NATIONAL TARGET PROGRAM TO RESPOND TO CLIMATE CHANGE REVIEW AND DOCUMENTATION OF CLIMATE CHANGE ADAPTATION PILOTS IN QUANG NAM AND BEN TRE PROVINCES

Transcription

1 NATIONAL TARGET PROGRAM TO RESPOND TO CLIMATE CHANGE REVIEW AND DOCUMENTATION OF CLIMATE CHANGE ADAPTATION PILOTS IN QUANG NAM AND BEN TRE PROVINCES June 10, 2013

2 REVIEW AND DOCUMENTATION OF CLIMATE CHANGE ADAPTATION PILOTS IN QUANG NAM AND BEN TRE PROVINCES FINAL REPORT June 10, 2013 Consultants: Bryn Tucknott Pham Quang Trung Dang Thi Thu Huong Alasdair Sim Page 2

3 EXECUTIVE SUMMARY Over the last 50 years, Vietnam has recorded an average temperature rise between 0.5 and 0.7 o C and an average sea level rise of 20cm 1, whilst rainfall and severe storms have fluctuated unpredictably. In December 2008, in order to adapt to these and other climate change (CC) phenomena, the Government of Vietnam launched the National Target Program to Respond to Climate Change (NTP-RCC), which will run until The objective of the program is to support greater sustainability in economic and social development and poverty alleviation in Vietnam by increasing the capacity of the country to adapt to CC and increase mitigation efforts. As its first donor, the Government of Denmark pledged to support the NTP-RCC from 2009 to Danish assistance focuses on supporting climate change adaptation (CCA) policy, planning and piloting adaptation measures at community level, through working with two provinces that are highly vulnerable to climate change, namely Ben Tre and Quang Nam. Both provinces are coastal, low-lying and home to large flood plain and river delta systems. To date, DANIDA have funded 19 pilot adaptation projects in the two provinces to help deal with the effects of climate change and support the people most vulnerable to it. In April this year (2013) DANIDA contracted a Pilot Review and Documentation (PRD) team to document each of these pilots and review the overall program. The purpose of the review was to study and analyze several aspects of the pilot projects, including: The selection process and how pilot choices were made and justified, The effectiveness and the efficiency of the projects, Replication potential and sustainability of the interventions, The documentation that is being used to share and manage the project. The review team was then tasked to provide recommendations to enhance and improve specific aspects of the program. Key findings of the PRD mission concluded that: On the whole, the projects used the right development approaches with the right target groups, at the right time, and were consistent and coherent with national government strategies and policies. The selection, planning, implementation and monitoring processes were carried out with strong participation of beneficiaries. The level of decentralization varied greatly between the two provinces, leading to differences in the capacity built and CC awareness achieved for local officers and people. Heavy reliance on outsourced consultancies in Ben Tre needs to be reviewed with care as it brings about both positive results (rapid and professional implementation), and negative (lower capacity building and awareness for local government officers). Project documentation was quite weak overall, as was the verbal explanation of project choices and expected impact. However, the reality of the projects showed that they are, in fact, well targeted and in-line with expectations and guidelines. Further development of PR and sharing documentation is required. Where projects fitted into larger climate change strategies, action plans or visions their impact, effectiveness and sustainability were greatly enhanced. 1 Ministry of Natural Resources and Environment (2009), Climate change, sea level rise scenarios in Vietnam, Ha Noi, June. URL: Page 3

4 TABLE OF CONTENT EXECUTIVE SUMMARY... 3 ABBREVIATIONS... 5 INTRODUCTION... 6 BACKGROUND... 6 OBJECTIVES OF THE PRD... 7 PILOT PROJECTS AND LOCATIONS... 8 Quang Nam Province... 8 Ben Tre Province... 9 KEY FINDINGS...10 KEY FINDINGS IN BEN TRE PROVINCE...11 Pilot Project Selection and Implementation Process...11 Relevance...12 Effectiveness and Efficiency...13 Impact...15 Sustainability and Replication...16 KEY FINDINGS IN QUANG NAM PROVINCE...18 Pilot Project Selection and Implementation Process...18 Relevance...19 Effectiveness and Efficiency...20 Impact...22 Sustainability and Replication...23 CONCLUSIONS AND LESSONS LEARNT...24 Planning...24 Implementation...24 Impact...24 Documentation and Sharing...25 RECOMMENDATIONS...26 ANNEX...28 Annex 1: Objectives and Scope of PRD...28 Annex 2: Methodology...29 Annex 3: List of Resource People Interviewed...31 Page 4

5 ABBREVIATIONS CC - Climate Change CCA - Climate Change Adaptation CCO - Provincial Office for Climate Change Adaptation CRS - Catholic Relief Services DANIDA - Danish International Development Agency DMHCC - Department of Meteorology, Hydrology and Climate Change DONRE - Department of Natural Resources and Environment DPC - District People s Committee FGD - Focus Group Discussion MOF - Ministry of Finance MONRE - Ministry of Natural Resources and Environment MPI - Ministry of Planning and Investment NTP - National Target Program NTP-RCC - National Target Program to Respond to Climate Change O&M - Operation and Maintenance OFID - OPEC Fund for International Development P135 - National Target Program for Socio-economic Development of Communes Facing Extreme Difficulties in Ethnic Minority and Mountainous Areas P30A - National Target Program for the Rapid and Sustainable Poverty Reduction for 61 Poorest Districts PCERWAS - Provincial Center for Rural Water Supply and Sanitation PPC - Provincial People s Committee PRA - Participatory Rural Appraisal PRD - Pilot Review and Documentation (mission) PSC Provincial Steering Committee SEDP - Socio-Economic Development Plan SO - Standing Office VND - Vietnam Dong (Vietnamese currency) WB - World Bank Page 5

6 INTRODUCTION BACKGROUND Over the last 50 years, Vietnam has recorded an average temperature rise between 0.5 and 0.7 o C and an average sea level rise of 20cm 2, whilst rainfall and severe storms have fluctuated unpredictably. In December 2008, in order to adapt to these and other climate change (CC) phenomena, the Government of Vietnam launched the National Target Program to Respond to Climate Change (NTP-RCC), which will run until The objective of the program is to support greater sustainability in economic and social development and poverty alleviation in Vietnam by increasing the capacity of the country to adapt to CC and increase mitigation efforts. As its first donor, the Government of Denmark pledged to support the NTP-RCC from 2009 to Danish assistance focuses on supporting CCA policy, planning and piloting adaptation measures at community level, through working with two provinces that are highly vulnerable to climate change, namely Ben Tre and Quang Nam. Both provinces are coastal, low-lying and home to large flood plain and river delta systems. Quang Nam has 125km of shoreline and 6 coastal districts that are highly vulnerable to climate change. The most notable change is an increase in the frequency and intensity of storms and floods 3 that the province experiences with regularity in the wet-season; from 1997 to 2009, 589 people were killed, 33 people were reported missing and billion VND was lost due to severe storms, flooding, and erosion 4. Meanwhile, the dry-season gets longer and hotter with lower rainfall that has caused longer drought periods. From 1950 to 2010, out of eight years that witnessed the most devastating droughts in the summer-autumn rice crop, six have occurred since In addition, lower rainfall in combination with sea-level rise has led to saline intrusion, which now can reach as far as the non-coastal district of Que Son. Both drought and saline intrusion deprive many paddy fields and orchards in all districts of this agricultural province of their much-needed irrigation water and the local inhabitants of fresh water for daily use. For example, in 2010, during the summer-autumn rice crop, more than 10,000ha of arable land did not have enough irrigation water and 5,000 people lacked sufficient freshwater for daily use 6. In addition, as the province is home to one of Vietnam s largest fishing fleets with an estimated 10,000 fishermen employed in this industry, increasing unpredictability, frequency and severity of storms are making the industry, and those who work in it, increasingly vulnerable to CC impacts. Meanwhile, in Ben Tre, the provincial hydro-met station has monitored a significant rise of 25cm in sea level and drops in fresh river outflows 7. At the time of this PRD, salinity of 4% was recorded in the Co Chien river 45 52km in-land in all the four weeks 8 of April This 2 Ministry of Natural Resources and Environment (2009), Climate change, sea level rise scenarios in Vietnam, Ha Noi, June. URL: (accessed 16 May, 2013) 3 Institute of Geography (2011), Proposal of solutions to prevent and minimize the damage caused by flooding, inundation and droughts in Quang Nam (in Vietnamese). URL: ftp://ecoenvi.org/domains/ecoenvi.org/public_html/data/sub-project%20reports/chuyen_de_15.pdf (accessed 23 May, 2013) 4 Ibid. page Ibid. page Ibid. page Information presented by Mr. Nguyen Van Hanh, head of Ben Tre hydro-met station at the debriefing meeting on 26 April, Salinity summary in April 2013 posted on the website of (in Vietnamese). URL: Page 6

7 is already significantly higher levels of saline intrusion than the province CC scenarios had predicted; an expectation for salinity of 4% up-river to have reached 40km in-land 9 in It can be said that climate change has put Ben Tre in a paradox. It is a province surrounded by water yet its inhabitants do not have enough freshwater to sustain agriculture and human consumption. The river delta can, in fact, be considered a battle front; where freshwater from the river pushes back the saltwater from the sea, when there are high volumes of outflow, but is itself pushed back up river by rising sea levels and tides when freshwater volumes are low. Taken over the course of a year, the line between freshwater and saline will move inland in the dry-season and retreat back out towards the river mouth and sea in the wet-season. However, taken as a trend, measured over several years, the inland encroachment is increasing at a rapid rate. In addition, the sea level rise is reducing the integrity of river banks and saline intrusion over these banks is now critical. The impact on local inhabitants is significant; there is less fresh water for drinking and daily use, traditional agriculture practices are becoming un-viable, there is a lack of freshwater for livestock and fish. In short, lives and livelihoods of residents are suffering from this losing battle with saline intrusion. As a response to these CC vulnerabilities, the two provinces developed five-year frameworks for CCA with a list of associated priority activities. It covers a wide range of sectors and includes pilot projects which target the most important CC issues such as water resource management, livelihood diversification and disaster risk management. Activities to strengthen water resources include irrigation improvements, construction of pump stations and antisalinity dams. Activities for livelihood diversification include adaptive agriculture practices and support for development of non-agriculture based livelihood alternatives. Activities for disaster risk management consist of multi-function shelters, protective dykes, stabilization of river embankments, road improvements and protective coastal afforestation. In Quang Nam and Ben Tre, the provincial Steering Committees (PSC) of the NTP-RCC, chaired by the Vice Chairmen of the Provincial People Committee (PPC), has the responsibility for directing and supervising program activities. At the executive level, the provincial office for climate change adaptation (CCO) is located in the Department of Natural Resources and Environment (DONRE) and responsible for the implementation of the overall CC program. Since 2009, through this provincial management system, DANIDA has funded 19 CCA pilot projects under the five-year frameworks in these two provinces. OBJECTIVES OF THE PRD The general objective of the mission is to assess DANIDA-funded CCA pilot projects with a view to increasing the NTP-RCC s effectiveness and to document the rationale, impact to date, sustainability and replication potential as well as lessons learnt and recommendations for the pilots for further sharing and replication, particularly for the design and implementation of other such pilot projects under the program. For full details of the scope of the mission see Annex (accessed May 24, 2013) 9 Information provided by Mr. Cao Van Trong, Vice chairman of Ben Tre s PPC at the meeting on April 22, Page 7

8 PILOT PROJECTS AND LOCATIONS Quang Nam Province The field visits were undertaken in Quang Nam province from 12 to 18 April, Color code Pilot projects Pilot projects selected by DANIDA for in-depth review. Field visits and on-site data collection include meetings, interviews and discussions with officials, as well FGDs and in-depth interviews with beneficiaries. Field visits and on-site data collection include meetings, interviews and discussions with officials, ad-hoc meetings with beneficiaries. 1-Road improvement (Apr 17) 3b-Storm shelter (Apr 17) 4-River embankment (Apr 16) 5-Irrigation and road improvement (Apr 16) 3a-Storm shelter (Apr 16) 7-Infrastructure for residential settlement (Apr 17) 6-Irrigation canals (Apr 16) 8-Road improvement (Apr 16) 9-Improvement of irrigation canals (Apr 18) 2-Embankment and forest plantation (Apr 15) Project Location Project status 1-Road improvement Dai Hiep, Dai Loc district Complete 2-Embankment and forest plantation Tam Quang, Nui Thanh district Complete 3a-Health clinic and storm shelters Binh Dao, Thang Binh district Complete 3b- Health clinic and storm shelters Dien Phuoc, Dien Ban district Complete 4-River embankment in Tra Nhieu Duy Vinh, Duy Xuyen district Complete 5-Irrigation and road improvement Que Xuan 1, Que Son district Complete 6-Irrigation canals Que Phong, Que Son district Complete 7-Infrastructure for residential Que Lam, Nong Son district 95% complete resettlement area 8-Road improvement Tam Thanh, Tam Ky city Complete 9-Improvement of irrigation canal Tien Canh, Tien Phuoc district Complete Page 8

9 Ben Tre Province The field visits were undertaken in Ben Tre province from 22 to 26 April, a-Water tank (Apr 23) 11-Water supply plant (Apr 23) 16b-Mangrove forestation (Apr 24) 19a-Storm shelter (Apr 24) 10-Local dam (Apr 24) 12b-Farming system (Apr 24) 17-Upgrade dyke (Apr 25) 19c-Storm shelter (Apr 23) 15-Water treatment facility (Apr 23) 18-Upgrade dyke (Apr 25) 16a-Mangrove forestation (Apr 23) 12a-Farming system (Apr 23) 12c-Farming system (Apr 25) 16c-Mangrove forestation (Apr 25) 13-Water supply plant (Apr 25) 14b-Water tank (Apr 25) 19b-Storm shelter (Apr 25) Project Location Project Status 10-Local dam to prevent saline Thanh Tri, Binh Dai district Complete intrusion 11-Water supply plant Binh Thanh, Giong Trom district Complete 12-Farming system adapting to Ba Tri, Binh Dai and Thanh Phu districts On going climate change 13-Upgrade and increase Thanh Phu township Complete capacity of water supply plant 14-Water tank distribution to Giong Trom and Thanh Phu district Complete coastal households 15-Water treatment facility for Bao Thanh, Ba Tri district Complete coastal communities 16-Mangrove reforestation Ba Tri, Binh Dai and Thanh Phu districts Complete 17-Upgrade Vam Tan Huong Minh Duc, Mo Cay Nam district Complete dyke 18-Upgrade Cai Ban dyke Phu Khanh, Thanh Phu district Complete 19-Storm shelters Thanh Phu, Binh Dai, Ba Tri districts 95% complete Page 9

10 KEY FINDINGS Upon reviewing project documents, conducting field visits and on-site data collection, the PRD has found that Quang Nam and Ben Tre face different CC impacts, adopt different approaches towards the DANIDA-funded pilots, and pilot different models. Ben Tre is facing wide scale challenges with saline intrusion and is also become increasingly concerned about the irregularity of storm events, whereas the key CC challenges in Quang Nam are the increases in the frequency and intensity of storms and floods, as well as longer drought periods. The management and implementation of the DANIDA pilot projects also have significant variations between the provinces; Ben Tre has chosen a centralized, fast and efficient route to implementation and oversight, with the CCO being the office that holds the funding and contracts consultants to lead in almost every part of the project, from selection to implementation and appraisal of the constructions. In Ben Tre, the districts mainly play the role of beneficiaries. Meanwhile, Quang Nam has followed a more cautious and decentralized approach that has gradually built up the CCO s internal capacity and the districts competence in selection, planning and accountability in implementation, and in this case, the districts are primarily the implementing agents. Due to the significant differences in CCA focus and project management approaches, the PRD decided to present the key findings in separate sub-sections for the two provinces, while keeping to the same structure. That being said, there are several useful comparisons to be drawn between the provinces, these will be developed within combined conclusions and recommendations sections, which will demonstrate the comparative analysis of the 2 project provinces. Case studies from individual pilot projects will be used to highlight key issues throughout this section. Page 10

11 KEY FINDINGS IN BEN TRE PROVINCE Pilot Project Selection and Implementation Process From the PDR meetings at the provincial level, we obtained a good understanding of the selection and implementation process for the pilot projects in Ben Tre, which can be described as follows: Project Selection Project Design Project Funding Project Implementing Project Sustaining Selection Criteria: CCO providing Districts and PPC s departments with selection criteria, which are based on several policies and guidelines (NTP strategies/guidelines, DANIDA criteria, National decision 1719) Local Engagement: Districts and PPC s departments consulting with local s and residents on CC effects and selection criteria to identify key challenges and prioritized actions. Priority List: Districts and PPC s departments developing their priority lists and submitting them to CCO. Feasibility Assessment: CCO contracting with consultants to survey and assess the priority lists in potential pilot sites. Final Selection: CCO developing the final project list based on the priority lists and consultant's recommendations, then submitting to PSC for approval. Draft Design: CCO contracting with consultants to develop draft design for each pilot project, both technical and financial. Procurement Plan: CCO collecting all project designs, developing the procurement plans and submitting them to PPC for approval. Approval of Procurement Plan: PPC reviewing and approving the procurement plans. Fund Release: Embassy of Denmark releasing the funding to the government, which is managed by MOF and MPI. Fund Transfer: Government transferring the funding to PPC. Then based on the level of urgency of projects, PPC allocating the funding to CCO, related departments or districts for implementation. Fund Management: CCO, related departments or districts being accountable for management of project budgets.. Bidding: CCO contracting with consultants to develop TORs and calling for bidding documents, both technical and financial. With technical support from consultants, CCO reviewing bidding documents and short-listing contractors. Final Selection: CCO selecting final contractors and proceeding with contract procedures. Project Implementation: Contractors signing the commitment for full implementation of projects, and starting the implementation/ construction. CCO, related department or district advancing part of the payment in line with the contracts. Supervision: CCO, related departments, districts and the local communities (including officials and residents) supervising the progress and quality of the projects. Appraisal and Handover: CCO and consultants appraising the projects and handing them over to s for operation. O&M: CCO, related departments or districts developing O&M plans for the projects, and sending to s for implementation. Evaluation: Embassy of Denmark having consultants to undertake independent evaluations of projects. Page 11

12 It can be seen from the selection and implementation process that: The selection and implementation process has been centralized at the provincial levels (CCO, PSC and PPC); There has been a high level of dependency on consultants; Districts mainly play the role of beneficiaries. Relevance Following the document review the PRD mission had some concerns about the rationale used to select some of the project pilots; several English fact sheets were unclear or missed the key issues completely and the Vietnamese project documentation lacked clear analysis of CC problems and related solutions. However, during site visits and interviews with key informants, the justification of pilot selections became much more coherent and the team found that most pilots had a very strong rationale and justification for the choices made; with all projects targeting adaptation to the main CC challenges faced by the province saline intrusion in regards to agricultural production and also a lack of fresh drinking water, as well as, to a lesser extent, an increase in storms and floods. A lack of key indicators, that demonstrate the CC issues, was a particular weakness in existing, documented project rationale. During interviews with the Ben Tre PSC and the provincial hydro-met office it became clear that the province does, in fact, have a great deal to draw upon for providing problem analysis in CC; there are regular measurements of salinity, temperature, rainfall and sea level changes by the hydro-met station, as well as CC scenarios that have been developed (based on data gathered to date and long term predictions) that cover all 10-year periods from 2020 to These have uncovered some extremely daunting and motivating statistics; An average rise, to date, of 25cm in sea level during period, whilst significant drops in fresh river outflows 10 A salinity level of 4%, recorded in the Co Chien river 45 52km in-land in all the four weeks 11 of April These two recordings alone place Ben Tre in a position that their current CC scenarios had not predicted until much later; having had an expectation for salinity of 4% up-river to have only reached 40km in-land 12 in Whilst these environmental indicators were well understood at the highest provincial levels, there seemed to be little awareness of these at levels below the PSC. In addition to the big picture indicators there was also a lack of related impact data that could have been used to support selection analysis and related project choices. For example, there was a lack of information when it came to the health statistics that should have been used to justify the projects focusing on freshwater access, like the water tank, water treatment and water supply pilots. The same is true for the storm shelters, where simple indicators such as the number of people directly affected by floods and storms should have been presented. Many of the projects also fit within the plans for larger strategies for both irrigation and freshwater supply. By documenting where the pilots fit and how they are able to contribute to 10 Information presented by Mr. Nguyen Van Hanh, head of Ben Tre hydro-met station at the debriefing meeting on 26 April, Salinity summary in April 2013 posted on the website of (in Vietnamese). URL: 85 (accessed 24 May, 2013) 12 Information provided by Mr. Cao Van Trong, Vice chairman of Ben Tre s PPC at the meeting on 22 April, Page 12

13 the large scale change aimed at by these plans, there would be a much stronger case for their justification. In summary, the PRD found that the pilot choices made in Ben Tre were: Highly relevant to the CC issues faced in the province 13 and to the NTP-RCC strategies and selection criteria 14 Often integral parts of much larger, well defined plans, On the whole, clearly justifiable and targeted to maximize impact. However, a great deal of on-the-ground investigation was required to come to this conclusion and more clearly developed and documented analysis would be of great value, particularly as the bigger picture is not well understood at district and levels (again likely due to the heavy reliance on consultants and less internal capacity building). Highlighted Case Study: Local Dam in Binh Dai district This project involved the construction of a small dam across one (of many) canals that interweave through the river delta in Binh Dai. It supports a much larger irrigation plan for the province; as such it is a key stage in the creation of a freshwater capture zone that links with a large network of dams and dykes, many of which are already in place, as well as a large agriculture diversification and adaptation strategy. However, this is not mentioned in the project documentation and only became apparent after many hours of in-depth interview with district officials. Even then it was described by one official as just a vision I have in my head and not written down. The dam itself has a great deal of relevance to CCA but the related rationale is lost when there is no documented analysis of the context and bigger picture, and the plans are not shared with or understood well by all stakeholders. Effectiveness and Efficiency Ben Tre managed to begin planning and implementing its pilot projects relatively rapidly. To a large extent this was due to strong high-level management and an equally strong reliance on external consultants, who were well qualified to take on many of the technical roles needed to manage the project. This project management approach was efficient and allowed Ben Tre to move ahead very quickly in 2009, ensuring funding and dispersal efficiency for DANIDA and positive impact to be felt sooner. However, it did have negative consequences to the effectiveness of the program. This is most evident from the apparent lack of understanding on the project selection priorities, CC awareness and project information at all levels below the provincial. This was perhaps down to the high dependency on consultants which reduced or ignored internal capacity building and institutional knowledge at and district levels. There were some difficulties encountered in Ben Tre that affected how efficiently the projects were managed and implemented. There were funding delays that came from national level (National Assembly) in In addition to this, there was also a lack of clarity given to the province in terms of how much funding was available, how much would be disbursed in the annual budget and how that figure was set. This has impacted on the implementation strategy and forced the province to slow down or cutback activities. 13 They were highlighted in the provincial CCA Action Frameworks in 2009 and 2011 and the provincial Scheme for Adapting to CC and sea-level rise during and the Orientation for 2020 (released in September 2011). 14 As described in the National Decision 1719, which can be seen here: (accessed 29 May, 2013) Page 13

14 With the majority of projects being directly managed and implemented by the CCO at provincial level we, once again, have a positive effect on efficiency but a negative impact on effectiveness in regards to CC awareness, capacity building and any aspiration for the promotion of decentralized project management. Ben Tre has large scale strategies in place for both irrigation and freshwater supply, as noted earlier; they are both highly relevant to CCA. With many of the DANIDA pilots supplementing these program strategies, the effectiveness of the pilots is amplified and seed funding from DANIDA has enabled momentum in the big programs and leveraged additional fund resources. To create greater efficiencies in planning for CCA, and improve effectiveness in implementation, a more explicit broad strategy, that encompasses these irrigation and water supply programs, under a well documented climate change strategy, would be highly valuable. This combined with a stronger rational, would give a clear direction to the province and districts and could attract a great deal of additional funding. Highlighted Case Study: Increased Pipe Connection Network for water supply plant in Thanh Phu district This project enabled 500 households (more than 2000 residents) of Thanh Phu township to have better adaptive capacity and resilience against saline intrusion and longer drought periods. The DANIDA fund was used to add value to an existing ADB water supply plant project that was running under full potential and had the capacity to supply an additional 500 households but lacked the funds to implement. This funding has had a broad impact on a critical CCA issue at minimal costs. Opportunistic funding of this nature has a great deal of potential in the province, where large scale projects are being developed and small funding gaps are often overlooked. The effectiveness and efficiency of pilot interventions have resulted in integration of CC responses into policy and SEPDs of Ben Tre, which has been noted during our review of provincial SEPDs and interviews with the PSC and CCO. For instance, in the report on the Review of SEPD implementation in 2011 and the Tasks and Solutions for and in the report on the Review of SEPD implementations in the first nine months and the remaining Tasks and Solution for the last three months of , there were separate sections on the NTP-RCC which clearly mentioned the pilot projects and their implementation status. Overall the implementation of the pilot projects was very good. There was a high level of local participation in the construction and monitoring of the projects themselves and this helped greatly in ensuring the quality of the project was high and that the local people Highlighted Case Study: Protective Coastal Afforestation in Ba Tri, Binh Dai and Thanh Phu districts Over 100 ha of protective costal forest and mangrove has been planted with a strong O&M strategy in place. This afforestation helps to protect the areas, the local people and their livelihoods from strong winds, flying sand, windblown sea water and coastal erosion. The project has a great community buy-in and participation aspect to it as it has been handed over to the local people and the community in. The local people are paid yearly for the upkeep of the afforestation projects - in Ba Tri district for example, some households are paid 120,000VND annually per hectare to maintain the plantation and this results in increased sustainability for the project as well as giving the local people valuable capacity building skills. It has allowed the households who participate in the maintenance of the project to diversify their livelihoods and also bring in another income in an area that has a high rate of poverty. 15 The report is available at: 16 The report is available at: Page 14

15 could build capacity and skills. Full operation and maintenance plans for many projects were awaiting formal handover to s, however, there were delays in these handovers due to final payments for construction contractors being also delayed. Once these O&M plans have been fully implemented, it is expected that efficiency and effectiveness will be enhanced as well as sustainability. There was a strong level of participation in pilots such as the Vam Tan Huong and Cai Ban dykes in Mo Cay Nam and Thanh Phu districts, water tank building in Giong Trom and Thanh Phu districts, water supply treatment plant in Giong Trom district, where local labor was used for the construction; this further enhanced capacity building, kept production costs low, provided an additional income source to poor s, and ensured that the local people played their role in a local project. In addition, free contributions of land and/or labor from the local communities were also apparent. Use of local labor, local oversight committees and in-kind contributions from the community have enhanced both efficiency and effectiveness and ensured higher quality outcomes from project implementation. Nevertheless, several pilots should have attempted to leverage additional fund sources to supplement the effectiveness of the basic infrastructure funded by DANIDA. There was little awareness of the potential for supplementary funding opportunities in some projects. This was evident in the storm shelter pilots; unlike the Multi-function Storm Shelter in Thang Binh district in Quang Nam which used the DANIDA money for building the shelter and then sourced other organizations such as Red Cross America and CRS to equip the building with rescue equipment and healthcare items. This kind of collaboration with different funding resources was not present in the storm shelters in Ben Tre. Impact Sector Number of Direct Notes Beneficiaries Agriculture / Livelihoods improvement BT10 - Local dam 4,000 Local residents of Hamlets 3 and 4, but also a stage of a much larger freshwater capture zone serving many more. BT12 - Farming adaptation 40 Around 40 households for pilot but roll-out potential for many thousands more BT17&18 - River dyke 17,000 Local residents of Minh Duc and Phu improvement Khanh s Sub-total 21,040 Clean water supply BT11 - Water treatment plant 2, households BT13 - Increased pipe 2, households connection BT14 - Water tanks BT15 - Water treatment facility 872 Sub-total 12,072 Risk reduction BT16 - Protective coastal afforestation BT19 - Storm shelters No exact data 6,400 1,448 households 1,500 For medium-term shelter but larger Page 15

16 Sub-total 1,500 TOTAL 34,612 short term capacity and medical service potential for many more With the strong reliance on external consultants and a largely centralized project management structure, there has been some lost opportunities to increase CC awareness, build capacity for CCA planning and project management, all of which would have enhanced the project impact. As noted, where pilots are used as key stages in larger plans, the numbers and impact on direct and indirect beneficiaries are greatly increased. It is unfortunately hard to extrapolate exact numbers in these cases, particularly when the overall plans do not contain this kind of data. However, Ben Tre should be congratulated for its big picture planning, and the pilot project impact should also be credited with adding seed funds, creating momentum and leveraging additional funding for these big vision programs. Sustainability and Replication The PRD mission was not a technical mission to assess infrastructure quality and construction techniques; as such it is difficult to comment on the expected usable life-spans of the pilot projects in terms of materials used, construction design and building techniques. Nevertheless, there were some clear indicators of sustainability and long term usefulness of many projects, with the overall results being somewhat mixed. The soft development projects of research, agriculture adaptation and protective forestry all demonstrate a long-term vision and their impact should be sustainable in the face of increasing climatic stresses. Whilst there is already evidence of self-replication (e.g. 1,000ha in Thanh Phu district) of several agriculture adaptation models developed by the pilot, additional resources may be required to ensure adequate roll-out and adoption. The models developed by Can Tho University have a high degree of relevance to many areas where saline intrusion will negatively affect agricultural production, therefore replication potentials are high, this is the case within Ben Tre Province, the Mekong delta as well as other regions in Vietnam and potentially elsewhere in Southeast Asia. The water supply treatment plant in Giong Trom district and protective coastal afforestation pilots have enhanced their sustainability through strong O&M strategies and, like the agriculture adaptation models, their replication potentials are also high. The sustainability of the water supply and irrigation (dam and dyke) pilots are greatly enhanced through inclusion in larger strategies that build towards a bigger goal. The experience gained in the management of these pilots and the techniques used to implement them is replicable both within these plans and in other projects. There were concerns for sustainability of two pilot projects, namely the three storm shelters and the two protective dykes. With the storm shelters the issue is the design; the shelters are single story buildings, therefore they will not be usable in the event of flooding and inundation. Even a centimeter of flood water above the floor line will render them unsuitable as a refuge for any length of time. In addition they also have corrugated metal roof sheets that may become a danger in the event of the high winds associated to severe coastal storms. Page 16

17 The protective dykes in Mo Cay Nam and Thanh Phu districts, whilst highly relevant to the needs of their associated communities, have been constructed from packed earth and clear signs of erosion from rainwater were evident by the time of the PRD, just months after completion. District officials in Mo Cay Nam estimate that the dyke will only have a useful lifeexpectancy of 5-7 years before it needs to be re-built. To ensure there is any long-term potential for this investment, additional funds should be considered in order to seal the embankments with concrete and construct a paved road on their surface. District officials are well aware of this need but simply lack the capital to implement. The current documentation of the pilot projects is weak and the PRD mission had difficulty in extracting relevant information on the projects. Fact-sheets and project documents were sometimes misleading and problem analysis was not well supported by key indicators. Overall the PDR was impressed by many aspects of the work, but attention needs to be paid if the positive results of the work are to have adequate impact, particularly if the province wishes to attract further funding for replication and scale-up. The areas for improvement are; in public relations, improved sharing documentation, other communication tools (power-point presentations, video and short publication) and a broader capacity building of government staff in CC awareness and the CCA planning at CCO, district and levels that is associated. Page 17

18 KEY FINDINGS IN QUANG NAM PROVINCE Pilot Project Selection and Implementation Process The PRD mission gathered information to have a good understanding of the selection and implementation process for projects in Quang Nam through meetings with provincial officials and, particularly the Vice-Chairman and CCO staff. The process can be described as follows: Project Selection Project Design Project Funding Project Implementing Project Sustaining Selection Criteria: CCO providing 10 districts and cities with selection criteria, which are based on several policies and guidelines (NTP strategies/guidelines, DANIDA criteria, National decision 1719) Local Engagement: PPC s departments, Districts and cities consulting with local s and residents on CC effects and selection criteria to identify key challenges and prioritized actions. Priority List: PPC s departments, districts and cities developing their priority lists and submitting them to CCO. Feasibility Assessment: PSC reviewing the priority lists submitted by districts and cities, comparing with selection criteria, and then selecting the most urgent priorities per district/city. CCO conducting further surveys and assessment in potential pilot sites in collaboration with related departments and agencies. Final Selection: CCO developing the final project list based on the priority lists and assessment results, having PSC, related departments, agencies and districts/cities to comment and then submitting to PSC for approval. Draft Design: Project owners (related departments, districts and cities) developing technical and financial proposals for each pilot project based on CC effects, the situation at the project site and the budget. Procurement Plan: Based on the proposals, the project owners developing procurement plans and submitting the proposals and procurement plans to PPC (for projects under PPC s departments or with funding not less than 10 billion VND) or DPC (for projects under DPC s divisions and with funding less than 10 billion VND) for approval. Approval of Procurement Plan: PPC or DPC approving the proposals and procurement plans. Fund Release: Embassy of Denmark releasing the funding to the government, which is managed by MOF and MPI. Fund Transfer: Government transferring the funding to PPC. Then based on the level of urgency of projects, PPC allocating the funding to related departments, agencies and DPCs with at least 35% up-front. Fund Management: Project owners being accountable for management of project budgets. Bidding: Project owners developing TORs and calling for bidding documents, both technical and financial, and reviewing bidding documents and short-listing contractors. Final Selection: Project owners selecting final contractors and proceeding with contract procedures. Project Implementation: Contractors signing the commitment for full implementation of projects, and starting the implementation/ construction. Project owners advancing part of the payment in line with the contracts. Supervision: CCO, related departments, project owners and the local communities (including officials and residents) supervising the progress and quality of the projects. Appraisal and Handover: Project owners and consultants appraising projects and handing them over to s for operation. O&M: Project owners developing O&M plans for projects and sending to s for implementation. Evaluation: Embassy of Denmark having consultants to undertake independent evaluations of projects. Page 18

19 It can be seen from the selection and implementation process above, that Quang Nam CCO has managed to decentralize to PPC s departments, districts and cities, which join in every stage of the process and act as implementing agents. Overall Quang Nam Province feels that the planning and implementation process of the pilot projects is now working well, despite significant delays in the first two years. The major reasons for these delays were noted, by the PSC, as being attributed to a lack of clear guidance and; no one to follow from their past experience with CCA and this kind of fund. The Province also said that, whilst they appreciate the funding mechanism coming through the State Budget, this did cause some early confusion with the various policies that covered both state funds as well as those from international aid. The province may need further clarity and guidance on the budget and funding process. Due to the lack of experience with CCA, Quang Nam differed from Ben Tre and opted for a more cautious approach. There was a great deal of focus placed in building internal capacity, ensuring project/financial compliance and decentralizing implementation. The outcome of which has, in fact, greatly enhanced the quality of the planning and management of the project, as well as developing innovative approaches to overcome challenges. At this point it is important to note that these are pilot projects, they come at the launch of the NTP-RCC, with DANIDA as one of its first donors. Therefore it should be expected that there will be inevitable challenges to overcome and processes to develop, in fact, highlighting these issues is the very purpose of a pilot. As such the pilot projects have done an outstanding job. Relevance During interviews, focus group discussions and site visits, the relevance of the projects to key CCA focus areas became very clear and there were strong justifications for the work that was carried out. The rational for many of the pilot choices was further enhanced by DANIDA funding for the development of district Climate Change Visions in 6 coastal districts and 2 mountainous districts in the Province. If these Visions were further developed into full strategies then the work done in Quang Nam could be considered as best-practice for other provinces to replicate. Whilst most of the pilots do have a good justification and relevance to climate change adaptation, this is not always clear from the documentation that we received. Where excellent justifications were undoubtedly evident in the field, these were seriously diluted by documentation that was unable to clearly express the background issues, analysis and expected impact. The pilot project in Duy Xuyen district provides a clear example of this; the original documentation provided a justification for the construction of an embankment and road as a landing site for boat-based ecotourism that will improve the sustainability of the tourism venture and enhance livelihood opportunities. However, when analyzing the real context, problem, and expected impact of the pilot, through a climate change focus, the project rational should have been: The embankment and associated road will secure the site from further erosion, creating livelihood security and diversification, and providing risk reduction by enabling; Residents to construct more secure shelters; Fishing boats to land their catches and dock without further damage to the bank; The construction of a paved road that can assist with both transport and evacuation; Greater protection to adjacent arable land; Page 19

20 The development of the Tra Nhieu eco-tourism village project by creating a safe landing site for tourist boats; Momentum, through seed funding, to launch the district CC vision and a project pilot to test approaches 17 Perhaps the problem can be best described as not expressing clearly enough the climate change links and getting side-lined by a more standard development/livelihoods/poverty reduction focus. We only found two of the projects that could be described as being at all weak in terms of their relevance to climate change adaptation. The first is the Road Improvement in Dai Loc, which was not sufficiently explained in terms of CCA and not sufficiently up-graded to climate-proof it as a rescue and evacuation road. This project was made additionally weak by poor construction and poor planning process where a proper system of drainage was not installed. The second is the Embankment and Forest plantation in Nui Thanh district. This is actually a well justified project if you look at it as a standalone pilot; it was designed as a measure to assist the lagoon (a shelter for fishing boats during storms), to reduce sediment build up and stop windblown sand from affecting the local village. This is a good justification for climate change adaptation, however, this rationale was weakened by the fact that the sediment, that is eroding to fill the lagoon, was taken from the dredging of the lagoon in the first place and then dumped at the current site. The pilot is actually fixing a problem that was caused by weak planning and a lack of a proper environmental impact assessment that came from a larger project. The PRD also found that there is a need to collect raw data to add to the justification of certain projects. There were many instances during the PRD research that uncovered valuable indicators that prove well the relevance of the project choices. However, there was often little or no systematic collection or monitoring of these indicators. Had this been done then the relevance of the actions would have been made much more obvious in the documentation. If the province is able to develop key CC indicators it will have a much stronger case to attract further CCA funding and replicate and scale-up its pilot projects. Highlighted Case Study: Irrigation Canals in Que Phong, Que Son district This pilot was founded on the need for water use efficiency in the face of increasing drought. The justifications of this project would be greatly enhanced if data that clearly indicates the changes in rainfall, temperature and ground-water levels was recorded accurately. Whilst anecdotal evidence clearly demonstrates there is an increasing challenge of freshwater availability (well depths and reservoir volumes) for agriculture in the, accurate monitoring of the situation has not taken place. Effectiveness and Efficiency In the face of several challenges in project funding, as noted earlier, the CCO office was still able to complete all construction projects. This was achieved by their insistence that all contractors, granted tenders to complete construction, would be paid only 30% up-front with the balance given after satisfactory completion and hand-over. This has avoided the potential 17 Extract from the PRD mission fact-sheets, April Page 20