce
environmental pollution risks from the operation of these facilities associated with food and
chemical residues, and other wastes from aquaculture. If the project supports the establishment of
any new aquaculture facilities, Environmental Management Plan will be prepared to address
potential impacts in both construction and operation phases, particularly waste and wastewater
management issues.
For the works under Component C, which include the upgrading of existing landing sites, fishing
ports and fish markets, where the main focus would be on clean water supply, building shelters
against typhoons, solid waste collection and wastewater treatment without altering the designed
capacity of the facilities, the potential impacts would be similar to the impacts of small civil
works listed above. If dredging is involved, other risks and issues would be arisen. These could
be: (i) water and soil pollution related to disturbance of sediment layers and disposal of the
dredged materials; (ii) nuisance related to temporary disposal and transportation of dredged
spoils; and (iii) safety risks at dredging areas and disposal sites.
The above potential impacts can be mitigated by engineering solutions incorporated into the
design of new facilities, standard construction practices and sound dredging management plans
implemented during construction, and the implementation of GAP in aquaculture farms
operations supported by the Project, as detailed in Section 5 below.
5.    Mitigation of potential negative Socio-environmental impacts of CRSD

5.1       Avoid Negative Impacts from Site Selection – Exclusion list

Site selection plays important role in any projects with physical investments. The CRSD would
cause adverse potential environmental impacts if subprojects are implemented in areas of critical
importance such as national parks, biological conservation areas, protected forests or areas of
historical values. To avoid potential adverse potential socio-environmental impacts related to site-
selection, subprojects under the CRSD will be screened for their environmental eligibility. The
subprojects that potentially adversely affect areas of biological importance, conversion of site
with valuable landscape, removal of objects with historical/religious appreciation, or conversion
of mangroves into fishponds regardless of the size will be excluded from CRSD financing.

The criteria for exclusion of subprojects has been developed with reference to Annex III of
Decree No.29 (listing the projects subject to appraisal by MONRE) as detailed below:

(a) Subprojects that use land of national parks, natural reserves, world heritage, historical/cultural
    sites, nationally protected landscapes, biosphere conservation sites;
(b) Subprojects that cause conversion of forests including mangrove forests, watershed protection
    forests, waves/wind shield forests, etc., to fishponds or other land uses;
(c) Subprojects that cause conversion of two-crop rice field land with high productivity;
(d) Aquaculture on sand subprojects using 100 ha of land; and
(e) Subprojects having project sites in more than one province.

The Eligibility Screening Form is introduced in Annex C of this ESMF.
5.2       Mitigation Measures
For existing facilities, improving waste and wastewater management practices in the existing
facilities has already been one of the focuses of supports given by the Project. For new facilities,
engineering design will also include solutions to address solid waste and wastewater management
Construction and Operation:
A set of detail mitigation measures has been recommended for mitigation of the potential
negative impacts of the Project and attached to Annex D of this ESMF. These include:
      -   Environmental Codes of Practices (ECOP) for civil works in CRSD Project, adapted from
          the original scandalized ECOP developed for small-scale civil works financed by the
          World Bank in Vietnam.
      -   ECOP for Food Security, Biosecurity Environmentally Sound Seed Production Farms
          (Hatchery) QCVN 02-15: 2009/BNNPTNT.
The ECOPs will be incorporated into construction and construction supervision bidding
documents and contracts.
Specific Guidance on Environmental Management for subprojects involving Dredging works
     Characteristics of sludge/sediment must be determined by sampling and analysis prior to
      construction commencement.
     Contractor shall prepare a Site Environmental Management Plan (SEMP) and submit to
      Construction Supervisor and WB for prior review. The SEMP shall include time schedule,
      method statement to meet the requirements of traffic safety, public health and environmental
      sanitation etc. The contractor shall ensure that:

          o Dredged material management plans incorporate environmental considerations in the
            identification of short-term and long-term disposal alternatives, consider methods to
            reduce dredging, and maximize the beneficial use of dredged materials.
          o Disposal sites at locations and land areas appropriate to the quantity and quality of the
            sediments must be identified in the approved SEMP.
          o Plan for treatment of sludge that is heavily contaminated must be approved by
            DONRE before proceeding.
          o If needed, disposal sites shall include a retaining wall.
          o Water drained from dredged materials should not be allowed to enter watercourses
            without appropriate filtering or treatment (e.g. lime shall should be used to neutralize
            pH (pH=6-8) of water drained from dredged materials before being discharged into
            the environment).

        o Collected dredged materials have to be processed, as per Vietnamese regulations on
          waste collection, to ensure safe and environmentally secure transportation, storage,
          treatment and management.
        o Those involved in handling of sludge should be specialized and have certification of
          sludge handling. Guidelines for certification of sludge handling are available in
          Circular No. 12/2011/TT-BTNMT on management of hazardous substance.
        o If access roads are needed, they must have been considered in the environmental
        o Site de-watering and water diversions: In the case that dredging activities require that
          works are carried out within the watercourse, the work area must be dewatered to
          provide for construction in dry conditions. The sediment laden water pumped from
          the work area must be discharged using an appropriate sediment control measure for
          treatment before release to the environment.
        o If landowners are affected by use of their areas for stockpiles or borrow pits, they
          must be included in the project resettlement plan.

6       Sub-project Environmental Safeguard Documents Requirements
6.1     Documentation Requirements
Safeguard documents of subprojects will be prepared, reviewed and approved in accordance with
applicable existing Vietnamese environmental regulations (Decree no. 29/ND-CP dated 18 April
2011). The World Bank will also review a number of subproject environmental safeguard
documents as indicated in Table 2 below:
         Table 2. Subproject Environmental Safeguard Documents (ESD) requirements

Component/          Specific Investments     EA               Compulsory       Review/        WB
Activity                                     documentation    contents to be   clearance by   review
                    (2)                      requirements     included in      Vietnamese     (6)
(1)                                          (3)              ESD              authorities
                                                              (4)              (5)
A - Institutional   Integrated Spatial       SEA not          The project
capacity            Planning (ISP),          compulsory but   apply good
strengthening for   research supporting      encouraged by    environmental
sustainable         development of sector    Decree no.29     practice,
fisheries           master plan                               support SEA
management                                                    as part of ISP
                                                              (TOR in
                                                              Annex F)
B - Improved bio-   Water supply/drainage,   EPC              ECOPs            DPC            Post
security            waste water treatment    (Environmental                                   review,
management          (400 GAP on-farm         Protection       (Annex D)                       random
                    demonstration sites      Commitments)
                    using existing farms).

B - Improved seed    Assist 100 existing        EPC may be         VIETGAP.          PPC          Prior
quality              small-scale hatcheries     required.                                         review of
management           in upgrading bio-                             ECOP.                          all TOR
                     security infrastructure;   Decree 29,                                        for EIA.
                                                Annex II: If       Design
                     Support the                new hatchery       included waste                 Prior
                     establishment of a         with total land    and                            review of
                     dedicated, bio-secure      area >10 ha        wastewater                     draft EIA
                     shrimp hatchery area.      (industrial        collection and                 of first
                                                farming or on      treatment.                     subproject
                                                sand), or >50 ha                                  in each
                                                (traditional                                      province.
                                                farming, EIA
                                                approved by
                                                PPC would be
                                                otherwise EPC

B - Improved         Strengthen the capacity    N/A                N/A               N/A          N/A
environmental        of DONREs in water
management           quality monitoring

C - Co-              Establishing/upgrading     EPC                ECOP.             DPC          Post
management of        some 30 monitoring,                                                          random
near-shore           control, and                                  Design                         review.
capture fisheries    surveillance (MCS)                            included waste
                     field stations.                               and
                     New public biosecurity                        collection and
                     infrastructure                                treatment.
                     (electricity, water
                     supply and drainage
C - Improving        Upgrade some 16            EPC.               ECOP              DPC or PPC   Post
hygienic             fishing ports, landing                                                       random
conditions and       sites and 8 fish markets   Partial/updated    Details                        review of
operational          (i.e. solid wastes and     EIA/EMP            required in the                EPC.
efficiency of        wastewater treatment,      required in        guidance for
selected fishing     provision of clean         some cases.        dredging                       Prior
ports, land sites,   water, ice, shelter                           works                          review of
and fish markets     against typhoons, etc.).                                                     updated

Below are some explanations for Table 2:
While the format of the documents to be prepared will follow Circular No 26/TT-BTNMT dated
18 July 2011, the annex of these subprojects documents will contain specific requirements
indicated in column 4 of Table 2.
For existing landing sites/fishing ports, EIA or EPC reports should be prepared in accordance
with the government regulations and approved by the relevant authority before the construction of
these facilities. If an EIA or EPC has been prepared and approved before, during the preparation
for upgrading works, updates of the existing EIA/EPC should be prepared. If the upgrading does
not involve dredging, an ECOP as part of the updated EIA/bidding and contractual documents
should be sufficient. Where dredging works is involved, testing of sediments for contaminants

(i.e. Pb, Hg, Zn, As, Cd) should be required and an EMP should be prepared and subject to prior
review of the World Bank.

For small works where EPCs are required, ECOP will be attached to EPC as an annex during the
subproject preparation phase, and be included as part of bidding/contractual documents in the
later stages.

Other than the subprojects discussed above, any subproject that requires an EIA be prepared, the
Bank will carry out prior review of TOR for EIA and draft EIA reports and require an EMP be
prepared. Guidance on Preparation of EMP is provided in Annex E of this ESMF.

6.2        Subproject Public Consultation and Information Disclosure Requirements
Public consultation:
For subprojects where EIAs/EPCs/EMPs are required, public consultations with the local
communities will be conducted as part of safeguard document preparation. The consultation
should provide information on all relevant issues including:
        The purpose of implementing the subproject;
        Results of the environmental evaluation and identified impacts and proposed mitigation
         measures; and
        Discussing and addressing concerns raised by the affected organizations and people and
         the way to incorporate those concerns into the subproject EIA/EPC/EMP.
The results of the public consultations should be summarized, preferably in tabular form and
documented in the EIA/EPC/EMP report.
It is a good practice to continue consultation process during project construction and
implementation to ensure that the public is fully involved and informed of environmental
mitigation and monitoring activities of the project. The public can provide inputs for improving
the proposed mitigation measures and to also ensure that their environmental concerns are fully
addressed in the environmental management and monitoring activities. More details of the
consultation process are provided in the World Bank consultation guideline 3. Extensive
consultation with affected people and ethnic minorities, if present, are required by the World
Bank whenever the project activities require relocation, land acquisition, and livelihood of ethnic
Information Disclosure:
It is required by the World Bank to disclose all relevant safeguard information during the project
cycle, including all the RAPs, EMDPs, and EMPs. Subproject EIA/EMP will be disclosed at the
Bank and in project areas in public access during the preparation of the subproject.
It is a good practice to disclose all the relevant information at least 60 days before
commencement of construction activities.
6.3        Detail guidance on the Steps to be followed by each subproject
The diagram below shows the steps to be followed once the requirement on safeguard documents
required for a specific subproject has been identified.

    Consultation on investment lending: Guideline Note, World Bank, March 2010.

                              Figure 1: CRSD Environmental Safeguard process

                                                                                             Implement EMP/ECOP
                                                                                             and mitigation measures;
       LONG LIST                                                                             Monitoring and reporting
       of investments                                                                                (Step 5)

                                                                                             Incorporate ECOP and
                                                                                             EMP      to     bidding
                                                                                             document & contracts
                                                                                                    (Step 4)
                                   Exclude non-eligible
                                   subprojects     from
                                   investment list
   ENVIRONMENTAL                                                                             Disclose final draft EIA
                                                                  EPC      is    required:   and EMPs at commune
   SCREENING             to                                       incorporate ECOP as an
   determine eligibility                                                                     level
                                                                  annex to EPC (Step 3a)
         (Step 1)                 Using ESMF/Decree 29
                                  to determine whether
                                  EIA or EPC is required                                      a) Send draft EIA to
                                  for eligible subprojects        EIA is required: Send
                                                                  TOR for EIA to the          the Bank for comments
                                           (Step 2)                                           and clearance
                                                                  Bank for comments and
                                                                  clearance (Step 3b)         b) Prepare EMP

Below are the explanations for each step demonstrated in the above Figure 1.

Step 1: Environmental Screening to determine Eligibility:

To avoid adverse environmental impacts, an exclusion list is provided in Appendix C of this
ESMF. The exclusion list identifies all subprojects that are considered as not being eligible for
financing by the Project. The exclusion list ensures that all subprojects that do not comply with
requirement of the GOV and the World Bank are removed from the subproject list.

Step 2: Determine EIA or EPC is required for a CRSD subproject

The eligible subprojects will be screened with reference to Table 2 in this ESMF to determine
whether a subproject is required to prepare EIA or EPC.

Step 3: EPC and Subproject EIAs

Subprojects that EPC are required:

After step 2, if the determination is that the subproject is required to prepare an EPC, the PPMU
will be responsible to ensure that relevant ECOP introduced in Appendix D of this ESMF is
included in the EPC that will be subject to clearance by the relevant local authorities. The EPC
should be disclosed at project communes prior to commencement of construction.

Subprojects that require preparation of EIA and EMP:

For subprojects that EIA and EMP are required, the PPMU should prepare TOR for an EIA and
send it to the Bank for prior review and comments. Upon clearance by the WB, the PMU should
proceed with recruitment of a consultant to prepare the EIA report and EMP that are subjected to
approval by relevant local environmental authorities and clearance by the Bank. The EMP also
includes relevant ECOPs.

Public consultation should be conducted as part of the EIA process. For Category B equivalent
subproject, affected community (representative of affected households in commune level) should
be informed about the proposed subproject activities as well as potential socio-environmental
impacts and mitigation measures. Affected community should be invited to raise their concerns
and make suggestions and recommendations regarding potential environmental and social
impacts and mitigation measures.

Disclosure of EIA/EMP:

The final draft of subproject EIA/EMP will be disclosed at commune level prior to construction

Step 4: Post EPC and EIA/EMP

For subprojects that EPCs are requires, relevant ECOPs should be incorporated in:

     Bidding documents for construction and construction supervision; and
     Contracts for construction and construction supervision.

For subprojects that EIAs/EMPs are required, the above-mentioned bidding documents and
contracts shall incorporate mitigation measures, monitoring plans and corresponding budgets
committed in subproject EIA/EMP reports.

Step 5: Implementation of ECOPs, mitigation measures and environmental monitoring
according to the EMP

Each PMU will be responsible for monitoring consultant and contractors in the implementation of
the relevant ECOPs, mitigation measures and environmental monitoring to ensure compliance to
EPC and EMP.

7      Monitoring and Supervision
The main objectives of environmental monitoring and supervision will be to:

     Obtain information on environmental quality to assess the treatment effectiveness of the
      works provided by the project.
     Appraise the adequacy of the ESMF/EIA with respect to the project's predicted socio-
      environmental impacts.
     Evaluate the effectiveness of the mitigation measures proposed in the EMP, and
      recommend improvements in the EMP.

Water quality sampling and testing will be conducted either through contract with provincial
environmental monitoring centers, or provision of equipments and other supports for DONRE to
undertake the tasks. Sampling and testing of sediments will be part of EIA/EMP preparation
assignment, otherwise part of construction supervision contract. Details on CRSD’s
Environmental Quality Monitoring Program are presented in the Table 3 below:

                         Table 3. Environmental Quality Monitoring Program

No            Item      Parameters                             Monitoring Frequency            Estimated Costs
1         Wastewater   pH               At the discharge      For each location:               (including tests for
          Quality      Turbidity        outlets of 100/400                                    11 parameters and
                                                              Once before construction
                       TSS              GAP                                                   transportation
                                                              (dry season).
                                        demonstration                                         costs)
                                        models                Once in the dry weather
                       BOD                                                                    2,400 samples *
                                                              during construction phase.
                       COD                                                                    50USD/sample =
                       NH4+                                   Twice in each farm in each      120,000 USD
                                                              crop (3 months interval)
                                                              for the first two crops since
                       NO3-                                   GAP demonstration is
                       PO4-                                   started.
                       Total coliform
                                                              Total: about 6
                       Fecal-Coliform                         samples/farm * 400 farms
                                                              = 2,400 samples
2         Sediment     Cu               Dredging area,        Once before construction;       16 locations * 300
                       Zn               maximum 16                                            USD/location =
                                                              3 samples at each
                       Cd               locations (existing                                   4,800 USD
                                        site/fishing ports)
3         Water        pH               At sediment                                           Included in
          quality      DO               disposal sites                                        construction
                       TSS                                                                    contract

Monitoring compliance with mitigation measures
The Construction Supervisors will carry out monitoring the contractors’ compliance with
mitigation measures as part of day-to-day construction supevision works. The construction
Supervisor shall:

           Review and approve the SEMP;
           Supervise site environmental management system of Contractors including their
            performance, experience and handling of site environmental issues, and provide
            corrective instructions;
           Report on ECOP/EMP implementation status to PMU and prepare the environmental
            supervision statement during the construction period; and
           Approve invoices or payments.

Detail TOR for the Construction Supervisors are included in Annex F of this ESMF.

8           Implementation Arrangements
8.1         Organizational Structure for Project Implementation
Institutional arrangements for project implementation, including for ESMF implementation is
demonstrated in Figure 2.

                                       Figure 2 – Organizational Chart

    WB                                               MARD (PCU)                                       PPC


    Environmental        FS/Design                                           Extension             Farmers
    Consultant/          Consultants         Construction                    service               (benefited/
    PMU                                      Supervisors                     workers               affected people)

                 Main monitoring/
                 advisory role

8.2       Responsibilities
The responsibilities of key stakeholders in ESMF implementation are listed in Table 4
                              Table 4. ESMF implementation responsibilities

No.      Company/Unit                        Responsibilities

         Ministry of Agriculture    - Closely coordinate with local authorities to ensure the participation of the
         and Rural                    community during project preparation and implementation.
         Development (MARD)/        - In charge of reporting ESMF implementation to the World Bank and
         Project Coordination         GoV.
         Unit (PCU)                 - Recruit an Environmental Consultant Firm to assist PPMUs to implement
                                      ESMF and build environmental management capacity for PPMUs in the
                                      first two years of implementation.
                                    - Allocate one staff responsible for Environmental aspects of the project
2        Provincial Project
                                       (TOR is attached in Annex F).
         Management Units           - With the assistance from local Environmental Consultants (recruited by
                                       PCU/MARD) in the first two years, PPMU will ensure:
                                       Environmental documents be prepared, reviewed and disclosed to meet
                                        project requirements.
                                       Appropriate mitigation measures are adequately incorporated into
                                        bidding documents and contracts.
                                       Follow up with environmental safeguard issues raised by Construction
                                        Supervisors during implementation phase.
                                       Report to DONRE or other relevant authorities on project environmental
                                        issues when required.
                                    - Be responsible for supervising and monitoring all construction activities
3        Construction
                                      and for ensuring that Contractors comply with the requirements of the
         Supervision Consultant       contracts and the EPC/EMP.
                                    - Shall engage sufficient number of qualified staff (e.g. Environmental

No.   Company/Unit                       Responsibilities

      (CSC)                        Engineers) with adequate knowledge on environmental protection and
                                   construction project management to perform the required duties and to
                                   supervise the Contractor’s performance.
                                 - The TOR for the CSC shall be clearly stipulated in the contract signed
                                   between CSC and PMU (draft TOR is attached to Annex F).
                                 - Based on an approved EIA/EMP, the Contractor will be responsible for
4     Contractor
                                   establishing an SEMP for each construction site area as required;
                                 - Get all permissions for construction (traffic control and diversion,
                                   excavation, labor safety, etc) following current regulations;
                                 - Comply with ECOPs/EPC/EIA/EMP requirements.
                                 - Coordinate with PPMU/contractor to provide sufficient information about
5     Local authority and the
                                   the project to affected/benefited communities;
      Community                  - Take part in promoting community participation in monitoring CRSD
                                   environmental performance, and promoting community participation in
                                   co-management of fishery resources activities.
                                 - Receive and verify environmental monitoring reports which are submitted
6     DONRE
                                   by PPMU.
                                 - Coordinate with PPMU and Contractor in relocating underground works
7     Public utilities (power,
                                   and implementing temporary connections at places which are crossed by
      water supply, drainage       proposed routes in order to ensure the continuous provision of basic
      and                          services;
                                 - Handle related incidents (electric cable fire and explosion, broken
                                   communication cables, broken water pipes, etc.).

9      Capacity Building and Training Requirements
The current institutional capacity of DARD and PPMU staff for implementation of most of the
measures outlined in this ESMF is considered to be weak, particularly due to lack of staff in the
natural resources and social sciences and inadequate resources to implement and monitor the
envisaged environmental and social management requirements of the project related activities.
The PCU and some PPMUs have prior experience in implementation of World Bank financed
projects. The staff who has experience on safeguard management of these projects may not be
available to be assigned as Safeguard Officer for CRSD Project as most of them would either be
promoted or relocated. Therefore, the Project will require the services of a Safeguard Consultant
firm, including environmental and social specialists, who will assist the PPMUs in familiarizing
with ESMF requirements and provide on-the-job trainings for PPMU safeguard staff before they
can manage the project themselves. The consultants will also liaise with the relevant agencies
such as DONRE; provide support to the communities and villages through information
dissemination, training, workshops, and identify institutional needs. The TOR for the
Environmental Specialist is attached to Annex F of this ESMF.
10     Estimated Costs
Table 5 presents cost estimates for ESMF implementation, which will be part of the total Project
11     ESMF consultation

Public consultations were carried out under the Social Assessments (from April to June 2011) and
the Environmental Assessment (in October 2011). Key participants included fishing communities
and smallholder aquaculture farmers in the project area, central and local authorities, as well as
mass organizations. The consultations aimed to explore the potential social and environmental
impacts of the project so as to, on the basis of the findings, inform project design/intervention
strategy, as well as develop appropriate safeguards instruments. The draft RPF, EMDF, and

ESMF have been circulated to concerned ministries and project provinces to receive additional
comments before finalization. A list of people consulted is included in Annex G.

                           Table 5. Estimated Cost for ESMF implementation
     Item                                Quantity                Unit cost (USD)   Total (USD)
1    Implementation of Mitigation                                                  Included in
     Measures                                                                      engineering
2.   Environmental Monitoring
     (sampling and testing)
                                         2,400                   50                120,000
     Water (at all GAP demonstration
                                         16                      300                 4,800
     Sediment (at all dredging sites)
     Testing equipment for DONRE
3.   Compliance monitoring               All civil works                           Included in
4.   Capacity building
     Safeguard Consultant                                                          (provisional)
     Training activities                 Local staff each year   5,000             25,000
     TOTAL                                                                         149,800 (USD)


Annex A - Detailed Project Descriptions
Annex B - Baseline Information
Annex C - Environmental and Social Screening Checklists for each Subproject
Annex D - Environmental Code of Practices
Annex E - Guidance for Preparation of subproject EMP
Annex F - Draft TOR for Environmental Specialist
Annex G - List of people interviewed during public consultation

Annex A - Detailed Project Description
The CRSD project comprises the following four components: (A) institutional capacity
strengthening for sustainable fisheries management; (B) good practices for a sustainable
aquaculture; (C) sustainable management of near-shore capture fisheries; and (D) project
Management, monitoring and evaluation.

Institutional Capacity Strengthening for Sustainable Fisheries Management

This component would support: (a) integrated spatial planning of coastal resources; (b) upgrading
of the Vnfishbase, including the establishment of a knowledge management system for fisheries
and environmental management; and (c) selected policy research for the new Fisheries Master
Plan to 2020.

Activity A1: Integrated spatial planning (ISP) for coastal areas

ISP will be carried out for all coastal areas of the project provinces under the CRSD. It is a
participatory and multi-sectoral planning tool for coastal areas to solve and prevent conflicts
among resource users through balancing ecological, economic, and social goals toward
sustainable development. In parallel with the ISP, the project provinces would also carry out
Strategic Environmental Assessments (SEA) for the fisheries sector at the provincial level.
Results from the ISP and the SEAs would provide the basis for fine-tuning the Sector Master Plan
to 2020.

The project will provide necessary resources (about US$250,000 per province) to allow the
PPMUs to carry out the ISP and the SEA in their provinces effectively, including, but not limited
to, staff training, field surveys, resources and biodiversity assessments, workshops, and report
preparation. The outputs of the ISP will help improve fisheries management in the project
provinces through anticipating future demands and balancing the demands for development with
the need to protect marine ecosystems and to achieve social and economic objectives in an open
and planned way.

Activity A2: Upgrading of Vnfishbase system

The current software of the Vnfishbase will be reviewed and upgraded to include additional
information and to link it with other databases of the ministry (i.e., aquaculture). The project
would also provide essential missing infrastructure (i.e., computers, servers, internet lines, Local
Area Networks, etc.,) and develop human resources (i.e., additional staff, training in data
collection, analysis, reporting, etc.). Funds estimated at around US$1 million for MARD and
US$100,000 for each province. The output of this Activity is the smooth operation of the new
fisheries database system to meet EU regulations. A knowledge management system will also be
developed as part of the upgraded database system to promote information exchange among
provinces and regions in fisheries management.

Activity A3: Conducting selected policy research

The project would assist MARD and project provinces to carry out selected research to contribute
to the new Master Plan. Funds to be provided are estimated at around US$0.6 million for MARD
and US$50,000 for each province. The research themes for the first three year period have been
identified (for both central and provincial levels), which include, but are not limited to, the
following: (a) hatchery development strategy for coastal aquaculture to 2020; (b) sustainable
planning for shrimp industry to 2020; and (c) research on alternative livelihoods for near shore
fishers. Additional research topics for the remaining years will be determined during project

implementation based on identified real development needs and lessons from project
implementation during the initial years.

Good Practices for Sustainable Aquaculture

This component would support good aquaculture practices (GAP) through: (a) improved bio-
security management at farm and farming community levels; (b) improved seed quality
management; and (c) improved environmental management to support a sustainable aquaculture.

Activity B1: Improved bio-security management

The project would provide funds for upgrading about 45 rural infrastructure schemes
(<US$300,000 per scheme) to improve bio-security conditions (i.e., water supply, discharge
systems, solid waste and wastewater treatment systems) in major farming communities located in
some 40 project districts; establishing around 400 on-farm GAP demonstration sites (around
US$25,000 each) to provide technical training for about 10,000 farmers on GAP application; and
strengthening some 40 provincial and district extension centers and 43 departments of animal
health/aquaculture in disease diagnostics, surveillance, early reporting, and outbreak
containments through the provision of technical equipment and training. It will also finance
necessary technical assistance to MARD and the PPMUs to carry out GAP certification and
technical monitoring. In addition to the technical assistance and training to assist shrimp farmers
in adopting GAP to reduce disease risks, efforts will be made to encourage greater diversification
of culture species and farming systems to reduce environmental risks of aquaculture in the project

Activity B2: Improved seed quality management

The project would provide funds to assist some 100 existing small-scale shrimp hatcheries in the
project area through upgrading public bio-security infrastructure (i.e., wastewater treatments,
clean water supply, etc.) to enable them to produce and/or nurse high quality seed. A hatchery
standardization program will be introduced to regulate importation of domesticated broodstock,
certification of wild broodstock and SFP seed. The project would also finance studies on hatchery
planning for interested provinces. In Nha Trang (and where feasible), the project would support
the establishment of a dedicated, bio-secure shrimp hatchery area which is designed to use only
domesticated and SPF broodstock. It will provide the basic infrastructure for the new hatchery
area in Ninh Van of Nha Trang (around US$3-4 million) and the province will call for private
sector investments in hatcheries and operations. To develop national capacity in domestication
and breeding improvement, the project will finance an initial (small) research breeding program
carried out by the Research Institutes for Aquaculture No.1, 2, and 3 (estimated costs of US$1-2
million). The key output of this Activity would be the gradual replacement of poor quality seed
by certified seed, thereby preventing diseases from entering production systems through infected
seed produced from poorly managed hatcheries or poor quality broodstock.

Activity B3: Improved environmental management

The project would strengthen the capacity of DONREs to conduct regular risk-based water
quality monitoring programs with a priority focus on GAP areas supported by the project. It
would also provide them with necessary resources including incremental operating costs,
additional technical equipment, and training for improved environmental monitoring and
management in the project area (about US$250,000 per DONRE). Data and results from the
monitoring activities will be disseminated to local authorities, concerned agencies, and farmers
through DONREs and DARDs’ regular monitoring reports and websites. PPMUs will take

appropriate action to mitigate the negative impacts of aquaculture activities based on the project’s

Sustainable Management of Near-Shore Capture Fisheries

This component would support two key activities: (a) co-management of near-shore capture
fisheries at the district and commune levels, together with the strengthening of monitoring,
control, and surveillance systems (MCS); and (b) improvement of hygienic conditions and
operational efficiency for selected fishing ports, landing sites, and wholesale markets to reduce
local environmental pollution, reduce physical product losses, and maintain fishery product

Activity C1: Co-management of near-shore capture fisheries

The project would facilitate the development and implementation of participatory fisheries co-
management in about 140 selected communes in the project area through building on local
experience of existing co-management arrangements, as well as those that are either community-
based or government-facilitated. It would pay special attention to capacity building for local
fishing communities (i.e., establishing fisher organizations, etc.) to assume new collective rights
and responsibilities and to apply these in ways that sustain their long term livelihoods4. Funds
will be allocated to support fisher organizations in implementing co-management plans5 (about
US$50,000 per community or US$100,000 per ethnic minority/poor fishing community). In Soc
Trang’s coastal areas where most Khmer fishers live, the province will allocate public land to
landless/poor fishers. The project would provide complimentary support in developing basic
infrastructure (i.e., irrigation systems) to support agriculture production to generate additional
income. Spouses and children would be also offered opportunities for vocational training on a
demand-driven basis to enable them to find jobs at landing sites/fishing ports or other public
works supported by the project.

Consistent with streamlining participatory co-management arrangements for fishing communities,
implementation schedule will allow time for assisting the communities in the preparation of co-
management plans. Stakeholder analysis would be carried out to define the type of support for
participation, and help project beneficiaries get organized. Consultations would guide activities to
be supported, and create opportunities to improve the incomes of vulnerable groups. A co-
management consultation guideline has been prepared to guide project implementation.

The project would also support strengthening of the government’s monitoring, control, and
surveillance systems (MCS). About 30 MCS field stations would be established and adequately
staffed and equipped to work with the fisher organizations and assist them in enforcing co-
management regulations, particularly at regional level. About 16 patrol boats (2 boats per
province, < 400 CV) including communication equipment would be procured for the provincial
Department of Capture Fisheries and Resources Protection (DECAFIREP), as well as some of
speed boats for field MCS stations to strengthen their surveillance in the provincial coastal areas.
Boat registration and licensing systems would also be strengthened with the involvement of local
governments to limit the entry of new small boats, especially those below 50 CV.

Activity C2: Improving hygienic conditions and operational efficiency of selected fishing ports,
land sites, and fish markets
    The project does not plan to establish any new marine protected areas (MPAs)
  A participatory co-management plan will be developed by the local fisher communities to address their own needs for
sustainable management of the near-shore fisheries resources in the area assigned to them. The funds could be used to
finance technical assistance, training, communication equipment, surveillance, and operating costs for the co-management

The project would upgrade about 16 fishing ports and landing sites and a few selected fish
markets in the project area (US$2-4 million per scheme with the upgrading phased into 2-3
periods). The upgrading would focus on improving concrete landing facilities, ensuring clean
water and ice supply, upgrading of grading/selling sheds, rehabilitating solid waste and waste
water treatment systems, etc. These investments will serve to reduce environmental pollution,
reduce physical product losses and maintain product quality and market presentation. The project
would also assist in training and developing human resources and management skills to improve
the operational efficiency of the upgraded sites. After upgrading of basic facilities, the
government would call for investments from private investors to invest in logistic facilities as part
of the complex fishing ports and landing sites.

In the first year, only the simplest works packages have been selected for implementation (e.g.,
schemes that have negligible or neutral environmental impact and do not require acquisition of
private land and/or other assets). In the initial period, training will be organized for safeguards
staff and technical assistance consultants will be recruited to assist the PCU and the PPMUs prior
to proceeding with implementation of more complicated works in sequent years.

Project Management, Monitoring and Evaluation

This component would support: (a) effective project management; and (b) strengthening
institutional capacity at provincial, district and community levels to monitor and evaluate project
activities and sustain project interventions.

Activity D1: Project management

The project would provide necessary training, equipment, facilities, and operating costs for the
Project Coordination Unit (PCU) at the ministry level and the Provincial Project Management
Units (PPMUs) at the provincial level to ensure that the project is implemented in accordance
with the project implementation manual, including safeguards, financial management and audits,
reporting and supervision.

Activity D2: Monitoring and evaluation

The project would provide necessary training, facilities, and operating costs for the PCU and the
PPMUs to establish an M&E system for the project and carry out M&E activities in line with the
Aligned Monitoring Tool (AMT) established by the Ministry of Planning and Investment (MPI).
M&E consultant(s) would also be recruited (as part of the TA package supporting project
management) to assist the PCU and the PPMUs in setting up and handling M&E activities.
Independent monitoring and evaluation consultants will also be recruited by the PCU when
necessary to assess the effectiveness of the activities implemented under each component.

Annex B - Baseline Information
A.1. Overview
Vietnam has tropical monsoon climate with 3,200 km of coastline and a dense river system. Thanh
Hoa, Nghe An and Ha Tinh are the three project provinces located in the north central coast, Phu Yen,
Binh Dinh and Khanh Hoa are the project provinces located in the south central coast, and Soc Trang
and Ca Mau provinces are the ones located in the south coast of Vietnam. Table A.1 provide data on
land use in project provinces.
                                Table A.1. Land areas in project provinces

 Project                         Agricultural     Forestry        Specialized      Residential
                 Total area          land           land             land             land          Shoreline
                   (km2)            (km2)          (km2)            (km2)            (km2)           Km
 Thanh Hoa           11,133             2,457           5,660              673             502           102
 Nghe An               16,491           2,501           9,159              532             202                82
 Ha Tinh                6,026           1,175           3,398              343              82               137
 Binh Dinh              6,040           1,381           2,592              253              78
 Phú Yên                5,060           1,284           2,506              276             654               189
 Khanh Hoa              52,18               886         2,114              828              62               385
 Soc Trang              3,312           2,058             114              233              60                72
 Ca Mau                 5,332           14,49             974              210              67               254
 Total                 58,613          13,124          26,574             3,214           1,112          1,221
                                                                      Source: Statistic data of provinces, 2009

The basic demographic data and total population of fishery active household population by age and
sex group is presented in Table A.2.
                       Table A.2. Population of the project regions and provinces

   No.      Region/ Province                 Population in 2009                   Population over 15 years
                                     Male         Female          Total            old working in fishery
    I.     Central northern region                                                          3%
    1      Thanh Hoa                1,680,018     1,720,577       3,400,595
    2      Nghe An                  1,445,533     1,466,508       2,912,041
    3      Ha Tinh                   606,713        620,325       1,227,038
   II.     Central southern region                                                         4.3%
    4      Binh Dinh                 724,624        761,841       1,486,465
    5      Phu Yen                   431,558        430,673         862,231
    6      Khanh Hoa                 571,632        585,972       1,157,604
   III.    Mekong delta                                                                    8.1%
    7      Soc Trang                 642,586        650,267       1,292,853
    8      Ca Mau                    606,606        600,332       1,206,938
                                                                           (Source: Provincial statistics, 2009)

A.2. Key findings from Social Assessment
A social assessment was made on 195 households by the social assessment team in three of the project
provinces: Thanh Hoa, Khanh Hoa, and Soc Trang. The details of social assessment and statistical
methodologies used are provided in the SA report (Social Assessment Report, June 2011). Below
summarizes the key findings:
Demographic features. The average number of household member of the whole survey samples is
5.05 people, of which the fishing group (4.79) and the lowest income group (4.5) have the lowest
figures. This figure of the survey area is much higher than that of the rural area in Vietnam (5.05
against 4.14) as recorded in the Vietnam Household Living Standard Survey 2008. This indicates high
pressure of livelihoods on coastal households and communities. The male percentage is a little bit
higher than female percentage: 50.4% vs. 49.6% (Table 4.3). The group of people under 15 years old
makes up 24.8%, the group of 15-55 years old: 66.3%, and the group of over 55 years old – 8.8%.
Education. In general, the survey areas have young populations, dependence rates are low, yet
employment pressures are high. Illiterate proportion: 4.6%, one third finish primary education,
another one third finish intermediate education, and 13.1% finish secondary education. 4.9% of HHs’
members have passed training courses from short-term courses to university training (3.2% have
certificates of university and colleges). Of fishing laborers, 8.2% is illiterate, 36.9% have primary
education attainment, 42.2% have intermediate education attainment, and 9.8% have secondary
education attainment. Only 2.9% of laborers have received short-term or long-term vocational
training, lower than that of laborers over 15 years old of the whole survey sample – 6.3%. Low
education attainment and occupation skills as mentioned above is one of main obstacles for
sustainable livelihood conversion.
Poverty. The average monthly income per capita of the total survey samples is VND 1,072,200, 2.68
times higher than the new poverty line of the country in 2011. Khanh Hoa province has the average
income of nearly 2 times higher than the poverty line, and Soc Trang and Thanh Hoa provinces have
the average incomes 2.9 and 3.1 times higher. Social stratification at the coastal region in 2011 is very
wide and nearly equals to social stratification of the country as recorded in the Vietnam Household
Living Standard Survey 2008 (the average income of group 5 is 8.9 and 2.3 times higher than those of
groups 1 and 4 respectively).
Economic Activities. The job structure in the survey samples in 3 provinces indicated that the fishing
makes up a larger part of the main job, but total aquaculture-related jobs such as fishing and catching,
farming, processing, service make up 62.7% of main jobs of all HH members who are working. In the
secondary job structure of HH members at work, 22.0% related to the aquaculture jobs. The fishing
group has 99.2% of members work in capture fishery, including fishery exploitation without boats.
This means that children of fishing HHs usually follow their parents and it is one task of the CRSD
project to help most of fishermen’s children to live sustainably on non-fishing jobs in order to reduce
long-term pressure on near-shore fishery resources. 17.7% of laborers are women, working mainly in
small jolly-boats in near-shore areas or catching without boats. In the survey samples, only 20% of
HHs have agricultural land, 19.0% have lakes, ponds, and water bodies, 7.2% HHs hire land of
various types and 4.1% HHs do not have residential land. Table A.3 shows the distribution of
laborer’s main occupations.
Table A.3. Laborers’ main occupations (including all household members involving in laboring)


                                                                                                                                     The State’s

                   rice/ crops









Total samples            7.5     3.7             6.4      52.4       3.1           0.8            0.6           0.4            6.6     3.9          4.8              9.7

94.1% of ethnic minority HHs have fishing gear of various types. This implies that most of ethnic
minority HHs carry out near-shore exploitation without boats. The ethnic minority fishing group also

has the lowest income because they mainly do near-shore fishing with small boats and manual
utilities. Therefore, investment in off-shore fishing boats can be an alternative livelihood option of the
CRSD project, in terms of incomes.
A.3. The Fishery Sector in Vietnam
Aquaculture has existed in Vietnam for a long time and its development is based on the experience of
rural people and the available natural resources, resulting in differences in cultural practices in the
northern, central and southern parts of the country. Aquaculture in Vietnam has been developing quite
rapidly since 1970s, particularly the culture of fish and shrimp production for export that has been
stimulated by the increasing interest among the rural population.
Capture fisheries and aquaculture in Vietnam are supplying approximately half of the animal protein
for the population. Aquaculture production is currently contributing to about 30 to 40% of the total
fishery production in Vietnam. In addition, aquaculture offers scope for employment in production
and associated industries (such as processing and feed supply) thus making a contribution to
increasing the living standards of the people. The development of aquaculture in Vietnam is based on
the ecological systems of the country, for instance, mangrove and coral ecosystems and littoral and
estuarine environments. Hydrological factors, climate and geography (including the effects of human
beings) play major roles in the development of aquaculture. To keep production levels high and to
ensure disease free aquaculture development in Vietnam, attention will need to be given to efficient
utilization of water bodies, preservation of the aquatic environment and sustainable use of natural
ecological systems. The problems of environmental conservation are becoming increasingly acute due
to rapid aquaculture development and increase in pollution problems that are becoming increasingly
more serious.
A.4. The Fishery Sector in project provinces
A.4.1 Thanh Hoa Province
Thanh Hoa province has six coastal districts and towns (183 communes) with about 1,230 ha of land
(11.1% total land area of Thanh Hoa) and 1.07 million people (31.5% of the province’s population).
Fishery survey (2002) reported that 71 families, 190 sea fish species were found in coastal water of
Thanh Hoa. Although being diverse in the number of species, the quantity of fishery in Thanh Hoa is
not large. Thanh Hoa has 8,000 ha of land intermittently inundated with tides and 5,000 ha of coastal
saline water surface which provides potentials for aquaculture development.
Aquaculture is one of the key economic sectors in Thanh Hoa. Total aquaculture water area is 17,739
ha in 2010, in which saline and brackish water is 7,700 ha and freshwater is 10,300 ha. Lạch Trường,
Lạch Hới and Lạch Bạng are the three major fishery/aquaculture centers of the province, where
landing stages and sheltering ports for fish boats have been built.
Total aquaculture productivity in 2010 is 74,409 tones, in which marine fishery accounts for 71,136
tonnes. Inland production is 2,913 tons. Currently 28,500 people are working in fishery sector,
mostly based on experience and without proper training. The main challenges to the sustainability of
fishery resources have been identified as: (i) an appropriate sectoral structure is not in place and low
exploitation efficiency; (ii) rapid increase in number of fishing units in unexpanded fishing area
contributes to the depletion of fishery resources; (iii) the application of unsustainable or even
destructive exploitation methods and tools; (iv) low skills of labor force; and (v) post-harvesting
maintenance is inappropriate.
A.4.2 Nghe An Province
Topographically, the province is divided by mountains, hills and rivers in northwest to southeast
direction. The total length of rivers and streams in Nghe An is 9,828 kilometers. The largest river in
Nghe An is the Ca (or Lam) river. There are four coastal districts and provincial towns in Nghe An
including the Vinh City and 34 wards and communes having fishery as one of economic activities.
Total number of fishing units is 4,321 units and 21,442 people have been involved. Area of
aquaculture in Nghe An is 22,500 ha, in which 2,000 ha is saline and brackish water (2010).

There are 267 fish species belonging to 91 families in the coastal area of Nghe An province. Fishery
stock is estimated at 80,000 tonnes, in which offshore storage is 50,000 tones (62%). There are two
known spawning grounds in Nghe An, i.e. the areas from Lach Bach to Lach Quen and Dien Chau.
The major challenges to fishery sector in Nghe An are: (i) limited capacity of the state authority; (ii)
community participatory mechanism has not been in place in fishery management; (iii) limitations in
alternative income for livelihoods; and (iv) poor fishery infrastructure.
A.4.3 Ha Tinh Province
Ha Tinh has 137 kilometers of coastal line, along which there are two major estuaries, and 7,261 ha of
saline and brackish water surface for aquaculture, in which 3,403 ha are coastal ponds and lagoons
and 704 ha of alluvial regularly inundated by tide. Survey data in the 1980s showed that there were
267 fish species belonging to 90 families. Fishery resource storage is estimated at 85,000 tonnes and
allowable annual exploitable quantity is about 43,000 tonnes. There are 3,786 registered fishing boats
in Ha Tinh and 13,717 people have been working on these boats.
The major challenges to fishery sector in Ha Tinh are: (i) inappropriate balance between near-shore
and off-shore fishing units, with over 80% of fishing boats are of small capacity; (ii) the rate of
immature or /mixed fish in each catch is high; (iii) lack of capacity from management authority and
training for fishers.
A.4.4 Phu Yen Province
Topographically, Phu Yen is lowered from the west to the east, hills and mountains account for about
70% of the province’s total land area, and 30% is coastal delta. All rivers in Phu Yen originate from
the Truong Son mountain range in the west, the Cu Mong range in the north and the Ca Pass in the
south. The major rivers are the Ba, Ban Thach and Ky Lo rivers. Total water surface area is 25,050
Phu Yen province comprises of Tuy Hoa City, Song Cau Town and seven districts namely Dong
Xuan, Tuy An, Son Hoa, Song Hinh, Phu Hoa, Dong Hoa and Tay Hoa.
Forests are allocated mainly in three districts of Sơn Hòa, Sông Hinh and Đồng Xuân. The Krong-Trai
nature reserve in Son Hoa district with area of 13,808 ha. Although forest cover has increased, the
quality has not been improved and watershed protection forest continued to be cut down. Biodiversity
has been degraded due to forest fire, land use conversion, encroachment by local people,
overexploitation and illegal wildlife trading. During the last 20 years, coastal erosion associated with
flash floods, high tides and sea waves has occurred and led to the loss of natural habitats. Population
growth also has created increased pressure on natural resources and the environment.
Marine biodiversity and wetland are mostly distributed in three coastal districts of Song Cau, Tuy An
and Dong Hoa. Research shows that there are 33 plant species allocated in the wetlands along the
coast. However, there is almost no natural mangrove left in the wetlands of Phu Yen. Only some
scatterly distributed mangroves can be found along some channels, embankments or newly planted for
landscaping and protection of aquaculture ponds. Biodiversity in the three large lagoons namely O
Loan, Cu Mong and Xuan Dai has been degraded due to improper management, for example, the
permit for industrial aquaculture companies to operate on these lagoons without any treatment, or the
application of destructive exploitation methods. More information about the existing status of the
wetlands in Phu Yen can be found from a report6 prepared under SEMLA project dated March 2009.
Natural acid sulphate soil occurred in Dong Hoa district (pH varies between 4.25 and 5).
Environmental Status report prepared by Phu Yen DONRE recommended that the use of this soil for
agriculture should be limited due to the presence of toxic substances such as SO42-, Al and Fe.
However, the recommendations also specify that aquaculture is feasible if appropriate irrigation and
drainage systems are in place.
A.4.5 Binh Dinh Province

  “Điều tra đánh giá thực trạng các vùng đất ngập nước tiềm năng ven biển tỉnh Phú Yên và đưa ra giải pháp khai thác hợp lý,
hiệu quả, bảo tồn và phát triển bền vững dựa vào cộng đồng

Administratively, Binh Dinh province comprises of Quy Nhon City and 10 districts namely An Lao,
An Nhon, Phu My, Phu Cat, Hoai An, Hoai Nhon, Tay Son, Van Canh, Vinh Thanh and Tuy Phuoc.
96% of the urban population and 95% of the rural population have access to clean water. The
coverage of solid waste collection is 100% in Quy Nhon city and 70% in other smaller provincial
urban centers.
There are four large rivers in Binh Dinh namely Kon, Lai Giang, La Tinh and Ha Thanh. Riverbeds
are steep, the difference between flow rate in flood season and dry season is up to more than 1,000
times. Distribution of flow rate is uneven throughout the year, which is unfavorable for water use
activities. The total river flow in three months of the flood season (October to December) accounts for
71% of the total average annual flow. With low vegetation cover, flooding, sedimentation and erosion
have been issues in the province. Binh Dinh also has 123 reservoirs providing water for irrigation and
other water use purposes. The three largest brackish lagoons in Binh Dinh are Thi Nai, De Gi and Tra
The combined sector of agriculture, forestry and aquaculture plays an important role in the province’s
economy. During 2006-2009, the average annual growth rate of the sector is 7.3%, in which
aquaculture, agriculture and forestry increased 11.1%, 6.3% and 1.4%, respectively. Anticipated
annual growth rate of the aquaculture sector during the period from 2011 to 2015 is 10%.
Forest cover in Binh Dinh is 44.5% in 2010. During 2005-2009, the Forestry Development Project
co-financed by the WB had been being implemented in Binh Dinh. Under this project 7,800 ha of land
have been forested. Existing mangrove forests are mostly planted forests. There are 85 ha along the
coast and 600 ha scatterly distributed in aquacultural farming area.
In recent years, the province’s economy has been in is a transition from agricultural-focused toward
industry and services. Employment structure has been changed with decreased number of labors in
agro-forestry-fishery sector and increased number of workers in the industrial, construction,
commercial, and service sectors.
The Province’s Environmental report of Binh Dinh province identified current environmental
challenges in the province, including uncontrolled exploitation of groundwater resulting in salinity
intrusion; forest fire in dry season and deforestation for cultivation, illegal logging and wildlife
trading; soil and water pollution from agrochemicals and urban solid wastes and wastewater;
increased erosion potentials associated with conversion of land use from agricultural-forestry to
residential/industrial land in hilly areas; coastal fishery resource depletion due to overexploitation and
the application of destructive catching methods such as the use of explosive, high density light, small
grid fishing nets.
Binh Dinh has 2,300 ha water surface that can be used for aquaculture. Industrial prawn farming on
saline or sandy soil has been growing rapidly in recent years. However, as most of the ponds do not
have wastewater treatment systems, direct discharge of untreated wastewater from prawn farms has
been causing serious environmental pollution. Considerable quantity of solid waste containing unused
feed, prawn waste, algae, organic residuals etc. generated from prawn farms has also been being
disposed on sand dunes near the farms. In the long term, if no solutions are implemented to address
such issue, coastal water quality would be degraded and causing adverse negative impacts on natural
fishery resources.
There is a number of large lagoons in Binh Dinh namely Thi Nai, De Gi, Tra O. The Thi Nai lagoon
(5,060 ha), with its high biodiversity value, is habitat of many species including water birds and
migratory birds. Survey shows that the lagoon is home to a large number of species including 85
floating flora, 64 floating fauna, 181 benthic fauna, 136 algae and higher fauna, 100 mollusks, 14
prawn, 119 fish, 30 bird and two animal species. “Co Thia”, a rare species, has also been observed in
this lagoon. The Thi Nai lagoon receives water from the Ha Thanh and Kon rivers as well as domestic
wastewater from Quy Nhon city and nearby industrial zones. Overuse of the lagoon water for
aquaculture has lead to water quality degradation. Water samples taken in 2008 have some parameters
exceeding Vietnamese standard QCVN 08:2008/BTNMT column B. In the De Gi lagoon (1,580 ha),
15 plant species, five seaweed species, 39 fish species with economic values, 11 crustacean species
has been observed. It is estimated that each ear 1,715 tones of seafood can be exploited from this

lagoon. However, fishery resource has been being depleted (with an estimated decrease of 50-70 %
compared to five years before) by use of destructive exploitation methods and water pollution from
aquacultural activities operated in the lagoon. Agriculture management authority has promoted the
participation of local people into the protection and development of fishery resource. Co-management
model has been initiated for Thi Nai and De Gi lagoons. The Tra O lagoon (1,200 ha) is one of the 45
nationally planned inland protected water area (by 2025). 75 large plant species, 73 algae species, 52
floating fauna species and 65 fish species have been found in this lagoon. It is also habitat for three
eel fish species, the “Chinh mun”, one of which is listed in Vietnam Red Book. However, fishery
resource in the lagoon has been depleted in recent years with annual reduced catch of some fish
species to 50 and 94%.
Aquaculture management authorities have carried out environmental monitoring in prawn farming
areas and have informed farmers of the environmental consequences. The province also planned to
plant 220 ha of mangroves, in which 60 ha will be planted at Thi Nai lagoon and 50 ha will be planted
at De Gi Lagoon.
A.4.6 Khanh Hoa Province
Khanh Hoa is covered with mountains to the north, south and west and faces the sea to the east. The
province has about 200 islands. Administratively, Khanh Hoa province consists of Nha Trang and
Cam Ranh Cities, Ninh Hoa provincial town and Khanh Son, Khanh Vinh, Dien Khanh, Truong Sa,
Cam Lam, Van Ninh districts.
With many sites of beautiful landscapes and beaches, Khanh Hoa is one of the major tourist centers of
the country. Well-known beaches are Nha Trang, Bãi Tiên, Dốc Lết, Đại Lãnh in the main land and
those on the Hòn Tre island. Ecosystems found in Nha Trang are diverse; these are coral reef,
wetland, mangrove forest, seaweed, estuary, island and coastal ecosystems. Hòn Mun island has the
highest biodiversity, with about 350 coral species, which account for 40% of coral species presents in
the world.
Fishery reserve in Khánh Hòa is estimated at 150,000 tones and exploitable amount is about 70,000
tones. In addition to fishery species, Khanh Hoa is also home to a special bird species which provides
high economic values and job creation related to the bird’s nest. Salt production is one of the
economic activities in Khanh Hoa as salinity of sea water is high.
The province has 186,500 ha of forest, of which 34% is protective forest and 1.2% is specialized
forest. Most of the protective forests are distributed in mountainous areas.
A.4.7 Soc Trang Province
Soc Trang is one of the 13 provinces located in the south of the Haul (a major branch of the Mekong
river). The province comprises of Soc Trang City and 10 districts of Châu Thành, Kế Sách, Mỹ Tú,
Cù Lao Dung, Long Phú, Mỹ Xuyên, Ngã Năm, Thạnh Trị, Vĩnh Châu, Trần Đề.
Total land area of 3,311 square kilometers, of which 49.5% is saline soil. Acid sulphate soil occurs in
the western districts (Thạnh Trị, Mỹ Tú, Vĩnh Châu and Mỹ Xuyên) and accounts for 23.7% of the
province’s land area. There are also 11,560 ha of low land that is inundated all year around.
Soc Trang is characterized by a dense system of rivers and canals. Along the coast, there are three
major river mouths including Tran De, Dinh An and My Thanh. A relative large area (11,000 ha) is
composed of alluvial exist along the coast, which is about 5 to 7 kilometers wide during low tides.
Though such alluvial ground has not been taken as part of the province’s total land area, intensive
aquaculture activities have been carried out in that area. Along the estuaries, there are a number of
landing sites for fishing boats.
Environmental Monitoring during 2006-2010 shows that surface water quality in Dinh An, Tran De
and My Thanh rivermouth has signs of being polluted with organic matters which tend to increase
from year to year due to the impacts of aquaculture, fishery exploitation and seafood processing at
landing sites. Monitoring data in 2009 show that BOD was 1.39 to 3.99 times higher than limits, and
COD was 2.26 to 4 times higher than limit. Mỹ Thanh and Trần Đề are the two sites badly polluted.
Major sources of pollution are industries, urban solid wastes and wastewater, irrigation (which
promotes salinity intrusion), agricultural and aquaculture activities, and waterway transportation.

Coastal water quality remains good, except that in Vinh Chau where COD was monitored at 9.34 to
39 times higher than allowable limits and some heavy metals such as Cu, Zn, Cr6+ have also been
Agricultural production, with 95% of total land area in Soc Trang, is the main economic sector. Total
land area being used for aquaculture is 65,189 ha (2007). Among the eight districts, Vinh Chau and
My Xuyen have the most aquaculture land, which accounts for 45% and 32% of the province’s total
aquaculture land, respectively. Typical aquaculture activity is prawn farming in combination with rice
field. In recently years, losses in aquaculture have happened frequently due to improper farming
techniques, including improper treatment of farming ponds.
It is estimated that wastewater generated annually from prawn farming in Sóc Trăng is 8.69×106 m3
by 2015 and 14.28×106 m3 by 2020 (DONRE Environmental Status report, 2010). Only 25 - 30% of
feed has been absorbed, the rest is mixed in water and causes water pollution.
Coastal forest of Soc Trang is allocated along the narrow strip of land from Vinh Chau to the Hậu
rivermouth with high biodiversity. There used to be about 20 plant species which belong to 16
families, mostly mangroves, eucalyptus, mắm, bần, etc. Waterfowls, mammals, etc. were also found.

                              Pictures: Mangrove Ecosystem in Soc Trang
                                        (Source: DONRE, 2010.)
However, in recent years, over exploitation of natural resources and severe erosion in Vinh Chau
district have led to reduction in the area of mangrove forest and affect biodiversity.
A.4.8 Ca Mau Province
Ca Mau has 80,000 square kilometers of seawater surface. This is the only one province in Vietnam
that is exposed to the sea on the east, south and west. Administratively, the province is divided into
nine administrative units including the Cà Mau city and eight districts of Thới Bình, Trần Văn Thời,
U Minh, Dam Doi, Cái Nước, Phú Tân, Năm Căn and Ngọc Hiển.
There are six types of soil in the province: (i) Acid sulphate soil, 280,000 ha, accounting for 52.5% of
the province’s total land area; (ii) Saline soil, 212,900 ha, or 40% of Ca Mau’s total land area. The
remaining types of soil in Ca Mau are alluvial, pit coal soil, yellowy-reddish soil and sandy soil.
There are two main types of forests in Ca Mau, which are mangrove forests (62,436 ha or 63%) and
acacia (malaleuca 36,156 ha or 36.46%), the remaining 0.58% are forests on islands. The existing
mangrove forests in Ca Mau are mostly allocated in Ngoc Hien, Nam Can, Dam Doi and Phu Tan
districts, and malleuca are mostly found in Tran Van Thoi and U Minh districts. These are the two
typical types of forests with high biodiversity found in the Mekong delta.
Particularly, Ca Mau also has the Mui Ca Mau National Park with an area of 41,861 ha, and the U
Minh Ha National Park with area of 8,527 ha. They are frequently inundated with brackish water and
of high biological diversity. On 26 May 2009 UNESCO recognized these two national parks as the
World Biosphere Conservation Zones.
Ca Mau province has promoted reforestation during the last few years. In 2010, 2,018 ha have been
reforested. Fire prevention has been improved and the number of cases violating forestry law has
reduced. However, below are the main existing challenges:
    -   Afforestation of production forest brings limited economical efficiency as there are limited
        market opportunities for unprocessed mangrove and acacia timbers.

    -   Low wages of staff working for the forest management authority.
    -   The farmers living in buffer zones of specialized forests or have been contracted for forest
        management are mostly poor households and do not own either residential or agricultural
    -   High demand for investments in fire prevention and anti forestry law violations.
    -   The land plots available for forestation are small and scatterly distributed which make it
        inconvenient for survey and plantation and lead to high cost of afforestation.

There are 175 fish species which belong to 77 families in the sea area surrounding Ca Mau. This area
is also rich of other aquatic species which are favorable for aquaculture activities. Currently, fishery
resource in the area has been under pressure from overexploitation over a long time period.
Environmental pollution, narrowing down of spawning ground around the coast, application of
destructive exploitation methods (explosive, electric shock, catching in breeding season or the use of
small grid fishing nets, etc.) have been major challenges to fishery resources.
Ca Mau province has 296,300 ha of aquaculture land in 2010, in which the area of prawn farms is
266,600 ha. Dam Doi and Thoi Binh are the two districts that have the most aquaculture land.
Aquaculture plays an important role in the province’s economy as it provides tens of thousands of
jobs and is source of income to local people. Total fish catch and production is 320,000 tons per year.
By 2011, there are 5,097 fishing units in Ca Mau. Engine units having capacity of under 90CV
account for 73%. Together with this high rate of small fishing units, illegal use of irrelevant
exploitation tools and application of destructive exploitation methods have been exerting high
pressure on fishery resources along the coast. Average production from each catch tends to be
reduced, and the rate of small/mixed fish is high. Some fish species having high economical values
are being threatened.
Other constraints that contribute to poor management of fishery resources in Ca Mau have been
identified as below:
    -   Limitations in capacity, human resource and working facilities of coastal inspectorate
        authority (belong to DARD).
    -   Lack of co-management mechanism for fishery resources.
    -   Lack of alternative income options for local labors.
    -   Fishery infrastructure is in poor conditions.

Appendix C - Environmental and Social Screening Checklists for each
FORM 1 – Socio-Environmental Exclusion Check List
With all subprojects proposed, PPMU Safeguard Officer will do screening of all subprojects under Components
B and C to determine eligibility of subprojects.
+ Answer all questions for each subproject (Y/N) in the cell.
+ If one or more answers is Y, then fill NE (Not Eligible in the last row, and exclude the subprojects.
+ If all answers are “N”, then subproject is eligible for being financed under the CRSD Project.
*this form should be filled in and filed at PPMU Office, together with other safeguard documents.
Checklist Questions                                                       Subproject (answer Y/N)
                                                                      1     2    3   4   5   6      7   ….
Will the subproject lead to conversion of land of natural
importance, such as any national park, natural reserve, biosphere
conservation area?
Will the subproject require removal of forests including
watershed protection forests, mangrove forests, wind/sand blow
prevention trees?
Will the subproject cause loss of habitats of a known endangered
Will the subproject cause conversion of existing two-crop rice
field land having high productivity?
Will the subproject use 100 ha of land for aquaculture
cultivation on sand?
Will the subproject sites cover more than one province?
Is the site of the proposed subproject under dispute?
Will the subproject lead to land acquisition in any site having
cultural/historical values, or removal of cultural objects such as
temples, pagodas, cemeteries, ancient graves, monuments,
status, sacred trees, or any objects that are spiritually important
to community?
Will the subproject result in clearing of wetlands or forested
areas with a canopy cover of more than 10%?
Is the subproject located in or near national parks, natural
habitats or sites used by threatened or endangered species?
Is the site of the proposed subproject on public land or on areas
that are owned or customarily understood/agreed to be used by
the subproject proponent?
Conclusion on Eligibility
Date                        Screened by (PPMU Safeguard Officer)

                                Appendix D - Environmental Code of Practice (ECOPs)
                 (Adapted for CRSD from standardized ECOPs for World Bank – funded small work project in Vietnam)
                                                   Part 1 – Contractor’s Responsibilities
 ISSUES/RISKS                                                       MITIGATION MEASURE
1. Dust                 The Contractor implement dust control measures to ensure that the generation of dust is minimized and is not perceived
   generation/ Air       as a nuisance by local residents, maintain a safe working environment, such as:
   pollution             - water dusty roads and construction sites;
                         - covering of material stockpiles;
                         - Material loads covered and secured during transportation to prevent the scattering of soil, sand, materials, or dust;
                         - Exposed soil and material stockpiles shall be protected against wind erosion.
2. Noise and            All vehicles must have appropriate “Certificate of conformity from inspection of quality, technical safety and
   vibration             environmental protection” following Decision No. 35/2005/QD-BGTVT; to avoid exceeding noise emission from
                         poorly maintained machines.
3. Water pollution      Portable or constructed toilets must be provided on site for construction workers. Wastewater from toilets as well as
                         kitchens, showers, sinks, etc. shall be discharged into a conservancy tank for removal from the site or discharged into
                         municipal sewerage systems; there should be no direct discharges to any water body.
                        Wastewater over permissible values set by relevant Vietnam technical standards/regulations must be collected in a
                         conservancy tank and removed from site by licensed waste collectors.
                        At completion of construction works, water collection tanks and septic tanks shall be covered and effectively sealed off.
4. Drainage and         The Contractor shall follow the detailed drainage design included in the construction plans, to ensure drainage system is
   sedimentation         always maintained cleared of mud and other obstructions.
                        Areas of the site not disturbed by construction activities shall be maintained in their existing conditions.
5. Solid waste          At all places of work, the Contractor shall provide litter bins, containers and refuse collection facilities.
                        Solid waste may be temporarily stored on site in a designated area approved by the Construction Supervision Consultant
                         and relevant local authorities prior to collection and disposal.
                        Waste storage containers shall be covered, tip-proof, weatherproof and scavenger proof.
                        No burning, on-site burying or dumping of solid waste shall occur.
                        Recyclable materials such as wooden plates for trench works, steel, scaffolding material, site holding, packaging
                         material, etc shall be collected and separated on-site from other waste sources for reuse, for use as fill, or for sale.
                        If not removed off site, solid waste or construction debris shall be disposed of only at sites identified and approved by
                         the Construction Supervision Consultant and included in the solid waste plan. Under no circumstances shall the
                         contractor dispose of any material in environmentally sensitive areas, such as in areas of natural habitat or in

 ISSUES/RISKS                                                         MITIGATION MEASURE
6. Chemical or            Used oil and grease shall be removed from site and sold to an approved used oil recycling company.
   hazardous              Used oil, lubricants, cleaning materials, etc. from the maintenance of vehicles and machinery shall be collected in
   wastes                  holding tanks and removed from site by a specialized oil recycling company for disposal at an approved hazardous waste
                          Unused or rejected tar or bituminous products shall be returned to the supplier’s production plant.
                          Store chemicals in safe manner, such as roofing, fenced and appropriate labeling.
7. Disruption of          Areas to be cleared should be minimized as much as possible.
   vegetative cover       The Contractor shall remove topsoil from all areas where topsoil will be impacted on by rehabilitation activities,
   and ecological          including temporary activities such as storage and stockpiling, etc; the stripped topsoil shall be stockpiled in areas
   resources               agreed with the Construction Supervision Consultant for later use in re-vegetation and shall be adequately protected.
                          The application of chemicals for vegetation clearing is not permitted.
                          Prohibit cutting of any tree unless explicitly authorized in the vegetation clearing plan.
                          When needed, erect temporary protective fencing to efficiently protect the preserved trees before commencement of any
                           works within the site.
                          The Contractor shall ensure that no hunting, trapping shooting, poisoning of fauna takes place.
8. Traffic                Before construction, carry out consultations with local government and community and with traffic police.
   management             Significant increases in number of vehicle trips must be covered in a construction plan previously approved. Routing,
                           especially of heavy vehicles, needs to take into account sensitive sites such as schools, hospitals, and markets.
                          Installation of lighting at night must be done if this is necessary to ensure safe traffic circulation.
                          Place signs around the construction areas to facilitate traffic movement, provide directions to various components of the
                           works, and provide safety advice and warning.
                          Employing safe traffic control measures, including road/rivers/canal signs and flag persons to warn of dangerous
                          Avoid material transportation for construction during rush hour.
                          Signpost shall be installed appropriately in both water-ways and roads where necessary.
9. Interruption of        Provide information to affected households on working schedules as well as planned disruptions of water/power at least
   utility services        2 days in advance.
                          Any damages to existing utility systems of cable shall be reported to authorities and repaired as soon as possible.
10. Restoration of         Cleared areas such as disposal areas, site facilities, workers’ camps, stockpiles areas, working platforms and any
    affected areas             areas temporarily occupied during construction of the project works shall be restored using landscaping, adequate
                               drainage and revegetation.
                            Trees shall be planted at exposed land and on slopes to prevent or reduce land collapse and keep stability of slopes.
                            Soil contaminated with chemicals or hazardous substances shall be removed and transported and buried in waste

 ISSUES/RISKS                                                       MITIGATION MEASURE
                              disposal areas.
11. Worker and          Training workers on occupational safety regulations and provide sufficient protective clothing for workers in accordance
    public Safety        with applicable Vietnamese laws.
                     Install fences, barriers, dangerous warning/prohibition site around the construction area which showing potential danger
                         to public people.
                     The contractor shall provide safety measures as installation of fences, barriers warning signs, lighting system against
                         traffic accidents as well as other risk to people and sensitive areas.
                     If previous assessments indicate there could be unexploded ordnance (UXO), clearance must be done by qualified
                         personnel and as per detailed plans approved by the Construction Engineer.
12. Communication    the contractor shall coordinate with local authorities (leaders of local communes, leader of villages) for agreed schedules
    with local           of construction activities at areas nearby sensitive places or at sensitive times (e.g., religious festival days).
    communities      Copies in Vietnamese of these ECOPs and of other relevant environmental safeguard documents shall be made available
                         to local communities and to workers at the site.
                     Disseminate project information to affected parties (for example local authority, enterprises and affected households,
                         etc) through community meetings before construction commencement.
                     Provide a community relations contact from whom interested parties can receive information on site activities, project
                         status and project implementation results.
                     Inform local residents about construction and work schedules, interruption of services, traffic detour routes and
                         provisional bus routes, blasting and demolition, as appropriate.
                     Notification boards shall be erected at all construction sites providing information about the project, as well as contact
                         information about the site managers, environmental staff, health and safety staff, telephone numbers and other contact
                         information so that any affected people can have the channel to voice their concerns and suggestions.
13. Chance find     If the Contractor discovers archeological sites, historical sites, remains and objects, including graveyards and/or individual
    procedures      graves during excavation or construction, the Contractor shall:
                          Stop the construction activities in the area of the chance find;
                          Delineate the discovered site or area;
                          Secure the site to prevent any damage or loss of removable objects. In cases of removable antiquities or sensitive
                              remains, a night guard shall be arranged until the responsible local authorities or the Department of Culture and
                              Information takes over;
                          Notify the Construction Supervision Consultant who in turn will notify responsible local or national 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

ISSUES/RISKS                                              MITIGATION MEASURE
                   subsequent appropriate procedures. This would require a preliminary evaluation of the findings to be performed.
                   The significance and importance of the findings should be assessed according to the various criteria relevant to
                   cultural heritage; those include the aesthetic, historic, scientific or research, social and economic values;
                  Decisions on how to handle the finding shall be taken by the responsible authorities. This could include changes in
                   the layout (such as when finding an irremovable remain of cultural or archeological importance) conservation,
                   preservation, restoration and salvage;
                  If the cultural sites and/or relics are of high value and site preservation is recommended by the professionals and
                   required by the cultural relics authority, the Project’s Owner will need to make necessary design changes to
                   accommodate the request and preserve the site;
                  Decisions concerning the management of the finding shall be communicated in writing by relevant authorities;
                  Construction works could resume only after permission is granted from the responsible local authorities concerning
                   safeguard of the heritage.

                                       Part 2 – Contractor’s Workers Environmental Code of Conducts
                                                                                                                DO NOT
    FACILITIES                                                                      INSTRUCTION.
    THE END OF EACH DAY – use the waste bins provided and ensure that litter       POACH, INJURE, TRAP, FEED OR HARM ANY ANIMALS – this includes
    will not blow away.                                                             birds, frogs, snakes, etc.
    FROM CONTINUING.                                                               DRIVE RECKLESSLY OR ABOVE SPEED LIMIT
    CIGARETTES AND MATCHES CAREFULLY. (Littering is an offence.)                    STREAM
    IMMEDIATE WORK AREA.                                                           CUT TREES FOR ANY REASON OUTSIDE THE APPROVED
    PROCEDURES.                                                                    BUY ANY WILD ANIMALS FOR FOOD;
    WATER CHANNELS.                                                                 PAINTS, ASBESTOS, ETC.;
    HAND IF ANY “HOT WORK” IS UNDERTAKEN e.g. welding, grinding, gas                VALUE
    cutting etc.                                                                   USE OF FIREARMS (EXCEPT AUTHORIZED SECURITY GUARDS)
   DRIVE ON DESIGNATED ROUTES ONLY.                                               WASH CARS OR MACHINERY IN STREAMS OR CREEK
                                                                                    AND EQUIPMENT OUTSIDE AUTHORIZED AREAS
                                                                                   DISPOSE TRASH IN UNAUTHORIZED PLACES
                                                                                   HAVE CAGED WILD ANIMALS (ESPECIALLY BIRDS) IN CAMPS
                                                                                   WORK WITHOUT SAFETY EQUIPMENT (INCLUDING BOOTS AND
                                                                                   CREATE NUISANCES AND DISTURBANCES IN OR NEAR
                                                                                   USE RIVERS AND STREAMS FOR WASHING CLOTHES
                                                                                    DISPOSE INDISCRIMINATELY RUBBISH OR CONSTRUCTION
                                                                                    WASTES OR RUBBLE
                                                                                   SPILL POTENTIAL POLLUTANTS, SUCH AS PETROLEUM PRODUCTS
                                                                                   COLLECT FIREWOOD
                                                                                   DO EXPLOSIVE AND CHEMICAL FISHING
                                                                                   USE LATRINES OUTSIDE THE DESIGNATED FACILITIES; AND
                                                                                   BURN WASTES AND/OR CLEARED VEGETATION.

      ECOP- Food Security, Biosecurity, Environmentally Sound Seed Production Farms (Hatchery)

                                                      QCVN 02-15: 2009/BNNPTNT
The objective of this Environmental Code of Practice (ECOP) is to establish the process and protocols for meaningful procedures to be followed at
newly constructed hatcheries to ensure production of disease free seeds in an environmentally sound manner, following the food security and
biosecurity principles.
Project siting:
     The hatchery should be located in area that is assigned to similar land use as per local land use master plan.
     The site should be located in a stable geological region with minimal evidence or potential for erosion or land slide.
     The hatchery location should be far from any developed area such as industries, chemical and food processing, or major residential areas.
     There should be a good access to the site for transport of products to the market.
     The site should have access to clean water and stable electricity power supply.
Equipments and tools management:
     Equipment and tools should be specialized for hatchery development and should be constructed of non-toxic and/or stainless Steel material.
     Farm houses, tanks, equipment and tools must be cleaned up and disinfected periodically and after each use. Cleaned tools should be dried
      and placed in dry place.
Waste and wastewater treatment:
     Wastewater discharged from hatcheries shall meet Vietnamese water quality standard TCVN 6986:2001 and other applicable regulations.
     Domestic wastewater must be treated to meet the TCVN 6772:2000 standards.
     Solid waste must be collected, classified as hazardous and non-hazardous, and placed in safe containers (covered, water-proofed containers).
      Waste bins should be located in areas with easy access by workers.
     Wastewater treatment tank must have cover and should be located away from production ponds and groundwater tanks to avoid cross
     Drainage and sewage pipes should be enclosed and be easy to be periodically cleaned.
     Capacity of wastewater treatment system should be designed based on production capacity of the farm.
     Storage areas should be divided into separate locations for storing feed, fertilizer, etc. The storage areas should be sealed to prevent attack
      from insects and vermin.
     Shelves should be at least at 0.3 m high.
     Fuel storage should be located away from water supply and ponds and should also be equipped with portable firefighting equipment.
Labor force:
     Equipped with relevant protective equipment such as goggles, gloves, protective cloth, hard hats, etc.

Raw materials:
    Feed material should meet hygiene standards.
    Only medicines, biological products, and chemicals that are used in feed production and are listed in the allowable list shall be used for
     feeding the hatchery larvae.
Water supply:
    It is necessary to have one of the following sources of water in the area:
       Tap water;
       Groundwater;
       Well water;
       Natural water from river or stream; or
       irrigation system with salinity levels below 5%.
    In coastal areas there is a need for availability of:
       Sea water;
       Ground water; or
       Wastewater from salt field with salinity higher than 5%
Water quality requirements:
                                      Parameter                                      Unit               Allowable limits     Allowable limits for
                                                                                                         for freshwater          saline water
   1    Salinity                                                                      ‰                        <5                     25
   2    pH                                                                                                   6.5-8.0                7.5-8.5
   3    Clarity                                                                      cm                        ≥ 30                   50
   4    Hardness (CaCO3)                                                                      500                   5
   5    DO                                                                                    5
   6    Concentration of nitrate at: + pH = 6.5 and temp. = 20 0C                             1.49
                                     + pH=8.0 and temp. = 200C                                0.93                   0.1
  7     Total Fe in Fe(OH)2 or Fe2(OH)3 form                                                  0,5        Other parameters must
  8     Nitrate (NO3-) concentration                                                           50        meet TCVN 5943-1995
  9     Hg                                                                                   0,002       (coastal water quality
  10    Total Coliforms                                                           MPN/100ml                     20        standard)
  11    Disease causing protozoa and parasites                                     Numbers                     Non
  12    Anaerobic bacteria                                                  10

Annex E - Guidance for Preparing EMP for Subprojects

                          EMP preparation
In the following section a short process and technical guidelines for the preparation of EMP reports for
subproject that will be proposed under components B and C are provided.
The EMP should be prepared at feasibility study stage for subprojects that are screened and are
determined that need subproject specific EIA and EMP. The EMP should include the required mitigation
measures for identified environmental impacts of the proposed subproject that should be implemented to
address the public concerns and identified impacts of the construction, implementation and operation of
the proposed subproject on both social and environmental aspects of the subproject. The EMP should be
included as a part of the contract document and the contractor should be clearly notified that he/she will
be responsible for implementation of all the mitigation activities identified in the EMP and relevant
ECOPs and make sure that he/she is well aware of all the safeguard obligations and make sure that he/she
is committed to comply with requirements of EMP and relevant ECOPs. The environmental supervisor
and the PPMU will be responsible for supervision and monitoring of safeguard performance of contractor.
The details of how to prepare a subproject specific EMP is provided as Appendix …

Guideline for preparation of EMP report for Subprojects
This appendix is prepared as a technical guideline to provide the environmental specialists with the tools
to prepare the EMP report for different subprojects that require EMP report for submission to the World
Bank. Since most subprojects will require water quality monitoring as a part of environmental monitoring
that should be included in the EMP, a guideline is provided in this appendix for water quality monitoring.
Public consultation and public disclosure are also required by the World Bank and are considered
mandatory. They must be conducted during preparation of subproject specific EMP and EIA/EPC (to be
submitted to the Vietnamese relevant authorities). A short write up is also provided in this appendix
regarding public consultation.
                                 EMP Table of Content and Outline
To assist the environmental specialist that is assigned to prepare EMP report for proposed subproject in 3,
the following table of content (TOC) with short description of each major section of TOC is provided in
this section. Environmental specialists should follow the format and fill the blanks according to the
subprojects effects on social and biophysical environment. The words in bold and italics fonts are what
should be included in the TOC, while the description and outline is provided in regular font.
Executive Summary
Every report should have an executive summary that should be prepared after completion of the EMP
report to highlight major issues covered in the report in a condensed version. It is a very important section
of the EMP since it is the part of the report that is read most often by decision makers and interested
parties. The consultant should make every effort to keep the executive summary short 2 to 3 pages for a
subproject specific EMPs).
Chapter 1: Introduction
In the introduction, the consultant should provide a brief description of the objectives of the EMP, the role
of EMP that is to summarize the environmental mitigation measures proposed in the subproject EIA
report, to present monitoring and institutional measures to be considered during project implementation
and operation to avoid or control adverse environmental impacts, and to recommend actions that are

believed to be necessary for implementation of proposed measures. It should also provide a description
of how it is related to the ESMF and the subproject as a whole.
Chapter 2: Policy, regulations, and institutional frameworks
2.1 GOV’s environmental regulations
Provide a brief description (preferably in bullet form) of GOV regulations related to subproject EIA and
standards that have been applied to the proposed subproject.
2.2 WB’s safeguard policy
List the WB safeguard policies that have been triggered by the proposed subproject.
Chapter 3: Project description
Provide a detailed, but to the point description of subproject including a location map showing the
location of subproject in relation of the project area as well as details at the subproject level so that the
reader who is not familiar with the project to have a better understanding of the subproject. It is important
to recognize that EMP is a stand-alone report and should be self contained.
Chapter 4: Environmental background (Baseline data)
Provide significant information on the environmental background of the subproject as well as its relation
to the main project. Provide clear data on topography, water resources (surface and groundwater), soil
types, water flow direction, water quality, pollution level, vegetative cover, etc. It is also important to
provide a brief description of socioeconomic status in the subproject area and whether there are any ethnic
minorities who might be affected by the subproject activities.
Chapter 5: Potential impacts and mitigation measures
Using results of the completed safeguard screening checklist (Appendix 1) for the sub-project, identify
the potential positive and negative impacts of the subproject on biophysical and social environment and
state the appropriate mitigation measures. The impacts should be identified and subdivided for pre-
construction, construction, and implementation/operation stages. Using a ranking matrix should assist the
preparer of the report and the reader to better understand the relationship and relevance of the impacts and
proposed mitigation measures for minimizing/preventing the effects of subproject activities on the
Chapter 6: EMP
Describe in some detail the mitigation plan to be implemented. The proposed EMP should include as a
minimum, the mitigation measures to be implemented during different phases of the subproject
development (pre-construction, construction and implementation/operation). Details of relevant ECOP
and water quality monitoring should be provided as an annex to the EMP report, but should not be
included in the main text. In projects where any dredging is anticipated, the EMP should also describe
measures that should be considered to minimize impacts, especially on water bodies. The EMP should
also clearly indicate the impacts, proposed mitigation measures, who will be assigned to implement the
proposed mitigation or monitoring activities and who will be responsible to ensure the proposed
mitigation and/monitoring activities are actually implemented (responsible agency). It is best to provide
this information in a tabular form. A typical table formats for this section is provided below:
Environmental      Potential   Mitigation   Implementer   Responsible   Monitoring   Monitoring    Monitoring    Budget
issues             impacts     measures                   agency        location     indicators/   frequencies   VND
Water quality
Water turbidity

Water quality
Water turbidity
Water quality
Water turbidity

Chapter 7: Implementation arrangement and training needs
In this chapter, the responsibilities and the required capacity of the responsible agency to carry out the
EMP activities should e clearly stated. If current capacity of the institutions identified for carrying out the
EMP related activities or the responsible authority are not adequate for full implementation of the
proposed mitigation and monitoring measures in the EMP, the training needs should be clearly identified
and the cost tables for training programs should be provided as well as implementation schedule and the
process to ensure EMP activities are fully integrated into subproject activities. It is important to state in
this section which ECOPs should be used by the contractor and ensure that they are included in the
bidding documents of the contractor(s).
Chapter 8: Consultation and information disclosure
In this chapter, a summary of consultation activities with relation to the EMP at subproject level with
stakeholders and affected people should be provided, preferably in tabular form. The table should also
include a column to indicate the concerns raised, if any, and the responses to address the issues raised.
The dates and locations where the EMP will be disclosed should also be provided in this chapter.
It is recommended that the following table is presented in EMP to summarise the results of public
Summary of Public consultation on Draft EMP
Date and time    Location      Issues/concerns/suggestions raised      section of EMP responded

A list of people participating in consultation meeting should be annexed to the EMP.
Chapter 9: Summary and Suggestions
In this chapter the findings of the EMP should be summarized, the cost of EMP related activities,
including the training cost should be stated, and indications should be provided on whether the proposed
EMP is responsive and can fully mitigate the identified subproject related impacts as well as the
environmental concerns raised by the public.

                 Annex F - Draft TOR for Environmental Specialist

The Government of Vietnam has requested World Bank financing of the Vietnam Coastal Resources
Sustainable Development (CRSD) Project that comprises of four components: Component A:
Institutional capacity strengthening for sustainable coastal resources management, Component B: Good
Practices for Sustainable Aquaculture, Component C: Sustainable management of near-shore capture
fisheries, Component D: Project Management, Monitoring and Evaluation. The Project covers eight
provinces including Thanh Hoa, Nghe An, Ha Tinh, Phu Yen, Binh Dinh, Khanh Hoa, Soc Trang and Ca
Mau provinces. The executing agency at central level will be the Ministry of Agriculture and Rural
Development (MARD). Provincial DARD in the eight project provinces will be the implementing
agencies at provincial levels.
These terms of reference (TOR) relate to consulting services aimed at helping the Government to meet the
environmental management needs of the CRSD Project. A national Environment Specialist will be
recruited on the basis of consultant’s qualifications (CQ) to carry out the consulting services described in
these TOR.
At central level, the principal executing agency for CRSD is the Ministry of Agriculture and Rural
Development (MARD). MARD designated its Project Coordination Unit (PCU) to manage project
implementation. At provincial levels, the project will be executed by Provincial Project Management
Units (PPMUs).
The project is rated as an environmental category B and triggers the World Bank’s policies on
Environmental Assessment (OP 4.01). An Environmental and Social Management Framework has been
prepared and adopted by MARD. The project’s potential adverse environmental impacts will be mitigated
through implementation of standard Environmental Code of Practices (ECOPs) and/or subproject-specific
Environmental Management Plans (EMPs), prepared in accordance with OP 4.01. PPMUs are responsible
for monitoring environmental compliance for the progress reports to be submitted to the World Bank.
    1. Objective and Scope
The services of a national Environment Specialist are required to assist PCU/PPMUs ensure that activities
under CRSD fully comply with the World Bank’s environmental policy and that all subproject activities
are carried out in accordance with the guidelines developed in the approved ESMF/EA reports and any
corresponding EMPs.
    2. Methodology
The national Environment Specialist will be required to make frequent, needs-based site visits to the
project provinces. The Environment Specialist will report to the PCU Director.
The duties of the national Environment Specialist include the following:
    Within one month from mobilization, prepare and submit a detailed Inception Report for all aspects
     of the consulting assignment for approval. The Inception Report should also include a proposed
     detailed environmental training and capacity building program covering both subproject preparation
     and implementation.
    Based on Vietnamese Red book, carry out screening for the presence of rare/endangered/Vulnerable
     species in co-management models. Coordinate with provincial DONREs to develop a management
     plan if a R/E/V has been identified in project area
    Prepare environmental training materials and conduct the proposed environmental training
     programs for CPU, PPMUs, and Environmental Safeguard Contractors.

     Assist/Supervise the preparation of appropriate environmental reports (EIAs and EMPs) for
      subprojects to be implemented under CRSD as required and to meet Vietnamese environmental
      management requirements and the World Bank’s environmental safeguarding policies;
     If necessary prepare environmental reviews of technical design modifications and revise the
      subproject EMPs for approval;
     Provide assistance to the Environmental Safeguard officer at PPMUs in:
        -     Designing and establishing environmental monitoring database information and reporting
              system for NDMP;
        -     Designing environmental reporting structures and formats, including environmental
              mitigation compliance monitoring report formats and reporting procedures
     Supervise and provide technical assistance to PCU/PPMUs and Environmental safeguard officers in
      the implementation of EMF/sub-project EMPs;
     Prepare and submit the construction phase subproject environmental management reports (annual)
      for review and approval; and
     Prepare a final report and submit to PCU prior to completion of consulting service

     3. Qualifications

The consultant is expected to possess the needed knowledge, proven in previous projects to:
a) Assess environmental and aquatic biodiversity & nature conservation values in Vietnam,
b) Have experience in EMP preparation and supervision
The consultant is expected to be proficient in written and spoken English. The successful execution of the
tasks requires timely delivery of the expected deliverables.

     4. Duration

A selected Environmental Specialist will be recruited for a period of around 24. This duration may be
reduced or extended depending on satisfactory performance and the actual progress of the project.

TOR for Construction Supervision Consultant (CSC)
In order to prevent harm and nuisances on local communities, and to minimize the impacts on the
environment during the construction of the civil works under the CRSD, Environmental Code of Practices
(ECOPs) and subproject EMP (if available) have been prepared and should be adhered to the Contractors
and his employees.
The Construction Supervision Consultant is to provide professional technical services (“the Services”) to
help ensure effective implementation of the ECOP and subproject EMPs.
Scope of Services:
The general services to be provided by the CSC are to inspect, monitor the construction activities to
ensure that mitigation measures adopted in the ECOPs/EMP are properly implemented, and that the
negative environmental impacts of the project are minimized.
On behalf of the PPMU, the CSC will conduct the following tasks:
-   Conduct regular site inspections;
-   Review the status of implementation of environmental protection measures against the EMP and
    contract documents;
-   Review the effectiveness of environmental mitigation measures and project environmental
-   As needed, review the environmental acceptability of the construction methodology (both temporary
    and permanent works), relevant design plans and submissions. Where necessary, the CSC shall seek
    and recommend the least environmental impact alternative in consultation with the designer, the
    Contractor(s), and PMU;
-   Verify the investigation results of any non-compliance of the environmental quality performance and
    the effectiveness of corrective measures; and
-   Provide regular feedback audit results to the contractor’s Chief Engineer according to the procedures
    of non-compliance in the EMP;
-   Instruct the Contractor(s) to take remedial actions within a specified timeframe, and carry out
    additional monitoring, if required, according to the contractual requirements and procedures in the
    event of non-compliances or complaints;
-   Instruct the Contractor(s) to take actions to reduce impacts and follow the required EMP procedures
    in case of non-compliance / discrepancies identified;
-   Instruct the Contractor(s) to stop activities which generate adverse impacts, and/or when the
    Contractor(s) fails to implement the EMP requirements / remedial actions.
-   For contracts that Site Environmental Management Plan (SEMP) are required, the CSC shall
    provide the final review and recommend clearance of all Site Environmental plans which may affect
    the environment. These include, but are not limited to: dredging areas, borrow pits and disposal sites,
    worker’s camp plans. The CSC will review and approve the SEMP presented by the Contractors.
    Where these plans are found not to comply with the EMP, EIA or RAP, the SES shall work with the
    PPMU and Contractor to establish a suitable solution.
-   Addressing Complaints: Complaints will be received by the Contractor’s Site Office from local
    residents with regard to environmental infractions such as noise, dust, traffic safety, etc. The
    Contractor’s Chief Engineer or his deputy, and the CSC shall be responsible for processing,
    addressing or reaching solutions for complaints brought to them. The CSC shall be provided with a
    copy of these complaints and shall confirm that they are properly addressed by the Contractors in the
    same manner as incidents identified during site inspections.
-   Certification for Monthly Payments: The CSC shall confirm the monthly payments for
    environmentally related activities implemented by the Contractor.
-   Reporting: the CSC shall prepare the following written reports:

o   Bi-weekly report of non-compliance issues
o   Summary monthly report covering key issues and findings from reviewing and
    supervision activities
o   At the end of the project the CSC shall prepare a final report summarizing the key
    findings from their work, the number of infringements, resolutions, etc. as well as advice
    and guidance for how such assignments should be conducted in the future.

                       Draft TOR for Strategic Environmental Assessment
                          for integrated planning in coastal provinces

Objective: To conduct a rapid impact-centered strategic environmental assessment (SEA) on the
sustainable coastal integrated planning (focusing on fishery resources) of eight provinces including Thanh
Hoa, Nghe An, Ha Tinh, Binh Dinh, Phu Yen, Khanh Hoa, Soc Trang and Ca Mau, and provide guidance
on environmental considerations that the appraisal committee takes into account when reviewing and
approving the provincial plans for future inclusion in the National Fishery Sector Master Plan.


The Government of Vietnam requested the World Bank to finance 100 millions USD for the
implementation of the Coastal Resource for Sustainable Development Project (CRSDP). The objective is
to improve the sustainable management of coastal fisheries in selected coastal provinces of Vietnam. The
CRSDP comprises of four components, including: (i) Component A: Institutional capacity strengthening
for sustainable fisheries management; (ii) Component B: Good practices for a sustainable aquaculture;
(iii) Component C: Sustainable management of near-shore capture fisheries; and (iv) Component D:
Project Management, Monitoring and Evaluation.

Under Component A, the Project will support the project provinces to prepare integrated spatial planning
(ISP) of coastal resources that supports the fisheries sector. ISP is a practical approach to manage both
conflicts and compatibilities in the marine environment in the face of both increasing development
pressures and increasing interest in the sustainable use and conservation of nature. It is a public process of
analyzing and allocating the spatial and temporal distribution of human activities in marine areas to
achieve ecological, economic, and social objectives. ISP does not lead to a one-time plan. It is a
continuing, iterative process that learns and adapts over time. ISP is not a substitute for the sector’s
planning. Strategic plans for fisheries will continue even when ISP is put into practice. ISP will be carried
out for all coastal areas of the project provinces under the CRSD. Effective ISP is characterized by the
     Ecosystem-based: balancing ecological, economic, and social goals and objectives toward
         sustainable development
     Integrated: across sectors and agencies, and among levels of government
     Place-based: area-based
     Adaptive: capable of learning from experience
     Strategic and anticipatory: focused on the long term
     Participatory: stakeholders actively involved in the process

In parallel with the ISP, the project provinces would also carry out Strategic Environmental Assessment
(SEA) for the fisheries sector at the provincial level. The results from ISP and SEA would provide
recommendations for fine-tuning the present Sector’s Master Plan for the next period (to 2020).

In this context, the World Bank has agreed to assist the project provinces to conduct a rapid impact-
centered SEA that would inform the development of the fishery sector Master Plan. Completion of work
entails reflection of the main SEA recommendations in the preliminary versions of the national Master
Plan and guidance for planning, as well as incorporation of the recommendations into the specific
provincial plans.

Strategic Environmental Assessment
An impact-centered SEA (hereon referred to as SEA) done on a subset of provincial fishery sector plans
can assist the project provinces to develop a fishery sector master plan that takes into account key
environmental sustainability considerations. The SEA can assist the provinces to identify measures to

mitigate potential negative environmental impacts and enhance positive ones. The SEA will combine
analytical and participatory approaches for mainstreaming and up-streaming measures for mitigating
potential environmental impacts into the planning process. The objective of the participatory component
of the SEA will be to generate inputs from varied stakeholders on what are key environmental
considerations and build agreement on (i) the potential impacts of the provincial plans, (ii) appropriate
measures for addressing these impacts at the provincial level, and (iii) the modalities for transferring these
insights into the national Fishery Master Plan. The analytical component of the SEA would also help
identify the key environmental considerations and the potential impacts, examine alternative ways of
meeting specific objectives of the plan that avoid or reduce the potential environmental impacts and
identify the appropriate mitigation measures given existing institutional capacity and economic
conditions. This consultancy will lead and guide a process known as a rapid impact-centered SEA

The focus of the SEA will be the sustainable fishery sector development and management program
embodied within eight Provincial Fishery Protection and Development plans. Based on the environmental
considerations identified through the SEA at the provincial level, the consultants will provide guidance on
environmental considerations that the appraisal committee should take into account when reviewing and
approving provincial plans for inclusion in the National Fishery Sector Master Plan. The guidance and
information on key environmental considerations will also be transmitted to provincial DARD staff
responsible for planning the fishery sector. To build the needed capacity to carry out this work, the
consultancy will include a training component. The consultancy will include the first three phases of the
SEA (see Box 1) and recommendations for how the fourth phase could be implemented.

        Box 1: Four stages of an SEA
        1) Establishing the Context for the SEA

        2) Implementing the SEA


        3) Informing and influencing decision-making

                          city building for the long-term
        4) Monitoring and Evaluating

                          lementation of SEA recommendations and measures

Scope of Work

The term consultant will be used to refer to the consultancy team involved in carrying out the SEA. The
consultant will work with the PPMU to create a taskforce that supports the SEA work. The taskforce will
be composed of a member of the SEA consultancy team, a staff person from MARD, relevant staff
persons from DARD. Other development partners (e.g., members of non-governmental organizations or
donor organizations) would be welcome to join. The primary responsibility of the taskforce will be to
exchange information on the major elements of the SEA, coordinate activities, and work together to
integrate the main findings of the SEA into the finalization of the Fishery Master Plan (2020). Once the
taskforce is created, the consultant, in coordination with MARD, will formally launch the SEA.

As this is a rapid SEA, throughout the process the consultant will largely draw on prior work done in the
relevant areas, data that has already been collected, and carry out targeted meetings and focused
consultations when soliciting inputs from key experts, and specific stakeholder groups. The consultant
may need to collect new or updated information in order to effectively carry out the work. The consultant
will obtain all the materials that have been collected to date from PPMUs.

The specific elements of the work will include:

    1. Establishing the Context for the SEA
      As part of this the consultant will:
     Conduct a rapid stakeholder analysis to identify who are the key stakeholders in government,
      private sector, academia, donor community and civil society for obtaining information and
      involving in validating the potential environmental impacts as well as the measures for mitigating
      these impacts. It will be important to know the power dynamics among these stakeholders to
      ensure that all stakeholders are comfortable providing their input.

    2) Implementing the SEA

Capacity building
    The first step for implementing the SEA will involve capacity building. Because of minimal
       existing capacity for SEA in the key ministries the team will prepare and carry out training for
       key staff in MARD at the national level and key staff from DARD in the applicable provinces.
       The training should draw upon materials from prior SEA training carried out in Vietnam for
       SEAs (in other sectors) and be developed in partnership with MONRE. The training should cover
       what a SEA is (distinguishing between institution-centered and impact-centered), and why it is
       useful to conduct an SEA, the steps of an impact-centered SEA, how to design and implement a
       feasible assessment, and how to effectively integrate the findings of the SEA into the relevant
    In addition, the MARD and DARD staff dedicated to the SEA work will develop necessary
       capacity through on the job training.
    The team should conduct a review of the content of the current (2010-2015) five-year provincial
       plans and the National Fishery Sector Master Plan (earlier relevant plans will also be considered),
       and other relevant plans to understand the scope of these plans, how they will be implemented,
       and the data on which they are based. The scoping exercise will also involve a rapid assessment
       to understand the environmental, social, economic and institutional situation at the provincial
       level and to also understand the institutional context at the national level with regard to the
       management of potential environmental impacts.
    This information would be used to develop a preliminary list of potential environmental impacts
       associated with these plans (please note that the environmental impacts of fishery activities may
       extend beyond fishery sector and influence agriculture, etc.. Accordingly, it will be important that
       the environmental considerations include issues of environmental services, water, and climate
       change). The preliminary list of potential impacts should be shared with the relevant stakeholders
       at the provincial level and national level for validation and revision.
    Scoping procedures and methods, such as matrices, overlays, and case comparisons can be used
       to establish cause-effect links among different specific plans. A detailed options review may be
       undertaken as part of the scoping process to clarify the environmental advantages and
       disadvantages of different potential courses of action
    This scoping work will involve using existing data and expert opinions.
    The scoping report will be shared with key stakeholders for their feedback and comments, plus
       there will be a half-day or one day meeting to discuss the findings of the scoping report and
       Outline the subsequent steps in the SEA process.

     Collect baseline (mostly secondary) quantitative data
     Collection of baseline data for a SEA extends beyond an inventory. The SEA needs to be based
      on a comprehensive understanding of the environmental systems (and associated social elements)
      that may be affected. Accordingly, attention needs to be paid to important ecological systems and
      services, their resilience and vulnerability, and the significance for human wellbeing.
     Existing measures and/or objectives both environmentally sensitive and non-environment related
      objectives) set out by relevant legislative instruments should also be reviewed. The baseline data
      should reflect the objectives and indicators emerging from the scoping process As there is a
      spatial component to forestry, it will be important to obtain information on the stock of natural
      assets (including critical habitats, and valued ecosystem components), and baseline information
      on appropriate indicators for the main types of environmental impacts anticipated. These
      indicators are important as they will also shape the counterfactual (or no-change scenario). The
      data must be obtained at the relevant scale so that potential impacts, costs associated with these
      impacts and existing systems in place for addressing the impacts can be ascertained and
      appropriate alternatives identified. The consultant will draw heavily on the data associated with
      the provincial plans as well as the data collected from the Fishery departments at central level.
      The consultant will use expert opinion and conduct agreed upon feasible primary data collection
      to effectively analyze the potential impacts and solutions.

Identify impacts and alternatives
     When considering impacts and alternatives, the range of options or variables under consideration
        should be defined based on the main transmission channels. It is important here to recognize that
        the transmission channels may be very complex, making consideration of a range for potential
        impacts critical. Also, indirect effects are of paramount importance in the assessment. For
        example, if a plan targets conversion of one forest land category to another, e.g., protection to
        production, this could have direct impacts on environmental services (e.g., flood prevention) and
        lead to potential indirect environmental impacts, stemming from the building of physical barriers
        for flood prevention. The consultants should therefore use approaches to frame the identification
        of potential impacts and alternatives: e.g., considering best versus worse case scenarios and using
        expert consideration to identify cumulative effects. The consultant will refine methods that are
        commonly used to determine potential environmental impacts of the provincial plans and
        alternatives for mitigating these impacts. The methods that will be refined for purposes of this
        SEA will include:
        different scenarios by which the objectives of the plans could be delivered)

        to or interact with other effects in a particular location and within a specific time. It is the
        combination of these effects, and any resulting environmental degradation, that is the focus of
        cumulative impact analysis, as these cumulative impacts can pose a serious threat to the
        The details of the approach used should be tailored to the issues at stake. Scenarios should also be
        used to identify and evaluate suitable options or alternatives. Cumulative impact analysis, similar
        to an analysis of direct or indirect impacts, would examine the potential environmental effects
        taking into account a broader range of effects. It also would take these effects into consideration
        when determining suitable alternatives or measures.
         As the plans also provide an indication of the costs associated with the plan, the alternatives
        should include cost estimations and capacity requirements to deliver on them, as well as
        recommendations on how to monitor the implementation of these alternatives. The consultants
        should draw upon available data, plus expert and stakeholder opinion to verify and validate
        impacts and feasible alternatives.

Identify opportunities and mitigation measures

        In this aspect of the SEA the consultant will work with stakeholders to identify possible
        opportunities associated with the plan to minimize any negative effects. The mitigation
        approaches considered for identified potential negative impacts should give priority to first
        avoiding them. If this is not possible then measures should be taken to reduce these impacts. If
        the negative impacts cannot be reduced or avoided then appropriate measures should be identified
        to offset the adverse impacts

        Using a workshop format, the consultant will present the potential impacts and proposed
        alternatives to key stakeholders at the provincial and national level. This purpose of this
        discussion will be to validate and refine the identified potential environmental impacts and
        possible ways of mitigating these impacts. The presentation will also be used to gain stakeholder
        support and assistance in identifying opportunities for mainstreaming these mitigation measures.

3) Informing and influencing decision-making

     This element of the SEA will involve activities done periodically during the SEA implementation
      by keeping the SEA taskforce informed on the work and key findings as they emerge. In addition
      the consultant will conduct targeted workshops and meetings involving the main stakeholders.
      The purposes of the workshops and meetings will include:
     Formal launch of SEA after the scoping work has been done to validate key environmental

      mitigation measures for inclusion in the provincial
     Fishery sector development plans (2020) - involving the provincial and national stakeholders
     Developing consensus on recommended guidance of the appraisal committee to use for reviewing
      and approving provincial plans that will be synthesized in the National Fishery Sector Master
      Plan and to identify opportunities for mainstreaming these recommendations. This workshop will
      also cover recommendations regarding capacity requirements and measures needed for MARD
      and DARD to be able to monitor the implementation of provincial plans against these
      environmental considerations (these recommendations should also consider cost elements). The
      purpose of this activity is to receive inputs and feedback from key stakeholder groups and
      mainstream environmental considerations into the National Forest Sector Master Plan. The
      purpose of this workshop would be to provide insights on the experience and refine the
      methodology for conducting SEAs associated with plans.

4) Monitoring and Evaluating
     It is anticipated that for this fourth stage of the consultant will make recommendations regarding
       what is required to enhance MARD and DARD’s capacity to monitor how the national and
       provincial plans are addressing the key environmental considerations and potential impacts
       identified by the SEA. These recommendations will be refined based on the inputs received
       during the workshop above.
    5) Reporting:
     The consultant will be responsible for periodically reporting on the progress of the activity to the
       key stakeholders identified for their information and feedback (preferably through briefs or
       meetings, etc.), in addition to production of the reports listed below.
    6) Expected Outputs and proposed dates
       All reports will be submitted to the DARD and World Bank with a copy to the SEA taskforce for
       comment by the proposed date. The comments and agreements will be addressed in a revised
       version of the report to be submitted two weeks after the comments are received (unless agreed
       otherwise) Report 1: Main findings of the scoping process and the assessments undertaken in the
       provinces regarding key environmental and considerations and how these have been taken into

   account in the draft plans (and where they have not been taken into account what the potential
   environmental impacts are). Report 2: Draft guidance on environmental considerations for the
   appraisal committee to take on board when reviewing and approving the provincial plans for
   inclusion in the National Fishery Sector Master Plan; Report 3: This report will document how
   the DARD provincial plans that were assessed and MARD National Master Plan have taken into
   account recommendations from the SEA work and how the key environmental and social
   considerations have been mainstreamed in the National Master Plan.
   Three Workshops/meetings (see section on informing and influencing decision-making)
7) Main government counterparts
   The main government counterpart for this activity will be Department of Fishery in MARD. The
   consultant will, however, involve staff from MONRE and ministries representing relevant sectors
   (e.g., infrastructure) and staff from DARD (for the relevant provinces).
8) Expected Outcomes

      Concrete guidance of the appraisal team that reviews and approves provincial plans for
   inclusion in the National Fishery Sector Master Plan

Appendix G - List of people interviewed

Name                      Institution                                                   Position
Mr. Nguyen Kim Phuong     DARD, Phu Yen                                                 Vice – Director
Mr. Ngo Dinh Thien        DARD, Phu Yen                                                 Deputy Director
Mr. Nguyen Minh Phat      DARD, Phu Yen                                                 Aquaculture
Mr. Ha Vien               DARD, Phu Yen                                                 Capture fishery
Dr. Thai Ngoc Chien       Research Institute for Aquaculture Number 3                   Head
Mr. Le Duy Tin            DONRE                                                         Environmental
Mr. Nguyen Quang Chau     Financial planning division, DARD                             Finance specialist
Mr. Nguyen Thai Toan      Construction management division, DARD                        Construction
Mr. Nguyen Thai Hai Anh   Economic Commission, Peoples’ Committee, Song Cau Town        Aquaculture
Mr. Nguyen Van Hai,       Project beneficiary                                           White leg shrimp
Mr. Nguyen Van Hao        DARD, Binh Dinh                                               Vice Director
Mr. Tran Van Vinh         Capture fisheries and Resource Management Project, DARD,      Sub-project secretary
                          Binh Dinh
Mr. Vo Dinh Tam           Aquaculture division, DARD, Binh Dinh                         Chair
Mr. Nguyen Thanh Tri      Peoples’ committee of Cat Khanh Commune, Binh Dinh            Chair
Mr. Nguyen Kim Can        Peoples’ committee of Cat Khanh Commune, Binh Dinh            Vice-Secretary
Nguyen Thi Lien           DARD, Binh Dinh                                               Aquaculture
Mr. Dinh Cong Nghia       Land Management Division, DONRE, Binh Dinh                    Deputy-Head
Ms. Le Thuy Duong         DONRE, Binh Dinh                                              Environmental
Mrs. Quach Thanh Son      Construction management sub-Department, DARD, Khanh Hoa       Director
Mrs. Ngo Duy Nang         Nhatrang Aquaculture station, DARD, Khanh Hoa                 Head
Mr. Le Bao Trung          Construction management sub-Department, DARD, Khanh Hoa       Construction
Dr. Hua Ngoc Phuc         Research Institute for Aquaculture No. 3, Khanh Hoa           Aquaculture
Mrs. Dao Cong Thien       DARD, Khanh Hoa                                               Director
Ms. Le Thi Thu Hong       DONRE, Khanh Hoa                                              Vice-Director
Mr. Le Anh Dung           DARD, Thanh Hoa                                               Vice-Director
Mr. Nguyễn Quang Thái     Environmental protection sub-department, DONRE, Thanh Hoa     Head
Mr. Cao Thanh Tho         Aquaculture Subdepartment, DARD, Thanh Hoa,                   Head
Mr. Nguyen Duc Cuong      Capture Fisheries and Aquatic Resource Protection, DARD,      Head
                          Thanh Hoa
Mr. Le Duc Giang          Capture Fisheries and Aquatic Resource Protection, DARD,      Vice-head
                          Thanh Hoa
Ms. Hoang Yen             Planning department, DARD, Thanh Hoa                          Vice-head
Mr. Vu Van Ha             Agricultural extension department, DARD, Thanh Hoa            Vice-director
Mr. Trang Trong Trang     PMU, Agriculture, forestry and Fisheries, Thanh Hoa           Director
Mr. Nguyen Trong Dung     Construction management sub-division, DARD, Thanh Hoa         Staff member
Mr. Le Van Sang           Capture fisheries and aquaculture sub-division, DARD, Thanh   Staff member
Ms. Nguyen Thi Thanh      Capture fisheries and aquaculture sub-division, DARD, Thanh   Staff member
Huong                     Hoa

Name                    Institution                                                    Position
Mr. Bui Xuan Ha         Aquaculture sub-department, DARD, Thanh Hoa                    Staff member
Ms. Bach Phuong Lien    Vietnam Academy of water resources, Hanoi                      Interpreter
Mr. Le Anh Dung         DARD, Thanh Hoa                                                Vice – Director
Mr. Cao Thanh Tho       Aquaculture Sub-department, DARD, Thanh Hoa                    Head
Mr. Le Duc Giang        Capture fishery fisheries and aquatic resources protection ,   Vice-head
                        DARD, Thanh Hoa
Mr. Nguyen Trong Dung   Construction Management sub-Department, DARD, Thanh Hoa        Vice-head
Mr. Vu Van Ha           Agricultural extension center, DARD, Thanh Hoa                 Vice-Director
Mr. Pham Ba Oai         Hoang Hoa DPC, Thanh Hoa                                       Chairman
Mr. Nguyen Dinh Tuy     Hoang Hoa DPC, Thanh Hoa                                       Vice-chairman
Mr. Nguyen Van Loi      Agricultural unit of Hoang Hoa DPC, Thanh Hoa                  Head
Mr. Nguyen Huu Dung     Agricultural unit of Hoang Hoa DPC, Thanh Hoa                  Vice-head
Mr. Le Van Hiep         Agricultural unit of Hoang Hoa DPC, Thanh Hoa                  Staff member
Mr. Cao Van Son         Hoang Chau CPC, Thanh Hoa                                      Chairman
Mr. Le Dinh Son         Hoang Chau CPC, Thanh Hoa                                      Staff member
Mr. Le Van Hanh         Hoang Chau CPC, Thanh Hoa                                      Fisheries specialist
Mr. Le Van Dung         Hoang Chau CPC, Thanh Hoa                                      Chairman
Mr. Nguyen Thanh Binh   Hoang Chau CPC, Thanh Hoa                                      Vice-chairman
Mr. Le Thanh Liem       Hoang Chau DPC, Thanh Hoa                                      Head
Mr. Nguyen Van Canh     DARD, Thanh Hoa                                                Fisheries specialist
Mr. Bui Dinh Cam        Nga Son DPC, Thanh Hoa                                         Chairman
Mr. Nguyen Van Phung    Nga Son DPC, Thanh Hoa                                         Head of Agriculture
Mr. Trinh Ngoc Nien     Nga Son DPC, Thanh Hoa                                         Staff member
Mr. Mai Xuan Tac        DARD, Thanh Hoa                                                Fisheries specialist
Mr. Bang                Ca Mau DARD                                                    Deputy Director
Mr. Le Quoc Hieu,       Ca Mau Environmental Protection Department                     Deputy Director
Mr. Sy                  Ca Mau Department of Fishery Resource Exploitation and         Director
Mr. Thong               PPMU no.3                                                      Consultant
                        Deputy Director, Song Doc landing stage
Mr Hung                 Ca Mau DARD                                                    Technician
Mr Binh
Mr. Tung,               Soc Trang Provincial Environmental Protection Department       Director

Mr. Nhat                Soc Trang Provincial Environmental Monitoring Centre           Director
Mr Lu Tan Hoa           Department of Fishery Resource Exploitation and Protection
Mr. Ly Dai Luong        Soc Trang Agricultural Extension centre
Mr Tran Hoang Dung      Department of fishery resource exploitation and protection
Mr. Thieu Quang Duc     Soc Trang PPMU


To top