SC 104017 MYA: JFPR-9174 Enhancing Rural Livelihoods and Incomes
Start-Up Team (SUT) Final Inception Report
November 2014
CONTENTS
Section
1. BACKGROUND
Page
1
1.1 Implementation Arrangements
1
1.2 Expected Impact and Outcome
1
1.3 Participatory CDD Process
1
1.4 Project Scope and Coverage
3
2. INCEPTION OUTPUTS
4
2.1 Project Launch Workshop
4
2.2 Management and Institutions
5
2.3 Community-Driven Development
5
2.4 Procurement Arrangements
7
3. SUT WORK PLANS
7
3.1 Management and Institutions
7
3.2 Community-Driven Development
7
ATTACHMENTS
A.
Implementation Arrangements
8
B.
Participatory NCDDP Process
10
C.
Preliminary ERLIP Process
16
D.
PLW Proceedings
21
E.
Ngaputaw VT Prioritization
25
F.
Draft Procurement Package
28
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SC 104017 MYA: JFPR-9174 Enhancing Rural Livelihoods and Incomes
Start-Up Team (SUT) Final Inception Report
1.
BACKGROUND
1.1
Implementation Arrangements
1.
The Republic of the Union of Myanmar has received a grant in the amount of US$12
million from the Japan Fund for Poverty Reduction (JFPR) administered by the Asian
Development Bank (ADB), to implement the Enhancing Rural Livelihoods and Incomes Project
(ERLIP). The Ministry of Livestock, Fisheries and Rural Development (MLFRD) is the executing
agency (EA) for the Project and the MLFRD Department of Rural Development (DRD) is the
primary implementing agency (IA). The other IAs are noted below. GMU staff members and
Township, Village Tract (VT) and Village organizational functions are in Attachment A.
Level
IA
Union
Township
DRD Grant Management Unit (GMU)
DRD Grant Implementing Unit (GIU)
Village Tract
Existing Development Support Committee (VT-DSC)
Village
Existing Development Support Committees (Village-DSCs)
1.2
Expected Impact and Outcome
2.
The ERLIP design and monitoring framework (DMF) indicates the expected impact is
reduced poverty and, as its name implies, the intended direct outcome is increased incomes to
be achieved through improving the main agricultural 1 livelihoods of the poor in targeted areas:
1.3
Target State/Region
Expected Main Livelihoods
Ayeyarwady Delta
Rain-fed or flooded rice
Central Dry Zone
Oilseeds and pulses
Shan State
Horticulture (garlic, chilies)
Tanintharyi
All Four S/Rs
Dried fish and shrimp
Aquaculture
Participatory Community-Driven Development (CDD) 2 Process
3.
ERLIP will follow a participatory development process driven by the village DSCs. The
starting point will be the generic World Bank financed National Community-Driven Development
Project (NCDDP) process that is also being implemented by DRD (Attachment B).3 This will
require adaption, as ERLIP will: (i) focus on livelihoods and incomes and (ii) cover only 16
priority VTs per township (Attachment C). Attachment C will be updated, from time to time, but
the initial ERLIP CDD process, its anticipated durations and outputs are summarized below.
1
Agriculture includes livestock, capture fisheries and/or aquaculture (fisheries) as well as crop production.
Based on ADB experience CDD is defined as encompassing: (i) participatory planning, design and implementation,
(ii) community control of resources and (iii) monitoring and evaluation by the community.
3 NCDDP. 2014. Operations Manual: Part 1 Project Information and Part II Community Project Cycle.
2
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SC 104017 MYA: JFPR-9174 Enhancing Rural Livelihoods and Incomes
Start-Up Team (SUT) Final Inception Report
Indicative ERLIP Participatory CDD Process (1st of three annual cycles)
Month
Stage
1
2
3
4
5
6
7
8
9
10
11
12
VT Orientation/Prioritization
Initial CF Orientation Training
Village Preparation
Village and VT Planning
Subproject Preparation
Subproject Implementation
Operation and Maintenance
Indicative ERLIP Participatory CDD Process Stages and Main Outputs
Stage
Main Outputs
16 priority VTs selected;4
VT Orientation/Prioritization
Initial CF Orientation Training
5
Community facilitators (CFs) trained for village preparation;
Village Preparation
Villages orientated and representatives 6 appointed;
Participatory village social assessment conducted;
Village and VT Planning
Village development plans prepared;
Village Tract development plans/priority subprojects approved
Village Subproject Preparation
and VT-DSC Approval
Village Technical Committee (VTC) established;
Technical designs, cost estimates and procurement plans etc;
Environmental codes of practice and management plans etc;
Voluntary land/asset donations arranged;
Subproject Implementation
Village Tract Block Grant agreements signed;
Village finance, procurement + grievance sub-groups formed;
Procurement, financial management, monitoring, supervision;
Subproject closing and social audit (village checking);
Subproject Management
Operation and maintenance
Source: Adapted from NCDDP Operations Manual (footnote 3).
4.
Participatory CDD process adaptation (Attachment C) will be based on: (i) ADB Project
Administration Instruction PAI 5.10: Implementing Small Projects with Community Participation,7
(ii) other relevant ADB policies and guidelines, 8 (ii) experience of the Livelihood and Food
Security Trust Fund (LIFT) (http://lift-fund.org/), (iii) needs of the Green Village program being
initiated by DRD, (iv) relevant NGO 9 and donor 10 experience and (v) results of ERLIP pilot
implementation presently being initiated by DRD supported by the Start-Up Team (SUT).
4
Three representative pilot VTs will also be selected in Ngaputaw Township, Ayeyarwady Region.
Between later phases CFs will be: (i) debriefed re the previous stage and (ii) trained for the next stage.
6 Village representatives are: (i) village volunteers, assisted by the CFs, and (ii) grievance focal points.
7 Available at http://www.adb.org/documents/project-administration-instructions.
8 ADB. 2012. Strengthening Participation for Development Results: A Guide to Participation for example.
9 ActionAid. undated. Village Book: Community Led Planning and Development Processes – a training manual.
10 FAO. 2003. Guidelines on Beneficiary Participation in Agricultural and Rural Development.
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Start-Up Team (SUT) Final Inception Report
5.
The 16 priority VTs, in each township, will be provided with block grants of $24,000 per
year for three years. There is an average of 800 households per VT 11 and these block grants
represent either: (i) $132/household, if allocated to only one priority village/VT (ideal), or (ii) only
$30/household if allocated to all villages in the VT. To achieve a multiplier effect, and increase
subproject size and cost, villages will also be encouraged to contribute additional inputs.
However the ERLIP participatory CDD process, with its very small subprojects, is effectively an
initial village and VT capacity development catalyst (ERLIP organizational functions requiring
capacity development are below). Therefore DSCs will need additional ongoing support, not
financed by ERLIP, to implement the larger higher priority subprojects in their VTDPs.
Indicative ERLIP Organizational Functions Requiring Capacity Development
Union DRD
(MIC to help)
VTs/Villages
(NGO SSP to help)
ERLIP Management
ERLIP Management
Subproject management
CDD process development,
adaptation, documentation
ERLIP Operations Manual
Village Tract prioritization
Process implementation:
 Supervision/support
 Facilitation
 Provision of objective
technical advice
 Social/technical audits
 Aggregate township/VT
Monitoring & evaluation
Process implementation
 VT development plans;
 Block grant applications
 Priority SP preparation;
 Social/environmental
due diligence/safeguard
 SP implementation;
 Operation/maintenance
 Monitoring & evaluation
 Grievance resolution
Procure support services
Procurement support
Village SP civil works
Financial management
Financial management
Financial management
1.4
6.
Township DRD
(NGO SSP to help)
Project Scope and Coverage
ERLIP will cover 16 VTs in each of the following six towns:
Full ERLIP Coverage
S/R
11
Town
VTs
Villages
Houses
HH/VT
Pop/VT
Ayeyarwady
Ngaputaw
83
394
31,563
380
1,691
Ayeyarwady
Tha Baung
67
414
65,726
981
4,302
Mandalay
Nyaung Oo
57
188
32,201
565
2,643
Magway
Min Done
72
175
14,902
207
781
Shan State
Ywa Ngan
28
125
17,344
619
2,844
Taninthayi
Boat Pyin
19
102
9,255
487
2,640
Total
6 Towns
326
1398
170,991
525
2,348
MoIP, DoP. 2014. Population and Housing Census of Myanmar: Provisional Results. The national population of
50,213,067 people lives in 10,889,348 households, 65,714 villages and 13,619 Village Tracts. This indicates there
are averages of 10,889,348/13,619 = 800 households per VT and 65,714/13,619 = nearly 5 villages per VT.
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Start-Up Team (SUT) Final Inception Report
7.
ERLIP will be implemented in three overlapping phases as follows:
DRD Support
Village DSC Support
Coverage
Duration +/-
1
Start-up Team (SUT)
Pilot implementation
Community Facilitators
3 representative
VTs in Ngaputaw
Nov 14 – Apr 15
2
SUT handover to MIC
NGO Service Provider
2 Delta Townships
Mar 15 – Aug 15
3
Main Implementation
Consultant (MIC)
NGO Service Provider
(three more packages)
All 6 Townships
Jul 15 – Dec 17
8.
DRD and ADB agreed that: (i) initial pilot start-up activities will commence in Ngaputaw
Township and (ii) the CDD process will be implemented and developed in three pilot Village
Tracts (VTs) therein. The SUT comprises individual international and national consultants, with
intermittent inputs, specializing in: (a) management and institutions, (b) community-driven
development (CDD), (c) procurement and (d) financial management. The SUT will help DRD to:
i.
ii.
iii.
iv.
Finalize the draft ERLIP Grant Implementation Manual (GIM) and in particular:
Elaborate the design of the livelihood and income outputs and arrangements etc;
Revise the procurement plan and procure support services, vehicles and equipment etc;
Pilot implement, develop and document, in the form of an ERLIP Operation Manual, an
efficient and effective participatory CDD process to achieve the ERLI outcome (para 2).
2.
INCEPTION OUTPUTS
2.1
Project Launch Workshop
9.
The Project Launch Workshop (PLW), on 17 October 2014, consulted a broad range of
government and civil society stakeholders from the six townships and four regions where ERLIP
will be implemented.12 PLW proceedings are in Attachment D. The main agreements were:
i.
ii.
iii.
Depending on informed demand, VT-DSCs will be eligible for block grants for either:
(i) livelihood income support activities or (ii) small-scale infrastructure subprojects;
Adaptation of the NCDDP process, for livelihood income support, is innovative. Its
possible scaling-up, using additional ADB finance, is dependent on its successful
implementation in 16 VTs per township in 2015 and 2016. In the meantime DRD will
seek other co-financing sources to cover the other VTs in the six ERLIP townships;
Procurement will be expedited, especially of the Ayeyarwady Region NGO support
service provider (SSP) using the consultants’ qualifications selection (QCS) method.
10.
Nevertheless: (i) ADB experience suggests recruitment of the main implementation
consultant (MIC), using the quality and cost-based selection (QCBS) method, takes an average
of eight months. Therefore: (ii) ERLIP is unlikely to be fully operational before the third quarter of
2015 and (iii) the present closing date (31 December 2017) will need to be extended if the third
annual round of subprojects is to be completed in the 16 VTs in each of the six townships.
12
Initial orientation meetings were also held, on 9 and 10 September 2014, with the: (a) Minister of Development
Affairs, Ayeyarwady Region, (b) Director of DRD Ayeyarwady Region and (c) Director of DRD Ngaputaw Township.
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SC 104017 MYA: JFPR-9174 Enhancing Rural Livelihoods and Incomes
Start-Up Team (SUT) Final Inception Report
2.2
Management and Institutions
11.
PLW participants endorsed the SUT proposal to integrate participatory monitoring and
evaluation (M&E) into the CDD process/subproject implementation cycle. It was subsequently
agreed that the NGO SSPs, supported by the MIC, will: (i) establish a simple M&E instrument,
based on the ERLIP DMF, and (ii) ensure the collection of baseline data. The prioritization and
selection of the 16 VTs per township (Section 2.3) will provide initial macro-level baseline data.
Consistent with the preferred ADB approach,13 DRD GMU staff members were asked to assess
their own capacity and prepare their own plan to develop GMU capacity for efficient and
effective project management, procurement and financial management of ERLIP.
2.3
12.
Community-Driven Development
The ERLIP impact and outcome (para 2) imply the following logical causes and effects:
Main Livelihoods  Production  Income  Poverty
13.
The top five main sources of household income are: (i) casual agricultural labor (15.7%)
and sale of (ii) paddy (12.2%), (iii) beans, pulses and peanuts (11.5%), (iv) other cereals (8.7%)
and (v) wild catch of fish, prawns, crabs and shellfish (8.0%).14 The main sources of income are:
(a) other cereals (26.9%) in hilly areas, (b) pulses etc (22.9%) in dry areas and (c) paddy
(29.5%) and fish (23.5%) in coastal and delta areas. Casual agriculture labor is particularly
associated with landlessness (29.5%), poverty (25.6%) and female-headed households
(19.4%). These are consistent with the ERLIP DMF (para 2) and have the following implications;
i.
ii.
The ERLIP participatory CDD process should clearly engage and address the needs of
two main target groups: (i) landless households, with a preponderance of female-headed
and poor households, and (ii) poor land-owning households with small landholdings:
Increased agricultural production will increase the need/demand for agricultural labor but
specific interventions for landless households should promote increased or improved:
a. Access to agricultural land 15 and/or:
b. Improve arrangements and payment for the provision of agricultural labor and:
c. Increase off-farm livelihood opportunities including, but not limited to, fisheries.
14.
The national area sown to monsoon rice is 13.299 million ha of which only 2.115 million
ha is irrigated. The remaining 11.184 million ha (84%) is presently rain-fed.16 However, existing
irrigation systems often cost +/- $1,500/ha to rehabilitate. In Myanmar, where average irrigated
landholding of +/- 1.0 ha, this is +/- $1,500/household. This is an order of magnitude less than
the average block grant (VTBGs) if allocated to only one village/VT (para 5). Therefore present
VTBGs are effectively restricted to individual structures, in existing irrigation systems, which: (i)
may not increase production much and (ii) doesn’t address the primary need, for new irrigation,
drainage and/or flood protection systems, on the 84% of the cropland that remains rain-fed.
13
ADB. 2011. Practical Guide to Capacity Development in a Sector Context.
LIFT. 2013. Household Survey. The proportion of households with one of these five agricultural livelihoods as their
main source of income was considerably higher in LIFT areas (59.2%) than control areas (51.5%).
15 GRET. 2014. Myanmar Land Briefing: Understanding Rural Land Issues to Engage Comprehensive Policy
Dialogue. Available at: http://lift-fund.org/lift-in-action/content/myanmar-land-briefing-0.
16 Steley. 2014. Rural Infrastructure Engineer (ADB TA 8215 MYA) Draft Final Report.
14
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SC 104017 MYA: JFPR-9174 Enhancing Rural Livelihoods and Incomes
Start-Up Team (SUT) Final Inception Report
15.
Agricultural production interventions, other than small VTBG infrastructure subprojects,
will be necessary to achieve the required livelihood/income/reduced poverty outcome (para 2).
LIFT Output 1 (footnote 14) and NGOs 17 support increased agricultural production and incomes
through improved production and post-harvest technologies and access to inputs and markets.
LIFT support is provided as inputs (e.g., seed, credit), investments in raising productivity (e.g.,
tillage equipment, bunds, irrigation equipment), technical knowledge and skills (new varieties,
optimal fertilizer use, pest/disease control), post-harvest management, and marketing support.
16.
Given the: (i) small ERLIP VT block grants available for infrastructure improvements
(para 5) and (ii) livelihood/income/reduced poverty outcome (para 2) agricultural extension and
marketing (value chain) interventions are likely to prove the first priority resulting from informed
inclusive VT and village decision-making. However the present GIM allocates only $3,000 for
livelihoods advisory services for (infrastructure) subproject VTBGs and doesn’t provide for
separate livelihood VTBGs to finance inputs and equipment etc (see Section 2.4 below).
17.
The ELRI Project broad positive list (BPL) of eligible BGSPs is similar to that of the
NCDDP. Both include three general types of small-scale infrastructure interventions:
i.
ii.
iii.
Productive Infrastructure: Impacting directly on main livelihood, agricultural production
and incomes: (a) irrigation/drainage, (b) livestock/fisheries and (c) rural markets;
Intermediate Infrastructure: (d) transportation (minor access roads and jetties);
Social Infrastructure: Impacting directly on quality of life and poverty but only indirectly
on the main livelihoods, agricultural production and incomes: (e) health, (f) education, (g)
domestic water supply and sanitation, (h) electricity and (i) community centers.
18.
An option, consistent with the primary ERLIP livelihoods and income outcome, would be
to restrict the “rules-of-the-game” to productive infrastructure subprojects. However, in this case
the size of the small VT block grants is likely to prove a constraint to the selection of small-scale
infrastructure subprojects (para 13). The preferred option, consistent with the secondary ERLIP
organizational capacity development output, is to allow either: (i) livelihoods and incomes
support (paras 14 and 15) or (ii) either: (a) productive or (b) social infrastructure (para 16).
19.
VT Prioritization Workshop: The main purposes (why?) are to prioritize and select the:
(i) 16 poorest VTs, with the lowest incomes and agricultural production etc, and from amongst
these: (ii) three pilot VTs 16, that are representative of the main livelihoods and income sources
of poor people in Ngaputaw Township. PLW participants suggested that, in Ayeyarwady Region,
Cyclone Nargis damage assessments found a relationship between: (a) salt, brackish and fresh
water agro-ecological zones (AEZs), (b) main livelihoods and (c) poverty incidence.18
20.
The SUT subsequently agreed to take a principled pragmatic approach and prepare their
own analysis and interpretation of priority VTs to: (i) facilitate informed inclusive decision-making
by representatives of the 83 Ngaputaw VTs (who?) and (ii) expedite implementation of pilot VTs.
The draft workshop design is in Attachment E. It remains to be reviewed and revised, in the light
of the results of the SUT analysis, field-tested and included in the ERLIP Operation Manual.
17
18
Oxfam. 2014. Delivering Prosperity in Myanmar’s Dry Zone: Lessons from Mandalay and Magwe.
UNDP. 2003. Main Report on Rural Rapid Appraisal in Bogalay, Mawlamyingegyun and Laputta Townships.
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Start-Up Team (SUT) Final Inception Report
2.4
Procurement Arrangements
21.
The SUT will help DRD procure: (i) three community facilitators (CFs), (ii) NGO support
service providers (SSPs), for two Delta townships,19 (iii) Main Implementation Consultant (MIC)
and remaining SSP packages and (iv) vehicles and equipment. Realistic target mobilization
dates are the ends of: (i) December 2014, (ii) February 2015 and (iii) July 2015 respectively.
Procurement packages (draft ToR, selection criteria and budgets etc) are in Attachment F.
3.
SUT WORK PLANS
3.1
Management and Institutions
22.
The SUT Team Leader/Management and Institutions Specialist (TL/MIS) has completed
his main input and, with the exception of the participatory M&E system (para 10), delivered his
main ToR outputs. Light ongoing intermittent management support will be provided mainly to:
i.
ii.
iii.
iv.
Agree with DRD the SUT Ngaputaw VT prioritization data analysis and interpretation;
Revise the draft VT prioritization workshop (TPW) design (Attachment E) as a sample
(why, who, what and how etc?) for inclusion in the ERLIP Operation Manual;
Identify and brief potential NGO support service providers in the other four townships;
Support SUT procurement and financial management specialists to finalize the GIM with
subcontract agreements, disbursement methods and procurement plan with inputs etc.
3.2
Community-Driven Development
23.
The SUT community-driven development (CDD) specialists will support implementation,
process adaptation and documentation (ERLIP OM) in three pilot VTs in Ngaputaw Township.
Their work plan will follow the participatory CDD process (Section 1.3). Subject to DRD approval
of the SUT VT prioritization analysis and interpretation (para 24) the Ngaputaw VT prioritization
workshop (TPW) will be held on 9 December 2014 and 2nd stage CF orientation and initial 3rd
stage (village preparation) training will commence on their recruitment by 31 December 2014.
24.
Reliable estimates of poverty incidence are not available at the township-level let alone
the village tract-level. The SUT are collecting VT data on agricultural land (endowments and
landholding sizes) agricultural production (monsoon rice yields and cropping intensities) and
other likely poverty indicators (health and education access etc). Statistical analysis of initial
land data found that the cultivable land endowment (E) explains 65% of the variation in rate of
landlessness (L) (significance < 0.1%) whereas landholding size (S) is redundant as S = E/(1-L).
19
NGO support services will supersede the provisions in the draft Grant Implementation Manual (GIM) for: (i) regional
management consultants, (ii) community facilitators (NGOs) and (iii) livelihood advisory services for subprojects.
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SC 104017 MYA: JFPR-9174 Enhancing Rural Livelihoods and Incomes
Start-Up Team (SUT) Final Inception Report
Attachment A.1: ERLIP Implementation Arrangements - Staff Members of DRD Grant Management Unit (GMU)
No
Name
Position
Title (Project)
Phone
1
Dr. Zarni Minn
Deputy Director
Project Coordinator
09-402755888
zarnimin@drdmyanmar.org
2
Daw May Thet Thet Htun
Staff Officer
Finance Assistant
09-43142381
maythetthethtun.npt@gmail.com
3
U Sai Soe Htay
Staff Officer
Infrastructure Staff
09-428213120
saisoehtay.cdd@gmail.com
4
U Saw Sar Douk Phaw
Staff Officer
Safe Guard Staff
09-425010646
ssdp54@gmail.com
5
Daw May Myo Han
Staff Officer
Communication Staff
09-73130924
mamaymyohan@gmail.com
6
Daw Mai Tam Aung Seinn
Deputy Staff Officer
Admin Assistant
09-400302700
maitseinn@gmail.com
7
Daw San San Maw
Deputy Staff Officer
Finance Assistant
09-425365887
sansanmaw.76.@gmail.com
8
Daw Su Yi Phyu
Sub-Assistant Engineer
Procurement Staff
09-5144881
moesatpwint.npt@gmail.com
9
Daw Khin Thapyay Htun
Upper Divisional Clerk
Procurement Staff
09-403734508
khinthapyaytun@gmail.com
10
Dr. Lai Lai Htay
Lower Divisional Clerk
Procurement Staff
09-5313251
11
Daw Moe Sanda Min
Lower Divisional Clerk
Communication Staff
09-425268935
lailaihtay.lh@gmail.com
moeminngenge.drd@gmail.com
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Start-Up Team (SUT) Final Inception Report
Attachment A.2: Implementation Arrangements - Township, VT and Village Levels
Level
Township
Village
Tract
Village
Existing / Mandated
Structure
Key Functions
Township
Planning &
Implementation
Committee
(TPIC)
Township
Development Plan
Review of prioritized
subprojects against
the TDP
DRD
Engineering and
livelihood services
Government line
departments
Engineering and
livelihood services
Village Tract
Development
Support
Committee
(VTSDC)
Prepare village tract
development plans
(VTDPs)
Village
Development
Support
Committee
(VDSC) 20
Undertake village
development
planning
Prepare village
development plans
(VDPs), identifying
village priorities
ERLIP Structures
Structure
Key Functions
VTSDC
Prepare VTDPs
Review village-identified
priorities and approve
subprojects/block grants
Sign block grant
agreement with DRD
Finance SubCommittee
Financial reporting on use
of BG funds
Procurement
Sub-Committee
Undertake procurement
for works, goods &
services for subproject
implementation
Grievance Subcommittee
Handling & reporting of
grievances
VDSC
Subproject proposal
preparation (design,
consultations, costs,
safeguards planning, etc.)
Oversee subproject
implementation
Procurement/
Monitoring/O&M
Subcommittees
Undertake village-level
procurement, monitoring,
O&M
Village
Volunteers
1 male and
1 female
Support to village
engagement during
participatory assessments
& village planning
Grievance focal
points
Receipt and handling of
grievances
20
VDSCs were established under a presidential order enacted in 2013. The elected representatives of
the VDSCs have the primary responsibility of preparing village development plans.
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Start-Up Team (SUT) Final Inception Report
Attachment B: Participatory NCDDP Process 21
Stage
Preparation
Process Outputs
Villages orientated,
committees
established &
representatives
seleced
Main Activities



Community identified
needs/problems,
priorities & proposed
subproject/s




21
22
Orientation meeting (first meeting) in the village
to inform villagers about the project & the
community project cycle & project procedures,
establish & explain roles of committees & subcommittees, elect additional members of
committees, & select village volunteers,
grievance focal points & finance clerk
Train committees (VTPSC & VPSC 22) & subcommittees (Finance & Grievance at VT level;
Procurement/Monitoring/O&M at village level),
volunteers, grievance focal person & village
clerk on their respective roles
At the orientation meeting, explain purpose of
participatory village social assessment
Ascertain previous similar assessment &/or
village planning done in the past 3 years;
discuss need for updates
Plan & conduct participatory social assessment
in the village to assess –
o Current state of development in the village
o Village history & social composition
o Village needs & proposed subprojects
Discuss prospects for development & poverty
reduction in the village –
o Problems encountered frequently that
cause poverty
o Opportunities & priorities according to need
(documented in a Village Vision form)
Prepare social map, seasonal calendar,
infrastructure map, etc.
Guidelines, Tools, & Methods















Plenary meeting of all households in the village (at
least 50% of households present to constitute a
quorum, & equal representation by men & women)
Selection (either by election through secret ballot, or
by appointment) of two volunteers per village
Meeting announcement made not less than 3 days
before the date, and in the local language
Information materials (e.g., brochure, leaflets) about
the project distributed to all households in advance
Record minutes of meetings
Meeting attendance form (PC2, NCDD OM Part III)
Volunteer/Village or VTDC member information form
(HR.2, NCDD OM Part III)
Project cycle timetable form (PC3, NCDD OM Part III)
Participatory rural appraisal (PRA): (i) separate
meetings with village leaders, committee members,
women, livelihoods groups and other groups (ethnic,
religious, youth, elderly, etc.); (ii) social mapping; (iii)
seasonal calendar; & (iv) infrastructure mapping
Notes-taking for all groups meetings, with main points
Reference to (i) DRD Township table on cost
estimates for various types of subprojects
(rehabilitation/new, & O&M); and (ii) village-level
development budgets for the current fiscal year
Encourage small villages (e.g., <10 households) to
work with another/other villages
Village profile form (PC1, NCDD OM Part III)
Village vision form (PC4, NCDD OM Part III)
Grievance Redress form (PC12, NCDD OM Part III)
Sources NCDDP Operations Manual, Parts I (Project Information) and II (Community Project Cycle), of 15 Sep 2014, and Part III (Forms) of Aug 2013.
Village Tract and Village Project Support Committees (VTPSCs and VPSCs) were established for the purpose of implementing the NCDDP.
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SC 104017 MYA: JFPR-9174 Enhancing Rural Livelihoods and Incomes
Start-Up Team (SUT) Final Inception Report
Stage
Planning
Process Outputs
Village development
plans (VDP)
prepared
Main Activities
Guidelines, Tools, & Methods

Draft 3-year VDP setting out –
o Participatory process to identify needs and
priorities of village/disadvantaged groups
o Brief overview of state of development and
history, & social composition of the village
o Problems, needs and ideas/proposed
subprojects + priorities set by each group
o Seasonal calendar, social and
infrastructure maps
Prepare in the dominant language (Myanmar or local
language) with a summary

Conduct a second village meeting (first
planning meeting) to –
o Discuss the VDP
o Prioritize their proposed subprojects
Finalize the VDP; submit VDP & minutes of
village meeting to the VTPSC






Village Tract
development plan
(VTDP) prepared &
priority subprojects
for Block Grant
support selected
Convene the VTPSC to (i) review the VDPs, (ii)
agree on a 3-year VTDP with a list of prioritized
village subprojects, & (iii) decide on indicative
allocation of the Block Grant across village
subprojects








23
Plenary meeting of all households in the village (at
least 50% of households present to constitute a
quorum, & equal representation by men & women)
Reference to list of eligible & non-eligible subprojects
that can be funded by NCDD
Criteria for prioritization of subprojects: (i) number of
beneficiaries (breadth of impact); (ii) number of
poor/marginalized who will benefit (poverty impact);
(iii) urgency/ immediacy of need; & (iv) amount of
voluntary community contribution
Record minutes of the meeting
Grievance Redress form (PC12, NCDD OM Part III)
Reference to (i) list of eligible and non-eligible
subprojects that can be funded by NCDD; & (ii)
township plans and budgeted activities
Block grants based on VT population 23
Any subproject costing MMK 40m or above must be
approved by DRD Union with no objection by WB
Block grant allocated to subproject/s, not by village
At least one subproject identified by women.
Community contributions to subproject costs are
encouraged, on voluntary basis.
Subproject Selection form (PC8, NCDD OM Part III)
Grievance Redress form (PC12, NCDD OM Part III)
<3,000 people - MMK 20m (about $20k), 3,001-5,000 - MMK 40m (about $40k), 5,001-9,000 - MMK 60m (about $60k) and >9,000 - MMK 120m ($120k).
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SC 104017 MYA: JFPR-9174 Enhancing Rural Livelihoods and Incomes
Start-Up Team (SUT) Final Inception Report
Stage
Process Outputs
Block grant
agreements signed
Subproject
Preparation
Subproject
proposal/s prepared
by communities
Main Activities
Guidelines, Tools, & Methods
Consider possibility for joint subprojects (covering
two or more villages) subject to prior consultation &
agreement by concerned villages
Concerned villages will need to form a common VPSC &
sub-committees, comprising members from all concerned
villages
Draft 3-year VTDP based on results of VTPSC
meeting; VTPSC to approve VTDP & submit to the
Township Planning & Investment Committee (TPIC)
for endorsement

VT-level meeting where VTPSC reports back to all
villages on the endorsed VTDP & approved
subproject/s to be funded from the year’s Block
Grant –
 In case of serious complaints/concerns
regarding the priority subprojects, the VTPSC
will re-assess the priorities & submit a revised
VTDP to TPIC
 Village representatives to the VTPSC hold
separate meetings in their respective villages to
discuss the VTDP & verify support of women &
ethnic/religious groups
 VTPSC signs Block Grant Agreement with DRD
Township
 Final VTDP & Block Grant Agreement made
available to the public at the VT office
Put up notice boards in all villages of summary
VTDP & list of approved subprojects


Technical meeting at village level among
VPSC, community & technical facilitators,
volunteers & township engineer to (i) confirm
eligibility of subproject; (ii) schedule surveys &
consultation with communities; (iii) arrange
support for subproject proposal (design &
budgeting); & (iv) outline a workplan for
subproject implementation
Subproject preparation -












TPIC reviews VTDP against existing sector plans and
other programs of Government and partners
In endorsing the VTDP, the TPIC commits to covering
the O&M costs assigned to township administration.
DRD are informed of approved subprojects
Plenary meeting of all households in the village (at
least 50% of households present to constitute a
quorum, & equal representation by men & women)
Revised VTDP/s & re-assessed priority village
subprojects endorsed by TPIC will have to be
reported back to all the villages.
Grievance Redress form (PC12, NCDD OM Part III)
VTPSC commits to the fiduciary, safeguards &
governance standards that apply to subproject
implementation under the NCDD
BG Agreement form (PC5, NCDD OM Part III)
Prepare in Myanmar and local language/s
Men and women receive equal pay for equal work. No
child under the age of 15 years should work on the
construction, rehabilitation or O&M of a subproject.
Voluntary land/asset donation guidelines provided. All
land & asset donations are voluntary.
Community contributions to subproject costs are
encouraged, on voluntary basis.
Subproject designed to avoid or minimize land/asset
acquisition and other negative livelihood impacts.
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SC 104017 MYA: JFPR-9174 Enhancing Rural Livelihoods and Incomes
Start-Up Team (SUT) Final Inception Report
Stage
Process Outputs
Main Activities
o
o
o



Complete safeguards screening form
Prepare an ECoPs or EMP, as applicable
Discuss land/asset acquisition & other
impact on livelihoods with affected
households
o Prepare technical design & cost estimate of
the village subproject, including local
voluntary community contributions (cash or
kind), if any.
o Prepare procurement plan
o Collate subproject proposal documentation
including design, bill of quantities, budget,
procurement plan, safeguards screening
form, land/asset donation form, labor,
machinery & tools requirements,
implementation schedule & technical
supervision plan, O&M plan
Consultation at subproject site to present and
discuss the subproject documentation including
the draft design, & verify villagers’ commitment
to undertake O&M upon completion
Finalize subproject documentation for
submission to VTPSC
VTPSC reviews & approves the subproject
proposal & budget
Guidelines, Tools, & Methods












Subproject
Implementation
Subproject/s
implemented by
communities





VT FSC opens bank account at a local bank
FSC makes all payments to VPSC clerc
FSC sets up petty cash for incidental expenses
FSC prepares monthly financial report; VTPSC
submits to DRD Township
Monthly financial report posted on VT notice
board & other locations as appropriate



Environmental Codes of Practices (ECoPs) and
Environmental Management Plan (EMP) guidelines
VTPSC is entitled to use up to 4% of the annual block
grant allocation for incidental/administrative expenses
incurred by committees for managing block grants.
Under exceptional circumstances, this may go up to
6% subject to prior DRD Union.
Consultation meeting at subproject site (at least 50%
of affected households present to constitute a
quorum, & equal representation by men and women)
Reference to DRD township unit cost tables
Subproject cost overruns of up to 7% of block grant
amount may be authorized by DRD Township Office
with justification. Overruns between 7-15% must be
justified & require exceptional authorization from DRD
Union. Any overruns greater than 15% must be
justified by DRD Union & require prior WB no
objection. Cost overruns will be deducted from the
following year’s block grant allocation.
Record minutes of consultation meeting in the
subproject site/s & the VTPSC meeting
Subproject Proposal form (PC6, NCDD OM Part III)
Safeguards Screen form (PC13, NCDD OM Part III)
Environmental Management Plan format
(PC15, NCDD OM Part III)
Voluntary Donation form (PC14, NCDD OM Part III)
Final Proposal Review form (PC7, NCDD OM Part III)
Grievance Redress form (PC12, NCDD OM Part III)
The FSC consists of 2-3 members (head,
bookkeeper, & one member).
Authorized signatories of the bank account are the
heads of VTPSC, FSC & one other VTPSC member.
Withdrawals require two signatures: FSC head & one
of two other signatories.
Financial Management Forms F1-F11 (OM Part III)
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SC 104017 MYA: JFPR-9174 Enhancing Rural Livelihoods and Incomes
Start-Up Team (SUT) Final Inception Report
Stage
Process Outputs
Main Activities








Guidelines, Tools, & Methods
Procurement Sub-committee (PSC) procures
required works, goods (e.g., sand, cement) &
technical services per the procurement plan,
using “shopping” method with some exceptions
Public disclosure of all contracts on the village
notice board
VPSC conducts regular village monitoring
meetings & reports on procurement during the
annual social audit
Post-reviews of selected contracts carried out
by the WB

Village Monitoring Sub-committee (MSC)
monitors progress of subproject implementation
incl. safeguards measures, & organizes village
monitoring meetings every two months
VTPSC prepares monthly consolidated report
for all village subprojects under implementation
for submission to DRD Township
Regular monitoring & supervision visits by
township engineer & M&E officer, Township TA
consultants, community & technical facilitators
Regular supervision visits by DRD Union and
Union TA consultants


Subproject closing  Subproject site visit & village meeting to verify
successful completion per approved/amended
design, following which MSC completes final
subproject inspection form which is signed by
both VPSC & VTPSC
 In exceptional circumstances (force majeure or
a material breach of contract), the VTPSC may
close a contract by completing a subproject
termination form for submission to DRD
Township






A local contractor may be engaged to carry out the
works, or the community implements part or all of the
works using its own resources (skilled/unskilled labor,
materials, equipment) by community force account
(CFA) when the VPSC will be accountable for all
aspects of subproject implementation.
Contracts for works are signed by VPSC & PSC
heads & include payment schedules. PSC head
authorized payments per the subproject plan &
payment schedule, incl. for laborers. All contracts for
works must include a provision to hire local labor.
Forms P1-P8 on Procurement (NCDD OM Part III)
Grievance Redress form (PC12, NCDD OM Part III)
Village Subproject Monitoring form (PC9, NCDD OM
Part III)
VTPSC Quarterly Progress Monitoring form (PC11,
NCDD OM Part III)
CF & TF Monthly Reporting format (TA1. NCDD OM
Part III)
Final Subproject Inspection form (PC10, NCDD OM
Part III)
Subproject Termination form (not available in NCDD
OM Part III)
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SC 104017 MYA: JFPR-9174 Enhancing Rural Livelihoods and Incomes
Start-Up Team (SUT) Final Inception Report
Stage
Social Audit
Process Outputs
Social audit (village
checking)
undertaken
Main Activities



Operation &
Maintenance
Subproject
structure/facility/other
outputs operational
after completion




Guidelines, Tools, & Methods
VTPSC prepares short report (using table
format) summarizing activities & achievements
during the cycle (noting what worked well or
not) against the VTDP & the subproject/s
implemented; the report will be publicly
disclosed in all villages before the meeting
Half-day meeting at VT level to review the
experience/s, draw lessons & make
recommendations from the just completed cycle
& raise any concerns
Record minutes of the meeting which heads of
VTPSC & VPSCs will sign, & then publicly
disclosed in all villages & sent to DRD township

O&M plan prepared during subproject
preparation sets out O&M requirements, roles &
responsibilities with respect to each
infrastructure built/rehabilitated under the
subproject
Village O&M Sub-committee (O&MSC)
oversees implementation of the O&M plan
O&MSC sets up an O&M fund in consultation
with VPSC & VT administrator
O&MSC prepares short periodic monitoring
reports which are publicly disclosed on village
notice boards & submitted to DRD township
The subproject O&M plan will be reviewed by relevant
township/government departments during subproject
preparation, implementation, completion & after a year of
operation. Township engineer & relevant government line
departments will provide training & technical support for
O&M.

Report & minutes of the meeting will be prepared in
the local language/s.
Attendance in meeting will be voluntary.
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SC 104017 MYA: JFPR-9174 Enhancing Rural Livelihoods and Incomes
Start-Up Team (SUT) Final Inception Report
Attachment C: Preliminary ERLIP Process
Stage
Output/s
1. VTs
Prioritization
16 priority VTs in
Ngaputaw
selected, out of
which 3
representative
VTs are selected
for piloting of
CDD process
2. CF
Orientation &
Training
CFs orientated &
trained for
village
preparation
Activities
How (guidelines, tools, methods, etc.)
VT-level secondary data collection &
analysis based on criteria &
indicators

VTs prioritization workshop (design,
preparation, conduct &
documentation)

Who1/
Secondary data collection from Government departments in Ngaputaw
township
Analyses of VT level indicators using percentages/ratios, averages,
ranking, mapping, etc.; results to be presented & discussed at the
workshop
SUT-CDD
DRD Township &
GIU
DRD Union &
Township, GMU &
GIU
SUT-CDD

Facilitated participatory workshop to be held in Ngaputaw township,
inviting representatives from all VTs, DRD and other line departments,
and CSOs operating in the township, & engaging participating in subgroups to discuss & arrive at a consensus on the 16 priority VTs
Document workshop proceedings & outcomes
DRD Union/Region endorsement of
16 priority VTs

Formal endorsement of priority 16 VTs
DRD Union &
Regional Gov’t.
Public disclosure


Prepare an article for the DRD website
Announcement on notice boards in the township, etc.
DRD Township &
GIU
Prepare information materials on
ERLIP for CFs orientation & for
information dissemination in the
VTs/villages

Update the brochure (English and Myanmar versions) prepared for the
Project Launch Workshop
Prepare leaflets or video explaining the process, in Myanmar language
(check available NCDD materials for possible ERLIP adaptation)
SUT-CDD & GMU
Compile training folder for CFs &
update based on implementation
experience

The training folder can initially include o Project information – scope (components, Project townships,
parameters for support), operating guidelines (eligible & ineligible
subprojects, etc.), implementing arrangements (project
organizational structure, consulting services, etc.)
o The CDD process stages described in more operational detail,
including how-to’s and forms adapted from NCDD, e.g., on
forming/training committees & sub-committees, calling/conducting
meetings, conducting participatory social assessment & village
planning, etc.
o CF role, tasks & deliverables, supervision & reporting
SUT-CDD & GMU
Orientation & training of CFs


Formal training (held in DRD township or GIU)
Field orientation in selected VTs
CFs
SUT-CDD
DRD township &


Timing
Done only
once, at
initiation of
CDD process
in each Project
township
2 weeks
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SC 104017 MYA: JFPR-9174 Enhancing Rural Livelihoods and Incomes
Start-Up Team (SUT) Final Inception Report
Stage
Output/s
Activities


3. Village
Preparation
Villages
orientated &
representatives
selected
Orientation Meeting (1st meeting) in
the village






Train committees & sub-committees,
& volunteers



Community
identified
needs/problems,
Check if similar assessment &/or
village planning was done in the past
3 years; discuss any need for
Who1/
How (guidelines, tools, methods, etc.)


Arrange support to CFs (office accommodation, resources such as
notebooks/diaries, transportation, communications, etc.)
For each subsequent stage, CFs will document their experience (what
worked and did not work) to inform adaptation of NCDD OM into
ERLIP Operations Manual, and will undergo training to undertake the
next stage.
GIU
Half-day plenary meeting in each village in selected VTs to o provide orientation on ERLIP
o assess status of VTDSC & VDSCs, & discuss need for additional
members (to meet 40% representation by women in VDSCs and
at least one woman representative in VTDSCs)
o establish sub-committees
o select volunteers, grievance focal persons & finance clerk
o introduce CF who will work in that VT & his/her role &
responsibilities
o plan next steps (training for committees & sub-committees,
volunteers & focal points, participatory social assessment, etc.)
Quorum of at least 50% of households, with equal representation of
men and women
Selection of volunteers either by election (secret ballot) or appointment
Announcement of the meeting made not less than 3 days before the
date, and in the local language
Dissemination of Project information materials to all households in
advance of the meeting
Use NCDD forms adapted for ERLIP, e.g., Meeting Attendance and
Project Cycle Timetable
CFs with SUTCDD
VDSCs
Orientation on roles & responsibilities for: Committees (VTDSC &
VDSCs); Sub-committees at VT level (Finance & Grievance) & village
level (Procurement/Monitoring/ O&M); & Village volunteers & grievance
focal points
Introduce & explain use of relevant NCDD forms/templates adapted for
ERLIP
Use NCDD form on Volunteer/Village or VDSC member information
(adapted for ERLIP)
CFs with SUTCDD
Review outputs of previous assessment &/or prepared village plan
Discuss & agree with VDSC any need for update/s & plan accordingly
VDSC
CFs
Timing
2 weeks
(covering all
villages in the
VT)
1 month
(covering all
villages in the
17
SC 104017 MYA: JFPR-9174 Enhancing Rural Livelihoods and Incomes
Start-Up Team (SUT) Final Inception Report
Stage
Output/s
priorities &
proposal
subprojects
Activities
How (guidelines, tools, methods, etc.)
update/s
Develop a plan for conducting
participatory village social
assessment & village planning
SUT-CDD



Conduct participatory social
assessment & village planning



4. Village
Planning
Village
development
plans (VDP)
prepared
Draft 3-year VDP




Conduct a second village
meeting (1st planning meeting) to
Who1/

Using participatory rural appraisal (PRA) techniques, for each village o identify the groups who will be consulted including village leaders,
committee members, women, livelihoods groups, other groups
such as ethnic, religious, youth, elderly, etc.
o agree on schedule of meetings with various groups
o approach to facilitation including the language to be used
(Myanmar in most cases, but also local languages if necessary)
list of questions, NCDD forms adapted for ERLIP if needed
(village profile, village vision), notes-taking for all groups meetings
o resources required (venue for meetings, logistics, etc.)
Prepare CFs & village volunteers
Information on schedule of meetings on village notice boards
VDSC
CFs with village
volunteers
SUT-CDD
Each village in the VT will be covered in turn until all villages in the VT
have been covered.
For each village, discuss, document & consolidate –
o current state of development in the village,
o village history & composition,
o needs & proposed subprojects,
o prospects for development & poverty reduction,
o social & infrastructure maps, seasonal calendar, etc.
Refer to (i) DRD Township table on unit costs for various types of
subprojects, and (ii) village level development budget for the current
fiscal year
VDSC
CFs with village
volunteers
SUT-CDD
Describe the participatory process to identify needs & priorities of the
village, & of women & other marginalized groups
Based on the results of the participatory social assessments, set out o Brief overview of stage of development & history, & social
composition of the village
o Problems, needs & ideas/proposed subprojects, including
priorities set by each group
o Seasonal calendar, social & infrastructure maps
Prepare in the dominant language (Myanmar or local language) with a
summary
VDSC
CFs with village
volunteers
SUT-CDD
Plenary meeting of all households in the village (at least 50% of
households present to constitute a quorum, & equal representation by
VDSC
CFs with village
Timing
VT)
1 - 1.5 months
(covering all
villages in the
VT)
18
SC 104017 MYA: JFPR-9174 Enhancing Rural Livelihoods and Incomes
Start-Up Team (SUT) Final Inception Report
Stage
Output/s
Activities

discuss the VDP and prioritize
their proposed subprojects
Finalize the VDP; submit the
VDP and minutes of village
meeting to the VTDSC
How (guidelines, tools, methods, etc.)




Village Tract
development
plan (VTDP)
prepared &
priority
subprojects for
Block Grant
support selected
Convene the VTDSC







Who1/
men & women
Reference to list of eligible & non-eligible subprojects that can be
funded by ERLIP
Criteria for prioritization of subprojects: (i) number of beneficiaries
(breadth of impact); (ii) number of poor/marginalized who will benefit
(poverty impact); (iii) urgency/immediacy of need; and (iv) amount of
voluntary community contribution.
Record minutes of the meeting
Use NCDD forms adapted for ERLIP, e.g., Grievance Redress form
volunteers
SUT-CDD
Meeting will (i) review the VDPs, (ii) agree on a 3-year VTDP with a list
of prioritized village subprojects, & (iii) decide on indicative allocation
of the Block Grant across village subprojects
Reference to (i) positive & negative lists that can be funded under
ERLIP; & (ii) township plans & budgeted activities
Block grant of $24k per VT per cycle over 3 annual cycles
Block grant allocated to specific subproject/s, not by village
At least one funded subproject per VT per cycle was identified by
women
Community contributions required at 10-15% of total subproject cost
Use NCDD forms adapted for ERLIP, e.g., Subproject Selection form,
Grievance Redress form
VTDSC
CFs
SUT-CDD
Consider joint subprojects (covering 2
or more villages) subject to prior
consultation & agreement by
concerned villages
Concerned villages will need to form one Village Project Support
Committee (VPSC) and one set of sub-committees specifically for the
purpose of implementing the joint subproject, comprising members from all
concerned villages
VTDSC
CFs


TPIC reviews VTDP against existing sector plans & other programs of
Government & development partners
In endorsing the VTDP, the TPIC commits to covering the O&M costs
assigned to township administration
DRD Union & Township are informed of the approved subprojects
VTDSC
CFs
SUT-CDD
In case of serious complaints/concerns regarding the priority
subprojects, the VTDSC will re-assess the priorities & submit a revised
VTDP to TPIC
Village representatives to the VTDSC hold separate meetings in their
respective villages to discuss the VTDP & verify support of women &
VTDSC
CFs
SUT-CDD
Draft 3-year VTDP based on
results of the VTDSC meeting

VTDSC to approve VTDP &
submits to the Township
Planning & Investment
Committee (TPIC) for
endorsement
VT-level meeting where VTDSC
reports back to all villages on the
endorsed VTDP & approved
subprojects to be funded from the
year’s Block Grant




Timing
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SC 104017 MYA: JFPR-9174 Enhancing Rural Livelihoods and Incomes
Start-Up Team (SUT) Final Inception Report
Stage
Output/s
Activities
How (guidelines, tools, methods, etc.)



Block Grant
agreements
signed
VTDSC signs Block Grant agreement
with DRD Township


Who1/
Timing
ethnic/religious groups
Plenary meeting of all households in the village (at least 50% of
households present to constitute a quorum, & equal representation by
men & women)
Revised VTDP/s & re-assessed priority village subprojects endorsed
by TPIC will have to be reported back to all the villages
Use NCDD forms adapted for ERLIP, e.g., Grievance Redress form
VTDSC commits to the fiduciary, safeguards & governance standards
that apply to subproject implementation under ERLIP
Use NCDD form adapted for ERLIP, e.g., Block Grant Agreement form
VTDSC
DRD Township &
GIU
CFs
Final VTDP & signed Block Grant
Agreement made available to the
public at the VT office
Prepare in Myanmar and local language/s
VTDSC
Put up notice boards in all villages of
summary VTDP & list of approved
subprojects
Prepare in Myanmar and local language/s
VT- and V-DSCs
SUT-CDD - Start-up Team – CDD sub-team; DRD – Department of Rural Development; CFs – Community Facilitators; GMU – Grant Management Unit at DRD
Union; GIU – Grant Implementing Units at DRD Township; VDSC – Village Development Support Committee
1/
20
SC 104017 MYA: JFPR-9174 Enhancing Rural Livelihoods and Incomes
Start-Up Team (SUT) Final Inception Report
Attachment D: Proceedings of the Project Launch Workshop (PLW)
17 October 2014, Sedona Hotel, Yangon
Time
Summary of Main Points






Opening
Remarks








Project
overview







Remarks
To reduce poverty through enhancing the livelihood related
business and agricultural production;
Joint DRD and ADB project as well as joint initiative of GoM,
NGOs, INGOs, CSOs and communities;
Objective of the workshop is to discuss project design,
approaches and VT prioritization process.
U Khant Zaw,
70% of the population of Myanmar lives in rural areas;
Different geographic regions and main agriculture livelihoods;
Community infrastructure needs will be met by communitydriven development through the project;
The communities’ capacity concerned with the agricultural
production and livelihood will be enhanced.
Mr. Hideki Wada,
Second Secretary,
Economic and ODA
Section, Embassy of
Japan
The project is based on the social economic development
framework and focuses on the agricultural sector and rural
economic development;
The Country Partnership Strategy is already developed;
The project is for 12 Million and will enhance agricultural
production livelihoods and incomes;
Using a CDD approach the project will be implemented in 16
village tracts in each of 6 townships in Tanintharyi, Shan,
Ayeyarwaddy, Magway and Rakhine R/Ss.
Winfried Wicklein,
Country Director,
ADB Myanmar
Resident Mission
The project was approved in December 2013 and
implementation started 3 months ago;
The project will be CDD project and we will emphasize the
project objective targeting poverty reduction;
The project will support rural and social economic
development through cash for work activities;
Project implementation will be started in Ayeyarwaddy;
Village Tract development plans will be developed by
consultation with the community members;
Livelihood activities targeting poverty alleviation;
Systematic project and financial management systems;
Will work closely with Regional/State government and
Township Development Support Committee;
Will arrange for capacity building activeties for effective
implementation and will also identify for potential risks;
Gender anti-curroption and other safeguard compliance
mechanisms will be implemented.
Pavit Ramachandran,
Project Officer, ADB
Deputy Chief
Engineer, DRD
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



Implement
Arrangement










Questions
and Answers



At this workshop, the project design will be discussed and
project management arrangements explained;
The project will promote not only small-scale infrastructure
but also agricultural livelihood activities;
The CDD process will be similar with that of NCDDP;
But there are differences between NCDDP and ERLIP:
o NCDDP will focus on infrastructure and will be
implemented in all VTs in the township;
o ERLIP will only cover 16VTs per township and rural
livelihoods and infrastructure activities;
The project will provide 24,000 USD per village tract;
Whether to support social infrastructure and/or productive
infrastructure based on village demand?
The SUT will help DRD develop the M&E system;
Pilot implementation in 3 VTs of Nga Pu Taw Township;
Conduct VT prioritization workshop in NPT Township;
The village tract selection process will be conducted in
December 2014 and the SUT will support DRD;
The VT development plans will be developed in March 2015
and it will implemented in May 2015;
Project report in June and lessons learnt in Aug 2015.
Colin Steley, Start-Up
Team Leader
Boke Pyin has 19 Village tracts and all of the VT should be
included in project. ADB will consider this request;
How will ERLIP prepare for transparency and accountability?
Project design based on geographical region and capacities.
Will take at least two months before to develop the design.
USD 24000 will not be enough for some infrastructure subprojects in village tract; how can you adjust for that. ADB will
facilitate community-driven process and village identification.
How will you prevent corruption?
The corruption protection system will be developed.
If $24000 not enough, will the project provide more? The
main agricultural livelihoods will be supported.
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



Priority
Village
Tracts



Highlights of
INGOs/De
Partners
Discussion
Group
Highlights of
CSO/NGODi
scussion
Groups














How will we select the 16 VT in one township?
Past experience of ADB and NGOs will be used;
Project focus: better livelihoods and incomes through the
provision of basic village infrastructure;
Meeting with village leaders/representatives to gather VT
information. Communities will lead on VT selection;
Secondary data will also be used and communities attending
the meeting will decide which village will more important to
involve in the project.
Three pilot village tracts will be reslected by a township-level
consultation workshop with key stakeholders;
Group discussion questions:
o Identify additional data available at VT level?
o Share relevant lessons learned and experience?
Marlene Fuentes,
Start-Up Team CDD
Consultant
Poverty, livelihood potential and access criteria may conflict?
Suggest proxy indicators – eg brackish water region where
only one crop/year and artisanal fisheries is main livelihood;
MIMU (Myanmar Information Management System) is one of
the main sources of data and information;
Donor density and ease of access for elimination?
Danger of spotty (scatter), if choose the poorest – better to
select cluster for operational efficiency
Some VTs only have one village with 100-200 houses;
Level of community participation, interest and demand;
Strategic location relative to other nearby village tracts;
Rapid Assessment first;
Consultation with Township departments;
Set specific criteria based on project requirement;
Consider expansion plan even in the early stage;
Key indicators – agro-ecological zones, main livelihood and
incomes, access to markets, health and education services
and vulnerability to (flood & drought) disasters;
Data sources – VT administration, VDSC, CBOs/CSOs,
teachers and health personnel and resource persons;
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

NGO
Support
Services and
Potential
Business
Opportunity



Questions
and Answers



Closing
Remarks
There will be 3 levels of capacity development support;
o Management support for Union level DRD;
o Support services for Township DRD and
o VT and village level implementation support;
Proposed NGO Selection Criteria will be:
o Scope of livelihood/incomes programs in R/S;
o Proven track record in efficient and effective
participatory CDD process implementation at scale
(16 VTs, +/- 80 villages simultaneously);
o Long-term commitment to implement Village Tract
Development Plans = sustainability;
o Transparent financial management;
o Reputation with GoM and NGO peers.
Want to get feedback from participants on the following;
o NGOs - What would make it attractive for NGOs to
participate in ERLIP?
o Two-way communications
o Support services and their procurement
o Non-NGO- Coordination and collaboration
Colin Steley, Start-Up
Team Leader
Do you want one NGO or one NGO per township? One NGO
probably doesn’t have experience in all six townships?
Can CSO and CBOs be involved? Organizations to support
implementation could be NGOs or CSOs or a consortium;
If NGOs do not have registration or MOU, can DRD support?
Yes – DRD can provide recommendation for registration;
Want to know the project timeframe? Four year project;
$27,000 block grants provided for 3 consecutive years
Is it only for organizations that are working in targeted areas?
Competitive basis (selection criteria include local experience).
Therefore need to submit proposal.

Thank you for your time contribution to this workshop, active
discussions and useful suggestions. Thanks you.
U Khant Zaw, Deputy
Chief Engineer, DRD

This project is the first step and we will try to do a lot of
support to Myanmar and please involve actively.
Important stakeholders: government, community and CSOs;
Community will expect the results of the project; their
participation will be active when they see the results;
This is the learning by doing process. Don’t wait for perfect
project design. So, project time line should be adjusted and
pilot project implementation start as earlier as possible;
Thanks for your active participation/contribution to the project.
Mr. Javed Mir,




Director,
Environment, Natural
Resources and
Agriculture Division,
Southeast Asia
Department, ADB
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Attachment E: Ngaputaw Village Tract (VT) Prioritization Workshop
- Draft Workshop Design E.1:
Objectives of the Workshop
25.
ERLIP will be implemented in a total of 96 village tracts (VTs), broken down into 16 VTs
in each of the six Project townships. The selected 16 VTs will undergo social preparation and
social assessments to identify needs, undertake village planning and develop village tract
development plans (VTDPs), prioritize/identify sub-projects on livelihood/income activities
and/or associated small-scale infrastructure to be supported by three annual rounds of VTBGs.
The VTs Prioritization Workshop will engage representatives from all VTs in a Project township
in prioritizing the 16 VTs that will be supported under the Project. This will be carried out only
once in each Project township, as the initial step in ERLIP’s community project process.
26.
The objectives of the Ngaputaw VTs Prioritization Workshop are:
i.
ii.
Inform the representatives of all 83 VTs in Ngaputaw Township about the Project;
Explain the analytical methods used to prioritize the VTs, including the criteria and
indicators used;
Inform and explain to the participants the results of this analysis;
In smaller sub-groups, participants discuss the results of the analysis and select and
rank the first 20 VTs;
Arrive at a consensus on the priority 16 VTs;
Inform the participants on the selection of three representative VTs out of the 16 VTs for
pilot ERLIP implementation; and
Inform the participants of the next steps in project implementation (for the pilot VTs and
the other 13 selected VTs).
iii.
iv.
v.
vi.
vii.
E.2:
27.
Workshop Approach
The workshop is designed to involve two participatory features:


Information-sharing – being the first Project workshop to be carried out in Ngaputaw, the
workshop presents an opportunity to inform all 83 VTs in the township as well as key
Government and non-government partners, about ERLIP and its scope and operating
framework. It is also an opportunity to provide a forward view of Project implementation,
in terms of what will happen next after the event.
Collaborative decision-making – to engage and involve the participants in the process of
selecting the 16 VTs based on the key criteria for Project support. The starting point will
be results of the analysis of secondary VT-level data which will be presented and
explained in plenary, and then further discussed in facilitated sub-groups discussions.
Each sub-group will then select and rank the first 20 VTs and the sub-groups outputs will
be consolidated and discussed at plenary.
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28.
Given the high potential for challenge or alternative views with respect to the outcome of
the workshop, it is important that the workshop is conducted in an open manner that
encourages participants to express views and positions. Any concerns or views expressed
during plenary and in the sub-groups will therefore be recorded as process notes and included
in the workshop proceedings. The Workshop will be conducted entirely in Myanmar language.
E.3:
Indicative Workshop Program
Time
Session
TBA
TBA
TBA
TBA
TBA
TBA
TBA
TBA
E.4:
Project Orientation (scope, parameters for project
support, implementation arrangements, etc.)
Workshop objectives and process
DRD Project
Director
Plenary presentation Methods used – criteria and indicators
Results of the analysis
Question and Answer
SUT National
Community
Engagement
Specialist (NCES)
Sub-groups discussions Discuss the results of the analysis
Select and rank the first 20 VTs
Consolidation of sub-groups outputs and VT mapping
Plenary presentation and discussions
Consensus on the list of priority 16 VTs
Facilitators - DRD
GMU & GIUs staff
and SUT national
consultants
Selection of three representative VTs for pilot ERLIP
implementation (based on SUT considerations)
SUT NCES
DRD GMU
Project Director
SUT NCES
Proposed List of Participants
Groups
24
Responsible
Participants 24
Number
Region
Representative of the Chief Minister
1
Township
Township officials – DRD, other Departments
of MLFRD
2-3
Village Tracts
VT Administrator or VT Development Support
Committee head
Representative Women’s group/s and other
special interest groups such as ethnic groups
2 per VT
CSOs (INGOs, LNGOs,
networks, etc.) working
in the township/VTs
Township-based program staff
1 per CSO
Other programs/projects
in the township/VTs
Township-based program staff
1 per
program/project
Ngaputaw has a total of 83 VTs. The maximum number of participants that will be invited is 180.
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E.5:
Workshop Arrangements
29.
The workshop will be a collaborative effort of DRD Union GMU and Township GIU and
the SUT. The Project Director from DRD Union will have overall responsibility for the conduct of
the workshop. GMU and GIU staff will be mobilized to (i) support workshop administration, and
(ii) serve as facilitators of the sub-group discussions with prior orientation from the national
CES. The SUT CDD and other national consultants will be responsible for the workshop
process and outputs, and the post-workshop actions.
E.6:
30.
i.
ii.
There will be critical post-workshop steps to further ensure broad consensus:
Present the workshop outputs to the Chief Minister, Regional Government and to DRD
Union, and seek their endorsement to any further adjustments to the final outcome.
Compile the proceedings of the workshop – the full report in Myanmar language and a
separate summary of the main points in both Myanmar and English languages, for
dissemination to the groups represented at the workshop and other wider-audience
platforms (e.g., DRD website).
E.7:
31.
Post-Workshop Tasks
Budget
The cost estimate for holding the workshop is $_____.
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Attachment F: Draft Procurement Package
Community Facilitators (CFs)
Consultant Type: Individual
Source: National
Selection Method: Individual Consultant Selection
Technical Proposal: NA
Selection Title: Enhancing Rural Livelihoods and Incomes Project
Package Name: Community Facilitators (three)
Advance Action: No
Engagement Period: Six months each from about 1 December 2014 to 31 May 2015.
Consulting Services Budget: USD7,000
Budget Type: Maximum
Estimated Short-listing Date: 17 November 2014
Estimated Commencement Date: 1 December 2014
A.
Objective and Purpose of the Assignment
32.
The purpose of this assignment is for three Community Facilitators (CFs) to pilot
implement and adapt the initial ERLIP community-driven development (CDD) process in three
representative Village Tracts (VTs). The three CFs will assist the Department of Rural
Development (DRD), Start-up Team (SUT), and village Development Support Committees
(DSCs) for six person-months from 1 December 2014 to 31 May 2015. These ToR should be
read in conjunction with the attached Background (Annex 1).
B.
Scope of Work
33.
Three CFs will assist the DRD, SUT, VT and Village DSCs to pilot implement and adapt
the participatory CDD process in 3 representative VTs in Ngaputaw Township.
C.
i.
ii.
iii.
Expected Outputs
Pilot CDD outputs from village preparation to start subproject implementation;
Help adapt, develop and document the process in a draft Operations Manual;
Help DSCs develop their subproject management capacities through learning-by-doing
(on-the-job traning) in implementing the participatory CDD process; and
Handover pilot process implementation to the incoming NGO service provider
iv.
D.
Minimum Qualification Requirements
34.
Three CFs will be recruited separately, either directly as individuals, or through entities
such as NGO(s) or firm(s). The CF’s curriculum vitae (CV) should demonstrate that he/she has
the following relevant practical experience:
i.
ii.
iii.
iv.
v.
Facilitation of efficient and effective livelihood and income programs and participatory
processes at scale (16 VTs and +/- 80 villages simultaneously);
Work in the Ayeyarwady Delta and with its main ethnic and religeous minorities;
Demonstrated commitment to equitable inclusive growth and its sustainability;
Experience of transparent financial management will be an advantage;
A university degree, in any relevant discipline, is also desirable.
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E.
Deliverables (to be provided at the end of each CDD process stage)
Type
Name
Record all participatory CDD process activities in each village;
Hand written diary
Review of CDD process implementation progress and experience;
Identify problems/issues/constraints + agree practical remedial actions;
Document the why, how, what, who and duration etc of each stage of
the participatory CDD process for SUT inclusion in the ERLIP OM.
F.
35.
Debriefing by
SUT and
contribute to
their reports
Schedule and Places of Assignment
Schedule Type: Continuous
City and Country
One Village Tract each (to be selected)
Ngaputaw Township,
Ayeyarwady Region,
Myanmar
Person-mos.
6 p-m
Estimated Start
Estimated End
01 Dec 2014
31 May 2015
29