1. Delays in the Government of Vietnam approval process of four pipeline investments hinder the achievement of AIP 2015 -2020 strategic objectives. DFAT Hanoi raised concerns with Ministry of Planning and Investment about the new Government Decree on ODA that added Prime Ministerial approval at concept level for all group A and B ODA projects. DFAT Hanoi is engaging with MPI and line agencies at working and management level to ensure the design proposals are approved. Aid Management Steering Committee reviews the timeline for concept and design approvals on a monthly and Counsellor (Economic and Development Cooperation) provides an update on progress. DFAT sector teams to intensify efforts with counterparts to develop a shared understanding about the benefits of the proposed designs and next steps in the approval process. Options for how to absorb/reprogram potential underspends to be developed and submitted to the Aid Management Steering Committee to mitigate the impacts delayed implementation has on disbursement. Moderate Yes 2. Slow Government of Vietnam progress of institutional reform in the AIP focus areas (private sector development, gender equality and human resource development) and the reliance on few individual champions to drive the change process may lead to inability to sustain investment results and AIP strategic objectives. All teams ensured this issue is accounted for in the design and implementation of new investments. Sector teams continue active engagement with a range of different institutions to identify and support other potential reform champions. DFAT has developed new PAF indicators to measure the impact of policy dialogue and influence. Moderate Yes 3. Relationships with Government of Vietnam weaken due to the changes of political context. HOM maintained a schedule of calls and advocacy with key political and line agency counterparts. All teams worked closely with counterpart agencies to identify opportunities for building new and strong relationships. Sector actively engage with a range of different institutions and support other potential reform champions. Sector teams consider alternative mechanisms to support a champion network. Low Yes 4. Insufficient fraud and corruption detection and control mechanisms at investment level may cause reputational damage for DFAT. Sector teams included fraud and corruption detection as an agenda and reporting item for monitoring visits. Corporate section identified high-risk investments for procurement / performance audits and compliance spot-checks. Corporate section conducts fraud and anti-corruption training for staff and partners. New investments use managing contractor models to increase transparency and reduce corruption risk. Program specific risk registers reviewed routinely by sector teams and risk treatments applied. Low Yes
Performance Benchmarks for remainder of Aid Investment Plan Aid objective Performance Benchmark 2017-18 2018-19 2019-20 Objective 1: Enabling and engaging the private sector for development 1.1 Value-for-money transport infrastructure demonstrated and enabled 100% construction complete; 170,000 passengers per day traffic volume; travel time from Ho Chi Minh to Long reduced from 3 – 3.5 hours to 2.5 hours 170,000 passengers per day traffic volume; travel time from Ho Chi Minh to Long Xuyen reduced from 3 – 3.5 hours to 2.5 hours 170,000 passengers benefit daily from project; five million residents of An Giang, Can Tho and Dong Thap provinces benefit from improved regional trade Objective 1: Enabling and engaging the private sector for development 1.2 Promotion of innovative enterprises to enhance service delivery 24 enterprises receiving grants; 14 enterprises raising stage finance 14 enterprises raising stage finance Service delivery improved; 500 new jobs created; additional sales revenue generated Objective 2: Assisting the development and employment of a highly skilled workforce 2.1 Male and female alumni use skills and knowledge to make positive contributions to selected priority areas 80% of alumni employed in position relevant to award skills after 3 years 80% of alumni employed in position relevant to award skills after 3 years 85% of alumni employed in position relevant to award skills after 3 years Objective 2: Assisting the development and employment of a highly skilled workforce 2.2 Stronger workplace enabling environments for improved skills utilisation in selected priority areas. 50 mid-career professionals (including alumni) and 2 targeted institutions demonstrate awareness of gender equitable leadership models 50 mid-career professionals (including alumni) undertake actions within their workplaces that demonstrate awareness of gender equitable leadership models Effective gender equitable leadership models implemented by professionals of targeted institutions Objective 3: Promoting women’s economic empowerment, including ethnic minorities 3.1 Rural women’s livelihood security improved Greater awareness of livelihood opportunities among women; acquisition of knowledge and skills Women’s income options diversified Increase in rural women’s farm/nonfarm incomes Objective 3: Promoting women’s economic empowerment, including ethnic minorities 3.2 empowerment Awareness of mechanisms to improve women’s participation and leadership Greater opportunities for women’s voice and empowerment realised Evidence of informal and formal community level decisions more influenced by women’s voice
Annex D - Aid Quality Check ratings AQC ratings Investment name Approved budget and duration year on year Relevance Effectiveness Efficiency Monitoring and Evaluation Sustainability Gender equality Risks and Safeguards INJ577 Integrated Coastal Management Program (ICMP) $21 m 2017 AQC 5 5 5 5 5 5 n/a 2013-18 2016 AQC 5 5 5 5 5 4 5 INL487Aus4Skills $17 m 2017 AQC 5 5 5 5 4 5 n/a 2016-19 2016 AQC n/a n/a n/a n/a n/a n/a n/a INL081Climate Innovation Center (VCIC) $3 m 2017 AQC 6 5 4 5 4 4 n/a 2013-18 2016 AQC 5 4 3 4 4 3 4 INK042 Cao Lanh M&E Social Development, Diplomacy & Civil Work $130.5m 2017 AQC 5 4 5 5 5 5 n/a 2011 -21 2016 AQC 5 5 6 5 5 4 5 INL354 Restructuring Competitive Vietnam (RCV) $3.6m 2017 AQC 5 4 4 4 5 4 n/a 2014-17 2016 AQC 5 5 5 3 5 4 4 Definitions of rating scale: Satisfactory (4, 5 and 6) 6 = Very good; satisfies criteria in all areas. 5 = Good; satisfies criteria in almost all areas. 4 = Adequate; on balance, satisfies criteria; does not fail in any major area. Less than satisfactory (1, 2 and 3) 3 = Less than adequate; on balance does not satisfy criteria and/or in at least one major area. 2 = Poor; does not satisfy criteria in major areas. 1 = Very poor; does not satisfy criteria in many major area.
Annex E – Performance Assessment Framework Insert Performance Assessment Framework Annual Progress Targets/Milestones Intermediate Outcome Intermediate Outcome Indicator Milestone 2015-2016 Milestone 2016-2017 Milestone 2017-2018 Milestone 2018-2019 Milestone 2019-2020 Data source and baseline Australia’s aid objective 1 Enabling and engaging the private sector for development 1.1 Value-for-money transport infrastructure demonstrated and enabled Cao Lanh Bridge and utilised 60% construction complete 90% construction complete 100% construction complete; 170,000 passengers per day traffic volume; travel time from Ho Chi Minh to Long Xuyen reduced from hours to 2.5 hours 170,000 passengers per day traffic volume; travel time from Ho Chi Minh to Long Xuyen reduced from 3-3.5 hours to 2.5 hours 170,000 passengers benefit daily from project; five million residents of An Can Tho and Dong Thap provinces benefit from improved regional trade Traffic and travel time surveys Report from review missions. Reports from the DDIS TA consultants Project Completion report Benefit monitoring and evaluation report Enhanced ODA project preparation including technical quality, capacity building and streamlined approval process Investment concept Investment design complete 3 pre-feasibility studies completed 3 pre-feasibility studies completed; co-financing of demonstration infrastructure 4 pre-feasibility studies completed; larger pipeline of investments for financing; improved MOT approach to pre-feasibility Investment documents Baseline: aid investment analytical assessment 1.2 Promotion of innovative enterprises to enhance service delivery Innovative business models developing and utilising climate smart technology Investment launch 24 enterprises receiving grants 24 enterprises receiving grants; 14 enterprises raising early stage finance 14 enterprises raising early stage finance Service delivery improved; 500 new jobs created; additional sales revenue Investment documents Target: enterprise business Private sector development through improved access to finance and direct mentoring Investment concept Investment design complete of concept in priority areas; mentoring enterprises, financial institutions Provision of loans by financial institutions to enterprises Higher access to social and support services; enterprise growth and employment Investment documents
1.3 Competitive business enabling environment Stronger evidence base and champions for reform. Analytical studies Analytical studies; evidence better utilised in policy making; emerging network of reform stakeholders Analytical studies; evidence better utilised in policy making and evaluating policy; emerging network of reform stakeholders Evidence better utilised in policy making and evaluating policy; emerging network of reform stakeholders Evidence better utilised in policy making and evaluating policy; emerging network of reform stakeholders Investment documents Baseline: aid investment analytical assessment Australia’s aid objective 2 Assisting the development and employment of a highly skilled workforce 2.1 Male and female alumni use skills and knowledge to make positive contributions to selected priority areas. Alumni apply and transfer their new knowledge and skills to contribute positively to their profession. 75% of alumni employed in position relevant to award skills after 3 years 75% of alumni employed in position relevant to skills after 3 years 80% of alumni employed in position relevant to award skills after 3 years 80% of alumni employed in position relevant to award skills after 3 years 85% of alumni employed in position relevant to skills after 3 years Review and Reintegration workshops (annual). Alumni have increased knowledge, skills and confidence 90% Australia Awards recipients completing planned course 90% Australia Awards recipients completing course 90% of Australia Awards recipients completing course 90% of Australia Awards recipients completing course 90% of Australia Awards recipients completing course OASIS, Program MIS (ongoing). 2.2 Stronger workplace enabling environments for improved skills utilisation in selected priority areas. Alumni and selected institutions demonstrate gender equitable leadership models/concepts Human resource development scoping work undertaken Women in Leadership investments developed 50 mid-career professionals (including alumni) and 2 targeted institutions demonstrate awareness of gender equitable leadership models 50 mid-career professionals (including alumni) undertake actions within their workplaces that demonstrates awareness of gender equitable leadership Effective gender equitable leadership models implemented by professionals of targeted institutions Review and Reintegration workshops (annual). Baseline: Program ‘Women in Leadership’ program preparatory data (2015) 80 mid-career professionals (including alumni) demonstrate awareness of gender equitable leadership models 100 mid-career professionals (including alumni) demonstrate awareness of gender equitable leadership Improved skills utilisation practice in selected institutions (e.g. good HR and gender equity Human resource development Human resource development program Strengthened leadership and management skills and improved skills Strengthened leadership and management skills and improved skills utilisation in 4 selected institutions Strengthened leadership and management skills and improved skills utilisation in 4 selected institutions Review and reintegration workshops (annual). Baseline: TBC
practices, competency based frameworks) scoping work undertaken option developed and short courses designed utilisation in 2 selected institutions 2.3 Australia and Vietnam have stronger sustainable in selected sectors / agencies. Alumni establish and maintain effective networks / partnerships in Vietnam and with Australia 45% of Australia Awards alumni who maintain and institutional links 45% of Australia Awards alumni who maintain links 55% of Australia Awards alumni who maintain links 55% of Australia Awards alumni who maintain links 65% of Australia Awards alumni who maintain Surveys and workshops (annual) Baseline: 2008-2015 Program survey data Australia’s aid objective 3 Promoting women’s economic empowerment, including ethnic minorities 3.1 Rural women’s livelihood security improved Women have greater control over the use of household income and assets to strengthen livelihoods Concept developed Program design/ partnership established Greater awareness of livelihood opportunities among women; acquisition of knowledge and skills income options diversified Increase in rural women’s farm/non-farm incomes Investment documents Baseline: aid investment analytical assessment Women have better access to livelihood support services (e.g. financial, technical, agribusiness etc.) Concept developed Program design/ partnership established Strengthening of support service provision; Higher awareness of services Improved outreach of services; Service partnerships established No. of women beneficiaries utilising services; support partnerships in place Investment documents Baseline: aid investment analytical assessment 3.2 Women’s empowerment voice and leadership increased in informal and formal community decision-making processes Concept developed Program established Awareness of mechanisms to improve women’s participation and leadership Greater opportunities for women’s voice and empowerment realised Evidence of informal and formal community decisions more influenced by women’s voice Investment documents Baseline: aid investment analytical assessment Women’s collective knowledge and bargaining power in the market strengthened Concept developed Program design/ partnership established and approved by Government of Vietnam Formation/ strengthening of women cooperative groups Strengthening of women cooperative groups Evidence of collective knowledge and bargaining power in the market Investment documents Baseline: aid investment analytical assessment 3.3 Policy enabling environment facilitates gender equality and women’s Government of Vietnam’s policy enabling environment incorporates women’s needs and gender Stocktake of successful Australian aid funded Stocktake of successful Australian aid funded Policy / partnership dialogue forums Policy / partnership dialogue forums Evidence of Australian policy dialogue influencing development of gender Aid investment evaluations