Technical Assistance Consultant’s Report

This consultant’s report does not necessarily reflect the views of ADB or the Government concerned, and ADB and the Government cannot be held liable for its contents.

Project Number: 46422-002 October 2014

Republic of the Union of Myanmar: Maximizing Transport Benefits Through Community Engagement (Financed by the Technical Assistance Special Fund)

Prepared by the Mekong Economics, Ltd. and the Adventist Development Relief Agency

Myanmar

For the Ministry of Construction

ABBREVIATIONS

ADB – Asian Development Bank CDD – community-driven development EAO – ethnic armed organizations km – kilometer JICA – Japan International Cooperation Agency TA – technical assistance

NOTE

In this report, "$" refers to US dollars unless otherwise stated.

0

TA-8304 MYA:

MAXIMIZING

TRANSPORT BENEFITS

THROUGH

COMMUNITY

ENGAGEMENT

PROJECT (46422-002)

Mekong Economics Ltd. and the Adventist Development

Relief Agency

INCEPTION REPORT

Prepared for the Asian Development Bank

16th October 2014

1

Contents

Introduction .................................................................................................................................................................3

Overview .....................................................................................................................................................................4

Supporting Kayin State donor and implementing partner coordination ......................................................................4

Strategic Guidance for the Donor Community and implementing Partners ..............................................................5

Box 1: “Lessons Learned” from the Myanmar Peace Support Initiative ...........................................................7

Defining a Conflict Sensitive Approach to CDD in Kayin State ..................................................................................8

Box 2: Lessons Learned from the WB NCDD project ....................................................................................... 12

WORK PLAN AND INPUTS .................................................................................................................................... 13

INDICATIVE WORK PLAN AND TEAM MEMBER INPUTS ................................................................................... 14

PROJECT TIMELINE AND DELIVERABLES ......................................................................................................... 15

PRELIMINARY NOTE ON THE INCEPTION REPORT

This inception report takes into consideration the numerous changes and revisions in the scope of work since

the Consortium won this project. This was in the context of an emerging need for a better understanding

about Kayin State, and for donor coordination – both between ADB projects there, and with other donors. The

approach and methodology highlighted below is the product of discussions between the Consortium and the

ADB, and incorporates the feedback obtained from this process. This Inception Report thus details the new

scope of work, along with specific activities, inputs and outputs.

2

Source: MIMU

3

Introduction

In March 2014, Mekong Economics Ltd., was awarded TA-8304 MYA: Maximizing Transport

Benefits through Community Engagement Project (46422-002). The assignment was for Mekong

Economics, partnered with ADRA Myanmar, to undertake extensive community participatory

activities to define community-level projects that would directly benefit the estimated 120 villages

around the proposed 80km ADB-funded road project. The concept was that 4-10 projects would

be identified, requiring up to US$10m in funding. The participatory activities were delayed due

to the wet season, and also due to the need for formal Ministry letters of introduction. The

Consultant did, however, undertake preliminary research, meetings, and a visit to Kayin State

as preparatory activities.

In the meantime, however, ADB expressed a desire to change the scope of the desired services.

This was in the context of an emerging need for a better understanding about Kayin State, and

for donor coordination – both between ADB projects there, and with other donors. Subsequently,

the Consultant and ADB staff1 had several meetings to define the new focus and outputs for the

TA. This Inception Report details the new scope of work, along with specific activities, inputs

and outputs. A new workplan is presented and explained, as well as a new (neutral) budget and

payments schedule. Once approved, this document can form the basis for a contract variation

(and extension).

1 Jamie Leather (TA lead); Peter Brimble, and Lainie Thomas. Other consultants include Mary Callahan,

Paul Donowitz, and other members of ADB’s Kayin State Working Group.

4

Overview

This TA now has three objectives, each of which involve various activities:

1. Support donor and implementing partners’ coordination with respect to Kayin State.

2. Provide strategic guidance for the donor community with respect to Kayin State.

3. Define a suitable approach for implementing community-driven development (CDD) in

Kayin State, which is conflict sensitive and locally owned.

Supporting Kayin State donor and implementing partner coordination

ADB is now one of many donors active in Kayin State. ADB itself has at least four projects in the

pipeline, coordinated with JICA, and in consultation with other donors. The recent ADB Country

Programming Mission Aide Memoire highlighted this issue, and in particular in relation to Kayin

State:

"The Mission stressed the importance of strengthening synergies and integration between

ongoing and planned activities – both from a sector and geographic perspective. As a

pilot project, the Kayin State Working Group, chaired by SETC and MYRM, was formed

during the Mission to strengthen coordination between ADB’s activities in Kayin State

along the Greater Mekong Subregion East-West Economic Corridor. The Mission met

Kayin State Chief Minister Zaw Min in Hpa-An, jointly with JICA, to discuss the

development of the East-West economic corridor, and to review ADB's planned project

initiatives for roads, urban development, health, and entrepreneurship in Kayin State. The

Chief Minister committed their support to coordinating the ongoing and proposed

operations."

This pilot of ADB leading coordination efforts has started, and on 28-29 September ADB held a

Civil Society Awareness Workshop in Yangon, at which a number of Kayin State groups attended

and one session represented the Kayin State Working Group activities.

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To support this effort, this TA will draft a “strategic guidance” document (discussed below) and

undertake the following:

1) Digital Kayin maps for planning

The Consultant will source and if necessary, digitize, the most detailed available maps of the

State and, using GIS software, put them in a form that allows easily overlays. This would start

with MIMU, who have reasonable maps (http://www.themimu.info/states_regions/kayin), but we

want something more specific, up-to-date, and in a format such that those with the relevant

software can easily add new data and create new overlays. The maps will include details of the

villages and townships in the project area, and also a view of the political landscape i.e. which

areas are under the control of the state government, the KNU, the DKBA etc.

2) ADRA office in Kayin State

ADRA has an office in Kayin State that could usefully support visiting ADB staff and consultants.

The office could also assist in arranging meetings, transport and interpretation assistance as

needed. We have proposed a reimbursables budget of $10,000 to be drawn down over the

period (the beneficiary ADB staff/consultant would “sign off” for receiving any of these services,

and supporting documentation will be kept).

Strategic Guidance for the Donor Community and implementing

Partners

Donor awareness about the realities in Kayin State is understandably limited. Yet without

accounting for the political economy of the State and especially the peace and conflict situation,

many interventions will fail or even have a net negative impact. There are political and

environmental sensitivities that donors could aggravate with ill-considered, if well-intentioned

projects. Kayin State has seen decades of armed conflict between successive Bamar dominated

governments and Karen Ethnic Armed Organizations (EAO), mainly the Karen National Union.

The conflict was marked by serious widespread human rights abuses, including forced labor,

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displacement and extrajudicial killings. The current peace process represents the best

opportunities in many decades to address issues that have structured armed conflict. However,

the Government of Myanmar (GoM) and especially the Myanmar Army continues to be

experienced and perceived as a predatory and violent force by many Karen people. Any focus

on ‘state-building’ and development assistance must take into account the legitimacy of non-

state actors and be sensitive to the lack of trust in Government structures at a community level.

In light of this, and because of the differing peace situation across the State, it is sensible to

focus on the central part of the State, in the three townships of Myawaddy, Kawkareik and Hpa-

an. The situation on the ground in these 3 townships makes it possible for meaningfully dialogue

with the government and non-government bodies and to formulate a sensible CDD project with

key stakeholders. This would also tie in with the on-going ADB support in the area.

The above-mentioned Civil Society Awareness Workshop is a positive step to improve sharing

and understanding, as has been the “Lessons Learned” from the Myanmar Peace Support

Initiative (see Box 1). This TA will take the knowledge base a step further by drafting a

strategically focused guide for donors already active and interested to initiate projects in Kayin

State.

The Guide will be a 20-30-page report, which will include geographical maps and a stakeholder

analysis (and profiles). The Guide will outline the political economy with a special focus on the

peace and conflict situation and key actors in the State, take stock of existing and pipeline donor

activities, and give recommendations about how conflict sensitive donor projects should be

identified, planned and implemented.

A draft of the Guide will be circulated for peer review, and then a second draft presented at the

planned workshop. The dissemination strategy for the Guide will be decided by ADB after their

review of the drafts.

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Box 1: “Lessons Learned” from the Myanmar Peace Support Initiative

“Although tensions and difficulties as still exist, Ethnic Armed Groups have demonstrated

commitment to the peace process. The leaders of the Ethnic Armed Groups, and other ethnic

stakeholders in Myanmar, acknowledge and expect that the political dialogue process will take

some time in order to reach acceptable outcomes. As such the 2015 elections are seen as

creating a temporary interruptions in a process that will go on until perhaps 2020.

When seeking to provide support in conflict-affected areas, interventions need to be better

designed and delivered in accordance with the context. State-society relationships will be

politically negotiated in the course of the peace process, including the shape of local

administration and where competence and responsibility for service delivery lie; requiring less

emphasis on “technical fixes” and more emphasis on flexible approaches to aid that fit with the

peace process.

International donors and diplomats need to better reflect their understanding of the historical and

present complexities in Myanmar in their strategies for support to Myanmar and the peace

process.

Those working in conflict-affected areas need to understand, and better respond to local political

cultures and local perceptions, and the dynamics of peace and conflict at the sites of their work.

Specifically, consideration needs to be given as to how best to provide support to the social

service providers in the areas under control of Ethnic Armed Groups to allow them to continue

to deliver services in the interim period of political dialogue.

Most importantly however, meaningful consultation prior to the design and delivery of any

interventions needs to take place, and explicit consent to operate should be sought in those

consultations. Consultations need to include where, how, if and what kind of interventions are

assessed and agreed as needing to take place. Programmes of support should be based on a

sound appreciation and recognition of local experiences of conflict and existing local capacities.

8

Partners should agree on simple, practical and light-footed co-ordination mechanisms - these

mechanisms will allow political and conflict analyses to be shared, to assist a common

understanding of issues and concerns and to help achieve greater coherence and sharing of

strategic goals.”

Source: The Myanmar Peace Support Initiative (2014) “Lessons Learned from MPSI’s Work Supporting the Peace Process in Myanmar (March 2012 to March 2014)”.

Defining a Conflict Sensitive Approach to CDD in Kayin State

The core task of the TA, however, will be to define a conflict sensitive approach (“needs

assessment”) to undertake community-driven development (CDD) in Kayin State. This will

involve a careful and participatory approach towards articulating a specific “approach” for

possible JFPR support.

In general this Small Scale Technical Assistance (SSTA) project will adopt a ‘top-down’

approach to ensure buy-in and ownership of the proposed CDD by central government, local

government and non-government leadership in the State. This will include a needs assessment

of the ‘bigger picture’ in the State to define a sensible approach for the CDD, which will require

consultations with the central government in Nay Pyi Taw and the State Government, before

consultations with non-Government actors in the State such as ethnic armed groups or other

donor organisations operating in the area. Following the ‘top-down’ consultations, ‘ground

truthing’ exercises with selected villages in the focus area will test the proposed approach of the

CDD (which is explained later). The CDD project will pick up on the SSTA work and undertake

a ‘bottom-up’ approach at the village level.

The first activity in the CDD process will be a literature review, which will include understanding

and learning from the existing World Bank and ADB CDD projects in Myanmar (they do not cover

Kayin State). Box 2 summarizes the “lessons learned” from the World Bank NCDD to date.

Further experiences can be drawn from JICA’s blueprint for development in Kayin and Mon

9

states, which has been heavily criticized by the Karen Peace Support Network (KPSN).

Understanding the discussions around this will guide and inform how to conduct a CDD project

in Kayin state in a sensitive and participatory manner.

The literature review will run concurrently with getting advice and ensuring coordination between

the TA research and relevant organisations. This includes coordinating with ADB's conflict

sensitivity team and with the ADB TA project, Strengthening Civil Society Participation in ADB-

Financed Operations which aims to build civil society participation into ADB's operations in

Myanmar. The project, designed with feedback from civil society representatives concerned

about possible negative impacts of IFI support to Myanmar, ensures that all stakeholders,

including community-based organizations, think tanks and research institutes, farmer's

associations, women's groups, as well as local and international nongovernment organizations,

as well as the private sector and government, will be part of the project cycle in ADB's support

to Myanmar. The project is compiling a stakeholder map of civil society actors, developing a

knowledge product providing an overview of civil society in Myanmar, and facilitating the

development of a consultation and participation plan for ADB's support to Myanmar.

The literature review and initial consultations will lead to developing ideas for a specific

approach, which will be a draft - with options. The TA team will then be in a position to seek input

from a wider set of stakeholders. This would include a visit to relevant Ministries in Nay Pyi Daw,

and then to visit Kayin State.

In designing the CDD project approach, the TA team will take explicit account of:

(a) Regional experiences in CDD projects in conflict-affected areas (see

http://asiafoundation.org/resources/pdfs/ContestedCornersOfAsia.pdf).

(b) The balance between a village level approach and the wider role of ethnic groups in

contested areas.

(c) Lessons from other related projects in Myanmar in conflict affected areas (health,

education, etc.).

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When a specific approach is detailed, it will be “ground-truthed” by being critically reviewed in

three ways;

1. Firstly, by separate participatory workshops involving the Kayin State government, the

Karen EAO, Karen Civil Society, and other stakeholders.

2. Secondly, by a series of local needs assessments at township level and a sample of

villages (about 20 villages). Through focus group and community discussions, which will

be centered on peace and recovery /development needs and concerns in order to inform

a conflict sensitive CDD approach, the assessment is hoped to bring a better

understanding of the concerns, priority needs for support and hopes and aspirations of

conflict-affected communities in Kayin State. This exercise will be conducted starting from

January 2015, after the harvest season to ensure buy-in by local populations.

3. Thirdly, by a participatory workshop of all stakeholders at regional level to provide an

opportunity for discussion on key issues and concerns identified through the local needs

assessment and how to achieve cooperation and coordination between the regional

governments, EAOs, CBOs and donors in implementing a conflict sensitive CDD

approach.

The ground-truthing will deepen the Needs Assessment, and will lead to final and detailed

specification of the CDD approach, which should be one broadly understood and supported in

principle by the relevant stakeholders (note that precise details about CDD design will be

determined by a subsequent TA).

The final Needs Assessment would conclude by identifying projects for further research,

including how a community-driven development project that was sensitive to the particular

conflict situation in the State may be designed and implemented.

The Needs Assessment will identify (and justify) a specific geographic coverage for a CDD

project. It will also explain how a CDD project would be best designed and implemented. These

issues, and others, will be covered in a Kayin State Community Development Needs Report (20-

30 pages). The Consultant will draw upon that Report to draft the Initial Title and Description

11

Form (ITDF) and the Grant Summary Report (GSR) for the proposed JFPR project (but not draft

a detailed project design or terms of reference). The Consultant will also provide some inputs

and information required for the preparation of a Concept Paper, which will contain more

information than the ITDF. The Concept Paper itself will not be written by the Consultant, but

will highlight points of consideration that ADB and future project implementers in Kayin state

should address in order to adopt suitable and sensitive approaches to future projects in the area.

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Box 2: Lessons Learned from the WB NCDD project

• Communities decide wisely on subproject selection, they creatively mobilize local

resources, adapt design to local conditions, reduce cost, volunteer labour and materials,

and enhance overall subproject quality.

• Implementation is guided by work plans, developed at the township level, are suited to

local weather conditions, agriculture cycle, livelihood activities, and geographical

characteristics.

• The current formula for block grant allocation by village tract is too aggregated. This

results in small per capita allocations where there are many villages within some village

tracts.

• Unregistered villages should continue to be include in the block grant allocation formula.

• Hamlets (say with 10 households or less) should continue to be included in the Project.

• A uniform percent allocation for subproject administration cost cannot address different

conditions across villages. For most villages/village tracts, 4% was enough. For a few

very remote and inaccessible villages it was inadequate.

• The subproject administration budget should be released to the village tract up front.

• Monitoring and reporting are new to all communities. Village and village tract report

formats and requirements should be further simplified.

• The grievance response mechanism is being used by villagers, and the system is

responding in a timely manner.

• Community donations are part of Myanmar culture. In some cases, donations were larger

than project funds for the subproject. Community donations to subprojects should be

documented and, where appropriate, used to support operations and maintenance.

Source: Department of Rural Development. National Community Driven Development

project: Highlights of Cycle 1 Implementation. 18 August, 2014 (Powerpoint).

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WORK PLAN AND INPUTS

List of deliverables:

1. Interactive digital maps of Kayin State

2. Strategic Guidance for donors in Kayin State (20-30 page report)

3. Kayin State participatory workshops and village field visits report

4. Kayin State CDD Needs Assessment (20-30 page report)

5. Initial Title and Description Form (ITDF) for Kayin State CDD project

6. Grant Summary Report (GSR) for Kayin State CDD project

7. Inputs and information required for the preparation of a Concept Paper

The October approval of this Inception Report and the TA contract variation will trigger a set of

activities in October/November. These will stretch into June 2015, which will match the timeline

of other ADB projects being developed. The core activity, developing a participatory CDD project

approach, will involve a series of consultations, meetings and workshops during December and

January, followed by “ground-truthing” with township and villages visits in January 2015. Two

local Kayin experts have been recruited to lead the ground-truthing survey. Associated

deliverables will then be drafted during February.

The Team Leader, Tim Schroeder, is uniquely qualified for this assignment. With substantial

inputs from ADRA Country Director, Brendon Irvine, Tim will produce high-quality analytical

outputs. Both have been working in Southeast Myanmar for many years. These two

internationals will lead all activities, supported by research inputs from the junior international

expert, Alex Jaggard. The local team includes three national Kayin experts in Philip Aung, Saw

Tardoe Hudson, and Naw Bway Pale Paw, who will undertake the ground-truthing village survey

work in January through March, and some local staff inputs for logistics, translation and

interpretation. A GIS expert will be recruited to undertake the digital mapping exercise, while Su

Yi Nwe will be the project coordinator. The table below shows an indicative work effort (days per

week) for each team member.

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INDICATIVE WORK PLAN AND TEAM MEMBER INPUTS

Oct. Nov. Dec Jan. Feb. Mar. Apr. May June Total days

1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4

Tim Schroeder (Team Leader) 1 2 2 2 2 2 3 3 3 2 1 1 2 4 4 3 4 2 2 3 2 4 4 4 2 2 2 2

2 2

1 2 2 1 80

Brendon Irvine 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 15

Alex Jaggard 1 2 2 2 2 2 2 2 1 2 2 2 3 3 1 1 1 1 3 2 3 3 3 3 3 2 2 2

2 2

2 1

65

Review Consultant 3 3 2 2 2 2 3 2 1 20

Philip Aung

1 1 1 2 2 2 2 2

3 3 3 3 2 2 2 2 2 1 2

2 2 1

2 2

1 2 1 1 52

Saw Tardoe Hudson 1 2 2 2 1 3 5 5 5 5 5 5 5 5 2 2 2 2 1 60

Naw Bway Pale Paw

1 2 2 2 1

3 5 5 5 5 5 5 5 5 2 2 2 2 1

60

Su Yi Nwe 3 2 2 3 3 5 5 5 2 2 2 34

GIS Expert

2 2 4 3 4 4 2 2 2 2 3 3 2

35

Interpreter 1 4 5 5 15

15

PROJECT TIMELINE AND DELIVERABLES

Oct. Nov. Dec. Jan. Feb. Mar. Apr. May June

1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4

Inception Report

Contract Variation

Strategic Guidance report

Research and consultation

Drafting X

Finalising X

CDD Project

Literature review

Consultations with govt and non-govt groups

Draft Approach Concept

Government meetings (NPD)

Kayin presentation (Chief Minister)

Kayin presentation/workshop (EAO)

Kayin presentation/workshop (CSOs)

Townships and village needs assessments and

discussions

Draft Needs Assessment X

Final workshop with all concerned stakeholders

Kayin state visit report

Final government meeting in Nay Pyi Taw X

Draft ITDF and GSR X

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Finalise ITDF and GSR X

Digital mapping

Research maps and software

Construct

Add data X

Deliverables

Interactive maps of Kayin state X

Strategic Guidance report for donors in Kayin

state D F

Kayin State CDD Needs Assessment (20-30

page report) X

Initial Title and Description Form for Kayin state

CDD project D F

Grant Summary Report (GSR) for Kayin state

CDD project D F

Inputs and information required for the

preparation of a Concept Paper X

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BUDGET AND SCHEDULE OF PAYMENTS

Total days Daily rate USD Total USD

Tim Schroeder 80 500 40,000

Brendon Irvine 15 750 11,250

Alex Jaggard 65 300 19,500

Philip Aung 52 145 7,540

Review Consultant 20 750 15,000

Saw Tardoe Hudson 60 80 4,800

Naw Bway Pale Paw 60 80 4,800

Su Yi Nwe 40 100 4,000

GIS Expertise 35 400 14,000

Interpreter 15 300 4,500

125,390

International and national per diems; land transport and vehicle hire; housing allowance; communications; report

preparation; Lump sum 15,452 140,842

Reimbursable (Note 1):

Workshops (Note 2) 24,000

ADRA Kayin State office (Note 3) 10,000 34,000

____________________

TOTAL: 174,842

Note1: Sub-total is the maximum budget for reimbursable expenses. Actual cost may be less than this amount and

will be determined based on project needs. The consultant should submit to ADB official receipt as proof of

reimbursement.

Note 2: Detailed program/cost estimate for TASU/User Unit’s approval prior to start of activity. Summary of

expenses with scanned receipts is required. Administrative/technical staff, etc. should be within local market rates

or USD 900 per month whichever is lower. Originals to be retained by consultant for audit.

Note 3: Summery of expenses with scanned receipts is required. Administrative/technical staff, etc. should be within

local market rates or 900 USD per month whichever is lower. Originals to be retained by consultant for audit.

Schedule of Payments (of USD 140,842):

20% Inception Report [acceptance by TA Task Leader]

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30% Strategic Guidance for donors in Kayin State (report) [final draft approved by ADB]

30% Kayin State participatory workshop and village visits report [submission]

20% ADB final approval of ITDF and GSR documents for Kayin State CDD project and inputs and information

required in the preparation of a Concept Paper