Vietnam-Japan Joint Program Evaluation Study
iii
(6) Case study: The impact of Japan’s ODA Programs on the Development of
Trade and Economic Activities between Vietnam and China
3-66
3-2-5 Impact on Capacity Building of Vietnamese Counterparts
3-72
3-2-6 Social and Environmental Impacts
3-74
(1) Impact on the Environment
3-74
(2) Impact on Gender
3-76
(3) Impact on Traffic Safety
3-76
3-3 Appropriateness of the Planning and Implementation Process
3-82
3-3-1 Appropriateness of the Organizations involved in the Planning Process
3-82
3-3-2 Appropriateness of Needs Assessment in the Planning Process
3-84
(1) Yen Loan Projects
3-84
(2) Grant Aid Projects of the Ministry of Foreign Affairs (MOFA) and JICA
3-86
(3) Technical Cooperation Projects of JICA
3-87
(4) Development Study of JICA
3-88
(5) Ministry of Planning and Investment (MPI)
3-90
3-3-3 Coordination between Japanese ODA Schemes in the Program
3-92
3-3-4 Coordination between Major Donors’ Aid Programs/Projects and
the Program
3-93
Chapter 4: Lessons Learned and Recommendations
4-1
4.1 Summary of the Achievements of the Program
4-1
4.2 Achievements of the Joint Evaluating Study
4-2
4.3 Lessons Learned
4-4
4.4 Recommendations
4-6
Reference:
5-1
Appendix:
6-1
Appendix 1: Evaluation Framework
6-1
Appendix 2: Outline of Japanese ODA Projects under the Red River Delta
Transport Development Program
6-5
Appendix 3: Outline of Major Donor’s ODA Projects under the Red River Delta
Transport Development Program
6-18
Appendix 4: Program of ODA Evaluation Seminar
6-29
Appendix 5: Budget System of Ministry of Transport
6-31
Appendix 6: Supplemental Data for Economic Impact Survey
6-35
Appendix 7: Matrix of the Evaluation on HRD
6-42
Vietnam-Japan Joint Program Evaluation Study
iv
Vietnam-Japan Joint Program Evaluation Study
v
Abbreviations
ADB :
Asian Development Bank
AFD :
Agence Française de Développement (French Development Agency)
APEC :
Asian Pacific Economic Cooperation
ASEAN :
Association of South-East Asia Nations
CIDA :
Canadian International Development Agency
CPRGS :
Comprehensive Poverty Reduction and Growth Strategy
D/D :
Detailed Design
DfID :
Department for International Development
F/S :
Feasibility Study
FDI :
Foreign Direct Investment
GDP :
Gross Domestic Production
GRIPS :
National Graduate Institute for Policy Studies
GRP :
Gross Regional Production
GTZ :
Deutsche Gesellschaft für Technische Zusammenarbeit GmbH
(German Society for Technical Cooperation)
HCMC :
Ho Chi Minh City
HDI :
Human Development Index
IDC :
Inland Container Deport
JBIC :
Japan Bank for International Cooperation
JICA :
Japan International Cooperation Agency
KfW :
Kreditanstalt für Wiederaufbau (German Development Bank)
M/P :
Maspter Plan
MDGs :
Millennium Development Goals
MOFA :
Ministry of Foreign Affaires
MOT :
Ministry of Transport
MPI :
Ministry of Planning and Investment
NGO :
Non Governmental Organization
NTSC
:
National Traffic Safety Committee
O&M
:
Operation and Maintenance
ODA
:
Official Development Assistance
OECD
:
Organization for Economic Cooperation and Development
OJT
:
On-the-Job Training
PDOT
:
Provincial Department of Transport
PMU
:
Project Management Unit
Vietnam-Japan Joint Program Evaluation Study
vi
RRD
:
Red River Delta
SME
:
Small and Medium-sized Enterprise
UNDP
:
United Nations Development Program
VITRANSS
:
Vietnam National Transport Development Strategy Study
VJCC
:
Vietnam-Japan Human Resource Cooperation Center
VNR
:
Vietnam National Railway (current Vietnam Railway Corporation)
VRA
:
Vietnam Road Administration
WB
:
World Bank
Vietnam-Japan Joint Program Evaluation
vii
Executive Summary
Chapter 1 Objectives and Methodology of the Study
1-1 Background to the Study
In response to the growing awareness of the importance of donor-partner cooperation
in tackling development challenges and global development issues, the Ministry of
Foreign Affairs, Japan (MOFA) has hosted several “Tokyo Workshops on ODA
Evaluation”. Since it was held initially in 2001, five “Workshops on ODA Evaluation”
have been organized.
At the third workshop in November 2003, a proposal was made by Vietnamese
representatives from the Ministry of Planning and Investment (MPI) to conduct a joint
monitoring and evaluation exercise with a possible impact on capacity building. In July
2005 MPI and MOFA agreed to execute the joint evaluation of the Japanese ODA
program for transport sector development in the Red River Delta area.
1-2 Objectives of the Study
The objectives of the Joint Program Evaluation Study are:
(1) To plan and execute a joint program evaluation study of the Japanese ODA
program for transport sector development in the Red River Delta area,
(2) To promote the understanding on the part of the Vietnamese counterparts
regarding program evaluation on ODA through the participatory approach to the
study.
1-3 Methodology of the Study
ODA evaluation practice from the “ODA Evaluation Guideline” which was established
by the Ministry of Foreign Affairs, Japan (MOFA) is used for the joint program
evaluation study. According to the Guideline, this study is classified as a
“Program-level Evaluation”, and in particular it was further classified as a “Sector
Program Evaluation”.
The Guideline adopts a comprehensive evaluation method for the Program-level
Evaluation (Sector Program Evaluation), in which the object is evaluated from three
points namely, purpose, process, and results.
The evaluation of purpose examines the relevance of the purpose of the Program. The
evaluation of results assesses the effectiveness and impact of the results of the program.
The evaluation of the process verifies the appropriateness of the planning process of
the program.
Executive Summary
viii
Firstly the object of the study needs to be identified. A “quasi-program” was developed
expediently for evaluation purposes, based on “the Master Plan Study of Transport
Development in the Northern Part in the Socialist Republic of Vietnam (1994)”
conducted by JICA (herein after called “the Master Plan 1994”). The “quasi-program”
was named as “The Japanese ODA Program for transport infrastructure development
in the Red River Delta area” (herein after called “the Red River Delta Transport
Development Program”).
The Master Plan 1994 was the first master plan to target the transport sector in the
northern part of Vietnam, proposing a complex integrated network of transport
systems and services in the four sub-sectors including the road, railway, sea and port,
and inland waterway transport sectors. This evaluation study utilized the framework
of the Master Plan 1994 in order to create a “quasi-program” as an object for the study.
The Red River Delta Transport Development Program is made up of a group of
Japanese ODA projects consisting of 13 Yen loan projects, 2 grant aid projects, 2
technical cooperation projects, and 8 development studies, the implementation of
which was carried out during the target period between 1994 and 2004 (the list of
Japanese ODA projects under the Program is provided in Table 1-1).
However, other donors’ projects relating to the framework of the Red River Delta
Transport Development Program (i.e. the other donors’ projects for the transport sector
in the Red River Delta area implemented from 1994 to 2004) were also reviewed as a
reference. The other major donors in the transport sector in Vietnam were the World
Bank, the Asian Development Bank, Germany, France, the United Kingdom and
Canada (the list of other major donors’ ODA projects under the Program is provided in
Table 1-2).
After identification of the program scope, the “Objective Framework” was prepared.
Borrowing the framework of the Master Plan 1994, the objective of the Red River Delta
Transport Development Program is identified as “the establishment of a new transport
system in the Red River Delta area for the promotion of economic development in
northern Vietnam, the alleviation of north-south regional disparity, and support for the
transition to a market economy and internationalization.”(the objective framework is
provided in Figure 1-2 and Figure 1-3)
The Program is basically divided into four transport sub-sectors: the road, railway,
port and sea, and inland waterway sub-sectors. It became evident that the Japanese
ODA projects under the Program concentrate on the road transport sub-sector,
followed by the port and sea, and railway transport sub-sectors. As far as the inland
waterway transport sub-sector is concerned, although one master plan study was
carried out, no tangible project materialized. This means that main target areas of the
Program can be said to be the road, railway, and port and sea transport sub-sectors. On
the other hand, most of other donors’ ODA projects focus on the road and railway
sub-sectors, the other two sub-sectors receiving very little assistance from other donors.
After preparation of the objective framework, the “Evaluation Framework” was
Vietnam-Japan Joint Program Evaluation
ix
prepared. The evaluation framework is a tool for identifying the evaluation approach
and the type of information and data required for the evaluation analysis, which
includes (i) the view point of evaluation, (ii) evaluation criteria, (iii) evaluation
indicators, (iv) required information, and (v) the source of information (the evaluation
framework is provided in Appendix 1).
Since this study is a joint evaluation activity between Japan and Vietnam, the planning
and preparation process of the study, including the preparation of the objective
framework and the evaluation framework, was carried out with the mutual agreement
of the two evaluation teams of Vietnam and Japan.
Also an “ODA Evaluation Seminar” was held at VJCC (Vietnam-Japan Human
Resource Cooperation Center) in Hanoi on 10th and 11th of August with
approximately 40 participants from the relevant ministries and agencies of Vietnam
and Japan invited. The seminar was organized for the technical transfer of Japanese
ODA evaluation methods and practices from Japanese team to the Vietnamese officials.
During the seminar, the purpose of the study, the proposed evaluation methodology,
the research plan, the implementation schedules and so on, were shared by both
participants.
The agencies responsible for the joint evaluation study are the Ministry of Foreign
Affairs (MOFA) of Japan, the Ministry of Planning and Investment (MPI) and the
Ministry of Transport (MOT) of Vietnam. Japan and Vietnam organized joint
evaluating study teams and the two teams jointly conducted the study.
Chapter 2 The Red River Delta Transport Development
Program
The target area, the Red River Delta area, is the political and cultural center of Vietnam.
Hanoi city plays an important role in the region’s socio–economic activities in terms of
purchasing power, capital, technology and labor force, especially trained labor force.
Nearly 100% of the Red River Delta’s population is of the Kinh majority. The
administrative units of the Red River Delta area include 11 provinces: Ha Noi, Vinh
Phuc, Bac Ninh, Ha Tay, Hai Duong, Hai Phong, Hung Yen, Thai Binh, Ha Nam, Nam
Dinh, and Ninh Binh.
The Red River Delta area is the most populated with 17,649,000 people in 2003, of
which nearly 80% are in rural areas. While construction industry accounted for 44% of
the regional GRP, and services accounted for 45% of the regional GRP, agriculture
accounted for just 11%. In fact, not only the Red River Delta area but also the whole
Vietnam is faced with the issue of transforming an agricultural labor force to one for
other activities (industry, construction, services).
During the last decade, the Red River Delta area has been aggressive in attracting
foreign direct investment (FDI) and official development assistance (ODA). The Red
Executive Summary
x
River Delta area is second after the South East region in terms of regional GDP, with its
share of the national GDP at 21% in 2003. Its regional economic growth rate is higher
than the average of Vietnam. It also has achieved remarkable results in the sphere of
poverty reduction.
The Japanese ODA projects under the Program in the Red River Delta mainly target the
three transport sub-sectors: road, railway and port and sea. The Japanese ODA projects
may be classified into three categories according to their purposes and scopes: (i) direct
assistance in physical infrastructure development, (ii) human resource development,
and (iii) intellectual support for sector development policy formation. The Japanese
ODA projects for the three sectors have a combination of these three types of
assistance.
Regarding the road sub-sector, major national highways such as NH No.1, NH No.5,
NH No.10, and NH No.18 are all targets for Japanese ODA projects under the Program.
The number of Japanese ODA projects under the Program totals 16 projects (nine Yen
loan projects, two grant aid projects, one technical cooperation project and four
development studies) (see Table 2-3).
Regarding the railway sub-sector, the Hanoi-Ho Chi Minh City (HCMC) line is a target
for the Program. The number of Japanese ODA projects under the Program totals two
projects (one Yen loan project and one development study). (see Table 2-4).
Regarding the port and sea sub-sector, two major ports in the northern part of Vietnam,
Hai Phong Port and Cai Lan Port are targets for the Program. The number of Japanese
ODA projects under the Program totals six projects (three Yen loan projects, one
technical cooperation project, and two development studies). (see Table 2-5).
Regarding the inland waterway sub-sector, there is only one development study (see
Table 2-6).
The location of Japanese ODA projects under the Program is provided in Figure 2-5.
Chapter 3 Results of the Evaluation
3-1 Relevance of Purpose
3-1-1 Consistency with Japanese Prior Policies
In this section the relevance of the purpose was examined. The approach adopted was
(i) to analyze the purpose of the Red River Delta Transport Development Program
including the ideas and direction of the Program; then (ii) to examine the consistency
between the basic philosophy, principles, priorities, and measures of the Japanese prior
policies and the purpose, ideas, and direction of the Program. The Japanese prior
policies to be examined were the ODA Charter 1992 and 2003, the Medium-Term
Policy 1999 and 2005, the Country Aid Principles to Vietnam 1994-1999 and the Japan’s
Country Assistance Program for Vietnam 2000 and 2004. As a result, a general
Vietnam-Japan Joint Program Evaluation
xi
consistency was confirmed on the following major points:
(1) The Program is for infrastructure improvement which is regarded as the
prerequisite for socio-economic development and a very effective measure for both
sustainable economic growth and poverty reduction;
(2) The Program constructed infrastructure which stimulates both domestic and
international economic activities and leads to an increase in foreign direct
investment. In this way, the Program’s aims include the promotion of the
transition to and the expansion of a market-oriented economy;
(3) The Program fully mobilized Japan’s different ODA schemes in the planning and
implementation process, and this combination contributed to a maximization of
the general effects of aid and to cost saving;
(4) The Program emphasized human resource development, which was a major
component of “human security” at various stages of the planning and
implementation process;
(5) The Program was carried out in Vietnam, which is a country located in the priority
region for Japanese ODA;
(6) The Program utilized Japan’s experience and expertise, especially that of the
Japanese private sector;
(7) The Program maintained a very positive position regarding international
cooperation and collaboration and a greater rationality and efficiency prevailed in
the course of socio-economic development;
(8) The Program respected and encouraged the initiative of the Vietnamese authorities
concerned and this reflected the core position of Japan’s ODA policy in supporting
self-help endeavors.
3-1-2 Consistency with Vietnamese Needs
Secondly, consistency with the needs of Vietnam was examined, these being
represented by the Ten-Year Socio Economic Development Strategy 1991-2000 and
2001-2010, the Five-Year Socio-Economic Development Plans (Fifth: 1991-1995) (Sixth:
1996-2000) (Seventh: 2001-2005), the Comprehensive Poverty Reduction and Growth
Strategy (CPRGS), and the Vietnam Transport Development Strategy by 2020. As a
result, the consistency was confirmed on the following major points:
(1) Since one of the original ideas of the Program was to construct infrastructure
which stimulates physical distribution and other socio-economic activities, thus
reducing poverty and increasing general income and social welfare in rural areas,
it is compatible with the overall goal of the ten year strategy (1991-2000).
(2) In this sense also, the ideas of and the identified priority projects in the Program
are consistent with the contents of the “Strategic Directions for Transportation
Executive Summary
xii
Infrastructure Development” of the ten year strategy (2001-2010).
(3) The Program is also consistent with the basic logical framework of the three five
year plans. The immediate purposes and contents of the priority projects in the
program are identical to the strategic directions of the three five year plans. Thus,
the overall consistent relationships are observed.
(4) The basic purposes of CPRGS are harmony between sustainable growth and the
attainment of poverty reduction and social equity. The CPRGS clearly states in
Part IV that large scale infrastructure development plays an important role,
through its spillover effects, by helping to create more resources for implementing
development goals, accelerating growth and eradicating poverty. Therefore, the
Program has significant consistency with CPRGS.
(5) The overall goal of the Vietnam Transport Development Strategy is expressed as to
meet the rapidly growing and diversified transport needs at the same time as
strengthening the quantity and quality of transport infrastructure. The Program
was designed to develop a well balanced infrastructure in the general transport
sector on the surface, covering road, railway, sea and river (inland waterway).
Since the overall goals and the strategic directions of the strategy are the same as
the purposes and contents of the priority projects identified in the Program, it is
clear that there is continuity and consistency between this strategy and the
Program.
3-1-3 Advantages in Implementation of the Program by Japanese
Initiatives
Thirdly, the advantages of the implementation of the Program by Japanese initiatives is
examined focusing on three aspects of advantage such as (i) the advantage of Japan as
a country, (ii) the advantage of Japanese companies; and (iii) the advantage of the
capability of Japanese professionals. This survey was conducted through
questionnaires and interview surveys by Japanese engineering consultants and
contractors as well as Vietnamese counterpart ministries and agencies and local
sub-contractors involved in the Japanese ODA projects under the Program. The major
views expressed by the respondents can be summarized as follows:
(1) Japan has an advanced technology and abundant experience in development
projects throughout the world;
(2) Japan has a good ODA system with a strong economy and is able to provide large
funds for development projects;
(3) Japanese ODA is timely and responds directly to local needs;
(4) Japanese companies and professionals are enthusiastic in technical transfer of
advanced technology to local counterparts;
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