Project Budget Number: VIE/97/007/B/01/99 Project Title: Environment Issues in Investment Planning Project Short Title: Environment and Investments Executing Agent: Ministry of Planning and Investment Implementing Agent(s): Ministry of Planning and Investment (Department of Science Education and Environment) Government Cooperating Agent(s): Ministry of Science Technology and Environment (National Environment Agency) Project Site: Hanoi, Lam Dong, Quang Ninh Beneficiary Countries: Vietnam Estimated Start Date: Estimated End Date: LPAC Approval Date: BPAC Approval Date: Program Officer: 1 April 1998 31 March 2001 18 March 1998 AT
Summary of UNDID and Cost Sharing UNDP: TRAC (11 & 2) TRAC (3) Other Cost Sharing: Government Financial Inst. Third Party (SDC) Sub Total AOS: SOF 03 SOF 07 Other GRAND TOTAL Parallel (SDC) $0 $0 $0 $3,305,000 $200,000 $0 $0 $1,747,574 $3,305,000 Current Previous Chanqe $1,557,426 $0 $0
Classification Information: ACC sector & sub-sector: 0400 Natural resources building 0420 Land-use planning and development DCAS sector & sub-sector: demonstration 03 Natural resources Primary type of intervention: Capacity building -- institution Secondary type of intervention: Investigation -- pilot and Primary target beneficiaries: Ministry of Planning and
-
0302 Land-use planning Investment Primary areas of focus/sub-focus . Promoting environmental sustainability Secondary areas of focus/sub-focus:
Ministry of Science Technology & Environment Provincial People's Committees Secondary target beneficiaries:
Establishing policy, strategy and planning frameworks Population in pilot project areas Brief Description: Economic growth and associated investments are having a negative impact on the environment in Vietnam. As economic reforms continue, rapid growth is forecasted to continue, and the environmental situation could become far worse. National economic and development planning is undergoing transition and reforms. Capacity within the economic/development framework - both institutional and individual capacity - is too limited to efficiently and quickly operationalize the reforms. This project will help operationalize these reforms, ensuring that the nature of the reforms and this transition will lead to environmentally-sustainable national economic and development planning in Vietnam. It will build capacity in the economic/development framework. By working with authorities in three localities on real problems, this project will develop environmentally-sound economic and development capacities and processes which are appropriate to the situation in Vietnam and can be pragmatically implemented. The project experiences will be comprehensively and systematically documented, and the outputs used as communications packages, training material and policy advocacy tools. On behalf of Signature Date Name/Title Government UNDP
TABLE OF CONTENTS
LIST OF ABBREVIATIONS .................................................................................................... iii A. A.1 CONTEXT ..................................................................................................................... 1 Description of the Sub-sectors ............................................................................. 1
A.2 Host Country Strategy .......................................................................................... 1 A.3 Prior and On-going Assistance ............................................................................ 2 A.4 Institutional Framework for the Sub-sectors ......................................................... 3 B. PROJECT JUSTIFICATION .......................................................................................... 4 B. 1 Problems to be Addressed ................................................................................... 4
B.2 B. 3 B.4 B. 5 B.6 B.7 B.8 C. D. E. E.1 E.2 F. G. H. 1. J.
Expected Situation at the End of the Project ........................................................ 6 Target Beneficiaries of Project ............................................................................. 6 Project Strategy and Institutional Arrangements .................................................. 7 Reasons for UNDP Assistance ............................................................................ 9 Special Considerations ...................................................................................... 10 Coordination Arrangements ............................................................................... 10 Counterpart Support capacity ............................................................................ 11 DEVELOPMENT OBJECTIVE .................................................................................... 12 IMMEDIATE OBJECTIVES, OUTPUTS AND ACTIVITIES ......................................... 12 INPUTS ....................................................................................................................... 16 Government Inputs ............................................................................................ 16 UNDP Inputs ...................................................................................................... 17 RISKS ........................................................ ................................................................ 17 PRIOR OBLIGATIONS AND PRE REQUISITES ........................................................ 18 PROJECT REVIEW, REPORTING AND EVALUATION ............................................. 18 LEGAL CONTEXT ...................................................................................................... 19 BUDGETS .................................................................................................................. 20 THE ROLE OF MPI IN SUSTAINABLE DEVELOPMENT ............................. 22 WORKPLAN ................................................................ ................................. 24 DESCRIPTION OF COMPONENTS TO BE SUB-CONTRACTED ................ 27 ORGANIZATIONAL STRUCTURE FOR PROJECT IMPLEMENTATION ...... 47 TERMS OF REFERENCES FOR PROJECT MANAGEMENT BODIES ........ 48 TERMS OF REFERENCE FOR STAFF AND CONSULTANTS ..................... 52 GENERAL GUIDELINES FOR THE SUB-CONTRACTING PROCESS ......... 62 TRAINING PROGRAM .................................................................................. 64 EQUIPMENT REQUIREMENTS ................................................................... 66 SCHEDULE FOR PROJECT REVIEWS, REPORTING AND
ANNEX 1: ANNEX II: ANNEX III: ANNEX IV: ANNEX V: ANNEX VI: ANNEX VII: ANNEX Vill: ANNEX IX: ANNEX X:
EVALUATION ............................................................................................... 68 LIST OF ABBREVIATIONS ADB Asian Development Bank APEC Asia Pacific Economic Community ASEAN Association of South East Asian Nations CIEM Central Institute for Economic Management DOC Department of Construction DOI Department of Industry DOSTE Department of Science, Technology and Environment DOT Department of Tourism DPI Department of Planning and Investment
DSEE EIA ENRM FD1 FERD GDP GOV HAPI HNPP LCC LDPP LEP MOF MOSTE MP1 NEA NEX NPD NPESD ODA OOG PC PPC
r-%rllrl% ---- ---F- F- D -I
Department of Science, Education and Environment (MPI) Environmental Impact Assessment Environment and Natural Resource Management Foreign Direct Investment Foreign Economic Relations Department (MPI) Gross Domestic Production Government of Vietnam Hanoi Authority for Planning and Investment Hanoi Pilot Project Local Contract Committee Lam Dong Pilot Project Law on Environmental Protection Ministry of Finance Ministry of Science, Technology and Environment Ministry of Planning and Investment National Environmental Agency National Execution Modality National Project Director National Plan for Environment and Sustainable Development Official Development Assistance Office of the Government People's Committee Provincial People's Committee
-
PPP PSU QNPP QPM SDC STTC TOR TRG UNDID WTO A CONTEXT
Provincial-Project I LA Director L Provincial Pilot Project Project Support Unit Quang Ninh Pilot Project Quarterly Programming Meeting Swiss Agency for Development and Cooperation Support Tools/Training Component Terms of Reference Technical Review Group United Nations Development Programme World Trade Organization
A.1. Description of the Subsector The Government of Vietnam has embarked on an economic reform course to guide the country from centralized planning to a more market-oriented economy. Since the policy of doi moi was adopted in 1986, many economic reform programs have been launched to revamp the financial sector and legal system, remove price controls, introduce private ownership and actively encourage foreign investment. Vietnam has also become more integrated into the world economy as a result of substantially increased foreign trade and investment as well as membership in Association of Southeast Asian Nations (ASEAN) and applications for membership in the World Trade Organization (WTO) and Asia-Pacific Economic Community (APEC). As a result of these reforms, Vietnam has experienced high growth rates during the 1990s. The GDP growth rate during 1991-94 averaged almost 8% and reached 9.5% and 9.3% in 1995 and
1996 respectively. A new feature of Vietnam's GDP is the increasing importance of the industrial and service sectors relative to the agricultural sector. In general, the ongoing economic reform program has been successful in generating strong economic growth and creating a good environment for domestic and overseas investors. Growth in Vietnam has been fueled by sustained investment which doubled over the past six years as a share of GDP, reaching 32.2% of GDP in 1996. The rapid increase in investment is posing serious threats to the environment. In parallel to reforms in the economic sector, other efforts are being made to reorganize public administration, change the development planning process and decentralize decisionmaking. Previously, planners could assume that almost all resources would allocated to and directly managed by the state. As a result of the reform process, planners increasingly can assume only indirect management of resources by the state within the framework of a market economy, with the private sector playing an increasingly important role. Centralized planning mechanisms (i.e., the direct control of resources to achieve production targets) is giving way to indirect control mechanisms based on policy measures, regulations, etc. At the same time, the capacity for environmental protection in Vietnam has been gradually developing. The focal point of these developments is the National Environment Agency of the Ministry of Science, Technology and Environment. However, there is not yet effective integration of environmental considerations into the planning and policy process, nor a coordination of investment programs with capacity building programs in the environment sector. A.2. Host Country Strategy Following the policy document presented at the Eighth Party Congress in 1996 entitled Orientation and Tasks of the 1996-2000 Five Year Plan for Socio-economic Development, Vietnam recently announced its Long-term Development Strategy to the Year 2010 with a focus on industrialization and modernization. The overall aim of this strategy is to develop Vietnam into an industrialized economy by the year 2020. The plan identifies sustainable development with equity as one of its major objectives. Vietnam is aware of the potential environmental impacts of this rapid development. The National Plan for Environment and Sustainable Development: A Framework for Action
(NPESD) (1991) called for natural resource management to be undertaken in a way that satisfies the basic material, spiritual and cultural needs of the people of Vietnam, both at present and in the future. In 1994, a legal framework for integrating environmental concerns into the investment decisionmaking process was established through the Law on Environmental Protection (LEP) and subsequent regulations, especially Decree 175 which provides broad guidance on the process of conducting environmental impact assessments (EIA). ElAs are required for existing and new investment projects. The LEP also provides for the establishment of environmental funds. However, in general, the development planning system still needs strengthening at all levels of government to provide a framework of environmental policies and guidelines for projects as they come forward. Even in urban centers where master plans impose comprehensive systems of zoning, the standards are often too general and enforcement capacities too limited for effective develo pment control. A.3. Prior and On-going Assistance The following projects related to economic management, development administration and environment management in Vietnam are of particular relevance to the this project: Title Projects on economic management. Donor/Project No. Status
Strengthening Economic Management Strengthening Financial Policies and Institutions Technical Assistance to SPC (phase 2) Public Investment Programming (phase 2) Sustainable Development of the Route 18 Corridor Strengthening the Project Appraisal Office, MPI Strengthening MPI's capacity in Project Appraisal Project an environmental management.
,
UNDP, VIE/93/004 UNDP, VIE/93/007 UNDID, VIE/94/015 UNDID, VIE/96/018 UNDP, VIE/96/001 Canada/France ADB
completed completed completed in 1996 starts in 1997 completed in 1997 phase 2 planned ongoing
Strengthening MOSTE to Coordinate Environment Promoting Environmental Awareness Industrial Environment Protection Policy Training Program for Natural Resource Planners Environmental Planning and Impact Assessment Policy Instruments for Environmental Protection Sustainable Economic Development Program Vietnam Environmental Action Plan Vietnam Canada Environment Program
SIDA/IUCN UNDP, VIE/93/030 UNDID, VIE/93/020 WB ADB ADB CIDA IDRC CIDA
phase 2 in 1998 ongoing 1993-1995 1994-1995 1995-1996 1993-1996 1993-1994 1996-2000
Results of Phase 1 of the Promect. This project is the second phase of the Vietnam Capacity 21 Project' which was supported by UNDIP and its Capacity 21 Trust Fund. Phase 1 concentrated on building capacities at the national level and had the following two objectives: (1) to strengthen central Government capacity to integrate environment issues into investment decision making; and (2) to design demonstration models for the integration of regulatory,
1
"Strengthening National Capacities to Integrate the Environment into the Investment Decisions," VIE/93/G81, signed on 27 June 1995 and scheduled for completion in December 1997.
economic and voluntary approaches for addressing priority environment problems (for Hanoi and Lam Dong province). The achievements of phase 1 were as follows: Objective 1: training undertaken, networks established, policy development and policy studies completed, recommendations for reforms made, reports prepared in final and draft form; Objective 2: in three pilot project areas (Hanoi, Quang Ninh and Lam Dong), some training activities undertaken, priority environmental problems identified, partnerships built, a framework for pilot projects developed in a participatory process. The independent review of phase 1 activities came to the overall conclusion that the project had been successful in raising awareness on sustainable development issues among economic planners and decision-makers; in undertaking a range of innovative policy studies through networks of planners; and in laying the foundations for the pilot activities in three provinces. In phase 2, which is concerned more with field activities, the review felt that a more rigid approach to project planning and management would be needed to increase the impact of the project. The review also recommended more direct involvement of Ministry of Science Technology and Environment in the project. A.4. Institutional Framework for the Subsector This section is limited to an overview of the major institutions involved in investment and development planning and environmental management. Additional information on the role of the Ministry of Planning and Investment presented in Annex 1.
At the national level, the Ministry of Planning and Investment (MPI) is the lead agency responsible for preparing national plans and the public investment plan; reviewing sectoral and provincial development plans; determining external assistance requirements; and preparing economic policies. It also has a major role in the allocation of funds from the national budget. The Department of Science, Education and Environment (DSEE) within MPI is responsible for development and investment planning for the environment which is considered as a separate sector. MPI is also responsible for approving investment projects including those involving foreign direct investment (FDI). Formal review processes have been established for appraising and approving projects. For major projects, this process involves both MPI, as chairman of the review committee, and the Ministry of Science Technology and Environment (MOSTE) as a committee member. Recently, the authority to approve certain FDI projects has been delegated to certain cities and provinces, including Hanoi, Ho Chi Minh City, and Haiphong and Quang Ninh province. Domestic investment projects are approved by MPI at the national level and by the provincial Departments of Planning and Investment (DPI) at the provincial level. In both cases, there is a consultative mechanism in place for environmental review which includes MOSTE at the national level and the provincial Departments of Science, Technology and Environment (DOSTE) at the provincial level. At present, it is not clear which department within MPI bears the responsibility for the environmental screening of development plans approved by MPI. According to a ministerial decision, DSEE has the responsibility. However, in practice, other departments within MPI do not fully acknowledge this role and DSEE does not have the capacity to take it on. Significant steps have been taken to strengthen mechanisms for project appraisals from economic and financial perspectives. A State Council for Project Appraisal has been set up under the chairmanship of the MPI. MPI also has the National Office of Project Appraisal which receives strong and consistent support from external donors. However, the office has no capacity for environment assessment. MOSTE has broad responsibility for environmental management and administration and serves as a focal point for all environment-related activities. It provides inter-sectoral linkages between ministries to ensure that policies and legislation are developed and implemented in a environmentally-sound manner. It is also the focal point for providing technical inputs to DSEE and the National Office of Project Appraisal within MPI on environmental issues associated with major projects, national plans and development policies. Within MOSTE, the National Environment Agency (NEA) is responsible for environmental affairs. NEA is responsible for implementation of the national environment protection legislation. It administers the environmental assessment regulations and state of environment reporting process, in conjunction with the network of provincial DOSTEs. NEA has a Policy Division with a mandate to support sustainable development and environmental policy development. The relation between the MOSTE and the DSEE is complex. DSEE reviews and approves MOSTE's annual budget. The Ministry of Finance (MOF) and Ministry of Justice are also relevant for the integration of environmental and development issues, for example, through developing legislative and fiscal measures to protect the environment. Other ministries with significant impact on the environment are the major natural resource management line ministries including the Ministry of Industry, Ministry of Agriculture and Rural Development and Ministry of Construction. At the provincial level, the Provincial Peoples Committees (PPCs) review provincial development plans and make most planning decisions within the province. The PPCs are responsible for both promoting investment and protecting the environment. At the provincial level, the
provincial DPIs have a similar mandate to MPI. Similarly, the DOSTEs are the provincial equivalent to MOSTE. However, the central level largely dictates master plan targets and annual budgets in addition to making all key decisions relating to major project developments in the provinces. B. PROJECT JUSTIFICATION B.1 Problems to be addressed
Vietnam is facing serious environmental degradation that will impact its ability in the future to meet the needs of a growing and increasingly prosperous population. The overall problem to be addressed by this project is inadequate institutional arrangements, capacities and policies for sustainable development planning and environmental assessment. A root causes of this problem is that, at all levels of Government, environmental issues are not yet adequately integrated into the planning and investment process. The rapid growth of public and private investment could continue to have a negative impact on the environment and, ultimately, the ability of Vietnam to grow sustainably. Public development planning is to a large extent centralized in MPI. MPI has thus been identified as the main focal point and beneficiary of this project. Development planning comprises all steps in the formulation of national policies and strategies and national, regional and provincial development plans and programs.
Once approved by MPI, such development plans constitute the investment framework which not only guides public investment programs but influences private investment decisions as well. Thus the integration of environmental considerations into the planning process could have a considerable impact on the orientation and behavior of investment decision makers. Phase 1 of the project addressed a number of important problems in this field, mainly through building capacities and awareness at the central level. However, phase 1 was essentially an orientation phase. Workable models to enhance the skills of development planners have yet to be developed or replicated on a larger scale. Experiences through which such capacities could gradually be developed have been limited, particularly at the provincial level. Thus, workable models are now needed for replication on a larger scale and which can help build capacities and effective planning systems at the provincial level. Specific problems to be addressed in phase 2 of the project comprise the following: 1. Networkinq: Communication, coordination, collaboration and informal consultation between the main actors in development planning and environmental management are still weak. There are few forums to address sustainable planning issues, build consensus or initiate institutional learning processes inside MPI and other government organizations. 2. Professional capacity: There is still a lack of professional capacity, and there are few professional standards, practical methods, working models or support tools adapted to
2
the needs of, and owned by, Vietnam's development planners. Working models do not yet exist to address critical issues such as strategic planning within the context of scarce resources. Training modules in the field of sustainable development planning need to be developed and inserted into training programs. 3. Policy Options and Institutional Issues: There are a number of structural factors which discourage planners and investors from considering environmental issues in their plans and projects. These institutional barriers are not yet fully understood and/or addressed. The existing institutional framework (covering planning, assessment, monitoring and reporting) does not fully allow for the integration of environmental issues in development planning. All
these problems need to be tackled in terms of economic and/or institutional reform processes and/or proposals forwarded to the Government. These deficiencies create the risk of irreversible damage being done to Vietnam's natural environment. This would seriously undermine Vietnam's economic progress, especially given the current pace of developments. Because investment decisions large and small are made daily by MPI, line ministries, PPCs, state-owned enterprises and private investors, planners are having trouble keeping pace with the speed of growth and development. Thus improved institutional mechanisms, professional capacities and communications between them will help planners promote rapid economic development which is at the same time environmentally sustainable. In such transition phases, opportunities for sustainable approaches to economic development can be missed easily, both at the central and the provincial level. There is a need to The term working models means procedures, policies and standards which together lead to more effective sustainable development planning and environmental management. The term support tools refers to handbooks, guidelines, checklists, manuals, etc. which support decision makers in their routine work (e.g., a handbook for environmental screening of projects).
2
more effectively link the current experiences and problems of local planning to the national level which holds the overall umbrella for investment in Vietnam. This project is intended to build such a link. B.2 Expected End of Project Situation
This project is to be a learning process, leading to informal professional networks, workable models for strategic integrated planning, support tools for development planners and training materials. As a well-balanced package, it should contribute to strengthening the capacity of Vietnam for environmentally-sound development planning and investment decision making. As in the phase 1, the main focus of phase 2 will be on capacity building in the development planning system. However, the core strategy to achieve this objective will move from training and awareness raising at the central level to experimentation and testing at the provincial level in three pilot projects. The results and experiences of these provincial pilot projects (PPPs) will be documented and systematized at the central level. Capacity building processes typically follow these three steps: (1) awareness raising, (2) adjustment of "structures" to needs, and (3) development of professional capacities. In line with this process, the project is expected to achieve the following: 1 Networking: The main actors involved in development planning and investment decision making in the three PPPs will be sensitized to the benefits of environmentallysound and sustainable development; a number of collaborative networks will be functioning; these networks will have become effective platforms facilitating institutional learning within the Government; and finally these networks will influence the policymaking processes in sectors that are relevant to the sustainable development of Vietnam. Professional capacity: A number of support tools, environmental standards, and working models will have been elaborated and tested; proposals for integrated investment plans will be made; a number of staff will have received in-depth on-the-job training over a longer period of time, mainly through their engagement in the PPPs; key staff in MPI and the DPIs will have received training on how to use the support tools; ground experiences will have been documented through videos and story books; improved training materials will be available for local training institutes; collaboration with local training institutes will materialize.
2.
3.
Policy Options and Institutional Framework: The main barriers to preparing sustainable development plans and projects will be known and documented; a number of alternatives to improve the situation will be proposed to the Government for adoption; the proposals will be supported by the business community and MPI (i.e., by the National Office of Project Appraisal); options for overcoming these barriers will be documented; a number of these options will have been tested at the central and provincial levels; procedures and institutional responsibilities will be clearer (e.g., duty of the IDSEE in environmental screening).
Phase 1 made important advances in awareness raising; in defining some barriers to effective planning; and in laying the foundation for the PPPs. It is important that the project now meets the expectations of the national and provincial project partners with respect concrete, tangible and useful outputs. All of the PPPs have the potential to develop into fullscale projects which could be considered for financing by other donor organizations. B-3 Target Beneficiaries of Project The project is intended to assist the Government to integrate the environment into development planning and investment decision making. The main target groups are, therefore, public institutions involved in investment planning including MPI, MOSTE, related research and training institutes, as well as the PPCs, DPIs, and DOSTEs in the pilot project areas. Development planners within MPI and the DPIs will receive intensive on-the-job training and adequate support tools. Together with the planners involved in the PPPs, they will be the most direct beneficiaries of this project. The private sector will also benefit through gaining a clearer understanding of the importance of environmental factors in the development strategy of Vietnam. Private sector investors will also benefit because, over time, the criteria used in development planning and project evaluation will become more professional and transparent. Indirectly, the general public will benefit through a cleaner environment, through optimal returns on natural resource use, as well as increased involvement in the decision-making process. Such benefits could emerge in the PPP areas. B.4 Project Strategy and Institutional Arrangements Prowect Strateqy. Phase 2 is expected to produce concrete and practical results including support tools for development planners, working models (to be discussed by the networks), materials to make training programs more attractive, reform proposals to the Government, etc. To achieve these results, the project will utilize strategies that were tested during phase 1 and which are likely to be effective in the capacity building process. However, the main activities in phase 2 will be at the local level in the three provincial pilot projects. The complete strategy mix will include this field-based work together with policy-oriented networks, communications strategies, training, etc. The provincial pilot prooects can be characterized as action-research projects' which will lead to: (1) working models that can be replicated, (2) a systematic documentation of the process followed in each PPP, (3) support tools, (4) a stock of trained professionals, (5) modules that can be used for training, and (6) practical, concrete proposals. The PPPs are described in more detail Annex Ill. It is assumed that the work will be split into 2-3 major phases., although subcontractors will provide proposals on how to best implement the PPPs. The PPPs will be implemented by sub-contracted organizations. The professional capacity of the sub-contractors will be of utmost importance to the success of the PPP experience and strategy. Qualifications include experience with action-research and technical capacities and/or work experiences on development related issues. To maximize outputs, it is assumed that potential sub-contractors will form consortia, combining the strengths of local consultants with
expertise of international consultants. Additional details on the sub-contracting arrangements are also presented in Annex Ill. At the central level, the project will continue to work through at least one informal network which will also collaborate on specific issues through specific sub-networks (e.g., environmental economics, planning procedures, training, etc.). It is expected that these networks In the context of this project, the term "action-research" describes the two functions of the PPPs: (1) to lead to well-documented case studies and working models, and (2) to lead to practical solutions of the problems identified in the course of the project.
3
will become sustainable and attractive platforms. Together with the PPPs, they will contribute to (1) raising awareness among key actors in development planning and investment decision making, (2) answering questions related to policies and strategies and/or the institutional framework (structural problems), and (3) improving the style of collaboration between key actors. The results of the project should be channeled into the official policy process. This will ensure that project results are transformed into concrete recommendations to the Government and that the project is adequately supported at a political level. The communication strategy of the project and the methodology for network management will be considerably strengthened to make these informal platforms attractive for participating organizations. The PSU will prepare a proposal for attracting international support to the establishment of a Vietnam Business Council for Sustainable Development (BCSD) in Vietnam. The project will ensure adequate consultation on this proposal with concerned parties. A special project environment fund will operate during the life of the project to support key actions in the PPPs. The fund will enable various incentive mechanisms to be tested which reinforce local commitment and involvement in the planning process. Also support to actions in environment fields in which local government or communities are already committed will enable lessons from implementation to feed the planning approaches being tested in the project. Special arrangements will be made for the Hanoi PPP where a local environment fund mechanism will be tested. The fund will be capitalized with $200,000 (as parallel financing) from the Swiss Agency for Development Cooperation (SDC) which is also providing a major portion of the funds for the overall project (as cost-sharing to UNDP). Decisions on the use of the fund will be made at the Quarterly Programming Meetings described in the next section on the basis of recommendations of the project. Institutional Arrangements. The project will be executed by the Ministry of Planning and Investment and implemented by the Department of Science Education and Environment which will provide the National Project Director (NPD). The organizational structure for project implementation is outlined in Annex IV. The NPD will be supported by a Proeect Support Unit (pSU)4 which will provide support, guidance and technical administration in the overall process of project implementation. An effective working relationship between the sub-contractors and the PSU will be key to project success, particularly the use of the PPPs in influencing national planning policy and procedures. Its functions will include management of the informal networks and project monitoring. Most importantly, the PSU will systematize project outputs in the form of support tools, training materials, etc., and it will manage the training component of the project. The PSU will be headed by a national Project Manager and receive regular inputs from an expatriate Senior Advisor and other short-term international experts. The PSU will be provided with the human resources necessary for accounting and network management. The PPP subcontractors will be linked to the PSU. This link will be essential to synthesize the documented
outputs of each PPP in the form of lessons learned, support tools, training materials, and policy and procedural recommendations.
4
Preferably located in one of MPI's annex buildings.
MPI will chair a Steerinq Committee which will be responsible for considering and forwarding the main outputs of the project relevant to national policy formation to the appropriate Government authorities. Other members of the Steering Committee will include MOSTE and the Office of the Government (OOG). UNDP and SDC will attend as observers. The Steering Committee would meet on an "as needed" basis but at least once a year and would produce minutes to be circulated. Since this project is geared to the Government's reform process, the Steering Committee has a critical role in promoting the policy and procedural suggestions which arise from the PPPs and policy review activities at central level. Technical review qrouPs will be established under the Steering Committee as needed to review and comment project outputs (e.g., publications, support tools, working models, etc.). It will be chaired by MOSTE represented by the Policy Division of NEA. Members would include the Project Manager and/or Senior Advisor and specially invited review experts, mainly from the networks. MOSTE will thus be a cooperating agency for the project, and this will help avoid overlapping programs between NEA and DSEE. At the level of the PPPs, the Provincial People's Committee will (1) designate a Provincial Project Director (PPD) and (2) establish a Provincial Promect Support Committee. In each province, the Provincial Project Support Committee will have to ensure the active involvement in the project of the provincial DPIs and DOSTEs as well as with other concerned parties. One of its roles will be to technically monitor the performance of the PPP activities. The PPPs will be implemented through sub-contracted organizations. The sub-contractors will report to the NPD and PSU on administrative and technical issues. For day-to-day implementation issues, they will coordinate closely with the PPD (e.g., joint decisions on the workplans). Eligibility criteria for sub-contractors and details on the bidding process for these sub-contracts are presented in Annex VII. Given the size of the sub-contracts, the procedures for international competitive bidding will be followed. Bid documents will be developed as one of the first activities of the project based on the information provided in Annex 111. Quarterly Proqramminq Meetinqs (QPM) will be held between the NPD and/or Project Manager, Senior Advisor (if available), and UNDP together with SDC and representatives of the PPPs. The purpose of the QPM will be to review the progress of project implementation and to approve quarterly workplans and budgets. Sub-contractors from the PPPs and the PSU will be responsible for submitting progress reports and workplans to each QPM. Once quarterly workplans are approved and the necessary financial reports for the previous quarter are submitted and cleared by UNDP, UNDP will make quarterly advances to the project as requested by the NPID in accordance with national execution procedures (NEX). More details on the QPM are presented in Annex V. B.5 Reasons for UNDP Assistance Globally, environmental protection is one of the five priorities areas for UNDP together with poverty alleviation, job creation, good governance, and gender issues. In Vietnam, UNDP's country program focuses on the following three sectors: (1) environment and natural resources management, (2) economic, institutional and legal reform, and (3) poverty alleviation and social adjustment. This project is well justified and fits the strategic orientation and priorities of UNDP's country program.
The project focuses on capacity building and institutional reform in the service of environmentally-sustainable development. This is in line with UNDP's change of emphasis, both globally and in Vietnam, from technology transfer projects to capacity building programs. The project specifically falls under UNDP's program of assistance in the area of environment and natural resources management (ENRM). The present project is an important component of the ENRM program. Improved national environmental management capacity and improved management of the investment processes are vital to the protection of the environment and to the sustainable use of natural resources. In addressing these issues, the project will directly complement other activities in the ENRM program. B.6 Special Considerations
Considering that the institutional framework for environmental management in Vietnam is under review and may undergo significant changes in the near future, the project does not seek to promote institutional sustainability. 5 Though its future role in environmental screening still needs to be clarified, the DSEE is the perfect partner for project implementation since an important project strategy is to create informal platforms for collaboration inside MPI through networking. In general, it is difficult to assess the impact of capacity building projects, particularly those operating through networking or training programs. The project will, therefore, pay special attention to project monitoring and documentation of key experiences (positive and negative ones), particularly at the level of the PPPs. Although the proposed project counterparts within the government administration system are generally dominated by men, efforts will be made throughout the life of the project to gendersensitize" these counterparts. Specific gender targets cannot be made for the counterpart staff since their appointment is beyond the control of the project. However, project management will strive to the extent possible to identify qualified women to fill a number of the national expert positions and to reach the overall UNDP target rate of filling 30% of the training slots with women. Positive consideration will also be given to subcontractor proposals that include qualified women to work on the project. Finally, gender aspects will be addressed at the level of policy recommendations and project outputs (e.g., training materials, support tools). Awareness raising and networking are related to social marketing, and social marketing has a strong link to marketing in general. This project will lead to marketable products (e.g., videos and topic-specific modules to be used in training and a newsletter targeted at decision makers), and this could have a lasting impact on standards of how development planning will be done in the future. It is also possible that some of the PPPs could gradually develop into full-fledged, separate projects, delinked from the UNDP project. This would be in line with the UNDP strategy to gradually increase the level of donor support from bilateral sources. Further, the success of the project depends to a considerable extent on the institutional power which MPI has in the overall institutional framework. Power and influence within the Government is one of the key determining factors in sustainable development. B.7 Coordination Arrangements
11
MPI is the government agency with the highest potential and capacity for coordination, both of domestic and foreign investments. Through the Foreign Economic Relations Department ' For example, the establishment of an independent Ministry of Environment being considered, Such a decision would have a major impact on the institutional framework of this sub-sector. (FERD), MPI will ensure that this project is coordinated with other related projects. The project will also coordinate extensively with the Policy Division of the NEA and with the secretariat of the State Council for Project Appraisal in MPI in order to avoid duplication of effort.
At a more general level, the project assumes that other related projects will participate (and already are participating) in the informal networks. The project will further strengthen these platforms and thus create opportunities to better communicate results of other ODA-funded projects to policy-making authorities within MPI. Of particular relevance are the Frenchassisted project to strengthen capacities for project appraisals in MPI and the Swisssupported urban management and social forestry projects. The project must also coordinate with a number of UNDP-funded projects, in particular'. • VIE/95/050, Strengthening Capacity for Urban Management and Planning in Hanoi • VIE/95/003, Environmental Protection in Open-Pit Mining in Quang Ninh • VIE/95/041, Environmental Education in Vietnam's Schools • VIE/96/001, Sustainable Development Planning for the Route 18 Corridor With respect to the Hanoi urban planning project (VIE/95/050), the implementing agency (the Hanoi Authority for Planning and Investment) has proposed sharing their project office with the Hanoi PPP. This would encourage full collaboration between the projects (e.g., on workshop methodologies, capacity building programs). A final decision will be made by the Hanoi People's Committee and will be communicated to the NPD. B.8 Counterpart Support Capacity DSEE has a proven capacity to implement projects under the NEX modality. The project team has gained considerable experience during the implementation of phase 1. However, given the magnitude of phase 2, institutional support will be provided by the project to the implementing agency. This support will consist of paid, full-time project staff including a Project Manager, Senior Planner, Environmental Economist, Institutional Specialist, Communications Specialist, Training Specialist, Translator/Interpreter, Accountant and Secretary. In recent years, ODA support to MOSTENEA has been growing, yet staffing levels at NEA remain small (less than 60 professionals). Already NEA in involved in a wide range of ODA projects and staff time is stretched to the limit. Thus the capacity of MOSTENEA to absorb more projects is currently limited. Although this may seriously hamper the strategy to involve the MOSTENEA more in this project, the technical review role proposed for MOSTENEA is considered to be an appropriate type and level of involvement in the project. The institutional and professional capacity in Vietnam to execute complex and methodologically demanding activities of the kind envisaged is limited. The main deficiencies are conceptual and methodological (e.g., in workshop or training methodology) as well as in communication training. This project is designed specifically to address these weaknesses. Provincial capacity to manage the PPPs is weak. It could be beyond the capacity of the provincial governments, which are already involved in ODA projects of various kinds, to effectively handle additional support activities. This could be a problem especially in Hanoi and Quang Ninh. The PPPs are therefore designed as sub-contracts to be implemented by consortia of international and national organizations with expertise in the area of environmentally-sensitive planning and development. Potential beneficiaries of the project, particularly at the level of the PPPs, expect specific professional inputs that are not yet locally available in Vietnam. The success of the project, particularly of the action-research oriented PPPs, depends on the openness of local partners to enter into a professional dialogue with each other and with expatriate experts and subcontractors. C. DEVELOPMENT OBJECTIVE
As in phase 1, the overall development objective is to ensure the environmental sustainability of investments in Vietnam. This includes investments large and small, public 6
and private, domestic and foreign. D. IMMEDIATE OBJECTIVES, OUTPUTS AND ACTIVITIES
There are a large number of administrative and managerial activities to be carried out to operationalize phase 2 of the project. The workplan in Annex 11 provides more detail on these activities so that their scope and relevance is not underestimated. In particular, the bidding process could be more time consuming than anticipated. Once phase 2 becomes operational, the development objective will be accomplished through the following immediate objectives' Objective 1: The bases for information exchange and collaboration between key actors in achieving environmental sustainability of investments have been consolidated. Indicators of Success: The main development planning and investment decisionmaking processes are documented; key actors are identified; 70% of the key actors participate regularly in meetings of informal networks; 70% of the key actors are satisfied with the work done in the informal networks; 70% of the key actors report that studies which are published by the project are relevant; 10 studies published; networks are increasingly functioning without project inputs; 3 well-functioning Provincial Project Support Committees. Output 1.11: At the central level, an informal network has become an effective platform to address problems related to priority issues. Activity 1. 1. 1: Study, document and prioritize development planning and investment decision-making processes relevant for environmental sustainability issues at the central level (PSU). Activity 1. 1.2: At the central level, identify and organize in collaborative networks key actors related to these priority issues from Government, NGOs and the private sector (PS0. Activity 1. 1.3.- Direct, maintain and professionalize the networks to facilitate collaboration, communication and the exchange of information and to undertake studies (PSO.
' In particular, all development plans or projects will be addressed in which MPI and the provincial DPIs play a major role in the decision-making process. 7 Responsible entities are given in brackets (PSU = Project Support Unit; HNPP = Hanoi Pilot Project; QNPP = Quang Ninh Pilot Project; LDPP = Lam Dong Pilot Project). Output 1.2: In each provincial pilot project, a Provincial Project Support Committee has been established and has guided the pilot project process. Activity 1.2.1: In each PPP, identify and organize into Provincial Project Support Committees the key provincial-level actors concerned with the problems to be studied (HNPP, QNPP, LDPP). Activity 1.2.2: In each PPP, maintain and professionalize a technical project support committee with key professionals at the provincial level to facilitate collaboration (HNPP, QNPP, LDPP). Output 1.3: Ten studies have been published that are likely to enhance the knowledge of these key actors, ' and ten quarterly newsletters have been published on project activities and the topic of environment in investment decision making. Activity 1.3.1: Conduct background studies both at the central level and level of the provincial pilot projects (PSU, HNPP, QNPP, LDPP). Activity 1.3.2: Undertake a formal, broad and professional review of the key reports with input from the technical review groups (PSO.
Activity 1.3.3: Publish and disseminate study results to members of collaborative networks (e.g., through a publication series) (PSU). Activity 1.3.4: Edit and distribute the newsletter (PSO. Objective 2: Professional capacity in Vietnam to facilitate the incorporation of environment protection in investment decisions has developed.' Indicators of Success: All training needs of development planners are assessed in a participative manner; 1 support tool has been elaborated together with the users; 80% of the target staff are familiar with the support tools (in Vietnam); 3 stimulating working models for integrated planning have been elaborated and tested at the levels of the PPPs; all these proposals are documented in Vietnam and ready for replication; other programs and projects become interested in the experiences of the PPPs; 70% of the trainees are satisfied with the quality of the training courses; modules for a 1 month training course have been elaborated and tested. Output 2.1: Three working models on strategic planning under scarce resources have been made and tested in the provincial pilot project areas; a functioning environmental fund in the Hanoi pilot project. Activity 2. 1. 1: Elaborate, test and document a working model for strategic planning to rehabilitate industrial zones in the Hanoi pilot project (HNPP). Activity 2.1.2: Elaborate a plan for financing and managing an environmental fund in the Hanoi pilot project and document the results (HNPP).
These could include, for example, studies, reports, working models, problem analysis and workshop results. Systematization and decisions about publication will be done at the national level. 9 Development planners in MPI and the DPls of the PPP.q qrt= thim mAin t~irrvmt rirni in
8
Activity 2.1.3: Elaborate, test and document a working model for land-use and urban development planning in the Quang Ninh pilot project (QNPP). Activity 2.1.4: Elaborate, test and document a working model for strategic investment planning in a natural resource based industry (i.e., the silk industry) in the Lam Dong pilot project (LDPP). Output 2.2: Experiences of the PPPs are documented and made accessible in a didactic way to development planners in Vietnam (3 story books, 3 videos). Activity 2.2. 1. Elaborate a format to document the experiences of the PPPs (PSU). Activity 2.2.2: Document experiences from the PPPs in draft form (i.e., the planning process, key issues addressed and key experiences in a book and a video) (HNPP, QNPP, LDPP). Activity 2.2.1 Elaborate the final, systematic documentation (sets of story books, videos) from the raw material of Activity 2.2.2 (PPPs with PSO. Output 2.3: All project experiences are summarized in modules for a one-month training course for development planners. Activity 2.3. 1: Elaborate the concept for the training course (methodology for the training of adults, contents of modules, principles for training impact monitoring, gender dimensions, etc.) (PSU). Activity 2.3.2. Systematize experiences at the PPP level in draft modules (HNPP, QNPP,
-
LDPP).
Activity 2.3.3: Systematize experiences at the central level in draft modules (PSO.
Activity 2.3.4: Systematize experiences in consolidated and tested training modules (PPPs with PSO. Output 2.4~ A support tool is developed, tested and introduced to aid development planners in the screening of policies and plans. Activity 2.4. 1: Assess the needs of development planners in MPI and the DPIs for a support tool and elaborate the concept (including the gender dimensions of development planning) (PSO. Activity 2.4.2: Elaborate and test a draft of the support tool with users at the central levels (PSU,
HNPP, QNPP, LDPP).
Activity 2.4.3: Introduce the final version of the support tool at all levels through a series of onthe-job training and participatory workshops (PSU, HNPP, QNPP, LDPP). Output 2.5: 35 development planners at the provincial level enhanced their skills significantly through intensive collaboration with the project. Activity 2.5. 1: Involve key professionals directly in the PPPs and provide them on-thejob training (HNPP, QNPP, LDPP).
Activity 2.5.2.- Establish collaboration with a national training institute to conduct training for development planners (PSU). Activity 2.5.3: Conduct a pilot training course for development planners (PPPs and PSU). Activity 2.5.4: Conduct exchange training programs and training at the central level for provincial decision makers (PSO. Activity 2.5.5: Organize 4 study tours for 12 Vietnamese experts on particular topics (PSU). Objective 3: Consensus and concrete proposals have been developed on the problems and opportunities of adjusting policies and institutional frameworks to encourage environmentally-sound investment decision making. Indicators of Success: Main barriers discouraging environmentally-sound investments and project designs are documented; proposals to remove these barriers are discussed; consensus is built up on how to address a number of these barriers; 3 realistic proposals have been prepared by the project and submitted to relevant Government agencies for consideration as part of the Government institutional reforms; 50% of the key actors are aware of the proposal; 50% of the key actors support the proposal. Output 3.1: The main barriers hindering investors from preparing environmentally-sound development plans and project designs are identified, analyzed and discussed. Activity 3.1.1: Identify barriers with key actors from the Government and the private sector (PSO. Activity 3.1.2: Document barriers which are encountered in the PPPs (HNPP, QNPP, LDPP). Activity 3.1.3: Document these experiences in a summary document suitable for public discussion (PSO. Output 3.2: Weaknesses from an environmental point of view of the present framework for policy and plan formulation and appraisal are identified, analyzed and discussed. Activity 3.2. 1: Assess the problems of the existing institutional framework for investment decision making at the central level (PSU). Activity 3.2.2: Assess the problems of the existing institutional framework for investment decision making in each PPP (HNPP, QNPP, LDPP). Activity 3.2.3: Document results in a summary report suitable for public and political discussion (PSU).
Output 3.3: Policy recommendations and working models to incorporate environmental considerations into the investment decision-making process are proposed to the authorities in consolidated proposals. Activity 3.3. 1: Analyze alternative solutions for how to address the problems at the central level (PSU). Activity 3.3.2.- Analyze alternative solutions for how to address the problems in each PPP area (HNPP, QNPP, LDPP). Activity 3.3.3: Propose practical solutions and policy recommendations to the Government and other key actors in a summary proposal(s) to incorporate environmental considerations into the investment decision-making process(PSO. E. INPUTS EA Government Inputs
The Government of Vietnam will provide the following inputs to the project: Proiect personnel: 1 One National Project Director (NPD) who will have overall responsibility for project implementation and who will be accountable to UNDP and the Government for the quality and timeliness of project inputs, execution of project activities, delivery of project outputs, achievements of project objectives, and appropriate use of allocated UNDP funds and other resources. One full-time professional to participate in the process as a senior professional. 3. 4. 5. 6. 7. One full-time secretary, with English proficiency, and one full-time driver to be placed at the disposal of the NPD. Part-time professionals of various ministries to participate in technical review groups or in the Steering Committee of the project. Development planners as part-time professionals to participate in intensive training courses. A training institute as the main partner for the implementation of the training program. Provincial Project Directors in each pilot project area who will be responsible for local coordination and involvement of all relevant agencies; for facilitating the work of the project sub-contractors; and for ensuring that all the necessary arrangements are in place for the effective delivery of project activities
Proiect facilities: 1 Office space as required for all project activities. Such space shall be sufficient to accommodate project staff (the PSU), consultants and associated personnel and shall include all furnishings and equipment (such as air conditioners, telephones, photocopy machines, and computer printers) purchased under Phase 1 of the project. The office space shall be located in suitable premises, preferably outside MPL Office space in each of the pilot project areas.
2.
3. 4.
Vehicular transportation as required for all project activities, including consultant missions. This shall include local ground transportation for training participants. Training facilities and equipment as required for all national and provincial training seminars conducted by the project. This also include accommodations for the trainees if there is a need.
Operation and maintenance: 6. Operation and maintenance costs for all facilities and equipment purchased or used under the project. These shall include costs and/or charges for routine vehicle maintenance, spare parts and repairs, gasoline and diesel fuel, electricity and water, telecommunications (including telephone calls, faxes and E-Mails), office cleaning, etc. (UNDP will cover only the costs of international telephone bills, as indicated on BL 53.01 of the project budget).
In addition to these inputs, the counterpart at the level of the PPPs, through the Provincial People's Committees, will provide the inputs listed in Annex III for the implementation of the pilot projects. E.2 UNDP UNDP will provide funding for the project in accordance with the budget detailed in Section J. The Swiss Agency for Development and Cooperation (SDC) has agreed to provide substantial support to this project in the form of cost-sharing as outlined on the cover sheet. Subcontracts will be supported as detailed in Annex 111, international experts inputs as detailed in Annex V, training as detailed in Annex VIII, and equipment as detailed in Annex IX The joint signature of this project document by UNDP and the Government authorizes the UNDP Country Office to provide Country Office support services in accordance with the corresponding approved budget. The Country Office support services referred to above will be undertaken in adherence with applicable UNDP Financial Rules and Regulations and the NEX manual. The support services to be provided by the Country Office may include: • preparation and review of equipment specifications, • placing of purchase orders, follow-up and customs clearance, • reviewing terms of reference for personnel and sub-contracts, • reviewing terms of reference for personnel and sub-contracts prepared by the project, • monitoring and evaluation missions, • recruitment and contracting of national and international consultants and experts, • sub-contracting. The funding of such support services shall be provided by the project. The national executing agency hereby agrees with the provision of such services and concurs that the Resident Representative, in order to proceed with the required support actions, shall expend, as applicable, against the following budget lines, within the approved limits and following the relevant provisions of the UNDP Financial Rules and Regulations as defined in the NEX manual: Budqet Line BIL 23.01 Audits Amount $15,000
BIL 47.01 Vehicles BIL 53.01 Sundries BL 53.08 Public Information BL 53.09 CO Support Costs BL 158.01 LINDP Admin Costs
$60,000 3,000 $10,000 $15,000 $52,426
Country Office Support Costs (BL 53.09) shall cover actual costs incurred by UNDP for direct support to UNDP's management of the project. Expenditures made under all other line items will first be cleared by the executing agency. F. RISKS On the basis of experiences from phase 1 of the project, it seems realistic to assume that project implementation could be hampered by the following risks: Risk 1- Collaboration between the main partners, MPI and MOSTE, never effectively materializes because of institutional problems or the lack of capacity to adsorb the project. This risk is bAh since MOSTE appears to be overburdened with projects. This will be minimized through MOSTEMEA's participation in TRGs. Risk 2: The bidding process for the sub-contracts turns out to be a prolonged process and momentum is lost. This risk is tigh since approval processes within UNDP and the Government are often lengthy. This could be addressed if necessary with bridging funds to cover any lag between the end of phase 1 and start-up of phase 2. Risk 3: The Senior Advisor gets recruited late, leading to serious problems in the important conceptual phase of the project. This risk is high, since the CTA of phase 1 will leave at the end of 1997. This could be addressed by begi nning the recruitment process early based on the assumption that the project will be approved by the end of 1997. Costs related to the recruitment process could be provided with bridging funds or an advance authorization on phase 2 budget. Risk 4: The Steering Committee never starts to function, and project outputs are not brought to a high enough level of decision making, frustrating project partners. This risk is medium, although Steering Committees sometimes do not function well in Vietnam. This will be overcome partly through the participation of the project funders (UNDP and SDC) as observers on the Steering Committee. Risk 5: Sub-contractors do not contribute substantially to the project's outputs. This risk is .small and can be further reduced through effective management of the work planning and reporting process. G. PRIOR OBLIGATIONS AND PRE REQUISITES Prior Obliqations: none. Prerequisites: 1 2. 3. The NPD will be designated and other staff appointed as stipulated in Section E.1, "Government Inputs". A suitable project office will be made available to host the Project Support Unit.
The PPCs will have communicated to the NPD by letter that they will fulfill the prerequisites described in Annex 111. The Project Document will be signed by UNDP, and UNDP assistance to the project will be provided, subject to UNDP being satisfied with the prerequisites listed above have been fulfilled
or are likely to be fulfilled. When anticipated fulfillment of one or more prerequisites fails to materialize, UNDP may, as its discretion, either suspend or terminate its assistance. H. PROJECT REVIEW, REPORTING AND EVALUATION
The NPD and the Senior Advisor shall prepare an inception report to be submitted to UNDP one month after the commencement of the Senior Advisor's first mission to Vietnam. The NPID and the Senior Adviser shall also prepare combined progress reports to be submitted to UNDP on a quarterly basis. Each quarterly report will include: (1) a review of progress toward the objectives and achievements of the workplan for the previous three months under each project component (PSU and the three PPPs), (2) a proposed workplan for the following quarter, (3) a financial report for the previous three months and proposed budget for the following quarterlo, and (4) a list of training to take place within the next quarter. The report will be discussed and approved at the Quarterly Programming Meeting. The project will be subject to tripartite review meetings (TPRs) at least once every 12 months. The TPR meeting shall include representatives from the central Government, executing agency and implementing agencies, UNDP and co-financing donors. The first TPR meeting will be held within the first 12 months of project implementation. The National Project Director and/or senior project officers of the executing agency shall prepare and submit to each TPR meeting a Annual Progress Report (APR). A project terminal report will be prepared for consideration at the terminal TPR meeting. It shall be prepared in draft sufficiently in advance of the meeting to allow review and clearance by the central Government, executing agency and UNDP. The project shall be subject to a mid-term review in mid-1999 and a final evaluation three months prior to end of the project. Ad-hoc interim reviews may be carried out by UNDP and/or co-financing partners, as necessary, when requested by UNDP or the NPD. The terms of reference for these reviews and evaluations will be developed as part of project activities. A schedule of reviews is provided in Annex X. 1. LEGAL CONTEXT The project document shall be the instrument referred to as such in Article 1 of the Standard Basic Assistance Agreement between the Government of Vietnam and UNDP, signed by the parties on 21 March 1978. The host country implementing agency shall, for the purpose of the Standard Basic Assistance Agreement, refer to the Government cooperating agency described in this Agreement. The following types of revisions may be made to this document with the signature of the UNDP Resident Representative only, provided that he or she is assured that the other signatories of the TA document have no objections to the proposed changes: 1 . Revisions in, or addition of, any of the annexes of the project document;
'0 The financial reports shall be provided in accordance with NEX regulations and include a completed Government Disbursement Report, Reconciliation of Outstanding Advance, and Financial Forecast. 2. Revisions which do not involve significant changes in the immediate objectives, outputs of activities, but are caused by the rearrangement of inputs already agreed to or by cost increases due to inflation; 3. Mandatory annual revisions which rephase the delivery of agreed project inputs or increased expert or other costs due to inflation or take into account agency expenditure flexibility.
J. BUDGETS ANNEX I THE ROLE OF THE MINISTRY OF PLANNING AND INVESTMENT IN SUSTAINABLE DEVELOPMENT
The Ministry of Planning and Investment (MPI) is one of the most significant institutions shaping development processes in Vietnam. Given the strong links between environment and development, it is also a significant institution influencing environment quality in the country. Three of its functions, in particular, have a strong environmental impact: setting of national economic policy; defining development plans; and reviewing major projects. Setting National Economic Policy. MPI is charged by the Prime Minister to provide comprehensive advice on economic policies and management. It is also responsible for submitting to the Government draft laws, ordinances, decrees and other legal documents relating to mechanisms and policies in economic management. These policies dictate the way all economic activities are designed and implemented. Policy changes affect the type and scope of all development and investment, and therefore clearly influence the environmental impact of these activities. This applies to macro policy, to sectoral policy, and to micro policy. Two good examples of recent policy initiatives in Vietnam which directly and indirectly influence the environment are the doi moi process and the policies to promote industrialization and modernization. Defining Development Plans. Second, MPI is responsible for preparing all national development strategies and master plans as well as regional development plans. It guides ministries, national agencies and provincial People's Committees as they formulate and implement their own plans. MPI is also responsible for determining planning methods and procedures used in Vietnam. These development plans are prepared each year and every five years, and some cover even longer periods up to ten or fifteen years. They determine how the national budget is allocated and where and how natural resources are developed. MPI-enclorsed plans dictate the nature of state-funded projects and programs. Moreover, in the transition to a marketoriented economy, these plans are used to guide all socio-economic development, including development of the private sector. Clearly the nature and content of plans play a critical role in influencing all economic activities, and consequently the environmental situation. Reviewing Mamor Pro*ects. Projects are divided into categories A, B and C depending on the level of investment and potential impact." All category A projects have to be approved by the Prime Minister upon the recommendation of an inter-ministerial body, the State Council for Project Appraisal. MPI hosts the National Office for Project Appraisal which reviews these projects, with comments provided by departments concerned within MPI before they are submitted to the Prime Minister. The National Office for Project Appraisal within MPI acts as secretariat of the State Council for the Project Appraisal. MPI also coordinates the preparation of project assessments.
11
According to the Decree No. 42 issued by the Prime Minister July 1996 and recently updated by the Decree No. 92 issued by Prime Minister in August 1997, in terms of the total investment all projects over 75 billion VND are grouped in the category A. The category B includes those projects with the investment between 7 to 75 billion VND. The rest (under 7 billion VND) belong to the category C.
Category 'B' projects, in most cases, can be approved by the ministries or provinces concerned after gaining the agreement of MPI and the Ministry of Construction. Approval given by ministers or PPC chairmen is based upon the recommendations of the Project Appraisal Council established at the ministerial or provincial level. Members of this council are similar to those of the State Council for Project Appraisal. Category 'C' projects can be approved by ministries and provinces concerned without the agreement from MPL The central role played by MPI in the appraisal, approval and monitoring of individual investment projects is its most immediate and direct opportunity to influence environmental management and to assist Government agencies responsible for environmental protection in their work. z Project Concept Feasibility Study and EIA Report
.4
Appraisal and Approval of EIA Report
4
3
The links between concerned institutions is shown in Figure LA, and the investment appraisal process is shown in Figure I.B.
Government of Vietnam
Project Appraisal Committee
Ministry of Finance Other Ministries Ministry of Planning and Investment Ministry of Science Technolol and Environment Department of Financial Poli y Department of Planning and Investment Department of Science Education and Environmen National Environment Agenc Department of Science 14 Technology and Environme 0 Administrative relationship T Provincial People's Committees
11~
Technical guidance relationship Deparment of No W V Dept. of Science Technology and Environment Planning and Investment
Figure LA -- The Position of MPI Environment and Investments
Project Document VIE/97/007
ANNEX 11 WORKPLAN 1 -Apr-98 FINAL Page 25 Environment and Investments Project Document VIE/97/007 1 -Apr-98 FINAL Page 26 Environment and Investments Project Document VIE/97/007 1 -Apr-98 FINAL Page 27 ANNEX III DESCRIPTION OF THE COMPONENTS TO BE SUBCONTRACTED
A.
GENERAL PRINCIPLES FOR SUB-CONTRACTING
This annex provides a more detailed description of the components of the project to be subcontracted. It should be used in connection with the general guidelines for the bidding process contained in Annex V11. In this section (section A), some general principles about the eligibility of consultant firms and/or NGOs are presented. This section serves as a general introduction to the more specific details provided in sections B through D. A.1 Introduction The provincial pilot projects (PPPs) will be implemented through sub-contracts. Although the PPPs will have a life of their own shaped by the professional inputs of the sub-contractor, the sub-contracted activities together should lead to a common set of outputs as specified in sections C and D of the project document. The overall expectation to be shared by all subcontractors is that sustainable development planning methods are to be developed and tested at the local level for potential application and replication at the regional and national level. This implies, that: 1 Policies, procedures and methods for sustainable development planning are identified and tested at the local level; 2. 3. The development planning skills of local and central planners and environment managers involved in the pilot are enhanced; Methodologies are tested and lessons are learned at the level of the pilot projects which are then well communicated to the central level.
It is important that all organizations selected to implement sub-contracts under this project share this common vision. A.2 Toward Shared Objectives
All phase 2 activities are closely linked. The three PPPs in Hanoi, Lam Dong and Quang Ninh are one of the main strategies to develop capacity at the national level. All of these PPPs should contribute to achieve the overall objectives of the project as stated in the project document. The project will aim to influence economic and development planning nationally in Vietnam. "Nationally" is taken to include both central government agencies as well as the 58 provinces of Vietnam. It is therefore essential that all sub-contracted components of the project lead to practical and replicable models and experiences, oriented toward the overall objective of capacity building and suitable for implementation in a development context with scarce resources.
The systematic documentation of the many experiences under the PPPs is important to support the capacity building process and replication at the national level. This will require that the subcontractors have some experience in action-research type projects especially in inter-cultural settings. A.3 Selection of Sub-Contractors The sub-contractors will be selected through a bidding process that will include prequalification and the submission of technical and financial proposals upon invitation by the project. Eligibility criteria are described in qualitative terms in this annex, and additional details are given in Annex VII. Given the specific nature of the project, and the need for capacity building through the exchange of information, it is likely that proposals from combined Vietnamese and international firms/institutions will be the most competitive ones. The selection of sub-contractors will be made by a Selection Committee comprised of six members: the NPD, Senior Advisor, PPD and representatives from MPI, UNDID and SDC. In evaluating technical proposals, the Selection Committee will use the following criteria for guidance (relative weights of the criteria are given in brackets): • qualifications of team members (30%); • quality and creativity of the technical proposal to meet project objectives (25%); prior experience with international development projects (20%); prior experience of the team with action-research projects (15%);
0
prior experience in Vietnam of the international team members (10%).
Sub-contractors should also demonstrate their experience and ability to incorporate gender dimensions into development planning. After carefully evaluating proposals, the Selection Committee will decide on the best proposal by majority vote. In the case of a equal votes, the chairman of the Selection Committee (the NPD) will make the final decision. Financial proposals will then be opened and evaluated, and assuming the financial proposal of the preferred subcontractor is competitive, the NPD, with assistance from the Contract Specialist, will enter into contract negotiations with the sub-contractor. The negotiated contract together with all required documentation will be submitted to the UNDP/GOV Local Contracts Committee (LCC) for final clearance. A.4 Process of Plan Development The PPPs will inevitably be shaped to a large extent by the professional capacity and inputs of the sub-contractors selected for project implementation. Solutions are not yet available to the problems under study. Nonetheless, each PPP will most likely need to undertake the following steps (for which estimated levels of effort are given in brackets): 1. Work Program: Elaborate the work program, specifying the partners involved, planning objectives, and major activities and dates (5%) 2. Base Line Studies: Document the facts-, collect relevant data; classify information (30%)
3. Concept Development: Outline and assess alternative concepts to address the problems (cost-benefit analysis); involve partners in the decision on the concepts to be followed; make a decision (20%) 4. 5. Plan Formulation: Elaborate the methods and instruments needed to implement the plan (e.g., a proposal for a zoning plan); assess the instruments with relevant authorities (25%) Plan Approval and Implementation: Discuss the plan with relevant authorities; incorporate changes that are suggested (20 %)
It can be assumed that about 70% of the project inputs will be spent on this planning process. The other 30% should be spent on documenting the experiences (to be submitted in draft form to the PSU; see attached table). In each PPP, the Provincial People's Committee will designate a Provincial Project Director and members of the Provincial Project Support Committee and communicate these names to the NPD. The sub-contractor will report on a day-to-day basis to the PPD with the technical and overall administrative line to the NPD. A.5 Main Outputs The following table gives an overview of the main outputs and activities to be carried out by the sub-contractors and the PSU. The PPP outputs are specified in more detail in sections B through D. The sub-contractors will be required to collaborate with the PSU in shaping project outputs. It is not guaranteed that all PPPs will lead to a positive outcomes since they are expected to operate under real as opposed to theoretical conditions. Therefore, the PPPs may "fail" in the sense that workable and effective solutions to the real planning problems are not found. Nevertheless, it is important that the experiences are documented and lessons learned. Each PPP will lead to the following main outputs: 1 A draft booklet 50-70 pages in length to document the core experiences of the project (with formats defined by the PSU together with the sub-contractors). 2. Documentation of the core experiences of the project in a video (with formats defined by the PSU together with the sub-contractors). 3. Raw materials for training modules for advanced training of development planners to be used in capacity building in Vietnam (with formats defined by the PSU together with the sub-contractors). 4. An analysis of barriers to better planning and project designs, and proposals on how to overcome these barriers (to be considered in the project's overall proposal). 5. A proposal on how to adjust the institutional framework at the local level (to be considered in the project's overall proposal). 6. A description of the working model recommended for replication (15-25 pages). 7. An example of the specific output produced in the PPP to test the working model. A number of these outputs should cover the gender dimensions of development planning including the documentation on core experiences, training modules, analysis of barriers, and working model. Outputs numbers 6 and 7 should also be presented in Vietnamese. A.6 Methodological Approach Pre-qualified sub-contractors will be asked to submit technical proposals on how they would address the problems in the project area methodologically. Creativity will be one of the key criteria in selecting the sub-contractor. Working methods should be (1) professionally sound; (2) adapted to the local development context; (3) suitable for replication on a larger scale; (4) strategically oriented to prioritize problems, considering the costs and benefits of the planning exercises; (5) sensitive to social criteria including gender and poverty; and (6) simple and easily communicated to the main actors and local staff. In view of the latter, the main outputs must be in Vietnamese. A.7 Project Team
For the PPPs, a mixed team of expatriate and national experts working for the subcontractor will most likely achieve the best results, both in terms of results and in terms of efficiency in project implementation. The mix of experts will be an important criteria in the pre-qualification process.
Areas of expertise and estimated levels of effort are provided in sections B to D. Ideally, the PPP team will include, but not be limited to, the following specialists: (1) a senior environmental or urban planner, (2) subject matter specialists with a technical background, (3) an environmental or natural resource economist, (4) a communications specialist with experiences in planning and documentation, (5) national professionals; (6) a translator/interpreter and (7) support staff. The sub-contractor will also be supported national and expatriate experts from the central level. It is likely that consensus building will be achieved through using advanced methods of visualization and workshop facilitation. Competence in this field is therefore essential. A.8 Implementation The organizational structure of project implementation is provided in Annex IV. The contract between the NPID and the sub-contractor will specify a schedule of payments and associated milestones or deliverables upon which the payments will be based. Payments will be contingent upon the submission of quarterly workplans and participation in the Quarterly Programming Meetings. Specific duties of the sub-contractor will include: preparing all workplans and reports to the NPID, in coordination with the PPD; preparing quarterly progress reports (in Vietnamese), submitted to the PPID and NPD; organizing meetings to present these reports; organizing all meetings, seminars, technical working groups, workshops and provincial training in line with the agreed workplan; submitting requests to the PSU for support from centrally-based international experts and the organization of international study tours and fellowships. Specific duties of the NPID, supported by the PSU, will be to: • consider and approve workplans in a timely manner; • provide technical support for designing outputs (in the form of standards, examples); • review and provide comments on the project's outputs in a timely manner. The PPID will be responsible for coordinating the project with the local authorities and facilitating the monthly meetings of the Provincial Project Support Committee. Members of the Provincial Project Support Committee at the provincial level will be paid per diems since they are working in the public interest.
A.9
Matrix for Structuring Responsibilities
Activity 1. 1. 1 .. Study and document processes 1.1.2: Identify and organize key actors at central level 1.1.3: Direct and professionalize networks 1.1.4: Encourage consolidation of a BCSD 1.2.1: Identify and organize key provincial actors 1.2.2 . Maintain and professionalize technical support committee 1.3.1 . Undertake background studies 1.3.2'. Review outputs by technical review groups 1.3.3: Publish and disseminate study results 1.3.4. Edit and distribute newsletter 2.1.1: Elaborate and test model for industrial zone planning 2.1.2 . Elaborate plan for environmental fund and document 2.1.3. Elaborate and test model on land-use planning 2.1.4 . Elaborate and test working model in silk industry
HNPP
QNPP
LDPP
PSU
X X X X
X X X
X X X
X X X X X X X
X X X X
2.2.1: Elaborate format to document experiences 2.2.2: Document experiences in draft form 2.2.3: Elaborate final documentation from raw material 2.3.1: Elaborate training strategy 2.3.2 . Systematize PPP experiences in draft training modules 2.3.3: Systematize central experiences in draft training modules 2.3.4: Systematize experiences in consolidated training modules 2.4.1 -. Assess needs for support tools 2.4.2: Elaborate and test support tools 2.4.3: Introduce support tools at all levels 2.5.1. Involve key actors in on-the-job training 2.5.2: Establish collaboration with local training institute 2.5.3: Conduct pilot training course 2.5.4: Conduct exchange program 2.5.5: Organize study tours 3.1.1: Identify barriers 3.1.2 . Identify barriers in each PPP 3.1.3: Document experiences in summary document 3.2.1: Assess institutional problems at central level 3.2.2'. Assess institutional problems in each PPP 3.2.3: Document results in summary report 3.3.1: Analyze alternative solutions at central level 3.3.2: Analyze alternative solutions in each PPP 3.3.3: Develop summary proposal with practical solutions
A- X X X X X X X X X X X X X X X X X X X X X X X X XX X X X X X X X X X X X X X
B.
OUTLINE OF THE HANOI PILOT PROJECT
B.1 Introduction The Hanoi Pilot Project (HNPP) will focus on the Thuong Dinh industrial zone which is facing great challenges in environment protection as a result of industrial and urban development. Therefore, its main focus will be to: elaborate a low-cost working model for strategic planning and the rehabilitation of industrial zones, taking into account economic and environmental factors. The pilot project will last 18 months tentatively executed in three major blocks. B.2 Project Background
The Thuong Dinh industrial zone is located in the southwest section of Hanoi and covers 94 hectares. The zone is occupied by 49 factories, 862 small enterprise and 72,000 inhabitants. It accounts for 21 % of Hanoi's industrial production and 25% of the "turnover" in private industrial production. Almost all of the infrastructure and industrial units in this zone were built during the period 1955-1960. Problem Description. Industrial production in this area has caused serious environmental pollution problems for some time now. Initially, Thuong Dinh was planned for industrial use only, but it is now an intensive unplanned mix of homes, factories, small recreation areas and infrastructure. Treatment of industrial and domestic wastes is minimal, leading to serious air and water pollution. On average, only 40% of solid waste is collected and a high proportion of raw sewage and effluents from the area finds its way to the To Lich river which drains north to south from Ho Tay (West Lake) to the Nhue river. Each day, about 15,500 M3 of untreated wastewater is discharged into sewers and canals and then to the To Lich river; 46% of this is from industry and the remainder from domestic sources.
The issue of water quality in the river is a challenge for planners and requires collective and coordinated action from all levels of government, the private sector and local communities. It will involve understanding the problem by those affecting the river environment, developing priorities for action, agreeing on management actions, and clearly defining and accepting responsibilities. In itself, the quality of the To Lich river is not one of the greatest development concerns facing Hanoi. However it links a number of major issues in a way that could demonstrate how sustainable development planning in a healthy city should proceed. Main Partners. Through phase 1 activities and discussions between Hanoi authorities and members of the project design team, a high level of motivation to collaborate with the project was apparent on the part of the local partners. The Hanoi Department of Science Technology and Environment (DOSTE) was a driving force in phase 1 of the project. Under the leadership of the chairman of the Hanoi's People's Committee (Hanoi PC), all relevant government departments will play a role in the implementation of the HNPP. These include the Hanoi Authority for Planning and Investment (HAPI), DOSTE, the Department of Industry (DOI), as well as the Thanh Xuan district authorities. Achievements under Phase 1. A number of preliminary evaluations and informative workshops on the area's environmental issues were carried out in Hanoi during phase 1. Through these, a number of recommendations for priority solutions were identified and a number of core activities to be carried out under phase 2 were identified. B.3 Specific Problems to be Addressed The core problem for phase 2 is to methodologically address the problems analyzed under phase 1 through a rational and strategic planning approach, leading to an integrated proposal on how to address the problems with a set of economic and environmental planning measures. Of particular interest is to develop and, if possible, implement a realistic model of how to work with environmental funds involving all the key actors from the industrial sector and the Government (mainly MOSTE and MOF both of which are working on this policy instrument). B.4 Specific Outputs and Activities The project should lead to the general outputs specified in sections C and D of the project document and described in Part A of this annex. B.5 Inputs into the Working Model
Some preliminary thinking has been done on the main characteristics of the working model to be developed under activity 2. 1. 1. More details can be found in the documentation of phase 1. This documentation can serve as a guide to possible directions the sub-contractor could take. However, the sub-contractor is also expected to contribute his own methodological know-how to the solution of the problem. The process will most likely involve the following sub-outputs and subactivities: Planninq Proqram. As part of the planning process, the sub-contractor should undertake a number of preliminary planning activities including: (1) identifying the main partners for the pilot project together with HAPI, DOSTE and the Thanh Xuan People's Committee; (2) defining boundaries of project site, preferably congruent with an administrative boundary (e.g., the original industrial zone boundary covering three wards of Thanh Xuan District); (3) conducting an initial series of on site meetings to more clearly define and understand project constituentsl and (4) forming a technical working group. The site meeting should include at least the following: the most significant industrial plants in the zone the three ward People's Committees a cross section of local residents
representatives of government agencies with responsibilities in the area a cross section of private enterprise (including women entrepreneurs) The technical working group (local planning network) should consist of representatives of key government agencies, both municipal and central, with responsibilities in the project site. This group will be the primary target for planning capacity building and undertaking substantive activities related to the project. It would be linked to the networks initiated during phase 1. The group should initiate task forces to address specific issues, coming together regularly to discuss findings and to provide technical guidance. Background Technical Studies. The sub-contractor would also need to undertake a number of detailed background technical studies in the project area. The purposes of the studies would be to: (1) begin involving the various project constituents in identifying and thinking through the main development and environmental issues of concern to the site; (2) gather sufficient factual information on the site to be able to define the problems and trends including the conflicts in resource use and development aspirations; and (3) provide the framework for initial practical field training. The information in the studies would provide the basis for undertaking area wide planning process. It should be noted that project "constituents" must include both men and women, as well as the relatively well-off and the poor. Conflicts in resource use and development aspirations are likely to result from differences in gender and class. Therefore, all parties must be fairly represented in the technical studies. The studies would gather information on the socio-economic (disaggregated by gender where appropriate) and biophysical characteristics of the area; the institutional arrangements and responsibilities; policies affecting development in the ward including provincial, sectoral and municipal plans and regulations; current development control procedures and environmental management programs relating to the site; and a review of all economic enterprises operating in the area and of developments in the pipeline. The sub-contractor would also need to conduct a rapid survey of the To Lich river. The To Lich river provides the natural system link between the planning at the local level and the district and city levels. A river profile should be compiled to better understand the main development and institutional influences on the river; as a training exercise for the project technical working group; and to begin awareness raising of the need for integration between the different levels and forms of economic and urban planning affecting the river. The three main studies to be undertaken include: a pollution survey to assess the nature, quantities and sources of effluents into the river; a socio-economic survey of the communities and enterprises linked to the river; an institutional analysis of the government agencies whose decisions impact the river. Finally, the background studies should include an environmental audit of the impacts on the project area of existing factories and other forms of development within the area. The cumulative impact of small enterprise would be assessed according to production categories. Public Participation. The above studies should be accompanied by a series of interactive public meetings and participatory appraisal exercises. In collaboration with the appropriate government authorities, the sub-contractor will facilitate the formation of a sustainable development action committee for Thuong Dinh. Business enterprises, both public and private, located in the zone will have an essential role in providing guidance and inputs to background studies and in planning and management of the area. This committee would include representatives of the 49 large factories as well as smaller enterprises. The sub-contractor will also facilitate the formation of a residents action group for Thuong Dinh. Communities living and working within the Thuong Dinh will need to be closely involved in each step of the project. With the approval and guidance from the Thanh Xuan district and ward
People's Committees, the residents action group would be formed to serve as the main contact point with residents on planning and action within the zone. Both the sustainable development action committee and the residents action group should have an appropriate number of women representatives, in the case of the later constituting approximately half of the group's membership. Inte,qrated Action Plan. On the basis of project experiences, an integrated action plan should be formulated. The action plan should take into account gender issues where appropriate. The process for developing this action plan should include at least the following steps: 1. Identify immediate priorities for action. This would be an important step not only in addressing the most urgent environmental concerns but in providing training on setting priorities in general. Practical actions addressing priority problems need to begin as early as possible. This will build commitment in the local community and increase the overall chances of project success. It will also provide the project with rapid lessons on approaches that can help in long-term planning. Categories of priorities would need to be identified including, for example, those which would require (1) local resources alone, (2) modest inputs from the project and/or district government; and (3) substantial inputs from outside the project area. Some forms of solid waste clean up management, for example, could be tackled by the local community with their own initiative and resources. Many waste minimization and pollution control actions could also be taken through the individual or collective efforts of the main factories in the zone. 2. Prepare and implement a short-term (one year) action plan to address the most urgent problems. The plan should identify the roles and responsibilities of enterprise, government and local residents in implementation; the sources of funds and the implementation arrangements; and the mix of agreed instrument to be applied. The agreed action plan would need to be built onto the other government plans affecting the project area. Appropriate management structures and monitoring arrangements would need to be set in place to give all key project constituents an ongoing role in implementation and allow for needed adjustments stemming from experiences gained under the project. This would involve the district and ward people's committees and the technical working group in a series of consultative meetings with provincial and sectoral counterparts 3. Prepare a long-term (i.e., five year) sustainable development plan for the project area. The process of preparing the five-year sustainable development plan would run in parallel with implementation of the one-year action plan, allowing for feedback on management approaches and instruments to help shape the longer term development framework. The long-term plan will need to consider the following elements: Definition of development options. A collaborative assessment of the area would generate a range of development options while providing needed information and developing capacities to conduct such assessments. This activity would involve the preparation of a series of maps setting out the options for wider discussion and decisions. Area wide environmental assessment of proposed development. An area wide environmental assessment of anticipated and potential developments would need to be undertaken as a step in analyzing the costs and benefits of alternative development options. The assessment would include. • the formulation of a simple model to predict future impacts of existing planning and economic policies on the project area • assessment of cumulative impacts of development proposals • environmental and economic cost benefit analysis of proposed development projects
Critical natural areas and remedial action. The environmental audit and-area-wide assessment will identify those areas within the industrial zone requiring special management treatment to improve or maintain their important values. Some areas will require a program of clean up and other management interventions, such as the To Lich river banks and tributary canals and streams. Other areas will require special protection or enhancement such as landscaping. These areas and the associated management actions need to be identified on maps for inclusion in the sustainable development plan for the project area. Zoninq options for Thuong Dinh. The environmental audit and background studies should provide sufficient information for the technical working group to prepare a number of zoning options for wider discussion with district planning authorities, relevant industries leaders and local community representatives. These parties may agree, for example, to place stricter controls on future industrial development in certain areas or to designate certain blocks as recreation areas or green space. The zoning plan must recognize the existing situation, the development potential and the particular environmental sensitivity of different areas within Thuong Dinh. Each zone should be covered by a set of development control guidelines and environmental standards that can be used to determine the kinds of activities that can be permitted in that area. The system of zoning adopted would need to be reflected in detailed zoning maps. No zoning plan is set in concrete. It should be assumed that new developments will respect zoning controls and that existing activities will be modified in line with the zones. But institutional arrangements are needed to ensure that individuals or enterprises can request or appeal against proposed zoning variations. 4. Implement the long-term sustainable development plan. Although not under the responsibility of the sub-contractor, year three of the project would concentrate on the following two lines of activity: the preparation and implementation of ward level annual plans based on the previous years experience and changing priorities; the integration of the annual and the long-term plans into the district, provincial and relevant sectoral development plans so that the authority of the "local plan" is recognized of qualified. Environment Fund. The sub-contractor will develop a plan for financing and managing an environmental fund. The fund would provide small grants for agreed management actions affecting the environmental quality of Thuong Dinh. Such a fund could facilitate the testing of various economic instruments to promote sustainable development of the area. These could include, for example, service fees, fines and subsidies. The fund would be managed by a board including representatives of the Thanh Xuan People's Committees, the ward people's committees, the sustainable development action committee and the residents action group. Use of the fund would be dependent of the formulation of an agreed action plan and accountable and open fund management arrangements. Contributions to the fund from enterprises and the community would be essential and would be mobilized through the provision of matching funds from external donors. B.6 Workplan Proposal It is expected that the sub-contractor, on the basis of this initial proposal, will present an improved technical proposal to be discussed by project management. The sub-contractor will submit quarterly workplans, to be approved in the Quarterly Programming Meeting, in which he will give more details on the activities to be carried out and the budgets. B.7 Project Implementation Aspects Institutional Arranplements. The Hanoi PC together with HAPI, DOSTE, and DOI and the responsible partners of the industrial zone will notify the NPD regarding their proposed
working arrangements for the pilot project following the model presented in annex IV. The Hanoi PC will designate a Provincial Project Director (PPD) to be the direct counterpart of the project team. They will also set up a local Project Support Committee. From an administrative point of view, the sub-contractor will work under the direct supervision of the NPD located in Hanoi. From a technical point of view, the sub-contractor will need to take into account the inputs from the local Project Support Committee, chaired by the PPD. Proiect Manaqement. Project management will be undertaken primarily at the level of Quarterly Programming Meetings which will approve quarterly workplans and budgets. The PPD will participate in these meetings. The local Project Support Committee will meet at least monthly. The sub-contractor will act as the secretariat of the local Project Support Committee. Counterpart Inputs. The Hanoi PC will provide the following inputs to the project: • One Provincial Project Director who shall have overall responsibility for project implementation at the technical level; • One counterpart in HAPI and one counterpart in DOSTE; • Vehicular transportation as required for all project activities inside Hanoi;
• Office space as required for all project activities, sufficient to accommodate project staff, consultants and associated personnel. The office shall include all furnishings, air conditioners, telephones, electricity, and cleaning services. One large meeting room to be used for project meetings and workshops. Operation and maintenance costs for all facilities and equipment. Sub-Contractor Inputs. The sub-contractor is expected to provide a number of inputs. Although these inputs will be identified in more detail in the bid documents, and it will up to the subcontractors to identify in their proposals all inputs needed to achieve the expected results, an indicative list of inputs includes the following: International Environmental Planner 6 work-months International Environmental Economist 3 work-months International Communications Specialist 2 work-months International Training Specialist 2 work-month International Expert 1 work-month National Urban Planner As needed (possibly full-time) National Economist As needed (possibly full-time) National Training Specialist As needed (possibly full-time) National Communications Specialist As needed (possibly full-time) Trans lator/I nterpreter 12 work-months Secretary As needed (possibly full-time) Committee Meetings 18 total (or as needed for Output 2.2) Consultation Meetings 8 total (or as needed) Workshops 8 total (or as needed) Local Training As needed Training Materials As needed for Output 2.3 Background Studies (sub-contracts) As needed for Output 1.3 and others Documentation of Experiences As needed for Output 2.2
In-country travel (outside of Hanoi)
As needed
Operational Costs (including telephone) As needed Reporting. The sub-contractor will report on a quarterly basis. He will also submit a final report at the end of the project. B.8 Coordination with Other Projects
The sub-contractor will ensure coordination with other projects at the local level. If there is a need for coordination with other ODA-assisted projects operating at the national level, the subcontractor should inform the Project Support Unit. The sub-contractor must certify in writing that he is not working for or developing initiatives that would constitute a conflict of interest with his work on this project. B.9 Other Considerations
Initial thinking has been done on possible pilot activities that could be funded through the environmental fund discussed in section BA of the project document. Examples are: Seed money for a local environmental fund Support to individual plants to implement plant-level environmental plans Grants to community groups for waste management initiatives OUTLINE OF THE QUANG NINH PILOT PROJECT
C.
CA Introduction The Quang Ninh Pilot Project (QNPP) will focus on an urban area that is receiving considerable attention and is facing major development challenges in tourism, coal mining and sea port development. Therefore, its main focus will be to: elaborate a working model for land-use planning suitable for urban development master planning under scarce resources and in areas facing rapid changes through uncontrolled development and having historic and cultural values (economic resources) to preserve. The pilot project will last for 18 months tentatively executed in three blocks. Since the local authorities do not yet have the capacity to respond to increasing pressures from multinational land developers, there is an urgent need to initiate this capacity building project as quickly as possible. C.2 Project Background The project site is located in one of Vietnam's three economic growth triangles. At the same time, one of the outstanding attractions included within the city boundary is Halong Bay which, in 1994, was listed as a World Heritage Site by UNESCO. The area is facing major development challenges since a number of coal storage sites, located in the center of the urban area, will be released and sold for urban development projects. In 1993, the administrative area of Hong Gai town was expanded to included 18 wards covering 150 square kilometers with a coastline of around 30 kilometers. This town was renamed Halong City and was made the capital of Quang Ninh province. Its current population is 150,000 which is expected to grow to around 500,000 by the year 2010. Problem Description. The area's beauty represents a major challenge for sustainable economic development through tourism (or eco-tourism). A number of proposals have been made, but the local authorities lack capacity to systematically address conflicting resource uses and to plan the city's development in a direction that will be of long-term economic benefit for its population.
Each year, around one million tons of coal pass through the city center to the port of Hong Gai. The coal loading facility is directly linked by rail to a 150-year-old coal washery built under the French administration and to three coal storage areas. All of these facilities, including the port, are located within a one-square-kilometer area in the city center. The Prime Minister has decided that, for environmental reasons, all coal processing, storage and loading facilities should be relocated out of the city center to a new coal washery at Cang Nam. This would release several large parcels of land in the city center for urban development. Several of these parcels have direct viewsheds of the World Heritage Site and/or direct access to the sea. In 1996, an urban master plan was approved for Halong City covering the years 1995-2010. The plan was not developed with the level of detail necessary for guiding specific planning decisions that will need to be made in the coming years. Nor does it include development control and environmental quality standards. The level of quality could also be substantially improved. Since Halong Bay has recently been upgraded to a city, the master plan will need to be revised in any case. Given these factors, the QNPP is a unique opportunity to undertake a project that could receive wide attention by professionals inside and outside Vietnam. More importantly, it could have a significant impact on the sustainable development and preservation of one of Vietnam's most unique natural and cultural sites. Main Partners. Under the leadership of the chairman of the Quang Ninh Provincial People's Committee (PPC), all relevant government departments will play a role in the implementation of the QNPP. This includes the Departments of Planning and Investment (DPI), Science technology and Environment (DOSTE), Construction (DOC) and Tourism (DOT). VINACOAL will also be involved since it is to relocate its installations and owns the coal washery and storage sites. Achievements under Phase 1. A number of consultative planning workshops were held in Quang Ninh and the site and focus of the PPP was determined by local authorities. C.3 Specific Problems to be Addressed
Specific problems to be addressed have been documented in a number of background studies prepared under phase 1. These studies should be taken into consideration in planning activities under the pilot project. The core problem is to improve the methodological approach currently used for land-use and urban development planning, adjusting it to the real needs within the political context. It is expected that the project will lead to a draft land-use plan for a portion of Halong City. The methodology used to develop that plan could eventually be adopted and become a standard for land-use and/or urban master planning in Vietnam. The format for this planning has to take into consideration the specific context of developing countries: i.e., it must have a strategic orientation, promote transparency, and be adapted to the scarcity of professional and financial resources of many city administrations in Vietnam. Issues of relative political and economic power among relevant actors will need to be addressed as well, as will the social dimensions of the problems. C.4 Specific Outputs, Activities The project should lead to the general outputs specified in sections C and D of the project document and described in Part A in this annex C.5 Inputs into the Working Model
Some preliminary thinking has been done on the main characteristics of the working model to be developed under activity 2.1.1. More details can be found in the documentation of phase 1.
In any case, the sub-contractor is expected to contribute his own methodological know-how to the solution of the problem. The process most likely can be structured into the following steps (each one with a specific output): • finalizing the planning program; • conducting baseline studies on the community and its development potential; • organizing interactive public meetings and participatory appraisal exercises; identifying immediate priorities for action; defining, reviewing and assessing proposed development options; formulating principles, objectives, design criteria of alternative community design; preparing integrated community development plans and design guidelines; documenting the process. Baseline studies should be gender-sensitive and sex-disaggregated where appropriate. Workshops and training should include gender and social aspects of planning wherever possible. Site meetings must include an appropriate number of women representatives. Action plans should be gender sensitive. For all of these, the sub-contractor should have the capacity for social and gender analysis. C.6 Workplan Proposal
It is expected that the sub-contractor, on the basis of this initial proposal, will present an improved proposal to be discussed by project management. The sub-contractor will submit quarterly workplans, to be approved in the Quarterly Programming Meetings, in which he will give more details on the activities to be carried out and the budgets. C.7 Project Implementation Aspects
Institutional Arrangements. The PPC together with DPI, DOSTE and DOC will notify the NPD regarding their proposed working arrangements for the pilot project following the model presented in Annex IV. The PPC will designate a Provincial Project Director (PPD) to be the direct counterpart of the project team. They will also set up a provincial Project Support Committee. From an administrative point of view, the sub-contractor will work under the direct supervision of the NPD located in Hanoi. From the technical point of view, the sub-contractor will need to take into account inputs from the provincial Project Support Committee, chaired by the PPD. Proiect Manaqement. Project management will be undertaken primarily at the level of the Quarterly Programming Meetings which will approve quarterly workplans and budgets. The PPD will participate in these meetings. The provincial Project Support Committee will meet at least monthly. The sub-contractor will act as the secretariat of the Project Support Committee. Counterpart Inputs. The PPC will provide the following inputs to the project: One Provincial Project Director (PPD) who shall have overall responsibility for project implementation at the technical level; One counterpart in DPI1 One counterpart in DOSTE; Vehicular transportation as required for all project activities only inside Halong; Office space as required for all project activities, sufficient to accommodate project staff, consultants and associated personnel. The office shall include furnishings, air conditioners, telephones, electricity and cleaning services.
• One large meeting room to be used for project meetings and workshops. • Operation and maintenance costs for all facilities and equipment. Sub-Contractor Inputs. The sub-contractor is expected to provide a number of inputs. Although these inputs will be identified in more detail in the bid documents, and it will up to the subcontractors to identify in their proposals all inputs needed to achieve the expected results, an indicative list of inputs includes the following: • International Urban Planner • International Communications Specialist International Training Specialist International Expert National Urban Planner National Economist National Training Specialist National Communications Specialist Translator/Interpreter Secretary • Committee Meetings • Consultation Meetings • Workshops • Local Training • Training Materials Background Studies (sub-contracts) Documentation of Experiences In-country travel (outside of Hanoi) Operational Costs (including telephone) 8 work-months 2 work-months 2 work-month 3 work-months As needed (possibly full-time) As needed (possibly full-time) As needed (possibly full-time) As needed (possibly full-time) 12 work-months As needed (possibly full-time) 18 total (or as needed for Output 2.2) 8 total (or as needed) 8 total (or as needed) As needed As needed for Output 2.3 As needed for Output 1.3 and others As needed for Output 2.2 As needed As needed
Reporting. The sub-contractor will report on a quarterly basis. He will also submit a final report at the end of the project. C.8 Coordination with Other Projects The sub-contractor will ensure coordination with other projects at the local level. If there is a need for coordination with other ODA-assisted projects operating at the national level, the subcontractor must inform the Project Management Unit at the central level. The subcontractor must certify in writing that he is not working for or developing initiatives that would constitute a conflict of interest with his work on this project. C.9 Other Considerations Initial thinking has been done on possible pilot activities that could be funded through the environmental funds mentioned under section BA of the project document. Examples are: activities to improve structures for eco-tourism in the area. activities to market the potential of Halong Bay for eco-tourism. D. Outline of the Lam Dong Pilot Project DA Introduction
The Lam Dong Pilot Project (LDPP) will focus on the problem of sustainable development of the silk industry in Bao Loc. Therefore, its main focus will be to: elaborate an integrated planning of an industry which addresses the planning and environmental problems relating to a) the primary production phase of the industry,and, b) the secondary production phase. The roles, responsibilities and linkage of the different planning levels as they impinge on the industry and its environment will be a primary concern. The pilot project will last for 15 months tentatively executed in three major blocks. D-2 Project Background Bao Loc in Lam Dong Province is Vietnam's silk capital. It is where the national silk industry association has its headquarters and where are high proportion of the country's silk is produced. The silk industry is of national importance as a symbol of cultural heritage and in contributing some $30 million each year to the economy from state owned enterprise and a further $30 million through the expanding private sector. It is a labor intensive industry and a significant employer. In Bao Loc there are four silk processing plants and three weaving factories which are state owned, and some 46 small processing facilities which are privately owned. These plants employ over 7000 people and are linked to several thousand farmers who grow mulberry for the silk worms. During 1990-93, the industry experienced a surge in production, but since then, has seen an equally dramatic fall in productivity, quality and prices. For example, over the past ten years the harvesting of mulberry leaves has fallen from 12 metric tons per hectare to as low as 4 tons/ha in some areas. Farmers are shifting to other crops and the master plan targets for the silk industry in Bao Loc and Lam Dong Province have become unrealistic. The principle causes of this serious decline relate to environmental problems and inadequate planning. These causes are the focus of the Bao Loc pilot project. The potential for a silk industry recovery is high. Bao Loc is located near the southern economic growth triangle; it has suitable soils; water resources and a growing labor force. The industry has two main components, the first concerned with primary production of the raw materials, and the second, processing and marketing Problem Description. The silk industry is facing serious economic problems. Around $18 million have been invested in new equipment, but it is likely that the industry will collapse if no remedial action is taken. Some of the problems faced by the silk industry are related to environmental degradation. These include: 1 . Primary production. There is a high rate of immigration to Lam Dong province from other areas of the country, particularly the economically disadvantaged northern hill regions. Recent settlers are encroaching on steep slopes and forested lands to establish their farms. Mulberry plantations moved onto slopes of 15 degrees and over leading to destruction of forests; massive soil loss of 120 tons/ha each year; and reduced water quality due to sedimentation. Soil fertility and water retention capacity has fallen. The use of pesticides and fertilizers has increased. Other environmental problems arise due to the chemical treatment of cocoons, silk worm pathologies and organic wastes. Communities are subjected to unpleasant odors associated with cocoon drying. Environmental and land-use guidelines and zoning controls do not adequately address these problems, and master plans call for unrealistic production targets without full regard to the consequences. Government extension services are limited to two officers in the district although the Sericulture Association fields its own extension services and experimental plots. 2. Secondary production. The existing processing capacity in Bao Loc is 920 tons of silk each year. While current production is well below capacity, environmental concerns associated
with factories are significant. The secondary processing requires high volumes of clean water and producers equally high volumes of wastewater. Organic and chemical wastes (from dyeing operations) are not managed effectively. The siting of many of the smaller processing facilities is uncontrolled. Plants generally would benefit from greater attention to waste minimization. Substantial savings could be achieved in water, energy and paper use. Plant managers express some frustration over the variable quality and quantity of raw materials which they receive. Farmers express frustration because their both production and prices are falling. Main Partners. Several meetings and workshops were held with the local authorities and representatives from different sectors during phase 1 of the project. Through this interactions, a high level of motivation to collaborate with this project was apparent on the part of the local authorities. Under the chairman of the Provincial People's Committee, all relevant government departments have discussed the potential of introducing sustainable resource use practices and improved planning methodologies in relation to the silk industry, thereby reducing environmental problems and increasing economic returns to the industry. Concerned agencies have included the Departments of Planning and Investment (DPI), Science Technology and Environment (DOSTE), and Industry (DOI), as well as the main actor, the Vietnam Silk Corporation which at present is in crises. Planners of the agencies concerned will need to view the industry as one inter-linked process from mulberry production to marketing and introduce practical environmental standards and procedures at each stage. Achievements under Phase 1. A number of workshops, seminars and training activities were organized during phase 1 to discuss the current situation and options for pilot activities under phase 2. Initial consensus on the pilot site and issues to be addressed has been reached between the central project authorities and local agencies concerned. In addition, a good working relationships with the main project partners has been established. A first draft concept paper has been jointly prepared by the project and the local authorities. D.3 Specific Problems to be Addressed The core problem for phase 2 is to develop, in a participatory manner, an action plan through which the complex environmental problems having a negative impact on the silk industry can be addressed systematically. It will be important to build consensus on the main issues and to relate the process to the general economic review of the agro-industrial complexes. D.4 Specific Outputs, Activities The project should lead to the general outputs specified in sections C and D of the project document and described in Part A of this annex. D.5 Preliminary Ideas about the Process
Some preliminary thinking has been done on the steps to be taken under this pilot project. However, the sub-contractor is expected to contributes his own methodological know-how to the solution of the problems. The workplan can be adjusted to the needs of the process itself. Preliminary thinking included the following ideas: establish a project office and build the project team-, undertake background studies and organize preliminary site meetingsl prepare a short-term action plan for the area, including an environmental audit of the existing development-, implement the short-term action plan and prepare a long-term plan, including a proposal for zoning;
undertake an area-wide environmental assessment of the proposed development; define the development options and to elaborate district-level action plans. Baseline studies should be gender-sensitive and sex-disaggregated where appropriate. Workshops and training should include gender and social aspects of planning wherever possible. Site meetings must include an appropriate number of women representatives. Action plans should be gender sensitive. For all of these, the sub-contractor should have the capacity for social and gender analysis. D.6 Workplan Proposal
It is expected that the sub-contractor, on the basis of this initial proposal, will present an improved proposal to be discussed by project management. The sub-contractor will submit quarterly workplans, to be approved in the Quarterly Programming Meetings, in which he will give more details on the activities to be carried out and the budgets. D.7 Project Implementation Aspects
Institutional Arrangements. The PPC together with DPI, DOSTE, and DOI will notify the NPD regarding their proposed working arrangements for the pilot project following the model presented in annex IV. The PPC will designate a Provincial Project Director (PPD) to be the direct counterpart of the project team. They will also set up a provincial Project Support Committee. From an administrative point of view, the sub-contractor will work under the direct supervision of the NPD located in Hanoi. From the technical point of view, the sub-contractor will need to take into account inputs from the provincial Project Support Committee, chaired by the PPD. Provect Management. Project management will be undertaken primarily at the level of the Quarterly Programming Meetings which will approve quarterly workplans and budgets. The PPD will participate in these meetings. The provincial Project Support Committee will meet at least monthly. The sub-contractor will act as the secretariat of the Project Support Committee. Counterpart Inputs. The Lam Dong PC will provide the following inputs to the project: One Provincial Project Director (PPD) who shall have overall responsibility for project implementation at the technical level; One counterpart in DPI and one counterpart in DOSTE; Vehicular transportation as required for all project activities, only inside Lam Dong; Office space as required for all project activities, sufficient to accommodate project staff, consultants and associated personnel. The office shall include furnishings, air conditioners, telephones, electricity and cleaning services. One large meeting room to be used for project meetings and workshops. Operation and maintenance costs for all facilities and equipment. Sub-Contractor Inputs. The sub-contractor is expected to provide a number of inputs. Although these inputs will be identified in more detail in the bid documents, and it will up to the subcontractors to identify in their proposals all inputs needed to achieve the expected results, an indicative list of inputs includes the following: International Environmental Planner 6 work-months International Environmental Economist 2 work-months International Communications Specialist 2 work-months International Training Specialist 2 work-month
International Expert (unspecified) 2 work-month National Environmental Planner As needed (possibly full-time) National Economist As needed (possibly full-time) National Training Specialist As needed (possibly full-time) National Communications Specialist As needed (possibly full-time) Translator/Interpreter 12 work-months Secretary As needed (possibly full-time) Committee Meetings 18 total (or as needed for Output 2.2) Consultation Meetings 8 total (or as needed) Workshops 8 total (or as needed) Local Training As needed Training Materials As needed for Output 2.3 Background Studies (sub-contracts) As needed for Output 1.3 and others Documentation of Experiences As needed for Output 2.2 In-country travel (outside of Hanoi) As needed Operational Costs (including telephone) As needed
Reporting The sub-contractor will report on a quarterly basis. He will also submit a final report at the end of the project. D.8 Coordination with other Projects
The sub-contractor will ensure coordination with other projects at the local level. If there is a need for coordination with other ODA-assisted projects operating at the national level, the subcontractor must inform the Project Management Unit at the central level. The subcontractor must certify in writing that he is not working for or developing initiatives that would constitute a conflict of interest with his work on this project. D.9 Other Considerations
Initial thinking has been done on possible pilot activities that could be funded through the environmental funds mentioned under section BA of the project document. Examples are: * support a ward-level committee to develop an integrated village. ANNEX IV ORGANIZATIONAL STRUCTURE FOR PROJECT IMPLEMENTATION
PPC DPI/DOSTE Local Project Director Hanoi Implementing Sub-Contractor
PPC DPI/DOSTE Local Project Director Quang Ninh Implementing Sub-Conti
PPC DPI/DOSTE Local Project Director
I
I
Lam Dong Implementing Sub-Contractor
ANNEX V TERMS OF REFERENCE FOR PROJECT MANAGEMENT BODIES A. Project Support Unit
Overview. The Project Support Unit (PSU) will be the key management tool of the NPD, helping to direct and manage the overall project. The PSU will also have key support functions to provincial pilot projects. Under the overall responsibility of the NPD, the PSU will execute and give directions related to project management and the administrative procedures. The PSU will be responsible for the day-to-day management of the financial resources as specified in the NEX manual of UNDP. In addition to its management function, the PSU will also be responsible for the support tool/training component (STTC) of the project. This will entail systematizing project outputs in the form of support tools, training materials, videos, etc; and training development planners in MPI and the provincial DPIs in the use of these support tools. Composition. The core PSU team will consist of a mix of national and international experts in the fields of development planning, environmental economics, training and communications. Terms of reference for these experts are provided in Annex Vi. While most of the national staff will serve on a full-time basis, most of the international experts will be available on short-term assignments as follows: • International Senior Advisor • International Environmental Economist • International Training Specialist 18 work-months 6 work-months 3 work-months
• International Communications Specialist • International Contracts Specialist • International Consultant (Unspecified) National Project Manager National Senior Planner National Environmental Economist National Institutional Specialist National Communications Specialist National Training Specialist
3 work-months 2 work-months 1 work-months 39 work-months 30 work-months 30 work-months 30 work-months 30 work-months 30 work-months
To maintain constancy in the project team and to facilitate the delegation of specific duties, it will not be possible to split positions into parts. The PSU will also be supported by a translator/interpreter, accountant and one secretary. The DSEE will contribute to the PSU with the staff described in section E of the project document. Specific Tasks. in support to the NPD, the PSU will: 1. 2. 3. 4. elaborate the administrative manual, to be approved by UNDP; give the NPD advice on issues relating to the NEX modalityl coordinate as needed with the UNDID office on project activities; compile quarterly workplans, budgets and reports;
6. 7. 8.
5. prepare terms of reference for minor sub-contracts and short-term consultants; collect the monthly and quarterly workplans from each PPP; communicate, publish or disseminate project results (including the PPPs); monitor the progress and impacts of the project and the PPPs-, 9. serve as the secretariat of the Steering Committee; 10. coordinate technical inputs from international consultants (including the PPPs); 11. administer, manage and release project funds (under the NPD's supervision);
13. 14. 15. 16. 17.
12. maintain an inventory of all project assets-, plan and implement international study tours and fellowships; manage the informal networks developed by the project; maintain contact among the different key actors and sub-components; give direction in the systematization of project results; coordinate publication of studies with advice from the TRGs; 18. prepare (with contributions from PPPs), publish and circulate project newsletter.
Support Tool/Training Component (STTC). Some progress was made under phase 1 to investigate and address the training needs of development planners in Vietnam. Nonetheless, information about these needs are still limited. Approaches to training need to become more systematic, new pedagogical methods are required, and a greater degree of professionalism is needed to improve the impact of training efforts. One of the objectives of phase 2, therefore, is to systematize experiences from the project in the form of practical tools that will have a long-lasting impact on sustainable development planning in Vietnam. The PPPs will develop a number of draft results (e.g., raw material for video, drafts of story books) which will need to be systematized by the PSU in the form of consolidated
project outputs. With these, key actors in MPI and the DP]s can be trained with the intent of improving their willingness and abilities to plan for sustainable development. This systemization will be a key task of the PSU. Specific problems to be addressed include: 1. Assessing training needs, particularly of the following target groups: development planners of key departments in MPI; staff of the MPI project appraisal office; development planners in the provincial DPIs associated with the PPPs; staff of the Policy Division of the NEA; selected project partners working on concrete topics in the networks. Elaborating a strategy for support tools. The main contents and the didactic approach of the support tools must be defined and discussed with the end users. Coordination with other projects will be important. A considerable amount of know-how can be transferred to Vietnam from other countries. 3. 4. 5. Elaborating a strategy for training.
2.
Providing clear guidance to PPP sub-contractors, for example, about the formats in which they will have to deliver their results. Systematizing experiences of PPPs. Material provided by the sub-contractors for the PPPs will be systematized and translated into Vietnamese. Drafts have to be discussed and tested on practical problems and will be finalized later. The final package must be is attractive and suitable for wider distribution and replication. 6.
Developing a training program to introduce the support tool. A practical program for onthe-job training (e.g. with backstopping over a period of time) should be implemented to support the introduction of the support tools. Afterwards, a training program and modules for an advanced training program should be developed. A number of factors are likely to contribute to success in carrying out these functions. These include the following: The process should be participatory to develop a sense of ownership for the support tools and the training program. Efficiency can be improved through working with visualization and enhanced workshop moderation since it will be important to retrieve knowledge and problems of routine behavior. Support tools should be appealing in their didactic concept as well as in their design, the users have to "like" them. All support tools should be translated and distributed into Vietnamese since this is the only way to develop a sense of ownership.
e
Support tools should have a modular approach to facilitate training. * On-the-job training will be the most efficient way to introduce the support tools.
Administrative Guidelines. The NPD and Senior Advisor, in consultation with UNDP and the Project Manager, will jointly prepare detailed administrative procedures to be followed by the PSU in accordance with the NEX manual. UNDP will review and approve these detailed guidelines. The NPD and the Senior Advisor will jointly agree on the TOR and the specific duties of all this staff, following the NEX modality of UNDP. The NPD and Project Manager will also define
working hours which have to be followed by the project staff. The Project Manager will be responsible for ensuring that these hours are adhered to. B. Steering Committee
Overview. The Steering Committee will be responsible for considering and forwarding the main outputs of the project relevant to national policy formation to the appropriate Government authorities. Since this project is geared to the Government's reform process, the Steering Committee has a critical role in promoting the policy and procedural suggestions which arise from the PPPs and policy review activities at central level. Composition. MPI (chairman), MOSTE (vice-chairman), OOG, Director of DSEE, Director of NEA, NPD, Project Manager (secretary). Other parties will be invited according to the topics discussed. UNDP and co-financing donors will serve as permanent resource persons. Schedule of Meetings. The Steering Committee will meet upon request of the NPD but at least once a year. Tasks. The main tasks of the Steering Committee are to: 1. 2. 3. provide political advice to the project, its activities and outputs; approve recommendations from, for example, the PPPs or technical review groups to be submitted for consideration of MPI or the Government; assist the dissemination of project outputs;
C.
4. oversee the coordination with other project activities. Technical Review Groups
Overview. Technical review groups (TRGs) will be established under the Steering Committee as needed to review and comment project outputs (e.g., publications, support tools, working models, etc.). Composition. MOSTE (chairman), MPI (vice-chairman), NPD or Senior Advisor, Project Manager (secretary). Representatives from other concerned ministries or institutes will be invited according to the topics discussed. Schedule for Meetings. The TRGs will meet upon the request of the Steering Committee. Invitations will be issued through the secretariat. Tasks. The main tasks of the TRGs are to: 1. 2. 3. 4. D. review proposals, drafts produced by the project; give technical advice on project outputs; ensure coordination between different projects at a technical level; to ensure recommend studies for publication and wider dissemination.
Quarterly Programming Meetings
Overview. Quarterly Programming Meetings (QPM) will be held to review the progress of project implementation and to approve quarterly workplans and budgets. Sub-contractors from the
PPPs and the PSU will be responsible for submitting progress reports and workplans to each QPM. Composition. NPD (chairman), Senior Advisor, Project Manager, UNDP (vice-chairman), SDC, PPDs from each PPP. Representatives from the sub-contractors will also be invited. Schedule for Meeting. The QPM will convene in the second week of January, April, July, October and December upon invitation by the NPD. Tasks. The main tasks of the QPM are to: 1. 2. 3. 4, endorse and approve quarterly progress reports of the project; approve workplans and budgets within the framework already approved by UNDP and the Government; initiate and analyze results of project reviews and evaluations; give recommendations for pilot activities within the PPPs. ANNEX VI TERMS OF REFERENCE FOR PROJECT STAFF AND CONSULTANTS Position: Senior Advisor (international) Duration: 18 work-months Location: Hanoi
Qualifications: An advanced degree in environmental science with at least 15 years work experience in the public and private sectors. At least some government experience should have been with an environment agency. An understanding of development planning; of both regulatory and economic tools for achieving sustainable development objectives-, of environmental and sustainable development law and policies-, and of the respective roles of industry, communities and government in environment protection. At least five years experience in developing countries, preferably in Asia and/or economies in transition. Other desirable qualifications include: experience working as a senior advisor in large international projects; knowledge of international donor agencies and of UNDP procedures; and demonstrated success in transferring knowledge in a cross cultural environment. Obeectives: 1. 2. 3. To support the NPD in ensuring that the project meets its overall objectives
To optimize the technical quality and timeliness of all project outputs To provide advice and technical direction to the team of expatriate and local advisors and sub-contracting partners
Specific Tasks: Provide guidance in the selection, development and use of simple tools and procedures for integrating environmental factors into development policies, plans and projects; 2. Provide technical oversight of the three provincial pilot projects, ensuring that they meet project objectives in an integrated and coordinated manner; 3. Assist in defining needed reforms to the system of investment planning at the local, provincial and national levels which reflect the lessons of the PPPs 1
4. Forge close working linkages between the PSLI technical staff and the PPP subcontractors on all aspects of the project. 5. Provide the NPD with technical guidance on capacity building and institutional strengthening within MPI and its partner agencies; 6. Provide briefings to the NPD and draft policy papers and reviews as required; 7. Ensure an effective linkage between the technical programs of Phase 1 and those of Phase 2 and that the informal networks and their substantive outputs are consolidated and built on; 8. In cooperation with the MPI and LINDP, select the foreign and local advisors for the project and ensure that the team of experts has a balanced expertise and experience in issues relating to environmental management in transition countries. 9. Assist in briefing project advisors and sub-contractors on technical aspects of their work and oversee their professional performance throughout the project 10. Ensure that appropriate systems for planning and monitoring project implementation are in place and that progress is regularly reported to the quarterly project management meetings. 11. Advise the Project Manager on all aspects of management; institutional relationships; and effective use of staff resources associated with the project. Position: Environmental Economist (international) Duration- 6 work-months Location: Hanoi and in the Provinces as required Qualifications: Advanced degree in natural resource economics or related discipline with an extensive working experience in developing country economics and public administration practices. A track record of work with government and the private sector in defining and testing practical and applied approaches to the introduction of economic incentive mechanisms for achieving environment protection objectives is very important. An ability to work in field situations, to be sensitive and responsive to local conditions and capacities; and to be flexible and creative in helping local experts identify options which can be applied in Vietnamese systems. Obeectives: 1 To raise awareness of the potential role of market-based instruments in achieving sustainable development objectives. To define and test tools for the integration of environmental concerns with economic
2. policy. 3. To define and test the use of economic instruments in sustainable development planning and environmental management at national and local levels. 4. To define and test innovative funding mechanisms to support sustainable development programs. Specific Tasks: 1 Ensure that the environmental economics program and associated network of individuals and institutions initiated in Phase 1 of the project is consolidated and built on. Ensure that environmental economics components are designed into the PPPs and that related experiences at national and provincial level are appropriately recorded for optimal affect. Help define and trial practical environmental assessment tools for economic policy and ensure that the experience is well documented in project technical reports.
2.
3.
4. Help design and trial a local environment fund in the Hanoi PPP and ensure that it is effectively integrated with the overall pilot exercise to test the use of economic incentives to achieve sustainable development objects in the PPP site. 5. Provide extensive inputs on environmental economics and market based instruments to the projects training exercises. 6. Prepare and test the environmental economics training modules to be included in the month long training program and associated training package as a key output of the project. 7. Provide advice and inputs as required on the environmental economics aspects of sustainable development policies and planning procedures. 8. Contribute as needed to the project's communications program and to the project's reporting requirements. 9. Set the work programs for the PSU and PPP national economics experts so that they work effectively, and closely monitor their progress. Position: Training Specialist (international) Duration: Location: 3 work-months Hanoi and in the Provinces as required
Qualifications: The Specialist will have a strong background of training in environmental and sustainable development fields, preferably with a higher degree in natural or social sciences. A proven track record as an innovative and creative trainer who is familiar with modern facilitation and interactive training approaches is essential. Also essential is lengthy experience working in inter-cultural settings and on developing country issues. Advanced communications (oral and written) and organizational skills are necessary. Obiectives. 1. 2. To ensure that all the project training and capacity building activities are carried out in an integrated and systematic way for optimal impact. To ensure that the project results in training capacities in selected national institutions and a set of written and audio visual training modules well suited to conducting regular month long training courses.
Specific Tasks: Develop and oversee the implementation of a training strategy for the project so that all training events at central and provincial level are linked in a programmatic sense. 2. Develop and implement a system of evaluation and recording of all training events and materials to ensure that they meet project objectives and the needs of target groups. 3. Drawing on the materials and draft training units developed by the Provincial Pilot Projects, develop a package of training materials suitable for a one month course and test and finalize them in collaboration with a national training institute. 4. Work closely with the selected national training institute to design and implement an effective training of trainers program so that the month long course can be undertaken regularly without external inputs. 5. Working closely with the PPP sub-contractors, ensure that all training materials are prepared in a consistent format to facilitate their incorporation into the overall training modules of the project. 1
6. Ensure that all training activities are conducted in the most innovative manner using facilitation, audio-visual and other interactive methods to maximize impact of the message and participant involvement. 7. Take overall responsibility for preparing the final training modules of the project for wide distribution and use. 8. Identify, design and facilitate arrangements for all the project's oversees training fellowships, study tours and training courses ensuring that the programs compliment and relate directly to the project's other activities. 9. Contribute as needed to the project's communications program and to the project's reporting requirements. 10. Set the work program for the PSU and PPP national training experts and closely monitor their progress. Position: Communications Specialist (international) Duratiom 3 work-months Location: Hanoi and in the Provinces as required Qualifications- The Communications Specialist will have an exten sive experience in training and implementing communications programs for sustainable development and environment protection projects and organizations. An advanced degree in communications sciences is desirable and a working familiarity with modern communications approaches and tools is essential. Extensive experience working in developing countries, especially in Asia, would be a distinct advantage. Excellent oral and written communications skills must be demonstrated and a proven track record of working with teams to define practical methods which reflect a sensitivity to local conditions and capacities is essential. Ob4ectives: 1 2. To maximize the impact of the project through a creative, strategic and well targeted communications program covering all activities at central and provincial level. To determine the most appropriate communications methods for synthesizing and disseminating the training, policy and procedural materials and lessons of the pilot projects into integrated packages which have national relevance. To ensure that the PSU and PPPs have the capacities and systems in place to prepare and publish the project's reports, newsletter, videos and other communications materials in the most innovative, effective and timely manner.
3.
Specific Tasks: 1 2. Work with the communications specialists in the PSU and PPPs to define a simple and practical communications strategy for the project. Train (and organize training as needed) the PSU communications and training specialists in modern, creative and innovative communications approaches, including the use of computer, audio-visual and publishing methods and software. 3. Ensure that the project has the computer equipment and software to effectively implement its communications strategy. Design a format and approach for publishing the project's newsletter, reports and training materials and ensure that the necessary arrangements and schedules are in place for the purpose. Ensure that all material produced through the provincial pilot projects follows a format and approach which can be readily synthesized into national communications material and training packages for maximum impact. With support from the PSU communications specialists and with input from the PPP teams, prepare some of the key project communications materials such as the first
4.
5.
6.
issue of the newsletter, a project pamphlet, and descriptive report with key lessons and findings of Phase 1 and the approach and objectives to Phase 2 as a way of launching the communications program and of providing formats for future publications. Position: Project Manager (National) Duration. 39 work-months Location: Hanoi Qualifications: Business or government administrator with at least 10 years of practical experience as senior staff in a department or institute of the Government of Vietnam. Technical qualifications in natural resource management and familiarity with Government programs and institutions concerned with natural resource development and environment protection are essential. He/she should have a proven track record in managing complex initiatives involving teams of technical and administrative staff. Proficiency in both English and Vietnamese is a requirement. This is a full time post and it is absolutely essential that the individual who fills it must be in a position to give the work his/her full time attention. Obiectives: 1. 2. 3. 4. 5. 6. 7. To set in place effective administrative and management systems for the project To support the NPID in carrying out all management functions of the project To ensure that all senior level interaction with other government and private sector agencies is effectively and smoothly managed To coordinate the recruitment and placement of advisors To coordinate project implementation, particularly with other agencies and projects To implement an effective monitoring and reporting system for the project To assist in implementation of an effective project communications strategy
Specific Tasks: 1 Track work plans, progress reporting and sub-contractual obligations and ensure that the associated work plans; progress reports and other written products of the project are completed in a timely and appropriate manner; 2. Coordinate all aspects of project implementation including delivery of work activities within the PSU project team; between the team and other MPI staff units; interactions with the pilot provinces; and relations with sub-contractors; 3. Support the Senior Advisor in ensuring that monitoring systems are in place and function effectively; 4. Assist in coordinating and building capacity in the project's informal networks; 5. Working closely in support of the national communications expert, ensure that an effective project communications strategy is defined and implemented, including preparation of the project newsletter. 6. Give the administrative directions to project implementation, always in accordance with the UNDP NEX manual; 7. Ensure that administrative directives and guidelines are followed; 8. Coordinate the acquisition of equipment and assets, and maintain an inventory of project equipment;
9.
10. 11. 12.
Ensure that effective records are maintained of all project activities and transactions so that information needed for quarterly management and TPR meetings is readily available; Supervise contracts and agreements; Maintain the documentation of the project so that it is readily accessible;
Supervise the accountant; monitoring expert and all project technical and administrative staff ensuring that they perform at optimal levels according to agreed work plans; 13. Undertake other duties, as specified by UNDP or the NPID. Position: Senior Planner (National) Duration, 30 months Location: Hanoi Qualifications: The Senior Planner should have more than 5 years work experience in development planning and policy; be able to work professionally in English; and have extensive knowledge of environmental management institutions in Vietnam. A deep understanding and familiarity with sustainable development principles and approaches is essential. He/she must have excellent written and oral communications skills and have an extensive network of working contacts within government. This is a full time post and it is absolutely essential that the individual who fills it must be in a position to give the work full time attention. Oboectives: To pursue the program of sustainable development planning work initiated in Phase 1, particularly to define the main components of a sustainable development planning framework for Vietnam. 2. To strengthen the sustainable development network so that it becomes a self reliant professional association. 3. Building on Phase 1, to test and have introduced effective methods for environmental assessment major projects and plans within MPI. Specific Tasks Take responsibility for building the sustainable development planning network, established in Phase 1 into an active and self perpetuating association by continuing a program of studies, network meetings, workshops and the definition of reform proposals. 2. Working through the SDP network; drawing from the PPPs; and using international expert inputs as required, define a framework of reform proposals directed to the preparation of sustainable development planning legislation for Vietnam. 3. Facilitate the involvement of SDP network members in the PPPs and in training activities of the project. 4. Arrange for the efficient and time finalization and editing of all reports and written outputs of the project on sustainable development planning matters, especially those prepared by the network. 5. Contribute a special section on the SDP network activities and sustainable development planning matters to each issue of the project newsletter. 6. Prepare a monthly work plan for the SDP program, manage and monitor its implementation, and report on progress to the quarterly management meetings. 7. Facilitate the definition of lessons and procedural reform proposals from the PPPs and in their synthesis into one national package of training materials on planning and of reform suggestions. 1 1-
Assist in ensuring that the video and other audio visual material stemming from the project is accurate and well reflects the innovative thinking of the SDP networks and PPP experience. 9. Support the NPD in supervising all international and national consultant contracts relating to planning including the preparation of TORs and contract papers. 10. Provide strong support to the Senior Advisor in all meetings, workshops and other aspects of the SDP program. Position: Environmental Economist (National) Duration: 30 months Location. Hanoi and in the Provinces as required Qualifications: Advanced degree in natural resource economics or related discipline with an extensive working experience in development economics and public administration practices. In depth knowledge of the use of market based instruments to achieve environmental objectives is a prerequisite. This is a full time post and it is absolutely essential that the individual who fills it must be in a position to give the work full time attention. Obiectives: 1 To raise awareness of the potential role of market-based instruments in achieving sustainable development objectives. To define and test tools for the integration of environmental concerns with economic
8.
2. policy. 3. To define and test the use of economic instruments in sustainable development planning and environmental management at national and local levels. 4. To define and test innovative funding mechanisms to support sustainable development programs. Specific Tasks: Support the International Environmental Economist in ensuring that the environmental economics program and associated network of individuals and institutions initiated in Phase 1 of the project is consolidated and built on. 2. Help ensure that environmental economics components are designed into the PPPs and that related experiences at national and provincial level are appropriately recorded for optimal affect. 3. Help define and trial practical environmental assessment tools for economic policy and ensure that the experience is well documented in project technical reports. 4. Help design and trial a local environment fund in the Hanoi PPP and ensure that it is effectively integrated with the overall pilot exercise to test the use of economic incentives to achieve sustainable development objects in the PPP site. 5. Provide extensive inputs on environmental economics and market based instruments to the projects training exercises. 6. Help prepare and test the environmental economics training modules to be included in the month long training program and associated training package as a key output of the project. 7. Provide advice and inputs as required on the environmental economics aspects of sustainable development policies and planning procedures. 8. Contribute as needed to the project's communications program and to the project's reporting requirements, including preparing a section on the environmental economics program for each issue of the project's newsletter. Position: Institutional Development Specialist (National) Duration: 30 months Location: Hanoi and in the provinces as required 1-
Qualifications: University degree in an environmental or business discipline. At least 5 year's work experience in senior positions with at least one year's work experience involving extensive hands-on experience in the process of institutionalizing policy recommendations. At least half of the work experience should be with a policy-making organization of the Government, preferably an environmental agency. This is a full-time post and it is absolutely essential that the individual who fills it must be in a position to work full-time. Obwectives: 1 Assist in preparing reports within the framework of the informal networks with particular emphasis on institutional issues related to sustainable development; 2. Identify and analyze institutional problems related to project activities, reports and recommendations; Identify and analyze institutional problems at the central level and in the PPPs and develop practical solutions.
3.
Specific Tasks: Provide direction on analyzing institutional issues for sustainable development programs at the central and local levels (Quang Ninh, Lam Dong and Hanoi); 2. Work with informal networks to complete project reports, focusing on institutional aspects; 3. Facilitate the identification and documentation of the main institutional barriers encountered in the PPPs and at central level; 4. Arrange for identifying, analyzing and discussing weaknesses from an environmental point of view of the present framework for policy and plan formulation and appraisal; 5. Assist member of the informal network in analyzing alternative solutions for how to address the problems; 6. Prepare proposed practical solutions to the Government and other key actors; 7. Support the NPD in assessing all reports, focusing on institutional analysis, including the preparation of TORs and contract papers; 8. Contribute a special section on network activities and institutional matters; Provide strong support to the Senior Advisor in all meetings, workshops and other aspects of the institutional analysis program for sustainable development. Position: Communications Specialist (National) Duration: 30 months Location: Hanoi Qualifications: Specialist in inter-cultural communication and communication techniques, with at least 5 years of experience. Advanced working experience in modern, creative and innovative communications approaches, including the use of computer, audio-visual and publishing methods and software is highly desirable. This is a full time post and it is absolutely essential that the individual who fills it must be in a position to give the work full time attention. Obiectives: 1. To maximize the impact of the project through a creative, strategic and well targeted communications program covering all activities at central and provincial level. 9. 1
2. To determine the most appropriate communications methods for synthesizing and disseminating the training, policy and procedural materials and lessons of the pilot projects into integrated packages which have national relevance. 3. To ensure that the PSU and PPPs have the capacities and systems in place to prepare and publish the project's reports, newsletter, videos and other communications materials in the most innovative, effective and timely manner. Specific Tasks: Assist the International Communications Specialist in defining a simple and practical communications strategy for the project. 2. Ensure that the project has the computer equipment and software to effectively implement its communications strategy. 3. Help design a format and approach for publishing the project's newsletter, reports and training materials and ensure that the necessary arrangements and schedules are in place for the purpose. 4. Take responsibility for preparing and editing at least two issues of the project newsletter each year, ensuring that inputs from the PPPs and PSU programs are timely and of high quality. 5. Support the International Communications Specialist in ensuring that all material produced through the provincial pilot projects follows a format and approach which can be readily synthesized into national communications material and training packages for maximum impact. 6. Prepare a monthly work plan for the communications program, manage and monitor its implementation, and report on progress to the quarterly management meetings, including as coverage of PPP communications activities as appropriate. 7. Oversee and arrange for the translation and publication of all communications materials - written and audio-visual prepared by the project. 8. Facilitate the preparation of all project communications materials, acting as quality controller, and assist in writing key project synthesis reports, pamphlets, lessons learned papers and training modules to ensure maximum communications value. Position: Training Specialist (National) Duration: 30 months 1
Locatiom. Hanoi and in the Provinces as required Qualifications: The training specialist should have extensive experience both in designing and in implementing training events and programs. He/she should have a working familiarity with modern and innovative facilitation and interactive training methods. Excellent oral and written communications skills are needed. This is a full time post and it is absolutely essential that the individual who fills it must be in a position to give the work full time attention. Obiectives: 1 To ensure that all the project training and capacity building activities are carried out in an integrated and systematic way for optimal impact. 2. To ensure that the project results in training capacities in selected national institutions and a set of written and audio visual training modules well suited to conducting regular month long training courses. Specific Tasks:
Assist the International Training Specialist in developing and then manage implementation of a training strategy for the project so that all training events at central and provincial level are linked in a programmatic sense. 2. Implement a system of evaluation and recording of all training events and materials to ensure that they meet project objectives and the needs of target groups. 3. Support the International Training Specialist in drawing on the materials and draft training units developed by the Provincial Pilot Projects to develop a package of training materials, suitable for a one month course and test and finalize them in collaboration with a national training institute. 4. Work closely with the selected national training institute to help design and implement an effective training of trainers program so that the month long course can be undertaken regularly without external inputs. 5. Working closely with the PPP sub-contractors, help ensure that all training materials are prepared in a consistent format to facilitate their incorporation into the overall training modules of the project. 6. Help ensure that all training activities are conducted in the most innovative manner using facilitation, audio-visual and other interactive methods to maximize impact of the message and participant involvement. 7. Under the guidance of the International Training Specialist take a key role in the preparation of the final training modules of the project for wide distribution and use. 8. Help identify, design and facilitate arrangements for all the project's oversees training fellowships, study tours and training courses ensuring that the programs compliment and relate directly to the project's other activities. 9. Contribute as needed to the project's communications program and to the project's reporting requirements, including preparing a section on the training program for each issue of the project's newsletter. ANNEX VII GENERAL GUIDELINES FOR THE SUB-CONTRACTING PROCESS Three major sub-contracts are included under this project. The sub-contracts are core elements in the project and should begin as quickly as possible in order to maintain momentum from the first phase of the project. Given the nature of the project and the sub-contracts, the Senior Advisor does not need to be involved in the identification, selection and contracting of the sub-contractors. Based on the workplan (Annex 11), the sub-contracts should begin approximately six months after the project document is signed, at approximately the same time as the Senior Advisor is fielded. These guidelines therefore serve to assist the NPID and Project Manager in preparing the terms of reference for the sub-contracts, preparing the bid documents, short-listing potential bidders, selecting the sub-contractor, and entering into legal agreements with the subcontractor. An international Contracts Specialist will be recruited for 2 work-months to assist in the bidding process. A. Bidding Process The following steps should be undertaken and clearly documented in the bidding process: 1. Upon signature of the project document (or if possible before), the NPID should be appointed and the Project Manager recruited. 2. The Project Manager, with assistance from UNDP, should finalize the TOR for the international Contracts Specialist. A suitable candidate should be identified and fielded.
1
3. The Contracts Specialist and Project Manager should prepare (a) pre-qualification criteria, (b) detailed bid documents for all sub-contracts and (c) bid assessment criteria. These should be in line with international standards, UNDP procedures and the contents of Annex 111. 4. Potential national and international sub-contractors should be identified and short-listed in accordance with the pre-qualification criteria. Sub-contractors on the short list should be issued a request for proposal to be submitted within 2 months. 5. After bids are submitted, they should be opened publicly and evaluated in accordance with the bid assessment criteria by a specially organized Selection Committee (see proposed composition in Annex 111). 6. After carefully evaluating proposals, the Selection Committee will decide on the best proposal by majority vote. In the case of a equal votes, the chairman of the Selection Committee (the NPD) will make the final decision. 7. Financial proposals will then be opened and evaluated, and assuming the financial proposal of the preferred sub-contractor is competitive, the NPID, with assistance from the Contract Specialist, will enter into contract negotiations with the sub-contractor. 8. The negotiated contract together with all required documentation will be submitted to the UNDP/GOV Local Contracts Committee (LCC) for final clearance. B. Terms of Reference for International Contracts Specialist Position: Duration: Purpose: To ensure an open, competitive and efficient bidding process for the three major subcontracts for professional services and for procurement of equipment. Qualifications: At least 5 years work experience in all phases of the contracting and/or procurement of international inputs on international development projects. Demonstrated experience in developing bid documents both for professional services and equipment; in evaluating bids for equipment and proposals for professional services, and in contract negotiations. Familiarity with UNDP rules and regulations, especially under nationallyexecuted projects. Work experience in Vietnam preferred. Tasks (Mission 1) 1 2. 3. Review thoroughly the project document and UNDP procedures for national execution in Vietnam. Hold detailed discussions with MPI and UNDP regarding the approach and requirements of the project. In consultation with the Project Manager, prepare (a) pre-qualification criteria, (b) detailed bid documents and (c) bid assessment criteria for the three major subcontracts. These should be in line with international standards, UNDP procedures and the contents of Annex 111. Assist in the identification of potential national and international sub-contractors; assist in determining a suitable short list of firms/consortia to bid on the subcontracts in accordance with the pre-qualification criteria. Prepare draft "request for proposal" to be finalized and issued by the NPD. International Contracts Specialist 2 work-months, in two split missions in early 1998 Location: Hanoi
4.
5.
6. 7.
Prepare bid documents for procurement of equipment under the project. Prepare draft "invitation to bid" to be issued by the NPD.
Tasks (Mission 2) 1 2. 3. 4. Arrange and participate in the public opening of both the bids for equipment and proposal for professional services. Organize the evaluation of both the bids and proposals by a specially organized Selection Committee. Assist the NPD in contract negotiations with the preferred sub-contractors. Based on the decisions of the Selection Committee, prepare all documentation required for submission to the UNDP/GOV Local Contracts Committee (LCC) for final clearance. Revisit, if necessary, any bidding or contractual matters raised by the LCC and prepare any additional documentation required. ANNEX Vill TRAINING PROGRAM A. Guiding Principles for Training Activities
5.
The following principles for training are based on experiences from phase 1 and the findings of the phase 1 review mission (June 1997). These principles were applied during phase 1 to an increasing extent and should be further consolidated in phase 2. All training activities should have the following characteristics: All training activities should have a practical impact. They should not be theoretical or abstract, but clearly applicable to the work of the trainees. Therefore, on-the-job training and training needs assessments will become important elements of the training strategy. The training effort should have a strateqic orientation. Training should focus on key groups and individuals in the sustainable development community in Vietnam. Training should be programmatic. This has two aspects. First, each training activity should be clearly linked to other training activities. For example, a study tour should be linked to incountry training events; fellowships should be linked to workshops; and vice-versa. Unnecessary, isolated training events should be avoided. Second, each training activity should be clearly linked to the overall capacity building activities of the project. For example, as appropriate and where possible, a training activity should be linked to a policy review, a survey, networking activities or others. All overseas training activities should contribute to developing in-country capacities for training. Hence, after the project is completed, training capacity in the subject areas of the project will have been strengthened. The project should focus on improving the methodologies and approaches to training. Vietnamese trainers often have good technical skills and substantive knowledge, but often lack the adequate didactic and communication skills of international trainers, moderators, etc. Through the project, national experts should be helped to develop these skills. Training should be participatory and should be a learning process. Training in this project is not a one-way transfer of information. Training is the sharing of experience amongst the participators who are experienced professionals. The project provides guidance, facilitation, and enthusiasm to this process.
Training should be output oriented. If possible and where appropriate, each training activity should either produce a project output or improve an existing output. Finally, training should strive to reach or exceed the UNDP target of including at least 30% women. B. Training Program
The formulation of the training strategy, program and impact assessment should be supervised by the PSU. The NPID, together with the PSU, will decide on overseas training courses. This annex has been prepared in order to complement the training strategy. It serves to (1) define and detail the training activities to be taken in the first six months (before the training strategy is completed) and (2) provide indications of the quantity of training and the budgetary implications. All other information related to training will be in the abovementioned strategy. B.1 Overseas Training (Managed by PSU)
Studv Tours. Four study tours will take place. Each will consist of approximately 7-8 senior persons and will last for approximately ten days, visiting two countries. Given an average per them of $180 and an average round-trip airfare of $2000, the average cost for each study tour will be $30,000. The total cost for 4 study tours is $120,000. Study Tour No. I - Inception Study Tour. Eight persons will be included on this study tour, representing DOSTE and DPI from each of the three pilot provinces, and MPI and MOSTE. At least three members of the tour should speak excellent English in order to interpret for the other members. This study tour should take place approximately 6 months into the project, at the time of the fielding of the Senior Advisor, in advance of the finalization of the Inception Report. This tour will last for 10 days and will visit one or two regional countries, probably Thailand and/or China. It will visit one urban area and one rural area. In total, no more than two nights should be spent in the capital cities. The objectives of this tour are: (1) to develop high level relations amongst the senior project partners; (2) to observe how planning is undertaken at the local level in other countries; and (3) to observe methodologies for integrated planning, including accounting for environmental considerations and integrating plans of difference geographical levels. The study tour will look at how land-use planning at the local level is undertaken, how plans are implemented and financed, and how local plans are integrated into regional and national socio-economic plans and development processes. In particular note should be made of how participatory techniques are used in planning, how environment is integrated into development and investment plans, and how government and non-government cooperate on local planning. Study Tours Nos. 2 - 4. Details of these will be developed as part of the training strategy. Fellowships. No fellowships will take place in the first six months of the project. The details of all fellowships will therefore be developed as part of the training strategy. Three fellowships should take place for approximately three weeks each. On average 10-12 persons will participate in each fellowship training: 2-3 persons from each of the three pilot provinces, and 2-3 persons from the central government agencies. The substance of the fellowship courses should be specifically designed (tailored) for this project. Based on the experience of phase 1, fellowships of this size and duration in the region cost approximately $70,000 each. Hence, the total budgeted for three fellowships is $240,000. In addition, $30,000 has been budgeted to support the participation of key local and national government staff in regional seminars, conferences, workshops, etc. Internships in the Region. To be specified in the training strategy. Experts fluent in English should spend 3-4 weeks in a regional government body to observe methods and procedures for
planning and integrating environment in to development and planning. Total estimated cost is $105,000 B.2 In-country Training (Managed by Sub-Contractors) These parts are described in more detail in Annex III of this document. ANNEX IX EQUIPMENT REQUIREMENTS All equipment shall be procured by the PSU with assistance from the International Contract Specialist and the UNDP Country Office. Equipment shall be purchased and allocated as described in the following sections. Sub-contractors shall have full use of the equipment for the duration of their sub-contracts, but sub-contractors will need to identify in their proposals other equipment that will be needed in order for them to fulfill the terms of their contract. A. Project Support Unit $17,000 4 $5,600 2 $300 $6,000 $500 $300 $1,000 $1,500 $500 $32,700
1 minibus computer systems (desktop with multi-media, printer, modem, AVR) sets of software (IVIS Office, NetNam, Higgins, Fast Track, language, etc.) 1 photocopy machine 1 fax/telephone machine 1 filing cabinet 1 digital camera 1 air conditioner 1 external book to backup database Subtotal B. Hanoi Pilot Project 2 computer systems (desktop with multi-media, printer, modem, UPS, AVR) set of software (IVIS Office, NetNam, Higgins, Fast Track, language, etc.) 1 fax/telephone machine 1 overhead projector and screen 1 digital camera $1,000 1 air conditioner $1,500 1 photocopy machine $3,000 Subtotal C. Quang Ninh Pilot Project 1 sedan computer systems (desktop with multi-media, printer, modem, UPS, AVR) sets of software
$3,000 1 $300 $500 $500
$9,800
$12,500 3 $4,500 2
(IVIS Office, NetNam, Higgins, Fast Track, language, etc.) 1 fax/telephone machine 1 overhead projector and screen 1 photocopy machine $3,000 1 air conditioner $1,500 1 digital camera Subtotal Lam Dong Pilot Project 1 sedan 2 computer systems (desktop with multi-media, printer, modem, UPS, AVR) 1 set of software (MS Office, NetNam, Higgins, Fast Track, language, etc.) 1 fax/telephone machine 1 overhead projector and screen 1 digital camera 1 photocopy machine Subtotal Grand total: Rounded to: ANNEX X
$600 $500 $500
$1,000 $24,100 $12,500 $3,000 $300 $500 $500 $1,000 $3,000 $20,800 $87,400 $87,000
D.
SCHEDULE OF PROJECT REVIEWS, REPORTING AND EVALUATION
1998 June Inception Report 1998 June 1st Quarterly Report 1998 September 2nd Quarterly Report 1998 December 3rd Quarterly Report 1999 March 1st Annual Progress Report (with 4th Quarterly Report)
1999 June 5th Quarterly Report 1999 June Mid-Term Review 1999 September 6th Quarterly Report 1999 December 7th Quarterly Report 2000 March 2000 June 2000 September 2000 December 2000 December 2nd Annual Progress Report (with 8th Quarterly Report)
9th Quarterly Report 10th Quarterly Report Final Evaluation 1 1th Quarterly Report 2001 March 3' Annual Progress Report (with 12th Quarterly Report)