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INDOCHINA RESEARCH AND CONSULTING JSC
TECHNICAL PROPOSAL
RFP-Technical assistance in the design and
implementation of BLS 2011 for Programme 135-II
09/2011
1
Contents
MANAGEMENT PLAN ..................................................................................................................... 3
SHORT DESCRIPTION ............................................................................................................... 5
COMPANY EMPLOYEES ............................................................................................................ 6
AREAS OF RESEARCH AND CONSULTING ........................................................................ 6
OUR MAIN CLIENTS ................................................................................................................... 7
COMPANY STRUCTURE ............................................................................................................ 8
Socio-Economic Surveys & Analysis Team ................................................................... 9
Impact evaluation of program and policies Team ................................................... 10
Development Research Team .......................................................................................... 11
COMPANY UNIT RESPONSIBLE FOR THE CONTRACT .......................................... 13
NOTABLE RESEARCH & CONSULTING SERVICES ........................................................ 14
1. Vietnam National Aging Survey (VNAS) 2011...................................................... 14
2. Irregular Fees and Unofficial Payments in Basic Education in Vietnam .......... 14
3. “Gender Equality and Access to Productive and Decent Work for Rural
Men and Women” ................................................................................................................. 15
4. The “Construction of a Competitiveness Index for Rural Business
Households” Phase I ............................................................................................................ 16
5. The “Construction of District Formality Index” Phase II ................................. 17
6. Development of P135-II Baseline survey and M&E System for
SEDEMA/P135-II, 2006-2011.......................................................................................... 17
7. Analysis of P135-II Baseline Survey - Report ....................................................... 18
8. Design the baseline survey and M& E system for Northern Mountain
Poverty Reduction Project (NMPRP-II) ........................................................................ 19
9. AusAID Implementation Support Programme (ISP) for Program 135
Phase II in Quang Ngai ........................................................................................................ 20
10. Mid-Term Review Institutional Assessment of Implementation Support
Program (ISP) of AusAID to Program 135-II in Quang Ngai ................................ 20
11. International Fund for Agriculture Development (IFAD) in Vietnam and
Laos PRD .................................................................................................................................. 21
RESOURCE PLAN............................................................................................................................ 23
P135-II Expert Team profile ................................................................................................. 24
2
METHODOLOGY ............................................................................................................................. 56
1. Survey Design ....................................................................................................................... 57
1.1 Overview .......................................................................................................................... 57
1.2 Sampling Design ........................................................................................................... 58
1.3 Questionnaire Design .................................................................................................. 61
1.4 Data Entry Design ........................................................................................................ 65
2. Survey Implementation and Management ................................................................ 65
2.1 Time management ....................................................................................................... 65
2.2 Questionnaire consultation workshop ................................................................ 66
2.3 Piloting and finalization of questionnaires ........................................................ 66
2.4 Recruit the interviewers and supervisors .......................................................... 66
2.5 Training of interviewers for data collection ....................................................... 67
2.6 Organization of Data collection .............................................................................. 67
2.7 Fieldwork Plan ............................................................................................................... 69
2.8 Quality Control .............................................................................................................. 69
2.9 Organization of Data Entry and Cleaning ........................................................... 70
2.10 Survey Documentation ............................................................................................ 70
3. Data analysis ......................................................................................................................... 71
3.1 Outline Report of the Survey .................................................................................... 72
4. Detail Work plan and Expected Output ...................................................................... 77
5. Cooperation and consultation mechanisms with all relevant stakeholders . 78
6. Management board and Logistic Arrangement ........................................................ 78
7. Recommendations on TOR ............................................................................................... 78
8. Alternatives to addressed cost and efficiency factors ............................................ 80
9. Personnel input ..................................................................................................................... 81
3
MANAGEMENT PLAN
4
INDOCHINA RESEARCH AND CONSULTING JSC
COMPANY PROFILE
5
SHORT DESCRIPTION
Full name: Indochina Research and Consulting, Joint Stock Company (IRC)
Address: Suite 1701, C’land Tower, Xa Dan 2 Street, Dong Da District, Hanoi
Establishment history:
03/03/2009: IRC established with investment capital of 600 million Vietnamese Dong.
10/06/2010: IRC Ltd. changed to a Joint Stock Company with investment
capital of 10 billion Vietnamese Dong.
Mission: IRC Vietnam strives to be one of the leading research and consultancy
institutions in the areas of legislative and social policy, poverty, vulnerability and social
protection, agriculture and rural development research, and impact evaluation.
Background: IRC Vietnam is an independent research and consultancy company
founded by professional researchers and consultants who have earned doctoral degrees
in Development Economics from established institutes in the UK, US, France, Japan,
Germany, Netherlands and Australia. The founders of IRC have collaborated in multiple
national poverty reduction and socio-economic development projects and research in
Vietnam and abroad.
Over the last 15 years, IRC members have held leadership roles in a large
number of national surveys and research projects in poverty and inequality, agriculture
and rural development, microfinance, labor market policy, inequality among ethnic
groups and ethnic minorities, and impact evaluation of national programs and policies.
We have extensive survey experience, having carried out large-scale national and
regional socio-economic surveys in Vietnam, including Vietnam Household Living
Standard Surveys and National Health Surveys. With these projects and surveys, our
members have accomplished significant research: a variety of papers have been
published in international peer-reviewed academic journals; others have been
disseminated under consultant reports and policy briefs; and many important results
have been presented in policy dialogues and conferences in Vietnam and abroad. Our
services are highly valued and have been praised by government agencies and
international clients.
Since its establishment, IRC has expanded rapidly in terms of manpower and fields
of research and consulting. With a team of versatile and inspired researchers and
consultants, we have become a highly-recognized and trusted research institute and
knowledge provider for numerous national institutions and international organizations.
While going the extra mile to provide world-class research and consultancy services to our
clients, we are also making significant contributions to poverty reduction and economic
development for our nation.
6
COMPANY EMPLOYEES
09 Research Fellows (Ph.D. holders from universities and research institutes in the
US, Europe, and Japan);
10 Research Officers (Masters and Bachelors from the US, Australia, Vietnam);
08 collaborators (Ph.D. and Masters degree holders in Vietnam and abroad; heads
of research institutes);
02 managers / administrators (01 Bachelors degree and 01 Masters degree);
05 international consultants: professors from foreign universities who have
expertise, extensive experience, and in-depth knowledge of various aspects of the
socio-economic development of Vietnam.
For more information, please refer to experts’ CVs.
AREAS OF RESEARCH AND CONSULTING
Our research and consulting services currently focus on four major areas:
Poverty, Inequality, and social welfare: we have extensive background in
studies of poverty reduction, inequality, poverty of the ethnic minority, urban poverty,
and vulnerability to poverty, migration, social welfare systems, and pension systems.
Socio-economic surveys: we have extensive experience in design, organization,
and implementation of national and regional socio-economic surveys, as well as analysis
of the datasets obtained from these surveys to provide relevant information for policy
makers, and to build socio-economic development programs and projects at local and
regional levels.
Project development and Impact evaluation consultancy services: we consult
in program and project design; design of monitoring and evaluation systems; and
impact evaluations of a wide variety of programs and projects.
Agriculture, Forestry and Rural development: we conduct research on
problems in economic mechanisms in rural areas, agriculture and forestry systems,
resource management in agriculture and forestry, value chain analysis that is attached
to the market, and infrastructure development in countryside and mountainous areas.
7
OUR MAIN CLIENTS
International clients
The World Bank (WB: http://www.worldbank.org/)
United Nations Development Programme (UNDP: http://www.undp.org/ )
United Nations Children’s Fund (UNICEF: http://www.unicef.org/)
Australian Agency for International Development
(AusAID: http://www.ausaid.gov.au/)
The International Fund for Agricultural Development (IFAD: http://www.ifad.org/)
Asian Development Bank (ADB: http://www.adb.org/)
Finland Embassy (Finland's Embassy: http://www.finland.org.vn/ )
The United Nations Population Fund (UNPFA: http://www.unfpa.org/)
International Labor Organization (ILO: http://www.ilo.org/)
Belgium Development Agency (BTC: http://www.btcctb.org)
Irish Agency for International Development (IrishAID: http://www.irishaid.gov.ie/)
Domestic clients
The State Committee for Ethnic Minority and Mountainous Area Affairs
(CEMA: http://cema.gov.vn/)
Ministry of Planning and Investment (MPI: http://www.mpi.gov.vn/)
Ministry of Labor, Invalids and Social Affairs (MOLISA: http://www.molisa.gov.vn/)
Ministry of Education and Training (MoET: http://moet.gov.vn/)
Institute of Policy and Strategy for Agriculture and Rural Development
(IPSARD: http://www.ipsard.gov.vn/)
Center for Analysis and Forecasting ( CAF: http://www.caf.org.vn/)
General Statistics Office (GSO: http://www.gso.gov.vn/)
Ministry of Health (MOH: http://www.moh.gov.vn/)
8
COMPANY STRUCTURE
IRC operates under three teams: Development Research; Socio-Economic Surveys
and Analysis; and Impact Evaluation of Programs and Policies. With a strong team of
researchers and specialists supervised by a strong management board, IRC is capable of
undertaking multiple research and survey projects at international and national scale. The
company structure is shown in the flow chart below.
IRC has a strong nationwide network and long-standing relationships with the
General Statistics Office (GSO) and Provincial Statistics Offices (PSO) throughout the
country. Our relationships with personnel at GSO and PSO are useful in gaining access to
additional experience in terms of field trip practice and sample and questionnaire
design. For example, our close cooperation with GSO enabled us to carry out high-
quality large-scale surveys related to the Program 135 Baseline Survey, the Northern
Mountain Poverty Reduction Program Phase II, and the Vietnam National Aging Survey
of 2010. For socio-economic projects implemented in certain provinces such as “Gender
equality and access to productive and decent work for rural men and women,”
“Provincial Formality Index,” and so on, IRC has collaborated with PSO throughout
Northern, Central, and Southern regions of Vietnam for survey implementation. The
local experience and in-depth understanding of social, economic, and cultural
characteristics of each province with administrative support provided by its respective
PSO is a great asset in facilitation of survey implementation and quality assurance of
database collection for IRC surveys.
Board of Managers
Board of Advisors Managing Officers
Human Resources Professional
Department
Development
Research
Socio-Economic
Surveys and
Analysis
Impact Evaluation of
Programs & Policies
9
Socio-Economic Surveys & Analysis Team
Sound research is based on good methodologies and high quality data. The data
collected from surveys, especially household surveys, plays a very important role in
applied research and policy formation. With extensive experience in survey design,
implementation, and data analysis, IRC brings about the most effective solutions for
large-scale surveys. Using new technologies and research approaches, we always aim at
minimizing data collection errors, especially non-sampling errors, to ensure data quality
and deliver reliable findings at minimum cost.
The Socio-economic Survey and Analysis Team consists of 10 members of whom
6 members are Ph.D. degree holders in the areas of applied economics, econometrics,
development economics and public policy from renowned foreign universities and
institutions of US, UK, Germany, Netherlands and Japan. Two members hold Masters
Degrees in econometrics from Australian National University and Vietnam National
Economic University. The other members hold Bachelor Degrees in economics from
universities in Vietnam and the US.
Survey design
With a professional design team and rich source of data, IRC delivers the most
comprehensive questionnaire, appropriately tailored to each interview, thus ensure
data reliability and minimal non-sampling error during the interview process. Extensive
survey sample design experience enables us to design ideal sampling methodologies
and thereby ensure the sample achieves the representation desired.
Data collection
Non-sampling error is the most serious problem in conducting surveys or
censuses in developing countries. It is extremely difficult to measure and control non-
sampling errors since they arise from human behavior and mainly occur during the data
collection process. IRC addresses the problem of non-sampling error by applying
appropriate quality control methods in the data collection stage. Our methods allow us
to control the behavior of the interviewer, hence the quality of the interview.
Substantial reduction of non-sampling error to ensure high-quality data has remained
our competitive advantage.
IRC also provides the most efficient sampling design with a constrained budget.
For each survey, IRC constructs a cost effective model that provides different options
based on the requirements and budget of the survey. With a given budget, the model
helps us to choose the most effective solution.
10
Data processing
Choosing the appropriate software for each survey helps minimize non-sampling
error during the data entry process. With the experience working on large-scale
national surveys in Vietnam, IT specialists in IRC Vietnam offer excellent data entry
programming using a variety of software tools, including CsPro, SPSS, Epinfor, Foxpro,
Visual Basic, VB.net, C#SAS and Access. We deliver the best option for data processing
with methods such as double data entries, error control programming, etc. IRC is
applying new tablet PC technologies in the data collection process. With tablet PC, non-
sampling error during data collection and data entry processes will be eliminated. The
new technology also shortens the time required for surveys by eliminating the need to
enter data first collected on paper questionnaires.
Data analysis
IRC Vietnam has well-known expertise in both qualitative and quantitative
analysis through application of software such as STATA, SPSS, SAS, Matlab and Nvivo.
Having a strong team with extensive experience in survey implementation and research,
we ensure that our results are highly reliable and meet the requirement of specific
research.
Impact evaluation of program and policies Team
IRC supports poverty reduction programs/projects by providing solutions for
Monitoring and Evaluation (M&E) and impact evaluation. Our experience proves that
while having an effective M&E system is essential to monitor the project progress,
outcomes, and impacts, M&E is largely an under-developed area in most development
projects. We provide solutions to design/operate/consolidate the M&E systems for
development projects. As part of our focus on M&E, IRC offers expertise in independent
evaluation to provide externally collected information for M&E systems of development
projects. Our impact evaluation services mainly involve baseline surveys, mid-term
reviews, and end-of-project evaluations.
The Impact Evaluation Team consists of 8 members, three of whom hold doctoral
degrees in applied economics, econometrics, and development economics from the UK
and Thailand. The other members hold either masters or bachelor degrees in economics
or sociology from Vietnam and abroad.
Monitoring and Evaluation
Monitoring and Evaluation (M&E) are important management tools for tracking
progress and supporting programs and projects. Monitoring enables organizations to
track results through regularly collecting information to timely support the decision
11
making procedures, ensure accountability, and lay the foundation for evaluating and
drawing lessons. Therefore, establishing a high-quality M&E system contributes
significantly to the success of a project.
Identifying the importance of M&E, IRC evaluation experts strive to build perfect
M&E systems. In addition to combining qualitative and quantitative methods, IRC
utilizes innovative methods including Most Significant Change, Story Book, Institutional
Linkage Diagrams, Seasonal Calendars, Systems (or Inputs-outputs) Diagrams, and
Scoring Matrices.
Impact Evaluation
The purpose of impact evaluation is to determine the suitability, level of success,
effectiveness, impacts on outcomes of interest, and sustainability of a program. Our
assessment process provides reliable and useful information for the decision making
process of both donors and beneficiaries. The methods we use are a combination of
quantitative and qualitative tools. Brainstorming, Focus Groups, Semi-structured
Interviews, Case Studies, Strengths, Weaknesses, Opportunities and Threats (SWOT),
Impact: How Diagram (Cause-Effect Diagram), Questionnaires and Surveys and so on
are among highly effective methods in assessing the impacts of a project that we have
applied.
Development Research Team
The Development Research team’s activities are categorized into 6 areas,
according to major focuses of developmental issues specifically catering to the
Vietnamese environment. Apart from the traditional focus on microeconomics, poverty
and vulnerability, agriculture and rural development, and labor market, the
Development Research team has ventured into other areas of socio–economic issues
relating to problems faced by developing countries, including Vietnam.
The Research Team includes 6 members four of whom hold doctoral degrees in
applied economics, econometrics, development economics and public policy from the
US, UK, Netherlands and Japan. The remaining two members hold master and bachelor
degrees in economics and econometrics from universities of Vietnam and the US.
Economics
The Development Research team focuses on microeconomic analysis in which
special attention is been paid to impacts of policies and programs catering to
households, enterprises and communities. The team also provides in-depth research on
social sectors and social issues such as education, health care, poverty among the
elderly, child poverty, migrants, etc.
12
At the macro level, we have provided economic analysis for government policies,
as well as economic reports for the government and international organizations. For
instance, in cooperation with the Ministry of Planning & Investment, we prepared the
Final Report for Vietnam Millennium Development Goals 2010.
Poverty and Vulnerability
IRC has done extensive research on urban poverty, poverty of the ethnic
minorities, and has identified disadvantaged groups that are most vulnerable to
poverty. Our publications and research papers act as vital assets for policy makers in
the national effort to reduce poverty. Poverty and vulnerability will continue to be the
dominant research area of the IRC team.
Agriculture & Rural Development
Agriculture and rural development plays a pivotal role in Vietnam’s national
economic development. Within only a couple of years, IRC has brought forth a wide
variety of research on the impact of the global food crisis on national agriculture and the
rural economy, agricultural policies, Vietnam’s rice market, food production and
consumption, and other agriculture-related issues.
Social issues
Apart from providing in-depth analysis in standard areas of development
economics, IRC extends its research to a broad range of social issues that directly link to
developmental problems. In collaboration with international organizations and
academic institutes, our researchers have developed analysis on the topics of internal
migrants, corruption, education, social pensions, etc.
Labor market
Low-skilled labor force, together with excess labor supply remains as a challenge
for sustainable long-term growth. In our study, we seek to understand the functioning
and dynamics analysis of Vietnam’s labor market. So far, IRC’s papers have addressed
major problems faced by the national labor market such as wage inequality,
employment and labor market in Central Vietnam, productivity and efficiency.
13
COMPANY UNIT RESPONSIBLE FOR THE CONTRACT
The IRC Survey Team is responsible for the contract. Dr. Phung Duc Tung, IRC
Research Fellow cum IRC Survey Team leader, will represent the consultant team in
interactions with clients including any future dealing with the procuring UNDP entity
for this project.
The IRC Survey Team will support the consultant team in pursuing the survey
project. In addition, policy and national targeted program experts from IRC in socio-
economic survey and Impact evaluation team will assist and advise the responsible
parties in conducting in-depth study. These advisors from IRC have extensive
experience in designing survey, M&E of national targeted programs as well as large
scale social programs, notably Program 135-II, national Targeted Program for poverty
reduction, second Northern Mountain Poverty Reduction Program, and so on.
14
NOTABLE RESEARCH & CONSULTING SERVICES
1. Vietnam National Aging Survey (VNAS) 2011
Client: Atlantic Philanthropies and Vietnam Women’s Union
Time: May 2011 - 2012
Overview: IRC in cooperation with Institute of Social and Medical Studies (ISMS)
is undertaking the first National Survey on Aging in Vietnam in the year 2011 - 2012
(VNAS). The general objective of VNAS 2011 is to collect nationally representative data
on the Vietnamese near-elderly and elderly population (aged 50 and above) so as to
provide a comprehensive dataset for in-depth and accurate analysis of demographic,
socio-economic and health condition of the elderly in Vietnam. The analysis also
includes a 3-percent sample of the 2009 Population and Housing Census; the Vietnam
(Household) Living Standards Surveys, as well as findings from other relevant studies.
The survey will be conducted in 12 provinces throughout Vietnam with total sample
size of 4000 individuals.
Main Tasks
Design survey tool, survey methodology and implementation process
Design questionnaire, sampling, develop assessment and survey tools;
piloting, training of enumerators, conducting field trip for data collection,
ensuring data quality as well as delivery of data through close monitoring
and supervision of the implementation process.
Develop a database for the survey data; manage the data entry and
cleaning processes.
Analyze data, write report, and disseminate results
Reference:
Pham Thi Huong Giang
Deputy Chief of Administration Department, Vietnam Women Union
Tel (84-4) 39723010, email: [email protected]
2. Irregular Fees and Unofficial Payments in Basic Education in Vietnam
Client: Ministry of Education and Training and Belgian Development Agency
Time: July 2011 – February 2012
15
Overview: This project aims to fill the information gap relating to the level and
forms of private contributions to Basic Education to help MoET: i) improve the
transparency and accountability of the socialization of education policy, ii) reconsider
ways to provide compensatory measures for the poor and iii) re-evaluate costs of
‘student basket’ at primary and lower secondary levels. One of the most important parts
of this project is to examining the level of corruption in basic education through
surveying both children’s families and school’s representatives.
Main task:
Undertake a series of sampling and survey design, field trip
implementation in 9 provinces throughout Vietnam (both urban/rural
areas). The sample covers about 1000 parents; 600 teachers and 400
principals from primary and lower secondary schools.
Organize and supervise quality control of data entry and data cleaning.
Carry out data analysis and report writings; present findings to support
MoET in implementing a more equitable, effective and sustainable
financial system for quality basic education services; improving
transparency and accountability relating to school fees and teachers
payments reducing cost barriers to disadvantaged households and for
designing a monitoring and evaluation framework of education
socialization.
Reference:
Elsa Duret (Ms.)
Budget Support Advisor, Education Sector
Belgian Development Agency
Tel (84-4) 37 28 05 71, email: [email protected]
3. “Gender Equality and Access to Productive and Decent Work for
Rural Men and Women”
Client: International Labour Organization (ILO) and Food and Agriculture
Organization (FAO)
Time: August – December 2011
Overview: The Research aims to provide an accurate up-to-date picture of the
rural employment situation in two selected provinces as well as policy relevance on
Gender equality for employment through identification of labor market challenges in
terms of labor supply and demand, assessment of labor access to productive and decent
employment opportunities particularly for female workers. Apart from promoting
economic empowerment of rural women as a whole, the research acts as an
16
instrumental asset to the implementations of the Government’s Gender Equality Law
adopted in 2006 and the 2011-2020 National Strategy for Gender Equality. IRC has been
collaborating with CAF to carry out this project.
Main task:
Design qualitative in-depth interview questions, quantitative
questionnaire and sampling for selecting enterprises and labours at rural
areas for the survey
Develop survey tools, pilot and trainings for enumerators
Conduct the field trip for data collection at rural areas of Phu Tho and
Quang Nam provinces with close monitor and supervision
Develop database for data entry & data cleaning
Carry out data analysis, report writings and results disseminations
Reference:
Nguyen Kim Lan
International Labor Organization
Tel: (84) 913204387, email: [email protected]
4. The “Construction of a Competitiveness Index for Rural Business
Households” Phase I
Client: Institute of Policy and Strategy for Agriculture and Rural Development
Time: September 2010 – March 2011
Overview: The project aims to: (i) Analysis of determinants of the business
environment for rural business households; and (ii) Construct a competitiveness index
reflecting the business environment for rural business households. This index can be
used to rank areas such as districts and provinces in terms of business environment.
Main task
Design the sampling and questionnaire for the rural household business
in Bac Ninh and Vinh Phuc Provinces.
Pilot, train interviewers and monitoring the data collection of 600 rural
business households regarding detailed information on household
characteristics, business activities and households’ assessment of
business environments in their places.
Analyze data and write report
Reference:
Dang Kim Son
17
Director, Institute of Policy and Strategy for Agriculture and Rural Development
Tel: (84) 973 320388, email: [email protected]
5. The “Construction of District Formality Index” Phase II
Client: Institute of Policy and Strategy for Agriculture and Rural Development
Time: August 2011 – February 2012
Overview: The purpose of the project is to build up the District Formality Index
(DFI) of household businesses in Vietnam. Not only does the index will reflect the real
situation on the performance of this small but very important sector but the findings
will also lay a foundation for policy makers to foster household business’ sustainable
development in Vietnam.
Main task
Establish a high standard method to build up DFI index
Design and implement the survey which covers 900 household businesses
in the North, Central and the South of Vietnam
Implement field trip, data collection, data entry and analysis
Write report on DFI which includes policy recommendations
Report the result of the survey to policy makers, provincial officials and
researchers
Reference:
Dang Kim Son
Director, Institute of Policy and Strategy for Agriculture and Rural Development
Tel: (84) 973 320 388, email: [email protected]
6. Development of P135-II Baseline survey and M&E System for
SEDEMA/P135-II, 2006-2011
Client: Central Committee for Ethic Minorities (CEMA), United Nations
Development Program (UNDP)
Overview: UNDP is supporting the Government of Vietnam (Project
VIE/02/001) in the improvement and implementation of targeted programs on poverty
reduction. The design of the National Targeted Program on Poverty Reduction (NTP-PR)
and the Socio-Economic Development Program for Mountainous and Ethnic Minority
Areas (SEDEMA/135P) for the period 2006-2010 has been completed. Among which,
Program 135 Phase II was approved by the Prime Minister per Decision 07/2006/QD-
TTg dated 10 January 2006.
18
In order to improve the effectiveness of Program 135, Phase II (2006- 2010)
implementation and provide reliable data for comprehensive monitoring and
evaluation, it is necessary to develop a new M&E system based on experience from the
implementation of Program 135, 1999-2005, in order track changes and measure
program impacts, outcomes, outputs and inputs at all levels.
Main task:
Design Baseline Survey questionnaire
Design Sampling for P135-II 2007 Baseline Survey
Design and test M&E system for the P135, 2006-2010
Develop a baseline survey for baseline data collection for regular program
monitoring and mid-term (2008) and final program evaluation (2010).
The design includes: sampling methods, data collection
formats/questionnaires, data processing and analysis methods, as well as
detailed guideline for baseline data collection at national and provincial
levels.
Develop guidelines for implementation of the designed M&E system.
Design and test M&E training program and materials developed for
implementation of the designed M&E system
Pilot training through a number of training of trainers’ courses at central
and provincial levels
Reference:
Ha Viet Quan
National Director, The Programme 135 Phase II Coordinating Office
The Policy Department – CEMA
Tel: (84) 4 37172681, email: [email protected]
7. Analysis of P135-II Baseline Survey - Report
Client: CEMA
Time: March – November 2009
Main task:
Analyze the baseline survey data and produce a “baseline situation
analysis” report accompanied by a baseline data sheet that will provide a
basis for P135-2 impact evaluation after a follow up survey in 2010;
Contribute to the mid-term review (MTR) of P135-II and the National
Targeted Programs for Poverty Reduction (NTPPR) to be undertaken in
2008 through the analysis of baseline survey data and other relevant data
19
to assess, as possible, program progress toward its objectives and targets
as stated in the P135-2 Roadmap and the joint GOV-Donor Results
Framework.
Reference:
Ha Viet Quan
National Director, The Programme 135 Phase II Coordinating Office
The Policy Department – CEMA
Tel: (84) 4 37172681, email: [email protected]
8. Design the baseline survey and M& E system for Northern Mountain
Poverty Reduction Project (NMPRP-II)
Client: the World Bank and Ministry of Planning and Investment
Time: April – November 2009
Overview: IRC joined the Task Force of WB to build economic-technical proposal
for the Project, includes: construction of economic – financial analysis and M &E system,
implementation of Baseline Survey with a total sample size of 1800 households in 6
provinces.
Construction of financial economic analysis system:
Collection information about livelihood of the ethnic minority;
infrastructure situation and other conditions in 2 provinces, 2 districts,
and 4 communes;
Financial economic analysis of intervention plots of NMPRP-II to compute
financial indicators: cash flow, net present value and internal rate of
return of the project
Construction of M&E system and Baseline Survey:
Design monitoring index and activity & result measurement of Project
activities
Develop sampling design, questionnaires and survey manuals, and
monitoring data collection, and data analysis & evaluation methodologies
for initial, mid-term and final term evaluation periods.
Design report and information management system and mechanism
Reference:
Vo Thanh Son
The World Bank
Tel: (84) 9034 72002, email: [email protected]
20
9. AusAID Implementation Support Programme (ISP) for Program
135 Phase II in Quang Ngai
Client: Australian Agency for International Development (AusAID)
Time: June 2010 – July 2011
Brief description of ISP activities
IRC has supported the Implementation Support Programme (ISP) for Program
135 Phase II in Quang Ngai since the mid course of June 2010. Since then, IRC has
provided services for a diversified range of services for Implementation Support
Programme (ISP) of Program 135 Phase II in Quang Ngai. Notably, the recent work
includes (i) Mid-Term Independent Institutional Assessment of ISP/Program 125-II; (ii)
Impact Evaluation of the Participatory Forestry Land Allocation Process (PFLAP); (iii)
Impact Evaluation of Communications for ISP/ Program 135-II; and (iv) Impact
Evaluation of Gender Empowerment by ISP/Program 125-II.
As part of the evaluation work for ISP, IRC staff has worked with most of 47
participating communes in the six mountainous districts of Quang Ngai. Under these
services, IRC has interviewed a number of 1200 households (most of them are the poor,
and ethnic minorities such as H’re, Kor, Ca Dong), 550 staff at all administrative levels.
The staff also carried out 60 village participatory meetings and nearly 120 focus group
discussions with different key informants. Data collected from these fieldtrips has been
essential for formulating evaluation reports – which were then used by the
ISP/Program 135-II in planning and implementation of activities.
Reference:
Steward Pittaway
Chief Technical Advisor, Quang Ngai ISP
Tel: (84) 904665047, email: [email protected]
10. Mid-Term Review Institutional Assessment of Implementation
Support Program (ISP) of AusAID to Program 135-II in Quang Ngai
Client: AusAID
Time: June-Nov 2010
Overview: This project focused on how ISP/P135-II has contributed to capacity
building for district/commune staff and for a number of institutions, including
Commune Management Board, Commune Supervision Board, Production Activity Group
(AG), and Operation and Maintenance Group (O&M).
Main task:
21
IRC was in-charge of the whole survey process: from designing the
survey, sampling, piloting and training of interviewers, carrying out
interviews, data entry, to quality assurance and delivery of data.
Specifically, IRC survey team was involved in:
Design (sampling, survey methodology, build survey and evaluation tools,
survey manual, organize pilot, trainings for enumerators)
Conduct a survey of about 100 households and about 50
provincial/district/communal staffs;
Conduct focus interview with 24 groups of communal staffs;
Conduct 22 village meetings with 8 people per group on average;
Conduct 32 focus group discussions with AG and O&M group.
Reference:
Steward Pittaway
Chief Technical Advisor, Quang Ngai ISP
Tel: (84) 904665047, email: [email protected]
11. International Fund for Agriculture Development (IFAD) in
Vietnam and Laos PRD
Client: International Fund for Agriculture Development (IFAD)
Time: 2009 – present
Brief description of IFAD projects
IRC has worked with IFAD in Vietnam and Laos PRD over the past two years. In
the case of Vietnam, IRC staff was involved in Supervision and Mid-Term Review
Missions of IFAD-supported projects in Ha Giang, Cao Bang, Bac Kan, Ha Tinh, Quang
Binh, Ben Tre, and Tra Vinh. In these missions, IRC staff members were responsible for
the issues on poverty, gender, ethnic minorities, targeting approaches, and M&E
systems of these IFAD-supported projects. Our task involved working with poor
households, the ethnic minorities, agro-business entities, and staff at various levels. In
addition to these consultation work projects, IRC has directly supported the
implementation of some projects. The recent work includes M&E system of Ben Tre
DBRP Project and final project evaluation of the IFAD-supported project in Ha Giang.
Most recently, IRC has implemented the baseline survey (BLS) for the new IFAD-
supported program in Oudomxay and Sayabouly provinces of Northern Laos PRD,
namely “RIMS Baseline Survey for the Community-Based Food Security and Economic
Opportunities Programme – Soum Son Seun Jai, in Oudomxay and Sayabouly”. This
baseline survey is undertaken over the sample of 900 households in the target villages,
with focus on living conditions, livelihoods, food security, and malnutrition. The survey
22
was conducted with the support from Provincial Agriculture and Forestry Office (PAFO)
of the two provinces and collaboration of Center for Policy Research (CPR) of the
National Agriculture and Forestry Research Institute (NAFRI) and the National
University of Laos (UNoL). This baseline is now used for designing “the M&E system of
the Soum Son Seun Jai Program”.
Reference:
Atsuko Toda
Country Programme Manager
Asia and Pacific Division, International Fund for Agricultural Development
Tel: (84-4) 3823 7231, email: [email protected]
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RESOURCE PLAN
24
P135-II Expert Team profile
Our consultant team comprises 7 senior consultants and researchers who
possess expertise in survey design and implementation, quality assurance as well as in-
depth understanding of various socio-economic issues, particularly of development
economics and the ethnic minority in Vietnam. Our staffs have intensive skills and far-
reaching experience in designing and implementing multiple large-scale researches and
national surveys.
Phung Duc Tung, team leader – sampling, impact evaluation expert
Dr. Phung Duc Tung holds PhD Degree in Development Economics at Institute of
Development and Agricultural Economics, Leibniz University of Hannover, Germany.
Having worked as a statistician at the Social and Environmental Statistics Department of
the General Statistical Office, Dr. Phung has strong background in statistics,
econometrics, and impact evaluation design. He is also the lead sampling expert, having
undertaken sampling design, and questionnaire design for numerous international and
national surveys, notably 2007 P135-II Baseline Survey, 2010 Northern Mountain Poverty
Reduction Program Phase II, Vietnam Household Living Standard Surveys, Vietnam
National Health Survey 2002, and 2011 Vietnam Aging National Survey and so on.
Moreover, he was the lead consultant in various impact evaluation design projects for
international agencies and line Ministries. For instance, Dr. Phung was MOLISA’s consultant
for impact evaluation design of multiple National Target Programs in 2006 – 2010.
Dr. Phung has 15 years of extensive experience in survey design and survey
implementation. He demonstrated excellent leadership through successfully leading
multiple large-scale household and enterprise national surveys across the stages of
survey design, data collection and assessment tool development, data entry and data
analysis using major statistical software – STATA and SPSS to provide highly valued
project reports and research papers. His research, published in international academic
journals such as the American Economic Journal, focuses on aspects of the socio-
economic development of the ethnic minorities such as poverty reduction and
household welfare in rural areas.
Dr. Phung possesses in-depth knowledge as well as extensive experience of
Program 135. He had designed the questionnaire and sampling for Program 135 Phase
II Baseline Survey. Mastering P135-II mechanism, Dr. Phung is currently undertaking
the project on “Aid Effectiveness evaluation of Budget Support in Program 135-II” for
IrishAID. Significantly, his baseline survey design for P135-II was considered one of the
most comprehensive surveys among those of national programs.
25
His work and collaboration with a wide range of international agencies including
the World Bank, ADB, SIDA and UNDP as well as State organizations such as CEMA,
General Statistics Office, MPI, MOLISA, and MARD will ensure international standard on
quality control and time requirement of this challenging assignment.
Pham Thai Hung, policy and impact evaluation, ethnic minority expert
Dr. Pham holds a PhD Degree in Economics from University of Sussex, UK. He is
currently the Managing Director of IRC and the team leader of IRC Impact Evaluation
team. Being a policy expert over the last 15 years, he has led multiple international and
national projects in Vietnam, Laos, and other countries, notably the “Vietnam
Millennium Development Goals Report 2010” (The Report was presented by Vietnam
President Nguyen Minh Triet at the UN Council in New York, Oct 2010); “Developing a
Comprehensive Report on Ethnic Minority Poverty Situation Based on In-Depth
Analysis of the Program 135 Phase II Baseline Data”; “Mid-Term Independent
Institutional Assessment of the AusAID Implementation Support Programme (ISP) for
Program 135 Phase II in Quang Ngai”, and so on. Particularly, his report on “Ethnic
Minority Poverty Situation Based on In-Depth Analysis of the Program 135 Phase II
Baseline Data” has been highly valued and praised by international donors. Undertaking
multiple M&E projects, Dr. Pham and the team under his guidance has demonstrated
outstanding understanding and application of quantitative and qualitative evaluation
methodologies.
Apart from mastering evaluation methods, Dr. Pham has extensive experience in
data collection and assessment tools, survey design and implementation, demonstrated
through numerous projects he had led. Being the team leader of multiple poverty
reduction for the ethnic minority projects and survey, he has strongly demonstrated
expertise in implementation, management and quality assurance of multiple national
surveys initiated by AusAID and IFAD.
Dr. Pham has extensive research experience in impact evaluation of multiple
socio-economic development research and projects. Dr Hung has been working closely
with state agencies such as CEMA, Ministry of Planning and Investment or Vietnam
Academy of Social Science as well as a number of international organizations including
UNDP, World Bank and AusAID.
Nguyen Viet Cuong, socio-economic and econometrics expert
Dr. Nguyen Viet Cuong holds a PhD in Development Economics from Wageningen
University, the Netherlands. He has done extensive work on impact evaluation, poverty
analysis, ethnic minority, education and health issues. He has been the lead consultant
26
in multiple studies and projects organized by ministries, academic institutes,
international agencies and other NGOs in Vietnam. Dr. Nguyen was the consultant in the
questionnaire design stage of large-scale surveys such as Rural, Agriculture and
Aquaculture Census and 2006 VHLSS for GSO. He has an impressive portfolio of around
20 socio-economic research articles published in international academic journals. With
the in-depth knowledge in development economics, and expertise in econometrics, and
statistics, Dr. Nguyen will provide excellent service for the design and implementation
of P135-II survey. He had worked closely with CEMA through a number of research and
consultant service, notably the highly regarded research on “Ethnic Minority Poverty
Situation Based on In-Depth Analysis of the Program 135 Phase II Baseline Data”. Dr.
Nguyen is currently undertaking the project on “Aid Effectiveness evaluation of Budget
Support in Program 135-II” for IrishAID.
Dr. Nguyen has more than 10 years of experience in design and implementation
of national surveys. He led the consultant team in development of survey tools, work
plan and survey implementation in national surveys, for instance “Vietnam National
Aging Survey” 2011 survey and “Irregular fee and Unofficial Payment in Basic Education
in Vietnam”. Being a prolific author, he has demonstrated high proficiency in computer
software, particularly statistical software such as STATA and SPSS through statistical
analysis and multiple report writings for national surveys as well as academic
researches.
James Leslie Taylor, Southeast Asian ethnic-minority specialist – technical
advisor
Dr. James Leslie Taylor holds a PhD degree in Social Anthropology from
Macquarie University, Australia. He had BA Honours in Asian Studies and diplomas in
agriculture. Dr. Taylor has 25 years of field experience, including data collection and
assessment tool development as well as survey design and implementation of extensive
surveys. Dr. Taylor is an expert in ethnographic fieldwork methodologies. This method
uses categories of targeting ethno-linguistic families – groups and subgroups – based on
sound ethnographic determinants.
Dr. Taylor has undertaken extensive research and consultancy services in socio-
economic development of the ethnic minority groups in mainland Southeast Asia, with a
number of projects in Vietnam. He has demonstrated comprehensive knowledge of
P135 through his work experience with CEMA and UNDP on his advisor role in Program
135-II - “Ethnic Minority Policy Capacity Development Project” (EMPCD). Notably, Dr.
Taylor has provided technical advice to the EMPCD project policy makers and national
ethnic minority specialists on qualitative approaches to working with the ethnic
minorities for new phase 2011. With more than 10 years of working in the area of
27
ethnic minority in Southeast Asia and East Asia such as Vietnam, Thailand, Lao PDR,
Indonesia, and China, Dr. James will provide an important broad-based international
perspective on the social developmental aspect of the ethnic minority in this
survey/project.
Vuong Xuan Tinh, Vietnam ethnic minority/gender expert
Dr. Vuong Xuan Tinh holds PhD in Anthropology from Institute of Anthropology,
Hanoi, Vietnam. Dr. Vuong has more than 10 years of experience working in the areas of
the ethnic minority in Vietnam. Since 2002, he has provided consultancy service as an
ethnic minority expert for multiple projects on the social economic aspects of the ethnic
minorities in remote region of Vietnam. These studies have been funded by the
Government of Vietnam, CEMA, the World Bank, ADB, DFID, UNDP and so on. His survey
and study ranges from health, education, land ownership, infrastructure and livelihood
to food security of the ethnic minority groups in Vietnam. These areas of study coincide
with the focus of Program 135. Therefore, his insight in the ethnic minority will ensure
smooth field trip operation and facilitation of survey implementation. His extensive
experience with the ethnic minority in Vietnam proves excellent skills in high level of
cultural sensitivity.
Having undertaken a large number of poverty reduction projects especially
national surveys, for instance, the “Poverty Reduction in Upland Communities in the
Mekong Region through Improved Community and Industrial Forestry”, “Cultural
Sustainable Development of Ethnic Groups in Northeast region, Vietnam in Doi moi
Project” funded by ADB, GoV respectively, Dr. Vuong has shown extensive experience in
survey design, work plan development and survey implementation. He also coordinated
poverty reduction project activities, including establishing research groups, training for
participants, implementing fieldwork, writing reports for national publication. His
survey and field experience in mountainous areas and remote provinces such as Lang
Son, Thai Nguyen, Lao Cai, Dak Lak, Kon Tum, Quang Tri, Quang Binh, etc... will ensure
smooth and efficient survey implementation.
Daniel Westbrook, econometric and impact evaluation expert
Dr. Daniel Westbrook holds a PhD degree in Econometrics, Public Finance, and
International Economics from the Ohio State University. With over 20 years of working
experience in impact evaluation and econometrics, Dr. Westbrook is a well-known
expert in the field of applied econometrics. He has conducted numerous courses in
econometrics and impact evaluation for the World Bank and General Statistics Office in
Hanoi, Vietnam, and has provided training on program evaluation and data analysis
using large-scale national surveys such as Vietnam’s Household Living Standards
28
Surveys. Dr. Westbrook has in-depth knowledge and extensive experience with the
datasets from national surveys in Vietnam. These datasets have been employed in his
publications on a variety of socio-economic issues in Vietnam.
In addition, Dr. Westbrook has provided consultancy services in the areas of
impact evaluation for a number of ADB projects in which he developed the evaluation
framework, designed the survey questionnaires, analysed collected data, and produced
final reports.
With knowledge and expertise in impact evaluation, Dr. Westbrook will
contribute significantly to survey implementation process, data analysis, and final
report for the P135-II End-of-Program survey.
Vu Hoang Linh, socio-economic and econometric expert
Dr. Vu Hoang Linh holds PhD Degree in Applied Economics from University of
Minnesota, U.S.A, and Master Degree in Economic Theory from Toulouse School of
Economics, France, and Master Degree in Development Economics from Vietnam-
Netherlands Program for Economics of Development, National Economics University
(Vietnam) and Institute of Social Studies (Netherlands). Having worked as an expert in
human and social development projects, he has an in-depth knowledge of social
economic development of the ethnic minority. Notably, Dr. Vu had undertaken the
research on “Child Poverty of the Ethnic Minority” funded by UNICEF in midd-2011. He
is currently leading the project on “Irregular fee and Unofficial Payment in Basic
Education of Vietnam” funded by Belgium Technological Cooperation. In this project, Dr.
Vu had involved in all stages from survey design, survey tool development to survey
implementation. Moreover, with his experience as Technical leader of the Project
“Develop the Provincial Formality Index (PFI) and conduct pilot survey on investment
climate evaluation for unregistered business households/ enterprises in some
provinces”, Dr. Vu has demonstrated extensive experience and in-depth understanding
of project design as well as survey design and implementation of national surveys.
Having doctoral degree in Applied Economics, Dr. Vu demonstrates strong
background in econometrics and statistics. He has extensive experience in conducting
statistical analysis for national surveys such as “Northern Mountain Poverty Reduction
Project”, “Program 135-II Baseline Survey” and so on. Through conducting multiple
quantitative researches, Dr. Vu has proven a high level of proficiency with computer
software, especially statistical software such as STATA and SPSS.
29
TEAM COMPOSITION and TASK ASSIGNMENT
(Resource in terms of personnel and facilities of the company to undertake this
project have been explained in company profile)
Name of
staff
member
Areas of
expertise
Position
assigned
Tasks assigned
Phung Duc
Tung
Sampling, survey
design,
implementation
and management
Team
leader
Design sampling and questionnaire for
the survey, training of interviewers,
survey implementation, survey
management and data analysis, quality
control for all outputs of the survey.
Write the section “Executive summary”,
and “Introduction to the BLS 2011”
Pham Thai
Hung
Impact
evaluation, socio-
economic and
policy expert
Team
member
Questionnaire design, policy review,
training of interviewers, develop the
quality control forms for supervisors,
review and select the interviewers, data
cleaning, data analysis.
Write the section “ Poverty Profile of
Ethnic Minorities” and “Conclusion”
Nguyen
Viet Cuong
Socio-economic
research,
questionnaire
design,
econometric and
data analysis
software (STATA)
expert
Team
member
Questionnaire design, training of
interviewers, review and develop the
appropriate model for impact
evaluation part, data cleaning, analysis
data and
Write the section ““Impacts of P135-II
on Outcomes and Living Conditions of
Ethnic Minorities”
James
Leslie
Taylor
Southeast Asian
ethnic minority,
social
anthropology
Team
member
Questionnaire design on the
qualitative/ethnographically part to
show cultural complexity and ethnic
group representativeness, fieldwork
methodologies, data analysis and report
writing on qualitative part.
Vu Hoang Socio-economic Team Questionnaire design, recruit the
30
Name of
staff
member
Areas of
expertise
Position
assigned
Tasks assigned
Linh development,
ethnic minority,
applied
economics
member supervisors and monitoring the
implementation of supervisors, monitor
the data entry and responsible for data
cleaning, data analysis,
Write the section “Challenges for
Poverty Reduction for Ethnic Minorities
and P135-III”
Vuong
Xuan Tinh
Vietnam Ethnic
Minority,
anthropology
Team
member
Questionnaire design on the
qualitative/ethnographically part to
show cultural complexity and ethnic
group representativeness , fieldwork
methodologies
Daniel
Westbrook
Impact
evaluation,
econometric
expert
Team
member
Data analysis, review the sampling
design, propose the appropriate model
to measure the impact,
Write the section (impact evaluation for
P135-II) on “Impacts of P135-II on
Outcomes and Living Conditions of
Ethnic Minorities”
31
Expert CVs
32
Tung Duc PHUNG
Chairman - Research Fellow, Indochina Research and Consulting (IRC), Vietnam Add: Hanoi, Vietnam Tel: +84 4 3573 9672(ext: 18) Fax: +84 4 3573 9670 Email: [email protected] Date of Birth: 08th Jan, 1974 Sex: Male Marital status: Married UNIVERSITY DEGREES
2011: PhD in Development and Agricultural Economics, University of Hannover, Germany. 2002: MSc in Economic Policy. Suffolk University, Boston, USA 1992 – 1996: BSc in Economics and Statistics, National University of Economics, Vietnam
SUMMARY OF EXPERTISE My specialization is in development and agriculture economics, poverty
measurement and vulnerability to poverty, survey design and survey management. I have been the team leader for a number of projects on the analysis of the role of labour and land diversification on reducing vulnerability to poverty, household welfare and nonfarm household business. I have also designed sampling, questionnaire and managed large scale household surveys in Vietnam, including Vietnam Living Standard Survey, Vietnam National Health Survey, and Baseline Survey for 135 Phase II, Northern Upland Poverty Reduction Phase II. UN SYSTEM EXPERIENCE Mar –Jun, 2011: “Analysis of the Baseline Survey of the Northern Upland Poverty
Reduction- Phase II” - Team leader Client: World Bank Main duties: Develop the outline of the analysis report, monitoring the data entry and data analysis of the other team members, write the first two chapter and last chapter of the report, review and give comments and quality control for other chapters Reference: Mr. Vo Thanh Son - World Bank in Hanoi. Email: [email protected]
Mar – July, 2010: “Baseline Survey of Northern Mountain Upland Poverty Reduction Project- Phase II” – Consultant Client: World Bank Main duties: design the M & E, the questionnaire and sampling for the Survey (total sample size of the survey is 1800 households). Reference: Mr. Vo Thanh Son - World Bank in Hanoi. Email: [email protected]
Apr, 2008 – Mar, 2010: “Statistical Capacity Building Program and Avian Flu Socio-Economic Survey Implementation project” – Consultant Client: World Bank Main duties: Responsible for survey management, checking the program of the tablet PC, participating in questionnaire and sampling design and training for interviewers (total sample size is 3000 households). Reference: Dr. Do Quy Toan - World Bank in Washington. Email: [email protected]
Feb – Mar, 2008: “Risk module of Vietnam Living Standard Survey 2008” - Consultant Client: World Bank Main duties: design the questionnaire and manual for the survey (total sample size is 45000 households). Reference: Dr. Do Quy Toan - World Bank in Washington. Email: [email protected]
Apr – Dec, 2007: “Baselines Survey of the Program 135 Phase II” – Consultant Client: UNDP
33
Main duties: design the questionnaire, manuals and sampling for the survey (total sample size 6000 households). Reference: Dr. Nguyen Tien Phong – UNDP in Hanoi. Email: [email protected]
Jun – Aug, 2006: “Monitoring and Evaluation for Program 135- phase II” - Team leader Client: UNDP Main duties: Develop the workplan and assign the tasks for each team member, responsible for sampling design, questionnaire design for the Baseline Survey of P135- II; monitoring and review and approve the M & E report of other teams; present the main results on the workshop Reference: Dr. Nguyen Tien Phong – UNDP in Hanoi Email: [email protected]
Jan – Mar, 2006: Designing Monitoring & Evaluation System and baseline survey for Poor Commune and Livehood Infrastructure Programme - Consultant Client: Ministry of Planning & Investment and World Bank Main duties: Review the program; analyse the Vietnam Living Standard Survey and give the solution for designing the Baseline Survey and M & E Reference: Mr. Vo Thanh Son - World Bank in Hanoi. Email: [email protected]
Nov, 2005 – Jan, 2006: Consultant for World Bank to update the poverty report. Reference: Mrs. Carrie Turck – World Bank in Hanoi. Email: [email protected] May – Aug, 2005: “Non- farm activities of the household” – Consultant Client: World Bank Main duties: implement the research using Vietnam Living Standard Survey 2004 and 2002 Reference: Mrs. Carrie Turck – World Bank in Hanoi. Email: [email protected]
OTHER RELEVANT WORK EXPERIENCE July, 2011 – present: “Research on Gender equality and access to productive and decent
work for rural men and women” - Team leader Client: - International Labor Organization (ILO). Main duties: Design the questionnaire and sampling for both household and enterprise survey (total sample 1000) and responsible for overall survey implementation as well as analysis of the data and final report. Reference: Nguyen Kim Lan - International Labor Organization (ILO). Email: [email protected]
Aug, 2011: “Impact of investment climate on non-farm household business – phase II” - Consultant Client: Ministry of Agriculture and Rural development (MARD). Main duties: designing questionnaire and sampling (Total sample size is 900 household businesses). Reference: Dr. Dang Kim Son- Institute of Policy and Strategy for Agriculture and Rural Development. Email: [email protected]
July, 2011: “Households Informal Disbursements for Education in Vietnam”– Consultant Client: Belgian Development Agency. Main duties: Design the questionnaire and sampling for the survey (total sample size: 1000 households and 1000 teachers) Reference: Ms. Elsa Dure- Belgian Development Agency- Email: [email protected]
May – Aug, 2011: Viet Nam National Aging Survey 2011 (VINAS) – Co-Principal Investigator Client: Atlantic Philanthropies and Vietnam Women’s Union
34
Main duties: Design the questionnaire and sampling for the survey (total sample size is 4000), participate in the survey implementation as survey manager and analyse data for the main report. Reference: Pham Thi Huong Giang - Deputy Chief of Administration Department, Vietnam Women Union. Email: [email protected]
July – Aug, 2011: “Impact of budget support on household welfare of Program 135 phase II” - Team leader Client: CEMA Main duties: Develop the research outline, interview guildlines and analysis VHLSS 2010 and Baseline Survey P135- II and write the final report Reference: Mr. Ha Viet Quan - Committee for Ethnic Minority and Mountainous Area - Email: [email protected]
Jun, 2011: “Tobacco Consumption Survey” - Sampling advisor Client: SEACAT Main duties: Responsible for sampling design of this survey Reference: Mrs. Nguyen Thac Minh - Vietnam Tobacco Control. Email: [email protected] Oct, 2010 – Mar, 2011: “Impact of investment climate on non- farm household business” - Team leader Client: Ministry of Agriculture and Rural development (MARD) Main duties: Responsible for questionnaire and sampling design as well as the survey implementation (total sample size is 500 household business) and the final report. Reference: Dr. Dang Kim Son- Institute of Policy and Strategy for Agriculture and Rural Development. Email: [email protected]
May – July, 2010: Vulnerability Survey - Country Coordinator Client: Hanover University Main duties: Responsible for overall survey management and survey implementation (total sample size is 2200 households). Reference: Prof. Hermann Waibel - Institute of Development and Agriculture Economics- Hanover University. Email: [email protected]
Sep, 2006 – Jan, 2007: “Developing M & E for poverty reduction project” - Consultant Client: the Deutsche Gesellschaft für Technische Zusammenarbeit (GTZ) Main duties: Developing M&E system that includes reviewing the current existing administrative report system for monitoring and evaluation of National Target Program and Program 135. Reference: Mrs. Ellen Kramer – GTZ in Hanoi. Email: [email protected]
Dec, 2005 – Jan, 2006: “Design the evaluation of impact of National Target Program for 2006- 2010” - Consultant Client: MOLISA Main duties: Review the existing the reporting system, propose the list of indicators for M % E and draft the first guildline for implementaton of M & E Reference: Dr. Le Hai Huu- Ministry of Labor, Invalid and Social Affair. Email: [email protected]
Jun – Aug, 2004: Update new poverty line - Consultant Client: MOLISA. Reference: Dr. Le Hai Huu - Ministry of Labor, Invalid and Social Affair. Email: [email protected]
May – Jun, 2004: “Evaluation the impacts of HERP program on poverty reduction”- Consultant. Client: MOLISA
35
Main duties: Analysis of Vietnam Living Standard Survey 2002 and 2004 Reference: Dr. Le Hai Huu- Ministry of Labor, Invalid and Social Affair. Email: [email protected]
Aug, 2003 – Dec, 2004: Vietnam Living Standard Survey 2004 – Team member Client: General Statistical Organization (GSO Vietnam) Main duties: Participate in designing the questionnaire and implementing the survey (total sample size is 45000 households) as well as analyzing the result Reference: Mr. Nguyen Phong- General Statistics Office. Email: [email protected]
Dec, 1997 – Dec, 1999: Vietnam Living Standard Survey 1997-1998 Client: General Statistical Organization (GSO Vietnam) Main duties: Participate in designing the questionnaire and implementing the survey as well as analyzing the chapter on poverty (total sample size is 6000 households). Reference: Mr. Nguyen Phong- General Statistics Office. Email: [email protected]
PUBLICATIONS Regarding to socio-economic development theme, I am the author of four (04)
book chapters and other six (06) articles/working papers. Five major publications are following: 2010, “The Importance of Being Wanted”, American Economic Journal Applied
Economics, Vol. 2, No. 4, pp. 236-253 (with Do, Q.T) 2011, “Agricultural Diversification and Vulnerability to Poverty: A comparison between
Vietnam and Thailand”, (also forthcoming in the book “Shocks, Vulnerability to Poverty in Thailand and Vietnam”, H. Waibel and S. Klasen, editors) (with S.Praneetvatakul and H.Waibel)
2010, “Diversification in land and labour allocation in response to shocks among small- scale farmers in Central Vietnam”, Schriften der Gesellschaft fur Wirtschafts - und Sozialwissenschaften des Landbauese.V, Bd.45, 91-111 (with Waibel H.)
2001, Chapter 3 “Sectoral Changes and Poverty” in Living standards during an economic boom, the case of Vietnam, Dominique Haughton, Jonathan Haughton and Nguyen P., editors (with Sarah B. and Ho S.C)
2001, Chapter 14 Correlates of Living Standards: A Graphical and Statistical Analysis, in Living standards during an economic boom, the case of Vietnam, Dominique H., Jonathan H. and Nguyen P. (with Joel D., Dominique H., and Nguyen P.)
LANGUAGES AND SKILLS Languages: Vietnamese (native); English (fluent); Chinese (a little). Software skills: Excellent in STATA, E-views, SPSS, WordPerfect, Word, Excel, Windows, Power point, CS.pro etc.
I CERTIFY THAT ALL INFORMATION STATED IN THIS RESUME IS TRUE AND COMPLETE TO THE BEST OF MY KNOWLEDGE. I AUTHORIZE UNDP/UNOPS OR ITS
AGENT TO VERIFY THE INFORMATION PROVIDED IN THIS RESUME
Signed. Date: 14th September, 2011
36
Hung Thai PHAM
Director - Research Fellow, Indochina Research and Consulting (IRC), Vietnam Add: Hanoi, Vietnam Tel: +84 4 3573 9672(ext: 19) Fax: +84 4 3573 9670 Email: [email protected]
Date of Birth: 10th Jan, 1976 Sex: Male Marital status: Married EDUCATION 2003 – 2007: PhD in Economics, University of Sussex, UK. 1997 - 1998: MSc in Economics, SOAS, University of London, UK 1992 - 1996: BSc in Economics, National University of Economics, Vietnam SUMMARY OF EXPERTISE My area of specialization is quantitative development economics, labour economics and international economics. I have worked on the analysis of rural household welfare, rural nonfarm sector, labour market outcomes, as well as the links among trade liberalization on employment, wages, and rural poverty in Vietnam. My current research focuses on poverty of rural households in Vietnam, especially the poor ethnic minorities, and evaluating impacts of socio-economic development programmes/projects and policies. UN SYSTEM EXPERIENCE Jun, 2011: IFAD Supervision Mission in the Improving Market Participation of the Poor
(IMPP) Poverty, Gender and M&E Specialist, Projects in TraVinh and Ha Tinh. Client: International Fund for Agricultural Development (IFAD) Main duties: Examine the issues of targeting, poverty focus, gender focus of the project activities, and the M&E system; based on the findings/observations, provide guidance for the projects to the remaining time of the project cycles. Reference: Atsuko Toda, Country Director. Email: [email protected]
May, 2011 – present (finish in Sept): “Global Knowledge Platform Study on Reponses of the Private Sector in Reforms in the State Roles in Agricultural and Rural Development” - Team leader Client: UK’s Overseas Development Institute Main duties: coordinating the research team in collaboration with other partners in the Mekong and Central Highlands to do value chain analysis for rice, coffee, and organic vegetables in Vietnam; Also interviewing high ranking officials and donors on the areas of focuses. Reference: Jonathan Mitchell, Programme Leader, ODI. Email: [email protected]
May, 2011 – present (finish in Sept): “RIMS Baseline Survey for the Community-Based Food Security and Economic Opportunities Programme – Soum Son Seun Jai, in Oudomxay and Sayabouly” - Team leader Client: International Fund for Agricultural Development (IFAD) in the Northern Laos Main duties: design, implement and analyze the Baseline Survey for the new IFAD-supported programme in Northern provinces of Laos, including Oudomxay and Sayabouly. Coordinating the team in collaboration with National University of Laos and National Agriculture and Forestry Institute of Laos Reference: Stefania Dina, Country Director. Email: [email protected]
May, 2011: “IFAD Mid-Term review in the Developing Business for Rural Poor (DBRP) Projects in Ben Tre and Cao Bang” - Poverty, Gender and M&E Specialist Client: International Fund for Agricultural Development (IFAD) Main duties: Examine the issues of targeting, poverty focus, gender focus of the project activities, and the M&E system; based on the findings/observations, provide guidance
37
for the projects to the remaining time of the project cycles. Reference: Atsuko Toda, Country Director. Email: [email protected]
Apr, 2011: “IFAD Supervision Mission in the Decentralized Programme for Rural Poverty Reduction (DPRP) Projects in QuangBinh and Ha Giang” - Poverty, Gender and M&E Specialist Client: International Fund for Agricultural Development (IFAD) Main duties: examining the issues of targeting, poverty focus, gender focus of the project activities, and the M&E system; based on the findings/observations, provide guidance for the projects to the remaining time of the project cycles. Reference: Atsuko Toda, Country Director. Email: [email protected]
Sep, 2010: “IFAD Supervision Mission in the Developing Business for Rural Poor (DBRP) Projects in Ben Tre and Cao Bang” - Poverty, Gender and M&E Specialist. Client: International Fund for Agricultural Development (IFAD) Main duties: examining the issues of targeting, poverty focus, gender focus of the project activities, and the M&E system; based on the findings/observations, provide guidance for the projects to the remaining time of the project cycles. Reference: Atsuko Toda, Country Director. Email: [email protected]
Apr-Aug, 2010: “Vietnam Millennium Development Goals Report 2010” - Team leader Client: The Ministry of Planning and Investment with the support from UNDP Vietnam Main duties: Prepare the Vietnam MDG Report 2010 Reference: Nguyen Tien Phong, Head of Poverty Reduction and Social Development, UNDP. Email: [email protected]
Jul-Oct, 2010: “Vietnam Human Development Index Report 2010” - Consultant Client: UNDP Vietnam Main duties: Contribute a paper on access of ethnic minorities to public services (with a focus on education and healthcare) Reference: Nguyen Tien Phong, Head of Poverty Reduction and Social Development, UNDP. Email: [email protected]
Sep, 2009 – Apr, 2010: “Developing a Comprehensive Report on Ethnic Minority Poverty Situation Based on In-Depth Analysis of the Program 135 Phase II Baseline Data” - Team leader Client: UNDP and the Central Committee for Ethnic Minorities (CEM) Main duties: Produce a comprehensive analysis on the poverty of ethnic minorities in Vietnam. Reference: Peter Chaudhry, Chief Technical Advisor. Email: [email protected]
Apr - Jun, 2009: “Second Northern Mountain Poverty Reduction Project - Phase II (NMPR-2)” - Consultant Client: World Bank Main duties: Carry out a thorough economic and financial analysis Reference: Vo Thanh Son, Rural Development Sector, World Bank. Email: [email protected]
Mar-May, 2009: “The Program 135 Phase II Targeting Efficiency” - Team leader Client: UNDP and the Central Committee for Ethnic Minorities (CEM) Main duties: Evaluate targeting efficiency of the Program 135 Phase II Reference: Peter Chaudhry, Chief Technical Advisor. Email: [email protected]
Sept, 2008: “Vietnam Millennium Development Goals Report 2008” - Consultant. Client: UNDP Vietnam Main duties: review the progress of MDG1, MDG5, and MDG7 (and their related VGDs)
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Reference: Nguyen Tien Phong, Head of Poverty Reduction and Social Development, UNDP. Email: [email protected]
Apr-Jun, 2008: “The Poverty Assessment Update” - Consultant. Client: World Bank Vietnam, Center for Analysis and Forecast (CAF) of Vietnam Academy for Social Sciences (VASS) Main duties: Participate in the inequality group (researcher, technical advisor) and ethnic minority group (technical advisor). Reference: Nguyen Thang, Director, CAF, VASS. Email: [email protected]
Jun-Aug, 2008: “The Program 135 Phase II Baseline Study” - Team leader Client: UNDP and the Central Committee for Ethnic Minorities (CEM) Main duties: Analyze the Program 135 Phase II Baseline Survey Reference: Nguyen Tien Phong, Head of Poverty Reduction and Social Development, UNDP. Email: [email protected]
Mar, 2008: “The World Bank’s Social Inclusion and Ethnic Minority Development in Vietnam” - Poverty Analyst Client: The East Asia Social Development (EASSO) unit of the World Bank. Main duties: Analyzing the poverty profile of ethnic minorities Reference: Nina Bhatt, East Asia Region Social Development Sector Unit (EASSO), The World Bank. Email: [email protected]
Apr-May, 2004: “Operationalizing Pro-Poor Growth (OPPG) Project” – Consultant Client: AFD, BMZ (GTZ, KfW Development Bank), DFID and the World Bank Main duties: working with Rainer Klump and Thomas Bonschab to perform data analysis and background for the report. Reference: Julie Litchfield, professor, University of Sussex. Email: [email protected]
OTHER RELEVANT WORK EXPERIENCE May, 2011 – present: “Impact Evaluation of the Participatory Forestry Land Allocation
Process (PFLAP) supported by AusAID in QuangNgai” - Team leader Client: AusAID Main duties: Evaluate the process of allocating nearly 100 hectares of forestry land for poor households and ethnic minorities in rural QuangNgai using a participatory approach. Reference: Stewart Pittaway, Chief Technical Advisor. Email: [email protected]
Nov, 2010 – Jan, 2011:, “Impact Evaluation of Communications in the AusAid Implementation Support Programme (ISP) for Program 135 Phase II (the Socio-economic Development Program for Extremely Difficult Communes in Ethnic Minority and Mountainous Areas Phase II) in QuangNgai” - Team leader Client: AusAID Main duties: coordinate the overall evaluation work and provide intellectual leadership for the whole evaluation team to conduct the mid-term review. Reference: Stewart Pittaway, Chief Technical Advisor. Email: [email protected]
Nov, 2010 – present: “Supporting the localization of Program 135 Phase II guidelines for GiaLai province” - Team leader Client: Embassy of Finland in Vietnam Main duties: working with PCEM of Gia Lai and districts to develop a guideline for Social-Economic Development Planning process Reference: Nguyen Khoa Lai, Director of Gia Lai PCEM
Jul– Dec, 2010: “New Socio-Economic Context and Implications for Poverty Reduction for Ethnic Minorities” - Consultant Client: Embassy of Finland
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Main duties: develop a study that examine the new context for poverty reduction for ethnic minorities as part of the background paper for the Programme Design of the next stage of the Programme 135-II Reference: Jens Rydder, Chief Technical Advisor. Email: [email protected]
Jun-Nov, 2010: “Mid-Term Independent Institutional Assessment of the AusAid Implementation Support Programme (ISP) for Program 135 Phase II in QuangNgai” - Team leader Client: AusAID Main duties: Provide a mid-term independent assessment of the AusAID’s Implementation Support Programme (ISP) for Program 135 Phase II in QuangNgai Reference: Ms. Nguyen Tu Uyen, Senior Programme Manager, [email protected]
Mar-Apr, 2006 “Study on Rural Poverty in Developing Countries and the DFID’s Involvement” - Consultant Client: UK’s National Audit Office (NAO) Main duties: Write one (in a total of four) thematic paper. Reference: Julie Litchfield, professor, University of Sussex. Email: [email protected]
PUBLICATIONS
With regard to socio-economic theme, I am the author of seven (07) articles in
international journals, three (03) book chapters and three (03) current working papers
published in English. Five (05) major publications are following:
2011, “Decomposing the Ethnic Gap in Living Standards in Rural Vietnam: 1993 to 2004” (with B. Baulch and B. Reilly) (forthcoming in Oxford Economics Paper)
2009, “Ethnic Wage Inequality: Evidence from Vietnam in 2002”, International Journal of Manpower, vol 30 (3), pp.192 – 219 (voted as Outstanding Paper 2010 by Emerald)
2009, “Determinants of Remittances: Evidence from Internal Migrants in Vietnam”, Asian Economic Journal, 23(1), 19–39 (with Y. Niimi and B. Reilly) also published as the World Bank Policy Research Working Paper No. 4586 (April, 2008)
2009, “Trade Liberalization and Technical Efficiency of the Vietnamese Manufacturing Sector”, (forthcoming in Journal of International Development) (with Dao L.T and B. Reilly)
2008, “Winners and Losers from Trade Reforms in Vietnam during the 1990s”, Review of Income and Wealth, 54(2), p. 166-192 (with J. Litchfield and P. Justino).
LANGUAGES AND SKILLS Language: Vietnamese (native); English (fluent); French (beginner). Software skills: Competent user of STATA (in particular, survey data analysis, STATA programming); LIMDEP; SPSS. DECLARATION
I CERTIFY THAT ALL INFORMATION STATED IN THIS RESUME IS TRUE AND COMPLETE TO THE BEST OF MY KNOWLEDGE. I AUTHORIZE UNDP/UNOPS OR ITS
AGENT TO VERIFY THE INFORMATION PROVIDED IN THIS RESUME
Signed. Date: 14th September, 2011
40
James Leslie TAYLOR
Senior Lecturer in Social Anthropology & Social Development, University of Adelaide, South Australia
Social development advisor – Indochina Research and Consulting [email protected]
Add: Largs Bay, South Australia 5016, Australia Tel: +61 08 7225 5743 Fax: + 61 08 8303 5733 Citizenship: Australia Date of Birth: 10th Jan, 1950 Sex: Male Marital status: Married UNIVERSITY DEGREE 1987 – 1990: PhD in Social Anthropology - Macquarie University, Australia 1981 – 1985: BA in Asian Studies (hon.) - Murdoch University, Australia 1966 – 1967 and 1973-1974: National Certificates & Higher Diploma in Rural Development & Agriculture Agricultural College, Hampden Hall & Oxford, UK SUMMARY OF EXPERTISE
As a social anthropologist/social development specialist, I have worked extensively in poverty reduction, community-based training/ institutional capacity development, C-B NRM, participatory land use planning and sustainable livelihoods. I have more than 25 years field experience working among remote ethnic groups in mainland Southeast Asia & East Asia. I have been social development consultant (both short term and long term assignments) for many international organizations/donors such as UNDP, AusAID, WB, AFD, etc. Relevant skills include specialisation on regional ethnic groups, cost-effective participatory, qualitative ethnographic-based survey tools (PRA/PLA, PPAs etc.), and conducting socio-economic surveys in remote communities. UN SYSTEM EXPERIENCE 2011 - Present: “Support for effective policy making through the development of scientific
evidence-based research” - Contract consultant Client: UNDP, Hanoi Main duties: Review research report on ethnic minority education and health Reference: Dr James Chalmers. Email: [email protected]
Apr, 2009 – Apr, 2010: Program 135-II, EMPCD (Ethnic Minority Policy Capacity Development Project) - Consultant Anthropologist (Ethnic Minorities Specialist) Client: Committee for Ethnic Minorities (CEM)/Donor: UNDP (SSA), Hanoi. Main duties: Providing technical advice to the EMPCD project policy makers and national ethnic minority specialists on anthropologically-informed/qualitative approaches to working with ethnic minorities for new phase 2011 (P135III); ensuring Social Safeguards in place; providing social inputs, training/participatory learning, and P/M&E recommendations. Reference: Mr. Ha Viet Quan - Committee for Ethnic Minority and Mountainous Area - Email: [email protected]
Jan, 2009 – Apr, 2009: “Participatory Sustainable Forest Management” - Participatory Social Inclusion Specialist/ Applied Anthropologist (specialist on ethnic minorities in Lao PDR), SUFORD Lao PDR. Client: Indufor Oy-Lao PDR/Donor: Finnish Government & World Bank Main duties: Establishing an Ethnic Group Development Plan (EGDP) according to World Bank Guidelines, including action research relating to the various ethnic groups in the project; established training schedule and workshops involving stakeholders such as government agencies & ethnic groups, and incorporate relevant ethnographic information into the project implementation; community network analyses, gender
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mainstreaming, developed modifications for existing project guidelines; and designed on-going local consultation process that incorporates WB’s social safeguard requirements and policies on indigenous peoples and resettlement. Reference: Dr Shane Tarr. Email: [email protected]
1990 – 1992: Hassall & Associates International, MuangHom Integrated Rural Development Project/ Consultant, Rural Sociologist Client: UNDP/DTCD (United Nations Department of Technical Cooperation for Development) Main duties: Assessing the impact of the project’s activities among resettled ethnic minorities including: the project’s success at introducing sustainable agriculture (lowland and upland farming, including PIM); evaluation of the project to assess the viability of micro-enterprises; the status and role of women and the effects of increasing population on local resources; identified training needs; proposed an action plan for rural and community livelihoods, and conducted a socio-economic base-line survey Reference: Mr Alan Pankhurst, HAI
OTHER RELEVANT WORK EXPERIENCE 2011 - Present: Social economic and institutional dimensions of climate change/farming
systems Team leader Main duties: Determining effective management of farmer organizations and agricultural system adaptation to climate change, identifying micro-finance, farming inputs, marketing, water management, training/extension, and community resilience to climate change. Reference: Dr James Chalmers. Email: [email protected]
Apr, 2009 – Apr, 2010: Participatory Irrigation Management (PIM) Vietnam - Team leader (GIS/TL) Client: BRL Ingénierie (France)/ Donor: Agence Française de Développement (AFD), Hanoi, Vietnam Main duties: Institutional Capacity Building, Centre for Participatory Irrigation Management (CPIM) and technical support to irrigation infrastructure/ livelihood projects of NinhThuan and Son La Provinces; established Participatory TNA; action plan for PIM, conducted situation analysis on irrigation management among ethnic minorities; establishing participatory and farmer-driven initiatives in water management and assessing existing relevant indigenous/local knowledge pertaining to water management in two provinces. Reference: Mr. Ha Viet Quan - Committee for Ethnic Minority and Mountainous Area - Email: [email protected]
2003 - 2004: Sustainable livelihoods project (SLA) - Team leader Client: [Cardno] ACIL/URS Consortium/ Donor: AusAID Main duties: Providing in-country management of AUD 6.5 million dollars working among ethnic-Mongolian pastoralists with 25 Team members. Key inputs to all social development issues, such as Social Safeguards, participatory land-use planning and Participatory Mapping, institutional development, training, extension, management and coordination of all project activities. Managed the project to a highly successful mid-term AusAID review Reference: Dr Shane Tarr. Email: [email protected]
2002 – 2003: “Inner Mongolia Grassland Development Project (IMGDP)”, Phase Two - Community Development/Training Advisor Client: [Cardno] ACIL/URS Consortium/ Donor: AusAID
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Main duties: Conducting PRAs, establishing FFS (Farmer Field Schools) in dry land/pastoral ecologies, community situation analyses and socio-economic assessments. Also training of trainers and facilitation for adapted Future Search workshops Reference: Dr Shane Tarr. Email: [email protected]
Jan, 1998 – Dec, 1999: “Research on Aboriginal Native Title Claim in Western Australia”-Field Anthropologist Client: Native Title Representative Body (Geraldton, Western Australia); mining/resource developers Main duties: Ethnographic, social & cultural research on Aboriginal Native Title Claim in Western Australia; cultural heritage surveys & land management advice for mining & exploration companies and community management, capacity building and participatory land useplanning. Report produced for Dames & Moore, Western Australia, entitled Best Practice: Indigenous People and Environmental Management in Mining (1998), and a two-volume ethnographic report for a Native Title Claim (1998). Reference: Dr Shane Tarr. Email: [email protected]
Jan, 1998 – Dec, 1999: “AusAID rural development projects in Thailand” - Rural Sociologist (3 pm) Client: Native Title Representative Body (Geraldton, Western Australia); mining/resource developers & (2) Hassall & Associates, Canberra, ACT, Australia/ Donor: AusAID Main duties: assessing the effectiveness of multi-sectoral rural development projects in achieving design objectives. Also, responsible for determining project impacts on village, family and community life (as in new Sub-District Administrative Organisations), environment, and on the future work and institutional capacity of implementing agencies. Report published entitled Targeting Poor Farmers: Contributions to Rural Development in Thailand (Quality Assurance Series No.16, June 1999). Reference: Dr Shane Tarr. Email: [email protected]
1992 – 1997: The University of Western Australia, & Curtin University of Technology, Perth - Lecturer in Social Anthropology & Development, and NGO Resource Advisor (Thailand & Lao PDR) Main duties: University Lecturer & long term Consultant Community Advisor/Resource Person (1993-1997), for a number of local NGOs working on local-knowledge based poverty reduction programs. Also organised multi-disciplinary in-country student study tours in Southeast Asia (Indonesia, PNG, Malaysia and Thailand) working with government agencies and non-government (Civic Society Organisations). Co-founded an applied social research organisation and established formal collaboration among social researchers in the region working for small farmer enterprise development. Reference: Prof. John Gordon (University of Western Australia). Email: [email protected]
1983 – 1986: Tung Kula Ronghai Project - Consultant (rural sociologist), Agricultural Extension and Community Development Advisor Client: McGowan International (MGI), Australia/ Donor: AusAID Main duties: Community Development/Agricultural Extension Advisor, institutional strengthening/capacity building, community training, & participatory planning with 45 local-level (sub-district) CD Workers in the project area. The CD program aimed at the formation of village development committees, specific activity groups (including occupational training of women and youth groups), and generally facilitating village-
43
level development activities. Extension tasks to ensure the effectiveness of specific agricultural project inputs/treatments, identifying culturally appropriate technical knowledge, local participatory irrigation schemes, institutional strengthening (formal and informal), and training in participatory extension methodologies (FSR). Reference: Dr Shane Tarr. Email: [email protected]
1978-1982: CD Trainer (Aboriginal Affairs), and Field technician (Livestock Development). Client: Department of Aboriginal Affairs, and Department of Agriculture, Western Australia. Main duties: Research on rural planning and feasibility study tour in Java, Indonesia (transmigration and integrated rural development), and developing a farming research, community-based extension plan.
SELECTED PUBLICATIONS In related social anthropological area studies themes, I am the author of two (02) books,
15 book chapters and 22 peer-reviewed journals. The following are relevant examples: 2011 “Limiting movement, enclosures and conventional grassland management in
Northern China: anthropological perspectives on new ecology”, Nomadic Peoples ([accepted for publication], forthcoming)
2010, “EMPCD Manual on Gender and Ethnicity” (UNDP, Hanoi) 2010, “Learning needs & Capacity Development (CD) for CEM/DEM on ethnic sensitivity
training and ethnographic/anthropological skills acquisition” (UNDP, Hanoi) 2006, “Negotiating the Grassland: Policy of Pasture Enclosures and contested resource use
in Inner Mongolia”, Human Organization, 2006, Vol.65, No.4, pp 374-386 1999, “Local autonomy and the privileging of knowledge and space in western
development practice: A case study in Northeast Thailand”, in Applied Anthropology in Australasia (Eds. Sandy Toussaint and James L. Taylor), Western Australia: UWA Press (Pp 141-161)
1999, “Targeting Poor Farmers: Contributions to Rural Development in Thailand” (AusAID, Quality Assurance Series No.16, June)
LANGUAGES AND SKILLS Language: English (native); Thai (fluent); Hausa (basic); Lao (basic); Melanesian TokPisin (basic)
I CERTIFY THAT ALL INFORMATION STATED IN THIS RESUME IS TRUE AND COMPLETE TO THE BEST OF MY KNOWLEDGE. I AUTHORIZE UNDP/UNOPS OR ITS
AGENT TO VERIFY THE INFORMATION PROVIDED IN THIS RESUME
Date: 14th September, 2011
44
Westbrook DANIEL
Tenured Assistant Professor - Georgetown University Technical advisor - Indochina Research and Consulting Vietnam
[email protected] Add: PO Box 23689, Doha, State of Qatar Tel: +974 457 8232 Fax: +974 457 8261
Citizenship: USA Date of Birth: 12th Aug, 1950 Sex: Male UNIVERSITY DEGREE 1978: PhD in Economics - The Ohio State University 1977: MA in Economics - The Ohio State University 1973: MSc in Chemical Engineering - The Ohio State University 1972: BSc in Chemical Engineering - The Ohio State University SUMMARY OF EXPERTISE My current area of expertise focuses on applied micro-econometrics in economic development and on Vietnam. I have undertaken extensive research and consultancy services in socio-economic development of the ethnic minority groups in mainland Southeast Asia, with a number of projects in Vietnam. RELEVANT WORK EXPERIENCE 2011: “Impact Evaluation of the Transformation of Microfinance Institutions in
Vietnam” (ADB Project TA No. 9140) – Consultant. Client: Asia Development Bank (ADB) (Salary: $604 per day) Main duties: supervised implementation of the baseline survey in 2010. Currently planning the follow-up survey for 2012; the final report will be completed in 2012. Reference: Eiichi Sasaki. Email: [email protected]
2011: “Impact Evaluation of a Low Income Housing Finance Program in Sri Lanka” - ADB Project TA No. 6468: Selected Evaluation Studies - Consultant Client: Asia Development Bank (ADB) - Salary $604 per day. Main duties: developed the evaluation framework, survey questionnaires, and contributed to the sampling methodology. Collaborated on data analysis and co-authored the final report. Reference: Binh Thanh Nguyen. Email: [email protected]
2005 – 2006: Analyzed Nepal Living Standards Surveys to estimate access to financial services and impact on household welfare. Client: ADB. Reference: Binh Thanh Nguyen. Email: [email protected]
PUBLICATIONS I am the author of more than 20 articles and current working papers. Most of my publications focus on the analysis of economic development issues in developing countries. The following papers are the major publications: Jan, 2012, Labor Market Transition and the Impact of Education on Real Per Capita
Household Consumption Expenditure in Vietnam: 1993 – 2004, forthcoming in the Journal of Macromarketing, 2012 (with Hoang Van Kinh).
Jul, 2007, A Quintile Regression Decomposition of Urban-Rural Inequality in Viet Nam, with Nguyen B, James A., and SusanV., Journal of Development Economics, 83 (2): 466 – 490.
Dec, 1999, Gender Equality and Investments in Adolescents in the Rural Philippines, Research Report 108, International Food Policy Research Institute,
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Washington, DC (with Howarth E. Bouis, MarilouPalabrica-Costello, Orville S., and Azucena B. Limbo)
1996, Economics Training for Sustainable Development in Viet Nam, Journal of Viet Nam's Socio-Economic Development, (Hanoi, Viet Nam), with Thomas R. Gottschang and Dennis C. McCornac.
1996, The Scope for Efficiency Gains From Scale Economy Exploitation: Evidence From Panel Data, in Industrial Evolution in Developing Countries, Edited by James R. Tybout and Mark J. Roberts, Oxford University Press (with James R. Tybout).
1995, Trade Liberalization and the Structure of Production in Mexican Manufacturing Industries, Journal of International Economics, 39 (1995): 53 - 78, with James R. Tybout.
1993, Returns to Scale with Large Imperfect Panels: An Application to Chilean Manufacturing Industries, World Bank Economic Review (with James R. Tybout)
I CERTIFY THAT ALL INFORMATION STATED IN THIS RESUME IS TRUE AND COMPLETE TO THE BEST OF MY KNOWLEDGE. I AUTHORIZE UNDP/UNOPS OR ITS
AGENT TO VERIFY THE INFORMATION PROVIDED IN THIS RESUME
Signed. Date: 14th September, 2011
46
Tinh Xuan VUONG
Deputy Director - Vietnam Academy of Social Sciences/Technical advisor–Indochina Research and Consulting Add: Hanoi, Vietnam Tel: +84 4 6273 0419 Fax: +84 4 3573 9670 Email: [email protected]
Date of Birth: 6th Mar, 1956 Sex: Male Marital status: Married UNIVERSITY DEGREE 2009: Ass. Professor in Anthropology, Vietnam Academy of Social Sciences 2002: Post-Doctor, Land Tenure Center, Wisconsin-Madison University, USA 1999: PhD in Anthropology, Institute of Anthropology, Hanoi, Vietnam 1983: BSc in Anthropology, National University, Hanoi, Vietnam SUMMARY OF EXPERTISE As a specialist in anthropology, my area of expertise links to the development of ethnic groups and people in disadvantaged and mountainous regions. Particularly, I was team leader for many main projects on poverty alleviation and supporting ethnic minorities in Vietnam. I have also worked deeply in analyzing the constraints and vulnerabilities facing by ethnic and mountainous people. UN SYSTEM EXPERIENCE 2010: Consultant, “Analysis of legal basis for engagement of ethnic minorities in land
use planning, UN- REDD programme, Vietnam, January, 2010”. Client: UNDP. Reference: Nguyen Thi Thu Huyen. Email: [email protected]
2009 – 2010: Director, “Ethnic relation in cross - border between Vietnam and China, Vietnam government project”. Client: Government of Vietnam.
2006: Consultant, “The Vietnam Country Social Analysis (CSA)”. Client: The World Bank. Reference: William Sunderlin. Email: [email protected]
2004: Ethnic Minorities Expert, “Poor Communities Infrastructure and Livelihood Project (P-CLIP)”. Client: The World Bank. Reference: Myles F Elledge. Email : [email protected]
2004: Ethnic Minorities Expert, “Study on the Implementation of Customary Tile in Forest Area”.
Client: The World Bank. Reference: Kieu Phuong Hoa. Email : [email protected]
2001 – 2003: Ethnic Minorities Expert, “Land Allocation in DakLak Province”. Client: GTZ.
Client: The World Bank. Reference: Kieu Phuong Hoa. Email : [email protected]
2000: Consultant, “Assessment of Doimoi (renovation) on Education and Food Security”. Client: Government of Vietnam.
Client: The World Bank. Reference: Kieu Phuong Hoa. Email : [email protected]
OTHER RELEVANT EXPERIENCE Jun – Aug, 2011: Communal Expert, “Assessment of Broad Community Support Nghi
Son Refinery & Petrochemical LLC”.
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Client: International Financial Corporation (IFC). Reference:Sofie F. Michaelse. Email: [email protected]
2008 – 2010: Director, “Cultural Sustainable Development of Ethnic Groups in Northeast region, Vietnam in Doimoi period”. Client: Government of Vietnam. Reference: Pham Quang Hoan. Email : [email protected]
2008: Consultant, “Social Assessment for Vietnam School Assurance Project (Component of Ethnic Minorities)”. Client: Client: DFID Reference: Pham Quang Hoan. Email : [email protected]
2005 – 2007: Coordinator, “Coping Mechanisms of the Ethnic Minorities in Upland Areas of Vietnam and Lao-PDR as Responses to the Food Shortage: Strengthening Capacity and Collaboration in Studying between the Institute of Anthropology (Vietnam) and the Institute for Culture Research (Lao-PDR)”. Client: Rockefeller Foundation. Reference: Apichai. Email: [email protected]
2004 – 2005: Ethnic Minorities Expert, “Poverty Reduction in Upland Communities in the Mekong Region through Improved Community and Industrial Forestry, Funded by ADB”. Client: Asian Development Bank (ADB). Reference: Thomas Sikor. Email: [email protected]
2000: Ethnic Minorities Expert, “Poverty Reduction in Central Provinces in Vietnam”. Client: ADB.
1999 – 2000: Consultant, “Health and Education Need of Ethnic Minorities in Sub-Mekong Region”. Client: ADB Reference: Myles F Elledge. Email : [email protected]
1998 – 1999: Coordinator, “Ethnic Minority Leadership Training and Curriculum Development”. Client: Canada Embassy in Hanoi. Reference: Do Thu Huong - Canada Ambassy in Hanoi
SELECTED PUBLICATION 2010: Biến đổi văn hóa của các tộc người vùng Đông Bắc từ góc nhìn sử dụng ngôn ngữ ,
Tạp chí Dân tộc học (Cultural changes of North East ethnic groups: from language perspective) (Anthropology Review, p.17-19) 2009, “Lessons Learned and Recommendations for Food Security of Ethnic Minorities in the Uplands Areas of the Vietnam and Lao PDR” (with Tran H.H). 2008: Rừng cộng đồng với xóa đói giảm nghèo của các dân tộc thiểu số ở miền núi Việt
Nam(“Community forests and poverty reduction of ethnic minorities in the mountainous areas of Vietnam”. Tạp chí Dân tộc học (Anthropology Review), p.3-15.
2007: Hưởng dụng đất với xóa đói giảm nghèo của các dân tộc thiểu số ở miền núi Việt Nam ("Land tenure and poverty reduction of ethnic minorities in the mountainous areas of Vietnam). Tạp chí Dân tộc học (Anthropology Review), p.5-19. 2006: Hoạt động lâm nghiệp trái phép và không bền vững vùng các dân tộc thiểu số Tây
Nguyên (Illegal and unsustainable forestry activities of Central Highlands ethnic minorities). Anthropology Review (p. 29-36). 2001, Food security of the Romam, Anthropology Review, No 5. 1998, “Profit and Poverty in Rural Vietnam: Winners and Losers of a Dismantled Revolution”
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LANGUAGES AND SKILLS Languages: Vietnamese (native); English (fluent); Russia (good). DECLARATION
I CERTIFY THAT ALL INFORMATION STATED IN THIS RESUME IS TRUE AND COMPLETE TO THE BEST OF MY KNOWLEDGE. I AUTHORIZE UNDP/UNOPS OR ITS
AGENT TO VERIFY THE INFORMATION PROVIDED IN THIS RESUM
Date: 14th September, 2011
49
Cuong Viet NGUYEN
Research Fellow, Indochina Research and Consulting (IRC), Vietnam Add: Hanoi, Vietnam Tel: +84 904 159 258 Fax: +84 4 3573 9670 Email: [email protected]
Date of Birth: 07th Jun, 1976 Sex: Male Marital status: Married UNIVERSITY DEGREE 2005 - 2009: Ph.D. in Development Economics Group, Faculty of Agricultural
Economics and Management, Wageningen University, the Netherlands. 2000 – 2002: M.A. in Development Economics Group, Faculty of Agricultural Economics and
Management, Wageningen University, the Netherlands 1995 – 1999: B.A. in English, Foreign Language School, National University, Hanoi, Vietnam. 1994 – 1998: B.A. in Trade Economics, National Economics University, Hanoi, Vietnam SUMMARY OF EXPERTISE My field of expertise is development economics, specializing in poverty and inequality analysis. I have extensive experiences in impact evaluation, poverty analysis and measurement. I have used a large number of household and enterprise surveys in Vietnam for quantitative studies of which about 20 articles have been published on international journals. UN SYSTEM EXPERIENCE Apr 2011 – Sep 2011: “Poverty of the Ethnic Minorities in Vietnam: Situation and
Challenges from the P135-II Communes” – Consultant Client: UNICEF and State Committee for Ethnic Minority Affairs of Vietnam. Reference: Nguyen Thi Van Anh (UNICEF). Email: [email protected]
Apr, 2011: “Simulation of Transfers Program” - Consultant Client: World Bank and Center for Analysis and Forecast (CAF - VASS) (Part-time work). Reference: Nguyen Thang (CAF). Email: [email protected]
Apr, 2010 – Aug, 2010: “Human Development Report” Client: UNDP Main duties: Write a background paper on health care policy in Vietnam Reference: James Chalmers (UNDP). Email: [email protected]
Nov-Dec 2008: “Analysis of social capitals in Vietnam using VHLSS 2006” - Consultant Client: World Bank Vietnam Reference: Carrie Tuck (World Bank). Email: [email protected]
May-Dec 2008: Consultant in mid-term review of the National Targeted Poverty Reduction Programs and Social-Economic Development Programs for Extremely Difficult Communes in Ethnic Minority and Mountainous Areas for period from 2006 to 2010. The research is conducted by MOLISA with fund from UNDP (Part-time work).
Reference: Vo Hoang Nga (UNDP). Email: [email protected] Aug, 2005 - present: “Poverty map construction for Vietnam using Agricultural Census
2006 and VHLSSs 2002-2006” – Local leader Client: MOLISA with fund from WB. Reference: Valerie Kozel (World Bank). Email: [email protected]
February - May 2007: “Analysis of health insurance schemes in Vietnam using VHLSSs and Health Insurance Survey 2007” – Consultant Client: World Bank Vietnam
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Reference: Nguyen Nguyet Nga (World Bank). Email: [email protected] Nov - Dec 2007: “Analysis of poverty and inequality in Vietnam using VHLSS 2006” -
Consultant Client: World Bank Vietnam Reference: Carrie Tuck (World Bank). Email: [email protected]
Jan - Mar, 2006: “Rural, Agriculture and Aquaculture Census 2006” - Consultant Client: GSO Vietnam with fund from WB Main duties: prepare questionnaires of the Census Reference: Carrie Tuck (World Bank). Email: [email protected]
Aug, 2005: “Design of questionnaires for VHLSS 2006” – Advisor Client: GSO Vietnam Reference: Carrie Tuck (World Bank). Email: [email protected]
Mar - July 2005: “Constructing Poverty Mapping for Ho Chi Minh city using VHLSS 2002 and Mid-term Population Census 2004” - Team leader Client: Institute of Economic Research and GSO in Ho Chi Minh City with fund from WB Reference: Nguyen Van Phuc (HCM’s Institute of Economic Research). Email: [email protected]
May - Jun 2004: “Spatial analysis and mapping of the relationship between poverty indicators and the commune selection for assistance under program 135” - Team leader
Client: MOLISA with fund from WB Reference: Nguyen Lan Huong (ILSSA). Email: [email protected]
Jun - July 2004: “Vietnamese Household Living Standards Survey 2004” - Consultant Client: GSO with fund from UNDP. Main duties: Design of the statistical estimates Reference: Nguyen Phong (GSO). Email: [email protected]
July - Oct 2003: “Assessing the impact of Vietnam’s programs for targeted transfers to the poor using VHLSS 2002”. This research is prepared for “Vietnam Development Report 2002” Consultant Client: World Bank Reference: Carrie Tuck (World Bank). Email: [email protected]
OTHER RELEVANT EXPERIENCE Sep, 2010 – Dec, 2010: “Develop the Provincial Formality Index (PFI) and conduct pilot
survey on investment climate evaluation for unregistered business households/ enterprises in some provinces” - Consultant Client: Institute of Policies and Strategies for Agriculture and Rural Development (IPSARD). Reference: Dr. Dang Kim Son, (IPSARD). Email: [email protected]
Oct, 2008 – Oct, 2009: “Impact evaluation of minimum wage policies on employment, inflation, and enterprise performance” – Consultant Client: MOLISA (Part-time work). Reference: Nguyen Lan Huong (ILSSA). Email: [email protected]
Mar – July 2006: “Support CEM for on preparation of implementation guidelines for Social-Economic Development Programme for Extremely Difficult Communes in Ethnic Minority and Mountainous Areas for period from 2006 to 2010” - Consultant Client: Embassy of Finland in Vietnam (Part-time work).
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Reference: Le Dai Nghia (Embassy of Finland in Hanoi). Email: [email protected]
PUBLICATIONS I am author of about 20 articles published on international prestigious journals. Five (05) major publications are following 2011, “Poverty Projection Using a Small Area Estimation Method: Evidence from
Vietnam”, Journal of Comparative Economics, doi:10.1016/j.jce.2011.04.004. 2011, “Measuring Impacts of Voluntary Health Insurance on Healthcare Utilization in
Vietnam”, Health Economics, doi: 10.1002/hec.1768. 2011, “Disability and Poverty in Vietnam”, with Daniel Mont, World Bank Economic
Review, doi: 10.1093/wber/lhr019. 2011, “Measuring Impacts of Migration on Household Welfares in Vietnam”, with Marrit
Van den Berg and Robert Lensink, Economics of Transition, doi: 10.1111/j.1468-0351.2011.00416.x.
2011, “Impacts of Public and Private Transfers on Household Welfare: Evidence from Vietnam”, with Marrit Van den Berg, Development Policy Review, forthcoming.
LANGUAGES AND SKILLS Languages: Vietnamese (native); English (fluent). Software: MS-Office; Statistical software (STATA, SAS, SPSS, Eview, GSPro, PovMap); Geographic software: AcrView, QGIS. DECLARATION
I CERTIFY THAT ALL INFORMATION STATED IN THIS RESUME IS TRUE AND COMPLETE TO THE BEST OF MY KNOWLEDGE. I AUTHORIZE UNDP/UNOPS OR ITS
AGENT TO VERIFY THE INFORMATION PROVIDED IN THIS RESUM
Date: 14th September, 2011
52
Linh Hoang VU
Vice Director - Research Fellow, Indochina Research and Consulting (IRC), Vietnam
Add: Hanoi, Vietnam Tel: +84 4 3573 9672(ext: 21) Fax: +84 4 3573 9670 Email: [email protected]
Date of Birth: 16th Dec, 1976 Sex: Male Marital status: Single UNIVERSITY DEGREE
2008: PhD in Applied Economics - University of Minnesota, U.S.A.
2003: MSc in Econometrics and Mathematical Economics - Toulouse School of
Economics, University of Toulouse 1, France.
2000: MSc in Development Economics - Vietnam-Netherland Programme for
Development Economics, Hanoi National Economics University (NEU) and
Institute of Social Studies (ISS)
1998: B.A. in Commerce Economics and Management - Hanoi National
Economics University, Vietnam, 1998.
SUMMARY OF EXPERTISE
My current area of expertise focuses on development economics, agricultural
economics and applied microeconomic analysis. Working with multiple human and
social development projects which pay special attention on disadvantaged groups and
ethnic minority, I have gained in-depth understanding of socio-economic situation in
Vietnam. Besides, I have wide-range experience in conducting and implementing
national surveys such as: “Northern Mountain Poverty Reduction Project”, “Program
135-II Baseline Survey” or “Irregular fee and Unofficial Payment in Basic Education of
Vietnam”.
SUMMARY OF RELEVANT WORK EXPERIENCE May, 2011 - Dec, 2011: “Informal Payment in Basic Education in Vietnam” - Team
Leader. Client: Belgium Development Agency (BTC). The project aimed at determining the levels, patterns and effects of informal payment in basic education in Vietnam. Reference: Ms. Elsa Duret, Budget Support Advisor, Education Sector, Belgium Development Agency. Email: [email protected]
Feb, 2011 - Apr, 2011: “Ex-Post Evaluation of the 1st AFD Credit Line to the Mekong Housing Bank” - Consultant Client: French Development Agency (AFD) and Ernst & Yong Vietnam. The project aimed at evaluating the effects of the 1st AFD Credit Line to the Mekong Housing Bank on local development and housing and business development. Reference: Mr. Hoang Duc Hung, Partner- Advisory, Ernst & Young Vietnam Limited, Daeha Business Centre, 14 Floor, 360 Kim Ma Street, Hanoi, Vietnam. Email: [email protected]
Aug, 2010: “Supervision Mission of International Fund for Agricultural Development (IFAD) in Cao Bang Province” - Poverty Specialist
53
Client: IFAD. The mission is to evaluate the effect of IFAD project in Cao Bang on the livelihoods of the poor people. Reference: Ms. Atsuko Toda, Country Director, IFAD Vietnam. Email: [email protected]
Mar, 2010- Mar, 2011: Technical Leader. Project “Develop the Provincial Formality Index (PFI) and conduct pilot survey on investment climate evaluation for unregistered business households/ enterprises in some provinces.” Client: Spanish Agency for International Development Cooperation (AECID) and Institute of Policies and Strategies for Agriculture and Rural Development (IPSARD). The project aims at developing Provincial Formality Index (PFI) and examining business environment of business households. Reference: Dr. Dang Kim Son, Director - Institute of Policies and Strategies for Agriculture and Rural Development (IPSARD), 16 Thuy Khue Street, Hanoi. Email: [email protected]
Jul, 2010 – Nov, 2010: Consultant. Project “Mid-term Institutional Assessment of Implementation Support Program (ISP) in QuangNgai Province. Client: AusAID. The project aims at evaluating the impacts of the Implementation Support Program (ISP) on poor households and communes in Quang Ngai Province. Reference: Ms. Nguyen Tu Uyen, Senior Program Manager, AusAID. Email: [email protected]
UN SYSTEM EXPERIENCE Jan, 2011 - May, 2011: “Ethnic Minority Child Poverty in Vietnam”- Team Leader
Client: UNICEF Vietnam and Committee of Ethnic Minorities (CEM). The project aimed at examining current issues in ethnic minority child poverty in Vietnam and constructing a multidimensional child poverty index for ethnic minorities. Reference: Ms. Nguyen Thi Van Anh, Social Policy Specialist, UNICEF Viet Nam 81A,Tran Quoc Toan street, Hanoi, Vietnam. Email: [email protected]
Jun, 2010 – Nov, 2010: “Urban Poverty in Vietnam” - Consultant Client: UNDP Vietnam and Vietnam Academy of Social Sciences (VASS). The project aims at assessing the determinants and structure of urban poverty in Vietnam. Reference: Dr. Nguyen Thang, Director, Center for Analysis and Forecasting (CAF), Vietnam Academy of Social Sciences (VASS). Email: [email protected]
Apr, 2010 - Jul, 2010: “Vietnam Millennium Development Goals Report” - Consultant. Client: UNDP Vietnam and Ministry of Planning & Investment (MOIT). The project aims at preparing a report on Vietnam Millennium Development Goals and submitt to the UN Reference: Dr. Pham Thai Hung, Team Leader. Email: [email protected] – CHANGE!
Apr, 2010- Jul, 2010: “Working Papers for Vietnam Human Development Report” - Consultant Client: UNDP Vietnam and Vietnam Academy of Social Sciences (VASS). The project aims at developing a number of working papers as background papers for Vietnam Human Development Report.
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Reference: Dr. James Chalmers, UNDP Senior Expert. Email: [email protected]
Nov, 2009 – Feb, 2010: “Equity and Access to Tertiary Education in Vietnam.” - Consultant Client: World Bank (Asia and Pacific). The project aims at assessing the equity and access to tertiary education in Vietnam. Reference: Emanuela di Gropello, Senior Economist, World Bank. Email: [email protected]
Oct, 2009 - Feb, 2010: “Impact of Global Food Crisis and Financial Crisis on Vietnam’s Agriculture and Food Security” - Consultant
Client: Food and Agriculture Organization (FAO), United Nations. The project aims at determining the effect of global shocks to Vietnam’s agriculture and food security. Reference: Dr. P.K. Mudbhary, Co-ordinator, Economic, Social & Policy Assistance Group (ESP), Food and Agriculture Organization (FAO) Asia-Pacific, United Nations. Email: [email protected]
Jan – Mar, 2009: “Poverty Impact of the Food Crisis on Poverty in Cambodia.” - Consultant Client: World Bank (Washington DC). The project aims at determining the effect of the food crisis in 2008 on poverty in Cambodia. Reference: Andrew Mason, Senior Economist, World Bank's Poverty Reduction and Economic Management Network. Email: [email protected]
Apr – June, 2008: Consultant. Project: “Impacts of Rising Food Prices on Poverty and Welfare in Vietnam.” Client: World Bank (Washington DC). The project aims at determining the effect of the food crisis in 2008 on household welfare and poverty in Vietnam. Reference: Carrie Tuck, Lead Economist, World Bank. Email: [email protected]
PUBLICATIONS Since 2000, I had published 26 publications in English (with 5 articles in international journals, 12 working papers and 7 commissioned reports). The following publications are most relevant to economic and social development theme: Published articles 2011, “Assessing Alternative Poverty Proxy Methods in Rural Vietnam,” Oxford
Development Studies 39:3, 339-367 (with Bob Baulch) 2011, “Food Prices and Household Welfare in Vietnam,” Journal of Agricultural and
Resource Economics 36(1) (with Paul Glewwe) 2009, “Economic Efficiency in Farm Households: Trends, Explanatory Factors, and
Estimation Methods”, with Kent Olson, Agricultural Economics 40 (5), 587-599. 2006, “Efficiency Estimates for Rice Farming Households in Vietnam”, Vietnam Socio-
Economic Development 47, 64-75. 2010, “The Effects of Global Shocks on Poverty in Vietnam”. Paper for presentation in
the conference “The Financial Crisis and Development: Impacts, Responses and Lessons”, Copenhagen, Denmark (with Lan Coxhead)
LANGUAGES AND SKILLS Languages: Vietnamese (native), English (fluent). Software: STATA, EVIEWS, GAUSS, GAMS, MATLAB, R, Microsoft Office
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DECLARATION I CERTIFY THAT ALL INFORMATION STATED IN THIS RESUME IS TRUE AND COMPLETE TO THE BEST OF MY KNOWLEDGE. I AUTHORIZE UNDP/UNOPS OR ITS AGENT TO VERIFY THE INFORMATION PROVIDED IN THIS RESUM
Date: 14th September, 2011
56
METHODOLOGY
57
Approach and Methodology
This section describes the detailed methodology we will use to meet the three
core objectives of the Terms of Reference. We also point out some limitations and
propose solutions for them. The section comprises nine parts. First, we offer a detailed
description of our survey design, including sampling strategy and questionnaire design.
The second part describes the management and implementation practices we will adopt
to ensure the quality of the final results. Third, we describe the data analysis we plan to
undertake. In the fourth part we propose alternatives to address cost and efficiency
factors. The last three parts describe our plans for cooperation and consultation with all
relevant stakeholders, the role of our Management Board in securing the logistical
arrangements, and some recommendations to improve the TOR, and personnel input.
1. Survey Design
Program 135 Phase II (P135-II) is a major poverty alleviation program. It focuses
on the poorest areas in Vietnam; the main inhabitants of these areas are ethnic
minorities. The main objective of this study is to evaluate the effectiveness of the P135-
II and to identify its limitations so as to enhance its effectiveness through 2015.
Moreover, this is the first large government program that has adopted a systematic and
professional evaluation procedure. It is critical that this study meets the highest
professional standards, not only for the sake of the P135-II project, but also as an
illustration of the value added that good evaluations can provide. The results are much
anticipated by economists, policy makers, and donors.
1.1 Overview
The TOR refers to three surveys connected to the P135 program: a baseline survey
completed in 2007, the survey planned for late 2011, which is the subject of this proposal,
and a final evaluation survey (FES) to be conducted in some future year. The 2011
evaluation survey serves as a follow-up to the 2007 survey and as a baseline for the final
impact evaluation survey. In the context of planning Evaluation Survey 2011, we want to
remain mindful of its dual role, so we do not refer to it as a “baseline” survey. To avoid
confusion among surveys, we refer to them as BLS 2007, IES 2011, and FES 20XX,
respectively. The activities associated with the surveys include detailed analysis, so we refer
to studies rather than surveys: the Baseline Study of 2007, the Impact Evaluation Study
of 2011, and the Future Evaluation Study of 20XX. BLS 2007 and IES 2011 both refer to the
second phase of P135 (P135-II); FES 20XX will refer to the third phase of P135 (P135-III)
The Impact Evaluation Study of 2011 (IES 2011) plays a pivotal role in measuring
the progress in poverty reduction and socio-economic advancement of ethnic minority
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communities, documenting the progress under P135-II to date, and benchmarking P135-III
for a future impact evaluation during the 2012 – 2015 phase. The representativeness and
quality of the data produced under IES 2011, combined with appropriate methods of
analysis, are the core factors for meeting the objectives described above. The design and
quality of the BLS 2007 are highly regarded. BLS 2007 provides excellent background
information that meets the requirements of the program objectives. The Impact Evaluation
Study of 2011 will be based on the BLS 2007 survey and on the IES 2011 survey, so
consistency between the two data sets must be ensured. This requires consistency in the
content of the questionnaire and sampling strategy, and careful implementation.
All households in the BLS 2007 survey must be interviewed in the IES 2011 survey
so as to cover both control and treatment groups that were defined in the BLS 2007. In
addition, the procedure of the BLS 2007 survey should be precisely replicated for the IES
2011 survey to minimize the intrusion of non-sampling errors. Elimination of non-sampling
errors is required for un-biasedness of tests of the differences between the control and
treatment groups in the key indicators.
As noted above, the survey conducted to support IES 2011 will serve as a baseline
for the Future Evaluation Study in 20XX. This additional purpose poses a challenge in
suitably updating the sample to maintain the appropriate composition of the control and
treatment groups. During the five years from 2007 to 2011, the control and treatment
groups have changed due to the influence of the Program. In addition, the selection criteria
and indicators in the Phase III of the Program (2012 – 2015) are somewhat different from
those of Phase II. The adjustments include the fact that the poverty rate is lower, a new
poverty line has been defined, lower criteria have been chosen for basic infrastructure and
social factors, indicators for staff qualifications have been enhanced, and the criteria for
working conditions and the nature of residential sites are not as clear as those in Phase II. In
addition, some of the benefits of P135 III are different from those of P135 II: assistance for
living standard improvement and legislative assistance to enhance the understanding of
law, rules and regulation are not included in Phase III. The questionnaire, the sample
design, and the evaluation design have to take into account these changes.
1.2 Sampling Design
The major purpose of the BLS 2007 was to measure changes in key indicators
(poverty rate, income, agricultural productivity, access to basic infrastructure, etc.)
attributable to P135-II. It aims also to assess the impact of the decentralization in
implementation of the program that is reflected in two types of investment (investment
ownership communes and non-investment ownership communes). The treatment group
was therefore divided into two groups, each with 2,000 households; the control group
included an additional 2,000 households. The 6,000 households in the full sample were
distributed over 400 communes. We propose that the IES 2011 should re-interview all the
households that were surveyed for BLS 2007. Our reasons are as follows:
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The comprehensiveness and high quality of BLS 2007:
BLS 2007 is considered to be unique in Vietnam: it is the most comprehensive data
set focusing on ethnic minorities that face the deepest poverty and other difficulties.1 In fact,
this data set is widely cited in the most recent government and donor documents and
publications related to poverty and ethnic minorities. Many of these documents and
publications emphasize that poverty in ethnic minority groups is a critical challenge to be
addressed in the coming years. The availability of current and comprehensive data about
these groups is essential for the government and donors to develop evidence-based policies
for continuing poverty reduction. In particular it is important to maintain the sample size so
the disaggregation across ethnic groups that was possible with BLS 2007 can be
maintained. It is important to conduct analysis at a disaggregate level because the ethnic
groups differ widely in language, culture, customs, and in their economic outcomes.2
Maintaining the sample size of the BLS 2011 survey will enhance the possibility to “...
benchmark progress in the poverty and socio-economic status of ethnic minority communities
in mountainous, remote areas of Vietnam.”
Addressing the second objective as impact evaluation of P135-II:
The sample size of BLS 2007 was designed to meet the minimum size requirement
for measuring the changes in key indicators attributable to P135-II and to estimate the
impact of decentralization in implementation of the program. This decentralization strategy
allows certain communes to own investments; it is a key commitment of the government to
six donors who contributed about 30% of total budget for P135-II. A major concern of the
donors and government is whether this decentralization is effective; we aim to measure its
impact as accurately as possible. Maintaining the treatment sample size of IES 2011 ensures
the power of tests is sufficient to identify the difference between investment ownership
communes and non-investment ownership communes. Maintaining the treatment sample
size serves the second objective, which is to “... provide a quantitatively robust data set
through which a rigorous analysis of the progress in the socio-economic development of ethnic
minority communities participating in Program 135 Phase II can be made, as part of a final
evaluation of the Programme for the period 2006-10.” Further support for maintaining the
sample size emerges from our recent evaluation study of the effectiveness of Budget
Support, in which we matched communes that were surveyed in both BLS 2007 and the
Vietnam Household Living Standards Survey 2010. Seventy-two communes appeared in
both surveys, of which 49 were covered by P135-II, and 23 were not covered by P135-II.
The estimated impacts of P135-II were positive but most of them were not statistically
1 Final Report Analysis of the P135-II Baseline Survey, Dec 2008.
2 Poverty of the Ethnic Minorities in Vietnam in the Poorest Communes - IRC, March 2010
60
significant. We believe the lack of significance was due to imprecise measurement due to
small sample size: the effects appeared to be large, but their standard errors were also
large.
Negative effects of reducing the sample size:
Reducing the sample size in BLS 2011 would negatively affect the third and the most
challenging objective, which is to “... establish a clear ’beginning of programme’ quantitative
baseline for the new Programme 135 (P135-III) for the period 2012 - 2015, against which
future progress can be periodically benchmarked.” To the extent that P135-II produced large
differences between control and treatment groups, it may be more difficult to detect
marginal impacts of P135-III. Moreover, since an approximate of 10 percent in BLS 2007
sample size might either have graduated from Phase II or moved to another area, the
substantial reduction of sample size might even exacerbate the already difficult possibility
of carrying out the third objective. This argues for maintaining the full sample size used in
BLS 2007.
The sampling frame of BLS 2007 was based on the list of households that reported
from selected communes in February 2007. The field work started seven months later.
However, the attrition rate during those seven months was about 10%, which means that
600 households that were selected for interviews were not found or refused to cooperate.
They were replaced by the reserve households. The time between BLS 2007 and IES 2011 is
much longer. Therefore, we expect that more than 10% of the households surveyed in 2007
might not be found or might refuse to cooperate in the BLS 2011. At this point, there is not a
list of reserve households from which replacements could be drawn. The panel data
methods we plan to use for the impact evaluation require each household to be observed in
both periods. Reducing the sample size for the IES 2011 at the design stage will exacerbate
the reduction imposed by attrition and will reduce the precision of our estimates and the
power of our tests.
Sampling procedure & mechanism:
Specifying the sample size and selecting the sample for IES 2011 is a challenging
task. One difficulty is that the government has not yet approved P135-III so we do not have
the official list of communes that will be covered by P135-III. Moreover, IES 2011 will serve
as the baseline for the impact evaluation study of P135-III. We propose that the sampling
design for IES 2011 use the BLS 2007 as the sampling frame and that we implement the
sampling process after the approval of P135-III. At that time, we will know which
communes in our sample will remain in P135-III and which will be out of the program. At
that point we can apply the P135-III selection criteria to the households in BLS 2011 to
identify control and treatment households. One mechanism for ensuring that the control
and treatment groups are comparable in 2011 is to identify similar households by
Propensity Score Matching (PSM), Direct Covariate Matching (DCM), or Regression
Discontinuity Design (RDD). It could take 10 working days for one consultant to implement
this task.
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Input: 10 working days for one national consultant x 1 person = 10 working days
1.3 Questionnaire Design
Questionnaire design is crucial to the success of the survey and the impact
evaluation process and it relates directly to the cost of the survey. The BLS 2007
questionnaire design is considered to be quite good and it covers all the relevant aspects of
the socio-economic conditions of surveyed households and communes. The BLS 2007
questionnaire follows the format of the Household Living Standards Measurement Studies
(LSMS) developed by the World Bank. Using the same questionnaires produces consistency
across the two data sets (2007 and 2011) that are essential for comparison over time. Of
course, we do propose several modifications based on lessons learned from BLS 2007, as
outlined below.
Household Questionnaire
Household consumption expenditure: BLS 2007 did not include household
consumption expenditure, which is a crucial indicator for measuring welfare
and assessing poverty. Consumption expenditure is regarded as the most
accurate indicator of welfare as expenditure closely reflects the living
standard and purchasing capacity of the households. We propose to add a
module for household expenditure in the IES 2011. We plan to limit the
budgetary impact by designing a very concise module limited to food items
that provide a good basis for predicting total household consumption
expenditure. These items will be selected on the basis of analysis conducted
on items in the Household Living Standards Surveys.
Shock factors: We propose to add some questions about shocks households
experienced since the survey time in 2007. This information is very
important for modeling the impact process, especially when the shocks are
not randomly distributed among surveyed households in control and
treatment groups. Shocks could affect estimated program impacts if they are
not included in the model. Moreover, an important element of poverty
analysis is tracking the ability of households to recover from shocks and the
contribution the ability of the anti-poverty program to support such
recovery.
Cultural sensitivity: The BLS 2007 questionnaire does not capture
differences in culture and custom among ethnic minorities. There are only a
few questions in the Self- Assessment section, asking respondents to compare
his or her culture and custom to the culture and custom of the Kinh ethnic
group. These questions were not fully understood by the minority
respondents and the data turned out to be not useful. Culture and custom are
important determining factors for the socio-economic development of each
community. We propose that the IES 2011 questionnaire include a carefully-
designed section on this. To support design of this module, our team includes
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an expert in ethnographic fieldwork methodologies. The recommended
module will include qualitative ethnographically-informed data to reveal
cultural complexity and ethnic group representation. National targeting
programmes have tended to lump together the 53/54 distinct ethnic
groups and 200 sub-groups (seven main language families) into a single
homogenous category (ethnic minority). This may have made planning
(and survey work) easier but says little about the various peoples’
perspectives for targeting purposes. The IES 2011 will contribute to
creation of a detailed and meticulous ethnographic study and cultural
mapping of national ethnic or language groups (Mon-Khmer, Tai-Thai,
Austro-Asiatic, Hmong-Mien/Yao, Tibeto-Burman, Kadai, Hoa/Sinitic).
While the BLS 2007 provided a standard set of questions for all ethnic
groups, the IES 2011 will consider offering a section with appropriate set
of questions corresponding to different ethnicity. Relevant detailed
documentation about all ethno-linguistic groups can be fed back into the
national statistical survey base.
In some instances survey enumerators may need to undertake
their work in vernacular languages. This is of signal importance given that
the highest incidence of poverty noted in the 2007 BLS was for those who
spoke no or little Vietnamese language.
The 2007 BLS did not include the Tibeto-Burman language family:
Cong (Xam Khong, Mang Nhe, and Xa Xeng), Hani (Người Hà Nhì), Lahu,
Lo Lo (Yi), Phu La, and Si La, or the Kadai (kradai) language family: Co Lao
(Gelao), La Chi, La Ha, and Pu Peo. Speakers of those languages are mostly
inhabitants of remote northwest and northeastern provinces, which are
among the poorest areas. The 2007 BLS excludes also another four ethnic
groups: two from Austro-asiatic language family - Gia-rai and Cho-ro, and
seven from the Mon-Khmer language family - Xtieng, Ch’ru, Ma, Brau,
Khang, O-Du, and Churt. Although these numbers may be numerically
small in relative terms, 16 groups were not included (the BLS says 14
groups but it also omitted the Cong and Hani). In other words while 37
out of 53 ethnic minority groups were included in the first survey, nearly
one-third of all ethnic minority groups were excluded. Given the
government’s commitment to improving the lives of ethnic minorities in
Vietnam, we strongly recommend ensuring full coverage of them.
Open-ended qualitative section: The IES 2011 will enhance coverage of
human dimensions by including selected open-ended qualitative
questions so as to include local voices and vernacular perspectives.
Documentation will be undertaken among selected communes across all
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seven main language families. This will include concerns, successes and
dilemmas from the viewpoint of the ethnic minorities.
Difference in return to characteristics: According to IRC (2010) report
on “The Poverty Situation of the Ethnic Minorities under P135-II”,
inequality in living standards between the minorities and the Kinh are
explained by two factors: “differences in characteristics” and “differences
in returns to characteristics.” The report shows that the former reason
can only explain one-third of the income inequality between the
minorities and the Kinh. This implies that income inequality among these
groups is explained mainly by the latter. One possible interpretation of
this result is that minorities suffer substantial discrimination. Differences
in returns to characteristics result from differences in property (real
estate) ownership, access to public services, infrastructure, and culture.
Further study is required to obtain more complete understanding of these
remarkable differences. We propose adding some questions that can
further illuminate the sources of “differences in returns to
characteristics.” We will aim to do this as efficiently as possible and at
reasonable cost.
Production support component: Experience from our evaluation of the
effectiveness of budget support shows that the production support
component that gives agricultural equipment to poor households is not
efficient. The reason is that the equipment provided was selected by
district officials without consulting the recipients and does not meet the
recipients’ needs. BLS 2007 did not cover this issue. Therefore, we
propose to add some questions focusing on this asking about this
program component.
Addition of P135-III components: The IES 2011 questionnaire will also
serve as a benchmark for the new P135-III program during 2012 - 2015.
Therefore, we propose that it include some questions focusing on
changes/differences in the content and components of P135-II and P135-
III.
Reduction of content:
o Extension of the questionnaire content can increase errors in data
collection due to respondent and enumerator fatigue. We propose to
compensate for adding the content described above by reducing
content in other sections of the IES 2011. In particular, we plan to
remove questions that appeared in BLS 2007 questionnaire whose
information remains unchanged over time. For instance, we can
eliminate questions on educational background of people who no
longer enrolled in school at the time of the 2007 interview, age, date
of birth, gender, and race for the household members who were
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interviewed in the BLS 2007. We would only ask these questions
about new household members.
o We propose to reduce the number of indicators used to measure
socio-economic development and the household and commune
levels. This will decrease questionnaire size and reduce the time
required for data collection, thereby lowering the average cost of
surveying the households. We suggest removing certain indicators
such as the finance indicators, the number of completed projects,
the degree of school fee reduction, and so on. This survey would
focus on outcome and impact indicators.
Commune Questionnaire
Omission of content unchanged overtime: The same approach should be
used to revise the commune questionnaire. We will exclude question
related to sex, ethnicity, and number of years living in the commune for
the commune officers who were already interviewed in the BLS 2007.
Decentralization and commune investment ownership: On our recent
assignments with IFAD and the field trip for Budget Support evaluation to
Phu Tho, Quang Nam, Quang Ngai, Gia Lai, Ha Giang, Bac Can and Cao
Bang to interview commune leaders who were in-charge of P135-II
implementation, we found that the guidelines for investment commune
ownership were not strictly applied. In particular, some communes did
not have the right to select their projects or service providers because the
decisions were implemented at the district level. To some degree this was
due to poor administrative capacities of some commune officers (they
were not capable of handling the implementation procedures for the
projects, especially as related to the financial statements): the districts
had to deal with all of the procedures for them. On the other hand, the
capacity training for commune officers was considered not useful. The
BLS 2007 questionnaire did not capture these issues, and we propose to
follow up on them with the new questionnaires. The commune
questionnaire for IES 2011 will capture the issues of decentralization and
investment commune ownership through a set of questions that will be
able to elicit the reality at communes in terms of investment ownership
implementation.
Updating the Survey Manual
Updates will be necessary to reflect changes in the questionnaires. In the manual, we
will highlight the changes between BLS 2007 and IES 2011. In addition, based on our
experience, the interviewers were reluctant to consult the manual to check on questions
65
they might not fully understand during the interview. Clearly, this could adversely affect the
quality of data. To improve the efficiency of using the manual, we will provide key
explanations right on the same page as each question so that it helps the interviewers to
easily review the purpose of the question.
Input: 7 working days for each national consultant x 4 persons = 28 working days
5 working days for each international consultant x 1 person = 5 working days
1.4 Data Entry Design
Data entry design also plays a very important role in terms of controlling non-
sampling errors. We propose that the data entry be done using Cs. Pro software, which is
widely recognized and used in household surveys. In order to ensure high-quality data, and
limit non-sampling error, we will code the program to detect and flag errors in the data
entry process. The checking program will exploit information collected in the BLS 2007. For
instance, information on age, gender, race, and education from BLS 2007 will be used to
guide the data cleaning process. Information in BLS 2007 that remains unchanged over time
will be used for checking the accuracy of information collected in IES 2011. We will recruit a
computer expert from the Center for Statistical Information Services of the General
Statistics Office to develop the data entry program.
Input: 25 working days for one national consultant x 1 person = 25 working days
2. Survey Implementation and Management
2.1 Time management
The time factor is one of the most important requirements of the survey. The faster
the survey is done, the earlier the impact evaluation of P135-II can be done. Moreover, we
will report on the pro and cons of the P135-II project implementation procedures to
provide guidance for P135-III and future projects. The BLS 2007 survey took a long time
starting from the sampling design until dissemination of the survey results: December 2006
– August 2008. The process of data collection, data entry, and data cleaning takes most of
the time. Moreover, the survey is divided into multiple stages (design, pilot study, training,
fieldwork, data entry, data cleaning, and analysis). The stages are often conducted in
sequence, so the whole procedure takes a long time to complete. To meet the time
requirement specified in the TOR and to ensure the quality of the data, we propose that
data collection, data entry, data cleaning, and early phases of analysis be carried out
simultaneously. In addition, producing the output tables for analysis, formatting the
data structure and estimating econometric models will also be implemented at the same
time with data collection process. Data cleaning programs will be implemented as soon
as the data of the first household is sent back to Hanoi and entered on the computer.
Using this approach, we could reduce substantially the time of implementation and be
confident of meeting the time requirement mentioned in the TOR.
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2.2 Questionnaire consultation workshop
We propose organizing a one-day consultation workshop on the questionnaires.
The first draft of the questionnaires will be sent to all participants one week before
workshop. In the workshop, we will present the main content of the questionnaire and
ask the participants to give their comments. The participants will be drawn from
ministries, agencies, and donors. In addition, we will invite two participants from CEMA
at the provincial level, two from the district level and two from communes that belong
to P135-II and who are directly evolved in the implementation of P135-II. The
comments from participants on the questionnaires should be valuable for us to ensure
that the questionnaires reflect all aspects that we need to cover.
Input: 2 working days for each national consultant x 3 persons = 6 working days
1 working day for each interpreter x 2 persons = 2 working days
2.3 Piloting and finalization of questionnaires
Pilot studies play an important role in designing a comprehensive and reliable
questionnaire. Pilot studies help to detect errors and to identify incompatible questions in
the questionnaire. Importantly, we can use the pilot study to check whether removing some
questions affects the overall usefulness of the results and to test our assumption about data
we expect to have been unchanged since 2007. To achieve a high-quality pilot study, we will
select two communes that were studied in 2007: one in the control group and one in the
treatment group. Surveying all the households in these two communes will bring out a
highly accurate evaluation of the IES 2011 questionnaires. The comparison of the data over
two time-periods will facilitate our data cleaning and data analysis designs. In addition,
conducting the pilot in two communes of BLS 2007 will provide information about the
percentage of households that are un-responsive or cannot be found.
Input: 4 days for each of each national consultants x 3 persons= 12 working days
4 days for 1 international consultant = 4 working days
2.4 Recruit the interviewers and supervisors
The quality of interviewers and supervisors determines the quality of the data. We
will recruit two to three experienced interviewers from Provincial Statistics Offices in the
surveyed provinces. Each one will have been an interviewer for the Vietnam Living
Standard Surveys. The supervisors will be recruited from the General Statistics Office and
from our staff. We will recruit 15% more participants for the training courses so that we
can select the best candidates for administering the survey. This strategy will also give us a
certain number of reserve interviewers in case any interviewers cannot continue to
participate for any reason.
67
2.5 Training of interviewers for data collection
The TOR requires the contractor to “... train key members of the teams of the survey
enumerators who will then train the survey enumerators, monitor and supervise the
implementation of the survey and supervise data input and cleaning.” Our experience shows
that using the two-stage approach may not be ideal because the trainers that emerge from
the first-stage are not homogenous. The least-skilled among them might not fully transmit
all of the necessary content to the interviewers, leading to inconsistent quality of survey
enumerators and monitors. In addition, this could increase the cost of training, depending
on where the training is organized; recall that the sample is distributed over 43 provinces.
We propose that we will give the direct training to the supervisors, survey enumerators,
and monitors. The designers of the questionnaire will be the trainers because they
understand the content of questionnaire and purpose of each question much better than
others. We will organize three training events (one each in the North, Central, and South
parts of the survey coverage).
The training method has a substantial influence on data quality. Our training method
helps interviewers to have a thorough understanding of the idea and implication in each
question. In addition, gaining trust from households will contribute to the success of data
collection. Our recent research on non-sampling error shows that the interview
environment plays significant role in reducing non-sampling error and missing values.3 Our
training method will emphasize the skills of interviewers and the interaction between
interviewers and respondents. In each section, after the completion of lecture, a
demonstration interview will be conducted and by turn, each pair of interviewers will
interview each other and the other interviewers will give their assessment and
recommendations for improvement. In addition to that, we will organize a one-day field trip
for interviewers to go to the field for real practice. At the end of training, an exam will be
given and only interviewers who passed the exam will be selected to conduct data
collection. We propose that each training session will take 6 days and will require two
lecturers.
Input: 9 days for each national consultants (3 days for lecture preparation, two
consultants for each training) x 6 persons = 54 working days
2.6 Organization of Data collection
We will organize the interviewers into teams. Our experience shows that working in
teams improves interviewers’ knowledge, plus they can exchange ideas on any issues that
arise during interviews. We propose that we will have 20 teams, with each team including
3 Non-sampling Error and Data quality: Evidence from Vulnerability Survey in
Thailand and Vietnam- Tung Phung Duc, Hermann Waibel, 2010.
68
one team leader and 4 interviewers. The team leader will work with the local authorities,
make interview plans, distribute work among team members, and monitor the data
collection process. The team leader will also interview commune officers to complete the
commune questionnaire. In addition, we will assign 5 supervisors (each for 4 teams) who
will supervise the implementation and control the quality of his teams. The BLS 2007 shows
that 30% of the interviews were implemented with the support of interpreters and we will
plan for the same degree of support from interpreters for IES 2011. As the quality of data
will be affected by the quality of interpreter, we propose using BLS 2007 to identify
households that are to interviewed with interpreters and then we will ask the survey teams
to contact the commune leaders in advance to identify the best interpreter in that
commune. The strong partnership that we have established with Provincial Statistics Offices
(PSO) at selected provinces will facilitate and smooth our fieldwork process. The experience
and understanding of cultural, demographic, and geographic characteristics at the local
provided by PSOs will ensure the data collected at high quality.
There are two strong reasons to have a limited number (20) of interview teams.
First, a smaller number of teams allow us to use only the best interviewers. Second, with
fewer teams, each one gains more extensive experience and thereby reduces non-sampling
errors. Our experience shows that during the first two weeks of fieldwork the learning
curve is steepest and adaptation to the working environment is most intense. Non-sampling
errors often occur during the first two weeks. We propose to have 20 survey teams working
in 2 months each in order to minimize the non-sampling errors as we could have better
survey management, better quality control, and interviewers have more time for
adaptation.
The total time estimated for completion of the fieldwork is as follows:
Total of survey households: 6,000 households
Total of survey communes: 400 communes
Number of household interviews needs the interpreters: 2,000 households
Total of survey teams: 20 teams
Total of interviewers per team: 4 interviewers
Total of team leader per team: 1 team leader
Each team has to survey 20 communes
Each interviewer will complete two household questionnaires per day
Each team will complete 8 household questionnaires per day
Each team will complete one commune in two days
The travel time from commune to commune for each team: 1 day
The total time for complete one commune per team is about 3 days
69
Total survey time is around 65 days (20 communes x 3 days + 5 days for travel from
province to province).
Input:
o Supervisors: 5 persons x 65 days = 325 working days
o Survey team leaders: 65 days x 20 teams = 1,300 working days
o Interviewers: 65 days x 20 teams x 4 persons per team = 5,200 working days
o Number of working days for interpreters: 2,000 households/2 = 1,000 working
days
2.7 Fieldwork Plan
We will develop a detail work plan for each team before they go to the field. Each
work plan will provide detailed information about the date and time that the team will go to
each commune and the interview time for each survey household. Each plan will also be
sent to the commune leaders of the survey communes one week in advance so they can
inform the survey households and the officers who will participate in the interview of the
commune questionnaire. In addition, the team leader will give a reminder call one day
before the team goes to the commune. With this approach, we ensure that the fieldwork will
be implemented as scheduled.
2.8 Quality Control
Supervision will be carried out throughout the data collection process. Apart from
attending the interviews, supervisors will do random checks on households to make sure
that all interviewers follow the interview procedure and record accurate information.
Supervision work will be circulated from one team to another. Supervisors will be in charge
of teams whose fieldwork locations are in close proximity in order to save transportation
costs. We will also develop the quality control check forms for supervisors. These forms
specify the supervisors’ tasks and they will help supervisors to record all their findings and
recommendations for each team during their visits. Supervisors will organize meetings with
each team after each visit and give the team his assessment and recommendations.
We will extract the basic information from BLS 2007, including the household
member list, key information of household members such as age, sex, education, occupation,
key household information including housing, land size, and income from different sources.
The interviewers will review this information before doing the interview. This information
will be very helpful for interviewers to recheck doubtful answers and thereby improve the
quality of the data. In addition, completed questionnaires will be exchanged among the
interviewers for double-checking. If missing values or doubtful answers are found, the
interviewers will return to the household to refine the information or to fill in the missing
information. In order to make sure that interviewers thoroughly understand their tasks, we
will set up a “hotline” that will be available all days for interviewers to contact when they
have questions.
70
Input: 5 working days for one national consultant to extract the BLS 2007 data x 1
person = 5 working days.
2.9 Organization of Data Entry and Cleaning
When the final questionnaires are approved, we will develop the data entry
protocols and recruit the computer operators who will carry out data entry. The computer
operators will be recruited from the Center for Statistical Information Services of the
General Statistics Office; they will be provided two-day training on the data entry program.
In order to meet the timeline, we will ask the survey teams send back their completed
questionnaires right after they leave the survey commune. We will recruit 20 computer
operators. The protocol will require double-data entry to minimize data entry errors. The
total time estimated for data entry is as below:
Total of household questionnaires: 6,000 questionnaires
Total of commune questionnaires: 400 communes
Total of computer operators: 20 persons
Each computer operator could complete: 10 household questionnaires per day
Each computer operator could complete: 20 household questionnaires per day
Total time for completion of the first data entry for household questionnaires: 30
days
Total time for completion of the first data entry for commune questionnaires: 1 day
Total time for completion of the first data entry: 31 days
Therefore, the data entry could be completed one week after completion of the
fieldwork. Data cleaning will begin immediately after the completion of the first round of
data entry and it will continue with the second round by comparing the results across the
two data sets. After the completion of the data cleaning, we will transfer the data into
formats used by statistical analysis software such as STATA, SPSS, and SAS. The data sets
will include a label for each variable so users can easily find the variable that corresponds to
each question. We will also develop the data dictionary that describes in detail each file of
the data set and each variable in the data set so that it will be user-friendly.
Input:
Computer operators: 20 persons x 62 working days for each = 1,240 working days
Data cleaning: 10 working days for each national consultant x 4 persons=40 working
days
2.10 Survey Documentation
Most of the surveys in Vietnam lack adequate survey documentation, which creates
difficulties for users to fully understand the survey design and implementation, and hinders
use of successful designs for new surveys. Our survey documentation will describe in detail
71
all steps from design to analysis of this survey. This will be useful to survey data users and
will be a good reference for the next survey of P135-III.
Input: 5 working days for each national consultant x 1 person=5 working days
3. Data analysis
The Scope of Work section in the TOR requires the team to “… carry out
preliminary analysis of the dataset, including presenting data in tabular format, and
complete a descriptive report of the survey data...” We will meet this requirement by
providing a detailed descriptive report of the survey data. However, given the overall
objectives of the IES 2011 and taking into account our expertise and experience, we
propose going beyond the basic requirements set in the TOR. In particular, we propose
undertaking a formal impact evaluation. The BLS 2007 sampling design supports impact
evaluation based on quasi-experimental methods, the most common of which is the
difference–in–differences (DD) method.4 The DD method is based on the following
regression equation:
, Zit ittitiit PTPTy
where:
ity is an outcome indicator;
iT is the time dummy (T=0 when the data is 2007, T=1 when the data is
2011);
tP is the group dummy variable ( 1tP for treatment group, 0tP for
control group);
ti PT is the interaction of the time dummy and the group dummy;
itZ is a vector of control variables;
is the impact of the P135-II on the outcome indicator;
t is time factor, i represents household/commune variables
The content and structure of the Impact Evaluation Study 2011 are outlined in part
3.1, below. The results will be presented in examples of Table 1 and Table 2 as shown at the
end of section 3.
Section 1.3 points out that a large share of ethnic minorities’ welfare shortfall
relative to the ethnic majority appears to be due to “differences in returns to
characteristics.” It is of great interest to explore this issue further. State-of-the art
4 A very clear elementary presentation of the DD method is in Introductory Econometrics, Fourth Edition,
by Jeffrey M. Wooldridge (2009), pages 451-455.
72
econometric analysis can be applied to estimate these differences and to determine which
characteristics are most relevant. One of our team members has published a paper in which
this analysis was conducted. We plan to apply that analysis for the IES 2011 data.5
The results of the Impact Evaluation Study 2011 will contribute substantial input for
improving the implementation of P135-III. Therefore, we will devote all members of our
team to the analysis process to ensure that the analysis is completed on time.
3.1 Outline Report of the Survey
This report goes beyond the purpose of a descriptive baseline survey report and
incorporates in-depth analysis of poverty situations with important calculated welfare index.
This report will provide a comprehensive picture of poverty situation and the situation in
comparison with other groups for effective policy recommendation.
Executive summary
Executive Summary provides a summary of the main findings, presents the
poverty profile of ethnic minorities, outlines the impacts of P135-II, and forecasts the
challenges ahead for P135-III.
Introduction
This provides a short introduction on the context of the survey (i.e., the end of
P135-II is drawing near and the next stage is awaiting approval), the purpose of the
report, methodologies adopted in the analysis, and structure of the report.
Part 1: Introduction to the IES 2011
The first part of the report will describe the survey with a focus on the purposes
of the survey, the sampling procedure, and features of the survey design. It will also
describe the implementation process and quality control processes. Most importantly,
this part will present a number of statistical tests to demonstrate the quality of the
survey. A simple description of the survey data and how it can be linked to the BLS 2007
survey will also be highlighted.
Part 2: Poverty Profile of Ethnic Minorities
This part is proposed to respond to the first and third overall objectives of the
assignment.
5 Nguyen, Binh, James Albrecht, Susan Vroman, and Daniel Westbrook (2007). A Quantile
Regression Decomposition of Urban-Rural Inequality in Viet Nam, Journal of Development Economics, 83
(2), July 2007: 466 – 490.
73
Poverty among ethnic minorities is high and multifaceted but the current
understanding of poor ethnic minorities is still limited due to data constraints. The BLS
2007 represents a first step towards overcoming this challenge and it remains arguably
the most comprehensive household survey on ethnic minorities. BLS 2007 has been the
main data source for recent advances in our understanding of economic development of
ethnic minorities, as reflected in papers and reports such as UNDP and CEMA (2009),
IRC (2010), and Pham (2010).
As this survey will be a repeat of the BLS 2007 after five years (with certain
modifications), it will provide an invaluable data source that will enhance the current
understanding of poor ethnic minorities, and it will support documentation of trends in
their situation. Compared to the 2007 BLS, this survey covers a ‘stormy’ period of
Vietnam’s economic growth. It is likely that the impacts of recent economic difficulties
and external shocks have been transmitted to the poor (of which 56 percent are ethnic
minorities – using VHLSS 2008). Clearly, the panel of households available between the
BLS 2007 and IES 2011 will be tremendously informative in this regard. This pair of
surveys provides probably the first opportunity to shed light on poverty dynamics of
ethnic minorities in Vietnam. Therefore, the first section of the report will depict an in-
depth profile of poor ethnic minorities with a focus on poverty dynamics. This part will
cover the following key issues/sub-sections:
Overall poverty trends among the ethnic minorities;
Poverty dynamics of ethnic minorities: who are the transient poor? Who
are the chronic poor? What are the differences between transient poor
and chronic poor? What are the determinants of poverty dynamics?
How have the recent economic shocks been transmitted to the poor
among ethnic minorities? This question could be answered by
constructing a number of counter-factual scenarios by comparing the
current outcomes with the counter-factual outcome using the 2007 BLS
under different assumptions of food prices, inflation, etc.
Characteristics of the poor ethnic minorities: spatial pattern, endowment
of productive assets, livelihoods (on-farm and off-farm), access to public
services and infrastructures of the surveyed population will be
documented.
Part 3: Impacts of P135-II on Outcomes and Living Conditions of Ethnic
Minorities
This part responds to the second and third overall objectives of the assignment:
to identify and estimate the impacts of P135-II as a part of a final evaluation of the
Program. In addition, this part will address the third overall objective, as it will serve as
a “quantitative baseline” of P135-IIIbaseline.
74
As (the extended) P135-II is approaching an end and the next stage is currently
waiting for approval, informing impact evaluations of the Program is essential as part of
the final evaluation of P135-II. One special feature of P135-II is that the Program has
been evolving over time. After the approval of P135-II through Decision 07/2006/QĐ-
TTg, there have been a large number of decisions, circulars, and other technical
documents that add and/or clarify different components/activities of the Program. It is
thus imperative to decide on the list of outcomes/impacts indicators of P135-II for the
analysis of impact evaluation. The Program Design Document, Decision 07/2006/QĐ-
TTg and many others related legislative and technical documents will be reviewed for
the selection of the most important indicators that best describe the outcomes and
impacts of P135-II.
Based on the selected indicators, part 3 will use the BLS 2007 and the IES 2011
datasets to analyze the progresses of P135-II across every selected indicator. Taking
this advantage of the survey designs, the outcome and impacts of P135-II, displayed
through the selected indicators, will be calculated for both control and treatment groups
in order to calculate the final impact of P135-II.
Part 4: Challenges for Poverty Reduction for Ethnic Minorities and P135-
III
This part responds to the third overall objective of the assignment; more
importantly, and more importantly, addresses some implications/challenges for the
next stage of Program 135-III, which will be implemented during 2012-2015. The focus
of this part will be placed on the followings:
We will re-visit the ethnic welfare gap. This will involve calculating the
income gaps between the ethnic majority and each of 14 ethnic groups.
The gaps will be decomposed into components due to differences in
characteristics and differences in the returns to characteristics to explain
the driving forces behind the gaps. In addition, as data on expenditure are
available, we can extend previous analyses of the ethnic welfare gaps that
were based on previous waves of the VHLSSs (see IRC, 2010 for a
review).
We will review the advantages of having ethnically responsive
interventions by highlighting the responses different ethnic groups had to
elements of P135-II. This should help guide the development of future
poverty reduction efforts that target ethnic minorities.
We will develop data-based supporting arguments for priorities of P135-
III, including: which groups of poor ethnic minorities should be targeted,
which geographic areas should be prioritized, which types of
interventions best address the needs of particular ethnic minorities, and
75
which types of interventions are most effective in different geographical
and demographical regions.
Conclusion
The concluding section of the report will presents major findings and policy
recommendations. The guidelines and important remarks on the use of the survey data
will also be offered at the conclusion.
Appendix
Input: 30 working days for each national consultant x 5 persons=150 working days
15 working days for each international consultants x 2 persons = 30 working days
76
Example of Table 1: Outcome/Impact Indicators (for instance: income, poverty rate, and so on).
Indicators
BLS 2007
IES 2011 Impact Estimates
Treatment Group
Control Group Difference Between
Treatment and Control
Groups
P-value for the t-statistic
on the Difference
Treatment Group
Control Group Difference Between
Treatment and Control
Groups
P-value for the t-statistic
on the Difference
Difference in Differences
Estimator of the Impact
P-value for the t-statistic
on the DD Estimator
Poverty Rate Income per capita
Elementary enrollment rate
etc.
Example of Table 2: Impacts on Poverty Rates by Ethnic Group.
Dependent Variable
BLS 2007 IES 2011 Impact Estimates Treatment
Group Control Group Difference
Between Treatment
and Control Groups
P-value for the t-statistic
on the Difference
Treatment Group
Control Group Difference Between
Treatment and Control
Groups
P-value for the t-statistic
on the Difference
Difference in Differences
Estimator of the Impact
P-value for the t-statistic
on the DD Estimator
Kinh and Hoa Tay Muong Nung etc.
77
4. Detail Work plan and Expected Output
Description Sep October November December 2012-Jan 2012-Fre 2012-Mar Expected output
W4 W1 W2 W3 W4 W1 W2 W3 W4 W1 W2 W3 W4 W1 W2 W3 W4 W1 W2 W3 W4 W1 W2 W3 W4
Review and develop the first draft of questionnaires and manual
First draft of questionnaires and manual
Questionnaire Consultation Workshop
Revised questionnaires and manuals
Piloting and finalization of questionnaires
Final questionnaires and manuals
Design Data Entry Data entry program
Recruit the interviewers and supervisors
List of interviewers and supervisors
Training of interviewers for data collection
Interviewers and supervisors are trained
Printing Questionnaires and Manuals
6500 household questionnaires and 450 commune questionnaires, 120 manuals
Develop the Fieldwork Plan
20 work plan for 20 teams
Develop the Quality Control Forms
Set of Quality Control Forms
Data collection 6000 completed household questionnaires, 400 completed commune questionnaires
Data entry and cleaning
Data for first and second round of entry, cleaning data
Formatting data and labeling variables
Data in STATA, SPSS and SAS format, Data dictionary
Develop Survey Document
A comprehensive report on survey
Data analysis A comprehensive analysis report
78
5. Cooperation and consultation mechanisms with all relevant
stakeholders
Cooperation and guidance of CEMA, local and national authorities, and the donor
community are crucial for producing a high-quality survey. Moreover, administrative
support from local and national authorities will significantly facilitate our work. To make
the most of the cooperation and support, we would like to organize frequent meetings
between the entities listed above and the project personnel to discuss results after
completion of each stage.
6. Management board and Logistic Arrangement
Supervision by the Management Board and careful logistic arrangement play a
highly important role in the success of the survey. We will set up a Management Board for
this project that includes two full time persons.. One member of the board will be the team
leader of this assignment. This person will responsible for implementation and quality
assurance of all project activities. The team leader will construct a detailed work plan and
assign task to each team member and will review and approve all outputs. In addition, he will
provide instruction for fieldwork and address all issues and problems that arise in the field..
The full-time administrative staff in Management Broad will be responsible for all logistic
arrangement, including travel and accommodation arrangement, and contract with local
authorities to ensure that the survey is implemented in accordance with the work plan.
7. Recommendations on TOR
The TOR clearly defines all the objectives of the survey. However, we think that the
TOR should be improved with respect to the following issues.
Time schedule:
The time schedule for the fieldwork proposed in the TOR is rather tight (only one
month). Our experience from current surveys and the history of other extensive survey in
Vietnam suggest that it will be difficult to complete the survey with the desired level of
quality in such a short time frame. (The fieldworks of Vietnam Living Standard Survey 1993
and 1997 took 12 months, VHLSS surveys were completed in four months, Vietnam
National Health Survey took 10 months). In addition, as mentioned in section 2.6, non-
sampling error caused by data collection often occurs during the first two weeks of the
fieldwork. We suggest that the quality of survey will be better if we provide ample time for
each interview and have a relatively small number of high-quality teams that conduct many
interviews (and thereby gain a great deal of experience). We therefore propose that the
fieldwork be conducted over 65 days.
79
Financial score formula:
The TOR does not specify the sample size of the survey, leaving decision to the firm. Even though this option provides flexibility for firms, it will make the financial score formula in row 8 Annex one section C unsuitable since the total cost of the survey depends heavily on the sample size. The financial score used in this TOR produces a very strong incentive to choose a small sample size, which will be detrimental to the project. In particular, the precision with which impacts can be estimated and the power of statistical tests are both enhanced by larger sample sizes. This is likely to be a critical concern for ethnic minorities or geographical areas that have small populations. It will be impossible to get reliable results for these groups if the sample size is too small. In fact, the original sample size of 6,000 was chosen for the BLS 2007 to address these concerns.
We propose to revise the formula to calculate the financial score as below:
The original formula in Annex I of TOR:
F
FS m
f 1000
Where:
fS is the financial score
mF is the lowest bid
F is the price of the proposal under consideration
We propose the following formula:
m
mf
S
S
F
FS .1000
Where:
S is the sample size proposed by the proposal under consideration
mS is the sample size proposed by the lowest price bidder.
This adjustment relates the financial score to the average cost per household
surveyed and it removes the incentive to choose an arbitrarily smaller sample size.
Consultant qualification requirement:
The TOR (under Requirement for the Personnel section) provides
comprehensive requirements for all key consultants to implement this assignment.
However, special skills and background vary across particular activities. Therefore, we
think it would be better if the TOR could specify the detailed requirements for each
team member.
80
8. Alternatives to addressed cost and efficiency factors
Cost of survey is strongly correlated to sample size. In case we do not have enough
resource to cover all of the surveyed households in BLS 2007, we should consider taking out
the objective of measuring the impact of investment ownership communes. This approach
could only meet the partial requirement of the first core objective and might not satisfy the
third core objective. In this case, we could reduce the sample size of IES 2011 to 4000
households and apply the following cost equation:
mnCnCCC 210
Whereby,
n = number of survey communes
m = number of survey households in each commune
C = total cost of the project
0C = fixed cost for the survey, fixed cost is independent of number of survey
communes and survey households, fixed cost includes questionnaire design
cost, sampling design cost, etc.
1C = average cost of the survey for one additional commune.
2C = average cost of the survey for one additional household
The cost equation and data analysis of BLS 2007 survey helps to decide whether to
cut down either the number of total communes or the number of households per commune.
81
9. Personnel input
Stage No. of Consultant
No. of working
days for each
person
Total number
of working
days
Sampling Design 1 National 10 10
Questionnaire Design 4 National 7 28
1 International 5 5
Questionnaire
Consultation
Workshop
3 national 2 6
2 interpreters 1 2
Piloting and
finalization of
questionnaire
3 national 4 12
1 international 4 4
Data Entry Program
Design 1 National 25 25
Data collection
training
6 National
3 (lecture
preparation) 54
6 (trainings of
interviewers)
Data Collection
5 supervisors 65 325
20 team leaders for survey 65 1300
80 Interviewers (4 persons
per team) 65 5200
Interpreters for 2000
households 1000
Extract of BLS 2007
data 1 National 5 5
Data Entry Training 1 National
1 (lecture
preparation) 3
2 (training)
Data Entry and
Cleaning
20 Computer operators 62 1240
4 National 10 40
Survey
Documentation 1 National 5 5
Data analysis &
Report Writing
5 National 30 150
2 international 15 30
