tacr: viet nam: support to improve portfolio performance and aid
TRANSCRIPT
Technical Assistance Consultant’s Report
Project Number: 45280
June 2012
Socialist Republic of Viet Nam: Support to Improve Portfolio Performance and Aid Effectiveness (Financed by ADB’s Technical Assistance Special Fund)
Inception Report (June 2012)
Prepared by Nguyen Viet Dung
Institutional Development Specialist/Team Leader
For Asian Development Bank
This consultant’s report does not necessarily reflect the views of ADB or the Government concerned, and ADB and
the Government cannot be held liable for its contents. (For project preparatory technical assistance: All the views
expressed herein may not be incorporated into the proposed project’s design.
TA 8034-VIE: Support to Improve Portfolio Performance
and Aid Effectiveness
INCEPTION REPORT
Prepared by NGUYEN VIET DUNG
Consultant Team Leader
Viet Nam Resident Mission
Ha Noi, June 2012
ABBREVIATIONS
AA - Advance Actions
ADB -
Asian Development Bank
EA -
Executing Agency
DMF -
Design and Monitoring Framework
FERD -
Foreign Economic Relation Department
FS -
Feasibility Study
IA -
Implementing Agency
IMTF -
Inter-Ministerial Task Force
JAP -
Joint Action Plan
JPPR -
Joint Portfolio Performance Review
MOF -
Ministry of Finance
MONRE -
Ministry of Natural Resource and Environment
MPI -
Ministry of Planning and Investment
PDO -
Project Detailed Outline
PMU -
Project Management Unit
PPSSF -
Project Preparation Support Facility
TA -
Technical Assistance
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TABLE OF CONTENTS
ABBREVIATIONS ……………………………………………………………………………………………………………………………………..i
TABLE OF CONTENTS ………………………………………………………………………………………………………………………………ii
I. INTRODUCTION ........................................................................................................................................ 1
II. TECHNICAL ASSISTANCE DETAILS ............................................................................................................ 1
A. TA duration: . ...................................................................................................................................... 1
B. TA Impact and Outcomes .................................................................................................................. 1
C. TA Outputs and Activities .................................................................................................................. 2
Output 1: Harmonization of ODA Procedure ...................................................................................... 2
Output 2: Achievement of Project start-up compliance ..................................................................... 2
Output 3: Strengthening of Institutional mechanism for join portfolio management ....................... 3
Output 4: Strengthening of capacity for ODA project management .................................................. 4
Output 5: Institutionalization and implementation of results of dialogues on ODA effectiveness .... 5
D. TA Resources ........................................................................................................................................ 5
E. Implementation Arrangements ........................................................................................................... 5
III.TA START-UP ACTIVITIES .......................................................................................................................... 6
IV. IMPLEMENTATION APPROACH AND METHODOLOGY .......................................................................... 6
A. Consultation and Collaboration among TA project Stakeholders ...................................................... 6
B. Facilitate and enhance ongoing policy dialogues ............................................................................... 7
C. Result-based management with indicators ........................................................................................ 7
V. IMPLEMENTATION PLAN ........................................................................................................................ 8
VI. MONITORING, REPORTING AND EVALUATION...................................................................................... 9
VII. FINANCIAL AND BUDGET PLAN ............................................................................................................. 9
VIII. CONSULTANT PERSONNEL PLAN ........................................................................................................ 10
ATTACHMENTS
Attachment 1. Implementation Plan .......................................................................................................... 11
Attachment 2. Training Plan ………………………………………………………………………………………………….………………14
Attachment 3. Procurement Plan ............................................................................................................... 15
Attachment 4. Personnel Schedule ............................................................................................................. 16
Attachment 5. Updated Design and MonitoringFramework ...................................................................... 17
ii
1
I. INTRODUCTION
1. Official Development Assistance (ODA) has been an important catalyst for Viet Nam’s
rapid economic development since resumed ODA assistance from international development
partners in 1993. However, portfolio performance as reflected in indicators such as
disbursement, project start-up compliance and average loan extension has deteriorated in 2004
and improved in 2009, but slid back in 2010. Some portfolio performance indicators in Viet Nam
are worst than those of other Southeast Asia countries. This situation requires that ODA
utilization and management in Viet Nam needs to be improved toward contribution to better
aid effectiveness.
2. ADB’s portfolio performance review in 2010 and 2011 identified main constraints that
need to be solved for improvement of portfolio and aid effectiveness, which among others
include (i) lack of harmonized procedures on ODA project management, (ii) project start-up
delays, (iii) limited effectiveness of joint portfolio performance management mechanism, (iv)
project management capacity constraints, and (v) delays in institutionalization of results of
dialogue between Government and development partners on aid effectiveness.
3. The Government highly appreciates and requests supports to improve portfolio
performance and aid effectiveness from the international development partners in general and
the Six Banks in particular. In response to Government request, the first ADB technical
assistance (TA) to enhance ODA absorptive capacity and efficiency was implemented from
October 2007 to August 2011. As continuation of ADB support, this TA, which is financed by
ADB, will provide consultancy services, both international and national, to support the
Government in improvement of portfolio performance and aid effectiveness focusing on
dealing with the above mentioned constraints. This TA will not only build on results achieved in
previous TA, but will further institutionalize the outcomes of the policy dialogue between
Government and the Six Banks, especially Joint Action Plan 2 (JAP 2) and dialogue results
thereafter.
4. The purpose of this report is to set out clear approach and methodology to implement the
TA; present implementation plan, activities, timeframe and resources to implement the TA
assignment.
II. TECHNICAL ASSISTANCE DETAILS
A. Duration
5. The TA will be implemented from 1 June 2012 to 30 November 2014.
B. Impact and Outcomes
6. The TA impact will be effective utilization of ODA resources. The outcome will be
improved portfolio performance of ADB-financed projects in Viet Nam.
2
C. Outputs and Activities
7. The TA will produce the following outputs and activities:
Output 1: Harmonization of ODA Procedures (Jun – Oct 2012)
(i) Activity 1: Propose provisions relating to advance actions (AA) and project detailed
outlines (PDO), among others, to new Decree/Circular on ODA (Jun-Jul 2012). This includes preparation of legal provisions regarding AA and PDO to be included in the new
decree and circular on ODA being prepared under other TA. This Activity will be done in three sub-
activities below.
• Prepare provisions of AA and PDO in new Circular on ODA
• Obtain comments from ADB and the Ministry of Planning and Investment (MPI)
• Finalize the AA and PDO provisions based on comments received
(ii) Activity 2: Update the Blue Book following issuance of new decree on ODA
management and utilization (Aug-Oct 2012) The task includes updating the current Handbook on Processing and Implementation of ADB-
Financed Projects in Viet Nam (the Blue Book) published in 2009 incorporating new provisions of
ADB’s related guidelines and Government’s regulations on ODA including ADB’s Streamlined
Business Process and Government’s new Decree on ODA. This activity will be done in three sub-
activities below.
• Update the Blue Book
• Obtain comments from MPI and ADB
• Finalize the Blue Book based on comments received
Output 2: Achievement of Project start-up compliance (Jun 2012- Nov 2014,
Intermittent)
(i) Activity 1: Prepare guideline for AA implementation in ADB-financed projects (Jul
2012) The consultant task is to prepare guideline for implementation of AA by executing and
implementing agencies and other related bodies. The guideline will guide to identify AAs, and
include procedure for implementation.
(ii) Activity 2: Identifying AAs for projects to be approved from 2012 onward (Jul-Sep
2012) The activity includes working with ADB and Government’s projects implementing agencies to
identify projects financed by ADB from 2012 onward, preparation of specific AAs that may apply
for each of those projects, and support Government’s project implementation agencies in
preparing AA implementation plans. This task will be done in two sub-activities below.
• Work with ADB officer to identify the projects to be processed in 2012, 2013 and
2014
• Work with executing agencies (EAs) and project management units (PMUs) to
prepare AAs and their implementation plans for each of these projects.
3
(iii) Activity 3: Monitoring the implementation of AA projects (Aug 2012- Nov 2014,
Intermittent)
The activity includes supporting Government project implementation agencies in
monitoring and evaluation of AAs implementation, and reporting progress to ADB and
MPI. This activity will be done in two sub-activities below.
• Support in monitoring the AA implementation in accordance with approved
implementation plan
• Report on AA implementation monitoring
(iv) Activity 4: Support and facilitate preparation of PDO and FS for PPSSF project, which
will speed up preparation and start-up of ADB financed projects (Jun-Jul 2012)
The activity includes supporting MPI in preparation of PDO and feasibility study (FS) for
the Project Preparation and Support Facility (PPSSF) project, which will support
Government executing agencies and implementing agencies in improvement of
Government capacity to fast-track the preparation and implementation of ODA-financed
projects in Viet Nam, including capacity building for executing and implementing
agencies and project management units, improved quality at entry and shortened
project preparation and implementation start-up periods of ADB-financed projects in
Viet Nam. This activity will be done with three sub-activities below.
• Support the Foreign Economic Relations Department (FERD) of MPI to prepare
PDO and FS
• Review and comment by MPI
• Finalization and submission for approval PDO (by Government) and FS (by MPI)
Output 3: Strengthening of Institutional mechanism for joint portfolio management
(i) Activity 1: Conduct periodically project site inspection and systematic quarterly
portfolio performance review meetings on problematic projects (Aug 2012- Nov
2014, Intermittent). The activity is to support MPI in monitoring problematic projects, including travelling, to
problematic projects for inspection with MPI staff and conduction of meetings with participation
of concerned agencies to solve the problems of those projects. This activity will be done with
three sub-activities below.
• Support MPI in Identifying problematic projects
• Support in finding remedy measures for each of problematic projects, and
prepare reports/materials as needed
• Support in conducting quarterly portfolio performance review meetings on these
projects
(ii) Activity 2: Conduct annual and midterm country portfolio review in 2012, 2013 and
2014 to review ADB portfolio performance (Dec 2012- Nov 2014, Intermittent)
(iii) Activity 3: Follow-up on JPPR VII and JPPR VIII in Jun 2013, including monitoring
status of JAP2 implementation focusing on AA (Oct 2012- Nov 2014, Intermittent).
4
Since 1999 the Government and the Six Banks have met every two years which is called Joint
Portfolio Performance Review meeting (JPPR) to discuss the status of overall ODA assistance,
including the review of projects and programs, implementation, and measures to overcome
difficulties and bottlenecks in ODA management. As result of these discussions, Joint Action Plans
(JAPs) has been agreed between both sides. During JPPR VI in 2009, JAP2 was agreed by both
sides, and the Government through issuance of Decision 747/2010/QD-BKH on 28 May 2010 has
institutionalized this JAP to implement this action plan. JPPR VII was organized in 2011 and JPPR
will be organized in 2013. The Consultant’s task is to follow-up on these JAPs focusing on
monitoring AA.
(iv) Activity 4: Consolidate targeted sector outputs results framework and Update sector
result framework monitoring matrix (Sep 2012) ADB’s Country Partnership Strategy (CPS) set out the outputs for specific sectors of the country.
Consultant task is to consolidate sector outputs results framework and update available sector
result framework monitoring matrix.
(v) Activity 5: Monitor the achievement of targeted sector outputs using result
framework (Oct 2012- Nov 2014, Intermittent)
(vi) Activity 6: Develop and maintain an Excel- based database in MPI (Sep 2012) FERD is focal agency of MPI in ODA portfolio management of the country. Currently, FERD does
not have computer-based management tool to help them fulfill their responsibility. Consultant will
support FERD to develop a simple database at FERD which is based on Microsoft Excel application.
Output 4: Strengthening of capacity for ODA project management (Jul 2012- Nov 2014,
Intermittent)
(i) Activity 1: Conduct training and capacity building needs assessment (Jul 2012) Project management capacity constraints is one of the main reasons that cause delay in project
implementation in Viet Nam. Consultant team will work with each of ADB-financed project
implementation agencies to identify their need of training and capacity building. To identify
training needs, training courses received, training demand and the gaps at implementation
agencies/ PMUs will be defined (refer to Annex1 for details). Interview and questionnaire will be
used as method to collect data and information.
(ii) Activity 2: Develop training program (training for EAs/IAs/PMUs staff) and training
materials (Aug-Oct 2012) Training material will be prepared separately for specific topics relating to project cycle
management and indicating time duration for the training courses corresponding to number of
topics needed by project management agencies (see Annex 2 for details).
(iii) Activity 3: Conduct quarterly trainings up to 2014 (Sep 2012-Sep 2014, Intermittent) The training will be carried out for every quarter of the years, from September 2012 to November
2014. Training for project implementation agencies will be in form of the followings.
• Project management training courses
• Consultation workshops
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(iv) Activity 4: Evaluation of training program Evaluation report will be submitted at the end of the training program. The report covers number
of training courses organized, trainees participated, evaluation as to whether objectives have
been achieved, lessons learn etc.
Output 5: Institutionalization and implementation of results of dialogues on ODA
effectiveness (Aug 2012- Nov 2014, Intermittent)
(i) Activity 1: Prepare reports for consultative group meetings in December 2012, 2013
(Dec 2012- Jun 2014, Intermittent) Consultant team will support MPI in preparation of reports for consultative group meetings in
December 2012 and 2013. The report preparation is done in close cooperation with MPI’s related
offices and staffs.
(ii) Activity 2: Develop Post-Busan Monitoring Framework (Sep 2012) International high level forum in aid effectiveness was organized in Korea in 2011. Consultant
team will support MPI in developing monitoring framework to follow-up on the results of this
forum.
(iii) Activity 3: Prepare the survey on Aid Effectiveness (Aug 2012)
D. TA Resources
8. The TA will require the following resources:
(i) Individual Consultants
(ii) Equipment and office supplies
(iii) Training, seminars, and conferences
(iv) Miscellaneous administration and support costs
E. Implementation Arrangements
9. MPI will be Executing Agency of the TA. MPI will set up a TA project management unit
within PERD to manage daily implementation of the TA. The TA will work closely with Inter-
ministerial Task Force (IMTF) to make sure that government agencies are involved with TA
implementation. To this end, some ones who are member of the IMTF and concurrently
participate in PMU will contribute much benefit for the TA implementation.
10. The TA implementation will be supported by a team of individual international and
national consultants, totaling 43 person-months, in expertise of institutional development,
portfolio management, capacity building and economics. The individual consultants will be
selected by ADB in accordance with ADB Guidelines on the Use of Consultants.
11. The TA expected outcomes will be jointly monitored and evaluated by the MPI and ADB
during TA inception, midterm, and final review missions. TA progress will be made on a
quarterly basis and discussed semi-annually between ADB with MPI and other relevant
Government agencies. Baseline data on portfolio performance such as contract awards,
disbursement rate, start-up compliance, and number of projects at risk will be monitored
during the course of the TA.
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III. TA START-UP ACTIVITIES
12. Team Leader has been recruitment as advance action and he will serve from beginning of
the TA
13. Some discussions among TA Consultant, ADB and MPI with regard to required outputs,
setting-up TA office and implementation plan have been taken place. As a result, there were
some changes to activities estimated at the time of TA preparation.
14. Office space needs to be provided by MPI as soon as possible. Administration assistants
and office equipment also need to be procured in July 2012 to enable operation of the
consultant team.
IV. IMPLEMENTATION APPROACH AND METHODOLOGY
A. Consultation and Collaboration among TA project Stakeholders
15. Working closely among ADB, other Development Donors, MPI as Government’s TA
Executive Agency and EAs/IAs/PMUs of ADB financed projects is important for the success of TA
implementation.
16. Following current arrangement, ODA Portfolio performance management at the policy
level involves mainly with MPI and the Donors, and also with other Government’s relevant
ministries such as MOF, SBV, and MONRE. At project level, sector ministries, provinces and
other project stakeholders are also involved in portfolio management.
17. Portfolio management and aid effectiveness issues have been concerned by the
Government and international donors for many years. These issues have been dialogued
frequently at Consultative Group meetings, Aid Effectiveness Forums such as Joint Portfolio
Performance Review, Inter-Ministerial Task Force meeting with the Six Banks. The Government
highly appreciates and utilizes the results of these discussions as inputs for adjusting and
finalization of its laws, decrees, and circulars.
18. This TA is designed based on not only recommendation of ADB’s portfolio performance
review but also results of Government and International partners dialogues. The
implementation of the TA’s activities, therefore, needs to be in collaboration and consultation
with the above mentioned agencies. Due to consultation and collaboration process, consensus
on targets, timing, action plan etc. will be obtained among stakeholders involved. This is very
important factors for consultant performance success.
19. The focal agencies/ organizations that the consultant team needs to consult and
collaborate during performance of the assignments are:
(i) Government: PMU (under FERD), MPI, IMTF, EAs/IAs/PMUs of problematic projects
and ADB- financed projects
(ii) International Development Partners: the Six Banks, especially ADB
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B. Facilitate and enhance ongoing policy dialogues
20. As presented above the TA impact, outcomes, outputs and activities are designed based
on present constraints found at Government and the Six Banks dialogues. Implementation of
activities under the TA is expected to solve these constraints, and therefore improve aid
effectiveness in Viet Nam. Any activities and initiatives carried out under the TA must target to
facilitation and enhancement of ongoing dialogues between the Government and the Six Banks.
21. Since 1999 the Government and the Six Banks have met every two years to discuss the
status of overall ODA assistance, including the review of projects and programs,
implementation, and measures to overcome difficulties and bottlenecks in ODA management.
In 2004 the Government established the IMTF to assist the Government, in cooperation with
the Six Banks, to effectively manage ODA. As an outcome of the Fifth JPPR (JPPR-V) between
IMTF and the Six Banks, which was conducted in May 2007, a Joint Action Plan (JAP-1) was
developed. Implementation of JAP-1 was officially instructed by Government Decision
883/2008/QD-BKH dated 14 July 2008 for the 2008-2009 period which comprised: (i)
harmonization of the Government’s PDO and the donor’s Project Concept Paper; (ii) use of
Common Feasibility Study Guidelines as instructed by Decision 48/2008/QD-TTg on 3 April
2008; (iii) implementation of Advance Action; (iv) Procurement Reform and Harmonization; (v)
reform of Cost Norms system; (vi) improvement of Payment & Disbursement procedures, and
Budget Management; (vii) use of Aligned Monitoring Tools for project reporting as instructed by
Decision 803/2007/QD-BKH on 30 July 2007; (viii) reform of legal framework on Project
Management Units (PMU); and (ix) harmonization of Resettlement and Environment Impact
Assessment policies and procedures.
22. In October 2009 the Sixth Joint Portfolio Performance Review (JPPR-VI) was held to
discuss the issues addressed in JPPR-V and reinforcement of JAP-1 to include two additional
items, namely: (i) improvement of Contract Management; and (ii) improvement of procedures
for making adjustments and changes of scope during project implementation. Subsequently the
Six Banks proposed the second Joint Action Plan (JAP-2), which was adopted by the
Government through issuance of Decision 747/2010/QD-BKH on 28 May 2010 for the 2010-
2011 stage.
23. In Dec 2011 the Seventh Joint Portfolio Performance Review (JPPR-VII) was held. As result
of the dialogue, the next JAP has been agreed. The Government is now preparing new Decision
which cover mutual agreement on the meeting. JPPR VIII is scheduled to be held in June 2013.
24. One of the Consultant tasks under the TA is to follow-up on JPPR VII and JPPR VIII in Jun
2013, including monitoring status of JAP 2 implementation focusing on AA.
C. Result-based management with indicators
25. The TA scope is large and its intervention nature is comprehensive. The TA will address
both management and operational levels of Government’s ODA management arrangement,
cover aspects of institution, procedure, and capacity. The TA stakeholders include Government
8
agencies that are at policy making levels and project operational level, the Six Banks, civil social
organizations etc.
26. Portfolio performance management has been discussed for many years and there have
been some technical assistance that more or less relate to this TA, and have contributed to
improve portfolio performance in Viet Nam. As a tool for monitoring and evaluation of this TA
implementation, a detailed design and monitoring framework will be set up and implemented.
This is crucial for monitoring as to whether the TA objectives have been achieved.
V. IMPLEMENTTATION PLAN
27. The TA will be implemented within two and half years, from June 2012 to November
2014. In line with the above approach and methodology, the TA implementation plan will
describe detailed actions to be carried out for each month of the TA life and is structured
according to outcomes, outputs and activities described above. In summary, the TA will be
implemented by year as follows:
Year 1 (June 2012 to June 2013)
(i) Setting up Executing Agency’s PMU and the TA office
(ii) Procurement of office equipments: Desktop: 01; Laptop: 01; Laser Printer: 01;
Photocopier: 01; LCD Projector and screen: 01 (refer to Attachment 2- Procurement
Plan for details)
(iii) Selection of individual consultants (refer to Attachment 2- Procurement Plan for
details)
(iv) Review the TA documents and prepare Inception Report including approach and
implementation plan to implement the tasks
(v) Conduct works relating to harmonization of procedures in connection with ongoing
revision of ODA legal framework of the Government, which are:
• Advance actions
• PDO
• Updating the Hand book on Project Processing and Implementation for ADB-
financed Projects in Viet Nam (the Blue Book)
(vi) Conduct assessment of training and capacity building needs and develop the training
program
(vii) Evaluation of advance action implementation in ADB financed pilot project
(viii) Support in develop Excel-based database
(ix) Conduct annual (Dec 2012) and midterm country portfolio review (Jun 2013)
(x) Conduct site inspection and systematic quarterly portfolio review meetings on
problematic projects
(xi) Follow-up on JPPR VII and VIII, focusing on advance actions
(xii)Support MPI in developing post Busan monitoring framework
(xiii) Reporting:
• Annually report (Dec 2012)
9
• Quarterly reports (September 2012, Mar 2013, Jun 2013)
Year 2 (Jul 2013 to June 2014)
(i) Conduct training courses
(ii) Test and finalize Excel-based database
(iii) Conduct annual (Dec 2013) and midterm country portfolio review (Jun 2014)
(iv) Conduct site inspection and systematic quarterly portfolio review meetings on
problematic projects
(v) Follow-up on JPPR VII and VIII, focusing on advance actions
(vi) Reporting
• TA Interim report (Jul 2013)
• Quarterly reports (September 2013, Mar 2014, Jun 2014)
• Annually report (Dec 2013)
Year 3 (Jul 2014 to November 2014)
(i) Conduct training courses and evaluation of training program
(ii) Conduct project site inspections and systematic quarterly portfolio review meetings
on problematic projects
(iii) Follow-up on JPPR VII and VIII, focusing on advance actions
(iv) Reporting:
• Quarterly reports (September 2014)
• Draft final report (31 Oct 2014)
• Final report (30 Nov 2014)
(Refer to Attachment 1 for TA Implementation Plan in form of diagram showing activities
versus timeframe, Attachment 2 for the training plan and Attachment 3 for the
Procurement Plan).
VI. MONITORING, REPORTING AND EVALUATION
28. At the time of TA preparation, a design and monitoring framework (DMF) has been
prepared. In this Inception Report the DMF will be updated taking into account discussions
among TA consultants, ADB and MPI. DMF is important to monitoring and evaluation of TA
performance. DMF presents the impact, outcomes, outputs, activities and resources in a box
matrix where the boxes are linked logically together. Each activity will have its own
performance target and indicator with baselines to check if it has completed or not. The DMF
follows result-based management method required by the ADB.
(Refer to Attachment 5 for updated DMF)
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VII. FINANCIAL AND BUDGET PLAN
F. ADB finance
29. ADB will provide financing for:
(i) Individual Consultants
(ii) Equipment and office supplies
(iii) Training, seminars, and conferences
(iv) Miscellaneous administration and support costs
(v) Contingencies
G. Government contribution
30. Government contributions comprise counterpart support in form of counterpart staff
remuneration and office spaces.
VIII. CONSULTANT PERSONNEL PLAN
31. Consultant team includes 4 local individual consultants and 2 international individual
consultants, totaling 43 persons-months, recruited by ADB. Service timings for each of the
consultant are as follows:
International:
(i) Institutional Development Specialist: 5 months
(ii) Portfolio Management Specialist: 3 months
National:
(i) Team Leader/Institutional Development Specialist: 20 months
(ii) Portfolio Management Specialist: 10 months
(iii) Economist: 04 months
(vi) Capacity Building Specialist: 01 month
32. In line with implementation plan presented in item V above, the Personnel- Schedule that
show detailed service timings of each individual consultant for the whole TA period is presented
in Attachment 4 attached.
33. The plan has taken into consideration of minimizing number of international consultant
service sessions to save international travelling costs.
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ATTACHMENT 1: IMPLEMENTATION PLAN
Table 1.1 Overall Implementation Plan
Activity/Output 2012 2013 2014
J J A S O N D J F M A M J J A S O N D J F M A M J J A S O N D
1.Procedures for ODA management harmonized
1.1 Advance actions (AA)
- Assessment
- Preparation of AA in new circular
- Preparation of AA guidelines
1.2 Project Detailed Outline (PDO)
- Preparation of PDO in new circular
1.3 Revision to Blue Book
2. Project startup compliance
2.1Prepare guideline for AA implementation in ADB-financed projects
2.2Identifying AAs for projects from 2012 onward
2.3 Monitoring and evaluation of AA
2.4Support preparation of PDO and FS for PPSSF
3. Institutional mechanism for join portfolio management
3.1 Portfolio performance review meetings on problematic projects
3.2 Conduct annual and midterm country portfolio review 2012- 2014
iii. Follow-up on JPPR VII and JPPR VIII, including monitoring of JAP 2 3.3 Follow-up on JPPR VII and JPPR VIII, including monitoring of JAP 2
v. Set up M&E, and monitor the achievement of targeted sector outputs 3.4 Consolidate targeted sector outputs results framework
ii. Conduct annual and midterm country portfolio review in 2012, 2013 3.5 Monitor the achievement of 3.4 using result framework
iv. Consolidate targeted sector outputs results framework 3.6 Develop and maintain an Excel- based database in MPI
4. Capacity for ODA project management strengthened
4.1 Conduct training and capacity building needs assessment
4.2 Develop training program (EA staff) and training materials
4.3 Conduct quarterly trainings up to 2014
5. Results of dialogues on ODA effectiveness institutionalized
5.1 Prepare reports for CG meetings in 2012, 2013.
5.2. Develop Post Busan Monitoring Framework
5.3. Prepare the survey on Aid Effectiveness
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Table 1.2 Annual Implementation Plan (June 2012- June 2013)
Outputs
Activities
Time
Frame
Done
By
Jun Ju
l
Aug Sep Oct Nov Dec Jan Feb Mar Apr May Ju
n
1.Procedures for
ODA management
are harmonised
1.1 Propose provisions relating to AAs and PDO:
a. Assess pilot AA
b. Prepare provisions of AA and PDO in new Circular
c. Get comments from MPI, donors and finalize AA
and PDO
Jun- Jul2012
Jun 2012
Jun 2012
Jul 2012
TL;NPMS
TL
TL;
TL,NPMS
1.2 Update the Blue Book:
a. Prepare updated “Blue Book”
b. Get comments from MPI and ADB, and finalize it
Aug-Oct 2012
Aug-Sep 2012
Sep- Oct 2012
TL
TL,
TL,
2. Project start-up
compliance achieved
2.1Prepare guideline for AA implementation in ADB-
financed projects
Jul 2012 TL
2.2 Identifying AAs for projects to be approved from 2012
onward:
a. Identify the projects to be prepared
b. Work with EAs/PMUs, prepare AAs and get
approval on AAs
Jun-Sep 2012
Jun-Jul 2012
Jul-Sep 2012
TL;
ADB team
TL,
ADB team
TL; NPMS
2.3 M&E of AAs
Aug 2012-
Jun 2013
TL; NPMS
2.4 Support and facilitate preparation of PDO and FS for
PPSSF project
Jun- Jul 2012
TL
3. Institutional
mechanism for join
portfolio
management
strengthened
3.1 Conduct quarterly portfolio performance review
meetings on problematic projects:
a. Identify problematic projects
b. Project site Inspections
c. Conduct quarterly portfolio performance review
meetings
Aug 2012-
Jun 2013;
Aug 2012
Aug 2012- Jun
2013
III, IV, 2012;
I,II 2013
IPMS, NPMS,
TL.
NPMS,TL
NPMS,NPMS,
IPMS,PMS,TL
3.2 Conduct annual and midterm country portfolio review
in 2012, 2013
Dec 2012-
June 2013
IIDS; IPMS;
NE,TL
3.3 Follow-up on JPPR VII and JPPR VIII in Jun 2013,
including monitoring status of JAP 2 implementation
Sep 2012-
June 2013
TL; IPMS;
NPMS, NE
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Notes:
TL: Team Leader/National Institutional Development Specialist;
IIDS: Inter Institutional Development Specialist;
IPMS: International Portfolio Management Specialist
NPMS: National Portfolio Management Specialist;
NCBS: National Capacity Building Specialist
NE: National Economist
focusing on AA.
3.4 Consolidate targeted sector outputs results
framework and update sector result framework
monitoring matrix
Nov 2012 NPMS,
NE
3.5 Monitor the achievement of targeted sector outputs
using result framework
Dec 2012
- Jun 2013
IPMS, NPMS,
NE
3.6 Act.6: Develop and maintain an Excel- based
database in MPI
Aug-Oct 2012 IPMS; NPMS
4. Capacity for ODA
project
management
strengthened
4.1 Conduct training and capacity building needs
assessment (Annex 1)
Jul-Aug 2012 NCBS
4.2 Develop training program and training materials
(Annex 2)
a. Project management
b. Consultation workshops
Sep- Oct 2012 TL; LCBS
4.3 Conduct quarterly trainings up to Jun 2013 Sep 2012-
Nov 2014
TL;IIDS, NCBS
5. Results of
dialogues on ODA
effectiveness
institutionalized
and implemented
5.1 Prepare reports for consultative group meetings in
2012, 2013.
5.2 Develop Post Busan Monitoring Framework
5.3 Prepare the survey on Aid Effectiveness
Dec 2012
Jun 2013
Sep 2012
Aug 2012
TL; IIDS,
IPMS, NE
TL, NE
TL;IIDS, IPMS
14
ATTACHMENT 2. TRAINING PLAN
Table 2.1. Assessment of Training needs
No.
Agencies
Review of training received and demand Gap and Training need indentified
Trainings received Training demand Gaps Training Needs
1 TBD TBD TBD TBD TBD
2 TBD TBD TBD TBD TBD
3 TBD TBD TBD TBD TBD
(Note of TBD: To be determined after carrying out of training needs assessment).
Table 2.2. Tentative Training Program
No.
Project management/Consultative
Workshop
Objective # of
Training
Trainee
s
Place Time Budget
1 ODA, Planning, and Project cycle Understand overall ODA management TBD TBD TBD 1 day TBD
2 Project Preparation/Design (PDO, FS) Provide skills in design of project TBD TBD TBD 2 days TBD
3 Project Start-up and Advance Actions Understanding importance of project
start-up, AA and implementation
TBD TBD TBD 2 days TBD
4 Project Implementation and
Administration
Provide overall tasks during
implementation of project
TBD TBD TBD 2 days TBD
5 Financial Management /Accounting
and Disbursement
Provide skills in financial management
accounting and disbursement
TBD TBD TBD 1 days TBD
6 Project M&E Provide skills in monitoring, reporting
and evaluation in ODA project
TBD TBD TBD 1 day TBD
7 Procurement Provide skills in procurement of
works/goods and Consultant selection.
TBD TBD TBD 2 days TBD
8 Contract Management and design
change
Provide skills in management of a certain
contract, including variation of contract
due to change of design.
TBD TBD TBD 1 days TBD
(Note of TBD: To be determined after carrying out of training needs assessment).
15
ATTACHMENT 3: PROCUREMENT PLAN
No. Packages No. of
package
Procurement Method Selection Time
I Office Equipments
1 01 Desktop; 01 Laptop; 01 Laser Printer; 01
Photocopier; and 01 LCD Projector and
screen.
1 Shopping Jul - Aug 2012
II Individual Consultants
International
1 Institutional Dev. Specialist (IIDS), 5 months 1 ADB’s Individual Consultant Selection Nov- Dec 2012
2 Portfolio/ODA Management Specialist (IPMS),
3 months
1 ADB’s Individual Consultant Selection Nov-Dec 2012
National
3 Institutional Dev. Specialist/T. Leader (TL), 20
months
1 ADB’s Individual Consultant Selection May-Jun 2012
4 Portfolio Management Specialist (LPMS), 10
months
1 ADB’s Individual Consultant Selection Jul-Aug 2012
5 Economist (LE), 4 months 1 ADB’s Individual Consultant Selection Aug-Sep 2012
6 Capacity Building Specialist (LCBS), 1 month 1 ADB’s Individual Consultant Selection Jun-Jul 2012
16
ATTACHMENT 4. PERSONNEL SCHEDULE
Name of Expert 2012 2013 2014
J J A S O N D J F M A M J J A S O N D J F M A M J J A S O N D
International
1. Institutional Dev. Specialist (5 months)
2. Portfolio Management Specialist (3 months)
National
3. Team Leader/NIDS(20 months)
4. Portfolio Management Specialist (10 m)
5. Economist (4 months)
6. Capacity Building Specialist (1 month)
17
ATTACHMENT 5: UPDATED DESIGN AND MONITORING FRAMEWORK
Design Summary Performance Target and Indicators Data Sources and Reporting
Mechanism
Assumptions and Risks
Impact:
Effective utilization of
ODA resources by the
Government
ODA disbursement ratio, currently 20%,
on par with international average by
2018
Start-up time currently 8 months, on par
with international average by 2018
Completion of ODA funded projects,
currently 8 years, on par with
international average 2018
Aid effectiveness forum reports
Government statistics on the MPI
website
Assumption:
Government support for framework
to harmonize its procedures with
ODA procedures
Risk:
Rapid changes in the development
context in Viet Nam affect the
expected impacts of ODA projects in
Viet Nam
Outcomes:
Improved portfolio
performance of ADB-
financed projects in Viet
Nam.
Increased cumulative disbursement ratio
from 20% to 30% by 2014
Reduced time elapsed:
(i) Loan approval to effectiveness from
8 months (2010) to 6 months (2014)
(ii) Loan approval to first contract from
16 months (2010) to 11 months
(2014)
Reduced loan extensions to 10% of
ongoing portfolio by 2014
ADB quarterly country portfolio
performance review
COSO country portfolio review data
and SERD Operations Dashboard
COSO country portfolio review data
and SERD Operations Dashboard
Assumptions:
More dedicated capacity building
support to line agencies
Proposals on harmonized
procedures for project preparation
an start-up will be institutionalized
in the Vietnamese legal framework
for ODA management
Outputs:
1. ODA harmonized
Procedures
Refined procedures for PDO ready for
inclusion into the Gov’s proposed decree
on ODA by Q2, 2012
AAs incorporated into Gov’s
decree/circular on ODA by Q2 2012
The Blue Book updated by Q3 2012
New decree and circular on
management and utilization of ODA
Six Banks monthly meeting minutes
Assumption:
GOV allocates sufficient financial
and human resources for portfolio
management; relevant and active
participation of GOV officials in
training programs
Risk:
Delays in the GOV adoption of new
decree on ODA management
18
Design Summary Performance Target and Indicators Data Sources and Reporting
Mechanism
Assumptions and Risks
2. Achievement of Project
start-up compliance
• AAs for projects to be approved from
2012 onward are implemented
• PMUs are able to monitor the AAs
implementation
Mission memorandum of
understanding or aide-memoire
Country portfolio performance and
mission reviews
Approved PDO and FS by the
Government and MPI
3. Strengthening of
Institutional
mechanism for join
portfolio management
• 3.1 Recommendations from portfolio
performance monitoring reviews
adopted:
• One annual country portfolio review,
four quarterly tripartite portfolio
reviews conducted annually, one joint
portfolio performance review with the
Six Banks held every 2 years.
• Alignment of portfolio performance
with the results framework specified
in ADB’s Strategy 2020.
ADB annual reports
The Six Banks bi-annual joint portfolio
performance review reports
MPI’s ODA management reports
4. Strengthening of
capacity for ODA
project management
Demand-driven training programs on
project management skills developed and
implemented for 60% of ongoing projects
including of gender-disaggregated
indicators for training.
TA Implementation reports
Training evaluation sheets
5. Institutionalization and
implementation of
results of dialogues on
ODA effectiveness
Recommendations from ODA
effectiveness forums, including CG
meetings, adopted.
Knowledge products developed and
disseminated by Q1 2014.
Consultative Group proceedings
19
Activities:
1.1 Provisions relating to AA and PDO, among others, to be included in new Decree/ Circular on ODA.
1.2 The updated Blue Book
2.1 Prepare AA guideline
2.2 AAs for projects to be approved from 2012 onward are identified.
2.3 The implementation of AA projects is monitored.
2.4 PDO and FS for PPSSF project are prepared
3.1 Systematic quarterly portfolio performance review meetings on problematic projects are conducted.
3.2 Annual and midterm country portfolio review in 2012, 2013 and 2014 are conducted.
3.3 JPPR VII and JPPR VIII in Jun 2013, including monitoring status of JAP 2 implementation, focusing on AA are
followed.
3.4 Targeted sector outputs results framework is consolidated and Update sector result framework monitoring
matrix is updated.
3.5 The achievement of targeted sector outputs using result framework is monitored.
3.6 An Excel- based database in MPI is developed and maintained.
4.1 Training and capacity building needs assessment is conducted.
4.2 Training program (training for EAs/IAs/PMUs staff) and training materials are prepared.
4.3 Quarterly trainings up to 2014 are conducted.
4.4 Evaluation of training program
5.1 Reports for consultative group meetings are prepared.
5.2 Post Busan Monitoring Framework is developed.
5.3 The survey on Aid Effectiveness is prepared.
Inputs:
ADB $ 800,000.
Consulting services: 377,000
Equipment: 10,000
Training/workshops: 267,000
Miscellaneous Adm. 77,000
Contingency: 60,000
The Government will provide
counterpart support in form of
counterpart staff remuneration and
office spaces.