Integrated Safeguards Data Sheet (Initial) Section I - Basic Information Date ISDS Prepared/Updated: 06/05/2003 A. Basic Project Data (from PDS) I.A.1. Project Statistics Country: VIETNAM Project ID: P077287 Project: VN-Rural Water Supply and Sanitation Project Task Team Leader: Richard W. Pollard Authorized to Appraise Date: February 19, 2004 IBRD Amount ($m): Bank Approval: July 13, 2004 IDA Amount ($m): 100.00 Managing Unit: EASUR Sector: Water supply (60%); Sanitation (20%); Lending Instrument: Specific Investment Loan (SIL) Health (20%) Status: Lending Theme: Rural services and infrastructure (P); Fighting communicable diseases (S) I.A.2. Project Objectives (From PDS): The development objective of this project is to improve the quality of life and assist in alleviating poverty in poor households and villages in selected rural areas in Vietnam. This would be achieved by providing financing and technical assistance for developing safe and locally sustainable water supplies, sanitation facilities for human waste disposal and drainage, and promoting improved hygiene and sanitation practices. I.A.3. Project Description (From PDS): The project will be implemented in about eight provinces, selected from one or two contiguous regions to be identified by GOV based on poverty and current estimated WSS coverage criteria. Within the selected regions, the project concept will be "marketed" to a long list of provinces. A final selection of those to be included in the project will be based on interest expressed in the project concept and willingness to commit local budget resources. The project builds on pilot and demonstration activities for RWSS2020 financed by Danida through the Water Sector Program Support Project. Community-based planning, financing, funds channeling, and capacity building modalities are currently being tested. They will be assessed and the outcomes adapted for large-scale implementation through the proposed project. Salient features of the project are the funds channeling arrangements, household-level poverty targeting, the degree of beneficiary control over decision-making for community-level investments, the level of institutional focus, and the scope and content of the health component. The project would support demand-based improvements to water supplies, household and community sanitation, and hygiene. The project would provide financing for loans for infrastructure construction, along with grants for households designated as poor or very poor by MOLISA, and for special social program areas designated by CEMMA. Funds for loans and grants would be channelled through the Vietnam Bank for Agriculture and Rural Development directly to households and other entities legally capable of incurring debt. Separate budgets would be provided for District and provincial level technical support and management. The project would be implemented through provincial service contracts providing management of the loan and grant application and selection process and technical guidance to communities. Communities will be responsible to finance 100% of the cost of infrastructure. Loans would be available at commercial rates (currently about 12 percent P.A.) to all communities who wish to 2 ISDS borrow. Specific poor households would be eligible to receive grants to cover up to 80% of their portion of the costs. Operation and maintenance will be fully financed by communities. The WSS activities will be complemented by substantial community health components implemented through the Departments of Health and mass organizations such as the Vietnam Women's Union, Farmers' Union, and Youth Union. Developing Water and Sanitation Infrastructure. This component would provide rural communities with accessible, convenient, and clean water in adequate quantity. The component would provide a choice among a variety of appropriate physical systems and financing strategies. The content would include: l Technical assistance to facilitate informed choice by households, villages, and communes to select and plan the construction of water and sanitation infrastructure that benefiting families want and are willing to pay for; l Financing for water supply and sanitation (both human waste and wastewater disposal) infrastructure design and construction through a combination of loans and targeted grants channeled directly to user groups or communes. IDA funds would be used to contribute to a loan guarantee fund, and for grants to eligible households; l Training and technical backstopping for operation and maintenance of infrastructure by village-level user groups, either directly or through service contracts between user groups and technical service providers (either SOEs or private firms). Community and local institutions capacity building. This component would assist communities (either communes or local water user groups) to organize effectively and also to obtain the technical capacity to manage and control water programs, sanitation, and community health. It is expected that the capacity developed in the direct project areas would also assist and empower the community in making choices and managing initiatives in other sectors. The content of the component would include: l Training and technical assistance for identification and preparation of community-level projects by project beneficiaries, fiscal and organizational management, and operation and maintenance of infrastructure improvements; l Training and orientation for selected provincial and commune-level staff from CERWASS and other government agencies, SOEs, and (possibly) NGOS and private organizations to ensure adequate skills are in place to foster community management, provide effective health education, and backstop operation and maintenance; l Technical assistance to help provincial CERWASS and other local level agencies re-organize and develop more appropriate staff profiles and modus operandi to effectively and efficiently support demand-responsive, community-based programs, including closer collaboration with NGO and private sector entities; l Technical assistance for improving program monitoring. Improving Health Behavior and Services. This component would include health education and direct services to reduce water borne diseases. The activities will involve women, educators, and community leaders as lead change agents. Diarrhea, skin diseases, and worms in children would be a special focus of the component. Content would include: l Training and technical assistance to further develop participatory hygiene and sanitation 3 ISDS education techniques and programs to facilitate health infrastructure decision-making by rural communes, and to affect sustained improvements in personal, household, and community hygiene and sanitation practices; l Financing for community-based programs, targeted health center-based programs, and further development Women's Union initiatives to promote sanitation and combat water-borne diseases. Other health programs targeting related community health priorities and integrating cost effectively with the water-borne disease package might be considered for inclusion in the component (for example worms, selected childhood nutritional problems, selected respiratory and immunizable diseases). l Financing for health impact monitoring. Project Management. This component would involve the establishment of systems, accountability, and management/financing rules to the end that: l Many project management functions would be carried out at the user group or commune level; l Financing for WSS systems would be channeled directly to communities through Water User Groups and Cooperatives via the banking system; l Financing for health activities would be channeled directly to communes or provinces. I.A.4. Project Location: (Geographic location, information about the key environmental and social characteristics of the area and population likely to be affected, and proximity to any protected areas, or sites or critical natural habitats, or any other culturally or socially sensitive areas.) The project will be implemented in about eight provinces, selected from one or two contiguous regions to be identified by GOV based on poverty and current estimated WSS coverage criteria. Within the selected regions, the project concept will be "marketed" to a long list of provinces. A final selection of those to be included in the project will be based on interest expressed in the project concept and willingness to commit local budget resources. B. Check Environmental Classification: B (Partial Assessment) Comments: An Environmental Safeguards Framework will be prepared. Sub-project specific EA documentation will be prepared for those activities needing such assessments, as per the Framework. C. Safeguard Policies Triggered (from PDS) (click on for a detailed desciption or click on the policy number for a brief description) Policy Triggered Environmental Assessment (OP 4.01, BP 4.01, GP 4.01) Yes No TBD Natural Habitats (OP 4.04, BP 4.04, GP 4.04) Yes No TBD Forestry (OP 4.36, GP 4.36) Yes No TBD Pest Management (OP 4.09) Yes No TBD Cultural Property (OPN 11.03) Yes No TBD Indigenous Peoples (OD 4.20) Yes No TBD Involuntary Resettlement (OP/BP 4.12) Yes No TBD Safety of Dams (OP 4.37, BP 4.37) Yes No TBD Projects in International Waters (OP 7.50, BP 7.50, GP 7.50) Yes No TBD Projects in Disputed Areas (OP 7.60, BP 7.60, GP 7.60)* Yes No TBD 4 ISDS Section II - Key Safeguard Issues and Their Management D. Summary of Key Safeguard Issues. Please fill in all relevant questions. If information is not available, describe steps to be taken to obtain necessary data. II.D.1a. Describe any safeguard issues and impacts associated with the proposed project. Identify and describe any potential large scale, significant and/or irreversible impacts. OPs 4.01, 4.04, 4.20, and OD 4.20 may be triggered. There will be limited, short term, environmental impacts associated with the project during construction activities. Land acquisition and involuntary resettlement issues will be identified during project preparation, as will issues related to equity in access to project benefits for ethnic minority groups. The nature of the proposed activities (very small-scale water supply and on-site sanitation and drainage systems) is only expected to require very limited use of public land in the case of new systems and resettlement is unlikely to be an issue. II.D.1b. Describe any potential cumulative impacts due to application of more than one safeguard policy or due to multiple project component. None anticipated at this time. II.D.1c Describe any potential long term impacts due to anticipated future activities in the project area. The main potential area of impact will be increased drainage problems due to increased water use around homes and water points, if the drainage structures that the project will require are not built, are poorly built, or are not maintained. This could potentially lead to increased mosquito breeding and increased malaria and dengue fever transmission. II.D.2. In light of 1, describe the proposed treatment of alternatives (if required) Analysis of alternatives will be an integral part of sub-project design and guidelines will be provided in the Operations Manual to guide project components II.D.3. Describe arrangement for the borrower to address safeguard issues An Environmental Safeguards Framework, a Policy Framework for Compensation, Resettlement, and Rehabilitation of Project Affected Persons, and an Ethnic Minorities Action Plan will be prepared by the borrower by appraisal and publicly disclosed. The two frameworks will be integral parts of the Operations Manual. Project implementation staff in the provinces will be trained in the application of the two frameworks. Land acquisition - While no adverse impact or resettlement for land acquisition is anticipated, it is possible that some minor land acquisition may be required for construction of water supply and sanitation infrastructure. Therefore, a resettlement policy framework will be prepared that complies with OP 4.30 and OP 4.12. No involuntary resettlement is expected to take place. Since the project is demand based, precise land acquisition impacts cannot be known by appraisal. Therefore, a Resettlement Policy Framework, drawing on the experience of projects with comparable land acquisition issues, will be agreed with GOV for the limited acquisition anticipated. Abbreviated Resettlement Plans to handle acquisition under specific sub-projects would be developed during implementation. The key elements of the Policy Framework, including the activities involved in identifying acquisition impacts and preparing, implementing, and monitoring specific sub-project resettlement plans will be described in the Project Operations Manual and tested through ongoing pilot activities prior to appraisal. Natural habitats - As a highly decentralized investment project, RWSSP will support thousands of small 5 ISDS sub-project investments in poor villages. Some may be in fragile locations potentially susceptible to damage to their physical and biotic environments. No sub-projects will be allowed in national parks, forest reserves, or nature tourism areas. Indigenous peoples - Ethnic minorities will likely be included in the project, and OD 4.20 objectives will be met through the project design, which will provide the means for participating communities to receive culturally compatible benefits from sub-projects through their informed participation. Typically, ethnic minorities do especially well with demand-driven projects because of their strong community organizations. Project management guidelines give prominent roles to traditional leadership in sub-project decision-making. TA selection criteria will give preference to fluency in local languages. Monitoring will include field visits to isolated areas to ensure that all provisions are being implemented. The project will also invite NGOs to provide independent monitoring of isolated areas. An Ethnic Minority Strategy will be developed and included in the Project Operations Manual. II.D.4. Identify the key stakeholders and describe the mechanisms for consultation and disclosure on safeguard policies, with an emphasis on potentially affected people. Project beneficiary groups will be directly involved in the design of the project using a participatory approach. Particular attention will be paid to ensuring the equitable involvement of women and poor households in planning and decision-making. Prevailing social structures often limits the voice of women and the poor, but project field staff will be trained to facilitate their inclusion through, inter alia, participatory poverty analysis to identify the poor, separate focus group discussions, and preparation of guidelines for village water management groups. Target communities as a whole will be directly responsible for sub-project planning, decision-making, and financial management. Within these communities, key stakeholder groups include the formal community leadership, mass organizations such as the Women's and the Youth's Unions, local school and parent/teacher associations, and individual families. Project facilitation, training programs, the participatory planning approach, transparency mechanisms, and fiscal decentralization are all elements of the project design to promote stake holder ownership of the project. E. Safeguards Classification (select in SAP). Category is determined by the highest impact in any policy. Or on basis of cumulative impacts from multiple safeguards. Whenever an individual safeguard policy is triggered the provisions of that policy apply. [ ] S1. ­ Significant, cumulative and/or irreversible impacts; or significant technical and institutional risks in management of one or more safeguard areas [X] S2. ­ One or more safeguard policies are triggered, but effects are limited in their impact and are technically and institutionally manageable [ ] S3. ­ No safeguard issues [ ] SF. ­ Financial intermediary projects, social development funds, community driven development or similar projects which require a safeguard framework or programmatic approach to address safeguard issues. F. Disclosure Requirements Environmental Assessment/Analysis/Management Plan: Expected Actual Date of receipt by the Bank 12/9/2003 Date of "in-country" disclosure 9/9/2003 Date of submission to InfoShop 1/9/2004 Date of distributing the Exec. Summary of the EA to the Executive 6 ISDS Directors (For category A projects) Resettlement Action Plan/Framework: Expected Actual Date of receipt by the Bank 12/9/2003 Date of "in-country" disclosure 9/9/2003 Date of submission to InfoShop 1/9/2004 Indigenous Peoples Development Plan/Framework: Expected Actual Date of receipt by the Bank 12/9/2003 Date of "in-country" disclosure 9/9/2003 Date of submission to InfoShop 1/9/2004 Pest Management Plan: Expected Actual Date of receipt by the Bank Date of "in-country" disclosure Date of submission to InfoShop Dam Safety Management Plan: Expected Actual Date of receipt by the Bank Date of "in-country" disclosure Date of submission to InfoShop If in-country disclosure of any of the above documents is not expected, please explain why. Signed and submitted by Name Date Task Team Leader: Richard W. Pollard Sept. 23, 2003 Project Safeguards Specialists 1: Patchamuthu Illangovan/Person/World Bank Project Safeguards Specialists 2: Asger Christensen/Person/World Bank Project Safeguards Specialists 3: Lars C. Lund/Person/World Bank Approved by: Name Date Regional Safeguards Coordinator: Glenn S. Morgan Sector Manager Keshav Varma