INTEGRATED SAFEGUARDS DATASHEET
                           APPRAISAL STAGE

I. Basic Information
Date prepared/updated: 01/27/2012                                   Report No.: AC6627
1. Basic Project Data
Country: Vietnam                              Project ID: P113904
Project Name: Mekong Delta Region Urban Upgrading Project
Task Team Leader: Andre A. Bald
Estimated Appraisal Date: January 11,         Estimated Board Date: March 22, 2012
Managing Unit: EASVS                          Lending Instrument: Specific Investment
Sector: General water, sanitation and flood protection sector (40%);General
transportation sector (40%);Sub-national government administration (20%)
Theme: Urban services and housing for the poor (67%);Participation and civic
engagement (33%)
IBRD Amount (US$m.):             0
IDA Amount (US$m.):            292
GEF Amount (US$m.):              0
PCF Amount (US$m.):              0
Other financing amounts by source:
         BORROWER/RECIPIENT                                             90.00
         Local Communities                                              10.00
Environmental Category: B - Partial Assessment
Simplified Processing                         Simple []           Repeater []
Is this project processed under OP 8.50 (Emergency Recovery)
                                                                    Yes [ ]    No [X]
or OP 8.00 (Rapid Response to Crises and Emergencies)

2. Project Objectives
1. The Project Development Objective is to improve infrastructure services in Low
Income Areas in the Project Cities in the Mekong Delta Region.

3. Project Description
Mau, Rach Gia, and Tra Vinh) and the Ministry of Construction (MoC). Each city has
four components (see below) while the MoC has one.

 Component 1 – Tertiary Infrastructure Upgrading in Low Income Areas

  3. Component 1 includes provision of support to upgrade tertiary infrastructure in Low
Income Areas including: (a) construction, rehabilitation, and upgrading of roads and
lanes; (b) construction and rehabilitation of drains; (c) improvements to environmental
sanitation by rehabilitating or constructing public sewers, fostering the construction of
septic tanks, providing access to septic management services, and house connections to
public sewers; (d) improvement of water supply including the installation of metered
house connections; (e) provision of metered house connections for electricity and public
lighting in residential lanes and streets; and (f) construction and rehabilitation of social
infrastructure facilities such as schools, markets, community halls, and green spaces.

 Component 2 – Supporting Primary and Secondary Infrastructure

 4. Component 2 includes Provision of support to improve primary and secondary
infrastructure serving and benefiting LIAs including: (a) roads; (b) water supply lines; (c)
drains and sewers; (d) electrical power lines; (e) river and canal embankments; and (f)
social infrastructure facilities such as schools, markets, community halls, and green

 Component 3 - Resettlement Sites

 5. Component 3 comprises provision of support to prepare resettlement areas for
Affected Persons, including construction of tertiary, primary, and secondary
infrastructure. Eight resettlement sites with the total of 67.7 ha will be constructed for
all the six subprojects to accommodate the needs of about 2,288 relocated households
(see par. 33).

 Component 4 – Implementation Support and Project Management

 6. Component 4 activities will focus on Provision of support for Project implementation,
management, supervision, and monitoring and evaluation, including audits.

 7. The activities will focus on on (i.) implementation and project management support
to the cities’ project management units (PMUs), and (ii.) program quality assurance,
monitoring, and training for the MoC Management Division of Urban Development
Projects (MDUDP). The MDUDP will function as the Central Project Management Unit

  8. PMU Consultant Services: Robust packages of implementation and project
management support are required given the existing capacity of city PMUs, the
transaction intensive nature of the project, and the inherent complexity of multi-sector
urban infrastructure projects. Each city PMU will have a package of consultant services
that covers planning, detailed design, procurement support, construction supervision,
safeguards, financial management, and monitoring and evaluation. Additional services,
particularly for training and further community engagement, are expected. The
component will also cover expenses for related goods, equipment, trainings, and travel.

  9. CPMU Consultant Services: The CPMU will be responsible for overall quality
assurance and quality control, program monitoring and evaluation, and consolidated
program reporting. Responsibilities also include independent monitoring of
environmental management and resettlement practices; operations focused trainings and
technical assistance (for procurement, safeguards, financial management, etc), capacity
building for the six cities, and strengthening the community of practice between cities.
The CPMU will also be responsible for audits (financial and technical) for all cities, and
independent safeguard monitoring of Resettlement Action Plans and Ethnic Minority
Development Plans.

 Component 5 – Technical Assistance to the Ministry of Construction to Implement
NUUP and for Project Coordination

 10. Component 5 includes provision of support to MOC for: (a) development of a
national urban upgrading program; (b) designing an operational national urban database
on key urban indicators; (c) formulation of climate change adaptation strategies for
coastal cities particularly in the Mekong Delta Region; and (d) other support for Project
coordination and implementation.

4. Project Location and salient physical characteristics relevant to the safeguard
11.     All six cities are located in the Mekong Delta Region (MDR). The region is low
lying with land elevations of only a few decimeters above the water levels of the nearest
water bodies. Correspondingly, groundwater tables are high in the entire region. In all
project cities the ground consists mainly of alluvial sands and loams. As in all delta
environments, sedimentation and erosion occur naturally: sandbanks are formed within
river courses but their exact locations shift over time. Likewise, river banks are not
permanent but get eroded again. As a result of the flat topography, inundations after
heavy rains and the formation of stagnant water bodies occur naturally. Also, flooding is
a natural phenomenon in large parts of the delta and occurs mostly in a regular seasonal
pattern. The flow patterns of the rivers are influenced by the tidal regime, and periodic
high tides contribute to the flooding problems.

  12. Low Income Areas (LIAs) within the subproject cities are characterized by high
population densities and deficient, degraded or poorly maintained infrastructure and
social services. Many houses are sited around lakes and along canals and have very
limited access to water supply and sewerage connections; road access is generally poor,
too. Flooding occurs frequently due to low ground levels and inadequate drainage. Poor
sanitation facilities often result in the direct discharge of wastewater into nearby drains,
canals, rivers, or urban lakes without treatment, posing environmental and health risks.
High population densities inevitably put additional pressure on these areas that are
already lacking adequate infrastructure and services.

5. Environmental and Social Safeguards Specialists
   Ms Hoa Thi Mong Pham (EASVS)
   Mr Josefo Tuyor (EASPS)
6. Safeguard Policies Triggered                              Yes         No
Environmental Assessment (OP/BP 4.01)                         X
Natural Habitats (OP/BP 4.04)                                             X
Forests (OP/BP 4.36)                                                      X
Pest Management (OP 4.09)                                                 X
Physical Cultural Resources (OP/BP 4.11)                      X
Indigenous Peoples (OP/BP 4.10)                               X
Involuntary Resettlement (OP/BP 4.12)                         X
Safety of Dams (OP/BP 4.37)                                               X
Projects on International Waterways (OP/BP 7.50)              X
Projects in Disputed Areas (OP/BP 7.60)                                   X

II. Key Safeguard Policy Issues and Their Management
A. Summary of Key Safeguard Issues
1. Describe any safeguard issues and impacts associated with the proposed project.
Identify and describe any potential large scale, significant and/or irreversible impacts:
13.      The project interventions, which are primarily upgrading of existing tertiary
infrastructure and support to primary and secondary infrastructure, require only small-
scale earthworks. In accordance with OP 4.01, the six Project cities have prepared city-
specific environmental impact assessment (EIA) reports. The EIAs concluded that the
project will have mostly positive impacts but also some potentially negative
environmental and social impacts, mainly during construction and/or upgrading works
such as air, noise and water pollution, sediment deposition, generation of solid and
construction wastes, generation and disposal of dredged materials from dredging and
excavation, odors caused by materials dredged from canals and rivers, traffic disruption
and congestion, temporary losses to local businesses, damage to existing infrastructure
and public services, risks to public safety due to construction activities, occupational
health and safety and overburdened local authorities. These negative impacts are assessed
to be temporary, localized and manageable, limited only to the urban areas during the
construction phase and will not affect rural areas, forests, wetlands, nature reserves,
national parks, or coast lines. Permanent negative environmental impacts of the project
will be small and mainly limited to slight alterations to the banks of minor canals and the
elimination of small stagnant water bodies within urban areas. The latter is a deliberate
project intervention aimed at eliminating vector breeding grounds and thus improving
public health. Only along the Tien River in My Tho city, the banks of a major river will
be straightened over a length of several hundred meters but this will affect neither the
flow pattern of the river nor any downstream ecosystems. The project will not block,
shift, alter the flow patterns of, or otherwise impact on natural water bodies in any
significant way. Only at the Bun Xang Lake in Can Tho city, the natural conditions will
be altered by dredging the lake and constructing a sluice gate to enhance its functionality
as a rainwater retention basin for the city to reduce inundation hazards. The project has
been carefully designed to ensure that filling or drainage works in one area will not lead
to increased inundation hazards in adjacent areas.
  14. A review of linked or associated projects and ancillary facilities, which will not be
financed by the project, was undertaken as part of the EIA and due diligence work. Most
of the linked or associated projects are wastewater treatment systems to treat wastewater
collected from LIAs to be upgraded under the project. The ancillary facilities are mainly
city landfills, which will receive non-toxic dredged materials from the project, as well as
construction waste and solid waste from LIAs. Due diligence revealed that all landfills
are existing with the exception of An Xuyen landfill in Ca Mau City, which will be
expanded using local funds. All landfills have the required lining to prevent groundwater
contamination and leachate collection and treatment systems. They are also all covered
by EIAs reviewed and approved by DONRE/MONRE. For the expansion of An Xuyen
landfill, which will only receive about 4,000m3 of non-contaminated dredged materials
from the project, proper lining and leachate collection and treatment system are part of
the design. All landfills are incorporated into each of the city EMP as the disposal sites
for dredged materials and will be monitored accordingly during project implementation.
The wastewater treatment systems, which are financed by KfW and NORAD, are also
covered by EIAs which were reviewed and approved by MONRE, and reviewed by
Environmental Specialist commissioned by the funding agencies.

  15. OP 4.11 Physical Cultural Resources (PCR). In all the six cities Project cities a total
of 474 graves will need to be relocated. Consultation with all grave owners held during
preparation and planning confirmed that all project-affected persons agreed with the
proposed removal and compensation to be provided the relocation of grave sites. The
EMP includes measures on how to handle grave removals. The project implementation
will minimally impact nine pagodas in Can Tho, one inTra Vinh and two in My Tho
(mainly pieces of land, fences, yards and columns). The consultations conducted with the
pagoda owners provided them with information on the Project’s scope, adverse impacts,
and provisions for compensation measures. These will ensure compensation at full
replacement costs for all the affected pagodas. The Consultations found wide-spread
support by pagoda owners of the Project. Moreover, as there would be possibilities of
finding cultural or archeological relics during implementation, procedures are
incorporated into the standard environmental codes of practice, to be applied for the
project as needed.

  16. OP 7.50 on International Waterways is triggered as four of the six cities are located
on an international waterway. Two branches of the Mekong River split in Cambodia,
becoming the Song Tien River and the Song Hau River. The Song Tien River crosses
into Vietnam and runs through Cao Lanh, and splitting further into smaller branches
running through My Tho and Tra Vinh. The Song Hau River crosses into Vietnam and
runs through Can Tho. The project will upgrade, improve, or rehabilitate existing urban
schemes for storm-water drainage, wastewater sewerage, water supply, and canal
embankments. Given the general scope of work, the task team judges (i.) the project will
not adversely affect the quality and quantity of water flows to the other riparians and (ii.)
it will not be adversely affected by other riparian’s water use. Per paragraph 7 of OP
7.50, the Project is exempt to the Bank requiremen that the other riparian states be
notified of the projects.
  17. OP 4.12 Involuntary Resettlement is triggered for all six project cities, Ca Mau, Can
Tho, Cao Lanh, My tho, Tra Vinh and Rach Gia. During the preparation phase of the
proposed project’s technical options were carefully analyzed in all cities to minimize the
scope of land acquisition and its consequent impacts. A Resettlement Policy Framework
for the project and Resettlement Plans (RPs) for six cities were prepared to ensure that all
project-affected persons will restore their lost assets and improve or, at least restore their
livelihoods to pre-project levels. Planning mitigation measures have paid attention as to
ensure compensation and income restoration to displaced people (DPs) will improve
their living conditions, specially for the poor.

 18. The elaboration of the RPs involved the collection of qualitative and quantitative
information through: (i.) inventory of losses; (ii.) survey of replacement costs; (iii.)
socio-economic survey of affected households, and (iv.) qualitative information gathered
during consultations. Consultations undertaken during project preparation with project-
affected persons were well attended and representative. Project-affected persons’
recommendations and perceptions were incorporated as part of the RPs, reaching
agreements on the project’s intervention scope, proposed components, and proposed
compensation and rehabilitations measures for project’s impacts. The project will
establish independent land valuation expertise, responding to a shared concern among
affected people which is to ensure adequate land replacement costs, for all cases of
subprojects interventions. Activities proposed as part of the livelihood restoration
strategy for poor and vulnerable affected persons included women-headed households
with dependents, ethnic minorities (EMs) and people under the government preferred
social policy. All RPs have been disclosed before appraisal, among the project- affected

  19. A summary of the RP shows:
  (a) in Ca Mau, about 16.3ha of land will be acquired, including 7.6 ha of residential land
and 8.7 ha of agricultural land, affecting 3,180 households or 14,628 persons, and 715
HHs to be relocated,
  (b) in CanTho, about 15.7 ha of land will be acquired including 3.3 ha of residential and
12.3 ha of agricultural land, affecting 2,916 households or 11,070 persons and 133 HHs
to be relocated,
  (c) in Cao Lanh, about 33.1ha with 8.6 ha of residential land and 15.8 ha of agricultural
land will be acquired, affecting 2,333 households 10,499 persons and 324 HHs to be
  (d) in MyTho, about 8 ha of land to be acquired with 2.8 ha of residential land and 4 ha
of agricultural land, affecting 2,077 households or 9,463 persons with 287 HHs to be
  (e) in TraVinh, about 6.2 ha will be acquired with 1.5 ha of residential and 4.5 ha of
agricultural land, affecting 1,821 households or 7,108 persons and 126 HHs to be
  (f) in RachGia, about 31.6 ha with 10.6 ha of residential and 20.2 ha of agricultural land
will be acquired, affecting 2,507 households or 11,833 persons with 703 HHs to be
 20. A total of about 111 ha of land will be acquired for the whole project, including
35.4 ha of residential land and 65.5 ha of agricultural land, affecting 14,834 households
(or 64,601 people) with 2,288 households to be relocated.

 21. OP 4.10 Indigenous Peoples. Preliminary screening of the proposed project
confirmed that the project includes ethnic minority populations who identify themselves
as members of a distinct indigenous (referred to as Ethnic Minority in Vietnam) Khmer
cultural groups, who speak their own language, and with customary organizations. The
social assessment (SA) confirmed Khmer minority people (living in four out of the six
project cities) and determined the appropriate level of consultations to be held among
EMs for the proposed project.

 22. As outlined in the SA TraVinh city has the largest number of Khmer people among
the four cities, with affected EMs totaling 501 households, or 2,413 persons - followed
by CanTho (359 HHs with 1,836 persons), CaMau (138 HHs with 713 persons) and
RachGia (61HHs with 305 persons). Four Ethnic Minority Development Plan (EMDPs)
were prepared for the four cities respectively to ensure proposed projects’ impacts are
mitigated, compensated, and benefits enhanced. The project carried out consultations
with affected EMs and key stakeholders to ensure the project’s decision making
mechanisms (such as Community Upgrading Plans) enabled EMs to express their
preferences. Free, prior and informed consultations were conducted and confirmed the
EM’s broad community support o the project. Further support is required to strengthen
the institutional capacities to implement the EMDPs. EMDPs budget will assure
proposed activities are adequately funded. During the project design the scope and
number of EMs affected by the project’ land acquisition was examined and with
considerations to minimize impacts. The project RPs carefully evaluated technical
options to reduce impacts, although certain impacts are unavoidable.

 23. According to the RPs the numbers of affected EMs households are summarized as
 (a) in Tra Vinh, 195 ethnic minority households will be affected by project land
acquisition and 14 of them will be relocated.
 (b) In Can Tho, 77 households will be affected, and 2 to be relocated.
 (c) in CaMau, 48 Khmer households will be affected and 11 households to be relocated.
(d) Rach Gia will affect 35 household without physical relocation.

  24. The RPs include measures to mitigate the impacts and assist EMs to fully restore
their lost assets and livelihoods. Special attention was given to ensure benefits to EMs
from the project intervention. All relocated households will be provided land-based
resettlements, and RPs defined special income restoration and development strategies for
ethnic minority peoples.

 25. EMDPs were disclosed before project’s appraisal in a culturally appropriate manner
and are accessible to EM peoples.
2. Describe any potential indirect and/or long term impacts due to anticipated future
activities in the project area:
26. There will be no negative indirect or long-term impacts from the project due to
anticipated future activities in the project area. Long-term impacts are mostly positive
particularly the improvement of living conditions, environmental conditions and
infrastructure services in the project cities, and particularly in the LIAs affected by the
project. Key positive impacts of the project include reduction in traffic congestions and
traffic-related accidents, improved water supply, improved capacity of the drainage
system, collection and treatment of wastewater and solid waste, and sanitation conditions,
improved quality of waterways and improved living conditions of LIAs, among others.

3. Describe any project alternatives (if relevant) considered to help avoid or minimize
adverse impacts.
27. Various alternatives were considered to avoid or/and minimize adverse
environmental and social impacts. The EIAs presented a brief analysis of a theoretical
“without project” case, clearly demonstrating the benefits of the project. In the course of
the feasibility study and EIA preparation, a more detailed analysis of alternatives was
undertaken – where appropriate – for some subcomponents, considering a combination of
technical, economic, environmental, and social criteria. The city EIA studies considered
different alternatives for a number of subprojects under the three physical components,
such as covered versus open drains, different embankment solutions for canal
improvements (vertical walls or sloped and vegetated banks), options for the transport of
bulk materials (trucks or barges), alternatives for resettlement (on-site or off-site in new
resettlement areas), and different wastewater treatment technologies for the resettlement
sites. These alternatives were analyzed using environmental and social, as well as
technical and economic criteria, and the optimal alternative in terms of minimizing and /
or mitigating negative impacts on the local communities. In the same manner, regarding
potential adverse impacts as a result of land acquisition, different technical options were
analyzed and priority assigned to the ones affecting the least. This Project adapts flexible
standards to optimize coverage, reduce resettlement needs and project costs, and better
reflect community preferences. This approach is more cost effective, has fewer negative
environmental and social impacts, and is a more economic means to service the urban
poor. By adopting this approach, the cities reduced estimated concept stage resettlement
needs by 75 percent.

4. Describe measures taken by the borrower to address safeguard policy issues. Provide
an assessment of borrower capacity to plan and implement the measures described.
28. The six cities contracted consultants to prepare comprehensive EIA reports that, as
part of the environmental assessment process, gathered valuable, city-specific
environmental and technical data and information. A consolidated EIA was also prepared
based on the individual city EIA to present, in a more concise and consistent form, the
various environmental impacts of the proposed project, and to set out its environmental
management plans (EMPs) during project implementation and operation. Both the
individual city EIA and the consolidated EIA are compliant with both World Bank and
Government of Vietnam (GoV) requirements. The EMPs include mitigation measures, a
monitoring plan and institutional responsibilities for its implementation, and capacity
building programs on environmental management for PMU staff and relevant
stakeholders. Adequate financing for EMP implementation during construction and
operation phases is provided by the project. The mitigation measures as set out in the
EMPs will be incorporated into the bidding documents and contracts for all civil works.
Many of the mitigation actions are can be addressed through Environmental Codes of
Practice (ECOPs); they also include measures to address occupational health and safety
concerns. Procedures for dealing with chance finds of PCR are also included in the
EMPs. The project supervision consultants for each city and the MoC’s quality assurance
team will monitor the contractors’ compliance with these mitigation measures in their
regular reports to the city-level PMUs.

  29. An assessment of the capacity of the project cities to implement the EMP concluded
that there is limited capacity for environmental management at the city level. Only one
city, Can Tho, has had prior experience with implementing a Bank-financed urban
upgrading project. A robust TA and capacity building component is included in the
project, and specific support will be provided to the project cities’ PMUs to supervise and
monitor the implementation of the EMPs. This will include training courses for all
entities and staff involved, especially the PMUs. In addition, an independent
environmental monitoring consultant (IEMC) will be contracted by MoC to provide
training, monitoring and oversight for all six subprojects. The MoC CPMU consultants
will also carry-out a robust safeguards training program, and conduct quality assurance
monitoring (including spot checks on construction quality and implementation of the

  30. The city PMU will to facilitate effective implementation of the EMPs and ECOP
by: (i.) establishing an Environmental and Social Unit (ESU) responsible for ensuring the
timely implementation of the EMP, including monitoring, reporting, and capacity
building related to safeguards; (ii.) assigning the Construction Supervision Consultant
(CSC) to be responsible for supervision of the contractor’s safeguard performance as part
of the construction contract and this requirement will be included in the CSC terms of
reference (TOR); and (iii.) hiring qualified consultants to assist the ESU in performing
these tasks. The cities’ utility companies, as appropriate, will be responsible for
implementing the mitigation measures during the operation stage of the project; and will
ensure that the mitigation measures are implemented and adequate budgets are provided.
The Provincial Steering Committee (PSC) chaired by the Chairman or Vice Chairman of
the Provincial People’s Committee (PPC) of the respective province will provide the
overall policy guidance and oversight for project implementation, including the EMP.
Training and capacity building will be supported by the project. The CPMU quality
assurance consultants will have the mandate to assess compliance and practices of the
contractors and CSC in safeguards oversight and carrying out the EMPs.

 31. A Resettlement Policy Framework (RPF) and six Resettlement Plans (RPs) were
prepared for all subcomponents of the project that require land acquisition. The RPF and
RPs have been developed in accordance with the Bank’s OP 4.12 on Involuntary
Resettlement, the latter already been submitted to the Prime Minister for approval. The
RPs developed in close consultation with the people affected by the project, based on the
RPF objectives and principles, organizational arrangements and funding mechanisms
which will be applied for all resettlement operations of the project.

 32. Eight resettlement sites (covering of 67.7 ha) will be constructed for all the six
subprojects to accommodate the needs of about 2,288 relocated households. Five out of
six cities will allocate land plots (to support their livelihoods) within the project
resettlement sites for households that lost their agricultural land due to the project’s land
acquisition. For Cao Lanh city, there is agricultural land available for purchase by DPs
to continue farming if they choose.

  33. The RPs addresses all of the project’s land acquisition with the exception of 11
possible additional alternative resettlement sites (totaling 5.45 ha), located in eleven LIAs
of Ca Mau city. These possible infill resettlement sites will be further identified during
project implementation for suitability. The sites could accommodate 341 displaced
people (DPs), including 11 Khmer DPs. RPs will be prepared during project
implementation to ensure it complies with the requirements of OP4.12 and the OP4.10
policies. Social accountability will be supported by the project to ensure participation and
timely information is provided to DPs, enabling DPs’ oversight.

 34. To ensure that compensation for all types of affected assets are paid at full
replacement cost, each PMU will engage professional asset appraisers at the initial stages
of resettlement implementation to conduct a replacement cost survey for each type of
assets. The survey results will be used as a basis for the PMUs and the Provincial
People’s Committees to decide compensation rates to ensure that they reflect full
replacement costs at the time of the compensation payments RPs.

  35. The MOC will contract an experienced independent resettlement monitoring agency
(IMA) for external monitoring of the resettlement and ethnic minority plans
implementation. The IMA will submit its reports bi-annually to the PMUs, MOC and to
the Bank. The IMA will also conduct an evaluation of resettlement implementation 6-12
months after the completion of all resettlement activities to assess whether or not the DPs
have been able to restore their lost assets, livelihoods and incomes to pre-project levels. If
this evaluation indicates that DPs who have not recovered their livelihoods according to
the project objectives, additional assistance will be provided to ensure that they can fully
restore their pre-project situation. This provision has been included in the project’s RPF
and RPs. The IMA will also monitor EMDP implementation in TraVinh, CanTho,
CaMau and RachGia. MOC will support capacity building including that required for
internal monitoring of RPs/EMDPs implementation.

 36. Grievances redress mechanisms (GRM) will ensure accessibility to project-affected
people so as to freely pose their questions, concerns and problems. The procedures will
ensure both recording and processing of grievances, and documenting/tracking all official
responses among the official agencies responsible for resettlement implementation. The
project-affected people will be informed of the roles and responsibilities of project
officials in charge of solving project complaints on issues concerning land, assets
acquisition, physical relocation and income restoration. The project will ensure that the
personal that have primary contact with project affected persons are familiar with
participatory methods and can support ongoing consultations during project
implementation. The RPF, RPs, and the EMDPs implementation require that an
independent Grievance Panel be established in each city in parallel with the
Government’s grievance redress system. In doing so, the project will ensure compliance
with RPF and RPs’ provision that decision makers for the resettlement programs are
closely coordinate in a timely manner with all stakeholders. The members of these
panels will include (in addition to the members from the PMU and the City
Compensation Board) others members chosen from mass organizations, civil society, the
lawyers association, and project-affected households’ representatives. The project GRM
will also handle all other Project complaints.

 37. Voluntary Donations. Direct beneficiaries are expected to make modest
contributions for upgrading. The contribution rate will be determined as part of the
Community Upgrading Plan (CUP). The CUP will be developed and accepted by
communities. Land donations from the community are accepted as a contribution.
 Principles for voluntary land donation
 -      Households are provided with information on project compensation and
resettlement policy. The information on compensation and voluntary donation will be
disseminated in public places accessible to the community.
 -      Residents land donation for the project must be volunatirly, and besides having
informed consent or freely agree to participate in the project, DPs will have the option to
agree or disagree on land acquisition without adverse consequences imposed.
 -      Community households decide the scope of land acquisition for the Project and
scope of their voluntary land donation,
 -      The scope of affected land should be small (less than 10% of their land holding
and DPs are not relocated),
 -      The project will provide suitable claim and problems solving settlement scheme
 Process of voluntary land donation
 -      The PMU provides full information about the upgrading options, including the
Project’s compensation policies and involunatary resettlement , as well as the principle of
voluntary donation of land for the project. The PMU will document the process.
 -      The community will confirm the scope of land acquisition for the project purpose
during the participatory community upgrading plan (CUP) process.
 -      The affected community will agree on the level of land donation. In cases where
most of rhe communities' members want to donate affected land, but some do not - the
project will compensate Affecter Persons (APs), according to the project policy.
 -      The detail information with the quantitative information and statistic table,
including all affected land and all other damages to properties, structures or architectures
with the full replacement cost estimation will be delivered to all affected households by
the City’s Compensation Board.
 -      Households will provide their written approval by signing a document which
confirms the scope of donated land.
 -      Compensation paid for other losses of architectures/structures and assets will be
 38. Tracking and monitoring: The PMU has to report to the CPC and the Bank on the
voluntary donation of Land before performing the task. Independent monitoring must be
conducted for approximate 20% volunteer households to check their agreement and
assess the scope of impacts caused by their land donation. Details on the steps and
protocol will be part of the Operational Manual

  39. Linked projects. During project preparation a thorough screening of potentially
linked projects was conducted and due diligence reviews were carried in all six cities.
Due diligence reviews were conducted to confirm if: the non-financed activities are
directly or significantly related to Bank-proposed project if: they are necessary to achieve
its objectives and if those project activities are carried out or planned to be carried out
contemporaneously with the proposed Bank project. The due diligences included the
  (a) in Can Tho, the past land acquisition activities involved on the Waste Water
Treatment Plan and Sewage funded by KFW and which will be connected to the
proposed project;
  (b) in CaoLanh , a flood prevention embankment funded by the government which
cleared the site for upgrading the NgoSiLien street to be funded by the proposed project;
  (c) in MyTho, the past land acquisition activities for the BachNha channel upgrading
project funded by the government, which will be connected directly with channels to be
funded by the proposed project.

  40. These reviews of past land acquisition activities have confirmed that compensation,
livelihood restoration and resettlement activities followed national policies considered to
be consistent with World Bank’s policy. The project will follow-up during
implementation with the monitoring of livelihoods restoration for DPs in Cao Lanh and
My Tho, who were recently relocated and are under a process of livelihood restoration.

 41. In addition, three other non-Bank financed projects are linked to the MDR-UUP
proposed project: where land acquisition activities were completed either in 2008 for
AnXuyen sanitary landfill being extended in CaMau; or in Can Tho 2004-2005 for the
expanded CaiSau sludge landfill and access road to the MDR-UUP proposed resettlement
site. A due diligence review for these subjects confirmed that there are no legacy issues.

 42. OP4.10 Indigenous Peoples. As mentioned above, four out of six cities have ethnic
minority people that belong to Khmer group, living in the project area. Free and prior
consultation carried out during project design provided with compensation and mitigation
measures compatible with their cultural preferences. Moreover, the consultation helped
to confirm the EMs broad support to the project, ensuring projects benefited their
development, while minimizing adverse impacts. According to the project data, in four
project cities, 355 households will be adversely affected by the project’s land acquisition
and 27 of them (in Tra Vinh, Can Tho and Ca Mau) will be relocated. The cities RPs
include measures to mitigate the impacts, and to assist them to fully restore their lost
assets and livelihoods, according to their cultural preferences.
 43. The People's Committees of the project cities, supported by provincial authorities,
will assume overall responsibility for their respective resettlement and EMDPs. The
Provincial People's Committees of the provinces will give the final approval for land
acquisition, allocation and compensation rates. All compensation and land acquisition
costs, the cost of EMDPs implementation, and livelihood restoration will be financed by
counterpart funds.

  44. In each city its PMU will be responsible for the overall implementation of the
resettlement and EMDPs plans; coordination among agencies (City peoples Committee
and local government agencies); and elaboration of ongoing reports and project-related
information, with the involvement of affected people. Although most PMUs officials are
new to the Bank's policies, they established an experienced team for the project
preparation and are committed to fulfill the capacity required, or/and address
institutional constrains. PMU have been provided with training on the Bank's social
safeguard policies and practices and will continue to be trained, as part of the capacity
building component, during project implementation. The MoC Central Project
Management Unit (CPMU) will also have a team of consultants to provide safeguards
training to all PMUs. In working with the City People's Committee and local authorities
to implement the RP and the EMDP, the PMU will also be in charge of monitoring the
resettlement of the project. In addition, as mentioned above, the MOC will support with
capacity building on the monitoring and evaluation activities of the PMUs, during project

5. Identify the key stakeholders and describe the mechanisms for consultation and
disclosure on safeguard policies, with an emphasis on potentially affected people.
45. The communities in the LIAs and adjacent areas are the key stakeholders. Other
stakeholders include the local authorities and infrastructure services agencies. In
accordance with Vietnamese requirements and Bank policy, the potentially affected
people in the LIAs have been consulted twice. The first round of consultations took place
before the start of the EIA studies to inform on the proposed project and its scope, and
provide opportunities to raise issues during the screening process. This was mainly
through small meetings at the ward level. The second set of consultations took place
when the draft EIA reports were available; ward meetings and surveys by questionnaires
were used and some of these were combined with the socio-economic surveys for the
feasibility studies. Meetings were well attended (in some cities attendance was in the
hundreds) and people appeared to be well informed. Details of the consultation process
and feedback from the public consultations are reflected in the final EIA reports.
Communities will be involved during implementation, as it proposed that the construction
works will be monitored on a regular basis by the affected local communities; simple
checklists for community environmental monitoring will be provided to the affected
communities. The detailed EIA reports, as well as the “Summary EIA and EMP” will be
disclosed locally in the Vietnamese language they will also be available at the Vietnam
Information Center for review by local and international NGOs. The consolidated EA is
fully consistent with the detailed EA reports in Vietnamese.
 46. Consultations with the project affected households and other stakeholders were
carried out during development of the RPF, CUPs (Community Upgrading Plans for
LIAs). The preparation of the CUP cities’ plans involved participatory and in-depth
consultation which also informed the RPs and EMDPs preparation. Information on the
project's objective, potential impacts, and relevant features of compensation and
resettlement policy frameworks, and ethnic minority policy, were widely disseminated. A
participatory approach was used to reach consensus on the resettlement policy and
entitlements for various adverse impacts for the RPs and EMDPs as for the CUPs
preparation. A similar participatory approach will be pursued during project
implementation to ensure effective implementation of the project's RPF, RPs, CUPs and

 47. The drafts of the EIAs/RPF/RPs/EMDPs in Vietnamese have been disclosed locally
(at each city's People's Committee office and project wards/communes) and in VDIC
(both Vietnamese and English versions) in Hanoi on January 6, 2012. The English
versions have been sent to InfoShop in Washington, DC on January 17, 2012. All final
versions of the EIAs/RPF/RPs/EMDPs will be re-disclosed locally and at the Bank's

B. Disclosure Requirements Date
Environmental Assessment/Audit/Management Plan/Other:
  Was the document disclosed prior to appraisal?                   Yes
  Date of receipt by the Bank                                   01/06/2012
  Date of "in-country" disclosure                               01/06/2012
  Date of submission to InfoShop                                01/17/2012
  For category A projects, date of distributing the Executive
  Summary of the EA to the Executive Directors
Resettlement Action Plan/Framework/Policy Process:
  Was the document disclosed prior to appraisal?                   Yes
  Date of receipt by the Bank                                   01/06/2012
  Date of "in-country" disclosure                               01/06/2012
  Date of submission to InfoShop                                01/17/2012
Indigenous Peoples Plan/Planning Framework:
  Was the document disclosed prior to appraisal?                   Yes
  Date of receipt by the Bank                                   01/06/2012
  Date of "in-country" disclosure                               01/06/2012
  Date of submission to InfoShop                                01/17/2012
Pest Management Plan:
  Was the document disclosed prior to appraisal?
  Date of receipt by the Bank
  Date of "in-country" disclosure
  Date of submission to InfoShop
* If the project triggers the Pest Management and/or Physical Cultural Resources,
the respective issues are to be addressed and disclosed as part of the Environmental
Assessment/Audit/or EMP.
If in-country disclosure of any of the above documents is not expected, please
explain why:

C. Compliance Monitoring Indicators at the Corporate Level (to be filled in when the
ISDS is finalized by the project decision meeting)

OP/BP/GP 4.01 - Environment Assessment
Does the project require a stand-alone EA (including EMP) report?              Yes
If yes, then did the Regional Environment Unit or Sector Manager (SM)          Yes
review and approve the EA report?
Are the cost and the accountabilities for the EMP incorporated in the          Yes
OP/BP 4.11 - Physical Cultural Resources
Does the EA include adequate measures related to cultural property?            Yes
Does the credit/loan incorporate mechanisms to mitigate the potential          Yes
adverse impacts on cultural property?
OP/BP 4.10 - Indigenous Peoples
Has a separate Indigenous Peoples Plan/Planning Framework (as                  Yes
appropriate) been prepared in consultation with affected Indigenous Peoples?
If yes, then did the Regional unit responsible for safeguards or Sector        Yes
Manager review the plan?
If the whole project is designed to benefit IP, has the design been reviewed   N/A
and approved by the Regional Social Development Unit or Sector Manager?
OP/BP 4.12 - Involuntary Resettlement
Has a resettlement plan/abbreviated plan/policy framework/process              Yes
framework (as appropriate) been prepared?
If yes, then did the Regional unit responsible for safeguards or Sector        Yes
Manager review the plan?
OP 7.50 - Projects on International Waterways
Have the other riparians been notified of the project?                         N/A
If the project falls under one of the exceptions to the notification           Yes
requirement, has this been cleared with the Legal Department, and the memo
to the RVP prepared and sent?
Has the RVP approved such an exception?                                        No
The World Bank Policy on Disclosure of Information
Have relevant safeguard policies documents been sent to the World Bank's       No
Have relevant documents been disclosed in-country in a public place in a       Yes
form and language that are understandable and accessible to project-affected
groups and local NGOs?
All Safeguard Policies
  Have satisfactory calendar, budget and clear institutional responsibilities    Yes
  been prepared for the implementation of measures related to safeguard
  Have costs related to safeguard policy measures been included in the project   Yes
  Does the Monitoring and Evaluation system of the project include the           Yes
  monitoring of safeguard impacts and measures related to safeguard policies?
  Have satisfactory implementation arrangements been agreed with the             Yes
  borrower and the same been adequately reflected in the project legal

  D. Approvals

Signed and submitted by:                             Name                          Date
Task Team Leader:                   Mr Andre A. Bald                             01/25/2012
Environmental Specialist:           Mr Josefo Tuyor                              01/25/2012
Social Development Specialist       Ms Hoa Thi Mong Pham                         01/25/2012
Additional Environmental and/or
Social Development Specialist(s):

Approved by:
Sector Manager:                    Ms Jennifer J. Sara                           01/27/2012
  Comments: with my approval, the ISDS may be disclosed at InfoShop

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