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SIGNATURE PAGE
Country: Vietnam
Project Title: Promoting Climate Resilient Infrastructure in Northern Mountain Provinces of Vietnam
UNDP Strategic Plan Environment and Sustainable Development Primary Outcome: Promote
climate change adaptation
UNDP Strategic Plan Secondary Outcome: Mainstreaming environment and energy
Expected Outcome/UN One Plan Outcome 1.3 (2012-2016): By 2016, key national and sub-national
agencies, in partnership with the private sector and communities, have established and monitor multisectoral strategies, mechanisms and resources to support implementation of relevant multilateral
agreements and effectively address climate change adaptation, mitigation and disaster risk management
Expected Output/ UN One Plan Output 1.3.1 (2012-2016): Planning and investment processes are
climate proofed and specific programs have been formulated and operationalized for long-term adaptation
to reduce climate change vulnerabilities
Implementing Partner: Ministry of Agriculture and Rural Development (MARD)
Responsible Partners: Agriculture Projects Management Board, MARD;
Programme Period:
Programme Component:
Sustainable Development
2012-2016
Environment and
Atlas Award ID:
Project ID:
PIMS #
00060373
00075992
3741
Project Duration: 4 years (Sep 2012-Aug 2016)
Total budget
Total allocated resources:
Manage by UNDP:

GEF/SCCF/UNDP:
Manage by others:





$148,565,000
$1,400,000
GEF/SCCF/ADB:
Government::
$30,000,000
Government in-kind:
ADB:
UNDP parallel:
$1,400,000
$2,000,000
$400,000
$108,000,000
$6,765,000
Agreed by MARD (Government):
Date/Month/Year
Agreed by UNDP:
Date/Month/Year
Page 1
Brief Description
In recent years, Vietnam has taken great strides to overcoming economic and human poverty. Yet, despite
these overall achievements, poverty persists in some areas, notably in the rural areas of the Northern
Mountainous provinces. Poor infrastructure is a key factor limiting poverty reduction - the fifteen provinces
of Northern Vietnam have very poor infrastructure compared to the rest of Vietnam. To address these
imbalances, the Vietnamese government, with assistance from the international community, plans a series of
large infrastructure investments in the rural areas of the Northern Mountainous provinces. Significant national
and provincial funds are to be allocated to rural infrastructure development over the coming years.
Vietnam is one of the most disaster prone countries in the world, suffering from typhoons, floods, droughts,
landslides, etc. Climate change threatens to exacerbate this. Studies suggest that the Northern Mountains of
Vietnam is one of the areas the most vulnerable to climate change in Southeast Asia. Disasters, exacerbated
by climate change, are likely to have impacts on infrastructure in the Northern provinces, thereby
undermining efforts to reduce poverty.
This project aims to address these threats by increasing the resilience of infrastructure to climate change in the
northern mountains. The programme directly addresses the anticipated impacts of climate change on poverty
and poverty reduction. The project shall do this by:



Contributing to a national level enabling environment that is conducive to adaptation in rural
infrastructure projects. This will include a series of practical tools for practitioners, as well as
recommendations towards improved policies and standards;
Developing capacity to plan, design, implement and monitor infrastructure projects at the provincial
level, and developing capacity to assess climate change during provincial planning;
Demonstrating how to mainstream climate change adaptation into 4 infrastructure projects. The 4
demonstration projects are in the road rehabilitation, irrigation system rehabilitation and river
embankment protections sub-sectors*.
Given that this project is one of the first rural infrastructure projects in the SCCF portfolio, and that it is one
of the first projects in northern mountainous Vietnam to undertake adaptation measures, it has a strong
emphasis on learning and knowledge management. The entire project approach is one of ‘capacity
development by doing’; in this national and provincial level capacity will be developed by involving
concerned institutions and individuals in all steps of the process at the 4 demonstration infrastructure projects.
*Note: The project is a coordinated package supported by Government of Vietnam, SCCF/GEF, ADB and
UNDP. Notably, for the ‘demonstration’ component, the baseline investments are financed through the
GOV/ADB SRIDP investment ($138 million investment described in Annex 12), and the additional activities
to adapt the investments to climate change are financed by SCCF/GEF through ADB (described through a
separate ADB TA paper in Annex 13).
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Table of Contents
List of Acronyms ........................................................................................................................................... 4
1.
Situation Analysis ............................................................................................................................... 5
1.1. Climate Change Induced Problems ................................................................................................... 7
1.2. Context ............................................................................................................................................... 9
1.2.1 Rural development and infrastructure policy .............................................................................................. 9
1.2.2 Climate change policy ........................................................................................................................ 11
1.3. Long-term Solution and Barriers to Achieving the Solution ............................................................. 12
1.3.1 Preferred situation. ............................................................................................................................ 12
1.3.2 Barriers to reaching the preferred situation.............................................................................................. 13
1.4. Stakeholder Analysis........................................................................................................................ 14
2.
Strategy ............................................................................................................................................ 18
2.1. Project Rationale and Policy Conformity.......................................................................................... 18
2.2. Country Ownership: Country Eligibility and Country Drivenness ..................................................... 18
2.3. Design Principles and Strategic Considerations .............................................................................. 20
2.4. Project Objective, Outcomes and Outputs/Activities ....................................................................... 22
2.5. Key Indicators, Risks and Assumptions ........................................................................................... 35
2.6. Cost-effectiveness ............................................................................................................................ 36
2.7. Sustainability .................................................................................................................................... 37
2.8. Replicability ...................................................................................................................................... 38
2.9 Stakeholder Involvement Plan .......................................................................................................... 38
3.
Project Results Framework .............................................................................................................. 39
4.
Total Budget and Workplan .............................................................................................................. 43
5.
Management Arrangements ............................................................................................................. 49
6.
Monitoring Framework and Evaluation ............................................................................................. 51
7.
Legal Context ................................................................................................................................... 55
Annex 1: Risk Analysis ............................................................................................................................ 56
Annex 2: UNDP – ADB Implementation Cooperation Agreement .......................................................... 58
Annex 3: References ............................................................................................................................... 60
Annex 4: Summary of Rapid Provincial Capacity Assessment............................................................... 62
Annex 5: Relevant Internationally Supported Initiatives ......................................................................... 66
Annex 6: Background Information on Bac Kan and Son La Provinces .................................................. 72
Annex 7: Detailed Information on the Selected Demonstration Sub-projects ......................................... 75
Annex 8: Stakeholder Involvement Plan ................................................................................................. 77
Annex 9: Capacity Scorecard.................................................................................................................. 81
Annex 10: Terms of Reference ............................................................................................................... 85
Annex 11: Overall Project Management and Organizational Structure .................................................. 91
Annex 12. Memorandum Of Understanding Between The Asian Development Bank And The
Government Of Viet Nam for the Technical Assistance Project: Promoting Climate Resilient Rural
Infrastructure In Northern Vietnam .......................................................................................................... 93
Annex 13: ADB TA Paper: VIETNAM: Promoting Climate Resilient Rural Infrastructure in Northern Viet
Nam ......................................................................................................................................................... 94
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Annex 14: Co-financing letter .................................................................................................................. 95
LIST OF ACRONYMS
ADB
ALM
APMB
APR/PIR
ATLAS QPR
AWP
CBTA
CGPRS
CoP
CO
CPAP
CPMU
DARD
DOC
DONRE
DOT
DPI
EA
ERC
GEFSEC
GHG
IFAD
INC
M&E
MARD
MOC
MONRE
MOT
MPI
NIM
NPD
NTP
OCCA
PB
PPC
PPR
PPTA
RCU
SCCF
SEDP
SNC
SRIDP
UNDAF
Asian Development Bank
UNDP-GEF’s Adaptation Learning Mechanism
Agricultural Project Management Board
Annual Project Review/Project Implementation Reports
ATLAS Quarterly Production Report
Annual Workplan
Capacity Building Technical Assistance
Comprehensive Growth and Poverty Reduction Strategy
Conference of the Parties (to the UNFCCC)
(UNDP) Country Office
(UNDP) Country Programme Action Plan
Central Project Management Unit
Provincial Department of Agriculture and Rural Development
Provincial Department of Construction
Provincial Department of Natural Resources and Environment
Provincial Department of Transport
Provincial Department of Planning and Investment
Executing Agency
(UNDP) Evaluation Office Evaluation Resource Center
Secretariat of the Global Environment
Greenhouse gas emissions
International Fund for Agricultural Development
Initial National Communication
Monitoring and Evaluation
Ministry of Agriculture and Rural Development
Ministry of Construction
Ministry of Natural Resources and Environment
Ministry of Transport
Ministry of Planning and Investment
National Implementation
National Project Director
National Target Programme to Respond to Climate Change
Standing Office for Climate Change Adaptation (of MARD)
Project Board
Provincial Peoples Committee
Project Progress Report
(ADB) Preparatory Project Technical Assistance
UNDP-GEF Regional Coordination Unit
Special Climate Change Fund
Five Year Socio-Economic Development Plan
Second National Communication
Sustainable Rural Infrastructure Development Project in the Northern Mountains
United Nations Development Assistance Framework
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1.
SITUATION ANALYSIS
Vietnam is one of the most disaster prone countries in the world. It suffers from typhoons, floods,
droughts, landslides and forest fires. Flooding triggered by typhoons and storms is the most prevalent
natural disaster. In the decade up to 2005, storms caused 6,000 deaths, destroyed 320,000 houses and
almost 9,000 boats, and resulted in capital stock loss of more than $2.5 billion, representing about 5% of
gross annual capital formation1.
Since the adoption of market-oriented reforms almost two decades ago, and the opening of the economy
to international trade, Vietnam has taken great strides to overcoming economic and human poverty. It is
now well on its way to achieving middle-income status. The national poverty rate declined from 58% in
1993 to 16% in 2008, and rural poverty declined from 64% to 20% over the same period2.
Despite overall achievements in overcoming poverty, poverty remains persistently entrenched in some
areas: rural areas have far more poverty than urban areas; areas with a large ethnic minority population
often have high poverty levels, and; hilly and mountainous areas experience high poverty levels. Poverty
is particularly entrenched in the Northern Mountains, where:
The lack of infrastructure, rural roads, irrigation facilities, clean water supplies, sanitation,
adequate schooling facilities, and health services makes day to day living more difficult for
local communities. For ethnic minorities inhabiting these areas, the difficulties are exacerbated
by structural and attitudinal problems that can lead to exclusion from participation in decision
making and planning for their own welfare and development. For women and girls in
particular, living under such challenging conditions results in commitment to the more arduous
tasks of meeting essential household needs for water and sanitation. It often results in reduced
opportunities to attend school, reduced participation in other income generating activities, and
poor health care.3
Development studies consistently show that poor infrastructure is a key factor limiting economic growth
and poverty reduction. The fifteen provinces of Northern Vietnam (see map in Figure 1) have very poor
infrastructure compared to the rest of Vietnam. The number of roads is amongst the lowest in the
countries. Likewise, there is a low proportion of irrigated land. The communities often lack reliable and
convenient access to clean water. Market structures tend to be poorly sited and constructed.
1
World Bank. 2005. Project Appraisal Document on a Proposed Credit to the Socialist Republic of Vietnam for a
Natural Disaster Risk Management Project.
2
ADB Preparatory Project Technical Assistance (PPTA) 7215-VIE Interim Report (2009)
3 ADB PPTA 7215-VIE Inception Report (2009)
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Figure 1: Map of Northern Vietnam
In addition, much of the existing infrastructure is either of poor quality or in a poor state of repair. As
noted in the ADB PPTA 7215-VIE Inception Report:
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
the proportions of unsealed rural roads are high for all categories of roads across all provinces
and is significantly higher in mountainous districts;
irrigation areas in need of rehabilitation are large, but are found mainly in the lowland areas of
target provinces where drainage (of excessive seasonal flooding from the compromised
catchments supplying the scheme) is as much of the design challenge as is delivery of irrigation
water itself;
there is a need for canal lining in most locations;
there is a need for improvement and establishment of rural water supplies as some provinces
have less than half the households with access to clean water (in the mountainous areas, the
capacity and willingness to pay water service charges makes the unsubsidized operation of large
schemes relatively costly for local administrations); and
there are a large number of ‘temporary’ market structures that are unlikely to be able to meet
future rural market needs and, in their current state, constitute a significant food safety risk. In
general, the demand for rural infrastructure is by far in excess of available funds to meet these
requirements.
As will be seen in the following sections, the existing infrastructure is threatened by damage from climate
change. More importantly, ongoing and planned programmes to construct and rehabilitate infrastructure
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are also threatened by damage from climate change. This, in turn, threatens to undermine efforts to reduce
poverty in Vietnam, particularly in the Northern provinces.
The Northern provinces generally share the following tendencies: low population densities, large ethnic
minority population, high dependence on agriculture, and high levels of persistent poverty.
1.1. Climate Change Induced Problems
Viet Nam’s topography and exposure to monsoons and typhoons make it highly prone to climate-change
and climate-related disasters. The climate related hazards include typhoons, coastal surges, floods,
droughts, saltwater intrusions, landslides and forest fires. The impacts of climate related disasters are high
and increasing, due, in addition to climate change, to a series of ecological and socio-economic factors
that increase vulnerability, including: growing populations in low-lying areas and valley floors and
deforestation. Table 1 summarises the likely impacts of climate change on different geographical areas,
sectors and communities across Vietnam.
Climate Change
Impact
Temperature
increase
Vulnerable Areas
 Mountainous areas (Northeast,
Northwest and North Central)
 Red River Delta
Sea level rise
 Coastal Areas, especially deltas and
flooded areas (Mekong River Delta,
Red River Delta and coastal Central
Part)
 Islands
Floods,
flash
floods, and landslides
 Coastal Areas (including delta areas
and flooded areas: Delta and coastal
Northern Part, Mekong River Delta
and coastal Central Part)
 Mountainous areas: Northwest,
Northeast, North Central areas and
Central Highlands
Tropical
 Coastal Areas: especially coastal
Vulnerable Sectors
 Agriculture and
food security
 Aquaculture
 Natural ecology
systems and
biodiversity
 Water resources
 Energy (production
and consumption)
 Community health
care
 Agriculture and
food security
 Aquaculture
 Sea and coastal
ecological systems
 Water resources
(surface and ground
water)
 Energy
 Tourism
 Residential Space
 Infrastructure,
industrial zones
 Agriculture and
food security
 Aquaculture
 Transportation
 Water resources
 Infrastructure
 Residential Space
 Health care and life
 Trade and Tourism
 Agriculture and
Vulnerable
Communities
 Poor farmers
 Ethnic minority
people, senior citizens,
children and women
 Coastal communities,
especially poor
farmers and fishermen
 Senior citizens,
children and women
 Coastal communities
 Mountainous
communities,
especially ethnic
minority groups
 Senior citizens,
children and women
 Coastal communities,
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Climate Change
Impact
cyclones
Droughts
Vulnerable Areas
Central Part, Red River delta and
Mekong river
 Islands
 Central Part, especially South
Central Part
 Delta and Northern Part
 Midland
 Mekong Delta
 Highlands
Vulnerable Sectors
food security
 Aquaculture
 Transportation
 Energy
 Offshore and coastal
activities
 Infrastructure
 Place of Residence
 Health care and life
 Trade and Tourism
 Agriculture and
food security
 Water resources
 Energy (hydro
power)
 Waterways
 Health care and life
Vulnerable
Communities
especially fishermen
 Senior citizens,
children and women
 Poor farmers
 Rural communities
Table: 1 Summarizing likely climate change impacts in Vietnam (Source: National Target Programme
Background documentation, 2008)
Meteorologically, Vietnam is divided into seven regions. Two of these are in the North: the Northwest
region and the Northeast region. The fifteen Northern provinces cover two of these regions. The
Northwest region covers the following four provinces: Lai Chau, Dien Bien, Son La and Hoa Binh. The
Northeast region covers the following 11 provinces: Lao Cai, Ha Giang, Cao Bang, Yen Bai, Tuyen
Quang, Bac Kan, Phu Tho, Thai Nguyen, Lang Son, Bac Giang and Quang Ninh. Compared to the
Northwest, the Northeast provinces have more rain – particularly in the rainy season, and they are warmer
- particularly in the summer. However the daily temperature fluctuations in the Northwest are greater than
in the Northeast.
For both regions, annual and monthly average temperatures have shown an increasing trend over the past
50 years, with increases in summer and winter averages. Average rainfall has marginally decreased, with
significant annual and inter-annual variation. With respect to changes in rainfall intensity and flood
impacts, data is limited, although anecdotal evidence indicates an increasing number of extreme events. It
is the extreme events, in particular, that lead to damage to infrastructure. All fifteen provinces already
experience a large number of climate related challenges. The most notable of these are:



Increasing intensive and regular flash floods leading to damage to public and private property and
lives. These are typically caused by either the heavy, lengthy monsoon rains, or the passage of
tropical storms;
Increasing intensive and regular landslides leading to damage to infrastructure, in particular to
closing roads – also caused by monsoon rains and the passage of tropical storms;
Localized droughts leading to water shortages for agriculture and domestic consumption.
Efforts to downscale global circulation models for regions of Vietnam show differences in mean effects
for different IPCC emissions scenarios. Vietnam’s projections as per different emissions scenarios show a
rise in average temperatures and average rainfall for both Northwest and Northeast Vietnam (Tables 2 and
3). The downscaling shows a steady rise in mean annual temperatures for the two regions with relatively
small differences between the two regions. But these mean changes can be small compared to seasonal
and annual weather variability, whilst geographical weather variability in mountainous regions can be
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large on a single day. The models only provide averages of climate change effects, whereas more
understanding of climate extremes is needed, i.e. on the changed risks for extreme climatic effects to
which infrastructure will be exposed. Changes in these risks are expected to be fairly constant over the
two regions, but could be quite diverse at the micro scale because of the effects of topography and for
example comparative exposure to prevailing wind directions, leading to differences in likely impacts and
damage. Hence a regional scenario is not always useful when planning development at the village or
watershed level.
Climatic Region
North West
North East
2020
0.5
0.5
2030
0.7
0.7
Decades in the 21 Century
2040 2050 2060 2070 2080
1.0
1.3
1.6
1.9
2.1
1.0
1.2
1.6
1.8
2.1
2090
2.4
2.3
2100
2.6
2.5
Table: 2 Predicted changes in Annual Mean Temperature (oC) relative to period of 1980-1999, Medium
Emission Scenario (B2) (Source: Climate Change and Sea Level Rise in Vietnam, 2009)
Climatic Region
North West
North East
2020
1.4
1.4
2030
2.1
2.1
Decades in the 21 Century
2040 2050 2060 2070 2080
3.0
3.8
4.6
5.4
6.1
3.0
3.8
4.7
5.4
6.1
2090
6.7
6.8
2100
7.4
7.3
Table: 3 Predicted changes in Annual Rainfall (%) relative to period of 1980-1999, Medium Emission
Scenario (B2) (Source: Climate Change and Sea Level Rise in Vietnam, 2009)
Studies, for example by Yusuf and Francisco4, suggest that the Northern Mountains of Vietnam
(particularly the Northwestern provinces) is one of the areas the most vulnerable to climate change in
Southeast Asia. This vulnerability is a factor of the likely climate changes and of the present capacity of
the people and communities to resist and adapt.
It is generally predicted that in the future, due to climate change, more extreme climatic events are likely
to lead to increases in water flows, to increases in maximum water levels, to increases in the number and
intensity of flash floods, to increases in soil erosion, and to increases in the number and intensity
landslides. In turn, these are likely to have impacts on infrastructure in the Northern provinces, including
causing damage to roads, embankments, irrigation systems and water supply systems. This is a major
threat to poverty reduction and socio-economic development, although the details and financial details
remain unclear. The nature of the climate combined with the fragility of the ecosystems and the irregular
terrain ensures that climate risks are quickly translated into threats to infrastructure and therefore poverty
reduction.
1.2. Context
1.2.1 Rural development and infrastructure policy
The guiding document for social and economic development in Vietnam is the Five Year Socio-Economic
Development Plans (SEDP), implemented through five year national, sectoral and provincial plans. The
government and its agencies are currently preparing the SEDP 2011-2015. Overall, SEDP 2011-2015
4
(2009) Climate Change Vulnerability Mapping for Southeast Asia.
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aims, amongst other objectives, to develop the agriculture of every region, to reduce poverty - with a
priority on remote regions and regions with a large ethnic minority population, and to enhance natural
resource protection.
Under the SEDP, each Ministry prepares a sectoral five-year Plan, and each Province prepares five-year
Provincial development Plans. The ministerial sectoral plans – for example the five year plan for the
agricultural and rural development sector - are based partly on guidance from national government, and
are based partly on proposals from provinces. The Provincial plans are based partly on proposals from
districts, partly on guidance from the national government, and partly on proposals from national sectoral
ministries. Hence, together the sectoral and area plans form a matrix of plans covering the nation.
In line with its mandate for rural development, the Ministry of Agriculture and Rural Development
(MARD) is responsible for developing most small and medium-scale infrastructure serving rural areas.
MARD is currently finalizing its five-year plan for 2011-2015. The draft has six Goals, of which two are:
improved living standards and conditions, especially of the poor; and, developed infrastructure systems to
improve productivity, and the protection of natural resources.
The local departments of the Ministry of Construction (MOC) and of the Ministry of Transport (MOT)
also have responsibilities for improving infrastructure in remote and rural areas. MOT local departments
are responsible for road building, supporting road building projects, and implementing regulations and
standards. Likewise, MOC local departments are responsible for some water supply systems. MOT and
MOC are also currently developing their respective five year plans for 2011-2015. Also, MOT is
responsible for preparing and updating Rural Transport Development Strategies. The most recent (2006)
emphasizes the importance of developing roads in remote areas, including the Northern provinces, in
order to promote socio-economic development. This strategy is currently being updated.
In addition to the five year plans, the government implements a series of focused investment Programmes
to address key issues such as poverty alleviation. These include:



Programme 135, for Socio-Economic Development in Communes Facing Extreme Hardship in
Ethnic Minority and Mountainous Areas. The first two phases of Programme 135 supported
thousands of communes with participatory planning, small-scale investments, stimulating
agricultural production and local infrastructure. The third phase of the programme (135-III) is due
to start in 2011;
Programme 30A for Poverty Reduction in Disadvantaged Districts in Vietnam, running through
to 2015. Over half of the activities are to support agricultural production in northern districts;
Programme 134 to Improve the Livelihoods of the Ethnic Minority Population in the Northern
Provinces.
Decision making and government revenue has been increasingly decentralized to the provincial level in
recent years. Each province, under the Provincial Peoples Committee (PPC) prepares five year plans,
coherent with the national SEDP and the ministerial plans. In each Northern mountainous province, the
provincial plans contain significant investments in rural infrastructure, including roads, irrigation, water
supply and embankment protection. Accordingly, it is expected that significant national and provincial
funds are to be allocated to rural infrastructure development over the coming years.
Once finalized and approved, the five-year plans are implemented through annual implementation plans
with budget allocations. The major component of the annual implementation plans (and annual plans
under the National Programmes) is a list of investment and infrastructure projects. Once the plan has been
approved, funds are available to implement the project. The concerned government agency is responsible
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for the following: (i) hiring consultants to prepare the detailed investment design, through a competitive
process; (ii) hiring consultants to construct the projects, again through a competitive process, and; (iii)
hiring a third set of consultants to supervise project construction, again through a competitive process. For
the majority of rural infrastructure projects in remote areas of the Northern provinces, the provincial
agencies under the PPC are responsible for the three steps set out above.
Given the importance of rural infrastructure to poverty reduction and socio-economic development,
several international partners have been supporting the government of Vietnam for several years in order
to improve rural infrastructure in northern Vietnam. These include:




The Asian Development Bank has financed seven rural infrastructure projects, the most recent
being: the Rural Infrastructure Sector Project, the Emergency Rehabilitation of Calamity Damage
Project, and the Integrated Rural Development Sector Project in the Central Provinces. Although
each focuses on poor areas, including rural areas, none focus on the northern mountains;
The World Bank has implemented the Northern Mountains Poverty Reduction Project, which
include support to micro- and small-scale infrastructure projects. The Second Phase of the Project
is to start in 2010, with funds for a large number of local infrastructure projects, including village
roads;
The Japanese Government through Small-Scale Pro-Poor Infrastructure Development projects
(SPL I – SPL VI) since the early 1990’s. Projects have included a focus on Northern Mountains.
The new loan for Small-Scale Pro-Poor Infrastructure Development Project (III) (SPL VI) should
start up in 2010;
The International Fund for Agricultural Development (IFAD) has supported infrastructure
development in rural parts of northern Vietnam through the Rural Income Diversification Project
in Tuyen Quang Province and the Decentralised Program for Rural Poverty Reduction in Ha
Giang Province.
A major constraint to all infrastructure in Vietnam is operations and maintenance of infrastructure after
construction. By international standards, and even when compared to neighboring countries, Vietnam has
not yet found the mechanisms to ensure that adequate operations and maintenance takes place. This is
particularly true for rural infrastructure that is under the responsibility of sub-national agencies or district
Peoples Committees or local communes.
1.2.2 Climate change policy
Overall, adaptation to climate change is guided by the ‘National Target Programme to Respond to
Climate Change’5 (NTP). This target programme sets out the need for a series of assessments, plans and
research projects in order to develop capacity to adapt to climate change. As a national programme, its
scope covers all sectors and all provinces. Implementation is to be coordinated by the Ministry of Natural
Resources and Environment (MONRE). Although the NTP adopts a mainstreaming approach, as it
provides guidance on actions in all sectors, it does not set out the specific investments to be made. It is
mainly a foundational planning document, setting out information and knowledge needs and the steps
required to gather the information and knowledge. The NTP also directs each Ministry and each province
to prepare sectorial/provincial target programmes to respond to climate change. As of yet, MARD is the
only Ministry to have prepared such a target programme (see next paragraph).
The ‘MARD Action Plan Framework for Adaptation and Mitigation of Climate Change of the Agriculture
and Rural Development Sector Period 2008-2020’ (the MARD Action Plan), sets out initial actions
5
Ministry of Natural Resources and Environment, 2008
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related to agriculture and rural development, and covers to some extent rural infrastructure. The MARD
Action Plan has the following five Tasks:





Conduct a communication and information programme to disseminate knowledge and
experiences to enhance awareness of CC impacts and adaptation and mitigation activities of the
sector;
Develop human resources and conduct studies to develop and consolidate scientific foundations
for providing adaptation and mitigation solutions;
Develop a policy system and integrate CC in sectoral development programmes;
Promote international cooperation in CC adaptation and mitigation in the sector;
Priority activities for implementing adaptation and mitigation policies in the agriculture and rural
development sector.
The MARD Action Plan promotes a comprehensive approach, across all sub-sectors and down to all
levels of government. This Action Plan includes a series of assessments, planning and research projects in
order to develop understanding and capacity to adapt to climate change. However, the Action Plan does
not set out the specific measures to be taken to adapt. Again, it is more of a foundational planning
document.
1.3. Long-term Solution and Barriers to Achieving the Solution
1.3.1 Preferred situation.
As can be seen from the previous sections, the Vietnamese government (including a range of national
agencies as well as provincial and local agencies) is undertaking a large programme to develop rural
infrastructure in order to reduce poverty. This programme has been ongoing for several years, and is
likely to take many more years before the problems are resolved. The infrastructure development has
benefitted from, and will continue to benefit from, broad support from international development partners.
However, as has also been made clear in earlier sections, this infrastructure is at danger from climate
change, notably from increased flooding, water flows, landslides and soil erosion.
In order to reduce and limit the damage from climate change, the preferred situation would be:
National enabling environment. The national laws, regulations and standards would provide incentives to
local agencies to prepare and implement infrastructure that is not at risk from climate change. More
importantly, national level agencies would have the knowledge and understanding to provide information
and technical support on climate change scenarios and impacts that is useful to supporting investment
decision-making at the infrastructure project level. Also, national agencies would provide the tools and
expertise to support local agencies as they develop their infrastructure, and to support them technically
through all stages of the planning and project cycles.
Provincial capacity. In the Northern provinces, the agencies would have the information, tools and
expertise necessary to plan provincial development and construct/rehabilitate infrastructure that is
resilient to expected climate related impacts. This would include detailed information of the types and
geographical distribution of climate change and the likely impacts, knowledge of alternative approaches,
and knowledge of how to assess and compare costs. In addition, the consulting companies would have the
knowledge to design, construct and supervise infrastructure projects that are climate proof. There would
be the necessary technical specifications and tools for assessing cost-effectiveness.
Page 12
First-hand experience on how to climate-proof infrastructure projects in a cost-effective manner would be
available. Ultimately, all rural infrastructure projects should be constructed in a manner to be resilient to
expected climate change, and this should be done in a manner whereby the benefits of the increased
resilience greatly outweigh the increased construction costs. It should also be done without causing delays
to the approval and implementation of infrastructure projects.
1.3.2 Barriers to reaching the preferred situation.
Currently, the national level policy, legislation, standards and guidelines do not provide the incentives,
mechanisms or information necessary to stimulate the climate proofing of rural infrastructure. The
standards were prepared some time ago, and do not account for the increased likelihood of climate related
events. There are no detailed specifications related to dealing with climate change. There is little
flexibility with regards to cost-norms, so local developers cannot adapt easily. There is no guidance from
the national level on how to mainstream climate change into plans or into projects. Although some
flexibility is allowed at provincial level, this is currently insufficient. Finally, nationally, investment funds
are limited, and the additional costs of climate-proofing a project are unlikely to be funded in the present
context.
The level of expertise, nationally, regarding how to plan, design and construct climate-proof rural
infrastructure is limited. There is not the combined expertise to assess risks, to undertake cost-benefit
analysis and to integrate climate scenarios. This is exacerbated by the inadequate information on climate
change and its likely impacts. At present, there is no accuracy in climate models beneath the regional
level. When assessing rural infrastructure, project experts can only estimate future climate risks by
extrapolating present risks. It is not possible to assess a project site and determine the likely climate
related risks, to know: where there will be a problem, how often, and how significant.
At provincial level, amongst decision-makers, although there is a general acceptance that climate change
exists, there is no understanding of how it could affect infrastructure in the province and what the
economic implications will be. There is even less understanding of what could be done to adapt
infrastructure. The understanding is too coarse, and cannot be used to support project design. No
provinces have developed strategies to address climate change impacts on infrastructure, nor have
mainstreamed climate change into the provincial plans.
At provincial level, decision-makers have many day-to-day priorities and challenges - they are under
pressure to roll out new infrastructure projects to serve poverty reduction. They are unable to adequately
consider long-term issues such as climate change. The very long-term nature of climate change makes it
especially difficult to integrate into local investment decision-making. The incentive structure currently
focuses on getting the infrastructure constructed, and not on accounting for long-term threats such as
climate change. Moreover, at provincial level, there is a general perception that adapting to climate
change will create additional problems, notably to significantly increased project costs, and to significant
delays in designing/approving/implementing projects. The region already faces climate risks, and
addressing these is part of the baseline. However, climate change will lead to increased frequency and
intensity of extreme events, and currently there is no capacity to anticipate or respond to this risk.
There are currently no examples of just how to climate-proof infrastructure in the context of northern
Vietnam. The idea of ‘climate-proofing’ remains vague and conceptual. This is evident from the NTP and
the MARD Action Plan, both of which focus on assessments and planning, and neither of which provides
a clear strategies or set of activities in order to adapt, and so the approach to be taken is not clear at local
levels. In Vietnam, national, provincial and local stakeholders do not know what a climate proofed
Page 13
infrastructure project would look like, and so are unable to develop one, and even less able to allocate
financing to one.
In addition, there are a series of specific capacity gaps at provincial level. The rapid capacity assessment
undertaken in the preparation of this project (see summary in Annex 4) identified the following capacity
gaps at provincial level:








Senior and mid-level government personnel have very limited knowledge of climate change;
As of yet, national information and planning documents on climate change have not been widely
disseminated;
The main sources of information on climate change are TV, radio and newspapers;
There is some confusion with regards to climate change, its likely manifestation, and its likely
impacts on rural development and infrastructure. Notably there is often a confusion between the
environmental impact of investments and the potential impacts of climate change on investments;
In many cases, climate change is interpreted as a component of natural disasters (flooding and
landslides);
The long term nature of climate change makes it difficult for system/individuals to respond. I.e.
individuals have no incentive to plan for potential impacts 10, 20 years into the future. Likewise,
procedures and guidelines do not allow the use of scenarios for planning/decision-making;
There is no local specific information available on climate change. The manifestations of climate
change at the project or catchment level are not known - i.e. localized scenarios do not exist. This
means that even those tasked/willing to address climate change can only do limited things;
The efficiency and reliability of information exchange on climate change within and across
departments is limited.
Local consulting companies are responsible generally for designing, construction and supervision
infrastructure projects. At present, they have neither the knowledge not the incentive to integrate climate
risks into their work.
1.4. Stakeholder Analysis
During the project preparation process, a broad range of national, provincial and local stakeholders were
consulted, including both governmental and non-governmental organizations, through bilateral
interviews, field surveys and workshops. The key international partners involved in climate change
adaptation and in poverty reduction in the northern mountains were also consulted. Table 4 below
summarizes the responsibilities of the most pertinent governmental and non-governmental Vietnamese
stakeholders that were consulted during the project development.
Stakeholders
Relevant responsibilities
Ministry of Agriculture and Rural Development (MARD)
MARD
Several Departments have responsibilities related to rural development
and improvements of rural infrastructure, notably Department of
Construction Management, and Department of Dyke Management and
Flood Storm Control.
Page 14
MARD – Agriculture Project
Responsible for preparation and oversight of rural infrastructure
Management Board (APMB)
projects. Hence, holds some responsibility for mainstreaming climate
change into such projects. Will be partly responsible for disseminating
lesson learnt across Vietnam.
MARD - Department of
Science,
Technology
and
Environment/ Standing Office
for Climate Change Adaptation
(OCCA)
MARD - Department of Dyke
Management and Flood Storm
Control
Responsible for preparation and oversight of MARD strategic
response to climate change. Hold technical knowledge and skills on
climate change impacts related to agriculture and rural development.
Responsible for many issues related to disaster management in
northern Vietnam, including: Vietnamese Flood control system; dyke
management operations; operations of floods and storm control; plans
for dykes, floods and storm control.
MARD - National Institute of
Responsible for preparation of long term plans and strategies related to
Agriculture
Planning
and
rural development, including infrastructure.
Projection
MARD - National Centre for
Prepare plans, strategies, policies and standards/regulations related to
Rural Water Supply and
water supply in rural areas.
Environmental Sanitation.
MARD – Department for water
Prepare plans, strategies, policies and standards/regulations related to
resources.
irrigation.
Ministry of Natural Resources and Environment (MONRE)
MONRE
Lead role in addressing climate change issues across all sectors.
Standing Vice Chair of the National Steering Committee for the
National Target to Respond to Climate Change (NTP), and Chair of
the Executive Board of NTP, hosting the office of the Standing Office
of the NTP.
MONRE - Department. of
Prepare draft Guidelines to sectors/provinces on how to implement
Meteorology, Hydrology, and
NTP and how to prepare Action Plan for responding to climate
Climate Change
change.
MONRE – Viet Nam Institute of
Key role in undertaking research in the field of climate change
Meteorology, Hydrology and
(includes preparing scenarios, adaptation measures).
Environment
MONRE - National Hydro
Key role in managing all issues related to meteorology and hydrology
Meteorological
Service
of
(observation network, data collection, short and medium term
Vietnam
forecasting – for meteorology, hydrology and some environmental
factors).
Other Ministries
Page 15
Ministry of Planning
Investment (MPI)
and Performs the functions of State management over planning and
investment, including the provision of general advice on strategies,
planning and plans on national socio- economic development, on
mechanism and policies for general economic management and some
specific fields, on domestic and foreign investment, etc.
Ministry of Transport (MOT)
Prepare national master plans and strategies covering rural transport
infrastructure.
Issue policies, laws and by-laws covering rural transport
infrastructure.
Issue standards covering rural transport infrastructure.
Ministry of Construction (MOC)
Prepare national master plans and strategies covering urban water
supply and sanitation, including water supply and sanitation in small
urban areas.
Issue policies, laws and by-laws covering water supply and sanitation
infrastructure.
Issue standards covering water supply and sanitation infrastructure.
Provincial Agencies
Provincial People’s Committee
Takes key decisions on sustainable development and guides overall
(PPC)
development.
Provincial
Departments
of
Responsible for executing mandate of all MARD departments at the
Agriculture
and
Rural
provincial level. This includes the planning, oversight and monitoring
Development (DARD)
of rural infrastructure projects related to agriculture.
Provincial
Departments
of Responsible for executing mandate of MPI at the provincial level.
Planning and Investment (DPI)
This includes coordinating socio-economic planning.
Provincial
Departments
of Responsible for executing mandate of all MONRE departments at the
Natural
Resources
and provincial level. This includes drafting provincial action plan to
Environment (DONRE)
respond to climate change.
Provincial
Departments
construction, transport,
(DOC, DOT).
of Responsible for executing mandate of concerned Ministries at the
etc provincial level.
Decide on measures to maintain roads and respond to landslides.
Provincial Committee for Flood Responsible for responding to natural disasters.
Management and Search and
Rescue
Others
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Media organisations
Inform public on climate change and related issues.
NGOs and Mass movement Support people to implement provincial plans, eg in responding to
organisations
(e.g. Farmers disasters, and implementing awareness raising campaigns in line with
Association, Vietnamese Red action plan.
Cross)
Business Units and private
sector (provincial, and local
branches
of
national
companies).
Responsible for maintaining infrastructure, including clear-up after
land-slides and disasters.
Based on a competitive selection process, companies will be
responsible for the design, supervision and construction of
infrastructure projects.
Table: 4: Summary of stakeholders
Based on these consultations and the related analysis, a stakeholder involvement plan was prepared (see
Section 2.9), which outlines the likely roles of the national and local partners in the project
implementation.
Page 17
2.
STRATEGY
The Project Objective is to increase the resilience and reduce vulnerability of local, critical economic
infrastructure in the northern mountains areas of Vietnam to the adverse impacts of climate change and
to support a policy framework conducive to promoting resilient northern mountains zone development.
The project will contribute to the preferred situation (as described in section 1.3.1) by: demonstrating how
to climate-proof rural infrastructure projects; developing capacity in northern provinces – with a focus in
two provinces – to plan for climate change and to design and implement infrastructure projects that are
climate resilient; and, making critical interventions at national level in order to make the enabling
environment more conducive to climate rural resilient infrastructure.
2.1. Project Rationale and Policy Conformity
This project is consistent with pertinent recommendations from the UNFCCC Conference of Parties
(CoP) and is in alignment with Vietnam’s Second National Communication (SNC) to the UNFCCC. It
conforms with CoP guidance under the Adaptation window of the Special Climate Change Fund (SCCF)
as it implements high priority interventions to assist urgent adaptation needs in the priority identified area
of infrastructure development. Also, it supports capacity building for preventive measures in areas prone
to extreme weather events.
The Project catalyzes and leverages co-financing resources from bilateral and multilateral sources. The
GEF/SCCF financing will help to cover the additional costs of achieving sustainable development
imposed on Vietnam by the impacts of climate change; it is country-driven, cost-effective, and will
integrate climate change risk considerations into rural infrastructure projects in areas with high poverty.
These are priority interventions and eligible under the SCCF guidelines.
The project focus of safeguarding Vietnam’s rural infrastructure against future climate risk by pursuing a
range of adaptation measures in the field of infrastructure resilience and capacity development is aligned
with the scope of expected interventions as articulated in the SCCF programming paper. As climate
impacts fall disproportionately on the poor, the project recognizes the link between adaptation and
poverty reduction (GEF/C.28/18, 1(b), 29), and the main ultimate beneficiaries are poor people in remote
mountainous regions of northern Vietnam.
2.2. Country Ownership: Country Eligibility and Country Drivenness
Vietnam ratified the UNFCCC on 16 November 1994 and submitted its INC in 2003. Vietnam is fully
eligible for funding from UNDP and for support from ADB. The GEF Operational Focal Point ratified
this project by letter on 8 December 2008.
The Project is guided by and is consistent with the following national policies/plans:

The SEDP 2006-2010 and the forthcoming SEDP 2011-2015. Both the previous SEDP and the
forthcoming one focus on poverty reduction, with an emphasis on disaster stricken areas and on
improving rural infrastructure. The project supports those initiatives;
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


The SNC uses projections for 21st century carried out in 2009 by the Government of Vietnam
based on a range of emissions scenarios6 which confirmed the vulnerability of the northern
mountainous regions;
The NTP. In particular, this project contributes to the following Specific Objectives of the NTP:
(a) to assess climate change impacts on every sector and locality; (b) to identify measures to
respond to climate change; (e) to enhance public awareness, responsibility and participation; and,
(g) to mainstream climate change issues into socio-economic, sectoral and local development
strategies and plans;
The MARD Action Plan. Notably, it contributes directly to two of the three stated General
Objectives, namely: “ensuring the stability and safety of residents in cities and different zones
and regions, especially ….. mountainous areas”; and “ensuring the maintenance of dyke and
infrastructure systems…...”.
National stakeholders and MARD policy makers, and the GEF Operational Focal Point and the UNFCCC
Focal Point, have been fully involved in the development of the project proposal, through regular bilateral
meetings, regular sharing of documentation, and their participation in at least two consultative workshops.
The United Nations activities in Vietnam are guided by the United Nations One Plan, 2012-2016, whose
overall aim is to work with the Government and people of Viet Nam to ensure a balance between
economic, human and sustainable development objectives, directing its efforts to supporting the
Government to achieve inclusive, equitable and sustainable growth, access to quality essential
services and social protection, and enhanced governance and participation. These three ‘Focus
Areas’ form the overall conceptual framework for the One Plan 2012-2016 and are aligned to the
Socio-Economic Development Plan (SEDP) 2011-2015, which has the following key pillars:
economic development; education, training, science and technology; social fields; resources,
environment and sustainable development. This project contributes to the first focus area of
inclusive, equitable and sustainable growth of the UN One Plan Outcomes. Specifically, as per
UNDP commitments under the UN One Plan (2012-2016), the project directly contributes to the Outcome
1.3“By 2016, key national and sub-national agencies, in partnership with the private sector and
communities, have established and monitor multi-sectoral strategies, mechanisms and resources to
support implementation of relevant multilateral agreements and effectively address climate change
adaptation, mitigation and disaster risk management” and its related output 1.3.1 “Planning and
investment processes are climate proofed and specific programs have been formulated and
operationalized for long-term adaptation to reduce climate change vulnerabilities”.
The key institutions responsible for rural infrastructure development are the Ministry of Agricultural and
Rural Development and the Provincial Peoples Committee. Under the PPC, the main agency responsible
is the Provincial Department of Agriculture and Rural Development (DARD), with appropriate support
from the Departments of Construction and Transport (DOC, DOT).The main institution responsible for
coordination of adaption to climate change is the Ministry of Natural Resources and Environment
(MONRE), with support in provinces from the Provincial Department of Natural Resources and
Environment (DONRE). All these institutions were involved in the preparation of the project, and will be
involved appropriately in its implementation.
The main legal documents guiding this project are:
6
Climate Change, Sea Level Rise Scenarios for Viet Nam. MONRE, Government of Vietnam (2009)
Page 19


Decision 158/2008/QD-TTG, of the Prime Minister, on the Approval of the National Target
Programme to Respond to Climate Change;
No: 2730 /QD-BNN-KHCN of the Minister of Agriculture and Rural Development, on the
Issuance of the Action Plan Framework for Adaptation to Climate Change in the Agriculture and
Rural Development Sector Period 2008-2020.
2.3. Design Principles and Strategic Considerations
Fit into overall SCCF Portfolio
The proposed project is fully aligned with UNDPs thematic focuses on adaptation to climate change. In
line with the UNDP/GEF M&E Framework for Adaptation, this proposed project makes direct
contributions:
 Thematic Area 4, Disaster Risk Management, Outcome 3, “Capacity developed at the local level
to implement climate-related disaster prevention measures, such as improved settlement
construction, livelihoods protection, and/or land and water management practices”, and
 Thematic Area 1. Agriculture/Food Security, Outcome 3: “Climate risks integrated into design
and decision-making for agriculture-related investments” and Thematic Area 2. Water Resources
and Quality, Outcome 4: “Local level capacity enhanced to cope with climate change impacts on
water resources”.
The proposed project would become one of a relatively small number of SCCF investments worldwide
and an even small number of activities within the Asia Pacific region. The proposed project fits very well
into this relatively rarified portfolio given that it focuses on key SCCF priorities of adaptation to climate
change, focusing on the transport sector and equally helping to ensure longer term economic diversity in
one of Vietnam’s most isolated and vulnerable regions. It is one of the few SCCF projects with an
explicit focus on rural infrastructure and the only SCCF initiative in Vietnam – a country generally
acknowledged to be one of the most vulnerable countries to climate change within the region.
As described in Section 1.2.1 above, the government, with international partners, has a broad programme
to expand and upgrade rural infrastructure. This project is linked into that programme and holds the
potential to be significantly up-scaled as a result.
The entry point for this project into that national programme is the “Sustainable Rural Infrastructure
Development Project in the Northern Mountains (SRIDP)”. The SRIDP is to be financed by the
Government and an ADB loan. It is scheduled to start operations in 2010, with funding of US30.4 million
from the Government and US$108million through a loan from ADB. SRIDP is described in the following
section. Detailed information on the SRIDP project is provided in the relevant MoU between Government
and ADB in Annex 12.
Linkages to national processes
The SRIDP has been designed to address the persistent and significant levels of poverty, particularly
amongst the ethnic minority communities, in the Northern Mountains provinces. The SRIDP will provide
resources in the 15 Northern provinces to rehabilitate and, in some situations, establish new rural
infrastructure to improve access to services for the target population. The SRIDP will be implemented
under a sector modality whereby a number of infrastructure subprojects – typically 2-3 per province - will
be completed in each province.
Page 20
To finance the SRIDP, the ADB will issue a loan to the national government, which, in turn, will provide
grants to the participating provinces. The provinces will use these funds to undertake rehabilitation of
rural infrastructure. Through the detailed design phase, subprojects have been identified by the provinces
using participatory approaches and in line with criteria. These criteria include the need to demonstrate a
significant impact on poverty amongst its target beneficiaries.
This SCCF project builds on the baseline provided by the SRIDP project, and so it is inherently linked to
national processes to reduce poverty and to improve the quality of life in northern mountainous rural
areas.
In order to further facilitate linkages into national processes, the SCCF project will also be closely
coordinated with three recently started capacity development projects being financed by UNDP and
implemented by key national agencies, namely:



“Strengthening national capacities to respond to Climate Change in Viet Nam, reducing
vulnerability and controlling green house gas (GHG) emissions”, in collaboration with MONRE
and MARD;
“Strengthening Sustainable Development and Climate Planning”, in collaboration with MPI;
“Strengthening Institutional Capacity for Disaster Risk Management in Vietnam, including
Climate Change Related Disasters”, in collaboration with MARD.
With support from the international community, the Vietnamese government is currently implementing a
number of further initiatives related to climate change. These focus mainly on assessment, research and
planning, very few of them include actual activities to adapt, and none of these are in the northern
mountainous regions. Annex 5 provides basic information on the most relevant ongoing and planned
initiatives supported by international partners. The project will link with all concerned project as
appropriate in order to develop synergies and increase lessons learning.
National and local benefits:
As explained previously, the project is directly linked to ongoing efforts to reduce poverty. As such, it
makes a direct contribution to achieving the Millennium Development Goals (MDG), most notably MDG
1.
The total rural population of the 15 Northern Provinces is 10,237,000. Ultimately, these people will
benefit from the improved, climate resilient infrastructure to be supported through the project.
Many of the project’s more detailed capacity development activities are to focus into two representative
provinces, Bac Kan and Son La, with respective rural-based populations of 262,000 and 898,000.
Ultimately, these people will benefit from improved, climate resilient infrastructure. Background
information on Bac Kan and Son La Provinces are provided in Annex 6.
The project will directly demonstrate improved climate resilience on four infrastructure sub-projects
under the SRIDP. These sub-projects focus on road rehabilitation, irrigation system rehabilitation and
river embankment protection. The demonstration sub-projects are:



Upgrading rural road from 108 Road to Muong E in Thuan Chau District (in Son La Province);
Upgrading irrigation system and landslide protection embankment in Tham Mon Commune,
Thuan Chau district (in Son La Province);
Cau river bank protection (in Bac Kan Province), and;
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
Upgrading rural roads of two districts: Ba Be and Bach Thong (in Bac Kan Province).
Detailed information on the demonstration sub-projects is provided in Annex 7. As can be seen from
Annex 7, typically, a sub-project will improve the resilience of a road, or an irrigation system, or river
embankments. The population using this infrastructure will directly benefit, in terms of access to services
and markets, and ultimately will benefit in terms of income, health and/or education. A typical SRIDP
infrastructure sub-project aims to serve 2-3,000 people. Hence, with four sub-projects, up to 10,000
people may benefit directly. The indirect benefits as lessons learned are spread to other provinces through
activities in the other project components are significantly greater.
Comparative advantage.
The project is within the comparative advantage of ADB as it emphasizes investment and related
technical assistance by blending grant financing from GEF and other sources with investment financing
from ADB. As one of the Vietnamese government’s largest financing partners for infrastructure
development, ADB brings to the project its strong understanding of social, economic, environmental, and
institutional challenges and opportunities to prepare climate resilient infrastructure in Vietnam. It brings
a strong technical expertise related to infrastructure development. Furthermore, ADB’s long and
significant support to rural areas in Vietnam also enables ADB to garner political support from
participating provincial and district level governments to implement the project in a positive and
cooperative manner. ADB also brings substantial policy experience through its assistance to the
formulation of numerous laws, decrees, circulars, regulations, and guidelines in relevant agencies such as
MONRE, MARD and MOC.
UNDP’s comparative advantage is in capacity development and policy support, which is an essential
component in the development of a climate resilient rural infrastructure. Through this SCCF project, these
aspects will promote an enabling environment for government-driven infrastructure investments and
enable informed decision-making. They will also lead to significant provincial level capacity. UNDP has
been a key partner for Vietnam in establishing an effective governance system with a view to promoting
sustainable human development, and in harmonizing the services provided by agencies within the UN
system. UNDP has been working with MONRE, MARD, MOC and MPI on the mainstreaming of
environmental and climate risk management issues into sectoral policies. The proposed adaptation project
will build on these efforts and enhance the government’s adaptive capacity in face of changing climatic
conditions. Hence, the project will be able to efficiently connect to the central policy processes that
currently shape Viet Nam’s approach on how to deal with evolving climatic risks.
2.4. Project Objective, Outcomes and Outputs/Activities
The Goal of the project is to promote climate-resilient development in the northern mountainous regions
of Vietnam.
The Objective of the project is to increase the resilience and reduce vulnerability of local, critical
economic infrastructure in the northern mountains areas of Vietnam to the adverse impacts of climate
change and to create a policy framework conducive to promoting resilient northern mountains zone
development.
In order to achieve this Objective, four Outcomes will be delivered:
Page 22
Outcome 1 – Climate Change Adaptation integrated into policy, strategy and planning that relates to
rural infrastructure – specifically agriculture, rural water and rural roads (UNDP managed);
Outcome 2 – Enhanced capacity to adapt/climate-proof rural infrastructure investments and
provincial/local area planning (UNDP managed);
Outcome 3 – Effective climate-resilience measures mainstreamed into the MARD rural infrastructure
program. (ADB managed) (this Outcome is described in detail in the concerned ADB TA paper,
included in Annex 13);
Outcome 4 – Lessons learnt and best practices from Outcomes 1, 2 and 3 are disseminated to
stakeholders and development partners (UNDP managed).
Outcome 1 focuses on the national level enabling environment, making it more conducive to adaptation in
rural plans and rural infrastructure projects. It will develop practical tools for practitioners, and it will
prepare recommendations for future policy and standards. Outcome 2 focuses on provincial capacity to
plan, design, implement and monitor infrastructure projects. Under this Outcome, basic adaptation
capacity will be developed for all 15 Northern provinces. Next, in two provinces, Bac Kan and Son La,
in-depth capacity to assess climate change, to prepare vulnerability maps, to develop strategies and to
adapt infrastructure plans will be developed. This will not only build their capacity, but also serve as a
demonstration and spring-board for capacity building in other provinces after the project.
Outcome 3 demonstrates the mainstreaming of climate change adaptation into 4 diverse infrastructure
SRIDP sub-projects. Through a learning and participatory process, Outcome 3 will demonstrate that
climate resilience can be increased at an acceptable cost and without significant delays to the investment
implementation schedule. The activities, challenges, lessons and practices learnt under Outcome 3 will
also serve as a learning school to feed the capacity development in Outcomes 1 and 2. Outcome 3 will
also include training on project design and climate change, and will lead to the development of technical
specifications for infrastructure applicable in northern mountainous regions. Outcome 3 is financed by
SCCF and managed by ADB, in parallel to components 1, 2 and 4.
The whole approach is ‘capacity development by doing’. In this, the demonstration sub-projects will serve
as a school of learning, and national and provincial level capacity will be developed by involving
concerned institutions and individuals in all steps of the demonstration sub-projects. With the guidance of
local and international experts, MARD and technical experts will play a key role in planning, designing,
supporting, monitoring and implementing provincial and local activities – thereby developing their
capacity to replicate after the project. Overall, the lessons learnt and experiences acquired under
Outcomes 1, 2 and 3 will be collected, codified and documented. Under Outcome 4, these lessons will be
disseminated in a targeted manner across Vietnam and to other countries. This is one of the first
infrastructure projects in the SCCF portfolio, and one of the first projects to take adaptation measures in
rural Vietnam, hence every effort will be taken to ensure lessons are learnt and disseminated.
The objectives and outcomes of the proposed project are closely aligned to the UNDP/GEF thematic
focus areas on climate change adaptation which include: reducing vulnerability to climate change and
local and national levels; increasing adaptive capacity at all levels; and promoting the transfer and
adoption of suitable adaptation technologies. More details of outputs and activities under each Outcome
are provided in the following sections, and in Part III – the Strategic Results Framework.
Outcome 1 – Climate Change Adaptation integrated into policy, strategy and planning that relates
to rural infrastructure – specifically agriculture, rural water and rural roads (UNDP managed);
Co-financing amounts for Outcome 1: $3,265,000
SCCF project grant requested: $398,500
Page 23
Without SCCF Intervention (baseline)
In the baseline, in the rural infrastructure sectors, climate change will not be mainstreamed into policies,
plans or programmes. For example, the national, sectoral and provincial five-year plans will not be
adapted to climate change. The procedures to prepare the plan will not include steps or mechanisms to
incorporate climate change. Future strategies (e.g. the Rural Transport Strategy) will not be adapted to
climate change.
In the baseline, efforts to adapt to climate change will mostly focus on general planning, assessing and
researching climate change, but there will be few concrete measures leading to real changes. The National
Target Programme will support a series of studies leading to increased understanding, but will not support
concrete action. Likewise, the MARD Action Plan will lead to increased understanding in the agriculture
and rural development sector, but not to specific changes or investments. Also, in the baseline, provincial
actors that wish to address climate change will not benefit from adequate support from national agencies.
The baseline also consists of several ongoing projects financed by UNDP which will address some
specific issues related to climate change. These have an overall impact on northern mountains and
infrastructure, but are not focused on those issues. These projects are: (1)“Strengthening national
capacities to respond to Climate Change in Viet Nam, reducing vulnerability and controlling GHG
emissions”. This will develop climate change policy, improve the knowledge base for decision-makers,
and provide ongoing technical advice; (2) “Strengthening Sustainable Development and Climate
Planning”. This will strengthen sustainable development planning at the national level, mainstreaming
climate change, and providing knowledge management and advocacy, and “Strengthening Institutional
Capacity for Disaster Risk Management in Vietnam, including Climate Change Related Disasters”.
With SCCF Intervention (adaptation alternative)
The SCCF intervention will lead to the preparation of tools that will strengthen the ability to integrate
climate change into the planning, design, implementation and monitoring of rural infrastructure projects.
It will also prepare recommendations related to policies and standards; and these recommendations will
ultimately feed into the incentive framework for adaptation.
The first step will be to prepare a document identifying and analysing all policies, standards and strategies
related to rural infrastructure. The dozens of existing policies and strategies, and the hundreds of existing
standards, will all be reviewed, screened, and the best entry points for mainstreaming climate change will
be determined. These priority policies and strategies will then be assessed in a participatory manner, and
recommendations regarding mainstreaming climate change will be developed and introduced to MARD.
The next step focuses on guiding planners. Under this step, building on the findings from Outcome 3
(below), a Technical Guidance Paper will be prepared that provides guidance on integrating climate
change into provincial planning related to rural infrastructure (i.e. in the agriculture, irrigation and rural
transport). In the baseline, national government agencies issue guidelines on how to prepare plans, and on
what should be the contents of sectoral plans at provincial level. The Technical Guidance Paper will
provide additional, optional guidance to provincial planners, in DPI, DARD, DOT and DOC, on: how to
utilize existing information on climate change, how to assess the vulnerability of plans to climate change,
how to assess likely climate change impacts, how to assess likely costs of climate change, and how to
determine cost-effective, alternative plans that are less vulnerable to climate change. The guidance will be
appropriate for rural areas in the Northern Mountains. Over the long term, this may lead to the relocation
of some investment projects.
Page 24
The next step focuses on guiding project developers. Under this step, a Manual to guide the design,
construction and implementation of rural infrastructure projects will be prepared. The existing guidance
on the construction of rural infrastructure is outdated, and does not address climate change. The Manual
will supplement the existing guidance. This supplement will guide provincial stakeholders as they go
through each step when preparing infrastructure projects and addressing climate change. The Manual will
provide guidance on: assessing likely climate change at the project site, assessing likely physical impacts
of climate change, assessing likely economic impacts of climate change, assessing costs of likely impacts,
identifying alternative approaches with costs, and comparing alternatives. The Manual will include a tool
for assessing alternative options and determining the costs/benefits of baseline and climate-proofed
alternatives. The Manual will build on the findings from Outcome 3. It will also build on best practices
from other countries. It will also review measures used across Vietnam to increase resilience to climate
events.
In the long term, construction standards and codes will need revising. However, that is beyond the scope
of this project. However, this project will prepare a technical discussion paper. This paper, prepared in a
participatory manner, will review priority standards, discuss strengths and weaknesses regarding climate
change, and make initial recommendations on which standards to revise. This paper will feed into later
government efforts to revised standards and codes.
The Outputs and indicative Activities for Outcome 1 are listed below.
Output
Indicative Activities
1.1 Documented review 1.1.1 Prepare a list of all concerned policies, strategies and
of
institutions
and
standards;
existing
policies, 1.1.2 Identify the most related policies, strategies and standards for
strategies and standards
further study;
related
to
rural
1.1.3 Prepare 4 papers (respectively on roads, irrigation, water
infrastructure.
supply, embankments) which describe how policies presently
take account of climate change and identify the priority
policies, strategies for modification in order to better account
for climate change.
1.2
Technical
paper 1.2.1 Review the findings of the demonstration projects (Outcome
providing guidance on
3)
mainstreaming
climate 1.2.2 Review the process to prepare long-term Socio-Economic
change
into
sectoral
Development Plans (e.g. 2016-2020, etc,) and identify ‘entry
planning related to rural
points’ in the process/Plans where climate change issues can
infrastructure in northern
be mainstreamed;
areas.
1.2.3 Based on lessons learnt from Outcome 3 demonstration
Note This contributes to
projects, and on international best practices, prepare a detailed
NTP Activities 13, 14 and
technical paper providing guidance on climate change issues
15, and to MARD CC
to be used by planners when preparing plans.
Action Plan Activity no.
3.
1.3
Manual
on 1.3.1
mainstreaming
climate
change into the design of
rural
infrastructure
Collect information from other countries on possible
processes and measures to adapt rural infrastructure (roads,
irrigation, water supply and embankments) projects to climate
change;
Page 25
projects.
1.3.2 Collect information on measures used in Northern Vietnam to
increase resilience to climate events (e.g. vented drifts,
Note This contributes to
bamboo planting) and on the process to choosing to use these
NTP Activities 15 and 19,
measures;
and to MARD CC Action
Plan Activity no. 5.2.
1.3.3 Prepare a technical paper describing the strengths of each
measure and its potential in northern mountainous Vietnam;
1.3.4 Based on the lessons learnt from Outcome 3 demonstration
projects and the technical specifications coming from those
demonstrations, prepare a detailed Manual to be used by
provincial departments and/or consultants in order to
mainstream climate change into rural infrastructure projects
(in line with budget, this Manual may not cover all subsectors). The manual will introduce measures, specifications,
background institutional and policy issues. It will guide the
process of assessing climate change vulnerability, identifying
options, and undertaking cost benefits.
1.4
A
technical 1.4.1 Collect basic information on all standards/codes related to
discussion
paper
on
rural infrastructure (on roads, irrigation, water supply,
existing standards and
embankments) in Vietnam;
codes
and
the 1.4.2 Identify priority standards/codes which would benefit from
implications of climate
modification in order to adapt to climate change;
change.
1.4.3 Based on lessons learnt from Outcome 3 demonstration
Note This contributes to
projects, propose technical paper discussing the priority
NTP Activities 19, and to
standards/codes identified in 1.4.2.
MARD CC Action Plan
Activity no. 5.2
Outcome 2 – Enhanced capacity to adapt/climate-proof rural infrastructure investments and
provincial/local area planning (UNDP managed);
Co-financing amounts for Outcome 2: $3,500,000.
SCCF project grant requested: $596,500.
Without SCCF Intervention (baseline)
In the baseline, provincial level capacity to adapt and climate proof infrastructure will be very limited.
The provinces do not have the incentives, the information, the tools or the expertise to adapt to climate
change. Little work is done to adapt. In the past, scientists have prepared disaster vulnerability maps for
two provinces, but: (i) these do not account for climate change; (ii) they cover only two provinces, and;
(iii) they were prepared for scientific rather than decision-making purposes. Annex 4 provides additional
information on the capacity levels at provincial level and below.
In the baseline, the ongoing UNDP projects will address some specific issues related to provincial
capacity and climate change. “Strengthening national capacities to respond to Climate Change in Viet
Nam, reducing vulnerability and controlling GHG emissions”, will support capacity development at
national and local levels, and provide ongoing technical advice, though there will be little focus in
Northern areas or on the specific issues arising from rural infrastructure planning and investment.
Page 26
“Strengthening Sustainable Development and Climate Planning” is strengthening sustainable
development planning at the national level with support mechanisms to provincial planning. This includes
support to mainstreaming climate change and providing knowledge management and advocacy. It will
also be building capacity of MPI and Provincial DPIs.
With SCCF Intervention (adaptation alternative)
The SCCF funds will be used to develop the capacity of a range of key stakeholders across the Northern
Provinces, as described in the following passages. The first step will be to undertake a coarse
vulnerability assessment of all 15 Northern provinces. Based on latest information and best available
scenarios, likely climate changes will be projected for northern Vietnam, with national and international
experts working together as a means to develop in-country capacity. The information prepared will be
used to develop scenarios on how climate change and its impacts may be distributed. This information
will be combined with relevant economic, social and environmental data. The maps will indicate
vulnerability for each type of ecological zones. This information will be used as a basis for much of the
capacity building in the later activities and provide inputs into local area planning.
The second step will be to raise awareness of decision-makers, in order to increase political support for
adaptation measures. The project will support national teams of experts to prepare vital information on
climate change and likely impacts on rural infrastructure, and, in turn, on poverty. Provincial and district
leaders will be provided this information and related evidence, through workshops and study tours.
Likewise these key decision-makers will be given information on the costs and ways of increasing
resilience.
Next, in the two target provinces, Bac Kan and Son La, the Project will provide more intensive capacity
development through the following steps. National and international experts will first develop two
detailed provincial level climate change vulnerability maps. These will downscale the best existing
scenarios for climate change, and combine with information on (i) past disasters; (ii) mean temperature
and precipitation and extremes; (iii) topography; (iv) hydrology; (v) soil types; (vi) poverty, and other
factors in order to determine the areas most vulnerable to climate change. This will be sufficiently
accurate to distinguish between individual water sheds/sub-watersheds on the basis of vulnerability to
climate change within the two provinces. Prepare jointly by national experts, these maps constitute a
simple but powerful tool to guides planners. Based on these vulnerability maps, the project experts will
support provincial planners to develop a strategy for climate proofing rural infrastructure - the strategy
will set priorities, determine criteria and outline a process for decision-making on climate-proofing
measures. This strategy will be a key tool for future planning.
Next, SCCF funds will support the two provinces to mainstream climate change adaptation into rural
infrastructure components of the provincial socio-economic development plans in Son La and Bac Kan.
The project will work with PPC, DARD and DONRE during the planning cycle to determine the entry
points, undertake a climate assessment of the plans, and integrate measures to adapt to climate change in
the plans listed below (based on Strategy prepared above). Depending on timing, these activities may
contribute to the preparation of Provincial Action Plans to Respond to Climate Change7. These activities
will also develop a simple methodology and then demonstrate mainstreaming of climate change into the
rural infrastructure components of the following:
 Five-year provincial socio-economic development plan;
7
Provinces have been requested by MONRE to prepare Provincial Action Plans to Respond to Climate Change, in
line with the NTP. The timing of the preparation of these Plans is to be determined.
Page 27



Annual socio-economic development plans;
Five year provincial agriculture and rural development plans;
Annual provincial agriculture and rural development plans.
Finally, the project will provide training to develop a cadre of technical experts able to prepare
vulnerability maps and support mainstreaming. Based on a prior training needs assessment, the experts
will be provided practical training: on how to use the Manual (Outcome 1) and to apply it; on using GIS
for climate change management, and; on developing climate adaptation strategies. This cadre of experts
will be available for work in rural, mountainous areas across the fifteen Northern provinces. Given the
growing importance of climate change in Vietnam, and the growing use of GIS tools for planning and for
risk assessment in Vietnam, it is expected that this cadre of trained experts will continue to be active in
this domain for a long period after the project, thereby ensuring the sustainability of this training.
In all cases, capacity development will be done ‘through doing’ – national and international experts will
work together as a way to hand capacity to Vietnamese expert institutions and, in turn, as appropriate, to
Vietnamese government experts.
The Outputs and indicative Activities for Outcome 2 are listed below.
Output
Indicative Activities
2.1
Climate 2.1.1 Collect latest information on scenarios applicable to northern
vulnerability
Vietnam;
assessment
(all
15 2.1.2 Using best regional scenarios, determine likely climate changes
northern provinces).
in Northern mountains of Vietnam;
2.1.3 Using info from 2.1.2, prepare coarse prediction of climate
change impacts and distribution across Northern Vietnam.
2.2 Raised awareness 2.2.1 Identify and describe needs in terms of raised awareness. Targets
amongst
decisioninclude Leaders of PPC and DPC, and Leaders of Provincial
makers on impacts of
DARD, DPI, DONRE and other provincial departments;
climate
change
on 2.2.2 Based on best practices in Vietnam and Output 2.1, develop an
poverty reduction (all
awareness raising programme for decision-makers in the 15
SRIDP provinces). Note
northern mountainous provinces, develop awareness raising
This contributes to NTP
material;
Activity 5.
2.2.3 Implement the awareness raising programme, for example by
organising conferences, or information workshops, or
distributing fact sheets, or organising site visits for senior
decision-makers.
2.3
Provincial 2.3.1 Using historical data, and local conditions, and lessons from
strategies for climate
Outcome 3, prepare climate-related risk maps for Son La and
proofing
rural
Bac Kan Province;
infrastructure to climate 2.3.2 Based on climate-risk maps (from 2.4.1), and on vulnerability
change
(based
on
levels of the population, and on best available climate change
Vulnerability
impact
scenarios, prepare a ‘vulnerability map’ for both Son La and
assessment and maps)
Bac Kan Provinces. This map will identify the places that are
(Son La and Bac Kan
most vulnerable to climate change in the Province;
provinces only).
2.3.3 In Son La and Bac Kan, prepare a provincial strategy for climate
Page 28
Note This contributes to
MARD CC Action Plan
activity 2.2
proofing rural infrastructure. This will set priorities, determine
criteria for choosing vulnerable infrastructure, criteria for
choosing proofing measures, and will determine the process for
preparing cost-benefit analysis and decision-making.
2.4 Climate change
mainstreamed into rural
infrastructure
components
of
Provincial Development
Plans (Son La and Bac
Kan provinces only).
This is linked to
preparation/roll-out of
Provincial Action Plans
to Respond to Climate
Change.
Note This contributes to
NTP Activity 26 and
MARD CC Action Plan
activity 3.4.
Provinces are currently preparing Provincial Action Plans to Respond
to Climate Change – an activity led by MONRE.
2.4.1 Review process to prepare Provincial Action Plans to Respond
to Climate Change;
2.4.2 Collect and review long-term plans and sectoral planning for
rural roads, irrigation and water supply;
2.4.3Provide training to provincial teams preparing the Provincial
Action Plans to Respond to Climate Change;
2.4.4 Use maps and strategy (from 2.3.2 and 2.3.3) to assess exposure
of existing infrastructure to climate risks and identify high-risk
zones;
2.4.5 Using national guidance paper (from 1.2), and information from
2.3.2/2.3.3, ensure that rural infrastructure components of long
term Development Plans in Son La and Bac Kan account for
climate change.
2.5 A cadre of experts 2.5.1 Undertake training needs assessment for government experts and
able (i) to prepare,
provincially based consultants, and identify the most suitable
interpret and utilize
participants;
provincial level climate 2.5.2 Develop training material on preparing vulnerability maps and
vulnerability maps and
on practical measures to mainstream climate change into
(ii) mainstream climate
development plans;
change
into
2.5.3 Using the process to implement 2.3 and 2.4 as a training-model,
development plans (all
run two sets of training courses covering climate mapping,
provinces).
vulnerability mapping, GIS, and climate adaptation strategy
preparation.
Outcome 3 – Effective climate-resilience measures mainstreamed into rural infrastructure
programs.
(This Outcome is managed by ADB, and financed by SCCF. See separate ADB Technical
Assistance Paper in Annex 13 for further information).
Co-financing amounts for Outcome 3: $123,320,0008.
SCCF project grant requested: $2,000,000
Without SCCF Intervention (baseline)
8
Total ADB loan: $108million of which $16,680,000 Project Management costs. Government SRIDP investment:
$30million.
Page 29
Current rural infrastructure in Viet Nam is designed according to relevant government standards and
specifications. These standards and specifications are rigid, out of date, and tend to focus narrowly on
issues such as pavement thickness or width of canal but not at the broader environment in which the
infrastructure exists. As a result, current infrastructure can be vulnerable to poor performance, rapid
deterioration or failure even under existing climatic conditions. The most damaging impacts are
associated with frequent flood events, which cause high volume and velocity of surface water movement.
This can cause severe erosion leading to damage to rural infrastructure. The ensuing damage results in
high maintenance and rehabilitation costs as well as a loss of benefits while the infrastructure remains in
poor condition. At present there are few agreed measures which can be taken in the context of existing
design standards to prevent or mitigate these impacts, as alternate methods are either not known, or where
known they may not be accepted or considered cost-effective
Under the baseline situation, rural infrastructure in the northern mountains region of Viet Nam, including
the 45 SRIDP supported rural infrastructure sub-projects, will be constructed according to existing design
standards and as a result will be vulnerable to damages caused by climate variability. With the addition
of future climate change – which is projected to increase the frequency and intensity of high rainfall
events and cause more pronounced dry seasons – existing deficiencies with current rural infrastructure
designs will be further exacerbated, leading to higher levels of failure and loss of benefits for
communities. Further, in the baseline, government officers and planners are not fully aware of the
potential impacts of climate change on their projects and even in cases where there is theoretical
knowledge of approaches for adapting to climate change, there is limited practical knowledge and
experience.
With SCCF Intervention (adaptation alternative)
SCCF funds will demonstrate practical, cost-effective and convenient ways to climate proof four subprojects in two provinces: Bac Kan and Son La. Two rural roads, one irrigation scheme and one river
embankment will be climate proofed. This will demonstrate that it is possible to increase climate
resilience, that adaptation costs can be outweighed by benefits, and that this can be done without causing
delays to the infrastructure project cycle. As a result, provincial level decision-makers will be convinced
of the advantages of climate-proofing. Also, the four concerned sub-projects will be more resilient to
climate related hazards and will yield benefits to local poor people over a longer period (See ADB TA
Paper for details of the four sub-projects, including the process to select the sub-projects and selection
criteria).
The process to selecting these projects was mostly undertaken during the SRIDP project design. The
SRIDP selection criteria included:
 contributing to the strategic objectives of district and provincial socio-economic development
plans;
 compliant with national and ADB’s environmental standards;
 have no significant resettlement or land compensation implications;
 located in upland or mountainous districts where the majority of beneficiaries are likely to be
ethnic minority poor people;
 demonstrated local demand for subproject with confirmation by beneficiaries, participating
commune, and district authorities, and;
 demonstrated financing arrangements for routine and periodic maintenance costs after completion
of works.
Page 30
Next, in order to assess suitability for being included in the SCCF project, the ADB assessed sub-projects
in terms of their vulnerability to climate change and the feasibility of adapting them to the impacts of
climate change. As a result, four sub-projects were selected to act as demonstration. The four selected
demonstration sub-projects are (see Annex 7 for details of screening criteria of these sub-projects):




Upgrading rural road from 108 Road to Muong E in Thuan Chau District (in Son La Province);
Upgrading irrigation system and landslide protection embankment in Tham Mon Commune,
Thuan Chau district (in Son La Province);
Cau river bank protection (in Bac Kan Province), and;
Upgrading rural roads of two districts: Ba Be and Bach Thong (in Bac Kan Province).
The first step under this Outcome will be to develop of a trained cadre of technical personnel familiar
with the use of low cost infrastructure protection measures. The emphasis will be on measures previously
used in Vietnam and on bio-engineering measures. The next step will be to assess the four sub-projects, to
determine climate vulnerabilities in the sub-projects, and to identify potential low-cost climate-proofing
measures that are adapted to the rural areas of Vietnam. A list of potential measures will be defined based
on a combination of a review of existing knowledge and approaches, with new measures captured from
similar programmes across the region. This is likely to include bio-engineering to increase slope stability,
or low-cost civil engineering to increase slope stability, or strengthened water flow structures, or
strengthened canal and river embankments through bio-engineering and/or low civil engineering. In the
case of rural roads important considerations will also include: (i) the choice of pavements that are able to
resist erosion arising from raindrops and the movement of water over the pavement; (ii) the height of the
road embankments; (iii) the stabilization of the road embankments and side drains; and (iv) the design and
sizing of the cross drainage structures and the provision of structures or controlled failure mechanisms to
allow high flows of water to cross the road quickly while limiting the damage to a small area. Choices
will then need to be made between possible options before detailed design can be performed.
There are a number of decision making tools that could be applied at this point including the Community
Based Risk Screening Tool (CRisTAL), the USEPA’s Tool for Environmental Assessment and
Management (TEAM), and the UK Climate Impact Programme’s Adaptation Wizard. The optimum
measures will then be designed in detail and the project will then finance the measures, as a way to
demonstrate of low cost local resource methods to climate adaptation.
There will be a close link between this component and the capacity development components under
Outcomes 1 and 2. The existing in-service training programs and technical training curricula for local
institutions will be revised, and low cost local resource approaches for erosion control and embankment
slope stabilization will be integrated into the programmes and curricula, among other potential approaches
identified by the project. Finally, under this Outcome, technical specifications for erosion control,
slope/embankment protection, or water capture and storage, that are pertinent to rural infrastructure in
Northern mountains will be prepared, as well as a manual on mainstreaming climate change and
variability into the design of rural infrastructure projects. These interventions will allow the project
experience to be more effectively scaled-up, by the Government and through other ADB supported
projects in Viet Nam, which will increase cost effectiveness.
While the cost – benefits of individual measures are likely to be specific to the sites, it is anticipated that
measures will follow a “no regrets” approached. Such an approach will aim to enhance the sustainability
of infrastructure investments under both existing and projected future climatic conditions. This will
improve he cost effectiveness of measures and increase the likelihood of their uptake by government.
Activities under Component 3 will be accompanied by a programme to monitor resilience to climate
change, and to increase collective understanding of how to increase infrastructure resilience. A key
indicator will be to assess the change in relative resilience and/or deterioration rates of the infrastructure
Page 31
attributable to the impacts of climate change (as compared to control sites that have not been assisted by
the project). The dimensions of the rates and attributes will be further developed during the project, once
the designs of the infrastructure sub-projects is completed and resilience strengthening measures
identified. To ensure sustainability of the monitoring program, a national institute within MARD will be
used, and the development of monitoring indicators will be done as a participatory process as part of the
projects learning by doing approach to capacity development.
The Outputs under this Outcome:
Output
Indiactive activities
3.1: Low cost climate proofing measures 3.1.1
suitable for rural infrastructure in northern Viet
Nam identified.
3.1.2
3.1.3
3.1.4
3.1.5
Literature review and inventory of potential
measures suitable to the project area Mo. 1.5.
Survey of existing problems for RI and potential
low-cost solutions for increasing climate
resilience and infrastructure sustainability in
northern mountains provinces. Mo. 3.
Assessment of optimal inclusion of
disadvantaged groups in the construction and the
management and benefits of the demonstrations.
Mo. 3.
Consolidation of the range of specific climate
resilience measures that optimize potential
social benefits for use in demonstrations. Mo. 4.
Preparation of susceptibility-hazard-risk
framework. M4
3.2: Appropriate CC resilient techniques 3.2.1
demonstrated.
Finalize selection of demonstration sites and
control sites. Mo. 2
3.2.2 Carry out training of implementation personnel.
Include at least 25% female. Mo. 4
3.2.3 Site level survey and data gathering. This should
include both technical and relevant social data.
Mo. 5
3.2.4 Review of provincial climate vulnerability
assessment from UNDP component. Mo. 5
3.2.5 Identify appropriate measures. Mo. 6.
3.2.6 Prepare the implementation approach and
related documents including social inclusion
measures. Mo. 7
3.2.7 Carry out detailed design and cost estimate. Mo.
8
3.2.8 Prepare monitoring framework. Mo. 8
3.2.9 Implement demonstration works in coordination
with sub-project implementation. Mo. 8-24
3.2.10 In collaboration with the organization that
MARD would select for the long-term
performance monitoring and analysis carry out
Page 32
performance monitoring of the demonstrations
and controls. Mo. 24-36.
3.3: A trained cadre of technical personnel 3.3.1
familiar with the protection measures.
3.3.2
3.3.3
3.3.4
3.4: Recommendations for the integration of 3.4.1
the demonstrated approaches into training
curricula, standard design procedures and
3.4.2
contract specifications.
3.4.3
3.5: CC risks and vulnerabilities, and the 3.5.1
potential for applying the measures used in the
demonstrations for strengthening the resilience
of nearby communities are identified.
3.5.2
3.5.3
In coordination with UNDP, prepare a
knowledge dissemination and communication
strategy and action plan to include reports,
website posting and other knowledge sharing
events. Mo. 1-3
Initial briefing and training at the provincial
level in relation to CC vulnerability assessment
and approaches for increasing the resilience of
RI. Mo. 3-7
Initiate dissemination program. Mo. 7-33
Prepare training materials and programs. Mo.
12.
Review training curricula, standard design
procedures and specifications. Mo. 30
Identify opportunities and needs for
incorporating climate resilience measures and
techniques. Mo. 32
Prepare recommendation and present to relevant
authorities. Mo. 34
For one selected communities within the area of
influence of each of the four demonstration sites
assess the general trends and issues related to
climate change. Mo. 24.
Relate the assessment to the broader
vulnerability assessment for the northern
mountains region. Mo. 30.
Complete the assessment report which includes
the identification of potential future CC
initiatives. Mo. 34.
Outcome 4 – Lessons learnt and best practices from Outcomes 1, 2 and 3 are disseminated to
stakeholders and development partners (UNDP managed).
Co-financing amounts for Outcome 4: $0.
SCCF project grant requested: $125,000
Without SCCF Intervention (baseline):
In the baseline, as there are no lessons available related to climate change adaptation, there is no system to
disseminate lessons, and no dissemination.
With SCCF Intervention (adaptation alternative)
Page 33
Outcome 4 ensures that all project activities are adequately assessed and the lessons learned from their
implementation are captured and disseminated to other provinces and to other countries embarking on
similar processes. Adapting to climate change is a relatively new sector and requires innovation. This
project is one of the first projects in Vietnam undertaking adaptation measures in northern rural areas.
This is also one of the first SCCF projects to focus on rural infrastructure. Hence, it is expected that the
project will be a source of vital information on climate change adaptation in a user-friendly way to all
relevant stakeholders.
Project lessons will be captured through a dedicated data-base, and they will be disseminated using
appropriate communication channels and techniques. A communication strategy, to be developed in the
project early stages, will identify most appropriate tools from, for example, fact sheets, newsletters,
brochures, DVD, mini-films. A national institution experienced in knowledge management may be sought
out to be used for these purposes.
Lessons from the implementation of this project are crucial for enhancing the understanding of
approaches to adaptation that most countries will have to build upon in the future. This project provides
an opportunity to pilot and operationalise interventions that increase understanding of climate change and
improve adaptive capacity to climate change. A comprehensive learning component is important so that
other countries can learn from the experiences of each other, as well as for disseminating lessons
nationally. Linkages will be made to UNDP-GEF’s global Adaptation Learning Mechanism (ALM) as
well as other regional learning networks and platforms to ensure that lessons from this project will reach a
broader audience including other international agencies, donors and the Secretariat of the Global
Environment (GEFSEC) who are likely to be engaged in similar initiatives in other countries.
The achievement under Outcomes 1, 2 and 3 will contribute towards lessons on improving resilience to
climate change, including variability. These lessons will form a crucial input to inform Vietnam’s plans
and strategies to adapt to climate change. GEF, through the SCCF, will play a pivotal role in enhancing
local knowledge and capacities, which will in turn enable Vietnam to scale up and replicate these
interventions.
Outputs and indicative activities for Outcome 4 are listed below.
Output
4.1
Project
lessons
classified and evaluated;
Indicative Activities
captured, 4.1.1 Develop project database to record all project
findings and lessons and to maintain a full record
of all data generated under the project;
4.1.2 Prepare optimal communication material (e.g. fact
sheets, newsletters, reports, brochures, DVD, etc)
and distribute across Vietnam. This may include a
film of components 2 and 3 for optimal visible
impact.
4.2 Adaptation knowledge and 4.2.1 Establish agreement with a national knowledge
experiences
from
the
project
management institution
documented and disseminated within 4.2.2 Share information with similar projects in other
Vietnam, in the Asian region and
countries;
beyond.
4.2.3 Share lessons learnt with UNDP’s Adaptive
Note: this contributes to NTP activity
Learning Mechanism (ALM) and other relevant
12.
regional, sub-regional and national knowledge
Page 34
management platforms.
Project Management Costs are $17,360,000, of which Cofinancing is $17,080,000 and SCCF/GEF
contribution is $280,000. Of the SCCF contribution, $256,000 are managed by UNDP and $24,000 are
managed by ADB.
Overall, including management costs, the total project cost is $148,565,000. SCCF contribution is
$3,400,000, with $1,400,000 managed by UNDP, and $2,000,000 managed by ADB. Co-financing
contribution is $145,165,000.
2.5. Key Indicators, Risks and Assumptions
See the logical framework analysis in Part 3 for details of the smart indicators, the baseline values, the
targets for the end-of project, and the sources of indicator data. The logical framework analysis in Part 3
also provides an explanatory note on the choice of each indicator, and an explanation of the suitability of
each indicator.
Outcome 1 is Climate Change Adaptation integrated into policy, strategy and planning that relate to rural
infrastructure – specifically agriculture, rural water and rural roads. The indicators to track the
achievement of this outcome include:
1) Technical Guidance Paper. By the end of the project, there should be evidence that the Technical
Guidance Paper prepared under this project and circulated by MARD is being used in at least two
provinces.
2) Consideration of climate change in next revision of Transport standards Whenever MOT next
revises Standards (this could be after project completion), the target is that the findings of this project
are taken into consideration and are influential.
Outcome 2 is Enhanced capacity to adapt/climate-proof rural infrastructure investments and
provincial/local area planning. The indicators to track the achievement of this outcome include:
1) Capacity development indicator (see Part 3 below and Annex 9). The current value and the target
for the end of the project will be determined during project inception.
2) Evidence that major planning decisions are being modified due to vulnerability maps (in Son La
and Bac Kan target provinces). The end of project target for the number of decisions to be modified
will be determined during project inception.
Outcome 3 is Effective climate-resilience measures mainstreamed into rural infrastructure programs .
The indicators to track the achievement of this outcome include:
1) The approaches developed will be used by MARD rural infrastructure investments as standard
practice by end of the project.
2) Deterioration rates of rural infrastructure attributable to the impacts of climate change of the
demonstration sites are lower than the control sites by the end of the project
Outcome 4 is Lessons learnt and best practices from Outcomes 1, 2 and 3 are disseminated to
stakeholders and development partners (UNDP managed). The indicators to track the achievement of this
outcome include:
Page 35
1) The Number of articles from the project activities that appear on external websites. The end of
project target is 4/year.
2) The Number of contributions the project makes to the UNDP’s Adaptive Learning Mechanism
(ALM) and/or other suitable international networks and platforms. The end of project target is
3/year.
Objective is to increase the resilience and reduce vulnerability of local, critical economic infrastructure in
the northern mountains areas of Vietnam to the adverse impacts of climate change and to create a policy
framework conducive to promoting resilient northern mountains zone development. The to track the
achievement of this outcome include :
1) Provinces in the Northern mountain areas of Vietnam are replicating the process to prepare
vulnerability maps. The end of project target is for at least seven northern mountainous provinces to
have prepared such maps.
2) Evidence that public funds are being invested in adapting rural infrastructure to climate change.
The end of project target is that for at least 5 rural infrastructure projects at least 5% of the
investment will cover the costs of adaptation.
See Risk Log in Annex 1 for major risks, likely impacts and probability, and counter measures.
2.6. Cost-effectiveness
ADB and UNDP have developed a substantial package of investment projects and technical assistance
grants that are relevant to the proposed project, and so the GEF/SCCF grant will be part of a integrated
package of coherent climate change relevant policy development, infrastructure development, and
capacity building. These activities include: the SRIDP project, and the three UNDP Capacity
development projects listed earlier.
At a general level, the project’s cost-effectiveness is assured through its association with the large SRIDP
programme and with other grant projects financed by UNDP. In addition, the SCCF funds are to be
managed in a coherent manner with the large SRIDP investment programme, through this SCCF should
yield influence and impacts well beyond its scale. Through this partnership, SCCF will be able to work
with agencies and projects having a major impact on rural development and infrastructure, and so SCCF
can in-turn have large impact for its investment.
At the level of the activities, all the activities and measures implemented through this project were
identified through an analytical process. This process of analytical activity identification will continue
through project implementation. Multi-criteria analysis was used to prioritize the list of activities
according to the potential to yield positive effects on climate change, and accounting for economic
development, social capital and environmental needs. Cost effectiveness was an underlying criteria. The
actions proposed are not only the most urgent and most pressing; they are also judged to be cost effective.
The selection of target province, local partners and demonstration sites was based on an analysis of
potential costs and benefits, in order to optimize cost-effectiveness. Each province was considered in
terms of its representativeness, its willingness to be participate, its appropriateness as a demonstration
province, and the availability of baseline capacity. Likewise, sub-projects were assessed using similar
criteria. These factors increase the impact and so the cost-effectiveness of the project. At the micro-level,
careful attention to partnerships and activity design will mean that each activity/input is managed in the
most effective manner. This, assisted by monitoring by UNDP and ADB, will ensure the optimal costeffective use of SCCF funds.
Page 36
2.7. Sustainability
The concept of sustainability in climate change adaptation projects is different than in other types of GEF
and ADB or UNDP funded projects. The reason for this is that adaptation projects seek to raise adaptive
capacity to long-term climate change. Raised adaptive capacity implies, fundamentally, sustainability.
That is, the project’s very raison d’être is building sustainability and this is central to its strategy and
approach.
In addition, the project has the following elements to increase sustainability:
Ecological Sustainability
The only potential ecological impacts are through Component 3 and the demonstration sub-projects. Core
work under these sub-projects is financed by the ADB loan. As such, these projects are subject to ADB
applicable environmental safeguards and environmental assessments, and environmental resources will be
protected9.
Institutional Sustainability
This is important at both local and national levels. At all levels, the project works with existing
institutions which have already the needed mandates. The project helps those institutions to implement
their existing work programmes. The project is not aiming to develop new institutions, or to radically
alter existing work programmes. As such it is properly anchored.
The project also has a significant capacity development component, which will strengthen the capacity of
organisations and individuals, leaving them better placed after the project completion to undertake their
mandated tasks.
Financial/Economic Sustainability
This is a particular challenge. Although many adaptation measures may be low cost or no-cost, many
others may be medium to high cost. Moreover, many rural infrastructure measures require ongoing
maintenance, which can only be achieved if there is sufficient local organizational capacity and
commitment.
The project takes many steps to achieve financial and economic sustainability. First, the measures to be
demonstrated are to be achieved at costs which are largely affordable in Vietnam. The aim is to find
affordable solutions, and then to demonstrate effectively that the costs of adaptation are outweighed by
the benefits. Another step taken by the project is to work closely with government agencies and
international financial partners who have the financial means to finance follow-on activities. In addition
to ADB, the World Bank, JICA, and potentially the Korean and French governments are likely to finance
large scale programmes to improve and rehabilitate rural infrastructure. Partnerships will be pursued with
each of these agencies, creating additional potential entry points to sustainable funding.
The ‘demonstration’ aspect of the project has implications for sustainability. In part, the project aims to
demonstrate innovation, and to capture lessons learnt. Both of these are processes which require
9
Initial environmental examinations have already been undertaken and are available for review.
Page 37
financing. Once something has been ‘demonstrated’, it does not require demonstrating again, so the costs
associated with demonstration can be one-off (and do not need to be recovered).
Exit Strategy
By project completion, individual and institutional capacity should have been built, information will be
improved and more readily available, and practical knowledge on how to adapt more widely available.
Much of this will be institutionalized by national Guidance Paper and the Manual. These factors will
leave Vietnamese stakeholders well placed to continue adapting rural infrastructure to climate change.
However, additional finance will remain a challenge. To a major extent, the international community is
committed to financing the additional costs of climate change, and this project will enable Vietnam to
access such international funding.
2.8. Replicability
Climate change adaptation is at initial stages of development in Vietnam and elsewhere – this is perhaps
the first project in this sector in the northern mountains to attempt adaptation measures. This project can
therefore identify new and innovative procedures and mechanisms for adaptation to climate change in
rural mountainous areas. These mechanisms may be of interest to other countries facing similar
challenges. Accordingly, this project is explicitly designed to facilitate the replication of successes and
lessons learnt. The strategy for this replication is two-fold:


First, the project will demonstrate adaptation in a range of situations. This will lead to the
generation of a sizeable body of lessons and experience. Outcomes 1 and 2 will learn from the
demonstration and institutionalize lesson-learning through policy and capacity development;
Under Outcome 4, the project will actively and strategically disseminate the lessons learnt. This is
the entire focus of Outcome 4. Replication is envisaged to cover all fifteen Northern Provinces, as
well as stakeholders in other countries. A range of inputs and activities will be organised under
Outcome 4 to actively ensure this replication.
The project will make use of the GEF ALM to ensure that the lessons learnt from the project contribute
to, and benefit from, experience in adapting to climate change across the whole of the GEF portfolio.
The project also includes some institutional measures to assist replication inside Vietnam. This includes
the preparation of the Guidance Paper and the Manual which will be used to replicate good practices.
Finally, the project is embedded into the agencies (Vietnamese, provincial and international) responsible
for large-scale infrastructure projects - by working with and influencing these agencies, the project should
create an entry point for adaptation into large-scale rural infrastructure development and rehabilitation
projects. The first step to achieving this should be through the SRIDP programme.
2.9 Stakeholder Involvement Plan
The stakeholder involvement plan is presented in Annex 8. It provides information on the main
agencies/stakeholder groups involved in the project, their related responsibilities, and their likely role in
the project.
Page 38
3.
PROJECT RESULTS FRAMEWORK
This project will contribute to achieving the following Country Programme Outcome as defined in CPAP or CPD:
(2) Viet Nam has adequate capacity to effectively reduce risks of, and respond to, climate-related disasters, particularly among the most vulnerable groups.
Country Programme Outcome Indicators:
2.2 Training facilities/mechanism on disaster management capacity in place/training offered to targeted local authorities
Primary applicable Key Environment and Sustainable Development Key Result Area (same as that on the cover page, circle one): Promote climate change adaptation
Applicable SOF (e..g GEF) Strategic Objective and Program: Special Climate Change Fund
Applicable SOF (e.g. GEF) Expected Outcomes: Strengthened institutional capacity to implement adaptation measures; Adaptation practices developed and implemented to
respond to climate change-induced stresses linked to development sectors (taken from GEF/R.5/12/Rev.2 (Draft, August 25, 2009)
Applicable SOF (e.g .GEF) Outcome Indicators: Not defined by the GEF/SCCF
Project Objective11 – To
increase the resilience and
reduce vulnerability of local,
critical
economic
infrastructure
in
the
northern mountains areas of
Vietnam to the adverse
impacts of climate change
and to create a policy
framework conducive to
promoting resilient northern
mountains
zone
development.
Indicator
Baseline
Targets
(See notes below for
explanation of each
indicator and its
suitability)
Start of Project
End of Project
Provinces in the Northern
mountain areas of Vietnam
are replicating the process
to prepare vulnerability
maps.
n/a – at project outset
there is no process to
replicate
Detailed vulnerability maps covering at least
two northern mountainous provinces, with
evidence that these have been presented
and disseminated to at least 50% of
Northern Mountain Provinces.
Evidence that public funds
are being invested in
adapting
rural
infrastructure to climate
change.
0 funds invested
Technical Guidance Paper
Project records
Risks and Assumptions10
Provinces in Northern Vietnam are replicating the
process to prepare vulnerability maps.
Evidence that funds are being invested in adapting
rural infrastructure to climate change.
Provincial records
On 5 rural infrastructure projects, over and
above the SIDRP pilot demonstration, at
least 5% additional finance is invested in
adaptation.
(equivalent to output in
ATLAS)
Outcome 112 Climate
Change Adaptation
integrated into rural
infrastructure (i.e. transport,
irrigation, construction and
water supply) strategies,
policies, plans and
Source of verification
n/a – there is no guidance
paper at project outset
Evidence that the Technical Guidance Paper
prepared under project and circulated by
MARD is being used in at least two provinces
MARD’s records
Technical Guidance Paper
Whenever MOT next revises Standards
(could be after project completion), the
10
See Risk Log in Annex 1
Objective (Atlas output) monitored quarterly ERBM and annually in APR/PIR
12
All outcomes monitored annually in the APR/PIR. It is highly recommended not to have more than 4 outcomes.
11
UNDP Environmental Finance Services
Page 25
regulations.
(equivalent to activity in
ATLAS)
Outcome 2 Enhanced
capacity to adapt/climateproof rural infrastructure
investments and
provincial/local area
planning.
(equivalent to activity in
ATLAS)
Outcome 3 Effective
climate-resilience measures
mainstreamed into rural
infrastructure programs.
(equivalent to activity in
ATLAS)
Consideration of climate
change in next revision of
Transport standards
Capacity
development
indicator (See Annex 9 of
UNDP Project Document).
Evidence of major planning
decisions being modified
due to vulnerability maps
(in 2 target provinces).
The approaches
developed—including
promising modifications,
alternatives, and lessons
learned—will be utilized by
MARD rural infrastructure
investments as standard
practice in 100% of new
ADB-financed projects by
month 36.
findings of this project are taken into
consideration and influential.
MOT records
Consideration of climate change in next revision
of Transport standards
To be determined
To be determined at the project outset
Capacity
development
scorecard
with
6-10
questions will be sent 15
DARDs each year.
Capacity development indicator (See Annex 9 of
UNDP Project Document).
0 decisions are modified
‘X’ decisions modified. (to be determined)
Provincial
record/interviews.
MARD has mainstreamed
low cost climate measures
for
cross
drainage
structures by the use of
drifts but not other
measures.
1. Documentation identifying low cost
climate proofing suitable for rural
infrastructure in northern Viet Nam
completed
Project records.
n/a – there has not been a
revision
of
transport
standards
There
are
no
demonstrations
of
appropriate
climate
resilience techniques for
rural infrastructure.
2.
Demonstrations
are
successfully
completed on four SRIDP subprojects by
month 24.
Project records.
3. Training carried out for 60 (≥40% female)
DARD staff from the 15 project provinces by
month 34.
Evidence of major planning decisions being
modified due to vulnerability maps (in 2 target
provinces).
Measures to increase the resilience of rural
infrastructure to climate change, with a focus on
erosion control and slope stability demonstrated.
Demonstrations to control erosion and to
stabilize embankments/slopes predominantly
using bio-engineering under the TA are successful.
Demonstrations are convincing.
4. Recommendations completed and issued
to the relevant institutions by month 34
5. Assessments for strengthening the climate
resilience of the communities near the four
subproject areas completed by month 30
Outcome 4 Lessons learnt
and best practices from
Outcomes 1, 2 and 3 are
disseminated
to
stakeholders
and
development partners.
(equivalent to activity in
ATLAS)
Number of articles from
project activities appearing
on external websites.
0 articles issued by the
project
before
it
commences
Number of contributions to
UNDP’s Adaptive Learning
Mechanism (ALM) or other
comparable platforms.
0 contributions.
4/year by the end of the project
3/year by the end of the project
Web-sites
ALM records
Number of articles from project activities
appearing on external websites.
Number of contributions to UNDP’s Adaptive
Learning Mechanism (ALM).
Indicator explanatory notes:
The following table explains how the indicators are SMART.
Page 40
Indicator
Overall Objective Indicators
Explanation
Provinces in the Northern mountain areas of Vietnam are
replicating the process to prepare vulnerability maps.
Overall, if the provinces in the Northern mountain areas, under their own initiative and with
their own funds, are replicating the main processes introduced by this SCCF project, that can
be considered an indicator that the project has been successful. To achieve this, the project
must be well adapted, technical sound, and well anchored.
Evidence that public funds are being invested in adapting rural
infrastructure to climate change.
If, after the project, there is evidence that provincial governments are agreeing to increase
the costs of infrastructure projects in order to finance adaptive measures to climate change,
that indicates that the project has been successful at each level.
Outcome 1 Indicators
Technical Guidance Paper
If the Technical Guidance Paper prepared under project is (i) officially circulated by MARD to
all provinces; and (ii) being used in several provinces; then clearly the Paper is useful and
pertinent and having an impact.
Consideration of climate change in next revision of Transport
standards
If the project outputs are of use to, and are used by, MOT, during its next revision of
standards, that indicates the project has been technically sound, and that it has been truly
anchored in governmental processes.
Outcome 2 Indicators
Capacity development indicator.
Outcome 2 is a capacity development outcome. This indicator, based on UNDP’s global
capacity development indicator, has been adapted to the subject matter and provincial
context. The indicator is measured using a simple scorecard – see Annex 9 of UNDP Project
document.
Evidence of major planning decisions being modified due to
vulnerability maps (in 2 target provinces).
If the two provinces are modifying planning decisions due to project’s capacity development
work, that strongly indicates that the provinces have the information, understanding and
processes to assess climate change and adapt to climate change.
Outcome 3 Indicators
The approaches developed—including promising modifications,
alternatives, and lessons learned—will be utilized by MARD rural
infrastructure investments as standard practice in 100% of new
ADB-financed projects by month 36 of the project.
The purpose of the demonstrations is to provide sound empirical evidence of the technical
and cost effectiveness of the measures so that they are directly mainstreamed into MARD’s
rural infrastructure investment program
Deterioration rates of rural infrastructure attributable to the impacts
of climate change of the demonstration sites are lower than the
control sites by the end of the project
Outcome 4 Indicators
By comparing the performance of SIDRP pilot demonstration sites for adaptation with those
that have been constructed using pre-existing (standard) government of Vietnam norms and
standards, it will be possible to determine the impact of the adaptation interventions.
Page 41
Number of articles from project activities appearing on external
websites.
If the project findings are collected and disseminated, through websites, by agencies that are
external to the project, that means the project findings are good, and it means the project has
a good enough outreach to communicate through external agencies. For example, project
articles may appear on the MARD website, or on the website of the National Irrigation
Agency.
Number of contributions to UNDP’s Adaptive Learning Mechanism
(ALM).
This indicates that the international community is aware of and interested in the lessons and
best practices from this project; in turn this suggest that the lessons are being collected and
disseminated effectively.
Page 42
4.
TOTAL BUDGET AND WORKPLAN
Project
ID(s):
Award ID:
00060373
Award Title:
Climate Resilient Infrastructure Planning in Northern Mountainous Provinces of Vietnam Vietnam
00075992
Business Unit:
VNM10
Project Title:
Climate Resilient Infrastructure Planning in Northern Mountainous Provinces of Vietnam Vietnam
PIMS no.
3741
Implementing Partner
(Executing Agency)
Ministry of Agriculture and Rural Development
For further details on the following, see associated excel sheet.
GEF Outcome/
Atlas Activity
Outcome 1 –.
Responsible
Party
Source of
Funds
ERP/
ATLAS
MARD
71300
71650
MARD
Budget
Description
Local
Consultants
Local Travel
Amount Year
1 (USD)
Amount Year
2 (USD)
32,882
32,882
6,409
Amount
Year 3
(USD)
Amount Year
4 (USD)
TOTAL
See
Budget
Note
(a)
32,882
32,882
131,528 (b)
6,409
6,409
6,409
25,636
(c )
MARD
MARD
MARD
SCCF
62180
71200
Int. Consultants
37,150
37,150
37,150
37,150
148,600 (d)
71600
Inter. Travel
5,538
5,538
5,538
5,538
22,152
(e)
72100
Contract. Servs
15,807
15,807
15,807
15,807
63,228
(f)
74500
Miscellaneous
1,839
1,839
1,839
1,839
7,356
(h)
99,625
99,625
99,625
99,625
398,500
MARD
Sub Total Outcome 1
Page 43
GEF Outcome/
Atlas Activity
Outcome 2 –
Responsible
Party
MARD
Source of
Funds
ERP/
ATLAS
MARD
Budget
Description
71300
Local
Consultants
71650
Local Travel
Amount Year
1 (USD)
Amount Year
2 (USD)
Amount Year
3 (USD)
38,507
38,507
10,659
10,659
10,659
Amount Year
4 (USD)
38,507
38,507
TOTAL
Budget
Note
154,028
(i)
10,659
42,636
(j)
MARD
71200
Int. Consultants
23,525
23,525
23,525
23,525
94,100
(k)
71600
Inter. Travel
4,288
4,288
4,288
4,288
17,152
(l)
72100
Contract. Servs
69,432
69,432
69,432
69,432
277,728
(m)
74500
Miscellaneous
2,714
2,714
2,714
2,714
10,856
(o)
149,125
149,125
149,125
149,125
596,500
MARD
MARD
SCCF
62180
MARD
Sub Total Outcome 2
GEF Outcome/
Atlas Activity
Responsible
Party
Source of
Funds
ERP/
ATLAS
Budget
Description
Outcome 3 –
GEF Outcome/
Atlas Activity
TOTAL
Amount Year
1 (USD)
Amount Year
2 (USD)
Amount Year
3 (USD)
Amount Year
4 (USD)
ADB Responsible
Responsible
Party
Source of
Funds
ERP/
ATLAS
Budget
Description
Amount
Year 1
(USD)
Amount
Year 2
(USD)
Amount
Year 3
(USD)
Amount
Year 4
(USD)
TOTAL
Page 44
See
Budget
Note
Outcome 4 –
MARD
MARD
71300
Local
Consultants
71650
Local Travel
4,561
4,561
4,561
4,561
18,244
2,082
2,082
2,082
2,082 8,328
6,750
6,750
6,750
6,750
2000
2000
2000
(p)
(q)
(r)
MARD
71200
Int. Consultants
71600
Inter. Travel
27,000
(s)
MARD
MARD
SCCF
62180
2000 8,000
(t)
72100
16,875
Contract. Servs
16,875
16,875
16,875 67,536
(v)
MARD
74500
37,250
Sub Total Outcome 4
GEF Outcome/ Atlas
Activity
Outcome 5 Project
Management Unit–.
Responsible
Party
Source of
Funds
ERP/
ATLAS
4,973
Miscellaneous
Budget
Description
4,973
37,250
Amount
Year 1
(USD)
4,973
4,973
37,250
37,250
Amount
Year 2
(USD)
Amount
Year 3
(USD)
Amount
Year 4
(USD)
19,892
149,000
TOTAL
Budget
Note
MARD
MARD
71300
Local Consultants
71650
Local Travel
30,500
30,500
30,500
30,500
122,060
(w)
2,500
2,500
2,500
2,500
10,000
(x)
MARD
MARD
SCCF
62180
71200
Int. Consultants
-
-
-
-
71600
Inter. Travel
-
-
-
(y)
MARD
72100
Contract. Servs
18,750
18,750
18,750
18,750
75,000
72500
Office Supplies
5,000
5,000
5,000
5,000
20,000
MARD
Page 45
(z)
MARD
72200
EquipmT/Furniture
20,000
5,000
-
-
25,000
(aa)
74500
Miscellaneous
1,000
1,000
1,000
1,000
4,000
(ab)
Sub Total Outcome 5
77,750
62,750
57,750
57,750
256,000
Total
363,750
348,750
343,750
343,750
1,400,000
MARD
Summary of Funds: 13
Amount
Year 1
Amount
Year 2
Amount
Year 3
Amount
Year 4
Amount
Year 5
Amount
Year 6
Total
Total SCCF
$363,750
$348,750
$343,750
$343,750
0
0
$1,400,000
GEF/SCCF/ADB
500,000
1,000,000
500,000
0
0
0
$2,000,000
Government
1,000,000
8,000,000
8,000,000
8,000,000
3,000,000
2,000,000
$30,000,000
ADB
5,000,000
30,000,000
35,000,000
30,000,000
5,000,000
3,000,000
$108,000,000
Government in-kind
13
100,000
100,000
100,000
100,000
0
0
$400,000
UNDP parallel.
3,000,000
3,000,000
765,000
0
0
0
$6,765,000
GRAND TOTAL
$9,963,750
$42,448,750
$44,708,750
$38,443,750
8,000,000
5,000,000
$148,565,000
Summary table should include all financing of all kinds: GEF financing, cofinancing, cash, in-kind, etc...
Page 46
Budget
Note
(a)
(b)
(c)
(d)
(e)
(f)
(h)
(i)
(j)
Description of Cost item
Unless otherwise stated, following budgeting applies:
 National Expert, $2500/month;
 International Expert, $12,000/month;
 International Travel, $2500/person;
 National per diem, $35/day,
 Workshop, $50/participant/day.
Output 1.1, 4 x 2 months of national expert on rural infrastructure policies in four sub-sectors (roads,
irrigation, water supply, embankments) ($20,400).
Output 1.2, 4 x 2 months of national expert on socio-economic planning in four sub-sectors ($20,400).
Output 1.3, 4 x 4 months of national expert to prepare the Technical papers and manual with a focus on
in four sub-sectors ($42,000).
Output 1.4, 4 x 3 months of national expert to assess standards/codes across the four sub-sectors
($30,600).
The full-time National Technical Advisor, budgeted at $1250/month, will also devote approximately 40%
of his time to Outcome 1 (approximately $20,000).
Output 1.3, the four national experts will have to travel significantly, staying approximately 50 nights
each in the provinces ($7,028).
The full-time National Technical Advisor, through the life of the project, will have to travel significantly
to the 15 provinces. This position involves ongoing and regular and thorough consultation and
participation with provinces and sub-project staff. For this Outcome, it is estimated s/he will spend up to
60 days/year in the provinces (approximately $8,800).
Associated costs of vehicle hire and fuel for outcome 1 are $9,808.
Output 1.1, 1.25 month of international expert to support national experts ($16,500).
Output 1.2, 1.25 month of international expert to support national experts ($16,500).
Output 1.3, 5 month of international experts (4 different experts) to support national experts in preparing
the Technical papers and manual focusing in four sub-sectors ($64,500).
Output 1.4, 4 x 0.75 months of international experts (4 different experts, the same ones as for Output 3)
to support national experts ($38,700).
Over the four years of the project, the part time Senior Technical advisor will devote up to 1 month of his
time to Outcome 1 (approximately $12,000).
6 international flights for international experts ($15,000).
Plus $7100 towards travel costs of Senior Technical Advisor’s travel.
Output 1.1: 1 national workshop with 20 participants ($2000)
Output 1.2: 2 national workshops with 20 participants ($4000)
Output 1.3: 4 national workshops with 20 participants ($9000)
Output 1.4: 4 national workshops with 20 participants ($9000)
Approximately $39,000 contribution for provincial management fee that covers all Outputs.
Provincial planning workshops related to Outcome 1 ($7,355)
Output 2.2, 2 x 3 months of national experts to develop and implement awareness raising programme
($15,600).
Output 2.4, 22 months of national experts to support process to develop material for and advise on
adapting long term development plans. Mostly for two provinces, but some activities for all 15 provinces
($57,000).
Output 2.5, 8 x 3 months to develop and support training courses ($61,800).
The full-time National Technical Advisor, budgeted at $1250/month, will also devote approximately 40%
of his time to Outcome 2 (approximately $20,000).
Under Outputs 2.2, 2.4 and 2.5, the national experts will have to travel significantly across the 15
provinces to collect data, consult, run training, etc. A total of 685 nights is estimated (ie approximately
50% of the time is travelling) ($24,000).
The full-time National Technical Advisor, through the life of the project, will have to travel significantly
to the 15 provinces. This position involves ongoing and regular and thorough consultation and
participation with provinces and sub-project staff. For this Outcome, it is estimated s/he will spend up to
(k)
(l)
(m)
(o)
(p)
(q)
(r)
(s)
(t)
(v)
(w)
(x)
(y)
(z)
(aa)
(ab)
60 days/year in the provinces (approximately $8,800).
Associated costs of vehicle hire and fuel for outcome 2 are $9,808.
Output 2.1, 1.25 months of international expert to prepare and supervise the contractors ($16,500).
Output 2.3 and 2.4, three international experts for 1.25 months each to help develop provincial strategies
($48,000).
Output 2.5, 0.75 months of international expert to support training needs assessment ($10,500).
Over the four years of the project, the part time Senior Technical advisor will devote 1.5 months of his
time to Outcome 2 (approximately $20,000).
4 international flights for international experts ($10,000)
Plus $7100 towards travel costs of Senior Technical Advisor’s travel.
Output 2.1: contract to prepare coarse climate vulnerability assessment and modelling ($60,000)
Output 2.2: two regional workshops with 25 participants, 2 days ($10,000) documents, posters and
publications ($25,000).
Output 2.3: Contract to support preparation of vulnerability maps and provincial strategies ($100,000).
Output 2.4: 3 local planning workshops ($,4000)
Output 2.5: contract to run technical training courses ($39,500).
Approximately $39,000 contribution for provincial management fee that covers all Outcomes.
Support material for training and workshops ($3,500)
Provincial planning workshops related to Outcome 2 ($7,355)
Output 4.1: 3 months of national expert to develop and establish database ($7,500).
The full-time National Technical Advisor, budgeted at $1250/month, will also devote approximately 20%
of his time to Outcome 4 ($10,745)
The full-time National Technical Advisor, through the life of the project, will have to travel significantly
to the 15 provinces. This position involves ongoing and regular and thorough consultation and
participation with provinces and sub-project staff. For this Outcome, it is estimated s/he will spend up to
30 days/year in the provinces ($3,947).
Associated costs of vehicle hire and fuel for outcome 1 are $4,380.
Over the four years of the project, the part time Senior Technical advisor will devote 2.25 months of his
time to Outcome 4 ($27,000).
$8,000 towards travel costs of Senior Technical Advisor’s travel.
Contracts for $50,000 for the production of documents, films, DVD etc during the project.
Approximately $17,500 contribution for provincial management fee that covers all Outcomes.
$16,600 to support preparation of websites, communication platforms and implementation of knowledge
management strategy.
Provincial planning workshops related to Outcome 4 ($3,300)
1 project coordinator, full time, four years, $74,000
1 finance and admin assistant, full time, $48,000
DSA for project coordinator, as s/he will travel extensively to the provinces. Approximately 70 nights per
year ($10,000).
Inception ($5,000) Mid-term evaluation ($20,000), final evaluation ($40,000) and annual audits
($10,000)
This provides for additional costs of project related communications (phone, internet and fax) at
$3500 per year ($14,000), as well as annual recurrent costs of stationery, computing and printing supplies
and photocopying ($6000).
The government will provide office space and dedicated counterpart staff. The project will provide
$17,500 for office equipment (PCs, Printer, Photocopier etc) including both the CPMU and two
Provincial Project Management Units in the two target provinces. This will cover the additional costs of
three photocopiers ($5,000), 3 printers ($1,500), 4 desktop computers ($5,000) 2 notebooks ($4,000), 4
mobile phones ($2,000), as well as a further $7,500 for initial upgrade of the office space itself.
The cost for operation, maintenance and insurance of project equipments will be covered by government
budget.
This includes $4000 for inception workshop. If the project request for UNDP procuring and providing
administrative services, UNDP will request for Implementation Support Service (ISS) charges.
5.
MANAGEMENT ARRANGEMENTS
The Executing Agency (EA) for the proposed GEF/SCCF project will be MARD. The management
structure for the proposed GEF/SCCF project is shown in an organization chart in Annex 11.
SCCF funds are to be implemented through two modalities: Outcomes 1, 2, 4 and Project Management
are under the oversight of UNDP; Outcome 3 is under the oversight of ADB. All Outcomes are
coordinated and executed by MARD through a single coordination mechanism (see below). Hence, for
Outcomes 1, 2 and 4, the funds flow from SCCF through UNDP to CPMU (see below) to project
activities, under UNDP National Implementation (NIM) procedures. Outcome 3 will be implemented
under a parallel Capacity Development Technical Assistance (CDTA) managed by the Asian
Development Bank (ADB).
The management arrangements for the GEF/SCCF project will be closely linked with those of the SRIDP
Project. Under these arrangements, MARD will delegate responsibility for overall GEF/SCCF project
management and coordination to its Agricultural Projects Management Board (APMB) through CPMU
(see below). The Director for CPMU will function as the National Project Director (NPD) responsible for
ensuring that project objectives and outcomes are achieved. The Director for CPMU will report to a
GEF/SCCF Project Board (PB – see below) on progress and will be responsible for coordination the flow
of results and knowledge.
The APMB is to establish a Central Project Management Unit (CPMU) for SRIDP managed by a full time
Project Director14. The CPMU will also implement the GEF/SCCF project at national and province levels,
supported by a dedicated Sub-Project Management Unit – (see organogram in Annex 11) – led by a
Project Coordinator. Province level GEF/SCCF related activities, particularly in the two target provinces,
will be managed through the CPMU in collaboration with provincial Departments of Agriculture and
Rural Development (DARD) as indicated in the organogram.
The Project Board (PB) is the strategic decision making body of the project, meeting at least twice per
year. The Project Board will be chaired by a Vice-Director of MARD and will consist of: (1) the Chair
who will be the Vice-Director, (2) Representative of APMB (the Executive); (3) Representative of
MARD-DOSTE; (4) Representative of Department of Planning in MARD, (5) Representative of
Department for Construction Management in MARD, and (4) Representative of UNDP. An ADB
representative may also attend the Project Board as an observer. The Project Board will approve/endorse
Annual Workplans which are the instruments of authorization through which the project will deliver
results.15
The PB will undertake project assurance reviews at designated decision points during project
implementation, or as required, at the request of the Director of CPMU. Additional functions are to: (1)
ensure that GEF/SCCF resources are committed exclusively to activities that relate to the achievement of
approved project objective and outcomes and in line with approved annual workplans; (2) provide
guidance on overall project management arrangements to ensure coherence and coordinated
14
This function is not funded by the project.
Under these arrangements the Project Board will approve the Annual Workplan and budget for the UNDP
supported components 1, 2 and 4 under National Implementation (NIM) arrangements. For component 3, which
will be implemented through a parallel ADB TA, the Project Board will endorse the Annual Workplan and budget
and will provide guidance to ensure the overall coherence and coordination between all components.
15
implementation of all components of the project; (3) arbitrate significant conflicts within the project; and
(4) negotiate a solution to major problems that may arise between the project and external bodies.
The CPMU will recruit a Project Coordinator and other staff paid from SCCF resources in line with
UNDP NIM procedures. The GEF/SCCF Project Coordinator will be responsible for the day-to-day
management, administration, coordination, and technical supervision of project implementation reporting
to the CPMU Project Director. S/he will monitor work progress, and ensure timely delivery of outputs as
per Annual Workplans and the Project Results Framework and within budget. The GEF/SCCF Project
Coordinator will also prepare an Annual Workplan each year during the entire project for
approval/endorsement by the Project Board. The work plans will include component 3 (to be financed
through a separate ADB TA) to ensure that all elements are reflected into a single set of outputs and
outcomes for the project. For Component 3, budget management will be administered by ADB under its
standard TA procedures.16 The consultant Team Leader for Component 3 to be recruited by ADB will
coordinate closely with the GEF/SCCF Project Coordinator to ensure a high quality of project planning,
management and technical and financial progress monitoring and reporting. Annex 10 provides TOR for
the Project Coordinator.
As indicated above, CPMU will establish a Sub-Project Management Unit under the SRIDP Central
Project Management Unit. GEF/SCCF Project management funds provided under UNDP National
Implementation (NIM) arrangements will be used by the CPMU to hire a Project Coordinator and other
support staff. These staff will ensure delivery of results as specified in the Project Results Framework and
Annual Workplans. As part of the Government’s in kind contribution, APMB will provide office space
for the GEF/SCCF Sub-Project Management Unit, as well as remuneration and per diem for counterpart
staff.
Additional GEF/SCCF Sub-Project Management Unit staff will be hired with SCCF resources to support
the Project Coordinator as follows: 1 Senior Technical Adviser (part time), 1 Admin and Financial Officer
(full time). The TOR for the key technical staff of the Sub-Project Management Unit are provided in
Annex 10. The GEF/SCCF Sub-Project Management Unit will be further strengthened by international
and national project consultants funded in two ways: for Component 3, consultants will be recruited in
accordance with ADB’s Guidelines on the Use of Consultants (2007, as amended from time to time). For
the other components (Components 1, 2 and 4) recruitment will follow UNDP NIM arrangements.
Consultants hired for deliverables under each project component will be responsible to the CPMU Project
Director through the GEF/SCCF Project Coordinator.
Project Assurance: UNDP will ensure application of standard UNDP administrative and financial
procedures for the use of GEF/SCCF funds relating to Components 1, 2 and 4, as well any Project
Management Funds that are channeled through UNDP. ADB will ensure the appropriate use of
GEF/SCCF funds for Component 3 according to the ADB-GEF financial procedures agreement17. UNDP
will ensure project monitoring and evaluation according to an agreed and budgeted schedule and in line
with UNDP and GEF requirements. M&E outputs (including Annual Project Implementation Reports
(PIRs), Mid and Terminal Evaluations Reports) will be compiled by the GEF/SCCF Sub-Project
16
ADB will engage the consultants in accordance with its Guidelines on the Use of Consultants (2007, as amended
from time to time). Equipment and materials to be financed by the TA will be procured in accordance with ADB’s
Procurement Guidelines (2007, as amended from time to time). On completion of the TA project, the equipment will
become the property of the government and participating local institutions and/or communities. Disbursements
under the TA project will be made in accordance with ADB's Technical Assistance Disbursement Handbook (2008,
as amended from time to time).
17
Financial Procedures Agreement between ADB and the International Bank for Reconstruction and Development
as Trustee of the GEF Trust Fund, dated July 7, 2007.
Management Unit with inputs from the ADB TA Team Leader. Submission to the GEF will be carried
out by ADB as the lead GEF agency for the Project. Inception missions, mid-term and final evaluations,
will be undertaken jointly between the Government, UNDP and ADB. UNDP will assist in compiling
lessons learned and sharing project experiences on a national, regional and international basis.
The Project Board will assess the usefulness of establishing a Technical Advisory Group on ‘Climate
Science and Vulnerability Assessment’. If established, this Group will provide technical guidance and
reviews specifically covering Components 2 and 3. This Group would be chaired by MARD. Its
membership will be drawn from a combination of government and non government experts. The non
government experts will be funded from within Components 2 and 3 of the project. Other members of the
Group may be drawn from the MARD Office for Climate Change (OCCA), and the Department for
Hydrometeorology and Climate Change of MONRE.
Terms of Reference of the Project Board, the Project Coordinator and the key technical staff of the subproject management Unit are provided in Annex 10. ToR for the possible Technical Advisory Group are
also included in Annex 10.
6.
MONITORING FRAMEWORK AND EVALUATION
The project will be monitored through the following monitoring and evaluation (M&E) activities. The
M& E budget is provided in the table below.
Project start:
A Project Inception Workshop will be held within the first 2 months of project start with those with
assigned roles in the project organization structure, UNDP country office and where appropriate/feasible
regional technical policy and programme advisors as well as other stakeholders, and ADB officials. The
Inception Workshop is crucial to building ownership for the project results and to plan the first year
annual work plan.
The Inception Workshop should address a number of key issues including:
 Assist all partners to fully understand and take ownership of the project. Detail the roles, support
services and complementary responsibilities of UNDP Country Office (CO) and UNDP/GEF
Regional Coordination Unit (RCU) staff vis à vis the project team, and the complementary roles
of UNDP and ADB. Discuss the roles, functions, and responsibilities within the project's
decision-making structures, including reporting and communication lines, and conflict resolution
mechanisms. The Terms of Reference for project staff will be discussed again as needed;
 Based on the project results framework, finalize the first annual work plan. Review and agree on
the indicators, targets and their means of verification, and recheck assumptions and risks;
 Provide a detailed overview of reporting, M&E requirements. The Monitoring and Evaluation
work plan and budget should be agreed and scheduled;
 Discuss financial reporting procedures and obligations, and arrangements for annual audit;
 Plan and schedule Project Board meetings. Roles and responsibilities of all project organisation
structures should be clarified and meetings planned. The first Project Board meeting should be
held within the first 12 months following the inception workshop.
An Inception Workshop report will be prepared and shared with participants to formalize various
agreements and plans decided during the meeting.
Quarterly:
 Progress made shall be monitored in the UNDP Enhanced Results Based Management Platform;
 Based on the initial risk analysis submitted, the risk log shall be regularly updated in ATLAS.
Risks become critical when the impact and probability are high.
 Based on the information recorded in Atlas, a Project Progress Reports (PPR) will be generated in
the Executive Snapshot.
 Other ATLAS logs will be used to monitor issues, lessons learned etc... The use of these
functions is a key indicator in the UNDP Executive Balanced Scorecard.
Annually:
Annual Project Review/Project Implementation Reports (APR/PIR): This key report will be prepared to
monitor progress made since project start and in particular for the previous reporting period (30 June to 1
July). The APR/PIR combines both UNDP and SOF (e.g. GEF) reporting requirements.
The APR/PIR includes, but is not limited to, reporting on the following:
 Progress made toward project objective and project outcomes - each with indicators, baseline data
and end-of-project targets (cumulative)
 Project outputs delivered per project outcome (annual).
 Lesson learned/good practice.
 Annual Workplan (AWP) and other expenditure reports
 Risk and adaptive management
 ATLAS Quarterly Production Reports (QPR)
 Portfolio level indicators (i.e. GEF focal area tracking tools) are used by most focal areas on an
annual basis as well.
Periodic Monitoring through site visits:
UNDP CO and the UNDP RCU will conduct visits to project sites based on the agreed schedule in the
project's Inception Report/Annual Work Plan to assess first hand project progress. Other members of the
Project Board may also join these visits. Where possible, monitoring will be done in synergy with ADB.
A Field Visit Report/BTOR will be prepared by the CO and UNDP RCU and will be circulated no less
than one month after the visit to the project team and Project Board members.
Mid-term of project cycle:
The project will undergo an independent Mid-Term Evaluation at the mid-point of project
implementation. The Mid-Term Evaluation will determine progress being made toward the achievement
of outcomes and will identify course correction if needed. It will focus on the effectiveness, efficiency
and timeliness of project implementation; will highlight issues requiring decisions and actions; and will
present initial lessons learned about project design, implementation and management. Findings of this
review will be incorporated as recommendations for enhanced implementation during the final half of the
project’s term. The organization, terms of reference and timing of the mid-term evaluation will be decided
after consultation between the parties to the project document. The Terms of Reference for this Mid-term
evaluation will be prepared by the UNDP CO and ADB based on guidance from the Regional
Coordinating Unit and UNDP-EEG. The management response and the evaluation will be uploaded to
UNDP corporate systems, in particular the UNDP Evaluation Office Evaluation Resource Center (ERC).
The relevant SOF (GEF) Focal Area Tracking Tools will also be completed during the mid-term
evaluation cycle.
End of Project:
An independent Final Evaluation will take place three months prior to the final Project Board meeting and
will be undertaken in accordance with UNDP and SOF (e.g. GEF) and ADB guidance. The final
evaluation will focus on the delivery of the project’s results as initially planned (and as corrected after the
mid-term evaluation, if any such correction took place). The final evaluation will look at impact and
sustainability of results, including the contribution to capacity development and the achievement of global
environmental benefits/goals. The Terms of Reference for this evaluation will be prepared by the UNDP
CO and ADB based on guidance from the Regional Coordinating Unit and UNDP-EEG.
The Terminal Evaluation should also provide recommendations for follow-up activities and requires a
management response which should be uploaded to PIMS and to the UNDP Evaluation Office Evaluation
Resource Center (ERC).
The relevant SOF (e.g GEF) Focal Area Tracking Tools will also be completed during the final
evaluation.
During the last three months, the project team will prepare the Project Terminal Report. This
comprehensive report will summarize the results achieved (objectives, outcomes, outputs), lessons
learned, problems met and areas where results may not have been achieved. It will also lay out
recommendations for any further steps that may need to be taken to ensure sustainability and replicability
of the project’s results.
Learning and knowledge sharing:
Results from the project will be disseminated within and beyond the project intervention zone through
existing information sharing networks and forums. The project will identify and participate, as relevant
and appropriate, in scientific, policy-based and/or any other networks, which may be of benefit to project
implementation though lessons learned. The project will identify, analyze, and share lessons learned that
might be beneficial in the design and implementation of similar future projects.
Finally, there will be a two-way flow of information between this project and other projects of a similar
focus.
M & E Workplan and Budget
Type of M&E activity
Responsible Parties

Inception
Report
Workshop
and

Measurement of Means of
Verification of project results.

Measurement of Means of
Verification
for
Project
Progress on output and
implementation

ARR/PIR



Project
Coordinator
UNDP CO,
ADB Office
Project Team
Budget US$
Excluding project team
staff time
Indicative cost: 5,000
Time frame
Within first two months of
project start up
None
Start, mid and end of project
(during evaluation cycle) and
annually when required.
Oversight by
Project
Coordinator
Project team
To be determined as part
of the Annual Work
Plan's preparation.
Annually prior to ARR/PIR
and to the definition of annual
work plans
Project
Coordinator and
team
UNDP CO and
None
Annually
Type of M&E activity
Periodic
reports
status/
progress
Mid-term Evaluation
Responsible Parties






Final Evaluation



Project Terminal Report


Audit
Visits to field sites





RCU
ADB Office
Project
Coordinator and
team
Project
Coordinator and
team
UNDP CO
UNDP RCU
and ADB office
External
Consultants (i.e.
evaluation
team)
Project
Coordinator and
team,
UNDP CO and
RCU, and ADB
office
External
Consultants (i.e.
evaluation
team)
Project
Coordinator and
team
UNDP and
ADB
local consultant
UNDP CO
Project
Coordinator and
team
UNDP CO and
RCU and ADB
(as appropriate)
Government
representatives
TOTAL indicative COST
Excluding project team staff time and UNDP staff and
travel expenses
Budget US$
Excluding project team
staff time
Time frame
None
Quarterly
Indicative cost: 20,000
At the mid-point of project
implementation.
Indicative cost : 40,000
At least three months before
the
end
of
project
implementation
At least three months before
the end of the project
0
Yearly
Indicative cost per year:
2500, total 10,000
For
GEF
supported
projects, paid from IA
fees and operational
budget
US$ 75,000
Yearly
7.
LEGAL CONTEXT
This document together with the CPAP signed by the Government and UNDP which is incorporated by
reference constitute together a Project Document as referred to in the Standard Basic Assistance
Agreement and all CPAP provisions apply to this document.
Consistent with the Article III of the Standard Basic Assistance Agreement, the responsibility for the
safety and security of the implementing partner and its personnel and property, and of UNDP’s property
in the implementing partner’s custody, rests with the implementing partner.
The implementing partner shall:
a) put in place an appropriate security plan and maintain the security plan, taking into account the
security situation in the country where the project is being carried;
b) assume all risks and liabilities related to the implementing partner’s security, and the full
implementation of the security plan.
UNDP reserves the right to verify whether such a plan is in place, and to suggest modifications to the plan
when necessary. Failure to maintain and implement an appropriate security plan as required hereunder
shall be deemed a breach of this agreement.
The implementing partner agrees to undertake all reasonable efforts to ensure that none of the UNDP
funds received pursuant to the Project Document are used to provide support to individuals or entities
associated with terrorism and that the recipients of any amounts provided by UNDP hereunder do not
appear on the list maintained by the Security Council Committee established pursuant to resolution 1267
(1999). The list can be accessed via http://www.un.org/Docs/sc/committees/1267/1267ListEng.htm. This
provision must be included in all sub-contracts or sub-agreements entered into under this Project
Document.
The UNDP Resident Representative in Vietnam is authorized to effect in writing the following types of
revision to this Project Document, provided that he/she has verified the agreement thereto by the UNDP
Regional Coordination Unit and is assured that the other signatories to the Project Document have no
objection to the proposed changes:
a) Revision of, or addition to, any of the annexes to the Project Document;
b) Revisions which do not involve significant changes in the immediate objectives, outputs or
activities of the project, but are caused by the rearrangement of the inputs already agreed to or by
cost increases due to inflation;
c) Mandatory annual revisions which re-phase the delivery of agreed project inputs or increased
expert or other costs due to inflation or take into account agency expenditure flexibility; and
d) Inclusion of additional annexes and attachments only as set out here in this Project Document
Annex 1: Risk Analysis
# Description
Date
Identified
Type Impact &
Countermeasures
18
response
Probability
/
Mngt Owner
Submitted,
updated by
1 The
impacts
of April
climate
change 2010
cannot be assessed at
the scale relevant to
the
rural
infrastructure
projects
I- 1
P- 4
2 Costs of adapting to April
climate change are 2010
prohibitive
I–4
P -1
The project sets out to find cost- APMB
effective measures. Considerable
project efforts are devoted to this.
UNDP
Jan
2011
3 Inter-agency
April
coordination is not 2010
adequate
I–3
P–3
The project is designed to rely on MARDcoordination at the provincial ICD
level which is known to be
possible in Vietnam, whereas
national level coordination can be
difficult. Strong national level
coordination, whilst preferential,
is not essential to project success.
UNDP
Jan
2011
4 Funding
for April
continued
2010
demonstration
and
monitoring does not
continue
after
completion of the
SCCF support.
I–4
P–2
Funding for this purpose can be ADB and UNDP
included within a proposed future Govt of
ADB loan to rural infrastructure Vietnam
RI sector.
The project is designed to not
depend on continued external
funding, other than funding
Jan
2011
18
The best available models are to MARD - UNDP
be used.
OCCA
Last
Update
Jan
2011
Project funds are allocated to
addressing this
Range 1-5, where 5 is highest.
Page 56
Status
available for
adaptation.
climate
change
5 Conservative views April
within line agencies 2010
resist changes to
design standards and
manuals.
I–2
P–2
Awareness raising of decision- MARDmakers should overcome this. ICD
Also, the project always sets out
to demonstrate the advantages
and benefits of adaptation.
UNDP
Jan
2011
6 Demonstrations are April
not successful and 2010
convincing
I–3
P-1
Several demonstrations will be APMB
undertaken. Each will be closely
monitored. Funding is adequate.
UNDP
Jan
2011
Page 57
Annex 2: UNDP – ADB Implementation Cooperation Agreement
The Asian Development Bank (ADB) and the United Nations Development Programme (UNDP) signed a
Memorandum of Understand on Administrative Arrangements which became effective in July 2007.
Section C of the MoU sets of the scope of proposed cooperation and activities which includes sharing of knowledge
and evaluation results, consultations on policy and programming at regional and country levels, and co-financing
arrangements for funding joint programmes.
Section D of the MoU deals with exchange of information and the importance of “open, comprehensive and regular
exchange of information at both institutional and country levels.”
Section F of the MoU addresses consultations, providing for periodic consultations both at regional level and country
level. With respect to the later the ADB Country Director and UNDP Resident Representative should consult “as
required and not less than once every year.”
Section H of the MoU concerns roles and responsibilities of focal points at country level including brief summary
reports on the status of implementation of all ADB-UNDP cooperation within their countries, as well as annual
summary assessments of the results achieved.
Section K covers the Term and Review of the MoU which will be effective for five years from the date of signature,
that is to say until July 2012, subject to extension by mutual agreement.
Appendix B to the MoU recognises 3 different administrative arrangements for ADB-UNDP project cooperation.
These include:



Cooperation with ADB as an implementing partner for UNDP; where UNDP transfers funds to ADB
Cooperation with Funds transferred by ADB to UNDP : where ADB transfers funds to UNDP
Cooperation with Parallel Financing Arrangements.
The following provides relevant clauses for Parallel Financing Arrangements which is the selected cooperation
modality for the SCCF project: Promoting Climate Resilient Infrastructure in Northern Mountain Provinces of Vietnam.
26.
For ADB components of a parallel financed project
ADB will use standard ADB administrative arrangements for implementation of components of the project
financed by ADB and implemented by ADB, unless otherwise agreed by ADB in cases where ADB and
UNDP agree to harmonise certain procedures for the benefit of the developing country authorities and/or
executing agencies.
27.
For UNDP components of a parallel financed project
UNDP will use standard UNDP administrative arrangements for implementation of components of the
project financed by UNDP and implemented by UNDP, unless otherwise agreed by UNDP in cases where
ADB and UNDP agree to harmonise certain procedures for the benefit of the developing country authorities
and/or executing agencies.
28.
Harmonisation
ADB and UNDP will make best efforts on a case by case basis to harmonise their administrative
arrangements for implementation of parallel financed activities.
29.
Exchange of information
ADB and UNDP will keep each other fully informed about progress in implementing the components for
which they each provide financial support in the implementation of parallel financed activities.
Annex 3: References
PPG Reports




Northern mountain regions – A climate change status report, Vu, Dr., and Kowal, Mark.
Short report on the status of climate change in the northern mountain region. Vu, Dr., and
Kowal, Mark.
The planned and ongoing initiatives in climate change in Vietnam. Vu, Dr.,
The list of regulations and guidelines in respect of climate change. Vu, Dr.,
Socialist Republic of Viet Nam: Preparing the Sustainable Rural Infrastructure Development Project in
the Northern Mountain Provinces (SRIDP Reports)






PPTA Inception Report (July 2009)
PPTA Interim Report (October 2009)
PPTA Draft Final Report (March 2010)
Detailed information on core projects (Project Description, Initial Environmental Examination, )
Information on potential pilot projects – diverse
Memorandum of Understanding between GOV and ADB, May 2010
Climate Change Adaptation, Methodologies and Scenarios



ORCHID: Piloting Climate Risk Screening in DFID Bangladesh , IDS, (2007)
Climate Change Vulnerability Mapping for Southeast Asia, Arief Anshory Yusuf & Herminia
Francisco (2009)
Under the Weather and the Rising Tide, ADB (2009)
Vietnam Baseline Situation










Viet Nam Initial National Communication to UNFCCC, Government of Vietnam (2003);
Viet Nam Second National Communication to UNFCCC, Government of Vietnam (2010);
Updating of the Rural Transport Development Strategy In Vietnam – Final Report (December
2006), TDSI, DFID/MOT,
Northern Mountains Poverty Reduction Project, Implementation Completion and Results Report,
World Bank (2008)
Socialist Republic Of Vietnam - Country Strategic Opportunities Programme (COSOP), IFAD
(Confidential draft) (2008)
Master Plan Study on Improvement of Rural Living Conditions in Northwestern Mountainous
Region in Viet Nam Final Report – Summary, JICA, (September 2008)
Action Plan Framework for Adaptation and Mitigation of Climate Change of the Agriculture and
Rural Development Sector Period 2008-2020, MARD, Government of Vietnam (2009);
National Target Program To Respond To Climate Change, MONRE, Government of Vietnam
(2009);
Climate Change, Sea Level Rise Scenarios for Viet Nam. MONRE, Government of Vietnam
(2009)
Guideline On Formulation Of Action Plans To The Ministries And Localities To Respond To
Climate Change, MONRE, Government of Vietnam (2009)
Related Project Documentation






Capacity Building for Climate Change (CBCC), Revised Project Document, UNDP/Government
of Vietnam (2009)
Strengthening Sustainable Development and Climate Planning, Detailed Project Outline,
UNDP/Government of Vietnam (200?)
Concept Paper for Preparation of Infrastructure Inventory for Small-Scale Pro Poor
Infrastructure Development Project, JICA (2009)
List of Pilot Projects for SPL VI, JICA (2009)
Regional Climate Adaptation Knowledge Platform for Asia - Vietnam Mission - a summary note,
National Institute for Science and Technology Policy and Strategy Studies (NISTPASS),
Vietnam, Regional Resource Centre Asia and Pacific, (RRCAP) UNEP, Bangkok and Stockholm
Environment Institute (SEI), Bangkok (2009)
Policy And Institutional Scoping Assessment for Climate Change Adaptation In Viet Nam,
National Institute for Science and Technology Policy and Strategy Studies (NISTPASS),
Vietnam, Regional Resource Centre Asia and Pacific, (RRCAP) UNEP, Bangkok and Stockholm
Environment Institute (SEI), Bangkok (2009)
Other
 Capacity Assessment Methodology - User’s Guide, UNDP (2000)
 Integrating Climate Change Risks into Resilient Island Planning in the Maldives, UNDP (2009) –
Sample Project Document
 Kenya: Adaptation to Climate Change in Arid and semi-ARiD LandS (KACCAL) , UNDP/World
Bank (2009) – Sample Project Document and CEO Endorsement Letter
 Piloting climate change adaptation to protect human health, WHO/UND (2009) – Sample
Project Document
 Feasibility Study for a NationalProgramme to Manage Slope Stability, Main Report September
2008, DFID/Consultants/Government of Lao PDR (this actually gives a lot of ideas as to what our
project could do)
 Vietnam Slope Protection Study, Final Draft 2003, WSP/DfID.
Annex 4: Summary of Rapid Provincial Capacity Assessment
Objective The aim was to assess capacity in one, representative, Northern Province. The
purpose was to provide an understanding of capacity in order to feed into the design of the
above-mentioned Project
Methodology Direct interviews (6 key stakeholders), Field observations, Triangulation, Simple
questionnaire, Discussion
Limitations Due to time constraints, it was not possible to meet some concerned stakeholders.
Multi-party interactive problem identification was not possible at this stage.
Findings – Overall
– Senior and mid-level government personnel have very limited knowledge of climate change;
–
As of yet, national information and planning documents on climate change have not been
widely disseminated;
–
The main sources of information on climate change are TV, radio and newspapers;
–
There is some confusion with regards to climate change, its likely manifestation, and its
likely impacts on rural development and infrastructure. Notably there is often a confusion
between the environmental impact of investments and the potential impacts of climate
change on investments ;
–
In many cases, climate change is interpreted as a component of natural disasters (flooding
and landslides);
–
The long term nature of climate change makes it difficult for system/individuals to respond.
I.e. individuals have no incentive to plan for potential impacts 10, 20 years into the future.
Likewise, procedures and guidelines do not allow the use of scenarios for planning/decisionmaking;
–
There is no local specific information available on climate change. The manifestations of
climate change at the project or catchment level are not known - i.e. localized scenarios do
not exist. This means that even those tasked/willing to address climate change can only do
limited things;
–
The efficiency and reliability of information exchange on climate change within and across
departments is limited;
–
At this stage, it is too early to determine the details of in-depth training needs.
Overall, the above represent barriers to mainstreaming climate change into rural infrastructure
in northern Vietnam.
Findings – by agency
DARD/PPMU
DONRE
DPI
HMC19
DOT
District20
61
-21
-
49
214
-
52
-
-
34
33
-
Stakeholder
role
in
CC/RI22
See
Decision
22/2008.
Supervision
of
contractors.
Standing office for
National
Target
Programme (NTP)
(PPC Decision of
12/ 2009).
Review
all
investment
proposals and
EIAs.
See related Son
provincial decision.
La
Provide
data
(on
hydrology, meteorology,
environment)
for
infrastructure design.
Road repairs.
Local priority setting
Observation.
Anticipated
CC impacts
Many: cold, drought,
flood, hail, flash
floods, animal death,
landslides – can
affect
transport
routes,
water
infrastructure
and
hydro-power.
Erosion, sea level
rise, salinisation,
dyke loss.
Flooding
and
landslides
to
affect
all
infrastructure.
Many: heavy rain, floods,
landslides,
damaged
roads and hot weather
damage.
Increased
natural
disasters – floods, rain,
landslides.
Floods/landslides.
Has
stakeholder
appointed a
CC
focal
point?
Sub-dept. for water
resources
are
responsible, along
with
disaster
management.
DARD is standing
office for committee
on flood control and
research and rescue.
Sub-department
for mineral and
water resources.
None appointed.
No – but certain units
have related activities,
e.g. Unit of Road
Structure
Management
has responsibility to
overcome
rain
and
weather related damage.
None appointed.
None appointed.
Has
stakeholder
prepared CC
plan
or
undertaken
No plan – only a
provincial plan for
flood
protection.
Agricultural
calendar
plans
There is draft
Provincial plan to
implement NTP
has been prepared
– very early draft.
Implementing
Agenda 21 at
provincial level.
DST did risk
map
No plan.
Small activities, e.g.
annual
review
of
activities determines how
weather related damage
Not
directly.
Some
related activities (notably
data collection).
Not prepared.
No of staff
No
Engineers
19
20
21
22
of
Regional Hydro-Meteorological Centre
No formal questionnaire used – based on discussion with District People Committee personnel
‘-‘ indicates no answer provided
Climate change/rural infrastructure
Page 63
DARD/PPMU
related activities.
activities?
DONRE
DPI
(1;125,000)
DOT
can be addressed.
HMC19
District20
Not yet.
Not yet.
Not yet.
Not yet.
Not yet.
Not yet.
Who else is
involved
in
CC/RI?
DOT (Transport).
Consulting
companies (many).
Depts.
of
construction, ONRE,
OLISA,
Defence
Finance,
Media, Red Cross,
Defence.
DOC, DOT, DPI,
Culture,
DST,
Health,
DARD,
Districts.
All
departments,
especially
DARD
and
DOT.
30 design companies
involved
in
design/construction (10
of which are branches of
national companies).
DARD, DOC, DONRE,
HMC.
-
Cannot
easily
separate impacts on
infrastructure
with
other impacts, e.g. on
crops, paddy, houses,
etc.
What
are
challenges in
applying
national
policies?
Difficult question.
They can interpret
standards, e.g. by
selecting
road
category.
Need district level
plans
to
implement
national
policy
and plans.
Do not know how
to
implement
national policies.
Need
information and
guidance.
No information
on long term
changes.
Very poor province –
focus
is
poverty
alleviation.
CC is very long term –
how to think about it?
Scenarios will not be
prepared
at
regional/provincial level
– expertise is needed at
national level..
-
Perceived
capacity
needs
Proposed
training
for 5-7 staff from
several agencies.
Equipment
to
forecasts
floods
(automatic).
Guidelines
to
implement
national policies.
Policy and budget
support.
Experts
and
expertise.
Coordination,
Information and
documentation.
Training.
Training for all
levels.
Different
survey
methods.
Determine how best to
use
ranges
within
standards – to determine
slope next to road, and
drain size.
Awareness raising.
Improved stations.
More stations.
Improved
forecasting
techniques.
-
Other
Did not know about
CC NTP, nor about
MARD Action Plan
for CC.
Training
CC
on
Provincial
5
year SEDP to be
approved
by
PPC by June
Major
schemes
to
construct large numbers
of reservoirs in Son La
are underway. Water
Page 64
DARD/PPMU
DONRE
DPI
this year.
HMC19
DOT
flow and availability will
be critical to their
economic success.
Page 65
District20
Annex 5: Relevant Internationally Supported Initiatives
The list was prepared based on a review of the Vietnam Climate Change Activities Matrix for Viet Nam, which was prepared by the World
Bank in collaboration with the Government of Viet Nam, and a range of donor agencies and NGOs. Further review of the list projects will be
undertaken during project preparation to identify opportunities for coordination and possible linkage.
Name of Project
Source
Funds
Vietnam: Preparation
of
the
Second
National
Communication
of
Implementing
Agency
Project or Study Details
UNEP/GEF
MONRE
Climate
change
vulnerability mapping
for southeast Asia
Multi-donor
EEPSEA
National
Target
Programme
on
Climate Change
GoV
MONRE
Develop an action
plan framework for CC
adaptation
and
mitigation of CC of the
Agriculture and Rural
Development
GoV
MARD
To help VN fulfil its obligations and
commitments by preparing the Second
National Communication (SNC) based
on the principles set at the Eighth
Conference of the Parties to UNFCCC
in 2002.
Report by Yusuf and Fransisco
(January 2009). At a broad regional
scale, looks at expected impacts,
vulnerability, and adaptive capacity to
map out vulnerability to climate
change.
The strategic objective of the
programme is evaluating the degree of
impacts of CC on sectors and locals in
each period and developing practically
action plan to respond effectively to CC
both in short and long terms to ensure
the country's sustainable development.
Objective: To develop an action plan to
enhance capability of mitigation and
adaptation to climate change (CC) to
minimize its adverse impacts and
ensure sustainable development of the
agriculture and rural development
sector in the context of climate change
and under the umbrella of the NTP.
Funds
allocated
Location
$405,000
$143,878,788
Page 66
Nationwide
Start
End
2006
2009
2008
2009
2009
2015
2008
ongoing
Name of Project
Source
Funds
Economics
of
Adaptation to Climate
Change (EACC) Agriculture and Water
sector
study
in
Vietnam
Multi-donor
Build flashflood zoning
maps
Impact of Climate
Change
on
water
resources
and
adaptation measures
of
Denmark/ODA
Implementing
Agency
Project or Study Details
WB
Under Economic impacts, see the
general entry on the EACC. This sector
study, under implementation in July
2009, focuses on the economic
impacts of CC on a small number of
critically important crops. Being carried
out jointly with a number of
Vietnamese
institutions.
Project
coordinator David Corderi.
In mountainous provinces of Vietnam.
MONREIMHEN
MONREIMHEN
Water Sector Review
Multi-donor
ADB
Developing integrated
catchment
management
strategies
for
sustainable water use
in response to climate
change
Australia/AusAID
Universities
Funds
allocated
$200,000
$1,125,000
Impacts of climate change on water
resources and suggested mitigation
measures.
$800,000
Co-financing
from
Netherlands,
Australia and Denmark. The long term
goal of the Water Sector Review is to
help the Government and
its
development partners to adopt better
management approaches based on
integrated
water
resources
management (IWRM) principles, in line
with the objectives of the National
Water Resources Strategy (NWRS).
Better water sector management will
lead to enhanced contributions of the
sector to poverty reduction and
sustainable national development.
Implemented by Monash University,
VNU, and MONRE. The project will
build multi-disciplinary capacity in
integrated catchment management and
develop
cost-effective
adaptation
strategies.
Location
Start
End
National
2009
2009
Nationwide
2006
2008
2007
2009
2007
$160,000
Page 67
2009
2010
Name of Project
Source
Funds
Scoping research on
Climate change and
the Poor in Vietnam
of
Implementing
Agency
Project or Study Details
Funds
allocated
UK/DFID
UNDP
Technical study of the linkage between
climate change and poverty. With
MONRE.
$150,000
Natural Disaster Risk
Management Project
(NDRMP) (P073361)
WB
MARD
$86,000,000
Flash-flood
control
and adaptation to
climate change
Finland/ODA
CSDM
Disaster
Risk
Management portfolio:
UNDP
MARD
Climate
Change
Scenarios for Vietnam
GoV
MONREIMHEN
The overriding goal of the Program is
to reduce human, economic and
financial losses from natural disasters
and
ensure
rapid
post-disaster
recovery of poor communities living in
hazard-prone areas. AusAid also has a
$4.5 million TA project associated with
this project (2006-2010).
Implementing agency is "CSDM
(Centre for Sustainable Development
in Mountainous Areas) + Ha Giang
PC".
Strengthening of Emergency response
mechanisms, improving institutional
setting for complex emergencies.
Capacity building for senior officials
and
humanitarian
workers
and
volunteers. Focus in Cao Bang, Binh
Thuan, Can Tho Provinces.
As part of the NTP, MONRE is
developing national climate change
scenarios which are scheduled to be
released in April 2009. Sent to Minister
for approval on 2 April 2009.
$202,500
$4,000,000
Page 68
Location
Hue,
Tinh
Start
Ha
End
2009
Nationwide
2006
2010
Ha Giang
province
2008
2010
National
2009
2012
2008
2009
Name of Project
Source
Funds
Strengthening national
capacities to respond
to climate change in
Vietnam,
reducing
vulnerability
and
controlling
GHG
emissions
of
Implementing
Agency
Project or Study Details
UNDP
MONREIMHEN
Implementing agencies are "MARD,
MONRE". To develop frameworks,
mechanisms and capacities in place to
inform, guide and coordinate (i)
analysis of climate change related risks
and formulation of CC adaptation
policy responses and investment
plans; and (ii) analysis of Green House
Gas emissions, and formulation of
investment plans and ways to change
consumer behaviour for low-carbon
economic development. Focus in Can
Tho, Binh Thuan and Quang Nam
Provinces.
Strengthening
Sustainable
Development
and
Climate Planning
UNDP
MPI
Capacity building for
staff of NRE sector
Sweden/ODA
SEMLA
Funds
allocated
Location
Start
End
$4,660,000
National
2008
2012
$3,600,000
National
2009
2012
A training module on CC aspects
relevant for the staff of the NRE sector
will be prepared with the support from
SEMLA in cooperation with the
Department of Organization and
Personnel (DOP) and the International
Cooperation Department (ICD) of
MONRE. This training module will be
sued in training of staff at the central
and local levels
Page 69
Name of Project
Source
Funds
Enhancement
of
Vulnerability
and
Capacity assessment
in Vietnam
of
Implementing
Agency
Project or Study Details
Europe/ODA
VNRC
Climate
change
adaptation survey
Ford Foundation
East
West
Sector
Budget
Support
to
NTP:
Adaptation
Component
Denmark/ODA
MONRE
The project funded by the EC aims to
strengthen vulnerability and capacity
assessment (taking consideration of
climate change) capacity of VNRC
disaster
preparedness
facilitators.
331,000 Euros "through DIPECHO 6th
Action Plan (co-funding by NLRC)" and
4 pilot communes in 4 regions.
Netherlands Red Cross also involved?
Survey carried out in Quang Nam
province. Initial results have been
published. To be followed up by
workshops and development of
adaptation measures if possible.
The
climate
change
adaptation
component
will
support
the
implementation of the National Target
Programme to Respond to Climate
Change under the Ministry of Natural
Resources and Environment at the
national level and specifically in the
two climate vulnerable provinces of
Ben Tre and Quang Nam. The
objective is to enhance Vietnam’s
capacity and efficiency in response to
climate change in order to ensure
sustainable
development,
protect
people from its harmful consequences,
prevent and reduce risks posed by
Climate Change while joining the
efforts of the international community’s
to mitigate its impacts, and protect the
global climatic system.
Meets
Funds
allocated
Location
Start
End
$446,850
Nationwide
2008
2009
$99,000
Quang Nam
2008
2009
$40,000,000
National
and Quang
Nam, Ben
Tre
2009
2014
Page 70
Name of Project
Source
Funds
Climate
Change
stakeholders mapping
and policy analysis
Integration of CC into
land Use Planning
of
Implementing
Agency
Project or Study Details
Oxfam GB
Challenge
Change
Sweden/ODA
SEMLA
Main Objectives: To map all related
agencies working on Climate Change.
To analyse the CC policy formulation
process and key agencies in various
ministries.
To
provide
recommendations to Oxfam for the
new strategy on CC.
One of the most relevant activities in
the SEMLA programme are the
activities in respect of Land Use
Planning,
since
LUP
is
a
comprehensive
framework
for
management of land resources and
planning for optimal future land use,
and thus has the potential to act as a
tool for CC adaptation. The LUP/CC
results will be evaluated along the way
and be incorporated in the improved
model for integrated LUP during 2008.
This in turn feeds into the ongoing
revision of the land law which is
undertaken during 2008.
to
Funds
allocated
Page 71
Location
Start
End
2008
National
2007
2008
Annex 6: Background Information on Bac Kan and Son La Provinces
Son La
Son La Province is the largest Province in the Northwestern Region with a total coverage of
14,174 km2 and the provincial population of 1.024 million, which occupy 38% of those of the
Region. The population density is 72 persons/km2. Ethnic groups in the Province include Thai
(55% of the provincial population), Kinh (17%), Hmong (13%), and Muong (8%). Eighty-seven
percent (87%) of the workforce is engaged in agriculture. Per capita GDP was US$266 in 2005.
The road from Hanoi to Son La through Hoa Binh, is 315 km long (National Road No. 6). Moc
Chau District, which is located at the southernmost edge of the Province, is 200 km away from
Hanoi. Compared to Lai Chau and Dien Bien Provinces, Son La Province is lower in elevation.
Some 70% of the provincial land lies between 100m and 1,000m above sea level, while 57% of
the land is mountainous with slope gradient of over 30%. Sixty-four percent (64%) of the
provincial areas belongs to the Da River basin, while 35% is in the Ma River basin.
Provincial GDP was 4.177 trillion VND in 2005, which was 39% of the GDP of the Region. The
provincial economy relies highly on primary industry accounting for 43% of the provincial GDP.
Cultivated area extends over 254,000 ha or 18% of the provincial land. Out of the cultivated
area, 198,000 ha (78%) are planted with upland crops, while only 14,000 ha (6%) is for paddy.
The ratio of paddy field is significantly smaller than those of other Provinces of the Region.
Due to the unbalanced distribution of land and water resources, the development potential for
paddy is limited. In contrast, orchard fields prevail with a total coverage of 42,000 ha (16%). The
total production of lowland and upland paddy amounted to 128,000 ton in 2005. This is
equivalent to 85 kg of milled rice per person, which is only 51% of the national average of 168
kg. Maize substitutes for rice. The maize production in the Province is 288,000 tons, which is
57% of the total production in the Region.
Many industrial crops such as tea, coffee, cotton, soy beans, etc. are cultivated. Moc Chau
District is the most famous agricultural area in the Province owing not only to good soil and
climatic conditions, but also to a good geographical position, which is five hours by car from
Hanoi. Tea, dairy products and premium vegetables produced in Moc Chau District are bound
for markets in Hanoi.
Bac Kan
Bac Kan is a mountainous province located in the Northeast region of Vietnam, ranged from 21 o48 to
22o44 North latitudes and 105o26-106o15 East longitudes. Bac Kan province is one of the poorest
provinces in Vietnam and the northern mountainous region (NMR) in particular. Sharing its borders are
Cao Bang province to the North, Tuyen Quang province to the West, Lang Son province to the Southeast,
and Thai Nguyen province to the South. Bac Kan is roughly 500 -1,000 meters above sea level and its
topography is extremely diverse with mainly midlands and mountains, and greatly steep slopes of around
15 to 20%.
Page 72
Steep sloped land causes great erosion and degradation of soils. Therefore, soil quality is poor with high
pH values. In addition, “slash and burn” situation in uplands is another reason of soil erosion and
degradation creating treeless hills and mountains. There is a complex network of five large rivers and
complex springs that provide irrigation water, and keeping balance ecological geography among seasons.
Particularly, Bac Kan province is located in riverhead of many rivers such as Gam river, Cau river, Bac
Giang river, etc. Therefore, steep slopes, rainfall concentration in wet reason, and high flows by heavy
rainfalls might cause flash floods in the province.
Its natural land area is 4,868 km2, occupying 1.5% of Vietnam’s natural land areas. Its total land area is
486,800 ha including 37,700 ha of agricultural land (7.7%) and 333,600 ha forest land (68.5%). Another
noteworthy feature is that roughly more than 20.0% of the land area is non-usable land (Bac Kan PSO,
2006). Of which only a small part is flat land (3.3%), and large areas of land are hilly (91.7%) and rockmountains (4.8%), which are not highly favourable for agriculture.
The total provincial population is estimated at 306,000, accounting for around 0.4% of national
population. Peoples living in rural areas is accounted for roughly 85% of the provincial population, which
is significantly higher than the country data (around 70%). The population density varies drastically
among districts and towns of the province, which is indicated by highly populated Bac Kan town and
scattered remote districts. Up to about 87% of provincial population is ethnic minority groups. 23 ethnic
groups are living together in the province, mainly Tay, Nung, Dao, Kinh, and H’Mong. Tay people
occupy the largest part of total provincial population accounting for 54.3% of the total provincial
population. The second biggest group is Dao people at 16.5% of the provincial population, ranking next
are the Kinh people with 13.3% of total population. Nung and H’mong people are ranked behind those
ethnic groups, with 9.5% and 5.4%, respectively. Only around 1.0% of total provincial people are 18
other ethnic groups.
The proportion of provincial agricultural value including forestry and fishery contributed approximately
43% of total provincial GDP in 2005, accounting for nearly two times compared to that of the country
(19.7%). Services and industrial sectors obtained lower proportion, accounting for around 36.0 and 21.0%
respectively.
Bac Kan is strongly dependent on the agricultural sector for many purposes such as food, employment,
and income. The development of the agricultural sector is still a high priority in the overall provincial
economic development plan, which aims to alleviate poverty and develop its economic growth. Bac Kan
has a large labour proportion employed in the agricultural sector, where gross outputs from agriculture
accounted for the small amount compared to other provinces in the NMR. Crop production is still a
predominant sector, contributing for the most important part in term of gross outputs of agriculture as
well as cash resource of the province.
It is stated that Bac Kan province is largely prone to drought, flash floods, landslides, and soil erosion,
which are perceived to be most at risk to local people. Other related climate change events such as
changeable temperature, changing seasons, high precipitation, water-logging, decreasing of water
resources, thunderstorms, and hails also occurred in the province, but in a lower frequency, intensity and
less impact than those mentioned above. However, their frequency and intensity as well as impacts tend to
be increasing gradually. It is said that weather in Bac Kan is changeable and seems to gradually change to
two clear seasons: dry and wet instead of four seasons as usual. Temperature is also expressing a
dramatic differentiation between day and night. It is getting warmer in the province, not only in summer
but also in winter. Particularly, there is a serious cold outbreak in 2008, causing many damages. The
temperature changing does not happen routinely.
Bac Kan province will tend to suffer from more intense rain, posing high threats to livelihoods,
infrastructure, and agricultural production. Thus, people living in highlands will be faced with increasing
risks of flash floods and landslides caused by heavy rainfall. Rainfall is unevenly distributed throughout
the rainy seasons, causing floods, flashfloods, landslides and soil erosions. Rain is also distinctly
Page 73
changeable, which might be indicated by shorter rain periods with higher intensity and frequency.
Recently, heavy rainfall lasting for two to three hours could create to a flash flood, where as previously
flash flooding might be caused after several days of rain. Moreover, rainy season is lasting a longer time,
from February to October. Drought is also showing changeability with much more frequency and greater
intensity and impacts. Natural water resources are decreasing in water quantity and quality. Water
resource in rivers and streams is showing higher level in the rainy season and lower levels in the dry
compared to the former time. Likely, whirlwind, thunderstorm, and hail seem to have greater intensity
and higher impacts when its combination with other events such as floods.
Page 74
Annex 7: Detailed Information on the Selected Demonstration Sub-projects
Under Outcome 3, adaptation to climate change is to be demonstrated on the following subprojects:
Son La:
(1) Upgrading rural road from 108 Road to Muong E in Thuan Chau District
(2) Upgrading irrigation system and landslide protection embankment in Tham Mon
Commune, Thuan Chau district
Bac Kan:
(1) Cau river bank protection
(2) Upgrading rural road of two districts: Ba Be and Bach Thong
Note that the road in Bac Kan (i.e. no. 2) is separated into 2 small sections of Road, one in Ba
Be, the other in Bach Khong, hence there are two separate descriptions.
In order to select sub-projects for the SRIDP, the following selection and screening criteria were
used:
Criterion
Compliance
1. Project included in the SEDP
and will have positive impact on Yes
poverty reduction
2.
a) No significant resettlement Yes
issues
b) No significant impact on
environment
Yes
Reference Section (in the description
document)
B1
Subproject will not involve major land
acquisition and compensation issues (F1)
Subproject upgrading existing road not
likely to have significant long term impact
on environment (F2)
c) No adverse impact on ethnic
minorities
Yes
F3
d) No adverse impact on
women, and vulnerable groups
Yes
F4
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3. Subproject is in rural area Yes
(mountainous or lowland) where
there is a high poverty
incidence
A4
4. Project > $1M but < $ 5M Yes
USD
A5
5. O&M
D1, D2
Yes
6. Link to existing infrastructure Yes
7. Link with other Govt. and Yes
donor projects
B3
B2
Page 76
Annex 8: Stakeholder Involvement Plan
Stakeholders
Responsibilities related to Project
Potential role in Project
MARD
MARD
Several Departments have responsibilities related to rural
development and improvements of rural infrastructure, notably
Department of Construction Management, and Department of
Dyke Management and Flood Storm Control.
Will play a role on the Project Steering Committee
Should benefit from capacity building on how to increase
resilience and decrease vulnerability of rural infrastructure to
climate change.
Should benefit from policy support to institutionalise project
successes.
MARD – Agriculture Project Responsible for preparation and oversight of rural infrastructure
Management Board
projects. Hence, hold some responsibility for mainstreaming
climate change into such projects. Will be partly responsible for
disseminating lesson learnt across Vietnam.
Should benefit from in-depth capacity building on how to
increase resilience and decrease vulnerability of rural
infrastructure to climate change.
MARD - Department of
Science, Technology and
Environment/OCCA Standing
Office
Responsible for preparation and oversight of MARD strategic
response to climate change. Hold technical knowledge and skills
on climate change impacts related to agriculture and rural
development.
Will play a role on the Project Technical Advisory Committee.
Should benefit from in-depth capacity building on how to
increase resilience and decrease vulnerability of rural
infrastructure to climate change. Should benefit from
manuals/guidelines/best practices documentation produce by
project.
MARD - Department of Dyke Responsible for many issues related to disaster management in
Management and Flood northern Vietnam, including: Vietnamese Flood control system;
Storm Control
dyke management operations; operations of floods and storm
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control; plans for dykes, floods and storm control.
Should benefit from training on climate change and how to
coordinate climate change adaptation with disaster
management in northern mountains.
MARD - National Institute of Responsible for preparation of long term plans and strategies
Agriculture Planning and related to rural development, including infrastructure.
Projection
Should benefit from training/policy advice on how to integrate
climate change concerns into long-term strategies and plans.
MARD - National Centre for Prepare plans, strategies, policies and standards/regulations
Rural Water Supply and related to water supply in rural areas.
Environmental Sanitation.
Should benefit from training/policy advice on how to integrate
climate change concerns into strategies, and plans, etc.
MARD – Department for Prepare plans, strategies, policies and standards/regulations
water resources.
related to irrigation.
Should benefit from training/policy advice on how to integrate
climate change concerns into strategies, and plans, etc.
MONRE
MONRE
Lead role in addressing climate change issues across all sectors.
Standing Vice Chair of the National Steering Committee for the
National Target to Respond to Climate Change (NTP), and Chair
of the Executive Board of NTP, hosting the office of the Standing
Office of the NTP.
Not applicable.
MONRE - Department. of Prepare draft Guidelines to sectors/provinces on how to
Meteorology,
Hydrology, implement NTP and how to prepare Action Plan for responding
and Climate Change
to climate change.
Will play a role on the Project Technical Advisory Committee.
Should benefit from project findings and lessons learnt, these
will feed into future guidelines.
MONRE – Viet Nam Institute Key role in undertaking research in the field of climate change
of Meteorology, Hydrology (includes preparing scenarios, adaptation measures)
and Environment
Should benefit from technical assistance on how to provide
down-scaled scenarios addressing extreme values, and on
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vulnerability mapping.
MONRE - National Hydro Key role in managing all issues related to meteorology and
Meteorological Service of hydrology (observation network, data collection, short and
Vietnam
medium term forecasting – for meteorology, hydrology and
some environmental factors).
May benefit from some training.
Other Ministries
MINISTRY OF TRANSPORT
Prepare national master plans and strategies covering rural
transport infrastructure.
Issue policies, laws and by-laws covering rural transport
infrastructure.
Issue standards covering rural transport infrastructure.
Should benefit from training/policy advice on how to integrate
climate change concerns into strategies, and plans, etc.
MINISTRY OF PLANNING Performs the functions of State management over planning and
AND INVESMENT
investment, including the provision of general advices on
strategies, plannings and plans on national socio- economic
development, on mechanism and policies for general economic
management and some specific fields, on domestic and foreign
investment, etc.
Should benefit from training/policy advice on how to integrate
climate change concerns into strategies, and plans, etc.
Provincial Agencies
Provincial
Committee
People’s Takes key decisions on sustainable development and guides
overall development.
Would benefit from awareness raising on climate change and
impacts on poverty and provincial development.
Provincial Departments of Responsible for executing mandate of all MARD departments at
Agriculture
and
Rural the provincial level. This includes the planning, oversight and
Development
monitoring of rural infrastructure projects related to agriculture.
Should benefit from in-depth training/policy advice on climate
change, climate change impacts, and how to integrate climate
change concerns into planning and operations.
Provincial Departments of Responsible for executing mandate of MPI at the provincial
Planning and Investment
level. This includes coordinating socio-economic planning.
Should benefit from training/policy advice on climate change,
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climate change impacts, and how to integrate climate change
concerns into planning and operations.
Provincial Departments of Responsible for executing mandate of all MONRE departments
Natural
Resources
and at the provincial level. This includes drafting provincial action
Environment
plan to respond to climate change.
Should benefit from in-depth training/policy advice on climate
change, climate change impacts, and how to integrate climate
change concerns into planning and operations.
Provincial Departments of Responsible for executing mandate of concerned Ministries at
construction, transport, etc. the provincial level.
Decide on measures to maintain roads and respond to
landslides.
Should benefit from in-depth training/policy advice on climate
change, climate change impacts, and how to integrate climate
change concerns into planning and operations.
Provincial Committee for Responsible for responding to natural disasters.
Flood Management and
Should benefit from training/policy advice on climate change,
Search and Rescue
climate change impacts, and how to integrate climate change
concerns into their activities.
Media organisations
Inform public on climate change and related issues.
Should benefit from training on climate change, climate change
impacts, and how to integrate climate change concerns into
operations.
NGOs and Mass movement
organisations (e.g. Farmers
Association, Vietnamese Red
Cross)
Support people to implement provincial plans, eg in responding
to disasters, and implementing awareness raising campaigns in
line with action plan.
Business Units and private
sector (provincial, and local
branches
of
national
companies).
Responsible for maintaining infrastructure, including clear-up
after land-slides and disasters.
Based on a competitive selection process, companies will be
responsible for the design, supervision and construction of
infrastructure projects.
Should benefit from training on climate change, climate change
impacts, and how to integrate climate change concerns into
operations.
Should benefit from in-depth training on climate change, climate
change impacts, and how to integrate climate change concerns
into operations.
Page 80
Annex 9: Capacity Scorecard
This score-card is the indicator measurement tool for Outcome 2 – Enhanced capacity to
adapt/climate-proof rural infrastructure investments and provincial/local area planning.
The score-card is based on the Capacity Development Indicator scorecard prepared by UNDP
globally. However, it has been greatly modified to suit adaptation to climate change, rural
infrastructure, poverty reduction and local conditions in northern Vietnam.
This score card includes 10 questions. The questions will be asked to the DARD in each of the 15
northern mountainous provinces, each year. It should be the same respondent each year.
For each question, the stakeholder will give a response, giving a score between 0 and 3. Hence, for
all 10 questions, each stakeholder will give a total score ranging between 0 and 30. For all fifteen
provinces, the total score could lie between 0 and 450.
The baseline value should be determined during project Inception activities. Once the baseline has
been determined, the project steering committee should meet to discuss the target for the end-ofproject. It is recommended that this target be at least 20% higher than the baseline.
In the first year, it may become apparent that some questions are inappropriate/irrelevant for
some stakeholders. Note should be made of this, and the score for these question/stakeholders
placed at 0 for all subsequent years.
Questions
1. There are effective plans to address climate change in the province.
0 – No ‘Provincial Action Plan to respond to climate change and sea level rise’ exits; (
1 – A Provincial Action Plan exists, but it is incomplete and not approved;
2 – A Provincial Action Plan exists, it is complete, and efforts are under way to implement it;
3 – The province has allocated resources to implement the Provincial Action Plan, and
appointed a senior agency to oversee plan implementation
2. There are effective measures (i.e. additional design steps or additional construction procedures
or revised construction methods or revised design specifications) to address climate change
impacts on rural infrastructure in the province .
0 – No provincial measures to address climate change impacts on rural infrastructure exit;
1 – The measures to address climate change impacts on rural infrastructure are clearly
defined, but are not being implemented;
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2 – The measures to address climate change impacts on rural infrastructure are clearly
defined, and efforts are under way to implement them;
3 – The province has allocated resources to implement the measures, and appointed a
senior agency to ensure implementation
3. In the DARD, the personnel working on climate change:
0 – No staff have been allocated to work on climate change;
1 – Staff have been appointed to work on climate change, but have received no special
training or guidance;
2 – Staff have been appointed, they have received training and guidance, but are not yet able
to meet all expectations;
3 – Staff are fully active in response to climate change, in a coordinated and coherent
manner.
4. Cooperation amongst the provincial agencies responsible for climate change:
0 – Is absent;
1 – Exists, but is not sufficient;
2 – Exists and is helping to improve performance;
3 – Is very effective.
5. Training on adapting to climate change for DARD and other staff:
0 – there has been no training;
1 – Training has been very limited;
2 – There has been much training, but more is needed;
3 – Training has been adequate.
6. Expertise in the province to integrate climate change concerns into the design of rural
infrastructure:
0 – There are no experts (i.e. qualified personnel with either post-graduate qualifications or
3 years experience) able to integrate climate change concerns into the design of rural
infrastructure;
1 – There are no local experts able to integrate climate change concerns into the design of
rural infrastructure, but expertise is available at national level and in nearby provinces;
Page 82
2 – There is some expertise to integrate climate change concerns into the design of rural
infrastructure, but it is not sufficient;
3 – Expertise to integrate climate change concerns into the design of rural infrastructure is
adequate.
7. Standards
0 – Existing standards make it impossible to integrate climate change concerns into the
design of rural infrastructure:
1 – Existing standards limit the extent to which it is possible to integrate climate change
concerns into the design of rural infrastructure;
2 – Existing standards are largely adequate to allow the integration of climate change
concerns into the design of rural infrastructure, but more guidance and/or flexibility is
needed;
3 – Existing standards are fully adequate to allow the integrationof climate change concerns
into the design of rural infrastructure.
8. Adaptation plans have the political commitment they require:
0 - There is no political will at all, or the prevailing political will results in maladaptive
actions;
1 - Some political will exists, but is not strong enough to make a difference;
2 - Reasonable political will exists, but is not always strong enough to fully support the
necessary adaptation measures;
3 -- There are very high levels of political will to support adaptation measures.
9. Institutions and organizations have the data & information they need to develop, implement and
monitor strategies to plan for and respond to CC.
0 - Information is almost all lacking;
1 - Some information exists, but is of poor quality, is of limited usefulness, or is very difficult
to access;
2 - Much information is easily available and mostly of good quality, but there remain some
gaps in quality, coverage and availability;
3 - Institutions have the information they need to develop, implement and monitor
adaptation strategies
10. Institutions are able effectively to disseminate information on CC, adaptation and related
management strategies to the public
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0 - information on CC & related issues does not reach the public;
1 - Information is disseminated but not understood or seen as irrelevant by the public;
2 - Information reaches some sections of the public, e.g. more educated sectors, & informs
views of adaptation & management needs;
3 - Information reaches wide cross section of public and is understood, fostering
widespread recognition of need for adaptation.
Page 84
Annex 10: Terms of Reference
Project Board
Tasks and Mandate
The Project Board (PB) will be responsible for overall support, policy guidance and overall supervision of
the project. The PB is specifically responsible for: validating key project outputs, notably annual
workplans, budgets, technical reports and progress; monitoring and evaluating project progress.
Other key tasks of the PB include:
 Ensure that GEF/SCCF resources are committed exclusively to activities that relate to the
achievement of approved project objective and outcomes and in line with approved annual
workplans;
 Provide guidance on overall project management arrangements to ensure coherence and
coordinated implementation of all components of the project;
 Arbitrate significant conflicts within the project;
 Negotiate a solution to major problems that may arise between the project and external bodies;
 Ensure coordination with similar projects and programmes in Vietnam;
 Ensure the Project CPMU has access to data and information from other sources in-country;
 Examine and approve annual workplans;
 Examine and approve monitoring reports;
 Examine and approve activity and progress reports;
 Ensure that the PB recommendations are enacted;
 Review the performance of the CPMU, and make recommendations, and;
 Recommend actions and activities to be implemented under the project.
Membership
The PB meets at least twice per year, and when convened by the Chair. Membership will be:
 MARD Vice-Director (Chair)
 MARD APMB
 MARD DOSTE
 UNDP
 ADB (Observer)
Project Coordinator
Scope: Full time over four years
Objective:
This is a high level policy/leadership position to oversee the project implementation.
Page 85

The initial objective is to establish the CPMU Sub-project management unit and the project team
and oversee the recruitment of its staff and its operationalisation.
The next objective is to ensure regular work planning, adaptive management and monitoring of
project progress towards project objectives and goals, and management of all project team staff.
The third objective is to ensure the project team interacts functionally with all partners,
Vietnamese and international, at high levels. This includes developing joint objectives and
activities with international partners and other projects.


Tasks (these include, but are not limited to):
Management and Planning
1.
2.
Supervise and lead the project team in discharging duties at an optimum lelve;
Assumes operational management of the project in consistency with the project document and UNDP
policies and procedures;
3. Oversees preparation and updates of the project work plan as required; and formally submits updates
to UNDP/ADB and reports on work plan progress to the NPD and UNDP/ADB as requested but at
least quarterly;
4. Oversees the mobilization of project inputs under the responsibility of the UNDP;
5. Guides all team members;
6. Ensures that appropriate accounting records are kept, and financial procedures for NEX are followed,
and facilitates and cooperates with audit processes at all times as required;
7. Ensures all reports are prepared in a timely manner;
8. Assist in the finalization of TORs and the identification and selection of national consultants;
9. Assists in the planning and design of all project activities, through the quarterly planning process and
the preparations of TOR and Activity Descriptions;
10. Supervises the project staff and consultants assigned to project;
11. Throughout the project, when necessary, provides advice and guidance to the national consultants, to
the international experts and to project partners;
12. Prepare Project Monitoring Plan, Project Risk Logs, Financial Reports, AWPs, Project Progress
Reports, and Atlas Project Management Module;
Partnerships
1.
2.
3.
4.
5.
Ensures effective partnerships with other parties;
Ensures project activities are integrated and coordinated with all MARD and APMB operations;
Oversees development and implementation of communications strategy;
Oversees development and implementation of the M&E monitoring system;
Develop and maintain good working relationships with national and international partners in this
sector;
Policy
1.
2.
3.
Oversees the recruitment of all consultants and sub-contractors and ensures that their work is focused
on policy development;
Advises on how to disseminate the project findings, notably to governmental departments;
Assists on the dissemination of project findings, notably to governmental departments and
internationally;
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4.
5.
Ensures the coordination of project policy oriented work with related work of partners;
Helps establish a regular policy dialogue mechanism on adapting to climate change.
Technical
The National Coordinator will have nationally renowned expertise in at least one of the following fields:
Rural economics; Infrastructure development; or; climate change forecasting and impact forecasting.
Qualifications
 Appropriate University Degree in natural resources management, rural development management
or economics;
 Substantial experience and familiarity with the development ministries and agencies in Vietnam;
 Verified excellent project management, team leadership, and facilitation;
 Ability to coordinate a large, multidisciplinary team of experts and consultants;
 Excellent drafting and communication skills.
Senior Technical Advisor (STA)
Scope: Approximately 6 months input over four years.
This is a high level policy/leadership position to support the project implementation.
The STA assists the National Project Coordinator in the achievement of all Objectives and when
undertaking all Tasks.
Tasks (these include, but are not limited to):
PCU Management and Planning
1.
2.
3.
4.
5.
6.
7.
Assists preparation and updates of the project work plan;
Reviews all major reports and provides quality control on all key reports;
Assists in the finalisation of methodologies;
Assist in the finalization of TORs and the identification and selection of national consultants and
international consultants;
Assists in the planning and design of key project proejct activities, through the quarterly planning
process and the preparations of TOR and Activity Descriptions;
Advises and helps train the project staff and consultants assigned to project;
Throughout the project, when necessary, provides advice and guidance to the national consultants, to
the international experts and to project partners;
Partnerships
1.
2.
Supports development and implementation of communications strategy and of the M&E monitoring
system;
Helps develop working relationships with national and international partners in this sector, and helps
mobilise follow-up resources to coastal protection;
Page 87
Policy
1.
2.
3.
4.
Introduces in an effective manner the related best practices from other countries, notably related to
adaptation of rural infrastructure to climate hazards;
Advises on the dissemination of project findings, notably to governmental departments and
internationally;
Ensures the coordination of project policy oriented work with related work of partners;
Helps establish a regular policy dialogue mechanism on adapting to climate change.
Technical
The CTA should have renowned expertise in at least two one of the following fields: Rural development
or climate change.
Qualifications
 Appropriate University Degree in natural resources management, coastal zone management or
economics;
 At least 10 years experience working with rural development or natural resources management
projects in South east Asia, preferably Vietnam;
 Verified excellent project management, team leadership, and facilitation skills;
 Vietnamese language skills a strong asset;
 Excellent drafting and communication skills.
National Technical Advisor
Scope: Full time over four years
Objective/scope:
This is a supportive position to support project implementation and project impact.
Tasks (these include, but are not limited to):
Including:
 Undertake technical oversight on a daily basis of all activities;
 Help develop and implement project’s strategic approach to capacity building;
 Help develop the project approach to climate change downscaling;
 Develop methodologies for major project activities;
 Review all major outputs and reports and contribute to improving their quality;
 Oversee and help implement project work to strengthen resource mobilization;
 Help to implement project communications strategy;
 Oversee project consultants and contractors;
 Identify, analyse and communicate lessons learnt that may be useful in the design and
implementation of similar projects;
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


Oversee implementation of the project’s communication strategy;
Oversee implementation of the project’s M&E;
Ensure Vietnamese stakeholders benefit from best practices and latest knowledge throughout
Asia.
Qualifications
 Appropriate University Degree in natural resources management, rural development or
economics;
 Substantive experience in projects related to climate science will be a major asset;
 Substantive experience in international development projects;
 Substantive experience in developing capacity development strategies;
 Ability to coordinate a multidisciplinary team of experts and consultants.
Project Financial Assistant
Scope: Half time over four years
Tasks: include
 Standardize the finance and accounting systems of the project while maintaining compatibility
with UNDP financial and accounting procedures
 Prepare budget revisions of the projects based on the Combined Delivery Reports (CDRs)
 Assist in the preparation of the Annual Work Plan (AWP)
 Comply and verify budget and accounting data by researching files, calculating costs, and
estimating anticipated expenditures from readily available information sources.
 Prepare financial status reports, progress reports and other required financial reports
 Process all types of payment requests for settlement purpose including quarterly advances to the
partners
 Prepare periodic accounting records by recording receipts and disbursements (ledgers, cash books,
vouchers, etc.) and reconciling data for recurring or financial special reports and assist in
preparation of annual procurement plan
 Undertake project financial closure formalities including submission of terminal reports, transfer
and disposal of equipment, processing of semi-final and final revisions, and support professional
staff in preparing the terminal assessment reports
 Prepare reports and documents as per specified formats, project, or programme plans and general
reference documents as well as general administrative/financial or specialised tasks related to the
project which may be of a confidential nature within the assigned area of responsibility
 Assist in the timely issuance of contracts and assurance of other eligible entitlements of the
projects personnel, experts, and consultants by preparing annual recruitment plans
 Provide substantive support to the National Project Manager for overall implementation
 Prepare and update inventories of expendable and non-expendable project equipment.
Project Administrative Assistant
Scope: Half time over four years
Tasks: include
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









Set up and maintain all files and records of the project in both electronic and hard copies
Collect project related information data
Help establish office and purchase office facilities;
Update plans
Establish document control procedures
Compile, copy and distribute all project reports
Provide logistical support to the National Project Manager, and national/international consultants
in organising training events, workshops, and seminars
Assist international, short-term consultants by organizing their travel schedules, arranging
meetings with different stakeholders, and booking hotel accommodations
Provide support in the use of Atlas for monitoring and reporting
Draft necessary correspondence with local and international agencies and stakeholders
Technical Advisory Group
At the outset of the project, the Project Board will assess the usefulness of establishing a Technical
Advisory Group on ‘Climate Science and Vulnerability Assessment’.
If established, this Group will provide technical guidance and reviews specifically covering components 2
and 3 of the Project. This Group would be chaired by MARD. Its membership will be drawn from a
combination of government and non government experts. The non-government experts will be funded
from within Components 2 and 3 of the project. Other members of the Group may be drawn from the
MARD Office for Climate Change (OCCA), and the Department for Hydrometeorology and Climate
Change of MONRE.
The Group is not executive or authoritative. It will not take decisions regarding the approval of inputs,
outputs or payments. It will provide technical support, advice and facilitate coordination.
Tasks could include:

Providing comments on project planning documents (annual workplans, annual progress reports,
TOR for main activities);

Providing comments on main project outputs;

Facilitating coordination with related initiatives, for example by ensuring information flow;

Facilitating approval of project outputs in the organizations of their concerned agency;

Helping to find effective technical service providers.
Page 90
DRAFT FOR DISCUSSION ONLY
Annex 11: Overall Project Management and Organizational Structure
GEF Implementing Agencies
ADB/UNDP
Ministry of Agriculture and
Rural Development
ADB/UNDP
Agricultural Projects
Management Board
GEF/SCCF Project Board
(MARD ICD, MARD-DOST,
APMB, UNDP)
Central Project
Management Unit
GEF/SCCF Sub-Project
Management Unit
Departments of Agriculture
and Rural Development
Components
1, 2 & 4
(GEF/SCCF
funds through
UNDP NIM)
Component
3
(GEF/SCCF
funds through
ADB TA)
GEF/SCCF Technical Advisory
Group on Climate Science and
Vulnerability Assessment
Provincial Project
Management Units
Subproject Contracts
Page 91
DRAFT FOR DISCUSSION ONLY
Central Project Management Unit
Project Director
Deputy Director
Finance and Administration
Donor Liaison
Finance and Administration
Deputy Director
Technical and Planning
Donor Liaison
Technical and Planning
Program Officer
Chief
Accountant
Assist. Accountant
(2)
Disbursement
Offr. (2)
Cash
(2)
Consultant
Coordinator
Snr
Offr
GEF/SCCF Project Coordinator
Components
1, 2 & 4
(UNDP)
Component
3
(ADB)
Technical
Senior Technical
Advisor
Safeguards Offrs.
(3)
Planning
(2)
Officer
Interpreters (3)
Monitoring Officer
Financial Officer
Controllers
Finance Offrs. (2)
Procurement Offr.
(2)
Admin. Assistant
Infrastructure
Engineers. (2)
Drivers (2)
Administration
Assistant
Technical
consultants
(Nat/Int)
Team Leader
Page 92
Technical
consultants
(Nat/Int)
Annex 12. Memorandum Of Understanding Between The Asian Development Bank And The Government Of
Viet Nam for the Technical Assistance Project: Promoting Climate Resilient Rural Infrastructure In Northern
Vietnam
See separate file.
93
Annex 13: ADB TA Paper: VIETNAM: Promoting Climate Resilient Rural Infrastructure in Northern Viet Nam
See Separate File
94
Annex 14: Co-financing letter
The following covers UNDP co-financing amounting to a total of USD 6,765,000. The Government of Vietnam
and ADB co-financing are provided in the MoU signed in January 2011 – see Annex 12.
95