INDOCHINA RESEARCH AND CONSULTING JSC

TECHNICAL PROPOSAL
RFP-Technical assistance in the design and implementation of BLS 2011 for Programme 135-II

09/2011

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

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

MANAGEMENT PLAN

INDOCHINA RESEARCH AND CONSULTING JSC

COMPANY PROFILE

SHORT DESCRIPTION
Full name: Indochina Research and Consulting, Joint Stock Company (IRC) Address: Suite 1701, Cland 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.

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.

OUR MAIN CLIENTS

International clients The World Bank (WB: http://www.worldbank.org/) United Nations Development Programme (UNDP: http://www.undp.org/ ) United Nations Childrens 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/)

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.

Board of Managers

Board of Advisors

Managing Officers

Human Resources

Professional Department

Development Research

Socio-Economic Surveys and Analysis

Impact Evaluation of Programs & Policies

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 highquality 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.

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 nonsampling 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.

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, nonsampling 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

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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 teams 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 socioeconomic 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.

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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 Vietnams 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, Vietnams 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 Vietnams labor market. So far, IRCs 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.

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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 socioeconomic 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.

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NOTABLE RESEARCH & CONSULTING SERVICES

1. Vietnam National Aging Survey (VNAS) 2011
Client: Atlantic Philanthropies and Vietnam Womens 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: giangvwu@yahoo.com

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

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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 childrens families and schools 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: elsa.duret@btcctb.org

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

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instrumental asset to the implementations of the Governments 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: lan@ilo.org

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

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Director, Institute of Policy and Strategy for Agriculture and Rural Development Tel: (84) 973 320388, email: dangkimson_mard@gov.vn

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: dangkimson_mard@gov.vn

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/QDTTg dated 10 January 2006.

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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: havietquan@yahoo.com

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

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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: havietquan@yahoo.com

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: svo@worldbank.org

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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 Hre, 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: steward_qnisp@vnn.vn

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:

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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: steward_qnisp@vnn.vn

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 IFADsupported 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

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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: at.toda@ifad.org

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RESOURCE PLAN

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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 indepth understanding of various socio-economic issues, particularly of development economics and the ethnic minority in Vietnam. Our staffs have intensive skills and farreaching 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 MOLISAs 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 socioeconomic 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.

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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

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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 socioeconomic 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

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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 Vietnams Household Living Standards

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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 VietnamNetherlands 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.

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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 Phung Duc Tung Areas of expertise Position assigned Tasks assigned

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, socioeconomic 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 Southeast Asian ethnic minority, social anthropology

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

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. Questionnaire design, recruit the

Vu Hoang

Socio-economic

Team

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Name of staff member Linh

Areas of expertise development, ethnic minority, applied economics

Position assigned member

Tasks assigned

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 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

Daniel Impact Westbrook evaluation, econometric expert

Team member

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Expert CVs

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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: tungphung@irc.com.vn 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: svo@worldbank.org 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: svo@worldbank.org Apr, 2008 Mar, 2010: Statistical Capacity Building Program and Avian Flu SocioEconomic 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: qdo@worldbank.org 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: qdo@worldbank.org Apr Dec, 2007: Baselines Survey of the Program 135 Phase II Consultant Client: UNDP

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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: nguyen.tien.phong@undp.org 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 P135II; 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: nguyen.tien.phong@undp.org 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: svo@worldbank.org Nov, 2005 Jan, 2006: Consultant for World Bank to update the poverty report. Reference: Mrs. Carrie Turck World Bank in Hanoi. Email: cturk@worldbank.org 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: cturk@worldbank.org 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: lan@ilo.org 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: dangkimson@yahoo.com 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: elsa.duret@btcctb.org May Aug, 2011: Viet Nam National Aging Survey 2011 (VINAS) Co-Principal Investigator Client: Atlantic Philanthropies and Vietnam Womens Union

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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: giangvwu@yahoo.com 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: havietquan@cema.gov.vn 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: thacminh55@yahoo.com 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: dangkimson@yahoo.com 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: waibel@ifgb.uni-hannover.de Sep, 2006 Jan, 2007: Developing M & E for poverty reduction project - Consultant Client: the Deutsche Gesellschaft fr 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: Ellen.Kramer@gtz.de 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: HuuNH@molisa.gov.vn Jun Aug, 2004: Update new poverty line - Consultant Client: MOLISA. Reference: Dr. Le Hai Huu - Ministry of Labor, Invalid and Social Affair. Email: HuuNH@molisa.gov.vn May Jun, 2004: Evaluation the impacts of HERP program on poverty reductionConsultant. Client: MOLISA

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Main duties: Analysis of Vietnam Living Standard Survey 2002 and 2004 Reference: Dr. Le Hai Huu- Ministry of Labor, Invalid and Social Affair. Email: HuuNH@molisa.gov.vn 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: nphong@gso.gov.vn 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: nphong@gso.gov.vn 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 smallscale 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

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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: hungpham@irc.com.vn 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: at.toda@ifad.org 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: UKs 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: jonathan.mitchell@odi.org.uk 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 IFADsupported 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: at.toda@ifad.org 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

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for the projects to the remaining time of the project cycles. Reference: Atsuko Toda, Country Director. Email: at.toda@ifad.org 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: at.toda@ifad.org 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: at.toda@ifad.org 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: nguyen.tien.phong@undp.org 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: nguyen.tien.phong@undp.org 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: Peter.Chaudhry@undp.org Apr - Jun, 2009: Second Northern Mountain Poverty Reduction Project - Phase II (NMPR2) Consultant Client: World Bank Main duties: Carry out a thorough economic and financial analysis Reference: Vo Thanh Son, Rural Development Sector, World Bank. Email: svo@worldbank.org 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: Peter.Chaudhry@undp.org 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: nguyen.tien.phong@undp.org 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: nguyenthang98@yahoo.com 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: nguyen.tien.phong@undp.org Mar, 2008: The World Banks 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: nbhatt@worldbank.org 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: J.Litchfield@sussex.ac.uk 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: stewartqnisp@vnn.vn Nov, 2010 Jan, 2011:, Impact Evaluation of Communications in the AusAid Implementation Support Programme (ISP) for Program 135 Phase II (the Socioeconomic 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: stewart_qnisp@vnn.vn 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: jensrydder.p135@gmail.com 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 AusAIDs Implementation Support Programme (ISP) for Program 135 Phase II in QuangNgai Reference: Ms. Nguyen Tu Uyen, Senior Programme Manager, TuUyen.Nguyen@ausaid.gov.au Mar-Apr, 2006 Study on Rural Poverty in Developing Countries and the DFIDs Involvement - Consultant Client: UKs National Audit Office (NAO) Main duties: Write one (in a total of four) thematic paper. Reference: Julie Litchfield, professor, University of Sussex. Email: J.Litchfield@sussex.ac.uk 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), 1939 (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

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James Leslie TAYLOR

Senior Lecturer in Social Anthropology & Social Development, University of Adelaide, South Australia Social development advisor Indochina Research and Consulting James.taylor@adelaide.edu.au Add: Largs Bay, South Australia 5016, Australia Tel: +61 08 7225 5743 Fax: + 61 08 8303 5733 Citizenship: Australia th Jan, 1950 Date of Birth: 10 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: james.chalmers@flinders.edu.au 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: havietquan@cema.gov.vn 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 WBs social safeguard requirements and policies on indigenous peoples and resettlement. Reference: Dr Shane Tarr. Email: shanetarr@yahoo.com 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 projects activities among resettled ethnic minorities including: the projects 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: james.chalmers@flinders.edu.au Apr, 2009 Apr, 2010: Participatory Irrigation Management (PIM) Vietnam - Team leader (GIS/TL) Client: BRL Ingnierie (France)/ Donor: Agence Franaise de Dveloppement (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: havietquan@cema.gov.vn 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: shanetarr@yahoo.com 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: shanetarr@yahoo.com Jan, 1998 Dec, 1999: Research on Aboriginal Native Title Claim in Western AustraliaField 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: shanetarr@yahoo.com 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: shanetarr@yahoo.com 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 localknowledge based poverty reduction programs. Also organised multi-disciplinary incountry 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: John.Gordon@uwa.edu.au 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-

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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: shanetarr@yahoo.com 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

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Westbrook DANIEL
Tenured Assistant Professor - Georgetown University Technical advisor - Indochina Research and Consulting Vietnam westbrom@georgetown.edu 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: esasaki@adb.org 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: bnguyen@adb.org 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: bnguyen@adb.org 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

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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: vxtinh56@yahoo.com 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: unredd.vn@undppartners.org 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: WSunderlin@rightsandresources.org 2004: Ethnic Minorities Expert, Poor Communities Infrastructure and Livelihood Project (P-CLIP). Client: The World Bank. Reference: Myles F Elledge. Email : melledge@rti.org 2004: Ethnic Minorities Expert, Study on the Implementation of Customary Tile in Forest Area. Client: The World Bank. Reference: Kieu Phuong Hoa. Email : hkieu@worldbank.org 2001 2003: Ethnic Minorities Expert, Land Allocation in DakLak Province. Client: GTZ. Client: The World Bank. Reference: Kieu Phuong Hoa. Email : hkieu@worldbank.org 2000: Consultant, Assessment of Doimoi (renovation) on Education and Food Security. Client: Government of Vietnam. Client: The World Bank. Reference: Kieu Phuong Hoa. Email : hkieu@worldbank.org 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: SMichaelsen@ifc.org 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 : viendantochoc@vnn.vn 2008: Consultant, Social Assessment for Vietnam School Assurance Project (Component of Ethnic Minorities). Client: Client: DFID Reference: Pham Quang Hoan. Email : viendantochoc@vnn.vn 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: tapichai@hotmail.com 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: T.Sikor@uea.ac.uk 2000: Ethnic Minorities Expert, Poverty Reduction in Central Provinces in Vietnam. Client: ADB. 1999 2000: Consultant, Health and Education Need of Ethnic Minorities in SubMekong Region. Client: ADB Reference: Myles F Elledge. Email : melledge@rti.org 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: Bin i vn ha ca cc tc ngi vng ng Bc t gc nhn s dng ngn ng , Tp ch Dn tc hc (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: Rng cng ng vi xa i gim ngho ca cc dn tc thiu s min ni Vit Nam(Community forests and poverty reduction of ethnic minorities in the mountainous areas of Vietnam. Tp ch Dn tc hc (Anthropology Review), p.3-15. 2007: Hng dng t vi xa i gim ngho ca cc dn tc thiu s min ni Vit Nam ("Land tenure and poverty reduction of ethnic minorities in the mountainous areas of Vietnam). Tp ch Dn tc hc (Anthropology Review), p.5-19. 2006: Hot ng lm nghip tri php v khng bn vng vng cc dn tc thiu s Ty Nguyn (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

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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: cuongnguyen@irc.com.vn 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: ntvananh@unicef.org Apr, 2011: Simulation of Transfers Program - Consultant Client: World Bank and Center for Analysis and Forecast (CAF - VASS) (Parttime work). Reference: Nguyen Thang (CAF). Email: nguyenthang98@yahoo.com 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: James.Chalmers@undp.org Nov-Dec 2008: Analysis of social capitals in Vietnam using VHLSS 2006 - Consultant Client: World Bank Vietnam Reference: Carrie Tuck (World Bank). Email: cturk@worldbank.org 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: vo.hoang.nga@undp.org 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: Vkozel@worldbank.org 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: Nnga@worldbank.org Nov - Dec 2007: Analysis of poverty and inequality in Vietnam using VHLSS 2006 Consultant Client: World Bank Vietnam Reference: Carrie Tuck (World Bank). Email: cturk@worldbank.org 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: cturk@worldbank.org Aug, 2005: Design of questionnaires for VHLSS 2006 Advisor Client: GSO Vietnam Reference: Carrie Tuck (World Bank). Email: cturk@worldbank.org 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 (HCMs Institute of Economic Research). Email: nvphuc@yahoo.com 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: huongmina2000@yahoo.com 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: nphong@gso.gov.vn July - Oct 2003: Assessing the impact of Vietnams 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: cturk@worldbank.org 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: agroinfo@ipsard.gov.vn 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: huongmina2000@yahoo.com 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: Nghia.LeDai@formin.fi 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

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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: linhvu@irc.com.vn 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: elsa.duret@btcctb.org 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: hung.duc.hoang@vn.ey.com Aug, 2010: Supervision Mission of International Fund for Agricultural Development (IFAD) in Cao Bang Province - Poverty Specialist

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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: at.toda@ifad.org 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: agroinfo@ipsard.gov.vn 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: TuUyen.Nguyen@ausaid.gov.au 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: ntvananh@unicef.org 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: nguyenthang98@yahoo.com 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: hungpham@irc.com.vn 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: James.Chalmers@undp.org 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: edigropello@worldbank.org Oct, 2009 - Feb, 2010: Impact of Global Food Crisis and Financial Crisis on Vietnams Agriculture and Food Security - Consultant Client: Food and Agriculture Organization (FAO), United Nations. The project aims at determining the effect of global shocks to Vietnams 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: Purushottam.Mudbhary@fao.org 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: Amason@worldbank.org 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: cturk@worldbank.org 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 SocioEconomic 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

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METHODOLOGY

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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 P135II 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

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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 carefullydesigned 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 (Ngi H Nh), 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, Chru, 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 governments 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 P135III. 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

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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 nonsampling 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.

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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

Non-sampling Error and Data quality: Evidence from Vulnerability Survey in Thailand and Vietnam- Tung Phung Duc, Hermann Waibel, 2010.
3

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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

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Total survey time is around 65 days (20 communes x 3 days + 5 days for travel from province to province). Input: o o o o Supervisors: 5 persons x 65 days = 325 working days Survey team leaders: 65 days x 20 teams = 1,300 working days Interviewers: 65 days x 20 teams x 4 persons per team = 5,200 working days 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.

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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

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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 differenceindifferences (DD) method.4 The DD method is based on the following regression equation:

yit
where:

Ti

P t

Ti P t

Zit

it

yit is an outcome indicator;

Ti is the time dummy (T=0 when the data is 2007, T=1 when the data is
2011); Pt is the group dummy variable ( Pt

1 for treatment group, Pt

0 for

control group); Ti Pt is the interaction of the time dummy and the group dummy;

Zit 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.

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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.

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.

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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 Vietnams 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 indepth 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.

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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/QTTg, 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/QTTg 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 P135III 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 P135III, 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

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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

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Example of Table 1: Outcome/Impact Indicators (for instance: income, poverty rate, and so on).
BLS 2007 Indicators Treatment Group Control Group Difference Between Treatment and Control Groups P-value for the t-statistic on the Difference Treatment Group IES 2011 Control Group Difference Between Treatment and Control Groups P-value for the t-statistic on the Difference Impact Estimates 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.

Treatment Group BLS 2007 Control Group Difference Between Treatment and Control Groups P-value for the t-statistic on the Difference Treatment Group IES 2011 Control Group Difference Between Treatment and Control Groups P-value for the t-statistic on the Difference Impact Estimates Difference in P-value for Differences the t-statistic Estimator of on the DD the Impact Estimator

Dependent Variable

Kinh and Hoa Tay Muong Nung etc.

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4. Detail Work plan and Expected Output

Description Review and develop the first draft of questionnaires and manual Questionnaire Consultation Workshop Piloting and finalization of questionnaires Design Data Entry Recruit the interviewers and supervisors Training of interviewers for data collection Printing Questionnaires and Manuals Develop the Fieldwork Plan Develop the Quality Control Forms Data collection Data entry and cleaning Formatting data labeling variables and Sep
W4 W1

October
W2 W3 W4 W1

November
W2 W3 W4 W1

December
W2 W3 W4 W1

2012-Jan
W2 W3 W4 W1

2012-Fre
W2 W3 W4 W1

2012-Mar
W2 W3 W4

Expected output First draft of questionnaires and manual Revised questionnaires manuals Final questionnaires manuals Data entry program List of interviewers supervisors and and and

Interviewers and supervisors are trained 6500 household questionnaires and 450 commune questionnaires, 120 manuals 20 work plan for 20 teams Set of Quality Control Forms 6000 completed household questionnaires, 400 completed commune questionnaires Data for first and second round of entry, cleaning data Data in STATA, SPSS and SAS format, Data dictionary A comprehensive report on survey A comprehensive analysis report

Develop Survey Document Data analysis

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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, nonsampling 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.

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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:

Sf
Where:

1000

Fm F

S f is the financial score

Fm is the lowest bid

F is the price of the proposal under consideration
We propose the following formula:

Sf
Where:

1000

Fm S . F Sm

S is the sample size proposed by the proposal under consideration S m 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.

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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:

C
Whereby,

C0

C1 n C 2 n m

n = number of survey communes m = number of survey households in each commune C = total cost of the project C 0 = 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.

C1 = average cost of the survey for one additional commune. C2 = 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.

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9. Personnel input
Stage Sampling Design Questionnaire Design Questionnaire Consultation Workshop Piloting and finalization of questionnaire Data Entry Program Design Data collection training No. of Consultant 1 National 4 National 1 International 3 national 2 interpreters 3 national 1 international 1 National 6 National No. of working days for each person 10 7 5 2 1 4 4 25 3 (lecture preparation) 6 (trainings of interviewers) 65 65 65 Total number of working days 10 28 5 6 2 12 4 25 54 325 1300 5200 1000 5 1 (lecture preparation) 2 (training) 62 10 5 30 15 5 3 1240 40 5 150 30

Data Collection

5 supervisors 20 team leaders for survey 80 Interviewers (4 persons per team) Interpreters for 2000 households 1 National 1 National 20 Computer operators 4 National 1 National 5 National 2 international

Extract of BLS 2007 data Data Entry Training Data Entry and Cleaning Survey Documentation Data analysis & Report Writing

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